An application data sheet is a document submitted by the applicant to the USPTO listing the bibliographic data of the patent application. The bibliographic data includes:
- Header Information
- Inventor Information
- Correspondence Information
- Application Information
- Publication Information
- Representative Information
- Domestic Benefit/National Stage Information
- Foreign Priority Information
- Statement under 37 CFR 1.55 or 1.78 for AIA (First to Invent)
- Authorization to Permit Access
- Applicant Information
- Assignee
- Signature
USPTO Resources on Application Data Sheets
Is an application data sheet (ADS) required for filing a patent application?
An application data sheet is not required when you file a provisional or nonprovisional patent application. Your application will still receive a filing date (i.e., patent pendency or priority date) for your invention even if the ADS is not filed.
However, the Patent Office does require you to file the ADS or application data sheet in order to claim priority back to a prior-filed patent application such as a provisional or a parent nonprovisional application. We recommend filing an ADS or application data sheet in any provisional or nonprovisional application to ensure that the Patent Office has the data that it needs and in the form that it wants the data to reduce errors.
How do you submit the Application Data Sheet (ADS) to the USPTO?
You have two options for submitting the application data sheet to the USPTO.
- Web-based ADS through EFS-Web
- Fillable PDF form PTO/AIA/14
The web-based ADS is accessed through the EFS web. It isn’t a separate form or PDF that you submit with your provisional or nonprovisional application. Rather, it’s associated with your application through the EFS web system.
Alternatively, the fillable PDF form PTO/AIA/14 is submitted as another document in addition to the other parts of your patent application.
Recommendations for filling in the Application Data Sheet (ADS)
Header Information
In this section of the Application Data Sheet, basic identifying information is given.
The attorney docket number (1a) refers to your internal numbering system for your patent applications filed with the USPTO. It’s useful if you have more than one application filed with the USPTO.
The application number (1b) is typically unknown when you file your application. You can leave this blank if you’re filing the ads with your initial filing.
The title of the invention (1c) should match the title included in the written description.
Inventor Information
You must have at least one inventor listed in the inventor information. The order of the inventors if you have more than one it’s typically listed in the order of contribution to the invention.
Correspondence Information
The USPTO will correspond with only one entity. If you are represented by an attorney, the USPTO will correspond with only the attorney of record, not the inventor. Typically, the most efficient way of filling out this section is to establish a customer number if you are filing more than one application.
Application Information
Check the small entity status claimed checkbox (4a) if you
are a small entity or a micro entity. If you are a micro entity, you also have to submit the claims to micro entity status. You can learn about and download the relevant forms here: Micro Entity Status
Publication Information
Check the request for early publication checkbox (5a) to maximize damages against infringers. Early publication is also known as pre-grant publication which allows you to claim damages prior to the grant date of your patent under special conditions.
Check the request not to publish checkbox (5b) if you want to keep your application secret for as long as possible. Your application will not be published or be available for public inspection until it grants as a patent.
To check this box (5b), you have to have the intent to not file any foreign patent application. Otherwise, your patent may be invalidated during litigation.
Representative Information
The best way to fill out this section is to use a customer number (6a) especially if you’re filing more than one application. If your data changes, you can change the information via the customer number instead of having to change the data in each of the applications.
If you filing the patent application without an attorney, then leave this space blank. Otherwise, your patent attorney will fill out the relevant information.
Domestic Benefit/National Stage Information
VERY IMPORTANT: DOUBLE CHECK THE INFORMATION IN THIS SECTION.
You should double-check the information in this section for accuracy. Any mistakes in this section will cause you to lose priority and may cause your patent to be invalidated. Also, the USPTO department that manages the application data sheet is very slow to respond and inconsistent. As such, Any mistakes will cause you a significant delay when you try to fix the mistake.
Foreign Priority Information
You should double check the information in this section for accuracy for the same reasons given above in the domestic benefit section (7).
Statement under 37 CFR 1.55 or 1.78 for AIA
Check this checkbox only if one of the applications in the claim of priority was filed before March 16th, 2013 before the America Invents Act or AIA.
Most applications will leave this checkbox unchecked.
Authorization to Permit Access
Check this check box if you are claiming priority to any foreign patent application. It’ll make the process much easier since the patent offices will communicate the required data between them. You don’t have to get the priority documents and send them over to the foreign offices. It also reduces your expenses.
Applicant Information
Fill out the information as requested.
Assignee
Fill out this section only if your application is being assigned to a company or another entity.
If you have more than one inventor, the application should be assigned to a corporate entity such as an LLC, S corp., etc. Typically, we do not recommend patent applications to be owned by more than one entity.
Read more about the dangers when two or more entities own a patent: Core Concept 2: Ownership-Resolving Ownership Issues.
Signature
You can use a slash signature instead of having to print out, sign, and PDF the document.
A slash signature is simply two forward slashes with your name between them.
For example, if your name is John Hancock, your slash signature would be /John Hancock/.