How to File a Provisional Patent Application on Your Own (DIY / Pro Se Guide)

How to File a Provisional Patent Application on Your Own (DIY / Pro Se Guide)

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Filing a provisional patent application on your own—without a patent attorney—is possible in many situations, especially for early-stage inventions and startups. However, DIY filing works best when you understand what is required, what can be skipped, and how the USPTO's filing process actually works. This guide provides a practical, step-by-step walkthrough for filing a provisional patent application pro se, including required forms, filing steps, common mistakes, and limitations of the DIY approach.

Note: This article is for educational purposes and is not legal advice. Also, the USPTO is constantly updating its website and some of the features, forms, and steps mentioned below may change over time.

In this guide, we will cover:

When Filing a Provisional Patent Application on Your Own Makes Sense {#when-diy-makes-sense}

Filing a provisional patent application on your own—without hiring a patent attorney—can be a practical option in certain situations. Many individual inventors, early-stage startups, and small teams choose to file a provisional application pro se to secure an early filing date while they continue developing their invention or assessing its commercial potential.

DIY filing is most appropriate when:

  • The invention is still at an early or MVP stage
  • The inventor understands the core technical features of the invention
  • The goal is to establish an initial priority date rather than pursue immediate claim enforcement
  • Budget constraints make hiring a patent attorney impractical at the provisional stage

In these scenarios, a properly prepared provisional application can serve as a valuable placeholder, provided it includes a sufficiently detailed description of how the invention works.

When DIY Filing May Be Risky

Filing a provisional patent application on your own is not always advisable. DIY filing becomes riskier when:

  • The invention involves complex technology that is difficult to describe clearly
  • There are multiple inventors or complicated ownership arrangements
  • Broad or strategically important patent protection is critical
  • The inventor is unsure what technical detail must be disclosed to preserve future claim scope

In these cases, errors or omissions in a provisional application can limit the benefit of the filing or create problems later when a non-provisional application is prepared.

The steps below are intended to help inventors understand the mechanics of filing a provisional patent application pro se through the USPTO. They do not replace careful drafting of the provisional application itself, which remains the most important part of any DIY filing strategy.

Before You File: General Drafting Considerations for DIY Provisional Applications {#before-you-file}

Before walking through the mechanics of filing a provisional patent application, it is important to understand that the substance of what you file matters far more than the act of filing itself. A provisional application only protects what is actually disclosed, and the level and type of detail required can vary significantly depending on the nature of the invention.

Drafting Varies by Type of Invention

Patent applications do not look the same across all technologies. For example:

  • Software inventions typically require detailed descriptions of algorithms, process flows, system architecture, and data handling
  • Mechanical inventions often rely on structural descriptions, physical components, and detailed drawings
  • Pharmaceutical or chemical inventions may require formulations, compositions, or experimental detail

Because of these differences, there is no single "one-size-fits-all" approach to drafting a provisional patent application.

General Drafting Guidelines for DIY Filings

Regardless of the technology, a strong provisional application should follow a few core principles:

  • Be thorough rather than minimal
  • Focus on how the invention works, not just what it does
  • Describe implementation details at a technical level
  • Include alternative embodiments or variations where possible

High-level ideas, business goals, or marketing descriptions alone are rarely sufficient to preserve meaningful patent rights.

For inventors working on software or computer-implemented inventions, we provide a detailed, step-by-step drafting guide here: Provisional Patent Application Requirements for Software, Algorithms & MVPs (DIY Guide)

Common DIY Drafting Mistakes to Avoid

Many pro se inventors unintentionally weaken their provisional applications by making avoidable mistakes, such as:

  • Providing only a high-level or incomplete description of the invention
  • Describing the outcome or results the invention produces without explaining "how" the invention produces the result or outcome
  • Omitting descriptions of key components or alternative implementations
  • Failing to include details that are typically expected for the relevant technology area

We discuss these issues—and how to avoid them—in more detail in: Filing a Provisional Patent Application Pro Se: Common Inventor Mistakes (and How to Avoid Them).

The steps below focus on the procedural process of filing a provisional patent application with the USPTO. However, careful drafting of the provisional application itself remains the most important part of any successful DIY filing strategy.

Step 1: Set Up Your USPTO.gov Account {#step-1}

Before you can file anything online, you'll need a USPTO.gov account. You can register here: https://account.uspto.gov/profile/create-account.

Go to the USPTO's account creation page and create a USPTO.gov account.

Verify your email and complete any required identity steps.

Once your account is created, you will use it to log in to Patent Center, the USPTO's online filing system.

This account will be your gateway for uploading documents, paying fees, and viewing your filing receipts.

Step 2: Prepare the Forms to File with Your Provisional Application {#step-2}

The exact documents you file can vary depending on your situation. That said, there are a few common documents you should know about and consider filing with your application:

The above forms can be accessed on the Forms for Patent Application page of the USPTO website: https://www.uspto.gov/patents/apply/forms.

1) Application Data Sheet (ADS) – Most Important

The Application Data Sheet (ADS) is the most important document you will file with your provisional application.

It contains key bibliographic information: inventor names, addresses, correspondence information, applicant data, and (if applicable) any priority claims.

The USPTO provides both:

  • A Web-ADS (an online form you fill out in Patent Center), and
  • A fillable PDF ADS that you can upload.

Recommendation: Use the online Web-ADS in Patent Center whenever possible. It reduces clerical errors and ensures your data is captured correctly.

If you do file nothing else, make sure you file a properly completed ADS with your provisional patent application.

2) Provisional Cover Sheet (Form SB/16)

The Provisional Cover Sheet is a short form that tells the USPTO you intend the submission to be treated as a provisional application (not a non-provisional).

It includes basic info such as title of the invention, inventor names, and contact details.

While the ADS can capture much of this data, the Provisional Cover Sheet helps clearly label your filing as a provisional application.

If you have trouble finding this form on the Patent Forms page, perform a text search on "SB/16" to quickly find the form.

3) Inventor Declaration(s) (Form AIA/01)

An Inventor Declaration is a statement signed by each inventor confirming that they believe themselves to be an original inventor of the subject matter claimed in the application.

For provisional applications, a declaration is not strictly required at filing.

However, it is still a good practice to collect signed declarations from all inventors early, especially if:

  • There are multiple inventors, and
  • Some are employees, contractors, or collaborators who may later become difficult to reach.

Inventor declarations are not strictly required to be filed in provisional applications. However, having signed declarations ready now can make it easier when you file the later non-provisional application. For example, in some cases, a co-inventor may disappear, pass away, or refuse to later sign when it comes time to file a non-provisional application. Therefore, it is good practice to secure inventor declarations from all inventors at the time the provisional is filed.

If you have trouble finding this form on the Patent Forms page, perform a text search on "AIA/01" to quickly find the form.

4) Micro Entity Certification (If You Qualify)

The Micro Entity Certification is an optional form that allows qualifying applicants to pay significantly reduced USPTO fees.

The most common way for inventors or startups to qualify for micro entity status is on a "gross income" basis, which requires that all inventors and entities associated with the provisional not exceed a "maximum qualifying gross income" in the previous calendar year. This limit on gross income changes based on a report by the Census Bureau that is typically released in September of each year.

Other requirements of micro entity status include:

  • Application filing limit: "Neither the applicant nor the inventor nor a joint inventor has been named as an inventor on more than four previously filed applications."
  • Small entity requirement: "The applicant(s), each inventor, and any other party with an ownership interest in the invention" qualify as a "small business concern."

For a full description of the micro entity status criteria, you can visit: https://www.uspto.gov/patents/laws/micro-entity-status.

If you don't qualify for micro entity status, you almost certainly will qualify as a small entity status, which also provides reduced fees compared to large entities. In that scenario, you do not need to file a separate form to take advantage of small entity – rather, you can simply designate this on the ADS form.

Step 3: File Your Provisional Application via USPTO Patent Center {#step-3}

Once your provisional patent application is finalized and your forms are prepared, you're ready to file.

Log in to Patent Center using your USPTO.gov account. You can access Patent Center here: https://patentcenter.uspto.gov/.

From the main dashboard (located at the bottom of the screen), choose the "New submission" option.

When prompted for the application type, select the "Utility Provisional" option.

You will be asked whether you wish to use the Web-ADS:

  • If yes (recommended), complete the online ADS form during the filing process.
  • If not, upload a properly completed PDF ADS.

If you used the Web-ADS option, your ADS will automatically appear in the upload window. You will need to manually upload your:

  • Provisional application (your specification, figures, etc.)
  • Provisional Cover Sheet (if using)
  • Inventor Declarations (if filing at this time)
  • Micro Entity Certification (if applicable)

A "Preview" option will appear next to each document you have uploaded. Review all uploaded documents carefully before proceeding. When ready, click Submit to file your application.

Bare Minimum vs. Recommended Filing Package

Bare minimum (not recommended):

  • Your provisional application (including your specification, figures, etc.)
  • Application Data Sheet (ADS)

Stronger practice (recommended):

  • Your provisional application
  • Application Data Sheet (ADS) – preferably Web-ADS
  • Provisional Cover Sheet
  • Inventor Declarations (especially if there are multiple inventors)
  • Micro Entity Certification (if applicable)

The more complete your initial filing package, the smoother things will be later.

Download and Save Your USPTO Filing Receipt

After you submit your application, Patent Center will generate a USPTO Electronic Filing Acknowledgement (filing receipt).

Very important:

  • Download and save this acknowledgement immediately.
  • It is proof of your filing date, time, and application number.
  • Keep this document with your records—this is your evidence that a provisional application was successfully filed.

Step 4: Pay USPTO Filing Fees Through Patent Center {#step-4}

Next, you must pay the required USPTO filing fees. Fees are paid directly through Patent Center using the online payment system.

On the same interface that presents your USPTO Electronic Filing Acknowledgement, you will see a "Payment" button (on the right) which enables you to pay the USPTO filing fees.

If you are unsure which fees need to be paid, you can read our article: Ultimate Guide: Provisional Patent Applications (PPA) in the Age of Artificial Intelligence (AI). This article includes a section entitled "Provisional Patent Application Costs" which explains the provisional application filing fees for large, small, and micro entities.

Fees Must be Paid on the Same Day as Filing

In general, your provisional application filing fees must be paid on the same calendar day as the filing of your provisional application.

The USPTO operates on Eastern Time (ET), so:

  • Avoid starting your filing late at night shortly before midnight Eastern Time; and
  • Give yourself plenty of time to upload all documents, file your application, and complete payment.

If you fail to pay the fees on the same day:

  • The USPTO may issue a notice requiring payment of the missing fee plus a surcharge, and
  • Your filing date could be affected if the fees are not handled properly.

Save Your USPTO Payment Acknowledgement

Once your payment goes through, download the USPTO Electronic Payment Acknowledgement.

Store it together with your USPTO Electronic Filing Acknowledgement.

Together, they confirm that your application was filed and paid for properly.

Step 5: Prepare and Record Assignment of Invention (Optional but Important for Companies) {#step-5}

If you want the rights in the invention to be owned by your company (rather than by the individual inventors), you should prepare and execute an Assignment of Invention.

What Is an Assignment?

An assignment is a written agreement that transfers ownership of the invention from the inventor(s) to another entity (e.g., your LLC, corporation, or startup).

The USPTO does not provide a standard assignment form.

Assignments are typically drafted by attorneys, but you can often find sample templates online as a starting point.

Where Is the Assignment Filed?

Assignments are not filed as part of the provisional application in Patent Center.

Instead, they are recorded separately in the USPTO Assignment Database, which serves to document the official chain of title for patents and patent applications.

Each inventor should execute an assignment.

Then you record all of the assignments with the USPTO's Assignment Center filing system, linking it to your provisional application number.

You can access the USPTO Assignment Center here: https://assignmentcenter.uspto.gov/.

Pro Tip for Startups with Multiple Inventors

Under U.S. law, patent rights initially belong to the inventors, not automatically to the company—unless there is a contract that says otherwise (such as an employment agreement, IP agreement, or assignment).

If your provisional application is naming multiple inventors (e.g., co-founders, employees, or independent contractors) and you want to ensure the company owns the rights to the invention:

  • Make sure each inventor signs an Assignment transferring their rights to the company.
  • Do this as early as possible, ideally close to the filing date of the provisional application.

This ensures your company—not individual inventors—owns the patent rights, which can be very important later on for various reasons.

Final Thoughts {#final-thoughts}

Filing a provisional patent application pro se is doable, but it requires careful attention in connection with:

  • Preparing a robust provisional application
  • Preparing the correct set of forms to be filed with the provisional application
  • Setting up an account with the USPTO
  • Correctly filing and paying fees through Patent Center
  • Handling ownership through proper assignments, especially for companies
  • Recording ownership rights with the USPTO Assignment Database

If you need assistance, consider signing up for Idea2PatentAI. Amongst other things, our AI-powered patent drafting system enables inventors, entrepreneurs, and startups to draft robust provisional patent applications. For users seeking help with filing their provisional application, it also provides access to our Attorney Referral Network, which includes experienced patent attorneys who offer deeply discounted rates to platform users.

Article Information

By Idea2PatentAI Editorial Team

Reviewed by U.S. Patent Attorney (15+ years of experience)

Last updated: January 31, 2026

Editorial Standards

This article is prepared by the Idea2PatentAI editorial team and reviewed for technical accuracy by a U.S. Patent Attorney. It is provided for educational purposes only and does not constitute legal advice. Reading this article or using Idea2PatentAI does not create an attorney-client relationship. For advice regarding your specific situation, consult a qualified attorney.

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