Provisional Applications Filed Under 35 U.S.C. 111(b)

A provisional application filed on or after December 18, 2013 will be

given a filing date as of the date a specification, with or without claims, is

received in the Office. For provisional applications filed prior to December 18,

2013, the application will be given a filing date in accordance with

pre-PLT

(AIA) 37 CFR 1.53(c)

as of the date the written description and

any necessary drawings are filed in the Office. The filing date requirements for a

provisional application set forth in

37 CFR 1.53(c)

substantially

parallel the requirements for a nonprovisional application set forth in

37 CFR

1.53(b)

. Amendments, other than those required to make the

provisional application comply with applicable regulations, are not permitted after

the filing date of the provisional application.

When the specification or drawing are omitted,

37 CFR 1.53(e)

requires that the applicant be notified and given a time period in which to submit

the missing element to complete the filing. See

MPEP § 601.01(f)

and

§

601.01(g)

for treatment of applications filed without

drawings, or filed without all figures of drawings, respectively.

37 CFR

1.53(c)(1)

requires all provisional applications be filed with

a cover sheet, which may be an application data sheet (

37 CFR 1.76

) or

a cover letter identifying the application as a provisional application. The Office

will treat an application as having been filed under

37 CFR

1.53(b)

, unless the application is clearly identified as a

provisional application. A provisional application, which is identified as such, but

which does not have a complete cover sheet as required by

37 CFR

1.51(c)(1)

will be treated as a provisional application.

However, the complete cover sheet and a surcharge will be required to be submitted at

a later date in conformance with

37 CFR 1.53(g)

.53(b)

, unless the application is clearly identified as a

provisional application. A provisional application, which is identified as such, but

which does not have a complete cover sheet as required by

37 CFR

1.51(c)(1)

will be treated as a provisional application.

However, the complete cover sheet and a surcharge will be required to be submitted at

a later date in conformance with

37 CFR 1.53(g)

.

When the provisional application does not have a complete cover sheet

or the appropriate fee, the applicant will be notified pursuant to

37 CFR 1.53(g)

and given a time period in which to provide the necessary fee or cover sheet and to

pay the surcharge as set forth in

37 CFR 1.16(g)

in order to avoid

abandonment of the application. The time period will usually be set at two (2) months

from the date of notification. This time period may be extended under

37 CFR

1.136(a)

. If the filing fee is not timely paid, the Office may

dispose of the provisional application. If no correspondence address has been

provided, applicant has two months from the filing date to file the basic filing fee,

cover sheet, and to pay the surcharge as set forth in

37 CFR 1.16(g)

in order to avoid abandonment of the provisional application. Copies of a provisional

application will be provided by the USPTO upon request and payment of the fee set

forth in

37 CFR

1.19(b)

unless the provisional application has been disposed of

(see

37 CFR 1.53(e)

and (g)

).

The basic filing fee must be paid in a provisional application on

filing or within the time period set forth in

37 CFR 1.53(g)

, and the

provisional application must be entitled to a filing date under

37 CFR 1.53(c)

,

if any claim for benefits under

35 U.S.C. 119(e)

based on that

application is made in a subsequently filed nonprovisional application. See

37 CFR

1.78

.

37 CFR

1.53(e)(2)

requires that any request for review of a refusal to

accord an application a filing date be made by way of a petition accompanied by the

fee set forth in

37 CFR 1.17(f)

(see

MPEP §

506.02

).