# MPEP § 601.05(a): Application Data Sheet (ADS) -- Application Filed On or After September 16, 2012

> Federal · Agency guidance · In force

URL: https://www.frixlaw.com/law-library/statutes/MPEP_S601.05(a)

## Section

- **Citation:** MPEP § 601.05(a)
- **Heading:** Application Data Sheet (ADS) -- Application Filed On or After September 16, 2012
- **Jurisdiction:** Federal
- **Kind:** Agency guidance
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** USPTO MPEP / Chapter 0600 - Parts, Form, and Content of Application / MPEP § 601.05(a)

## Text

[Editor Note: See
MPEP § 601.05(b)
for a discussion
of the requirements of an ADS for applications filed before September 16, 2012.
37 CFR
1.76(b)(3)
, directed to reference filing under
37 CFR
1.57(a)
, is applicable only to patent applications filed
under
35
U.S.C. 111
on or after December 18, 2013. For
37 CFR
1.76(b)(3)
applicable to applications filed on or after
September 16, 2012 and before December 18, 2013, see
37 CFR 1.76 (2012-09-16
thru 2013-12-17)
; for applications filed prior to September
16, 2012, see
pre-AIA 37 CFR 1.76
as reproduced in
MPEP §
601.05(b)
.]
37 CFR 1.76 Application data sheet.
(a)
Application data sheet:
An application data sheet is a
sheet or sheets, that may be submitted in a provisional application under
35
U.S.C. 111(b)
, a nonprovisional application under
35
U.S.C. 111(a)
, a nonprovisional international design
application, or a national stage application under
35 U.S.C.
371
, and must be submitted when required by
§
1.55
or
1.78
to claim priority
to or the benefit of a prior-filed application under
35 U.S.C.
119
,
120
,
121
,
365
, or
386
. An application data
sheet must be titled "Application Data Sheet." An application data sheet
must contain all of the section headings listed in paragraph (b) of this
section, except as provided in paragraph (c)(2) of this section, with any
appropriate data for each section heading. If an application data sheet is
provided, the application data sheet is part of the application for which it
has been submitted.
ion data
sheet must be titled "Application Data Sheet." An application data sheet
must contain all of the section headings listed in paragraph (b) of this
section, except as provided in paragraph (c)(2) of this section, with any
appropriate data for each section heading. If an application data sheet is
provided, the application data sheet is part of the application for which it
has been submitted.
(b) Bibliographic data. Bibliographic data as
used in paragraph (a) of this section includes:
(1)
Inventor information.
This information includes the
legal name, residence, and mailing address of the inventor or each
joint inventor.
(2)
Correspondence information.
This information
includes the correspondence address, which may be indicated by
reference to a customer number, to which correspondence is to be
directed (see
§ 1.33(a)
).
(3)
Application information.
This information includes
the title of the invention, the total number of drawing sheets, a
suggested drawing figure for publication (in a nonprovisional
application), any docket number assigned to the application, the type
of application (e.g., utility, plant, design, reissue, provisional),
whether the application discloses any significant part of the subject
matter of an application under a secrecy order pursuant to
§
5.2
of this chapter (see
§
5.2(c)
), and, for plant applications, the Latin
name of the genus and species of the plant claimed, as well as the
variety denomination. When information concerning the previously filed
application is required under §
1.57(a)
, application information also includes
the reference to the previously filed application, indicating that the
specification and any drawings of the application are replaced by the
reference to the previously filed application, and specifying the
previously filed application by application number, filing date, and
the intellectual property authority or country in which the previously
filed application was filed.
nformation also includes
the reference to the previously filed application, indicating that the
specification and any drawings of the application are replaced by the
reference to the previously filed application, and specifying the
previously filed application by application number, filing date, and
the intellectual property authority or country in which the previously
filed application was filed.
(4)
Representative information.
This information
includes the registration number of each practitioner having a power
of attorney in the application (preferably by reference to a customer
number). Providing this information in the application data sheet does
not constitute a power of attorney in the application (see
§ 1.32
).
(5)
Domestic benefit information.
This information
includes the application number, the filing date, the status
(including patent number if available), and relationship of each
application for which a benefit is claimed under
35 U.S.C.
119(e)
,
120
,
121
,
365(c)
, or
386(c)
. Providing this information in the
application data sheet constitutes the specific reference required by
35 U.S.C. 119(e)
or
120
, and
§
1.78
.
(6)
Foreign priority information.
This information
includes the application number, country (or intellectual property
authority), and filing date of each foreign application for which
priority is claimed. Providing this information in the application
data sheet constitutes the claim for priority as required by
35 U.S.C. 119(b)
and
§
1.55
.
(7)
Applicant information:
This information includes
the name (either natural person or juristic entity) and address of the
legal representative, assignee, person to whom the inventor is under
an obligation to assign the invention, or person who otherwise shows
sufficient proprietary interest in the matter who is the applicant
under
§ 1.43
or
§ 1.46
. Providing
assignment information in the application data sheet does not
substitute for compliance with any requirement of part 3 of this
chapter to have an assignment recorded by the Office.
, assignee, person to whom the inventor is under
an obligation to assign the invention, or person who otherwise shows
sufficient proprietary interest in the matter who is the applicant
under
§ 1.43
or
§ 1.46
. Providing
assignment information in the application data sheet does not
substitute for compliance with any requirement of part 3 of this
chapter to have an assignment recorded by the Office.
(c) Correcting and updating an application data
sheet.
(1) Information in a previously submitted
application data sheet, inventor's oath or declaration under
§ 1.63
,
§ 1.64
or
§ 1.67
, or
otherwise of record, may be corrected or updated until payment of the
issue fee by a new application data sheet providing corrected or
updated information, except that inventorship changes must comply with
the requirements of
§ 1.48
, foreign
priority and domestic benefit information changes must comply with
§§ 1.55
and
1.78
, and
correspondence address changes are governed by
§
1.33(a)
.
(2) An application data sheet providing
corrected or updated information may include all of the sections
listed in paragraph (b) of this section or only those sections
containing changed or updated information. The application data sheet
must include the section headings listed in paragraph (b) of this
section for each section included in the application data sheet, and
must identify the information that is being changed, with underlining
for insertions, and strike-through or brackets for text removed,
except that identification of information being changed is not
required for an application data sheet included with an initial
submission under
35 U.S.C. 371
.
ings listed in paragraph (b) of this
section for each section included in the application data sheet, and
must identify the information that is being changed, with underlining
for insertions, and strike-through or brackets for text removed,
except that identification of information being changed is not
required for an application data sheet included with an initial
submission under
35 U.S.C. 371
.
(d)
Inconsistencies between application data sheet and other
documents.
For inconsistencies between information that is
supplied by both an application data sheet under this section and other
documents:
(1) The most recent submission will govern
with respect to inconsistencies as between the information provided in
an application data sheet, a designation of a correspondence address,
or by the inventor's oath or declaration, except that:
(i) The most recent application data
sheet will govern with respect to foreign priority
(
§ 1.55
) or
domestic benefit (
§ 1.78
)
claims; and
(ii) The naming of the inventorship is
governed by
§ 1.41
and
changes to inventorship or the names of the inventors is
governed by
§ 1.48
.
(2) The information in the application data
sheet will govern when inconsistent with the information supplied at
the same time by a designation of correspondence address or the
inventor's oath or declaration. The information in the application
data sheet will govern when inconsistent with the information supplied
at any time in a Patent Cooperation Treaty Request Form, Patent Law
Treaty Model International Request Form, Patent Law Treaty Model
International Request for Recordation of Change in Name or Address
Form, or Patent Law Treaty Model International Request for Recordation
of Change in Applicant or Owner Form.
n in the application
data sheet will govern when inconsistent with the information supplied
at any time in a Patent Cooperation Treaty Request Form, Patent Law
Treaty Model International Request Form, Patent Law Treaty Model
International Request for Recordation of Change in Name or Address
Form, or Patent Law Treaty Model International Request for Recordation
of Change in Applicant or Owner Form.
(3) The Office will capture bibliographic
information from the application data sheet. The Office will generally
not review the inventor's oath or declaration to determine if the
bibliographic information contained therein is consistent with the
bibliographic information provided in an application data sheet.
Incorrect bibliographic information contained in an application data
sheet may be corrected as provided in paragraph (c)(1) of this
section.
(e)
Signature requirement.
An application data sheet must be
signed in compliance with
§ 1.33(b)
. An unsigned
application data sheet will be treated only as a transmittal letter.
(f)
Patent Law Treaty Model International Forms.
The
requirement in
§ 1.55
or
§
1.78
for the presentation of a priority or benefit
claim under
35 U.S.C. 119
,
120
,
121
, or
365
in an application data sheet will be satisfied by
the presentation of such priority or benefit claim in the Patent Law Treaty
Model International Request Form, and the requirement in
§
1.57(a)
for a reference to the previously filed
application in an application data sheet will be satisfied by the
presentation of such reference to the previously filed application in the
Patent Law Treaty Model International Request Form. The requirement in
§
1.46
for the presentation of the name of the applicant
under
35 U.S.C
Law Treaty
Model International Request Form, and the requirement in
§
1.57(a)
for a reference to the previously filed
application in an application data sheet will be satisfied by the
presentation of such reference to the previously filed application in the
Patent Law Treaty Model International Request Form. The requirement in
§
1.46
for the presentation of the name of the applicant
under
35 U.S.C. 118
in an application data sheet will be
satisfied by the presentation of the name of the applicant in the Patent Law
Treaty Model International Request Form, Patent Law Treaty Model
International Request for Recordation of Change in Name or Address Form, or
Patent Law Treaty Model International Request for Recordation of Change in
Applicant or Owner Form, as applicable.
(g)
Patent Cooperation Treaty Request Form.
The requirement
in
§
1.78
for the presentation of a benefit claim under
35
U.S.C. 119
,
120
,
121
, or
365
in an application
data sheet will be satisfied in a national stage application under
35
U.S.C. 371
by the presentation of such benefit claim
in the Patent Cooperation Treaty Request Form contained in the international
application or the presence of such benefit claim on the front page of the
publication of the international application under
PCT Article
21(2)
. The requirement in
§
1.55
or
§ 1.78
for the
presentation of a priority or benefit claim under
35 U.S.C.
119
,
120
,
121
, or
365
in an application
data sheet and the requirement in
§ 1.46
for the
presentation of the name of the applicant under
35 U.S.C.
118
in an application data sheet will be satisfied in
an application under
35 U.S.C. 111
by the
presentation of such priority or benefit claim and presentation of the name
of the applicant in a Patent Cooperation Treaty Request Form. If a Patent
Cooperation Treaty Request Form is submitted in an application under
35 U.S.C. 111
, the Patent Cooperation Treaty Request
Form must be accompanied by a clear indication that treatment of the
application as an application under
35 U.S.C.
111
is desired
esentation of such priority or benefit claim and presentation of the name
of the applicant in a Patent Cooperation Treaty Request Form. If a Patent
Cooperation Treaty Request Form is submitted in an application under
35 U.S.C. 111
, the Patent Cooperation Treaty Request
Form must be accompanied by a clear indication that treatment of the
application as an application under
35 U.S.C.
111
is desired.
37 CFR
1.76(a)
provides that an application data sheet may be
submitted in a provisional application under
35 U.S.C. 111(b)
, a
nonprovisional application under
35 U.S.C. 111(a)
, a
nonprovisional international design application, or a national stage application
under
35 U.S.C.
371
. However,
37 CFR 1.76(a)
also provides that
an application data sheet
must
be submitted when required by
37 CFR
1.55
and
1.78
to claim priority to, or the
benefit of, a prior-filed application under
35 U.S.C. 119
,
120
,
121
,
365
, or
386
in accordance with
37 CFR 1.55
and
1.78
. An
application data sheet
must
also be submitted in accordance with
37 CFR
1.46
when an application is filed by an assignee, a person to
whom the inventor is under an obligation to assign the invention, or a person who
otherwise shows a sufficient proprietary interest in the matter under
35 U.S.C.
118
.
I.
BIBLIOGRAPHIC INFORMATION
37 CFR
1.76(a)
requires that any ADS contain the seven headings
listed in
37
CFR 1.76(b)
with any appropriate data for each section
heading (except as provided in
37 CFR 1.76(c)(2)
for an ADS
providing corrected or updated information). The ADS must be titled “Application
Data Sheet” and any heading that does not contain any corresponding data will be
interpreted by the Office to mean that there is no corresponding data for that
heading anywhere in the application. Bibliographic data under
37 CFR
1.76(b)
includes: (1) inventor information; (2)
correspondence information; (3) application information; (4) representative
information; (5) domestic benefit information; (6) foreign priority information;
and (7) applicant information
ding data will be
interpreted by the Office to mean that there is no corresponding data for that
heading anywhere in the application. Bibliographic data under
37 CFR
1.76(b)
includes: (1) inventor information; (2)
correspondence information; (3) application information; (4) representative
information; (5) domestic benefit information; (6) foreign priority information;
and (7) applicant information.
Inventor information includes the legal name,
residence, and mailing address of each inventor (
37 CFR
1.41(b)
). Whether or not the inventor is the applicant, the
Office will to continue to use the inventor’s name for application and patent
identification purposes. Inventor names tend to provide a more distinct
identification than assignee name, for example. The “mailing address” is the
address where the inventor customarily receives mail.
Correspondence information includes the
correspondence address, which may be indicated by reference to a customer number,
to which correspondence is to be directed (see
37 CFR
1.33(a)
).
As set forth in
37 CFR
1.76(b)(3)
, application information includes the title of
the invention, the total number of drawing sheets, a suggested drawing figure for
publication (in a nonprovisional application), any docket number assigned to the
application, and the type of application (e.g., utility, plant, design, reissue,
provisional). The Office now uses the drawing figure suggested by the applicant
for the front page of the patent application publication when the suggestion is
included on a compliant ADS timely filed before the process of publishing the
application begins. However, the Office continues not to be bound by the
applicant’s figure suggestion, and failure to use the suggested figure for the
first page of the patent application publication will not be considered a material
mistake for purposes of corrected publication under
37 CFR
1.221(b)
. See Applicant-Suggested Drawing Figure in the
Publication of Patent Applications, 1514 OG 107 (September 5, 2023)
. However, the Office continues not to be bound by the
applicant’s figure suggestion, and failure to use the suggested figure for the
first page of the patent application publication will not be considered a material
mistake for purposes of corrected publication under
37 CFR
1.221(b)
. See Applicant-Suggested Drawing Figure in the
Publication of Patent Applications, 1514 OG 107 (September 5, 2023).
Application information includes whether the
application discloses any significant part of the subject matter of an application
under a secrecy order pursuant to
37 CFR 5.2(c)
.
37 CFR
1.76(b)(3)
also requests that the plant patent applicant
state the Latin name and the variety denomination for the plant claimed. The Latin
name of the genus and species and the variety denomination of the claimed plant
are usually included in the specification of the plant patent application, and
will be included in any plant patent or plant patent application publication if
included in an application data sheet or patent application. The Office, pursuant
to the “International Convention for the Protection of New Varieties of Plants”
(generally known by its French acronym as the UPOV convention), has been asked to
compile a database of the plants patented and the database must include the Latin
name and the variety denomination of each patented plant. Having this information
in an ADS will make the process of compiling this database more efficient.
For applications filed on or after December 18,
2013, when information concerning the previously filed application is required
under
37 CFR
1.57(a)
, application information also includes the reference
to the previously filed application, indicating that the specification and any
drawings of the application are replaced by the reference to the previously filed
application, and specifying the previously filed application by application
number, filing date, and the intellectual property authority or country in which
the previously filed application was filed
information also includes the reference
to the previously filed application, indicating that the specification and any
drawings of the application are replaced by the reference to the previously filed
application, and specifying the previously filed application by application
number, filing date, and the intellectual property authority or country in which
the previously filed application was filed. Effective December 18, 2013,
37 CFR
1.57
and
37 CFR 1.76(b)(3)
were amended
to implement the reference filing provisions of
35 U.S.C.
111(c)
.
37 CFR 1.57(a)
now provides
that, subject to the conditions and requirements of
37 CFR
1.57(a)
, a reference to a previously filed application, made
in the English language in an ADS in accordance with
37 CFR
1.76
upon the filing of an application under
35
U.S.C. 111(a)
indicating that the specification and any
drawings of the application under
35 U.S.C. 111(a)
are replaced
by the reference to the previously filed application, shall constitute the
specification and any drawings of the application under
35 U.S.C.
111(a)
for purposes of a filing date under
37 CFR
1.53(b)
. Thus, applicants filing by reference under
35
U.S.C. 111(c)
and
37 CFR 1.57
should take care
to ensure that the application number, filing date, and intellectual property
authority or country of the previously filed application are accurately specified
on the ADS as the specification and drawings of the application specified on the
ADS is the specification and drawings of the application being filed by reference
under
35
U.S.C. 111(c)
and
37 CFR 1.57
. See
MPEP §
601.01(a)
, subsection III, for more information on
reference filing. The reference to a previously filed application in an ADS under
37 CFR
1.57(a)
is not
sufficient to establish a priority or
benefit claim
to that previously filed application
tion specified on the
ADS is the specification and drawings of the application being filed by reference
under
35
U.S.C. 111(c)
and
37 CFR 1.57
. See
MPEP §
601.01(a)
, subsection III, for more information on
reference filing. The reference to a previously filed application in an ADS under
37 CFR
1.57(a)
is not
sufficient to establish a priority or
benefit claim
to that previously filed application. Applicants must
still provide priority and/or benefit information under the domestic benefit
information heading or foreign priority information heading, as appropriate, in
the application data sheet even if utilizing the reference filing provisions of
35
U.S.C. 111(c)
and
37 CFR 1.57(a)
.
Representative information includes the registration
number of each practitioner appointed with a power of attorney in the application
(preferably by reference to a customer number).
37 CFR
1.76(b)(4)
states that providing this information in the
application data sheet does not constitute a power of attorney in the application
(see
37 CFR
1.32
). This is because the Office does not expect the
application data sheet to be executed by the party (applicant or assignee) who may
appoint a power of attorney in the application.
Domestic benefit information includes the
application number (series code and serial number), the filing date, the status
(including patent number if available), and relationship of each application for
which a benefit is claimed under
35 U.S.C. 119(e)
,
120
,
121
,
365(c)
, or
386(c)
. The application data sheet, if provided, is
considered part of the application.
37 CFR 1.76(b)(5)
states that
providing this information in the application data sheet constitutes the specific
reference required by
35 U.S.C. 119(e)
or
120
, and
37 CFR 1.78
. A specific
reference to the earlier application(s) is no longer required to be made in the
specification, such as in the first sentence(s) thereof. The continuity data for
the patent front page will be taken from the application data sheet
states that
providing this information in the application data sheet constitutes the specific
reference required by
35 U.S.C. 119(e)
or
120
, and
37 CFR 1.78
. A specific
reference to the earlier application(s) is no longer required to be made in the
specification, such as in the first sentence(s) thereof. The continuity data for
the patent front page will be taken from the application data sheet. No continuity
data will be included in the first sentence(s) of the specification, unless
applicant separately provides it there.
37 CFR 1.76(b)(5)
does not
apply to provisional applications.
Foreign priority information includes the
application number, country (or intellectual property authority), and filing date
of each foreign application for which priority is claimed.
37 CFR
1.76(b)(6)
states that providing this information in the
application data sheet constitutes the claim for priority as required by
35 U.S.C.
119(b)
and
37 CFR 1.55
.
37 CFR
1.76(b)(6)
does not apply to provisional applications.
37 CFR
1.76(b)(7)
provides that applicant information includes the
name (either natural person or juristic entity) and address of the applicant under
37 CFR
1.43
or
1.46
. Thus,
37 CFR
1.76(b)(7)
provides for the situation in which the applicant
is a person other than the inventor under
37 CFR 1.43
(legal
representative) or
37 CFR 1.46
(assignee, person
to whom the inventor is under an obligation to assign the invention, or person who
otherwise shows sufficient proprietary interest in the matter). This heading
should be left blank if the applicant is the inventor or is the remaining joint
inventor or inventors (
37 CFR 1.45
)
he applicant
is a person other than the inventor under
37 CFR 1.43
(legal
representative) or
37 CFR 1.46
(assignee, person
to whom the inventor is under an obligation to assign the invention, or person who
otherwise shows sufficient proprietary interest in the matter). This heading
should be left blank if the applicant is the inventor or is the remaining joint
inventor or inventors (
37 CFR 1.45
).
37 CFR
1.46(b)
provides that if an application is filed by the
assignee, a person to whom the inventor is under an obligation to assign the
invention, or a person who otherwise shows sufficient proprietary interest in the
matter, the application must contain an application data sheet under
37 CFR
1.76
specifying the assignee, person to whom the inventor is
under an obligation to assign the invention, or person who otherwise shows
sufficient proprietary interest in the matter in the applicant information
section.
37 CFR 1.46(b)
also requires
if an application entering the national stage under
35 U.S.C.
371
, or a nonprovisional international design application,
is applied for by a person other than the inventor under
37 CFR
1.46(a)
, the assignee, person to whom the inventor is under
an obligation to assign the invention, or person who otherwise shows sufficient
proprietary interest in the matter must have been identified as the applicant for
the United States in the international stage of the international application or
as the applicant in the publication of the international registration under Hague
Agreement Article 10(3).
37 CFR 1.46(c)(1)
provides
that any request to correct or update the name of the applicant must include an
application data sheet under
37 CFR 1.76
specifying the
corrected or updated name of the applicant in the applicant information section in
accordance with
37 CFR 1.76(c)(2)
plication or
as the applicant in the publication of the international registration under Hague
Agreement Article 10(3).
37 CFR 1.46(c)(1)
provides
that any request to correct or update the name of the applicant must include an
application data sheet under
37 CFR 1.76
specifying the
corrected or updated name of the applicant in the applicant information section in
accordance with
37 CFR 1.76(c)(2)
.
37
CFR 1.46(c)(1)
also provides that a change in the name of
the applicant recorded pursuant to Hague Agreement Article 16(1)(ii) will be
effective to change the name of the applicant in a nonprovisional international
design application.
37 CFR 1.46(c)(2)
provides
that any request to change the applicant must include an application data sheet
under
37 CFR
1.76
specifying the applicant in the applicant information
section and comply with
37 CFR 3.71
and
3.73
. The application data sheet must comply with the
provisions for correcting and updating an application data sheet set forth in
37 CFR
1.76(c)
.
37 CFR 1.76(b)(7)
explains
that providing assignment information in the application data sheet does not
substitute for compliance with any requirement of 37 CFR part 3 to have an
assignment recorded by the Office. Assignment information must be recorded to have
legal effect.
II.
CORRECTING AND UPDATING AN ADS OR INFORMATION OTHERWISE OF RECORD
37 CFR
1.76(c)
provides the procedure for correcting and updating
not only an application data sheet (ADS), but also information otherwise of record
(e.g., information provided on the most recent filing receipt). Any ADS filed
after the filing date of the application or the submission of a first ADS is
considered a corrected (or updated) ADS even if an ADS was not previously
submitted. Such a corrected ADS must identify the information that is being
changed with underlining for insertions and strike-through or brackets for text
removed, except that identification of information being changed is not required
for an ADS included with an initial submission under
35 U.S.C.
371
ion of a first ADS is
considered a corrected (or updated) ADS even if an ADS was not previously
submitted. Such a corrected ADS must identify the information that is being
changed with underlining for insertions and strike-through or brackets for text
removed, except that identification of information being changed is not required
for an ADS included with an initial submission under
35 U.S.C.
371
. In general, the identification of the information being
changed should be made relative to the most recent filing receipt. If appropriate,
use of the corrected Web-based ADS is recommended because it will pre-populate
with information of record. Accordingly, applicants can type in the desired
changes in the corrected Web-based ADS, and the system will create a PDF version
with the appropriate strike-through and underlining. A corrected Web-based ADS,
however, is not permitted in international applications, national stage
applications under
35 U.S.C. 371
, provisional
applications, plant applications, reexamination proceedings, and supplemental
examinations under
35 U.S.C. 257
. For more
information, see the “Quick Start Guide for Corrected Web-based Application Data
Sheet (Corrected Web ADS)” available at
www.uspto.gov/patents/apply/patent-center
.
A corrected ADS may be submitted until payment of
the issue fee to either correct or update information in a previously submitted
application data sheet, or in an inventor’s oath or declaration under
37 CFR
1.63
,
1.64
, or
1.67
, or
otherwise of record. See
37 CFR 1.76(c)(1)
. Note,
however, a corrected ADS filed after final rejection or allowance is not entered
as a matter of right. See
37 CFR 1.116
or
1.312
, respectively. For a discussion of amendments and
other replies after final rejection or action, see
MPEP § 714.12
and
§
714.13
. For a discussion of amendments filed after
notice of allowance, see
MPEP § 714.16
7
, or
otherwise of record. See
37 CFR 1.76(c)(1)
. Note,
however, a corrected ADS filed after final rejection or allowance is not entered
as a matter of right. See
37 CFR 1.116
or
1.312
, respectively. For a discussion of amendments and
other replies after final rejection or action, see
MPEP § 714.12
and
§
714.13
. For a discussion of amendments filed after
notice of allowance, see
MPEP § 714.16
. In addition,
inventorship changes must comply with the requirements of
37 CFR 1.48
,
foreign priority and domestic benefit information changes must comply with
37 CFR
1.55
and
1.78
, and correspondence
address changes must comply with
37 CFR 1.33(a)
. Note also that
any request to correct or update the name of the applicant, or change the
applicant, must comply with
37 CFR 1.46(c)
.
A corrected ADS may include all of the section
headings listed in
37 CFR 1.76(b)
with all
appropriate data for each heading or only those sections (including the section
headings) containing changed or updated information. See
37 CFR
1.76(c)(2)
.
A corrected ADS should be filed with a request for a
corrected filing receipt unless accompanied by a request to take some other
action, such as a request under
37 CFR 1.48
, a request under
37
CFR 1.46(c)
, or the submission of a power of attorney. A
corrected ADS accompanying a request to change the applicant under
37
CFR 1.46(c)
must show the changes in applicant information
relative to the applicant information on the most recent filing receipt, even if
an ADS was not previously filed or an applicant was not previously identified in
an ADS because the filing receipt identifies the applicant information of record.
If no applicant was identified in the applicant information section of a properly
signed ADS filed with the application, a corrected ADS identifying a new applicant
with underlining does not need to show the deletion of the inventor-applicant(s)
with strikethrough
iled or an applicant was not previously identified in
an ADS because the filing receipt identifies the applicant information of record.
If no applicant was identified in the applicant information section of a properly
signed ADS filed with the application, a corrected ADS identifying a new applicant
with underlining does not need to show the deletion of the inventor-applicant(s)
with strikethrough. A corrected ADS submitted to correct information provided in
the inventor’s oath or declaration, such as residence information for an inventor,
must show the original incorrect information with strike-through or brackets, and
the new information with underlining, as if the incorrect information was
submitted in an ADS filed with the application even though an ADS was not
previously filed. If there are multiple inventors, all of the inventors must be
listed in the “Inventor Information” section of the corrected ADS, even if the
residence information is only being changed for one of the inventors.
If submitted during the time period for making a
benefit or priority claim set forth in
37 CFR 1.78
or
1.55
, a request for corrected filing receipt should be
filed with a corrected ADS to correct domestic benefit or foreign priority claim
information. A petition for an unintentionally delayed claim under
37 CFR
1.78(c) or
(e)
or
37 CFR 1.55(e)
may be required
if the domestic benefit or foreign priority claim is being submitted outside the
time period for making a benefit or priority claim. Where the most recent filing
receipt does not include a benefit claim or priority claim, either because a
previously submitted ADS failed to comply with
37 CFR
1.78
or
1.55
or the claim was not
previously included in an ADS, a corrected ADS submitted to add the benefit or
priority claim must identify the addition of the benefit claim or priority claim
with underlining relative to the most recent filing receipt (i.e., the entire
benefit or priority claim must be underlined)
rity claim, either because a
previously submitted ADS failed to comply with
37 CFR
1.78
or
1.55
or the claim was not
previously included in an ADS, a corrected ADS submitted to add the benefit or
priority claim must identify the addition of the benefit claim or priority claim
with underlining relative to the most recent filing receipt (i.e., the entire
benefit or priority claim must be underlined). For example, if an ADS included a
benefit claim but the relationship between the instant application and the parent
application was not provided, and the most recent filing receipt for the
application shows no benefit claim, the entire benefit claim must be shown with
underlining in the corrected ADS. In addition, if the ADS identified an incorrect
benefit claim (e.g., “division of” instead of “continuation of”) and the most
recent filing receipt included the incorrect benefit claim, the corrected ADS
should identify the information being deleted (e.g., “division of”) with
strike-through or brackets, and should identify the information being added (e.g.,
“continuation of”) with underlining. In the rare circumstance where a domestic
benefit or a priority claim is being deleted, applicant must provide a corrected
ADS identifying the deletion of the foreign priority claim with strike-through or
brackets. Before deleting a domestic benefit claim or a foreign priority claim,
applicant should consider the status of the application since an amendment or ADS
filed after final rejection or allowance is not entered as a matter of right and
must be filed in compliance with
37 CFR 1.116
or
1.312
, respectively. Applicants are cautioned that new
prior art may be available as a result of deleting the claim. Also, deleting a
benefit or priority claim may be considered a showing that the applicant is
intentionally waiving the benefit claim or priority claim to the prior application
in the instant application. See
MPEP §
211.02(a)
, subsection III.
III
in compliance with
37 CFR 1.116
or
1.312
, respectively. Applicants are cautioned that new
prior art may be available as a result of deleting the claim. Also, deleting a
benefit or priority claim may be considered a showing that the applicant is
intentionally waiving the benefit claim or priority claim to the prior application
in the instant application. See
MPEP §
211.02(a)
, subsection III.
III.
TREATMENT OF INCONSISTENT INFORMATION
Resolution of inconsistent information supplied by
both an application data sheet and other documents (e.g., the oath or declaration
under
37 CFR
1.63
,
1.64
, or
1.67
)
are addressed in
37 CFR 1.76(d)
.
37 CFR
1.76(d)(1)
provides that the most recent submission will
govern (control) with respect to inconsistencies as between the information
provided in an application data sheet, a designation of a correspondence address,
or by the inventor’s oath or declaration, except that: (1) the most recent
application data sheet will govern with respect to foreign priority
(
37 CFR
1.55
) or domestic benefit (
37 CFR
1.78
) claims; and (2) the naming of the inventorship is
governed by
37 CFR 1.41
and changes to inventorship or the names of the
inventors is governed by
37 CFR 1.48
.
37 CFR
1.76(d)(2)
provides that the information in the application
data sheet will govern when the inconsistent information is supplied at the same
time by a designation of correspondence address or the inventor’s oath or
declaration. The information in the application data sheet will also govern when
inconsistent with the information supplied at any time in a Patent Cooperation
Treaty Request Form, Patent Law Treaty Model International Request Form, Patent
Law Treaty Model International Request for Recordation of Change in Name or
Address Form, or Patent Law Treaty Model International Request for Recordation of
Change in Applicant or Owner Form.
If an ADS is inconsistent with the information
provided in another document that was submitted at the same time or prior to the
ADS submission, the ADS will control
y Model International Request Form, Patent
Law Treaty Model International Request for Recordation of Change in Name or
Address Form, or Patent Law Treaty Model International Request for Recordation of
Change in Applicant or Owner Form.
If an ADS is inconsistent with the information
provided in another document that was submitted at the same time or prior to the
ADS submission, the ADS will control. This is because the application data sheet
is intended to be the means by which applicant provides complete bibliographic
information. In the small number of instances where another document has more
accurate information than a concurrently supplied application data sheet
(
37 CFR
1.76(d)(2)
), a corrected application data sheet should be
submitted to conform the information in the ADS to the correct information as
provided in the other document(s).
37 CFR
1.76(d)(3)
provides that the Office will capture
bibliographic information from the application data sheet.
37 CFR
1.76(d)(3)
further provides that the Office will generally
not review the inventor’s oath or declaration to determine if the bibliographic
information contained therein is consistent with the bibliographic information
provided in an application data sheet.
37 CFR 1.76(d)(3)
further
provides that incorrect bibliographic information contained in an application data
sheet may be corrected as provided in
37 CFR 1.76(c)(1)
.
Examples:
If an application naming inventors A and B is
filed with an application data sheet that improperly identifies the residence
of inventor B and an executed
37 CFR 1.63
declaration
that properly identifies the residence of inventor B, the Office will capture
the residence information of inventor B as identified in the application data
sheet, and include that information in the filing receipt
xamples:
If an application naming inventors A and B is
filed with an application data sheet that improperly identifies the residence
of inventor B and an executed
37 CFR 1.63
declaration
that properly identifies the residence of inventor B, the Office will capture
the residence information of inventor B as identified in the application data
sheet, and include that information in the filing receipt. Applicant may
correct the residence information by submitting an application data sheet under
37 CFR
1.76(c)
with the name of inventor B and the corrected
residence for inventor B with underlining for insertions and strike-through or
brackets for text removed.
If an application is filed with an application data
sheet improperly identifying inventors A, B and C and an executed
37 CFR
1.63
declaration correctly setting forth the inventorship as
A and B, the Office will capture the inventorship as inventors A, B and C based on
the information in the application data sheet, and include that information in the
filing receipt. To correct the inventorship, applicant must submit a request to
correct the inventorship pursuant to
37 CFR 1.48
. See
MPEP §
602.01(c)
et seq.
If an application is filed with an application data
sheet, the Office will capture the applicant information as identified in the
application data sheet. To change the name of the applicant, a request in
accordance with
37 CFR 1.46(c)
, and in
compliance with
37 CFR 3.71
and
3.73
, is required. See
MPEP §
605.01
, subsection II.
IV.
ADDITIONAL INFORMATION
The application data sheet form PTO/AIA/14 provides
a section where applicants can make a request not to publish the application or a
request for early publication.
The application data sheet form PTO/AIA/14 provides
a section where applicants can provide an Authorization to Permit Access to the
Instant Application by Participating Offices
MPEP §
605.01
, subsection II.
IV.
ADDITIONAL INFORMATION
The application data sheet form PTO/AIA/14 provides
a section where applicants can make a request not to publish the application or a
request for early publication.
The application data sheet form PTO/AIA/14 provides
a section where applicants can provide an Authorization to Permit Access to the
Instant Application by Participating Offices. If the box in this section of the
form is checked, the Office has the authority to provide access to the instant
patent application to the participating offices in which a foreign application
claiming priority to the instant patent application is filed.
The application data sheet form PTO/AIA/14 provides
an assignee information section, which includes the name (either person or
juristic entity) and address of the assignee of the entire right, title, and
interest in an application. The inclusion of this information in the application
data sheet does not substitute for compliance with any requirement of 37 CFR part
3 to have an assignment recorded by the Office. Providing assignee information in
the application data sheet is considered a request to include such information on
the patent application publication, since there is no other reason for including
such information in the application data sheet. Assignment information must be
recorded to have legal effect. Assignees who are the applicant will appear on the
patent application publication as the applicant and only need to separately
provide assignee information in the assignee information section if identification
as an assignee is also desired on the patent application publication.
37 CFR
1.76(e)
provides that an application data sheet must be
signed in compliance with
37 CFR 1.33(b)
. The rule
further provides that an unsigned application data sheet will be treated only as a
transmittal letter
nt and only need to separately
provide assignee information in the assignee information section if identification
as an assignee is also desired on the patent application publication.
37 CFR
1.76(e)
provides that an application data sheet must be
signed in compliance with
37 CFR 1.33(b)
. The rule
further provides that an unsigned application data sheet will be treated only as a
transmittal letter. Thus, an unsigned application data sheet will not be effective
to provide the name of the inventor for any invention claimed in the application
(
37 CFR
1.41(b)
), name as the applicant an assignee, obligated
assignee, or a person who otherwise shows sufficient propriety interest in the
application (
37 CFR 1.46
), make a claim to priority of a foreign
application (
37 CFR 1.55
), or make a claim to the benefit of a
prior-filed domestic application (
37 CFR 1.78
).
Effective December 18, 2013 for all applications no
matter when filed,
37 CFR 1.76
was amended by
adding new paragraphs (f) and (g) to permit the use of Patent Law Treaty Model
International Forms as appropriate or the Patent Cooperation Treaty Request Form
in lieu of an application data sheet under
37 CFR 1.76
to provide certain
information. However, as provided in
37 CFR 1.76(d)(2)
, information
in an ADS will govern when inconsistent with the information supplied at any time
in such forms. Furthermore, if applicants want to postpone submission of the
inventor’s oath or declaration until after the time period set to complete the
application as provided in
37 CFR 1.53(f)(1) or (2)
, an
ADS that provides the inventor information is required. Accordingly, the use of an
ADS to supply application information is encouraged.
37 CFR
1.76(f)
provides that: (1) The requirement in
37 CFR
1.55
or
37 CFR 1.78
for the
presentation of a priority or benefit claim under
35 U.S.C
declaration until after the time period set to complete the
application as provided in
37 CFR 1.53(f)(1) or (2)
, an
ADS that provides the inventor information is required. Accordingly, the use of an
ADS to supply application information is encouraged.
37 CFR
1.76(f)
provides that: (1) The requirement in
37 CFR
1.55
or
37 CFR 1.78
for the
presentation of a priority or benefit claim under
35 U.S.C.
119
,
120
,
121
, or
365
in an application data sheet will be satisfied by the
presentation of such priority or benefit claim in the Patent Law Treaty Model
International Request Form; (2) the requirement in
37 CFR
1.57(a)
for a reference to the previously filed application
in an application data sheet will be satisfied by the presentation of such
reference to the previously filed application in the Patent Law Treaty Model
International Request Form; and (3) the requirement in
37 CFR
1.46
for the presentation of the name of the applicant under
35 U.S.C.
118
in an application data sheet will be satisfied by the
presentation of the name of the applicant in the Patent Law Treaty Model
International Request Form, Patent Law Treaty Model International Request for
Recordation of Change in Name or Address Form, or Patent Law Treaty Model
International Request for Recordation of Change in Applicant or Owner Form, as
applicable.
37 CFR
1.76(g)
provides that the requirement in
37 CFR
1.78
for the presentation of a benefit claim under
35 U.S.C.
119
,
120
,
121
, or
365
in an application data sheet will be satisfied in a
national stage application under
35 U.S.C. 371
by the
presentation of such benefit claim in the Patent Cooperation Treaty Request Form
contained in the international application or the presence of such benefit claim
on the front page of the publication of the international application under
PCT Article
21(2)
er
35 U.S.C.
119
,
120
,
121
, or
365
in an application data sheet will be satisfied in a
national stage application under
35 U.S.C. 371
by the
presentation of such benefit claim in the Patent Cooperation Treaty Request Form
contained in the international application or the presence of such benefit claim
on the front page of the publication of the international application under
PCT Article
21(2)
.
37 CFR 1.76(g)
states ‘‘the
Patent Cooperation Treaty Request Form contained in the international
application’’ to make clear that the provision does not allow for that addition or
correction of benefit claim (or any other) information during the national stage
via the submission of a new Patent Cooperation Treaty Request Form. Applicants may
add or correct benefit claim (or any other) information during the national stage
via the submission of an application data sheet under
37 CFR
1.76
(assuming that the conditions and requirements for such
addition or correction are satisfied).
37 CFR
1.76(g)
provides for presence of such benefit claim on the
front page of the publication of the international application under
PCT Article
21(2)
to account for replacement sheets of the Patent
Cooperation Treaty Request Form that may not be forwarded to each national office
but that are reflected in the International Bureau’s publication of the
international application.
37 CFR 1.76(g)
does not
mention either the provisions in
37 CFR 1.55
for the
presentation of a priority claim under
35 U.S.C. 119
or
365
in an application data sheet or the provisions in
37 CFR
1.46
for the presentation of the name of the applicant under
35 U.S.C.
118
in an application data sheet with respect to a national
stage application under
35 U.S.C. 371
as this
information is taken from the WIPO records of the international application in a
national stage application under
35 U.S.C. 371
.
37 CFR
1.76(g)
also provides that the requirement in
37 CFR
1.55
or
37 CFR 1.78
for the
presentation of a priority or benefit claim under
35 U.S.C
t under
35 U.S.C.
118
in an application data sheet with respect to a national
stage application under
35 U.S.C. 371
as this
information is taken from the WIPO records of the international application in a
national stage application under
35 U.S.C. 371
.
37 CFR
1.76(g)
also provides that the requirement in
37 CFR
1.55
or
37 CFR 1.78
for the
presentation of a priority or benefit claim under
35 U.S.C.
119
,
120
,
121
, or
365
in an application data sheet and the requirement in
37 CFR
1.46
for the presentation of the name of the applicant under
35 U.S.C.
118
in an application data sheet will be satisfied in an
application under
35 U.S.C. 111
by the
presentation of such priority or benefit claim and presentation of the name of the
applicant in a Patent Cooperation Treaty Request Form.
37 CFR
1.76(g)
finally also provides that if a Patent Cooperation
Treaty Request Form is submitted in an application under
35 U.S.C.
111
, the Patent Cooperation Treaty Request Form must be
accompanied by a clear indication that treatment of the application as an
application under
35 U.S.C. 111
is desired.

## Nearby sections

- [MPEP § 601 Content of Provisional and Nonprovisional Applications](https://www.frixlaw.com/law-library/statutes/MPEP_S601.md)
- [MPEP § 601.01 Complete Application](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01.md)
- [MPEP § 601.01(a) Nonprovisional Applications Filed Under 35 U.S.C. 111(a)](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01(a).md)
- [MPEP § 601.01(b) Provisional Applications Filed Under 35 U.S.C. 111(b)](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01(b).md)
- [MPEP § 601.01(c) Conversion to or from a Provisional Application](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01(c).md)
- [MPEP § 601.01(d) Application Filed Without All Pages of Specification](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01(d).md)
- [MPEP § 601.01(e) Nonprovisional Application Filed Without at Least One Claim](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01(e).md)
- [MPEP § 601.01(f) Applications Filed Without Drawings](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01(f).md)
- [MPEP § 601.01(g) Applications Filed Without All Figures of Drawings](https://www.frixlaw.com/law-library/statutes/MPEP_S601.01(g).md)
- [MPEP § 601.02 Power of Attorney](https://www.frixlaw.com/law-library/statutes/MPEP_S601.02.md)
- [MPEP § 601.03 Correspondence Address](https://www.frixlaw.com/law-library/statutes/MPEP_S601.03.md)
- [MPEP § 601.03(a) Change of Correspondence Address in Applications Filed On or After September 16, 2012](https://www.frixlaw.com/law-library/statutes/MPEP_S601.03(a).md)
- [MPEP § 601.03(b) Change of Correspondence Address in Applications Filed Before September 16, 2012](https://www.frixlaw.com/law-library/statutes/MPEP_S601.03(b).md)
- [MPEP § 601.04 National Stage Requirements of the United States as a Designated Office](https://www.frixlaw.com/law-library/statutes/MPEP_S601.04.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/MPEP_S601.05(a). Check the current official text before relying on it. Not legal advice.