§ 111. — Application.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 35USC111]
TITLE 35--PATENTS
PART II--PATENTABILITY OF INVENTIONS AND GRANT OF PATENTS
CHAPTER 11--APPLICATION FOR PATENT
Sec. 111. Application
(a) In General.--
(1) Written application.--An application for patent shall be
made, or authorized to be made, by the inventor, except as otherwise
provided in this title, in writing to the Director.
(2) Contents.--Such application shall include--
(A) a specification as prescribed by section 112 of this
title;
(B) a drawing as prescribed by section 113 of this title;
and
(C) an oath by the applicant as prescribed by section 115 of
this title.
(3) Fee and oath.--The application must be accompanied by the
fee required by law. The fee and oath may be submitted after the
specification and any required drawing are submitted, within such
period and under such conditions, including the payment of a
surcharge, as may be prescribed by the Director.
(4) Failure to submit.--Upon failure to submit the fee and oath
within such prescribed period, the application shall be regarded as
abandoned, unless it is shown to the satisfaction of the Director
that the delay in submitting the fee and oath was unavoidable or
unintentional. The filing date of an application shall be the date
on which the specification and any required drawing are received in
the Patent and Trademark Office.
(b) Provisional Application.--
(1) Authorization.--A provisional application for patent shall
be made or authorized to be made by the inventor, except as
otherwise provided in this title, in writing to the Director. Such
application shall include--
(A) a specification as prescribed by the first paragraph of
section 112 of this title; and
(B) a drawing as prescribed by section 113 of this title.
(2) Claim.--A claim, as required by the second through fifth
paragraphs of section 112, shall not be required in a provisional
application.
(3) Fee.--(A) The application must be accompanied by the fee
required by law.
(B) The fee may be submitted after the specification and any
required drawing are submitted, within such period and under such
conditions, including the payment of a surcharge, as may be
prescribed by the Director.
(C) Upon failure to submit the fee within such prescribed
period, the application shall be regarded as abandoned, unless it is
shown to the satisfaction of the Director that the delay in
submitting the fee was unavoidable or unintentional.
(4) Filing date.--The filing date of a provisional application
shall be the date on which the specification and any required
drawing are received in the Patent and Trademark Office.
(5) Abandonment.--Notwithstanding the absence of a claim, upon
timely request and as prescribed by the Director, a provisional
application may be treated as an application filed under subsection
(a). Subject to section 119(e)(3) of this title, if no such request
is made, the provisional application shall be regarded as abandoned
12 months after the filing date of such application and shall not be
subject to revival after such 12-month period.
(6) Other basis for provisional application.--Subject to all the
conditions in this subsection and section 119(e) of this title, and
as prescribed by the Director, an application for patent filed under
subsection (a) may be treated as a provisional application for
patent.
(7) No right of priority or benefit of earliest filing date.--A
provisional application shall not be entitled to the right of
priority of any other application under section 119 or 365(a) of
this title or to the benefit of an earlier filing date in the United
States under section 120, 121, or 365(c) of this title.
(8) Applicable provisions.--The provisions of this title
relating to applications for patent shall apply to provisional
applications for patent, except as otherwise provided, and except
that provisional applications for patent shall not be subject to
sections 115, 131, 135, and 157 of this title.
(July 19, 1952, ch. 950, 66 Stat. 798; Pub. L. 97-247, Sec. 5, Aug. 27,
1982, 96 Stat. 319; Pub. L. 103-465, title V, Sec. 532(b)(3), Dec. 8,
1994, 108 Stat. 4986; Pub. L. 106-113, div. B, Sec. 1000(a)(9) [title
IV, Secs. 4732(a)(10)(A), 4801(a)], Nov. 29, 1999, 113 Stat. 1536,
1501A-582, 1501A-588; Pub. L. 107-273, div. C, title III,
Sec. 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906.)
Historical and Revision Notes
Based on Title 35, U.S.C., 1946 ed., Sec. 33 (R.S. 4888, amended (1)
Mar. 3, 1915, ch. 94, Sec. 1, 38 Stat. 958; (2) May 23, 1930, ch. 312,
Sec. 2, 46 Stat. 376).
The corresponding section of existing statute is divided into an
introductory section relating to the application generally (this
section) and a section on the specification (sec. 112).
The parts of the application are specified and the requirement for
signature is placed in this general section so as to insure that only
one signature will suffice.
Amendments
2002--Subsecs. (a)(1), (3), (4), (b)(1), (3)(B), (C), (6). Pub. L.
107-273 made technical correction to directory language of Pub. L. 106-
113, Sec. 1000(a)(9) [title IV, Sec. 4732(a)(10)(A)]. See 1999 Amendment
notes below.
1999--Subsecs. (a)(1), (3), (4), (b)(1), (3)(B), (C). Pub. L. 106-
113, Sec. 1000(a)(9) [title IV, Sec. 4732(a)(10)(A)], as amended by Pub.
L. 107-273, substituted ``Director'' for ``Commissioner''.
Subsec. (b)(5). Pub. L. 106-113, Sec. 1000(a)(9) [title IV,
Sec. 4801(a)], amended heading and text of par. (5) generally. Prior to
amendment, text read as follows: ``The provisional application shall be
regarded as abandoned 12 months after the filing date of such
application and shall not be subject to revival thereafter.''
Subsec. (b)(6). Pub. L. 106-113, Sec. 1000(a)(9) [title IV,
Sec. 4732(a)(10)(A)], as amended by Pub. L. 107-273, substituted
``Director'' for ``Commissioner''.
1994--Pub. L. 103-465 amended section generally. Prior to amendment,
section read as follows: ``Application for patent shall be made, or
authorized to be made, by the inventor, except as otherwise provided in
this title, in writing to the Commissioner. Such application shall
include (1) a specification as prescribed by section 112 of this title;
(2) a drawing as prescribed by section 113 of this title; and (3) an
oath by the applicant as prescribed by section 115 of this title. The
application must be accompanied by the fee required by law. The fee and
oath may be submitted after the specification and any required drawing
are submitted, within such period and under such conditions, including
the payment of a surcharge, as may be prescribed by the Commissioner.
Upon failure to submit the fee and oath within such prescribed period,
the application shall be regarded as abandoned, unless it is shown to
the satisfaction of the Commissioner that the delay in submitting the
fee and oath was unavoidable. The filing date of an application shall be
the date on which the specification and any required drawing are
received in the Patent and Trademark Office.''
1982--Pub. L. 97-247 inserted ``, or authorized to be made,'' after
``shall be made'', struck out the colon after ``shall include'', struck
out ``signed by the applicant and'' after ``The application'', and
inserted provisions that the fee and oath may be submitted after the
specification and any required drawing are submitted, within such period
and under such conditions, including the payment of a surcharge, as may
be prescribed by the Commissioner, that upon failure to submit the fee
and oath within such prescribed period, the application shall be
regarded as abandoned, unless it is shown to the satisfaction of the
Commissioner that the delay in submitting the fee and oath was
unavoidable, and that the filing date of an application shall be the
date on which the specification and any required drawing are received in
the Patent and Trademark Office.
Effective Date of 1999 Amendment
Amendment by section 1000(a)(9) [title IV, Sec. 4732(a)(10)(A)] of
Pub. L. 106-113 effective 4 months after Nov. 29, 1999, see section
1000(a)(9) [title IV, Sec. 4731] of Pub. L. 106-113, set out as a note
under section 1 of this title.
Amendment by section 1000(a)(9) [title IV, Sec. 4801(a)] of Pub. L.
106-113 effective Nov. 29, 1999, and applicable to any provisional
application filed on or after June 8, 1995, see section 1000(a)(9)
[title IV, Sec. 4801(d)] of Pub. L. 106-113, set out as a note under
section 119 of this title.
Effective Date of 1994 Amendment
Amendment by Pub. L. 103-465 effective 6 months after Dec. 8, 1994,
and applicable to all patent applications filed in the United States on
or after that effective date, with provisions relating to earliest filed
patent application, see section 534(b)(1), (3) of Pub. L. 103-465, set
out as a note under section 154 of this title.
Effective Date of 1982 Amendment
Amendment by Pub. L. 97-247 effective six months after Aug. 27,
1982, see section 17(c) of Pub. L. 97-247, set out as an Effective Date
note under section 294 of this title.
Emergency Relief From Postal Situation Affecting Patent, Trademark, and
Other Federal Cases
Pub. L. 92-34, June 30, 1971, 85 Stat. 87, provided that a patent or
trademark application would be considered filed in the United States
Patent Office on the date that it would have been received by the Patent
Office except for the delay caused by emergency situation affecting
postal service from Mar. 18, 1970 to Mar. 30, 1970, if a claim was made.
Section Referred to in Other Sections
This section is referred to in sections 122, 154 of this title.
