A Brief Overview of Application Data Sheets and How They Help Applicants in the US Patent Office

What is an Application Data Sheet?

An application information sheet or "ADS" is a document that provides the bibliographic information for an application to the USPTO. The USPTO prefers, but does not require, the use of an ADS. An ADS can be advantageous, yet, because it tends to decrease errors in the conversion/recordation of application data into the USPTO's official electronic data record. While electronic filing via the USPTO's EFS-Net has unquestionably lowered some errors, the USPTO relies on the uploaded documents (e.g., declaration, specification), rather than a user's input, to create its official electronic record. For example, in a national stage application filed below 35 USC & 371, the USPTO could look to the publication of the international application for the title and to other documents for the listing of inventors and the correspondence address. The use of an ADS, simply because it offers this data in a single document and in a specified format, improves the accuracy of this conversion and the resulting electronic record.

Examples of What Can Take place Without an ADS

The USPTO's procedures for converting the application information of paper applications and for recording electronic data into its official information record are surprisingly accurate, in view of the number of application data records it should make. Nonetheless, as with any program, errors do occur. And, even when they are remedied early in the prosecution procedure, they nonetheless take time and can cause processing delays. Worse however, sometimes errors in the USPTO information records are not corrected. Think of the following U.S. patents, which could have benefited from an ADS:

   1. U.S. Patent Nos. 6,112,451, 6,631,400, and 6,637,044, each and every for a "Statement Regarding Federally Sponsored Investigation or Development"

   two. U.S. Patent No. 7,263,562 for a "Approach and Program for Describing Uploaded Files Statement Concerning Federally Sponsored Study or Development" and

   three. U.S. Patent No. 6,389,215 for "Low Birefringent Polyimides for Optical Waveguides Statement Concerning Federally Sponsored Research or Development".

And then there are:

   1. U.S. Patent No. 6,930,045 for "Cross Reference to Associated Application"

   2. U.S. Patent No. 6,829,526 for a "Train Detection System and a Train Detection Strategy Cross Reference to Related Application" and

   three. U.S. Patent No.  6,786,734 for an "Electrical Adapter With a Foldable Housing Cross-Reference to Related Application".

Clearly, there are instances when an ADS would have helped the USPTO extra accurately convert bibliographic info into an official data record.

The Needs for an ADS

Section 1.76 of Title 37 of the Code of Federal Regulations governs application data sheets and sets forth distinct needs for each ADS. The following are some of the more noteworthy.

1. An ADS could possibly be employed in provisional and nonprovisional applications.

two. The USPTO presents a fillable pdf form (Form PTO/SB/14) on its website. Try to use the USPTO fillable form whenever attainable, mainly because an ADS must be submitted as a text-based PDF file. A scanned version of the ADS fillable form will be rejected via EFS-Internet considering EFS-Web will not be in a position to auto-load scanned in data into backend systems.

three. An ADS ought to be in a distinct format. An ADS should be titled "Application Data Sheet" and have to contain all of the following section headings, with any suitable data for each and every section heading:

• Applicant details (i.e., the name, residence, mailing address, and citizenship of every applicant)
  
• Correspondence details (i.e., the correspondence address, which may possibly be indicated by reference to a customer number)
  
• Application facts (i.e., the title of the invention, a suggested classification, by class and subclass, the Technology Center to which the subject matter of the invention is assigned, the total number of drawing sheets, any docket number assigned to the application, the sort of application)
  
• Representative details (i.e., the registration number of each and every practitioner having a power of attorney in the application)
  
• Domestic priority facts (i.e., the application number, the filing date, the status, and relationship of each application for which a benefit is claimed below 35 U.S.C. §§ 119(e), 120, 121, or 365(c))
  
• Foreign priority data (i.e., the application number, country, and filing date of each and every foreign application for which priority is claimed) (NOTE - supplying this facts in the application information sheet constitutes the claim for priority as required by 35 U.S.C. § 119(b) and
  
• Assignee information and facts.

four. Delivering domestic priority facts in an ADS constitutes the distinct reference needed by 35 USC § 119(e) or 120, and 37 CFR §§ 1.78(a)(2) or 1.78(a)(5), such that this information and facts require not otherwise be made part of the specification.

5. The USPTO will interpret any blank section in an ADS to mean that there is no corresponding information for that label anyplace in the application.

6. In the event of an inconsistency in between the ADS and other submitted documents, the timing of the submission of the conflicting info controls.  So, when the conflicting details is submitted at distinct instances, the most recent submitted info governs regardless of how it is supplied, except that an oath or declaration governs inconsistencies in the naming of inventors or their citizenship.  Conversely, when the conflicting facts is submitted at the identical time, the ADS will govern when the inconsistent info is supplied at the similar time, except that an oath or declaration governs inconsistencies in the naming of inventors or their citizenship.