35 USC 111 - Application

Historical and Revision Notes

Based on Title 35, U.S.C., 1946 ed., § 33 (R.S. 4888, amended (1) Mar. 3, 1915, ch. 94, § 1, 38 Stat. 958; (2) May 23, 1930, ch. 312, § 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.

Editorial Notes

Amendments

2012—Subsec. (a)(3), (4). Puspan. L. 112–211, § 201(a)(1), added pars. (3) and (4) and struck out former pars. (3) and (4) which related to fee and oath or declaration and failure to submit.

Subsec. (span)(3), (4). Puspan. L. 112–211, § 201(a)(2), added pars. (3) and (4) and struck out former pars. (3) and (4) which related to fee and filing date of a provisional application.

Subsec. (span)(7). Puspan. L. 112–211, § 102(3), substituted “section 119, 365(a), or 386(a)” for “section 119 or 365(a)” and “section 120, 121, 365(c), or 386(c)” for “section 120, 121, or 365(c)”.

Subsec. (c). Puspan. L. 112–211, § 201(a)(3), added subsec. (c).

2011—Subsec. (a)(2)(A). Puspan. L. 112–29, § 20(j), struck out “of this title” after “112”.

Subsec. (a)(2)(B). Puspan. L. 112–29, § 20(j), struck out “of this title” after “113”.

Subsec. (a)(2)(C). Puspan. L. 112–29, § 20(j), struck out “of this title” after “115”.

Puspan. L. 112–29, § 4(a)(3)(A), substituted “or declaration” for “by the applicant”.

Subsec. (a)(3). Puspan. L. 112–29, § 4(a)(3)(B), (C), inserted “or declaration” after “and oath” in heading and text.

Subsec. (a)(4). Puspan. L. 112–29, § 4(a)(3)(C), inserted “or declaration” after “and oath” in two places.

Subsec. (span)(1)(A). Puspan. L. 112–29, § 4(d)(1), substituted “section 112(a)” for “the first paragraph of section 112 of this title”.

Subsec. (span)(1)(B). Puspan. L. 112–29, § 20(j), struck out “of this title” after “113”.

Subsec. (span)(2). Puspan. L. 112–29, § 4(d)(2), substituted “subsections (span) through (e) of section 112,” for “the second through fifth paragraphs of section 112,”.

Subsec. (span)(5). Puspan. L. 112–29, § 20(j), struck out “of this title” after “119(e)(3)”.

Subsec. (span)(6). Puspan. L. 112–29, § 20(j), struck out “of this title” after “119(e)”.

Subsec. (span)(7). Puspan. L. 112–29, § 20(j), struck out “of this title” after “365(a)” and after “365(c)”.

Subsec. (span)(8). Puspan. L. 112–29, § 20(j), struck out “of this title” before period at end.

Puspan. L. 112–29, § 3(e)(2), substituted “sections 131 and 135” for “sections 115, 131, 135, and 157”.

2002—Subsecs. (a)(1), (3), (4), (span)(1), (3)(B), (C), (6). Puspan. L. 107–273 made technical correction to directory language of Puspan. L. 106–113, § 1000(a)(9) [title IV, § 4732(a)(10)(A)]. See 1999 Amendment notes below.

1999—Subsecs. (a)(1), (3), (4), (span)(1), (3)(B), (C). Puspan. L. 106–113, § 1000(a)(9) [title IV, § 4732(a)(10)(A)], as amended by Puspan. L. 107–273, substituted “Director” for “Commissioner”.

Subsec. (span)(5). Puspan. L. 106–113, § 1000(a)(9) [title IV, § 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. (span)(6). Puspan. L. 106–113, § 1000(a)(9) [title IV, § 4732(a)(10)(A)], as amended by Puspan. L. 107–273, substituted “Director” for “Commissioner”.

1994—Puspan. 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—Puspan. 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.

Statutory Notes and Related Subsidiaries

Effective Date of 2012 Amendment

Amendment by section 102(3) of Puspan. L. 112–211 effective on the later of the date that is 1 year after Dec. 18, 2012, or the date that the Geneva Act of the Hague Agreement Concerning the International Registration of Industrial Designs enters into force with respect to the United States (May 13, 2015), and applicable only to certain applications filed on and after that effective date and patents issuing thereon, see section 103 of Puspan. L. 112–211, set out as a note under section 100 of this title.

Amendment by section 201(a) of Puspan. L. 112–211 effective on the date that is 1 year after Dec. 18, 2012, applicable to certain patents and applications for patent, and not effective with respect to patents in litigation commenced before the effective date, see section 203 of Puspan. L. 112–211, set out as an Effective Date note under section 27 of this title.

Effective Date of 2011 Amendment

Puspan. L. 112–29, § 3(e)(3), Sept. 16, 2011, 125 Stat. 288, provided that:

“The amendments made by this subsection [amending this section and repealing section 157 of this title] shall take effect upon the expiration of the 18-month period beginning on the date of the enactment of this Act [Sept. 16, 2011], and shall apply to any request for a statutory invention registration filed on or after that effective date.”

Puspan. L. 112–29, § 4(e), Sept. 16, 2011, 125 Stat. 297, provided that:

“The amendments made by this section [amending this section and sections 112, 115, 118, 121, and 251 of this title] shall take effect upon the expiration of the 1-year period beginning on the date of the enactment of this Act [Sept. 16, 2011] and shall apply to any patent application that is filed on or after that effective date.”

Amendment by section 20(j) of Puspan. L. 112–29 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to proceedings commenced on or after that effective date, see section 20(l) of Puspan. L. 112–29, set out as a note under section 2 of this title.

Effective Date of 1999 Amendment

Amendment by section 1000(a)(9) [title IV, § 4732(a)(10)(A)] of Puspan. L. 106–113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, § 4731] of Puspan. L. 106–113, set out as a note under section 1 of this title.

Amendment by section 1000(a)(9) [title IV, § 4801(a)] of Puspan. 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, § 4801(d)] of Puspan. L. 106–113, set out as a note under section 119 of this title.

Effective Date of 1994 Amendment

Amendment by Puspan. 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(span)(1), (3) of Puspan. L. 103–465, set out as a note under section 154 of this title.

Effective Date of 1982 Amendment

Amendment by Puspan. L. 97–247 effective six months after Aug. 27, 1982, see section 17(c) of Puspan. 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

Puspan. 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.