This document outlines the requirements for filing a provisional patent application (PPA), including necessary administrative information, invention descriptions, and guidelines for claims and drawings. It emphasizes the importance of clear specifications, preferred embodiments, and the use of supportive documentation to strengthen the application. Additionally, it provides tips on how to effectively write claims, ensuring they are precise and well-supported by the technical description of the invention.

1. 1
PROVISIONAL PATENT APPLICATION (PPA)
Introduction
This document, and the accompanying PowerPoint document “Boiler PPA” are the entirety of what is
required for submission of the Provisional Patent Application. Before starting on this document, an
inventor should read up to understand what the PPA is and is not, and we will not try to answer every
question here. Using these documents, the basic format as well as tips for a Provisional Patent Application
are spelled out. The author’s intent is to provide a short-cut to getting started, but much more to show
exactly what is required to prospective inventors and that it is not that daunting a task. These documents
are more or less being created as ‘shareware’and any improvement ideas are welcome. Good luck.
- Jay Martin, Chief Innovation
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Questions
Should not use Background for Provisional,risks admitting Prior Art. Betterwithout it
Using the PCT format, you can file and it will be recognized in 110 countries,PPA solidifies the date
Rights lost in ROW immediately after disclosure,contact Tech Transfer Office. (ask Jack Stone)
In PPAs beware of ‘limiting statements, admission of prior art, ‘known’, ‘has to be done’
Dimensions are not required unlessit is needed or ‘new’
Specification pages need to be numbered,including Claims & Abstract, not the forms
Double space or at least 1.5, indent new paragraphs
Headingsin all uppercase, no underline or bold
Metric is not mandatory, but do both to avoid problems if possible.
WEASEL TIPS
Use weasel words and opening expressions such as ‘preferred’ liberally, ‘shown by way of example’
“preferable, in a preferred embodiment, representative example, by way of example, exemplified, alternate
embodiments include…..”
Show stoppers would be like “well know”, “must be done in a certain way”
Whenever you use numbers try to give ranges
Whenever you mention a material, device ortool, say something like “preferably x,or any material
effective for y, such as a,b,c and the like”
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Table of Contents (Required material list PPA submission to USPTO)
1. Administrative Information
a) Self addressed stamped postcard (see attachment in PowerPoint file)
b) Cover Sheet (SB 16) and check (SEDbox eliminates need forform, see Power Point file)
2. Invention Information
c) Title of Invention - (try to describe it succinctly aspossible, create a name or describe its function)
d) Brief Descriptions of the Several Views of the Drawing
e) Detailed Description of the Invention
3. Post-Spec Info
f) Claim or Claim(s) – (full to be submitted with FPA, but need at least one for the PPA for Foreign)
g) Drawings – (enclose duplicate copies)
(Delete everything written before this before submitting.
The application will start with the header on the next page)

2. 2
Provisional Patent Application of
‘Your Full Name Here as You Would Sign It’
For
‘My Invention’s Full Name’
G) BRIEF DESCRIPTIONOF THE SEVERAL VIEWS OF THE DRAWING
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This should comply with (37 CFR 1.83A), which is in the last part of this document in its entirety.
Should have the same stuff as regular, but does not need total format,priorart or full claims.
Drawings are very helpful in disclosing the invention.They should clearly depict every claimed inventive
feature of the invention. Each figure or drawing should have a short description or legend. Elements of the
drawing should be identified by numbers and arrows pointing to the object.These reference numbers
should then be used liberally in the text. The drawings will probably be redrawn by a patent draftsman
because they have to conformto several format restrictions.
Should have every and enough viewsto showall the details, including an isometric view (this is not
mandatory), not just the engineering views of top,bottomand side. Also,many inventors do not include
details of dimensions, tolerancesand materials if they are standard stuff.
Put in Reference numbers and they should be placed in parenthesis(1).
8.5” x 11” paper is acceptable for drawings for the Provisional.
Need to cite the figures in the Detailed Description as well asthe Reference numbers.
Isometric view is not mandatory, though preferred.
Only need dimensions forthose things critical to the invention functioning or ‘new’ ideas.
Do not put in many details in Fig descriptions,and even less in Reference Numbers(1-4 words),body of
description belongsin specification.
Show all views that are needed and also have Numerals in orderand all that are needed.
Use Numerals liberally in the description of the invention.
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FIG. 1 is the exploded view showing the assembly of all of the components
FIG. 2 is the top view
FIG. 3 is the front view
FIG. 4 is the side view
Reference numbers in drawings
10 Identify different components
20 Point out critical and relevant dimensions
30 Bring attention to important features
40 Use references to bridge reader between drawings and text description
50 XXXXX

3. 3
H) DETAILED DESCRIPTIONOF THE INVENTION
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This is the most detailed section, the meat. For Provisional, this is basically IT!
All go in here – Invention, Fabrication,Operations and Best Mode
Each aspect of the invention should be described with separate paragraph
Need to completely disclose how to make and use, Components function and operations
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WHAT EXACTLY IS THE INVENTION
Describe what the invention is here?
What does it do?
What is the field of invention?
WHAT ARE ITS COMPONENTS
What are all of the parts?
How do they fit together?
How do they function to accomplish the invention?
DEFINE THE BEST MODE – PREFERRED EMBODIMENT
What is the optimum configuration of the invention and why?
How many configurations are possible? What is the impact on performance for each?
What other changes could still be part of invention but change how it functions?
What other add-ons can be thought of?
WHAT ARE THE ATTRIBUTES THATCAN VARY
Attributes
What are the different attributes and/or components of the invention, how and where can they vary and
what variations are permissible while still allowing the invention to be successful?
Some Examples ofAttributes
Geometry – (height, width, thickness, shape, part individuality)
Material ofComponents
Fabrication Process (order of processes,process options, assembly order)
HOWTO MAKE IT - PREFERRED FABRICATION
Explain the best-mode manufacturing and assembly process
What it is it about the invention that could be superior to existing options or prior art?
THE OPERATION
Take the reader step by step through the operation of the invention and how it will be used.
Describe best-mode or most expected use and clarify that it is what you are doing.
THE APPLICATIONS
Write down all or as many uses of the invention that you can think about.
Ties these to the benefits and how it is new.

4. 4
USES
What can it be used for, how and by whom
BENEFITS
Put down what it does for whom – users, manufacturers,society, etc.
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5. 5
CLAIMS
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This is ‘Your’ Claimon subject matter. For Formal Patent Application,get an attorney or learn howto
write themyourself.
Full claims are not submitted at this time. Will be submitted in your FPA.
Look on the Internet, in books or otherPatents for examples. This is the hardest task..
This needs to be on a separate sheet, use a page break after the Description
Full Claims are not needed fora PPA, but you will need at least one for foreign.
Start with your least restrictive claim(numberone) and then move down to the more narrow ones.
Need to slice out all aspects of your invention and what it doesand decide on a defendable combination
BELOW IS RAW MATERIAL – DON’T SPEND A LOT OF TIME ON THIS FOR PROVISIONAL
Define, don’t explain. Claimobjective is to define boundaries not explain the invention.
List all of the features to determine what could you claim
What it does?
Why it is different?
Unique feature
Material that is unique or enabling
What it can be used for?
To help people who are filing for their own Utility Patents, we are going to include some
additional tips and advice here.
Make sure you properly reference the Provisional Application(s) when filing the Utility one.
Major Types of Claims are:
Independent Claims (get 3 to start)
These are the core claims for your invention.
Dependent Claims (get 20 to start)
These claims reference independent claims in an attempt to provide a more narrow definition of
your invention, so that if the independent one gets struck down as too broad, the invention can still
be defined and defended with this more narrow definition. The can continue to be valid even if the
independent is not. They can also reference each other. Beware of worthless dependent claims
also. Preamble of dependent should clarify dependency back to independent.
Components of a Claim are:
1) The Preamble
2) The Transition Phrase (e.g. comprising, consisting of)
3) The Body of the Claim
Preamble is not limiting when it states the intended use or purpose of the invention.
Create a table of Elements and Features.
Segments of Claims include:
a) Method Claims
What it does
Use verbs or gerunds

6. 6
Versus a flow chart
b) Apparatus Claims
Versus a block diagram
c) Means For Claims
One method suggested is to begin with the problem. Create a problem statement:
The problem of _______ is solved by __________ .
If you remove the words, you can weave this into a broad claim.
Separate the ‘how’ from the ‘what’. What actually solves the problem versus how the embodiment
implements the solution.
Understand what your solution is, and what is really going on to solve the problem.
Map out all the different embodiments, and what is behind them. Create a fallback plan showing
what attributes you can fallback on as the higher level ones, which may be independent claims,
are rejected. What are all the aspects of the problem to be solved?
Here was a 5 step guide to help draft Claims
1. Start with the problem, and how it was solved
2. Draft a Problem-Solution statement
3. Dream up different alternatives (e.g. embodiments or variations)
4. What is really going on here? Was in essence is this solving.
5. Envision the ways people might infringe on it.
Other Claim Descriptions include:
 Jepson Claim – states an improvement to prior art, existing invention
 Product by Process – type of patent that can only be described by the way to make something
as a function of the process used to create it
Some things to do to prepare to write your claims
 Avoid too many Claims
 Claims must be able to stand alone, and cannot point to invention or drawing
 Must be a single sentence
 Can refer to multiple provisions, claims will have two different priority dates
o All independents should be for the first date
o Dependents can be used for the second date
 Define objective or goal of your invention
 What are your components?
 What is your sequence of steps? Do they have to be in an order or any order?
 Ensure that anything in your claims is supported by your description and figures
 Make sure your steps are clear and flow in a sensible manner
 Think about how to make it broad
 Layout all the embodiments, and their objectives
 Look up the Section, Group, Sub-Group, Class and Sub-Class of your invention
 Avoid any unnecessary limitations
 Beware of ambiguous terms, even if you know what they are.
 Use correct terms, e.g. system when not mechanical or physical

7. 7
 Remember: ‘Comprises’ (includes, is open), ‘Consists’ (in total, is closed)
o Use ‘including’ in other places in the claim, not comprising
 Must have an indefinite article – ‘a’ or ‘an’, cannot be definite ‘the. If there is no antecedent,
e.g. ‘a’ before ‘the’, then the claim will be rejected
 Do not include human activities in the claim, stick to technology
 Include distinctive features, what it does with others
 Each Claim should have: Name, distinct feature, cooperation without others
 Proffered Embodiments – go in as dependent claims
 Beware of weasel word usage, could result in an ‘indefinite’ ruling by PTO
 Avoid calling the same thing two different names, will create confusion.
 Plurality means ‘more than one’ or ‘multiple’ (which is not recommended)
Make sure what you do supports what is needed by the PCT if you intend to do international.
Must have at least a single claim
Remember, for an infringement, a violator will have to infringe all of the elements in one of the
claims of the patent.
Some unnecessary limitations, especially in the preamble, to watch out for
1. Descriptive labels and modifiers
2. Unnecessary elements
3. Advantages of the invention
4. Intended use of the invention
Checking
Read your claims
Compare your claims to the figures
Read your entire application
JAY NOTES TO FIND OR INCLUDE ABOVE
What is a Means plus function claim
Product by Process – maybe – job link in database format
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What I claim as my invention is:
Claim 1 – Something it does that no one else has
Claim 2 – A feature or combination of that is new
Claim 3 – A function which is not currently being accomplished or you improve on
Specific list of physical attributes that are unique and enable invention

8. 8
LegalStuff – DELETE ALL AFTER THIS LINE
USC stands for United States Code
CFR stands for Code ofFederal Regulations
35 USC §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.

9. 9
(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.
35 USC §112.Specification

10. 10
The specification shall contain a written description of the invention, and of the manner and process
of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled
in the art to which it pertains, or with which it is most nearly connected, to make and use the same,
and shall set forth the best mode contemplated by the inventor of carrying out his invention. The
specification shall conclude with one or more claims particularly pointing out and distinctly
claiming the subject matter which the applicant regards as his invention.
A claim may be written in independent or, if the nature of the case admits, in dependent or multiple
dependent form.
Subject to the following paragraph, a claim in dependent form shall contain a reference to a claim
previously set forth and then specify a further limitation of the subject matter claimed. A claim in
dependent form shall be construed to incorporate by reference allthe limitations of the claim to
which it refers. A claim in multiple dependent form shall contain a reference,in the alternative only,
to more than one claim previously set forth and then specify a further limitation of the subject
matter claimed. A multiple dependent claim shall not serve as a basis for any other multiple
dependent claim. A multiple claim shall be construed to incorporate by reference allthe limitations
of the particular claim in relation to which it is being considered.
35 USC §113.Drawings
The applicant shall furnish a drawing where necessary for the understanding of the subject matter
sought to be patented. When the nature of such subject matter admits of illustration by a drawing
and the applicant has not furnished such a drawing, the Director may require its submission within a
time period of not less than two months from the sending of a notice thereof. Drawings submitted
after the filing date of the application may not be used (i) to overcome any insufficiency of the
specification due to lack of an enabling disclosure or otherwise inadequate disclosure therein, or (ii)
to supplement the original disclosure thereof for the purpose of interpretation of the scope of any
claim.
An element in a claim for a combination may be expressed as a means or step for performing a
specified function without the recital of structure,material, or acts in support thereof, and such
claim shall be construed to cover the corresponding structure, material, or acts described in the
specification and equivalents thereof.
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37 C.F.R.
1.83 Content ofdrawing.
(a) The drawing in a non-provisional application must show every feature of the invention specified in the
claims. However,conventional features disclosed in the description and claims, where their detailed
illustration is not essential for a proper understanding of the invention, should be illustrated in the drawing
in the form of a graphical drawing symbol or a labeled representation (e.g.,a labeled rectangular box).
(b) When the invention consists of an improvement on an old machine the drawing must when possible
exhibit, in one or more views, the improved portion itself, disconnected from the old structure, and also in
another view, so much only of the old structure as will suffice to show the connection of the invention
therewith.

11. 11
(c) Where the drawings in a non-provisional application do not comply with the requirements of paragraphs
(a) and (b) of this section, the examiner shall require such additional illustration within a time period of not
less than two months from the date of the sending of a notice thereof. Such corrections are subject to the
requirements of 1.81(d).
[31 FR 12923, Oct. 4, 1966; 43 FR 4015, Jan. 31, 1978;paras. (a) and (c) revised, 60 FR 20195, Apr. 25,
1995, effective June 8, 1995]
1.84 Standards for drawings.
This was seven pages. Look it up on the net to read the whole thing.