Important Information for Completing an Application Data Sheet (ADS)

The following information is being provided to help applicants avoid making errors when completing an Application Data Sheet.  A link to Form AIA/14 [PDF] can be found below.

1. For a new utility and design patent application that is being filed via EFS-Web, consider generating a Web-based ADS through EFS-Web rather than using the pdf of Form PTO/AIA/14.  See https://www.uspto.gov/sites/default/files/documents/Quick%20Start%20Guide%20WebADS.pdf. Under certain circumstances, information from a parent application can be pre-populated into the Web-based ADS.

2. An ADS that is filed after the submission of the application, even where no ADS was filed previously, must identify the information being added or deleted, with underlining for additions, and strike-through or brackets for deletions.  For applications filed on/after September 16, 2012, a Corrected Web-based ADS that will generate the required markings is available in EFS-Web for customers who have a PKI Certificate to file follow-on correspondence.  See https://www.uspto.gov/sites/default/files/documents/Corrected-WebADS-QSG.pdf

In most instances, the Corrected ADS must identify the changes relative to the official filing receipt. For applications filed on/after September 16, 2012, see the Manual of Patent Examining Procedure (MPEP) section 601.05(a): https://www.uspto.gov/web/offices/pac/mpep/s601.html#ch600_d1ff5e_1ae97_96

3.  Filing By Reference – do not complete this section if you are filing a specification and any drawings.  Filing by Reference is not the same thing as making a domestic benefit claim to a prior-filed U.S. provisional or nonprovisional application. Filing by reference is intended for the extremely rare situation where you do not have a copy of the application (the specification and any drawings). In the rare situation that you plan to file by reference, see MPEP 601.01(a), III: https://www.uspto.gov/web/offices/pac/mpep/s601.html#d0e35476

4.  Request Not to Publish – a nonpublication request can only be made at the time of filing the application, and the ADS must be properly signed for the nonpublication request to be effective.  See item 7 below for signature information.

5.  Domestic Benefit/National Stage Information – For the first benefit claim being listed, leave the box underneath “Application Number” blank. Leaving the box underneath “Application Number” blank will signify “This Application is a.” Benefit claims must be listed in reverse chronological order (i.e., newest application to oldest). Examples of how to properly set forth benefit claims in an ADS can be found here: https://www.uspto.gov/sites/default/files/documents/ads_hints_march2017.pdf 

Please note: domestic benefit claims must be properly presented within a specific time period. See MPEP 211.03 for time period information: https://www.uspto.gov/web/offices/pac/mpep/s211.html#ch200_d1ff71_24d33_c.  A petition and fee would be needed to add any domestic benefit claims that were not timely and properly presentedSee MPEP 211.04 for information about petitions to accept unintentionally delayed benefit claims: https://www.uspto.gov/web/offices/pac/mpep/s211.html#ch200_d1ff71_24f8b_4a

6. Applicant Information – for applications filed on/after September 16, 2012, if a juristic entity (e.g., corporation, association) is identified as an applicant, then the ADS must be signed by a patent practitioner. See MPEP 605.01 for who can be named as the applicant: https://www.uspto.gov/web/offices/pac/mpep/s605.html#ch600_d1ff6a_29cdf_36f

7. Signature – the ADS must be properly signed.  If one or more of the applicants is a juristic entity, then the ADS must be signed by a patent practitioner. If the applicant is two or more joint inventors, then the ADS must be signed by all joint inventors who are the applicant, or one or more joint-inventor applicants who have been given power of attorney (e.g., see USPTO Form PTO/AIA/81) on behalf of all joint inventor-applicants.

The signature must be personally inserted/applied to the ADS by the person who is identified as the signer.  The signature may be an S-signature (e.g., /Robert Smith/), a handwritten signature (e.g., pen applied to paper to sign the document), or a graphic representation of a handwritten or S-signature when submitted via EFS-Web.

See MPEP 502.02 for signature requirements: https://www.uspto.gov/web/offices/pac/mpep/s502.html#d0e26345

 

Download the USPTO-fillable Application Data Sheet below:

 

>>>Application Data Sheet (37 CFR 1.76)<<<

(Version 2.2.12, Released November 2015)

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