What is a Provisional Patent Application and Should I File One? Episode 8

(The original episode aired in 2017 and some details may be out of date)

What is a Provisional Patent Application?

A provisional patent application is often described as a rough draft of a real patent application that allows you to secure an earlier filing date before filing the final version, called a non-provisional patent application.

I call this a gross oversimplification because if you treat your provisional patent application like a rough draft, you’re wasting your time filing it. You should just file a non-provisional application instead. In this episode, I’ll explain why you shouldn’t treat a provisional application as a rough draft and the proper way to use it.

Understanding Non-Provisional Patent Applications

To understand provisional applications, you first need to understand non-provisional applications.

• Non-provisional applications are what most people mean when they say they’ve filed a patent application.

• A non-provisional application is the real patent application that gets examined by a patent examiner and has the potential to turn into a granted patent.

• A provisional application will not be examined by a patent examiner and will not turn into a patent by itself.

Let me repeat: A provisional patent application will not be examined by a patent examiner and will not turn into a patent by itself.

So, what’s the point of a provisional patent application if it won’t turn into a patent?

Why File a Provisional Patent Application?

There are several reasons why inventors file a provisional patent application:

1. It buys time – You get an extra 12 months to file your non-provisional application.

2. It is cheaper – Filing fees are lower compared to a non-provisional application.

3. It serves as an emergency measure – If you’ve disclosed your invention (or are about to), filing a provisional application quickly can provide some legal protection.

However, in many cases, there are more reasons NOT to file a provisional patent application than there are to file one.

Differences Between Provisional and Non-Provisional Applications

Why Are Provisional Applications Quicker and Cheaper?

1. No special formatting required –

   • You can submit photographs, scans, and hand drawings.

   • No need for formal figures, which are required in non-provisional applications.

2. No claims required –

   • Claims define the boundaries of your invention.

   • Patent attorneys are usually most useful in drafting claims, but they aren’t needed for a provisional.

3. Lower costs –

   • Filing fees are currently $65 or $130 for small inventors.

   • Non-provisional applications cost $400 or $730.

   • Fees change, so always check the USPTO website for current rates.

4. Filing process is simpler –

   • All you need is a written, detailed description of your invention.

   • You also need to fill out a two-page cover sheet form (available on the USPTO website).

What Does a Provisional Application Do for You?

A provisional application establishes a filing date, and from this date, you have 12 months to file your non-provisional application.

Example

• You file a provisional patent application on January 1, 2018.

• You can now legally label your product as “Patent Pending.”

• By January 1, 2019, you must file a non-provisional application to retain the earlier filing date.

Why is an Earlier Filing Date Useful?

If a similar invention is published on February 1, 2018, and the examiner reviews your non-provisional application filed on January 1, 2019, they cannot use the February 1, 2018, reference against you. It’s as if your patent application was filed earlier.

However, if you never filed the provisional application and only filed the non-provisional application on January 1, 2019, then the February 1, 2018 reference could be used against you.

The Problem with Provisional Applications

A provisional application is only as good as the description it contains.

If your provisional application lacks details, it won’t support the claims in your non-provisional application filed a year later.

Example

Let’s say you invent a new avocado slicer similar to the 3-in-1 Oxo avocado slicer. It has:

1. A slicing blade at one end.

2. A pitter in the middle.

3. A multi-blade loop at the other end.

In your provisional application, you:

• Describe the slicing blade in detail.

• Describe the multi-blade loop in detail.

• Mention the pitter but fail to describe its blades in detail.

You file your provisional application on January 1, 2018, then start talking to people about your invention.

By January 1, 2019, you file your non-provisional application, now including a detailed description of the pitter’s blades.

• If someone publicly disclosed a similar pitter design on June 1, 2018, and your provisional didn’t describe the pitter blades properly, you lose the benefit of your January 1, 2018 filing date.

• The June 1, 2018 disclosure could be used against you, potentially invalidating your patent.

Should You File a Provisional Application?

A provisional application is risky because you don’t know exactly how you will write your non-provisional application until you file it.

If you file a provisional, make sure to:

• Describe your invention in great detail.

• Include everything you might claim in your non-provisional application.

If you’re already putting in the effort to write a detailed provisional, why not spend the extra time and money to add claims and formal drawings for a non-provisional application?

When Does Filing a Provisional Make Sense?

The only time I typically recommend a provisional is when:

• You’re about to disclose your invention publicly (e.g., at a trade show or investor meeting).

• You don’t have time to draft a formal non-provisional application.

• You can’t afford the full cost of a non-provisional application.

Final Thoughts

• If you file a provisional application, you must file your non-provisional application within 12 months.

• If you miss the 12-month deadline, your provisional application is abandoned.

• Even though claims aren’t required, I recommend including one very broad claim to cover all configurations.

• If you need help, I offer provisional and non-provisional patent application services at Diament Patent Law.

Until next time, I’m Adam Diament—keep on inventing!