Abstract
This study used the US Patent Application Database to identify who files provisional applications in the United States. Preference ratios, use ratios, and provisional application to nonprovisional application ratios were used to evaluate the filing behavior of applicants in filing provisional applications with respect to nonprovisional applications. Factors encouraging filing provisional applications include the possibility to obtain an earlier filing date, a longer patent term, and an earlier promoting opportunity. Factors discouraging filing provisional applications include the eventual higher cost in filing nonprovisional applications and the additional requirements for foreign applicants to file patent applications in the United States. These factors are discussed in this paper to explain the filing behavior of applicants in filing provisional applications with respect to nonprovisional applications. Applicants from the United States, Israel, and Canada were more likely to file provisional applications than applicants from other countries. We propose that the English ability of the applicants and additional requirements for foreign applicants might be the cause of this result. Applicants in the category of Drugs and Medical were more likely to file provisional applications than applicants in other categories. We propose that the possibility for obtaining an earlier filing date and a longer patent term might be the cause of this result.
Similar content being viewed by others
References
Anderson, M., Cislo, D., Saavedra, J., & Cameron, K. (2014). Why international inventors might want to consider filing their first patent application at the United States patent office & the convergence of patent harmonization and e-commerce. Santa Clara High Technology Law Journal, 30(4), 555.
Barney, J. R. (1999). An overview of the pros and cons of provisional patent applications. Yale Journal of Law & Technology, 1, 2–6.
Chen, C., & Chen, D. (2015). Who files provisional applications in the United States? In 15th International society of scientometrics and informetrics conference. Istanbul, Turkey.
Crouch, D. (2008). A first look at who files provisional patent applications. Retrieved from http://patentlyo.com/patent/2008/06/a-first-look-at.html
Crouch, D. (2012). Provisional patent applications as a flash in the pan: Many are filed and many are abandoned. Retrieved from http://patentlyo.com/patent/2012/11/provisional-patent-applications-as-a-flash-in-the-pan-many-are-filed-and-many-are-abandoned.html
Crouch, D. (2013). Abandoning provisional applications. Retrieved from http://patentlyo.com/patent/2013/01/abandoning-provisional-applications.html
Crouch, D. (2014). Claiming priority to provisional applications. Retrieved from http://patentlyo.com/patent/2014/04/priority-provisional-applications.html
Cruz, RL. (2007). Provisional patent applications: Advantages and limitations. Intellectual Property Management in Health and Agricultural Innovation: A Handbook of Best Practices. Retrieved from http://ipmall.info/hosted_resources/IP_handbook/ch10/ipHandbook-Ch%2010%2002%20Cruz%20Provisional%20Patent%20Applications.pdf
Eldering, C. A., Blasko, J. P., & Brown, A. E. L. (1997). Comparative analysis of provisional patent applications under US and UK law. Journal of the Patent and Trademark Office Society, 79, 791.
Gottuso, K. (2011). Secret prior art: Does prior art in a provisional patent application bar future patents. Missouri Law Review, 76(3), 917.
Grabowski, H. G., & Vernon, J. M. (2000). Effective patent life in pharmaceuticals. International Journal of Technology Management, 19(1–2), 98–120.
Hall, B. H., Jaffe, A. B., & Trajtenberg, M. (2001). The NBER patent citation data file: Lessons, insights and methodological tools (Working Paper No. 8498). National Bureau of Economic Research. Retrieved from http://www.nber.org/papers/w8498
Marcus, B. I. (2007). Provisional patent applications, their practical uses and potential pitfalls. In Institute’s patent prosecution workshop 2007. Retrieved from http://www.vierramagen.com/patents/2007Provapp.pdf
Miller, T. R. (1996). United States provisional patent applications and paris convention priority rights—The same effect. IDEA: The Journal of Law and Technology, 37, 161–180.
Sukhatme, N. U., & Cramer, J. N. L. (2014). Who cares about patent term? cross-industry differences in term sensitivity (SSRN Scholarly Paper No. ID 2293245). Rochester, NY: Social Science Research Network. Retrieved from http://papers.ssrn.com/abstract=2293245
USPTO. (2015a). Provisional application for patent. Retrieved from http://www.uspto.gov/patents-getting-started/patent-basics/types-patent-applications/provisional-application-patent
USPTO. (2015b). USPTO annual reports (fiscal year 2014 PAR). Retrieved from http://www.uspto.gov/about-us/performance-and-planning/uspto-annual-reports
Van Horn, C. E. (1994). Practicalities and potential pitfalls when using provisional patent applications. AIPLA Quarterly Journal, 22, 259.
Author information
Authors and Affiliations
Corresponding author
Rights and permissions
About this article
Cite this article
Chen, CT., Chen, DZ. Who files provisional applications in the United States?. Scientometrics 107, 555–568 (2016). https://doi.org/10.1007/s11192-016-1855-z
Received:
Published:
Issue Date:
DOI: https://doi.org/10.1007/s11192-016-1855-z