How to Prepare the Application Data Sheet. Episode 28

Important Document

In the last episode, I started going over important documents that you should file along with your patent application. In this episode, I’m going over the Application Data Sheet, also known as the ADS. The ADS provides the USPTO with essential information about you and the patent application you’re filing.

How to Access the Application Data Sheet

You can fill out the ADS online when filing your patent application, which eliminates the need for a separate form. However, I prefer using the separate PDF form, as it allows me to work on it before submitting it.

To download the Application Data Sheet, go to the USPTO website and search for form number PTO/AIA/14. Once you have the form open, follow along as I walk through it.

The USPTO updates this form periodically, so if something doesn’t match exactly as I describe, it could be due to a recent update.

Filling Out the Application Data Sheet

One thing to note about the PDF form is that some fields appear editable but may not let you type directly into them. That’s because certain fields auto-fill based on earlier inputs in the form.

Secrecy Order Section

• The first part of the ADS asks whether your application falls under a secrecy order.

• Most applicants do not need to check this box unless their invention relates to national security—for example, nuclear weapons or sensitive military technology.

• If your invention does not have national security implications, leave this box unchecked.

Inventor Information

• Enter your name and select a title (Mr., Ms., Dr., etc.).

• Provide your first, middle, and last name, and add any suffix (e.g., Jr.).

• Check the appropriate box to indicate whether you are a U.S. resident, non-U.S. resident, or active U.S. military service member.

• Fill in your residence city, state, and country and provide your mailing address.

• If there is more than one inventor, click the “Add” button to generate additional inventor information fields.

Correspondence Information

• Enter the correspondence address where the USPTO will send all communications related to the application.

• If you are an attorney or frequently file patent applications, you may have a USPTO customer number, which automatically links to a correspondence address.

• If you don’t have a customer number, check the box indicating that you are providing an address manually, then enter your name, phone number, and email address.

Application Information

• Enter the title of your invention in the provided field.

• You’ll see a field labeled “Attorney Docket Number.”

• This is an optional field where you can assign your own tracking number.

• For example, if your last name is Smith, you might label it “Smith1”.

• Attorneys and firms typically use docket numbers to keep track of multiple applications.

Entity Status

• Select Small Entity Status Claimed if you qualify.

• Micro entity status falls under small entity status, so if you’re eligible for micro entity fees, you would also check small entity here.

• If you’re a solo inventor, a nonprofit, or a company with fewer than 500 employees, you likely qualify as a small entity.

• I covered small entity and micro entity qualification in the last episode—so if you’re unsure, go back and listen to that.

Application Type and Subject Matter

• Select either “Provisional” or “Non-Provisional.”

• I’ve discussed provisional applications in previous episodes, but the regular patent applications I focus on in this podcast are non-provisional applications.

• Select the subject matter:

• Utility or Design patents.

• Most patents are utility patents, so select utility if you are filing a provisional patent, since there is no such thing as a “provisional design patent.”

Drawing Sheets and Publication Preferences

• Enter the number of drawing sheets in your application (not the number of figures).

• If you have a specific figure that best represents your invention, enter that figure number (not sheet number) in the suggested figure for publication field.

Domestic Benefit and Priority Claims

If this is the first application related to your invention, you can skip this section.

However, if you previously filed a provisional application, you must complete this section to claim priority to the provisional filing date.

• Under “Prior Application Status,” select “Pending.”

• Leave the “Application Number” field blank—this refers to the current application, which won’t have a number yet.

• Under “Continuity Type,” select “Claims Benefit of Provisional.”

• Enter the application number of the provisional patent in the “Prior Application Number” field.

• In the “Filing Date” column, enter the filing date of the provisional application.

This section can be tricky to complete correctly, so take your time and ensure that your entries are accurate.

Foreign Priority and 37 CFR 1.55 Statement

• If you previously filed this invention in another country, enter that information in the Foreign Priority section.

• Otherwise, skip this section.

The 37 CFR 1.55 Statement applies only if you are claiming priority to an application filed before March 16, 2013.

• Most applicants do not need to check this box unless they have a complex priority claim spanning pre-2013 filings.

Applicant and Assignee Information

• If you (the inventor) are also the applicant, leave this section blank.

• If you assigned the invention to a company, enter the company’s name, address, and contact information.

• If the assignee wants their name on the front page of the patent, they must fill out this section.

• If the inventor is obligated to assign but hasn’t yet, select “Person to Whom the Inventor is Obligated to Assign.”

Signature and Submission

• If you are the sole inventor, type your name and date in the signature fields.

• The USPTO allows electronic signatures—use the format ”/Your Name/” between slashes.

• If there are multiple inventors, each must sign separately by clicking “Add” to generate additional signature fields.

For juristic entities (corporations, LLCs, etc.), a registered patent attorney or agent must sign the ADS.

• If there are multiple inventors, either a patent practitioner or all inventors must sign—unless one inventor has Power of Attorney from the others.

Final Thoughts

That’s it for the Application Data Sheet! There are many scenarios where you might need to fill this form out differently, but I covered the most common situation for a first-time filer. While some applications technically do not require an ADS, I highly recommend filing one to avoid issues down the road. I'm Adam Diament, and until next time, keep on inventing!