submit your invention research project below

Submit an Invention Disclosure

Now that you have an idea with the potential to change the world, you need to protect your interests. Submitting an Invention Disclosure, also called a Record of Invention (“ROI”), is the first step in protecting your interests, and the ideal time to do so is before your invention has been published, publicly presented, or discussed outside of UC Davis.

Even before submitting an ROI, our team can discuss any questions you might have and can help assemble a strategy for patenting and commercial partnering.

Submit an ROI

How to Submit an ROI

To submit an ROI, you will need to access our  Inventor Portal . The information below provides a guide to accessing our Inventor Portal and submitting an ROI. If you have any questions or experience any issues with the Inventor Portal, please email us  for assistance.

Accessing the Inventor Portal

You will access the Inventor Portal using your UC Davis credentials (i.e., the same username and passphrase you use for all other UC Davis accounts). If this is your first time accessing the Inventor Portal, you will create a user profile once authenticated. This will only need to be done once.

• Navigate to the  Inventor Portal  web page.
• If you  have previously accessed  the Inventor Portal, you will immediately be directed to the Inventor Portal and can submit an ROI.
• If you  have not previously accessed  the Inventor Portal, you will be directed to a webpage asking you to enter your UC Davis email address. If your email address is found in our system, your profile page will be displayed allowing you to verify the information in our records. If your email address is not found in our system, you will be asked to provide some information. Once done verifying information or entering in your information, click “Create Account.”

Submitting an ROI

• Once logged in, click “Add New Disclosure” on the left-hand side of the page.
• In the “Short descriptive title” field, enter a short title that is sufficiently descriptive to identify the general nature of the invention. Four to eight words in length is usually about right.
• Under the “Choose the Type of Disclosure” dropdown, select “Record of Invention” from the available choices.
• When finished, click “Create New Disclosure.”
• Carefully read the information within the “Introduction” area.
• If an individual  is listed , click “Choose” under their name.
• If an individual  is not listed  after your search, click “Add a new Contact” and fill in the requested information.
• After adding the individual(s), you can then change their permissions to view or edit the disclosure. Under the “Inventor’s Disclosure Permissions/Access,” you can indicate the permissions you wish the individual to have for the draft ROI. If “Editor” is selected, the individual will have the permission to add, edit, and delete the disclosure. If “View Only” is selected, the individual can only add remarks and view the disclosure.
• When finished, click “Save Changes” to add the individual(s).
• To include inventors who are  not employed by UC Davis or who have a joint appointment , click “Add Additional Information.” This will allow you to add the inventor’s name, their institution in the appropriate field, and joint appointment percentage, if applicable. When finished, click “Save.” If you need to add more than one inventor who is not employed by UC Davis, click “Add Additional Information” again and a new row will be created. Make sure to click “Save” after each addition.
• In the first field, provide a brief summary which addresses the essential nature of the invention and which would enable another person working in the field to reproduce the invention. Also, describe the advantages of the invention.
• In the second field, provide a detailed description of the invention. Point out its novel features. Do not withhold any key elements of the invention, as a complete description is essential to an enforceable patent. Please note that manuscripts can be attached, so please do not copy them here.
• In the “Documents” area, attach any relevant documents that contain and/or describe the invention, including manuscripts, published papers, grant applications, grant summaries, drawings, and presentations. To attach a document, click “Choose File.” A pop-up box will appear allowing you to choose which document you would like to attach. After choosing the document, click “Open.” Click “Upload Document” to finalize the attachment. You should now see the document listed. If you have multiple documents, this process will need to be repeated for each one individually.
• In the “Interests” area, you may add key words related to the invention. To add key words, click “Add Interest.” A pop-up box will appear with key words that are already in our database. If a key word is not on the list, click “Add a New Interest” to add one. When finished, click “Add Interest.”
• In the “OR Annual Report” area, choose the category from the dropdown list that most closely describes the field of your invention.
• NOTE:  Funding often carries patent obligations, so be sure to include all outside agencies, organizations, or companies that actually provided any expense funding to any inventor for the research that led to the conception or first actual reduction to practice of the invention. Do not list any funding source gratuitously. Failure to provide complete information on funding sources may result in delayed processing of your disclosure and/or difficulty in the University’s fulfilling its legal obligations to research sponsors.
• In the second “Invention” area, please provide the requested details about the conception of the invention.
• If you indicate that  public disclosure was made , please list the public disclosures by clicking “Add Additional Information.” This will allow you to add the type of public disclosure, the audience/location, the date when the disclosure occurred, and to indicate whether any attachments related to this public disclosure are included in the ROI. When finished, click “Save.” If you need to add more than one public disclosure, click “Add Additional Information” again and a new row will be created. Make sure to click “Save” after each addition.
• If you indicate that you are  planning to make a public disclosure , please provide the requested details about the planned disclosure. Also, please list the planned disclosures by clicking “Add Additional Information.” This will allow you to add the type of public disclosure, the audience/location, the date when the disclosure will be made, and to indicate whether any attachments related to this public disclosure are included in the ROI. When finished, click “Save.” If you need to add more than one planned public disclosure, click “Add Additional Information” again and a new row will be created. Make sure to click “Save” after each addition.
• If the invention  does utilize data or materials obtained from a third party , please check all the types of data or material that apply. Also, indicate whether an MTA or other document was put into place to facilitate the transfer of the non-UC material. If so, please indicate the name of the party and attach a copy of the agreement in the “Documents” area of the ROI.
• If you know of  any references, patent applications, or other publications  that may be related to the invention, please list the references and attach a copy of the references in the “Documents” area of the ROI.
• If the company or contact  is listed , click “Choose” under their name. When finished, click “Save Changes” to add the company or contact to the ROI.
• If the company or contact  is not listed , click “Add a new Company” or “Add a new Contact” and fill in the requested information. When finished, click “Save Changes” to add the company or contact to the database. You must also click “Save Changes” again to add the company or contact to the ROI.
• NOTE:  You may receive an email confirming the remark was added to the ROI.
• In the “Subscribers” area, you may add contacts who are not Inventors (e.g., lab managers, assistants, deans, department heads, etc.) that you would like notified by email of events and actions that take place with the ROI. To add a subscriber, click “Add Subscriber.” A pop-up box will appear where you can add the individual’s name and email address. When finished, click “Save Changes.”
• NOTE:  Once submitted, the ROI will no longer be editable. If you need more time or would like to come back to the ROI at another time, click “Save As Draft” before exiting. This will save the ROI in your Inventor Portal, and you can come back to it at a later time to submit. You may also download the ROI as a PDF and/or as Word document at any time.

Best Practices for Inventors

Maintenance of good laboratory records is important. Experiments should be written out and explained in a bound notebook. Data may be maintained in separate folders referenced in the laboratory notebook. Pages of the notebook should be dated and signed regularly. It is best if they are also periodically witnessed, signed and dated by a knowledgeable colleague who is not likely to be named as a co-inventor.

Visit  G-40, University of California Patent Program, Appendix E, Suggestions for Invention Record Keeping , for more information.

Be Cautious About Disclosures

While discussions within a research group (e.g., within a closed/confidential lab meeting) should not create issues with patentability, “enabling” discussions with others—including departmental seminars, detailed discussions with visitors, presentations at conferences, and any other public/non-confidential disclosures—can be interpreted as public disclosures and can potentially prevent issuance of a patent. The best way to avoid public disclosure is to not discuss your experiments in a manner that others can readily duplicate. If you seek advice from outsiders, then a confidentiality agreement may be needed. In any discussions with representatives from companies, it is always the best practice to have us put a confidentiality agreement in place.

For more information on UC’s Patent Policy please visit: UC Patent Acknowledgement

If you have any questions or if you need additional information, please  contact us .

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Patent process overview

A step-by-step overview of a patent application and maintenance process.

Step 1: Get ready to apply

Contact Patents Contact information for USPTO resources accessible at all stages of the patent process.

Filing a patent application on your own Provides outreach and education for independent inventors who file patent applications without the assistance of a registered patent attorney or agent.

Public Search Facility Located in Alexandria, VA with trained staff to assist the public in person, via email, and by phone with patent and trademark information and historical collections.

Patent Pro Bono Program: Free patent legal assistance The program provides free legal assistance to underresourced inventors interested in securing patent protection for their inventions.

Law School Clinic Certification Program Free legal help provided by law students, who gain experience drafting and filing patents and trademark applications for clients of the law school clinic.

Inventors Assistance Center Provides patent information and services to the public. Staffed with experienced examiners who answer general questions about patent examining policy and procedures.

Receipts Accounting Division (RAD) For information on fee payments, including maintenance fees, deposit accounts, and refund requests.

Access our free services The USPTO offers a wide range of resources, services, and training programs that support the full spectrum of customers in both the private and public sectors.

Small and medium-sized enterprise resources A specialized list of resources for small and medium-sized enterprises (SMEs), independent inventors, and entrepreneurs looking to grow a business and protect intangible business assets like IP.

Startup resources A hub for startup resources to help you address the intellectual property (IP) challenges specific to startups, including securing funding and guarding against costly infringement litigation.

A. Determine the type of intellectual property (IP) protection you need

To protect your invention, you may need a patent, trademark, copyright, trade secret, or some combination of these. Before you begin preparing a patent application, find out if you really need a patent and not some other form of IP protection.

• Do I need a patent, a trademark, or a copyright?
• IP Identifier tool

B. Determine if your invention is patentable

To find out if you can patent your invention, you need to know the answers to a few questions:

• Who can apply for a patent?
• What can and cannot be patented?
• How do I know if my invention is patentable?
• How much does it cost in USPTO fees to get a patent?

Find answers to other questions on our  Patent FAQs page .

C. Search to see if your invention has already been publicly disclosed by another party

Normally you cannot get a patent if your invention has already been publicly disclosed prior to filing a patent application for your invention. Therefore, a search of all previous public disclosures should be conducted, including a search of foreign patents and printed publications. A public disclosure of the invention made by, or that originated from, the inventor or a joint inventor more than one year prior to filing a patent application for the invention will also preclude patenting.

We encourage novices to contact the nearest Patent and Trademark Resource Center (PTRC) for help from search experts in setting a search strategy. A registered patent attorney or agent, or a patent search firm is often a useful resource.

It is possible, though challenging, to conduct your own preliminary search. Your search may not be as complete as one made by the USPTO when examining an application. For this reason, the patent examiner may, and often does, reject claims in an application on the basis of prior patents or publications not found in your preliminary search.

These sources provide tips on how to conduct your own search:

• Basics of prior art searching  – provides an overview for the need to conduct a prior art search and identify pertinent prior art, with examples of publicly available prior art databases.
• How to conduct a preliminary U.S. patent search: A step-by-step strategy  – provides a web-based video tutorial (36 minutes).
• The Multi-Step Patent Search Strategy  – outlines a suggested procedure for patent searches.
• Cooperative Patent Classification effort and the United States Patent Classification system  – shows how patent documents are organized in the classification system, which can help you with your search.

Current patents and many filed patent applications (referred to as “pre-grant publications”) may be searched using the   Patent Public Search tool . (Please note that filed applications for design patents will not have a pre-grant publication). See our  Patent Search page  for additional resources.

Once your search has been completed, you may find that your invention may not be identically disclosed in the prior art (i.e. your invention is novel). This does not guarantee patentability. Once assigned, an examiner will conduct their own prior art search as part of the examination process. 

D. What kind of patent do you need? 

Utility patent (nonprovisional).

This is by far the most common type of application submitted to the USPTO. This may be granted to anyone who invents or discovers any new and useful process, machine, article of manufacture, or composition of matter, or a new and useful improvement of any of these.

• Nonprovisional (Utility) Patent Application Guide
• Biotechnical sequence listing  validation  and  authoring  tools
• Business method patent information

Design patent (nonprovisional)

This may be granted to anyone who invents a new, original, and ornamental design for an article of manufacture.

• Definition of a design patent
• Difference between design and utility patents
• How long does patent protection last for a design patent?
• Design Patent Application Guide

Plant patent (nonprovisional)

These may be granted to anyone who invents or discovers and asexually reproduces any distinct and new variety of plant.

• Introduction to plant patents
• Plant Patent Application Guide

E. How much is this going to cost?

A patent application is subject to the payment of a basic filing fee, a search fee, and an examination fee, which are due when the application is filed. Excess claims fees and/or an application size fee may also be due on filing depending on the number of claims and the total number of pages in the specification and drawings.

Fees vary depending on the type of patent application that you submit and if you qualify for fee discounts.

Filing, search, and examination fees

• Check the current fee schedule before submitting your application and any required fees.
• For information on fees under the America Invents Act (AIA) and for prioritized examination, go to our AIA FAQ page and filter on "fees."

The payment of these initial fees does not guarantee you will receive a patent. These fees enable the USPTO to examine your application. Discounts are available if you  meet the requirements for small entity or micro-entity status .

F. Do you need international protection?

The Patent Cooperation Treaty (PCT) is an international treaty with more than 150 contracting states. The PCT makes it possible to seek patent protection for an invention simultaneously in a large number of countries by first filing a single “international” patent application and then pursuing patent rights in countries of interest under separate national procedures for granting of patents instead of filing several separate national or regional patent applications. The granting of patents based on an international application filing under the PCT remains under the control of the national or regional patent offices in what is called the “national phase.”

• Intellectual Property (IP) Attaché Program
• International Patent Legal Administration (formerly PCT Legal Administration)  
• Pursuing international IP protection

G. Determine whether you should hire a patent attorney or agent

Preparing a patent application and engaging in the USPTO proceedings to obtain the patent requires knowledge of patent law and USPTO procedures. It also requires knowledge of the scientific or technical matters involved in the particular invention.

You may prepare and file your own application with the USPTO as a “pro se” applicant. Don’t be intimidated by the Latin term “pro se.” It can be translated to "for oneself, on one's own behalf." Legally, when you, an independent inventor, decide to file your application by yourself, you become what we at the USPTO call a pro se applicant. 

• Visit the Pro Se Assistance Program webpage for more information.
• Pro se knowledge pack  [PDF]

When you file as a pro se applicant, you conduct the proceedings with the examiner yourself, but unless you are familiar with these or study them in detail, you may encounter considerable difficulty. While some people not skilled in this area may obtain a patent, there’s no assurance that the patent obtained would adequately protect the invention.

Therefore, most inventors hire registered patent attorneys or agents. They can help you navigate the remaining steps as they act on your behalf. The first step is to contact a registered patent attorney or agent who is accepting new customers. The USPTO cannot aid in the selection or recommendation of an attorney or agent but provides a  searchable directory  of such individuals you can contact directly.  Additional information on attorneys and agents  is also available.

Are you an inventor or small business owner with limited resources and needing help applying for a patent? If so, you may be eligible to receive pro bono (free) attorney representation through either the  Law School Clinic Program  or the  Patent Pro Bono Program.  Additionally, the USPTO maintains several other  legal assistance resources and programs  for independent inventors, entrepreneurs, and small businesses. 

It is possible, though challenging, to file a patent application on your own. The remaining steps will guide you through the filing process.

Step 2: File your application

Patent Center Filing and application management incorporated within a single user interface for enhanced user experience.

Patent Electronic Business Center Assists customers with filing and review of electronic patent application submissions via Patent Center.

Forms for patent applications Due to the enactment of the America Invents Act in 2012, this page contains forms for patent applications filed on or after September 16, 2012.

Application Assistance Unit Staff are trained to answer questions about the pre- and post-examination processing of patent applications.

Patent Cooperation Treaty This international treaty makes it possible to seek patent protection simultaneously in a large number of countries by filing a single international application.

If you have employed a registered attorney or agent, they can file on your behalf.

If planning on filing your application yourself, see the  Patent Application Guides  for information on the required parts, form, and content of a patent application (MPEP § 600) for filing the type of patent application you have determined is right for you.

If you are an independent inventor, contact our  Pro Se Assistance Program . It offers free assistance if you choose to not hire a patent attorney or patent agent. The Pro Se Assistance home page provides a number of resources for independent inventors throughout the patent process.

A. Create and validate your USPTO.gov account

The USPTO strongly recommends applicants register for a USPTO.gov account in order to make the most of our systems. Registration allows users of the USPTO’s Electronic Filing System Patent Center the ability to electronically save materials being created for submission and to file follow-on materials online. While it is possible to file a patent application online as an unregistered user without a customer number, you will not benefit from the USPTO tools available online to view and track your submission if you do so. In order to track the progress of your application and respond to USPTO correspondence online, you must become a registered user by obtaining a customer number and verified USPTO.gov account. We highly encourage you to register in order to make the most of our systems.

Getting started as a registered e-Filer

Your application does not have to be ready to open your verified USPTO.gov account. Start this process as early as possible so that when you are ready, you can file your application as a registered user. Find more information regarding the account creation process at the  Patent Electronic Business Center (EBC) .

An additional non-electronic filing fee applies to file by postal mail or hand-delivery when filing a non-provisional utility application. The non-electronic filing fee does not apply to design, plant, or provisional applications.  Find out more about filing your application this way .

B. Prepare your application

See the  Patent Application Guides  for the detailed legal requirements for filing the type of patent application you have determined is right for you.

Do you want to file a provisional or nonprovisional application?

Provisional application A provisional application is a quick, inexpensive way for you to establish a U.S. filing date for your invention that can be claimed in a later-filed U.S. nonprovisional, PCT, and/or foreign application. Provisional applications will not be examined and never lead to patents by themselves. After filing a provisional application, you will have 12 months from the provisional filing date to file your U.S. nonprovisional, PCT, and/or foreign application. Please note that provisional applications cannot be filed for design inventions.

Basics of Filing a Provisional Application 

Nonprovisional application A nonprovisional application is examined by a patent examiner and may be issued as a patent if all the requirements for patentability are met. To file your nonprovisional application, you must prepare all your documentation. This includes submitting the contents in a standardized format, along with all required forms and fees. Consult this  checklist for filing a nonprovisional utility patent application  [PDF] for more information regarding the required forms and content.

If filing a nonprovisional application claiming the benefit of the filing date of a provisional application, your nonprovisional must properly refer to the application number of your prior-filed provisional in an Application Data Sheet (ADS) for your claimed invention to be eligible to receive the benefit of the provisional filing date. Here are tips for filling out your Application Data Sheet [PDF].

C. Submit your application

Submit your initial application with all the required parts for obtaining a filing date and include the correct fee. Here are some elements to consider:

• Checklist for filing a nonprovisional utility patent application  [PDF]
• Parts, Form, and Content of Application (MPEP § 601)
• Patent application filing fees
• Accepted payment methods
• Small-entity and micro-entity status information
• Inventor Info Chat Claim Drafting presentation (Video) 
• Additional guidance regarding Signatures 
•   Petitions to make special – applicant’s age or health   

Online submission

Once your documentation is ready, submit your application online by logging in to  Patent Center  through your validated USPTO.gov account. Filing online provides a better guided filing experience and avoids additional paper-filing fees. Here are some resources to help you:

• How to access our online filing and application status systems
• Filing documents during an outage
• Additional help; first-time online filers may also contact the  Patents Electronic Business Center  for assistance in the online filing process

As a part of our continuous efforts to modernize and streamline our patent application systems, applicants have the ability to file patent application-related documents in DOCX format through Patent Center. Patent Center registered and unregistered users may file the specification, claims, abstract and drawings in DOCX format. Specification, claims and abstracts not filed in DOCX format will incur a non-DOCX surcharge of up to $400 for this filing type, effective January 17, 2024.

• File patent application documents in DOCX
• Top three helpful tips for filing patent applications as you move to DOCX format

When you submit your documentation, be sure to include:

• DOCX Specification Template  [DOCX] — a simplified template for new filings with the most common specification sections. In Patent Center this template will autodetect the Specification, Claims, Abstract, and Drawings sections.
• Claim drafting assistance  [PDF] — a presentation on claim format and drafting strategy. (Fees mentioned are subject to change).
• An abstract (about 150 words or less) on a separate sheet
• Drawings (if needed)
• Fees (filing, search, and examination), plus any other required fees
• Oath or declaration signed by all inventors (if more than one inventor, submit more than one form) Oath or Declaration examples
• Video Guidance for filling out the Micro Entity Status Form (PTO/SB/15A)
• Understanding the Application Data Sheet (ADS)  [PDF] — a presentation on information and tips for filing an ADS
• See  Checklist for filing a nonprovisional utility patent application  [PDF] for additional information.

Before you sign your application, carefully review the written specification and claims. You will not be able to add any new information to your application after it is filed.

D. Pre-prosecution

Once your application has been received by the USPTO, it will then be reviewed for formalities and completeness. If your application contains informalities or is incomplete, you will receive a notice outlining the requirements to complete your application (e.g. Notice to File Missing Parts or Notice of Incomplete Application).

A Notice to File Missing Parts will be sent to you in the event that an essential filing requirement is found to be missing when your application is filed. Some examples of essential filing requirements are: appropriate filing fees, improper entity status, and improper priority claims.

A Notice of Incomplete Application is sent to you when nonprovisional application papers are deemed incomplete. Essential filing papers are the specification, drawings, and claims. The filing date of the application will be the date the corrections are made. More information on application completeness can be found in the Manual of Patent Examining Procedure (MPEP) § 506. You will be given a time period to complete the application filing (a surcharge may be required). Timely response to correspondence from us and keeping your contact information up to date is important so you won’t miss important correspondence. If the omission is not corrected within the specified time period, the application will be abandoned.

If your application becomes abandoned at this stage and you still want to pursue this patent, you may be able to revive your application or request withdrawal of the abandonment by filing a petition (fees, forms and requirements vary). The type of petition needed depends on the circumstances surrounding the abandonment of your application.

If you filed a non-provisional application and no outstanding matters remain on perfecting your application, then your application will be routed to a patent examiner who will determine patentability.

E. How long will this take?

You can check the status of your patent application and review the file history in Patent Center . You can search by application number, patent number, PCT number, publication number or international design registration number.

• Check the First Office Action Estimator for an estimate of how long until you receive your first letter from USPTO in response to your application. 
• See the Patents Data Visualization Center for an average first office action time estimate and total pendency. This will be available once the application has been classified.

Consider expedited examination options. The USPTO Patent Application Initiatives Timeline displays various programs to help you during each phase of the patent process. View a detailed list of programs available prior to examination .

Step 3: Application prosecution

Patents Ombuds Office Provides assistance for patent applications that may appear to be stalled in the patent examination process and can assist with getting applications back on track.

Patent petitions If you want us to take certain action in your patent or patent application, you may need to file a petition. Learn all about petitions here, including which type you may need, ways to file them, and how they are decided.

New to PTAB? Independent inventors, new practitioners, and others can explore the links below to better understand the Patent Trial and Appeal Board's (PTAB) role during and after the patenting process.

If you choose legal representation, remember that once an application is filed by a patent attorney or agent, the USPTO will only communicate with the attorney or agent. The USPTO does not simultaneously correspond with you and a legal representative ( 37 CFR 1.33 ).

The work of examining patent applications is divided among various technology centers (TCs), each overseeing assigned fields of technology. Each TC is headed by group directors and staffed by examiners and support staff. The examiners are assigned to units specializing in the broad and specific subject areas that best cover your invention and review applications and determine whether patents can be granted.

Once your application has been assigned for examination, your examiner will review the contents of your application to determine if it meets all legal requirements for a patent to be granted. The examination consists of a study for compliance with legal requirements (e.g. utility, double patenting, non-statutory double patenting) and a search through U.S. patents, publications of patent applications, foreign patent documents, and available literature. This is to see if the claimed invention is new, useful, and non-obvious, and if the application meets patent statute requirements and rules of practice.

You are notified in writing of the examiner’s decision by an “office action.” This is normally mailed to the attorney or agent of record, or to you directly if not represented by an attorney or agent. There are a number of legal requirements that must be met, including novelty (35 U.S.C. 102), utility and eligibility (35 U.S.C 101), non-obviousness (35 U.S.C. 103), and written description (35 U.S.C. 112), etc. If the examiner determines the application does not meet all of the requirements, the reasons for the determination will be explained in this written office action.

You must request reconsideration in writing, distinctly and specifically pointing out the supposed errors in the office action, and replying to every ground of objection and rejection. The reply must appear throughout to be a bona fide attempt to advance the case to final action or allowance. The mere allegation that the examiner has erred is not a proper reason for reconsideration. You are able to amend your disclosure and/or argue against the examiner's decision at no cost (as long as the response is received within the time period noted in the action). In amending an application in reply to a rejection, you must clearly point out why you think the amended claims are patentable in view of the state of the art disclosed by the prior references cited or the rejections and objections made. You must also show how the claims as amended avoid such references, or rejections and objections.

Be careful to not delay your reply to office action, as this may result in additional fees if filed after the reply period expires or abandonment of your application if you fail to respond to the examiner's office action within the required time. Fees paid are rarely refundable. The reply period is noted in the action. The "shortened statutory" reply period is the time limit to reply without having to pay extension fees.

• Learn more about responding to office actions.
• Patent fees for "Extension of Time"  
• Understanding Prior Art Rejections Slides
• Understanding Prior Art Rejections Video

Consider an “interview” with your examiner  — We encourage our examiners to be proactive in engaging applicants in resolving issues and shortening prosecution. When you receive a non-final (or any other) office action, you may contact your examiner to schedule a meeting or phone call (what the USPTO refers to as an “interview”). The examiner’s contact information and work schedule can be found at the end of every office action. 

After you respond to the first office action, your examiner will review your response, and if the examiner still does not think your application meets the legal requirements for a patent, the examiner will explain the reason(s) in a written second office action. This second action may be indicated as “final”. You will still be able to amend or argue against the examiner's decision within time periods noted in the final action, but with more restrictions than when responding to a first office action.

After an office action is indicated as final, you still have multiple options, the most common of which are as follows:

• Filing a reply after final under 37 CFR 1.116 or under the After Final Consideration Pilot 2.0 that addresses all rejections and objections
• Filing a Request for Continued Examination (RCE) in order to continue prosecution of your application
• Filing a Notice of Appeal with the  Patent Trial and Appeal Board (PTAB)

A detailed  matrix of programs available to assist you during examination  and after final rejection ( close of prosecution ) is available. Each program is designed to advance the progress of a patent application and to provide applicant assistance.

Note that unless the examiner reopens prosecution, applicant successfully removes all grounds of rejection, otherwise places the application in condition for allowance, or applicant otherwise stops the running of the statutory period for response, the application will go abandoned as a matter of law after six months from the mailing of the final rejection. See MPEP § 711.

• Instructions for responding to a Notice of Abandonment
• Electronic Communication Authorization

Step 4: Receive your patent

If the examiner determines that your application meets the patent requirements, you or your legal representative will receive a Notice of Allowance and Fee(s) Due. This means you are entitled to a patent. This will list the  issue fee and may also include the publication fee . You can find frequently asked questions about the notice and the issue fee here , along with the  patent fee table . 

The issue fee (and, if necessary, the publication fee) shown on the Notice of Allowance and Fee(s) Due must be paid for your patent to be issued. This payment must be received by the USPTO within 3 months from the date of mailing of the Notice of Allowance and Fee(s) Due to avoid abandonment of the application. Unlike many other deadlines during examination, this three-month period is not extendable.

The issue fee (and, if necessary, the publication fee) shown on the Notice of Allowance and Fee(s) Due must be paid for your patent to be issued. This payment must be received by the USPTO within three months from the date of mailing of the Notice of Allowance and Fee(s) Due to avoid abandonment of the application. Unlike many other deadlines during examination, this three-month period is not extendable.

The patent grant confers “the right to exclude others from making, using, offering for sale, or selling the invention throughout the United States or importing the invention into the United States." The term of a utility or plant patent generally lasts 20 years from the date the application was filed in the United States, subject to the payment of maintenance fees and any patent term extension, adjustment, or disclaimer. If the application claims the benefit of an earlier filed U.S. application or applications (excluding provisional applications), the patent term ends 20 years from the date the earliest such application was filed.

If you have additional inventions disclosed in your application or you have improvements to your current invention that were not previously disclosed, you may also choose to file additional applications ( Divisional , Continuation , or Continuation-In-Part ) to pursue patent protection for this subject matter. Any of these additional applications must be filed before the patent granted from your current application is issued, or you won't be able to claim priority back to the current application - that is, you must maintain copendency of the current and additional applications.  The additional application must be filed prior to, or concurrent with, the payment of the issue fee of the current ("parent") application, in order to not jeopardize the additional application’s copendency.

The USPTO is issuing electronic patent grants ( eGrants ) for all patents with an issue date on or after April 18, 2023. eGrants are available through Patent Center , the USPTO's electronic patent application filing and management system, which includes patent document viewing.

Step 5: Maintain legal protection for your invention

Pay your maintenance fees The USPTO’s Patent Maintenance Fees Storefront

Patent term calculator Estimate how long before your patent expires using this Microsoft Excel worksheet.

Pay maintenance fees and check the status

For utility patents, maintenance fees are due  3.5, 7.5, and 11.5 years after the date of the patent grant, and each one of those three maintenance fees can be paid without an additional surcharge during the six months preceding those due dates. Maintenance fees can also be paid with a surcharge during the six months following those due dates. Of course, the six months following the 3.5, 7.5, and 11.5 year due dates end on the 4th, 8th, and 12th anniversary dates of the patent grant and those three anniversary dates are the last days to pay the three respective maintenance fees in order to prevent patent expiration. Many patentees set up reminders to pay these fees and to check the  current fee schedule  before submitting any required fees. Failure to pay the maintenance fees leads to expiration of the patent and loss of the accompanying rights. See the  Maintain Your Patent  page for more information.

The USPTO does not mail notices that maintenance fees are due. If, however, a maintenance fee is not paid on time, the USPTO may send a reminder of the ability to pay with a surcharge during the grace period. If the fee is not paid on time, and the fee and surcharge are not paid during the grace period, the patent expires on the date the grace period ends.

After your patent is issued and published

• Record a change of ownership  of a patent (“Assignments”)
• Corrections to patents and published applications, revival of Abandonments, Withdrawal of Grants, and more
• Change of correspondence address  [PDF]

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Protect your ideas

Disclose your ideas.

Standard invention disclosure

Creative work disclosure

Software disclosure

Research tool disclosure

Whether you want to start your own company or license your idea to an established company, the KU Center for Technology Commercialization will help you through the process of partnering, disclosing your findings, filing for patents, and understanding your rights and responsibilities.

Disclosing — the sooner, the better

Submitting your invention to KUCTC is the first step in taking ownership of your ideas. To protect your patent rights in the U.S. and abroad, it's important that you complete an invention disclosure before your work enters the public domain.

What is public disclosure?

Under patent law, public disclosure is any non-confidential communication of an idea or invention.

Public disclosures may include:

• Conventional academic printed and online publications
• Master’s theses and Ph.D. dissertations and open defenses
• Presentations (posters and oral presentations)
• Department and campus seminars
• Information posted online
• Publicly available abstracts of funded grant proposals

What is not public disclosure?

• Faculty and lab meetings attended by KU employees only
• Confidential submissions to publications provided that the journal has confidentiality agreements with reviewers prior to acceptance and publication
• Unfunded government grant applications
• Discussions under a confidentiality agreement

If you’re not sure, please email  [email protected] to check if something you’re planning to do represents a public disclosure, or if you suspect you might have already publicly disclosed your invention.

Remember, faculty, staff and student inventors and creators should submit disclosures per the KU IP Policy . After receiving a disclosure, KUCTC will contact you to schedule a time to discuss the IP and address any questions you may have. The disclosure will then be evaluated to determine potential commercialization and protection strategies if appropriate. Our team will work with you to ensure the process of protecting your ideas is efficient so you can continue to do what you love.

• [email protected]

Commercialization

• Tech transfer process
• Patenting process
• Licensing + Entrepreneurship

Inventor FAQs

What are the inventor's responsibilities.

Each case is different, and so is the level of engagement during the technology transfer process (see an overview of the process here ). The first step is to contact KUCTC if you think you have discovered or created something that may have value outside of academia. From there, the details of the situation will impact the timing and level of engagement needed. It’s important to maintain communication with our team to ensure we are informed of potential publications, interactions with industry representatives, and communications with potential commercial partners. A high level of collaboration between you and our office will help us stay informed as certain actions can impact our ability to protect intellectual property.

Why are lab notebooks & other records important?

A lab notebook and (other research records) are not just integral parts of high-quality research and scholarship, they also are important to protecting intellectual property. These tools provide legal evidence of the conception and development of an invention or documentation of the creation of a work or software. In the case of a disagreement or dispute, a good laboratory notebook and other well-organized documentation may help in determining inventorship of an invention, authorship of a creative work or software, or ownership of intellectual property.

Does public disclosure affect patentability of the invention?

In the U.S., there is a one-year grace period for filing a patent application. That is, a patent application can be filed up to one year after an enabling public disclosure; after that, patent protection is unavailable. In most foreign countries, however, there is no grace period; once an invention is publicly disclosed, patent protection is lost. Therefore, before publicly disclosing any invention or discovery, researchers should first discuss intellectual property issues with KUCTC.

What if I created an invention with someone from another institution or company?

Generally, the invention will be jointly owned between KU and the other institution or company. Each inventor will assign his or her rights to their employer. KUCTC will work with the other institution to decide on management of the invention. Usually, if the other institution is a university or research institution, we will make an inter-institutional agreement that provides for one of the institutions to take the lead on protecting and licensing the invention, sharing expenses associated with the patenting process, and allocating any licensing revenues. If the co-inventor is employed by a company, then the company and KU jointly own the rights in the invention. In this case, if the company wants exclusive use of the joint invention, it will have to license the university's ownership interest in the invention. However, in the absence of such an agreement, under U.S. law, each co-owner is free to license its rights in the invention independently of the other co-owner(s), without notifying them, seeking their permission, or sharing income with them.

What is the definition of an inventor on a patent, and who determines this?

Under U.S. law, an inventor is a person who takes part in the conception of the ideas in the patent claims of a patent application. The law does not recognize individuals as inventors who merely follow someone else's instructions or simply provide lab space, funding and/or equipment. Inventorship of a patent application may change as the patent claims are changed during prosecution of the application. Inventorship is a legal issue and may require an intricate legal determination by the patent attorney prosecuting the application.

What can I expect when completing and submitting an invention disclosure?

Completing an invention disclosure document is the first step for many innovations.  We ask that you provide the most complete information possible even if the questions are unfamiliar. We also now offer additional specialized versions of our form for software, creative works, and research tool inventions. Additionally, all our disclosures were recently updated to make them more approachable and provide improved guidance/instructions (Link to disclosures page).

Completed disclosures (or questions) can be sent to the general [email protected] inbox. Once we receive a disclosure, KUCTC will send you confirmation including a reference number and contact information for your licensing associate.

Why is important to disclose grant or other sponsored research support?

The federal government (NIH, NSF, DOE, etc.) is the biggest sponsor of research at KU. If federally sponsored research results in the development of an invention, KU has certain obligations back to the federal agency. KUCTC works to report accurately and meet those obligations, so this information is critical. Non-federal sponsors (industry, state, non-profits) can also obligations regarding Inventions and other intellectual property.  What to expect when KUCTC reviews a disclosure

Once submitted, our team completes a short “express” review to identify any missing information or deadlines. After that, a formal invention review report or “IRR” (subject to timing) within 60 days of receipt is conducted. The IRR includes:

• A technical review
• Market information
• A review of existing publications and patents.

This process also often results in additional questions. If that happens, the report is returned to the inventors with those questions and a recommendation for what next steps may be appropriate.

• Submit Disclosure
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INVO INNOVATION AND NEW VENTURES

• Invention Management
• Disclosure Process
• Submit Your Disclosure

Submit Your Invention Disclosure

Start by logging into our Inventor Portal and picking the appropriate disclosure form:

• Invention Disclosure Form - available via portal link on our Forms page .
• Software Disclosure Form (Example: source code) - available via portal link on our Forms page .
• Copyright Disclosure Form (Example: artistic or literary work) - available via portal link on our Forms page .

Fill in the required form fields as well as all other relevant ones to add information.

For questions regarding which disclosure form to complete for software (invention vs. software), please read  FAQs for Software and Other Copyrightable Works  and the Inventor Portal FAQs or contact us at  [email protected] . 

Parts of a disclosure form

• Invention title
• Inventors : Enter all inventors' names, as well as the inventors' current school and department affiliation.  Not to be confused with authorship, inventorship applies to everyone who contributed to the conception of an idea. See What is Inventorship?  for a full definition of inventorship and to understand why identifying all inventors is critical.
• Sources of funds : List all funding sources and grant numbers, which must be accurate. Include subcontract information if applicable.
• Marketing abstract : Describe your invention, as well as its relevance, applications and advantages in a less technical manner. 
• Description of invention : Provide a technical description that will be used by the Intellectual Property team and outside counsel to understand what makes your invention distinct from other inventions.
• Public disclosures : List all disclosures (including journal articles, conference abstracts, oral and poster presentations, disclosures to industry and grant proposals) and their dates.
• Discovery information : Provide details of your discovery, including when, where and how it was conceived and documented.
• Prior art: List any other inventions that are similar to yours. This will help our team differentiate yours from others in your field. 
• Commercialization insights : Describe the problem or unmet need that your invention solves or addresses, as well as potential licenses. This will help develop a commercialization plan for the technology.
• Inventor information : Provide complete information on each inventor, including address and phone numbers, citizenship and employee ID number. Leaving these fields incomplete will delay form processing.

The completed and signed form (electronic signatures are accepted) should be sent via email to [email protected] . 

Technology Commercialization FAQ

Corporate research.

Industry sponsored research provides funding for a project that is of mutual interest to both the company and your laboratory. Other benefits include:

• Access to industry experts
• Ability to work in areas of high commercial relevance
• Publication
• Expanded experiences and learning opportunities for students
• Potential for licensing and commercialization of inventions
• Relationship building for subsequent and future research opportunities

The fundamental consideration is value; value of the research to your laboratory and overall goals, and value to the industry partner. For the industry partner, that value often means rights to intellectual property (IP) developed under the project. Many sponsored research agreements (SRAs) provide the industry partner with a limited term option to negotiate a license to IP arising from the sponsored work. This can be a great opportunity to move the invention into full commercial development, but if, for example, you anticipate starting a company based on IP that may be generated under a potential SRA, thoughtful planning is essential. The Corporate Research Alliances team can help you navigate these considerations up through negotiating IP and business terms with the industry partner.

CRA is here to help at any stage, whether you are new to exploring industry research partnerships and would like assistance with ideation, strategy, and outreach to corporate prospects, or if you are already engaged in discussion with a potential industry partner. We can help you determine the value you are bringing to a corporate partnership, gain an understanding of how you hope to benefit from the relationship, and translate that into business and IP terms that provide appropriate benefit to each party.

Commercialization, Patenting and Licensing

The reasons are unique to each researcher but may include:

• Making a positive impact on society
• Feeling a sense of personal fulfillment
• Achieving recognition and financial rewards
• Generating additional lab/departmental funding
• Meeting the obligations of a research contract
• Attracting research sponsors
• Creating educational opportunities for students
• Linking students to future job opportunities

Innovation Partnerships acts as the publishing steward for all mobile applications published on behalf of the University. We can help walk you through the process of preparing to publish your application and the different components needed to both list/publish your application and prepare the build technically. A good starting point is to review our mobile publishing guidelines and then to reach out to [email protected] to discuss your project and plan next steps.

Technology commercialization is the transfer of university research discoveries and new technologies to the private sector. It can occur through the creation of a research relationship with industry, licensing of intellectual property, or formation of a startup company, among other things. Innovation Partnerships serves the entire U-M research community to help them navigate the technology commercialization process.

We encourage you to contact Innovation Partnerships during your early research activities to be aware of the options that will best leverage the commercial potential of your research. Innovation Partnerships staff are trained to assist you with questions related to marketability, funding sources, potential commercial research partners, patenting and other protection methods, startup company formation, University policies and procedures, and much more.

It’s never too early to connect with our team. Complete and submit an Online Invention Disclosure before publicly disclosing your technology or submitting a manuscript for review and publication. Please make sure to list any sponsored programs that were used in support of the invention (federal, foundation or industry) as well as any materials received from third parties used in development of the invention. Also list any potential investors from other institutions or companies.

To avoid risking your patent rights and possibly hindering the opportunity to market your invention, contact Innovation Partnerships before holding any discussions with people or companies outside the U-M community. On the Online Invention Report , include companies and contacts you believe might be interested in your invention or who may have already contacted you about your invention. Studies have shown that over 70% of all licenses are executed with commercial entities known by the inventor, so your contacts can be extremely useful.

Respond to Innovation Partnerships and outside patent counsel requests. While some aspects of the patent and licensing process may require significant participation on your part, we will strive to make efficient use of your valuable time. Keep Innovation Partnerships informed of upcoming publications or interactions with companies related to your intellectual property.

Research Observations and experiments during research activities often lead to discoveries and inventions. An invention is any useful process, machine, composition of matter, or any new or useful improvement of the same. Inventions also may include software, website content and other educational or research content. Often, multiple researchers may have contributed to the invention.

Invention Report The written notice of invention to Innovation Partnerships that creates a record of your invention. An invention report remains a confidential document and should fully document your invention so that the options for commercialization can be evaluated and pursued.

Assessment The period in which you and your Innovation Partnerships Licensing Professional review the invention report, conduct prior art searches (if applicable), and analyze the market and competitive technologies to determine the invention’s commercialization potential. Innovation Partnerships will produce a “Fellows Report” for most inventions. This report will be provided to you and will include general market research, identification of potential licensees, a preliminary prior art search, and a marketing abstract which we may post on our website of available technologies and use in marketing to potential licensees.

This evaluation process, which may lead to a broadening or refinement of the invention, will guide our strategy for protection, marketing to potential licensees and on whether to focus on licensing to an existing company or creating a new business startup.

Protection The process in which protection for an invention is pursued. Patent protection, a common legal protection method, begins with the filing of a patent application with the U.S. Patent Office and, when appropriate, foreign patent offices. Once a patent application has been filed, it typically will require several years and tens of thousands of dollars to obtain issued U.S. and foreign patents. Other protection methods include copyright, trademark, trade secrets, and contractual use restrictions (e.g., for databases and materials).

Marketing With your active involvement, Innovation Partnerships will identify candidate companies that have the expertise, resources, and business networks to bring the technology to market. This may involve partnering with an existing company or forming a startup. Your active involvement can dramatically shorten this process.

Selecting a licensee If creation of a startup has been chosen as the optimal commercialization path, Innovation Partnerships mentors-in-residence are available as a resource to help you develop a commercialization pathway for the startup. If an appropriate and interested existing company, or companies, are selected as a potential licensee, Innovation Partnerships licensing managers work with those potential licensees to develop the appropriate financial and diligence terms in an eventual license agreement to fully commercialize the technology.

Licensing A license agreement is a contract between U-M and a third party in which U-M’s rights to a technology are licensed, without relinquishing ownership, for financial and other benefits. A license agreement is used with both a new startup business or with an established company. An option agreement is sometimes used to enable a third party to evaluate the technology for a limited time (usually 6 months to a year) prior to making a decision about licensing.

Commercialization The licensee continues the advancement of the technology and makes other business investments to develop the product or service. This step may entail further development, sponsored research at U-M, consulting agreements with the inventors, regulatory approvals, sales and marketing support, training, and other activities.

Revenue Revenues received by U-M from licenses are distributed to schools, colleges, departments, units, central administration, and inventors to fund additional research and education and to encourage further participation in the tech transfer process.

Your Innovation Partnerships licensing manager will explain our process to you and sketch out a rough outline of the various steps we’ll move through to get your invention to the marketplace. If you haven’t yet submitted an invention disclosure, you will be given advice as to when you should formally report your invention and told what you are likely to need in terms of research findings in order to be successful. Innovation Partnerships may also begin a preliminary market and patent assessment by looking into competing technologies and other institutions or companies working in your invention area as well as determining the current patent landscape. Any information you have concerning what other universities and companies are doing in your technology area could be very helpful to us. It would also be helpful during this first meeting if you had your lab notebooks, a rough timeline covering your discovery process, past and planned publications and additional research and experimentation, and a list of your applicable funding sources. Researchers who are considering starting up a company will be connected with a Mentor-in-Residence.

U-M researchers are encouraged to contact the Innovation Partnerships office early in the discovery process. While your discovery may not be at a stage appropriate for a patent filing, our licensing managers can work with you to lay out a path for the future, letting you know what data/results you will need before the invention is ready for the next step and potentially patent protection. We can also start discussing possible paths toward commercialization including a variety of funding sources for further development of your idea. As patent protection in some countries is lost upon public disclosure of your technology, it is imperative that you talk with a representative of Innovation Partnerships prior to publishing your research findings or sharing them with any third party by way of a public presentation (meetings, on-line abstracts, theses, dissertations, etc).

Invention Disclosure

An invention disclosure is a written description of your discovery or invention that U-M inventors provide to Innovation Partnerships. We have developed different report forms for different types of creations. The disclosure report should list all collaborating sources of support and include the information necessary to begin pursuing protection, marketing, and commercialization activities. Please attach any draft manuscripts or pending grant proposals in order to provide us with additional relevant background information.

When you submit your report to Innovation Partnerships, it starts a process that could lead to the protection and commercialization of your technology. This may involve beginning the process of filing for patent protection and/or working to identify outside development partners. Federal grants generally require reporting of discoveries to the sponsoring agency, and Innovation Partnerships will handle this for you; the first step to this process is your report to Innovation Partnerships. Similar requirements may exist for other sponsored projects. Innovation Partnerships treats submitted reports as confidential information. Based on the report, Innovation Partnerships may generate a non-confidential description of your innovation in order to assist in marketing the technology. Subsequently-filed patent applications based on the disclosure report will eventually be published by the Patent Office.

Innovation Partnerships will perform the analysis for you. You are encouraged to submit a disclosure report for all discoveries and developments that you feel may solve a significant problem and/or have commercial value. If you are in doubt, contact an Innovation Partnerships licensing manager to discuss the discovery and strategies for commercialization.

You should complete the appropriate disclosure report whenever you feel you have discovered something unique with possible commercial value. This should be done well before presenting the discovery through publications, poster sessions, conferences, press releases, or other communications. If an invention is publicly disclosed (i.e., published or presented in some form) prior to the filing of a patent application, the invention cannot be patented outside of the United States, though U.S. protection may still be available. Be sure to inform Innovation Partnerships of any imminent or prior presentation, lecture, poster, abstract, website description, research proposal, dissertation/masters thesis, publication, or other public presentation including the invention.

Typically, research tools are materials such as antibodies, vectors, plasmids, cell lines, mice, rats and other materials used as “tools” in the research process. If your new tools would benefit other researchers you should report them to UM-Innovation Partnerships. Innovation Partnerships will work with you to develop the appropriate protection, licensing, and distribution strategy. UM-Innovation Partnerships will also work with you if you want to send your research tools to third party providers such as ATCC, Jackson Lab, and Addgene. Most research tools do not necessarily need to be protected by patents in order to be licensed to commercial third parties and/or generate revenue for your laboratory.

Yes, please submit a disclosure report if you have new software, content, databases, apps, and websites that might have commercial value. Innovation Partnerships provides a number of resources for development and commercialization of software, and mobile and digital based technologies. Click here for the Digital Discovery site.

New reports are primarily submitted online, and that process is described on our website . If you have any questions, or would like help submitting your report through another method, call Innovation Partnerships at 734.763.0614 or email us at [email protected].

There are three applicable definitions depending upon the type of intellectual property. With respect to patentable subject matter, an Inventor is an employee who has made an inventive contribution as defined under U.S. patent laws, meaning that an Inventor must have contributed to the conception of ideas claimed in a patent. With respect to software and other copyrightable materials and associated trade and service marks, an Inventor is an employee who has participated (a) materially in the conception of the idea of the operation or design thereof (e.g., the operation of software) or (b) extensively in translating an idea into a fixed medium. With respect to unpatented biologic and chemical materials or laboratory animals, an Inventor is an employee who has taken part (a) in the conception of the idea of the specific material that is to be made and/or (b) significantly in making the material but only where making the material was not a routine or known practice; a person providing material to a second person that uses the material to produce a new material generally will not be considered to be an Inventor of the new material.

Using the policy as a guide, you should attempt to identify all those individuals that might possibly be “Inventors” under the policy. Once the group of potential Inventors is identified, Innovation Partnerships can help identify those that are actually Inventors under U-M policies. Inventorship determinations on patent applications are made by U-M’s outside patent counsel.

All contributors to the ideas leading to a discovery should be mentioned in your report, even if they are not U-M employees. Innovation Partnerships, along with U-M patent counsel, will determine the rights of such persons and institutions. It is prudent to discuss with Innovation Partnerships all working relationships (preferably before they begin) to understand the implications for any subsequent inventions.

Innovation Partnerships will work with the other institution or company to find the best solution for managing the invention. If there is a sponsored research agreement or consulting agreement with a company that relates to your invention, the Innovation Partnerships licensing manager will need to review that agreement to determine ownership and other rights associated with the contract, and to determine the appropriate next steps. Should the technology be jointly owned with another academic institution, the licensing manager will usually enter into an “inter-institutional” agreement that provides for one of the institutions to take the lead in protecting and licensing the invention, sharing of expenses associated with the patenting process, and allocating any licensing revenues. If the technology is jointly owned with another company, the licensing manager will work with the company to determine the appropriate patenting and licensing strategy.

Licensing Managers at Innovation Partnerships examine each newly reported technology to consider a host of issues, including the novelty of the invention, whether it can be protected by patent or other legal protection, marketability of potential products or services, relationship to related intellectual property, size and growth potential of the relevant market, amount of time and money required for further development, pre-existing rights associated with the intellectual property, and potential competition from other products/technologies. This assessment may also include consideration of whether the intellectual property can be the basis for a startup company.

The Innovation Partnerships Fellows Program is run by Innovation Partnerships to assist in assessment of inventions. Innovation Partnerships Fellows, all of whom are U-M graduate students or post-doctoral students, assist in the technical and commercial evaluation of new inventions at University of Michigan in their fields of study. A Fellows Report is an initial technology and market assessment completed by one of the Fellows and reviewed by the assigned Innovation Partnerships Licensing Manager. The Fellows Reports are shared with the inventors for discussion with the Licensing Manager. Typical Fellows Reports include: scientific, market, prior art and patent research and analysis; assessment of commercial viability of new inventions; categorizing inventions into application specific or industry segments; technology marketing abstract composition; and identifying potential licensees or investors.

UM Innovation Partnerships will work with you to develop the appropriate commercialization strategy for the invention. Some technologies lend themselves to non-exclusive licensing (licensing to multiple third parties), while others will only reach the commercial marketplace, and therefore the public, if they are licensed on an exclusive basis. We will try to accommodate inventors’ commercialization wishes. However, the final decision will be determined by our assessment of which strategy will produce the most benefits for the general public, consistent with governmental or institutional policies and other obligations.

Innovation Partnerships supports University software developers who wish to release a project via an open source license. Via a quick consultation with the Innovation Partnerships team we can work collaboratively to determine if there are any limits on the project due to funding constraints, help provide a quick audit of components to ensure compliance with other open source licenses/components and finally help guide decision making on the optimal license choice. Depending upon the circumstances, there are a wide variety of ways to accomplish this goal and key points to consider, such as forward commercial use, update sharing as well as academic collaboration. We welcome this dialogue and the additional opportunity to promote your work via our site and marketing channels.

Intellectual Property Protection - Patents

Although rights may vary from country to country, in general, a patent gives the holder the right to exclude others from making, using, selling, offering to sell, and importing the patented invention. Because it represents a “right to exclude,” a patent does not necessarily provide the holder any affirmative right to practice a technology; that practice may fall under a broader patent(s) owned by others. A patent has two major components: (a) the “specification” (a technical discussion about the invention and how to practice it); and (b) the “claims” (the legal definition of an inventor’s protectable invention).

The PTO is the federal agency, organized under the Department of Commerce, that administers patents on behalf of the U.S. government. The PTO employs patent examiners skilled in all technical fields in order to appraise patent applications. The PTO also issues federal trademark registrations.

Patentable subject matter includes processes, machines, compositions of matter, articles, some computer programs, and methods (including methods of making compositions, methods of making articles, and even methods of performing business). The type of inventions that are patentable vary from country to country.

Some software is patentable, and Innovation Partnerships evaluates the possibility of filing a patent application on software reported to our office; but in most cases patenting is not the preferred pathway for IP protection for software. This is due to a variety of factors, including the recently heightened burden in proving that a software invention is patentable, challenges in proving infringement if a patent is obtained, and the speed at which software markets and products change. In most cases, copyright protection is sufficient to enable commercialization of software.

Under U.S. law, an inventor is a person who takes part in the conception of the ideas in the patent claims of a patent application. Thus, inventorship of a patent application may change as the patent claims are changed during prosecution of the application. An employer or person who only highlights a problem or furnishes money to build or practice an invention is not an inventor. Inventorship is a legal issue and may require an intricate legal determination by the patent attorney prosecuting the application. Inventorship determinations on patent applications are made by U-M’s outside patent counsel.

Patent applications are drafted and filed by a patent attorney or a patent agent (a non-attorney with a science education licensed to practice by the PTO); at U-M, we retain outside patent counsel to draft patent applications. In about one year or longer (depending on PTO backlog in your technology area) the patent attorney will receive written notice from the PTO as to whether the application and its claims have been accepted in the form as filed. More often than not, the PTO rejects the application because either certain formalities need to be cleared up, or because the PTO argues that the claims are not patentable over the “prior art” (anything that workers in the field have publicly disclosed in the past). The letter sent by the PTO is referred to as an “Office Action” or “Official Action.”

If the application is rejected, the patent attorney must file a written response, usually within three months in order to avoid government late fees. Generally the attorney may amend the claims and/or point out why the PTO’s position is incorrect. This procedure is referred to as patent prosecution. Often it will take two PTO Official Actions and two responses by the patent attorney—and sometimes more—before the application is resolved. The resolution can take the form of a PTO notice that the application is “allowable” – in other words, the PTO agrees to issue a patent. This process is referred to as “patent prosecution.

The patent attorney generally will ask you to review an application before it is filed and will also ask you questions in order to determine inventorship of the application’s claims. At the time an application is filed, the patent attorney or Innovation Partnerships will ask the inventor(s) to sign a “Declaration” (which basically says that the inventor made the invention himself and agrees to tell the truth during patent prosecution) and an “Assignment” (which evidences the inventor’s duty to assign the patent to U-M). In addition, Inventors have an obligation to provide to our patent attorney any relevant publications or information that may be relevant to the invention; failure to disclose such information may render any issued patent unenforceable or invalid. During the patent prosecution process, input from the inventor(s) is often needed to confirm the patent attorney’s understanding of the technical aspects of the invention and/or the prior art cited against the application.

Obtaining a patent is expensive. Filing a regular U.S. patent application typically costs between $10,000 and $15,000. To obtain an issued patent may require an additional $10,000 to $20,000 for patent prosecution. Filing and obtaining issued patents in other countries may cost $20,000 or more per country. Also, once a patent is issued in the U.S or in foreign countries, certain government fees are required to keep the patent alive (referred to as “maintenance fees” in the U.S. and “annuities” in other countries).

The U.S. changed to a “first-to-file” patent law in 2013. First-to-file is a shorthanded way of referring to how one defines “prior art.” If two inventors independently seek patent protection for the same invention, the inventor that first filed her/his application will be awarded the patent on that invention (assuming that the application fully describes and enables the invention). Under our old system, in many such cases, a process would be used to determine which inventor made the invention first. While there is a lot of literature on the subject, the reality is that in practice our new law will not affect a lot of competing inventors.

Publishing or presenting can prevent us from obtaining patent protection, so Innovation Partnerships would like to know about your invention before you publish on it. There are significant differences between the U.S. and other countries as to how early publication affects a potential patent. Once publicly disclosed (published or presented in some form), an invention may have a restricted or minimal potential for patent protection outside of the United States. Since patent rights are affected by publishing or presenting, it is best to submit an invention report or call your licensing manager well before communicating or disclosing your invention to people outside the U-M community. Even after you submit an Invention Disclosure, be sure to inform the Innovation Partnerships licensing manager assigned to you of any imminent or prior presentation, lecture, poster, abstract, website description, research proposal submission, dissertation/masters thesis, publication, or other public presentation describing any part of the invention. Submitting a manuscript to your licensing manager at the same time you submit to a journal for publication can be extremely helpful for both the marketing and licensing process as well as for the patent attorney assigned to the case.

Not at all. It is absolutely different than for publications.

The PTO holds patent applications confidential until published by the PTO, 18 months after initial filing. After that time, both the application and the PTO’s prosecution materials related to the application are publicly available.

In the U.S., we have two types of patent applications, one called “provisional” and the other called “nonprovisional”. The main difference between the two is that the PTO will not perform an examination of a provisional application. The provisional must be filed as a nonprovisional within one year of the nonprovisional filing, but the provisional provides a effective filing date for a nonprovisional application that claims inventions described in the provisional application. In short, filing a patent application as a provisional is a procedural designation and does not necessarily make the filing much less expensive or require less work on our part. It is common for U-M to file provisional applications with a full set of claims.

In certain circumstances, U.S. provisional patent applications can provide a tool for preserving patent rights while postponing the cost of negotiating the patent application with the PTO. This occurs because a provisional application is not examined during the year in which it is pending and claims are not required. A regular U.S. application and related foreign applications must be filed within one year of filing the provisional application in order to receive its early filing date. However, an applicant only receives the benefit of the earlier filing date for material that is adequately described and enabled in the provisional application. As a result, the patent attorney likely will need your assistance when an application is filed as a provisional. What’s different about foreign patent protection? Foreign patent protection is subject to the laws of each individual country, although in a general sense the process works much the same as it does in the United States. In foreign countries, however, an inventor will lose any patent rights if he or she publicly discloses the invention prior to filing the patent application. In contrast, the United States has a one-year grace period for public disclosures by an inventor.

Europe is working toward a unified patent system that will treat patents obtained there much as if Europe were a single country.

Innovation Partnerships contracts with outside patent counsel for IP protection, thus assuring access to patent specialists in diverse technology areas. Inventors work with the patent counsel in drafting the patent applications and responses to worldwide patent offices. U-M licensing manager and in-house attorneys will help with the selection and oversight of the outside patent counsel.

Although an international patent does not exist, an international agreement known as the Patent Cooperation Treaty (PCT) provides a streamlined filing procedure for most industrialized nations. The best way to think about it is that while there are international patent applications, there is no such thing as an international patent. For U.S. applicants, a PCT application is generally filed one year after the corresponding U.S. application (either provisional or regular) has been submitted. The PCT application must later be filed in the national patent office of any country in which the applicant wishes to seek patent protection, generally within 30 months of the earliest claimed filing date. The PCT provides two advantages. First, it delays the need to file costly foreign applications until the 30-month date, often after an applicant has the opportunity to further develop, evaluate and/or market the invention for licensing. Second, the international preliminary examination often allows an applicant to simplify the patent prosecution process by having a single examiner speak to the patentability of the claims, which can save significant costs in prosecuting foreign patent applications. An important international treaty called the Paris Convention permits a patent application filed in a second country (or a PCT application) to claim the benefit of the filing date of an application filed in a first country. However, pursuant to this treaty, these so-called “convention applications” must be filed in foreign countries (or as a PCT) within one year of the first filing date of the U.S. application.

Currently, the average U.S. utility patent application is pending for about two years, though inventors in the biotech and computer fields should plan on a longer waiting period. Once a patent is issued, it is generally enforceable for 20 years from the initial filing of the application that resulted in the patent, assuming that PTO-mandated maintenance fees are paid. The actual life of the patent may vary based on its lineage and whether the PTO grants any additional time extensions.

Patent protection is often a requirement of a potential commercialization partner (licensee) because it can protect the commercial partner’s often sizable investment required to bring the technology to market. Due to their expense and the length of time required to obtain a patent, patent applications are not possible or appropriate for all U-M intellectual property. We carefully review the commercial potential for an invention before investing in the patent process. However, because the need for commencing a patent filing usually precedes finding a licensee, we look for creative and cost-effective ways to seek early protections for as many promising inventions as possible.

Innovation Partnerships and the inventor(s) consider relevant factors in making recommendations about filing patent applications. Based on a recommendation from the licensing manager, the Associate Vice President of Research for Innovation Partnerships and Managing Director of Licensing at Innovation Partnerships ultimately make the final decision as to whether to file a patent application or seek another form of protection.

Often U-M accepts the risk of filing a patent application before a licensee has been identified. After U-M’s patent rights have been licensed to a licensee, the licensee generally pays the patenting expenses, especially where the license is exclusive. At times Innovation Partnerships must decline further patent prosecution after a reasonable period (often a year or two) of attempting to identify a licensee, or if it is determined that we cannot obtain reasonable claims from the PTO.

Intellectual Property Protection - Copyright and Trademark

Copyright is a form of protection provided by the laws of the United States to the authors of “original works of authorship.” This includes literary, dramatic, musical, artistic, and certain other intellectual works as well as computer software. This protection is available to both published and unpublished works. The Copyright Act generally gives the owner of copyright the exclusive right to conduct and authorize various acts, including reproduction, public performance and making derivative works.

Rarely. Copyright protection is automatically secured when a work is fixed into a tangible medium such as a book, software code, video, mobile app, etc. In some instances, U-M registers copyrights, but generally not until a commercial product is ready for manufacture.

We recommend that you begin by reviewing material on U-M’s copyright website. If you have additional questions about a potentially copyrightable invention, please contact Innovation Partnerships .

Innovation Partnerships is always available to answer questions, though SPG 601.28 (“Who holds copyright at or in affiliation with the University of Michigan”) speaks to responsibility for licensing copyrightable materials: “Ordinarily, the University units most closely associated with the creation of specific University held works may authorize uses of those works (e.g., they may authorize a third-party to copy, adapt, or distribute a University held work). The disposition of the following University held works, however, shall be managed by the Innovation Partnerships: software intended to be revenue generating; software funded under a sponsored activity agreement; and any Deliverables funded under a sponsored activity agreement.”

A “derivative work” is a work based upon one or more preexisting works, such as a translation, musical arrangement, dramatization, fictionalization, motion picture version, sound recording, art reproduction, abridgment, condensation, or any other form in which a work may be recast, transformed or adapted. A work consisting of editorial revisions, annotations, elaborations, or other modifications, which, as a whole, represents an original work of authorship, is a “derivative work.” The owner of a copyright generally has the exclusive right to create derivative works.

Although copyrightable works do not require a copyright notice, we recommend that you use one. For works owned by U-M, use the following template: [Year of first publication] © The Regents of the University of Michigan. (e.g., 2016 © The Regents of the University of Michigan).

A trademark includes any word, name, symbol, device, or combination, that is used in commerce to identify and distinguish the goods of one manufacturer or seller from those manufactured or sold by others, and also to indicate the source of the goods. In short, a trademark is a brand name. A service mark is any word, name, symbol, device, or combination that is used, or intended to be used, in commerce to identify and distinguish the services of one provider from those of others, and to indicate the source of the services.

Trademark registration is a procedure in which the United States Patent and Trademark Office (PTO) provides a determination of rights based upon legitimate use of the mark. However, it is not necessary to register a trademark or service mark to prevent others from infringing upon the trademark. Trademarks generally become protected as soon as they are adopted by an organization and used in commerce, even before registration. With a federal trademark registration, the registrant is presumed to be entitled to use the trademark throughout the United States for the goods or services for which the trademark is registered.

Marketing an Invention to Identify Potential Licensees

Licensing managers use many sources and strategies to identify potential licensees and market inventions. Most often, existing relationships of the inventors, the Innovation Partnerships staff, and other researchers are useful in marketing an invention. Market research can assist in identifying prospective licensees. We also examine other complementary technologies and agreements to assist our efforts. We use our website to post inventions, leverage conferences and industry events, and make direct contacts. Faculty publications and presentations are often excellent marketing tools as well.

Nationwide studies of university licensing have shown that 70% of licenses result from contacts already known by the inventors. Thus research, consulting relationships, alumni, and even former students and postdocs, are often a valuable source for identifying licensees. Licensees are also identified through existing relationships of the Innovation Partnerships staff. Our licensees often license more than one technology from U-M. We attempt to broaden these relationships through contacts obtained from website posting inquiries, market research, industry events and the cultivation of existing licensing relationships.

It can take months and sometimes years to locate a potential licensee, depending on the attractiveness of the invention, its stage of development, competing technologies, and the size and intensity of the market. Most university inventions tend to be in the early stage in the development cycle and thus require substantial commercialization investment, making it difficult to immediately attract a licensee.

Your active involvement can dramatically improve the chances of matching an invention to an outside company. Your research and consulting relationships are often helpful in both identifying potential licensees and technology champions within companies. Once interested companies are identified, the inventor is the best person to describe the details of the invention and its technical advantages. The most successful tech transfer results are obtained when the inventor and the licensing professional work together as a team to market and sell the technology.

Yes, an invention can be licensed to multiple licensees, either non-exclusively to several companies or exclusively to several companies, each for a unique field-of-use (application) or geography.

Software and mobile apps may be commercialized in different ways than patented inventions. While Innovation Partnerships typically seeks a partner licensee to develop and make new products based on patented U-M inventions, sometimes U-M software and mobile apps are in a form more ready to be used by the public. Consequently, Innovation Partnerships may market software and mobile apps to end users a bit more directly, for example (a) via the Innovation Partnerships site or (b) via third party technology aggregators such a iBridge, Nouvant and AUTM Global Technology portal; via direct outreach to the trade; newsletters; conferences; open source communities; and various technology platforms including the Apple App Store, Google Play, Apervita, Algorithmia and others .

A startup is a new business entity formed to commercialize one or more related inventions. Forming a startup company is an alternative to licensing the IP to an established business. A few key factors when considering a startup company are:

• development risk (often companies in established industries are unwilling to take the risk)
• development costs versus investment return (can the investors obtain their needed rates of return)
• potential for multiple products or services from the same technology (few companies survive on one product alone)
• sufficiently large competitive advantage and target market
• potential revenues sufficient to sustain and grow a company

Innovation Partnerships can help evaluate these and other factors. For additional information and available resources, see here .

The choice whether to license to a startup for commercializing IP is a joint decision made by Innovation Partnerships and the inventors. The startup is actually formed by those outside of U-M, but if a new business startup is chosen as the preferred commercialization path, Innovation Partnerships new business development specialists will assist you in planning and executing the process. These staff members act as business formation consultants, providing hands-on assistance and access to University and outside resources.

Resources include mentors-in-residence (MIRs). These individuals serve as coaches, advisors, resource locators and project planners to help fill the gap between the technology and the formation of a startup. Their activities may include locating prospective management talent, developing a funding strategy, making introductions to probable investors, reviewing business plans, and engaging experts to work on key gating issues. The Innovation Partnerships Ventures team can also draw upon an extensive network of resources and experience to assist you. For more information on the Mentors-in-Residence Program, see here .

U-M faculty typically serve as technology consultants, advisers or in some other technical developmental capacity. Rarely do faculty choose to leave U-M and join the startup although some choose to work at the startup company during a planned sabbatical or choose to take a reduced appointment for a defined period of time. In many cases, the faculty role is suggested by the startup investors and management team who identify the best role based on the inventor’s expertise and interests. As the company matures, and additional investment is required, the inventor’s role may change. Faculty involvement of any kind in a startup is also reviewed by a U-M Conflict of Interest Committee. Student inventors and post-docs may choose to join the startup upon graduation but rarely have the experience or business skills to serve as the company’s sole management.

Starting a company requires a considerable amount of time and effort. Until the startup team is identified and engaged, the faculty member will need to champion the formation effort. After the team is in place, effort is required for investor discussions, formal responsibilities in or with the company, and University processes such as conflict of interest reviews.

Mentors-in-Residence are available to serve as coaches, advisors, resource locators and project planners to help fill the gap between the technology and the formation of a startup. Their activities may include locating prospective management talent, developing a funding strategy, determining the appropriate regulatory path, making introductions to probable investors, reviewing business plans, and engaging experts to work on key gating issues. MIRs can also draw upon an extensive network of resources and experience to assist you.

No. As a separate entity, the startup should pay for its own legal matters, including all business incorporation matters and patent and licensing expenses.

In addition to corporate counsel, the startup may have its own intellectual property counsel to assist with corporate patent strategy, especially if the company will be involved in a patent-rich area. The startup’s counsel must be separate from U-M counsel, though it is advisable and recommended that the corporate IP Counsel and the U-M Patent Counsel coordinate activities. Also, it is wise for inventors to have agreements regarding their roles with the startup reviewed by their own counsel to ensure that all personal ramifications—including taxation and liabilities—are clearly understood. For additional information and available resources, see here .

U-M can accept equity as part of the financial terms of a license. Equity may be substituted for other cash considerations that are often difficult for startups. It is also a way for U-M to share some of the risk associated with startups. A decision to take equity must make sense for both U-M and the company.

Licensing and Commercialization

• License Agreements grant third parties the rights under U-M patents or copyrights. University license agreements typically stipulate that the licensee should diligently seek to bring the intellectual property into commercial use for the public good, provide a reasonable return for U-M, and specify limitations to U-M’s liability.
• Non-Disclosure Agreements (NDAs) (also referred to as Confidential Disclosure Agreements (CDAs)) are often used to protect the confidentiality of an invention during evaluation by potential licensees. NDAs also protect proprietary information of third parties that University researchers need to review in order to conduct research or to evaluate research opportunities. Innovation Partnerships enters into NDAs for University proprietary information shared with someone outside of U-M. ORSP manages incoming NDAs related to research contracts, more information can be found here .
• Material Transfer Agreements (MTAs), used for incoming and outgoing materials at U-M, are administered by Innovation Partnerships. These agreements describe the terms under which University researchers and outside researchers may share materials, typically for research or evaluation purposes. Intellectual property rights can be endangered if materials are used without a proper MTA.
• Inter-Institutional Agreements describe the terms under which two or more institutions (generally universities) will collaborate to assess, protect, market, license, and share in the revenues received from licensing jointly owned intellectual property.
• Option Agreements, or Option Clauses within research agreements, describe the conditions under which U-M preserves the opportunity for a third party to negotiate a license for intellectual property. Option clauses are often provided in a Sponsored Research Agreement to corporate research sponsors or Option Agreements are entered into with third parties wishing to evaluate the technology prior to entering into a license agreement.
• Research Agreements describe the terms under which sponsors provide research support to U-M. These are negotiated by ORSP, although Innovation Partnerships assists in negotiation, particularly of terms related to licensing and intellectual property – most often with companies or foundations.

Innovation Partnerships chooses a licensee based on a company’s ability to commercialize the technology for the benefit of the general public. Sometimes an established company with experience in similar technologies and markets is the best choice. In other cases, the focus and intensity of a startup company is a better option. It is rare for U-M to have multiple potential licensees bidding on an invention.

Per U-M policy, a share of any financial return from a license is provided to the inventor(s). Most inventors enjoy the satisfaction of knowing their inventions are being deployed for the benefit of the general public. New and enhanced relationships with businesses are another outcome that can augment one’s teaching, research and consulting. In some cases, additional sponsored research may be funded by the licensee.

Many licensees require the active assistance of the inventor to facilitate their commercialization efforts, at least at the early stages of product development. This can range from infrequent, informal contacts to a more formal consulting relationship to additional sponsored research in the inventor’s laboratory. Working with a new business startup can require substantially more time, depending on your role in or with the company and your continuing role within U-M. Your participation with a startup or any consulting arrangement with a licensee is governed by U-M conflict of interest policies. More information about U-M conflict of interest policies can be found here .

Most licensees continue to develop an invention to enhance the technology, reduce risk, prove reliability, and satisfy the market requirements for adoption by customers. This can involve additional testing, prototyping for manufacturability, durability and integrity, and further development to improve performance and other characteristics. Documentation for training, installation and marketing is often created during this phase. Benchmarking tests are often required to demonstrate the product/service advantages and to position the product in the market. Medical products (therapeutics, diagnostics and devices) require extensive animal and clinical trials in humans to achieve regulatory approval. Software used in medical applications may also require regulatory approval.

Your role can vary depending on your interest and involvement, in the interest of the licensee in utilizing your services for various assignments, and any contractual obligations related to the license or any personal agreements.

Licenses typically include financial payments and performance milestones that, if unmet, can result in termination of the license. This termination allows for subsequent licensing to another business. While licensees usually can terminate at will, generally, the University is only able to terminate if the licensee is not performing under the agreement.

Most licenses have licensing fees that can be very modest (for startups or situations in which the value of the license is deemed to warrant a modest license fee) or can reach hundreds of thousands of dollars. Additional revenues from annual minimums and payments upon achievement of certain milestones may also result prior to actual sales of the licensed product. Royalties on the eventual sales of the licensed products can generate revenues, although this can take years to occur and depends upon the type of technology. Equity, if included in a license, can yield returns, but only if a successful equity liquidation event occurs. Most licenses do not yield substantial revenues. In the most recent AUTM annual survey of U.S. Universities (2014), less than 1% of all licenses yield over $1 million annually. However, the rewards of an invention reaching the market are often more significant than the financial considerations alone.

Per U-M Policy, revenues from license fees, royalties and equity—minus any unreimbursed patenting and file expenses—are shared with Inventors, colleges, departments, and central administration. For more information on revenue distribution here .

When Innovation Partnerships equity is liquidated by U-M’s office, the resulting funds are distributed in accordance with the RDP and the Innovation Partnerships Policy for revenue distribution.

License revenues are typically taxed as Form 1099 income, as described here. You should consult a tax advisor for specific advice.

Revenues waived by inventors are distributed to the associated school/college and department/unit. To avoid potential tax liability, revenues waived by you to your department/unit must not be under your control. See additional information here .

Ownership of Intellectual Property

Ownership depends upon the employment status of the creators of the invention and their use of University facilities and other resources. Considerations include:

• What is the source of the funds or resources used to produce the invention?
• What was the employment status of the creators at the time the intellectual property was made?
• What are the terms of any agreement related to the creation of the intellectual property?

As a general rule, U-M owns inventions made by its employees while acting within the scope of their employment or using University resources. U-M’s copyright policy describes the applicable rules for copyrightable works. In some cases, the terms of a Sponsored Research Agreement or Materials Transfer Agreement may impact ownership. When in doubt, it is best to call the Innovation Partnerships office for advice.

All contributors to the ideas leading to a discovery should be mentioned in your report, even if they are not U-M employees. Innovation Partnerships, along with legal counsel, will determine the rights of such persons and institutions. It is prudent to discuss with Innovation Partnerships all working relationships (preferably before they begin) to understand the implications for any subsequent inventions.

Generally, if you are on a sabbatical paid by U-M, the U-M still retains rights to any discoveries connected to your scope of employment. Contact Innovation Partnerships or ORSP before your sabbatical to ensure that ownership considerations are documented.

The policy is stated in Regents’ Bylaw 3.10 and the U-M Technology Transfer Policy .

The ownership of inventions made while consulting for an outside company depends on the terms of your consulting contract. It is important to clearly define the scope of work within consulting contracts to minimize any issues or conflict with ownership of inventions created from University research. If you have questions, Innovation Partnerships is available for informal advice.

Yes, many students work on inventions at U-M under a wide variety of circumstances. U-M promotes student entrepreneurism, and students can be named as Inventors under U-M Technology Transfer Policy. Typically, a student will own his or her rights to an invention unless the invention was created by a student in a capacity as a U-M employee. Regents’ Bylaws 3.10 and the U-M Technology Transfer Policy provide more details.

The U.S. Bayh-Dole Act of 1980 allows universities and other non-profit institutions to have ownership rights to discoveries resulting from federally funded research, provided certain obligations are met. These obligations include making efforts to protect (when appropriate) and commercialize the discoveries, submitting progress reports to the funding agency, giving preference to small businesses that demonstrate sufficient capability, substantial manufacture in the US, and sharing any resulting revenues with the inventors. The Bayh-Dole Act is credited with stimulating interest in tech transfer activities and generating increased research, commercialization, educational opportunities, and economic development in the United States.

Conflict of Interest (COI)

Examples include the appropriate, transparent, and objective conduct of research, the supervision of students/trainees, roles of investigators and students/trainees, individuals working at both U-M and a licensee company, human participants in research and clinical trials, appropriate use and sharing of data and intellectual property, and conflict of commitment (i.e., your ability to meet your University obligations).

A conflict of commitment may exist if duties, assignments or responsibilities associated with a technology license or outside business arrangement have a negative impact on your ability to meet commitments associated with your University employment or exceed the amount of time available to you for these activities. The best approach is to fully disclose your situation to your supervisor and appropriate COI Office (Med School or UMOR) to discuss the implications for your job responsibilities.

A potential conflict of interest exists whenever personal, professional, commercial, or financial interests or activities outside of the University have the possibility (either in actuality or in appearance) of (1) compromising a faculty or staff member’s judgment; (2) biasing the nature or direction of scholarly research; (3) influencing a faculty or staff member’s decision or behavior with respect to teaching and student affairs, appointments and promotions, uses of University resources, interactions with human subjects, or other matters of interest to the University; or (4) resulting in a personal or family member’s gain or advancement at the expense of the University.

Innovation Partnerships representatives can direct you to the appropriate COI Office. It is the responsibility of the researcher or faculty member to disclose and document any outside arrangements that constitute disclosable situations or interests as described in University COI policies . Outside activities, relationships, and interests should be disclosed in M-Inform, the University’s outside activity disclosure system. One of the two conflict of interest (COI) committees (Med School or UMOR) will review and implement conflict management plans, as appropriate. COI approval, and sometimes approval by the U-M Board of Regents, is required before any associated agreements can be approved. Consider using this Start-Up Tipsheet for U-M Employees when forming a startup company . For more information about COI, visit the U-M COI website .

Whenever a question or uncertainty arises, you should seek guidance from the appropriate COI Office (Med School or UMOR). You may also consult with your ORSP project representative for research-related issues and/or your Innovation Partnerships licensing manager for license-related issues. There are two times in particular when guidance is required: when research proposals are submitted to external sponsors (ORSP) and when a license, option, or material transfer agreement is being considered with a company in which the faculty member, or any university employee, has an equity,management, or fiduciary interest (Innovation Partnerships).

Research, Material Transfer, and Consulting Agreements

The Sponsored Research Agreement will specify the intellectual property (IP) rights of the sponsor. U-M generally retains ownership of patent rights and other intellectual property resulting from sponsored research. However, the sponsor may have rights to negotiate a license to the IP resulting from the research (an “option”). The sponsor generally will not have contractual rights to discoveries that are outside of the scope of the research or that were invented prior to the research term (“Background IP”). Therefore, it is important to define the scope of work within a research agreement and to review the IP provisions in the research contract.

Sponsored research projects are handled by ORSP. Corporate Research Alliances within Innovation Partnerships works closely with ORSP and provides support for framing and negotiating the IP and licensing terms of corporate sponsored research agreements.

Yes, but in order for us to determine if the use of materials from others may affect the ownership and license rights of your subsequent research results, it is important to carefully document any conditions of use of such materials that the provider requires. If you obtain materials from another U-M lab, a memo or email will suffice. If you wish to obtain materials from outside collaborators, an incoming Material Transfer Agreement (MTA) should be completed in many instances.

It is important to document items that are to be shared with others and the conditions of use that you or your collaborators wish to require. If you wish to send materials to an outside collaborator, an outgoing Material Transfer Agreement (MTA) should be completed for this purpose, see here for more information. It also may be necessary to have a Confidentiality Agreement completed to protect your research results or intellectual property.

Innovation Partnerships is responsible for all material transfer agreements, whether the material is incoming or outgoing. Contact U-M’s MTA Coordinator at: [email protected] to assist you in completing MTAs or Confidentiality Agreements.

Agreements that do not involve funding are sometimes internally referred to as “unfunded agreements” or “UFAs.” UFAs are integrated into the eResearch Proposal Management system (eRPM) to create a record of the agreement in U-M’s system and to allow the research community to more easily link corresponding agreements, monitor the status of UFAs, and communicate with administrative home and central offices. More information is available here .

When researchers enter into consulting agreements (often termed “outside employment” in UM Conflict of Interest policies), they are deemed to be acting outside of the scope of their employment. Therefore, consulting arrangements are not negotiated by U-M nor formally reviewed by either Innovation Partnerships or ORSP (Office of Research and Sponsored Programs). Researchers who enter into consulting agreements should familiarize themselves with the policies of their school or college relevant to consulting activities. The researcher is expected to ensure that the terms of the consulting arrangement are consistent with University policies, including those related to IP ownership, employment responsibilities and use of Intellectual Property. Innovation Partnerships is available to provide informal advice on how your consulting agreement relates to your U-M Intellectual Property, but often it is best for you to retain your own attorney. A discussion regarding consulting and conflict of interest can be found here .

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• CAREER FEATURE
• 15 November 2021

How to turn your ideas into patents

Andy Tay is a science writer in Singapore.

You can also search for this author in PubMed   Google Scholar

Spinning off companies to exploit products and ideas developed at universities and research institutions can help to address societal challenges and make a real-world impact. Such moves can also be lucrative for scientists who are prepared to take their concepts into industry.

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doi: https://doi.org/10.1038/d41586-021-03438-x

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Complete and Submit Invention Disclosure

Invention is the first formal step in the commercialization process. All inventions made by faculty, staff, and students must be disclosed to the Center for Technology Licensing at Cornell University (CTL).

When you disclose the invention to CTL, a licensing professional will be assigned to manage the invention and will be in contact with you shortly. See The Technology Commercialization process on the CTL website . 

Project Closeout: Manage Data, Research Records and Materials

Subaward closeout, equipment transfers.

From Idea to Reality: Where Can I Submit an Invention Idea?

By: Author Valerie Forgeard

Posted on Published: May 13, 2023  - Last updated: July 1, 2023

Categories Society

If you have an innovative idea for a new invention that you believe can change the world, you might wonder where to submit it. The good news is that several avenues are available for inventors to submit their ideas and potentially turn them into reality.

From patent offices to private companies, inventors can consider various options. In this article, we’ll explore some of the most popular places to submit invention ideas and help you decide which option might be right for you.

Turning Your Invention Idea into Reality

You’ve spent countless hours brainstorming, sketching, and refining your innovative idea. The lightbulb moment has struck, and you’re confident that your invention has the potential to change lives or even revolutionize an industry. However, you may wonder where to submit this groundbreaking concept for proper recognition and protection.

Fear not – we’ll guide you through various avenues to showcase your creative prowess while securing the intellectual property rights you deserve.

In a world where ideas can spread like wildfire, it’s crucial to safeguard your inventive thoughts from being replicated by others without due credit. This article will delve into protecting your intellectual property rights before introducing it to the public domain.

Furthermore, we’ll discuss online invention platforms designed specifically for showcasing new creations, pitching directly to relevant companies needing fresh innovations, seeking assistance from government organizations, and participating in contests or exhibitions dedicated exclusively to supporting inventors like yourself.

So let’s embark on this journey together towards turning your idea into a reality while preserving the freedom of creativity that drives us all forward!

Protecting Your Intellectual Property

Before diving into the submission process, it’s crucial to safeguard your intellectual property rights. Intellectual property theft is a genuine concern, and taking steps to protect your invention can save you from potential headaches.

One of the primary ways to secure your idea is through the patent application process. This legal procedure grants you exclusive rights over your invention, preventing others from copying or profiting from it without your permission.

Navigating the patent application process can be complex and time-consuming. Still, it’s an essential step in protecting your hard work and maintaining control over its future development. You’ll need to conduct thorough research on existing patents, prepare detailed documentation of your invention, and submit everything to the United States Patent and Trademark Office (USPTO) for review.

It’s worth investing in a knowledgeable patent attorney or agent who can guide you through this intricate process and increase the likelihood of receiving approval for your patent application. In doing so, you will secure your intellectual property rights and pave the way for greater freedom in pursuing opportunities with confidence that no one else can claim ownership over what rightfully belongs to you.

Utilizing Online Invention Platforms

You can use online platforms dedicated to inventors and their creations, allowing you to showcase your innovative concepts to a broader audience. These platforms offer numerous benefits and typically have an easy-to-navigate submission process for your invention ideas.

By utilizing these online resources, you’re securing your intellectual property and increasing the likelihood of getting noticed by potential investors or companies interested in further developing or licensing your invention.

Some popular online invention platforms include:

• Quirky: A community-driven platform that collaborates with inventors to bring their ideas to life.
• Inventables: An online marketplace connecting inventors with manufacturers and suppliers.
• Edison Nation: A platform that helps inventors commercialize their products through partnerships with major retailers.

These platforms provide valuable exposure, feedback from fellow inventors, and networking opportunities within the industry. In addition, some even offer assistance in refining and marketing your product.

Embrace the freedom these online resources offer as they help propel your inventive spirit forward and potentially turn your idea into a reality.

Pitching to Relevant Companies

You can also pitch your brilliant concept directly to companies interested in developing or licensing it. To maximize your chances of success, thorough company research and targeted pitching are crucial.

Start by identifying organizations within your invention’s industry and examine their product lines, technological focus, and any potential gaps in their offerings that your creation could fill. This will enable you to tailor your pitch to demonstrate how partnering with you can benefit them.

When approaching these companies, present a well-prepared pitch that showcases the features and benefits of your invention and highlights how it aligns with their corporate objectives or solves an existing problem they face. Be ready to answer questions about intellectual property protection, potential markets for the idea, financial projections, and any other relevant information they might request.

Remember that persistence is critical – even if one company passes on your idea, another may wait for the opportunity to help bring your vision to life. Keep honing your pitch based on feedback and continue reaching out until you find a partner who shares the excitement surrounding your innovative creation.

Seeking Assistance from Government Organizations

Seeking aid from government organizations can be instrumental in securing the necessary resources and support for your innovative concept’s development and commercialization. Many governments offer grants, financial assistance, or other types of resources to help inventors bring their ideas to market. These government-sponsored programs often have specific requirements but can provide significant benefits if you qualify.

By tapping into these support networks, you’ll gain access to valuable expertise, funding opportunities, and partnerships that could make all the difference in transforming your invention idea into a successful product or business.

To get started on seeking assistance from government organizations for your invention idea, consider exploring these options:

• Research available government grants specifically designed for innovation and entrepreneurship
• Connect with local Small Business Development Centers (SBDCs) for guidance and resources
• Look into national or regional innovation hubs that foster collaboration between entrepreneurs, investors, and researchers.
• Investigate tax credits or incentives your local or national government offers for research and development activities.
• Attend workshops or seminars hosted by governmental agencies focused on supporting inventors.

By taking advantage of these opportunities provided by government organizations, you’re increasing the chances of success for your invention and empowering yourself as an inventor. Embrace this newfound freedom that comes with professional support to turn your innovative idea into reality while benefiting from the resources made available through public initiatives.

Participating in Invention Contests and Exhibitions

It’s a great idea to participate in invention contests and exhibitions, as they provide fantastic exposure for your innovative concept; in fact, some of these events attract thousands of attendees, giving you the perfect opportunity to showcase your creation and network with potential investors or partners.

Invention networking is crucial to any inventor’s journey because it allows you to connect with like-minded individuals who share your passion for creativity and problem-solving. Event benefits not only include gaining valuable feedback from experts in the field but also obtaining media coverage that can boost your invention’s visibility and credibility.

Moreover, participating in such contests can often lead to financial rewards if your invention stands out in the competition. Cash prizes can help fund further development or even kick-start production, allowing you to bring your idea to market more quickly.

Additionally, winning an award at a prestigious event can add significant value to your invention by attracting attention from other industry professionals interested in collaborating with you. So go ahead and explore the various invention contests and exhibitions available – seize this chance to gain exposure, network with fellow inventors and industry experts, and potentially secure funding that could ultimately set you on the path toward success and freedom!

In conclusion, if you have a great invention idea, there are many avenues you can pursue to turn your idea into a reality.

You can start by researching existing patents and inventions to ensure your idea is unique and has not already been patented. Once you understand your idea, you can contact a patent attorney or an invention development company for guidance on protecting it and bringing it to market.

Additionally, you can consider participating in invention contests or submitting your idea to industry-specific organizations or venture capital firms that specialize in funding new inventions.

Remember that bringing an invention to market can be complex and lengthy. Still, with hard work and dedication, you can turn your idea into a successful invention that can benefit society for years.

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Frequently Asked Questions

Where can i submit an invention idea.

There are several options for submitting an invention idea. One option is submitting your idea to a company or organization specializing in product development and invention. Some inventors choose to pitch their idea directly to investors or venture capitalists who might be interested in funding their inventions.

How do I protect my invention idea?

Protecting your invention idea is essential to prevent others from stealing or copying it. The best way to protect your idea is by filing for a patent, which gives you the exclusive right to make, use, and sell your invention for a certain period. Ensure you keep detailed records and documentation of your idea’s development. If you work with others, check with a specialized lawyer if anyone you work with should sign a non-disclosure agreement.

What should I consider before submitting my invention idea?

Before submitting your invention idea, it’s essential to consider several factors. First, you should ensure that your idea is original and not already patented or in use by someone else. You should also consider the potential market for your invention and whether there is a need or demand for it. Additionally, you should consider the costs involved in developing and marketing your invention and whether you have the resources and expertise to bring it to market.

How long does the patent application process take?

The patent application process can take several years, depending on the invention’s complexity and the patent office’s workload. In some cases, receiving a patent can take up to five years or more. However, once your patent is granted, you have the exclusive right to make, use, and sell your invention for a certain period, typically 20 years from the filing date of the patent application.

What are the benefits of submitting an invention idea?

Submitting an invention idea can have several benefits, including the potential to bring your idea to market and make a profit. It can also help you gain recognition for your innovation and contribute to advancing technology and society. Additionally, submitting an invention idea can be a rewarding and exciting experience as you see your idea take shape and potentially change the world.

How to Patent an Idea in 8 Simple Steps

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If you're a maker or a creative person with a lot of innovative technology ideas, at some point you're likely to find yourself pondering how to patent an idea or a product you've created.

We've previously covered how and why to copyright , which protects intellectual property like writing or photography. We've also done fun articles about brand trademarks , which is a design or logo that identifies a product or service (a brand). In this article we're going to cover the patent process, especially from the perspective of a maker.

Keep in mind that this article isn't intended to provide legal advice. If you're worried that someone may get your idea patented before you do, and you have a lot to lose (money or time), then it's always good to play it safe and invest in a patent lawyer. However, if you're interested in the general process of patenting an idea, then read on.

How to Patent an Idea or Design

In general, this is a quick overview of the patent process in the US, which we'll explore in more detail futher in this article.

• Decide why you want a patent.
• Determine if your idea qualifies for a patent.
• Fully document your new process or design. Building a working prototype is always a good idea.
• Decide if you should use an attorney.
• Perform a thorough patent search (preferably pay for one).
• Apply for a provisional patent application (PPA) if you need one.
• Develop and test your idea to prepare for the non-provisional patent application process.
• Submit your patent application.
• A patent examiner will review your application and determine if you are entitled to receive a patent.

That's the summary version. Now let's dig into the details. If you're more interested in a particular step, feel free to scroll down the article to that section.

1. Why Do You Want a Patent?

Do you have dreams that your innovative, futuristic idea will make you lots of money? Do you have visions of corporate lawyers beating down your door with offers to purchase rights to your idea?

Before you go too far down that road, it's important to understand that patents alone won't make you rich.

Take Thomas Davenport, for example. Here is Mr. Davenport's patent, which he finally received in 1837, after numerous failed attempts.

Davenport was just a blacksmith from Vermont, but his exposure to the magnetic machines used to separate iron ore gave him the idea to build a device that would convert electricity into mechanical movement. The first DC electric motor.

Davenport sold many of his possessions (and even a horse) to obtain one of those electromagnets. He and his wife spent years experimenting and perfecting his machine, and finally received his patent in 1837.

After that, basically nothing happend. He set up a laboratory in New York to produce and promote his engine. But his expensive and erratic DC motor couldn't compete with the steam engines of that era. Davenport eventually died without making a dime off his patent.

It's a cautionary tale. It doesn't mean your patent won't serve you well, but a patent should be looked at as the first step toward getting your idea into a market -- not a get-rich-quick scheme .

2. Does Your Idea Qualify for a Patent?

When considering whether your idea or design will qualify for a patent, you first need to consider what type of patent it might fall under. There are three types:

• Utility Patent: Defines a new process or an improvement to an existing process, or how a machine or device works.
• Design Patent: Defines the appearance, or how a device or object looks.
• Plant Patent: Focused on agriculture, this patent defines a new variety of plant.

Most inventors who've come up with a brand new idea for a device or a gadget will be interested in a utility patent.

The United States Patent and Trademark Office (USPTO) has a very clear set of guidelines for inventions that qualify for a patent:

• Usefulness: The idea should have a "useful purpose" and practical -- meaning if you've dreamed up an idea for a washing machine that washes clothes using some unique process that doesn't involve water like most other washing machines, you should be able to prove that such a machine can realistically operate as described.
• Not Created by Nature: The idea can't involve something created by "the laws of nature" or "physical phenomenon". For example, if you're exploring a remote jungle and you discover a new species of tree, you can't patent it.
• Not Just an Idea: If you only have an idea that you've scribbled on a napkin during your lunch hour, and you think you're going to be able to patent it, think again. The USPTO states "A patent cannot be obtained upon a mere idea or suggestion". Be ready to outline the operation of your new invention in great detail.
• Novel and "Non-Obvious": The idea needs to be sufficiently unique or new. Obviously an existing patent or product in the marketplace can't exist already. Even a presentation or scientific meeting, or a demonstration at a trade show could potentially bar you from patenting the idea. There are a lot of legal loopholes here, so if you feel you came up with the idea first, it's time to reach out to a patent lawyer and make your case.
• Non-Creative: This refers to intellectual property like writing or art. Patent law doesn't cover this, copyright law does.

The most obscure definition above is "non-obvious", but even this becomes clear once you start looking at the industry the patent falls under. According to attorney Matthew Hickey of RocketLawyer.com :

"Courts examining whether an invention is obvious will look at the scope and content of the existing knowledge and technology in that industry, the level of what constitutes ordinary skill for that industry, the differences between the claimed invention and what's already common in the industry, and any other objective evidence to suggest that your new idea is not obvious."

If you really know what you're doing, then you've probably been involved in your industry for quite some time and you should already be aware of what experts there would consider "obvious".

3. Fully Document Your Idea

The simplest first step in your application process is to describe your invention idea. You should do this in a formal way, and actually have a witness (and even a second witness) sign your description.

The Docie Invention & Parent Marketing company actually provides inventors with a free worksheet to use to do this. The key elements of this worksheet include a very thorough description of how the device works, and a drawing . If you need inspiration for how to draw your invention, just look at patents that go back as far as the early 1800s.

These drawings are usually three views: side, top, and front.

If your idea is more of a non-physical idea, like an application or a new way to transfer information across the internet, just document the logical flow or the concept in some clear way. It doesn't have to be overly complicated. Look how Google illustrated its idea when it applied for a patent for Page Rank .

It's not exactly an Edisonian masterpiece. But it worked.

Keep in mind that this is not your patent application. It's your first step in that direction by documenting your idea on paper and getting witnesses who will support you when you claim that it was originally your idea.

4. Do You Need an Attorney?

Legally, the USPTO does not require you to hire an attorney. You can file for a patent yourself, and patent examiners will in fact help you through the process as much as possible. However there are some situations where you really need to invest in a lawyer in order to protect your idea:

• You aren't sure if your idea qualifies. This means, you need someone with a thorough understanding of patent rules and laws surrounding the qualification for patents.
• You aren't confident doing a patent search. Patent attorneys hire professional patent researchers who pour through the USPTO database for similar ideas. You could bypass an attorney by hiring an expert yourself, or using an online service . You can conduct the search yourself directly at the USPTO patent search page .
• Your idea is really lucrative. Let's say you've just invented time travel. The way you phrase your patent claim will be used in patent court in the future whenever someone else tries to make whatever you've invented. If the chances of this are high, then you should have a lawyer help you write a claim that covers all of the bases well.
• USPTO objects to your claim. If you're in the process of negotiating with the patent office and you feel like they're giving you an unusually difficult time, a patent attorney can help you negotiate things in a way the USPTO expects. It may be that your patent examiner underestimates your knowledge, so having an attorney can give you more clout.

Whatever you do, don't leave a good idea on the table, or ruin your odds in the future of protecting your patent. Doing it right the first time around could save you a lot of money in the future.

5. Perform a Patent Search

As explained above, an important step in your patent application process is to make sure no one has already invented your idea. This isn't just to see if your idea exists, it's also to search for the most relevant patents to yours. Part of your patent application will need to include a listing of these, and your explanation as to why your own invention is unique from those referenced patents. This shows your patent examiner that you've done your homework.

There are so many resources online these days to do thorough patent searches that you should be able to do it yourself. One of the best resources on the web is of course Google Patents . Leave it to Google to also include an analysis of all patents on the right margin of the results page.

It makes sense to use one of the most powerful search engines in the world to super-charge your patent search. But there are lots of other resources online that can help as well.

• Google Advanced Patent Search : Lets you search on fields like Original Assignee, Date or Date Range, or even filter by Patent Type.
• Patentscope : Lets you search not only U.S. patent collections, but even patents from around the world. It includes language translation as well.
• Resource Centers : The USPTO also has brick-and-mortar facilities in every U.S. state where you can physically visit and use tools like PubEAST and PubWEST. These are the tools patent examiners use to search for existing patents, so having access to the same tool is a great advantage.

If you live near a USPTO resource center, it's the best place to start your journey. There are library staff available who can help you use the search tools, and even guide you in the right direction wherever you are in your patent journey.

6. Apply for a Provisional Patent

Sometimes you'll hear people say they've received a "provisional patent". That's a bit misleading. There is only one kind of patent: non-provisional. What a "provisional" patent application lets you do is become the "first to file" under USPTO rules. This means that if you and other people are racing to develop some kind of innovative new product, by filing the provisional application, you've basically gotten into line for your non-provisional patent first and you've blocked anyone else from filing a patent for that idea, for up to 12 months .

If you've ever seen products that say "Patent Pending" stamped on the side, it's because that company only submitted a provisional patent application, and then raced their product to market before actually receiving their final patent.

The provisional patent is especially useful in a marketplace with a lot of competitors seeking to develop new innovations, and start capitalizing on those in the marketplace long before the patent process plays out.

But be very careful with the description of your invention on your provisional patent application. The last thing you want to do is lock yourself into specific design parameters that you may realize don't work once you start trying to create your production line.

Here are the steps to apply for a provisional patent:

• Use the Provisional Application Patent page at the USPTO website as a guide.
• Create a cover sheet including your name(s), address, invention title, name of attorney, and any US Government agency "that has a property interest in the application".
• Include the thorough written description and the drawings you created in Step 3 of this article.
• Include the fee payment as defined on the USPTO application page.
• You can mail the package to the address on the application page, or use EFS-Web to submit it electronically.

Once you submit this application to the USPTO, you have the right to use "Patent Pending" on your invention.

7. Develop and Test Your Idea

Now that you have a provisional patent application in place, it's time to develop a working prototype. It should be something you develop that you can have real users test so that you can refine the design and end up with a solid, working example of your idea.

After you've filed your provisional application, you have 12 months to prepare for filing your non-provisional patent application. What should you be doing in those 12 months?

• Experiment with and perfect your prototype
• Find financial investors and sponsors
• Conduct thorough market and sales research to determine market potential
• Search for companies that may be interested in licensing deals

It's very important to file for your non-provisional patent within the 12 month window, because no extensions are allowed.

8. Submit Your Non-Provisional Patent Application

You've done all of your homework. You have investors, and several potential licensing deals. You're ready to get the ball rolling on your patent.

The best place to start to make sure you've covered all the bases, and you know everything to include in your application, is the USPTO's application filing guide . According to the USPTO, this application must include all of the following elements:

• A transmittal form or letter: This describes the claims, specs and drawings of your invention.
• All applicable fees: See the fee schedule for current application fees.
• The data sheet: This provides inventor information.
• Specification: This describes in full how the invention works in a way that any expert in the field could make it themselves -- search past patents to see good examples.
• Drawings: These will be very detailed illustrations of your invention, in three dimensions.
• A Declaration or Oath: There are forms available in the application filing guide for this so you don't have to start from scratch.
• Extras: Nucleotide and Amina Acid sequence, or large tables or computer listings, if required. These are biological or computing related attachments that you may not need to include depending on your patent.

Make sure to find a mentor who has gone through the patent application process. Each time you go through it, you'll learn new things, and talking to someone who has learned those lessons already can save you a lot of time and trouble.

The Pride of Owning a Patent

Throughout history, men and women have been filing patent applications and receiving protection from the US government for their intellectual property. Being a maker today is no different than being an inventor in the early 1800s, where the sky is the limit when you use your imagination to create new things.

Have you ever filed a patent with the USPTO? How long did the process take you, and what tips do you have for other people who are working their way through the application process?

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Home / 5 Steps for How to Patent an Idea

5 Steps for How to Patent an Idea

Rich Goldstein

Wondering how to patent an idea?

It is often said that you cannot patent an idea, but you can patent an invention. This statement confuses many people that wonder:  do I have an idea or an invention?  The truth is most of the time what you consider an idea actually does qualify as invention.

What does this mean for you? If your idea has structure to it, then it is more than a simple idea and probably qualifies as an invention. In general, if you are able to draw diagrams of your invention, explain how the invention works, or build a prototype of your invention, you are likely well on your way to having a patentable invention.

Truly, most of the time that people approach us to research and then patent their idea, it qualifies as an invention. So from this point on, we will use the words idea and invention interchangeably.

So how do you patent your idea/invention? First you’ll want to consider the criteria your idea must meet to get patented. Then, if your idea meets these criteria, there is a process for getting a patent. We will discuss both in detail.

To have the greatest chance for success, it’s always a good to understand the criteria for patenting and understand the patent process. This way when you do  engage a patent attorney to help you get a patent , you will get the most value for your time and money.

Let’s take a closer look at how to patent an idea.

Defining a Patent

What is a patent anyway.

A patent is a type of property right. Specifically, it is an “intellectual property right” over your idea. Intellectual Property is the field of law that deals with the ownership of ideas. Patents are one type of intellectual property.  Compared to patents, trademarks , copyrights, and  trade secrets are also intellectual property .

A patent gives the patent holder the right to exclude others from making, using, selling, or importing whatever is within the scope of the patent. Patent protection means you will have exclusive control over your big idea, and can shut others out of the market.

The United States Patent and Trademark Office is the government agency that considers requests for a patent, makes determinations of who should be granted a patent, and then actually issues patents to inventors.

Determining if Your Idea Can Be Patented

Can you patent an idea?  Before you file a patent  application for your idea, you need to  determine if the idea can be patented .

To be patentable, your idea must be:

• Non obvious; and

This criteria is set out in the applicable patent law,  35 U.S.C section 101 , which states:

“Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefore, subject to the conditions and requirements of this title.”

First, to patent an idea your idea must be novel.  Applicable patent law sets out a definition for novelty . Essentially,  for an invention to be novel , it must be different from anything else that has previously been available in the world. This is often not difficult, because novelty simply requires that your idea be different in some way from previous invention.

More specifically, an invention is not novel if:

• It has been previously patented;
• It has been described in a printed publication;
• It has been in public use;
• It was available for sale; or
• It was otherwise available to the public.

This criteria to get a patent is not as strict as they may sound at first blush. The law does not prohibit, for example, a patent on an improvement of an invention that has already been patented. As a simple example, even though there may already be a patent for a car, if you have an invention for a car that has some small difference that allows it to travel faster, that car would likely meet the novelty criteria.

As long as your idea has some element that is different from other ideas it might build upon, your idea may meet this requirement.

On Obvious Idea

Next, to get a patent your idea must be “non obvious.” To be non obvious, you need to consider what would be obvious to a person of ordinary skill in the field of the invention. If a person in your field could easily perceive your idea based on prior art, it probably won’t meet this requirement.

What’s prior art? The term “prior art” simply means all of the information that is available to the public before the date that you file for your patent. There are databases filled with prior art, which we’ll discuss further on.

Another way to think about whether your invention is non obvious is that your invention cannot be trivial. It must be outside the range of what people in the field would ordinarily think they could do. If your invention is obvious based on all of the information that is available to the public, it cannot be patented. If this non obvious determination sounds highly subjective, that is because it is!

Non Obvious Determination

Employees of the Patent Office, called patent examiners, review patent applications and make a determination on whether an idea is non obvious. These patent examiners are guided by a specific set of rules when making this determination.

Essentially, patent examiners will look at the totality of the circumstances and make a decision  based on all of the prior art  that is available. However, the reasons behind why a patent examiner makes a non obvious determination are not always cut and dry. They can also be subjective decisions. That is – the opinion of the examiner often enters into their determination. In fact, patent attorneys are often surprised by the decisions made by these examiners.

Even if it is sometimes a matter of opinion, there are certain things that will almost always be considered obvious. If your invention makes only minor changes to a prior invention, then it probably will not be eligible to get a patent. These types of minor changes could include changes to an invention’s size, color, or shape, but without making any changes to how the invention operates.

Because of this, an essential starting point is to have a good understanding of the prior art related to your idea. Knowing the closest ideas to then allow you to best knowhow your idea is different from any previous related inventions.

Useful Idea

Finally, to get a patent your idea and invention must be useful. Under traditional patent standards, to be useful, to patent an idea your invention must have:

• Practical utility;
• Operability; and
• Beneficial utility.

While this may sound difficult to fulfill, the definition of usefulness in patent law is relatively broad. Usually, it’s not difficult to meet the usefulness requirement. Typically the things that fail to have utility are things like ‘perpetual motion machines’ – machines that claim to create energy without fuel.

To get a patent your invention just needs to operate to perform an intended purpose in the world. In other words, it cannot have merely a speculative or possible future use.

Identifying Types of Inventions That Can Be Patented

The United States Patent Office grants patents for different types of inventions, including:

• Utility patents ; and
• Design patents .

Utility patents and design patents provide protection for different types of ideas.

Utility Patents

Utility patents protect useful inventions. These useful inventions are split up into four categories:

• Manufacture; and
• Composition of matter.

Note: the United States Patent Office will not patent an invention that is an abstract idea, a natural phenomenon, or a law of nature.

Generally, a “utility patent” protects the way something is used and works. A utility patent prohibits others from making, using, or selling your idea without your authorization.

Utility patents  will typically expire 20 years  from the patent application filing date. Utility patents also typically require maintenance fees that must be paid multiple times in order to retain the patent for the full term, and  will expire early  if the fees are not paid.

A utility patent is usually more technically complicated than a design patent. Utility patents can also have multiple claims under the same patent application, while design patents can only have a single claim.

Because they are more complex utility patent application also typically costs more than a design patent application. This is because utility patent applications usually require more time and effort to draft the applicable specification and claims.

Design Patents

In contrast to a utility patent, a design patent does not protect the function of a product, it just protects the way it looks. This includes the shape and configuration of a product, as well as the surface ornamentation that is applied.  In some cases, a design patent can protect both the shape and the ornamentation.

A design patent costs much less than a utility patent, and typically is much easier to get than a utility patent. Design patents, unlike utility patents, expire 15 years from the patent issue date. Design patents do not have any maintenance fees or renewal requirements.

Assessing Important Filing Considerations

So, is it worth it to patent an idea?

There are many factors to consider in  whether or not to file for a patent  and obtain patent protection.  The process can be long , it can be time-consuming, and it can be very expensive. You can also go through great effort to get a patent,  only to find the patent is essentially worthless .

For example, most patent applications are rejected at least one. That means you may need to submit multiple versions of your single patent application.

The filing costs  to get a patent is an important consideration. Filing fees for patents can add up, especially for complicated ideas that require multiple patents to be filed.  Attorney’s fees are also a consideration . Depending on an idea’s complexity, the patent examiner assigned to the application, and how much research you do up front, attorney’s fees can amount to a wide range.

If you do everything yourself, at the very least, a patent application will cost several hundred dollars. However, the skillful preparation of a patent application can starts at a few thousand dollars for a design patent and can reach upwards of $40,000 for complex ideas  such as computer software .

It’s also important to consider the value of your time. While it may sound like a good idea in theory to complete a lot of the work yourself, many of the steps are very complicated and can greatly benefit from experience. It will take you a long time to accurately draft all of the required documents and to  conduct the necessary patent searches . Even then, the reality is that it is nearly impossible for an enforceable patent to be written without previous experience drafting patent applications.

This is not meant to discourage you from patenting your idea. It’s just important to think through how to patent the idea, the effort involved, and the costs associated.

Steps for How to Patent an Idea

You have an idea that can be patented. You have considered the costs and the benefits. You have concluded you want to get a patent.

Now let’s discuss how to file a patent for the idea. The process to get a patent has many steps. This article will walk you through each of them.

Step 1: Complete Prep Work

Before you look into getting a patent with the Patent Office, it is important to complete some background preparatory work to patent an idea. This will go a long way when it comes time to filing your patent application, as you will have already completed a lot of the leg work.

Build a Prototype

While it is not absolutely necessary to  build a prototype of your invention  in order to get a patent, it can be a very helpful step to complete early on in the process.

There are a few reasons why prototypes are helpful when looking to patent an idea:

• Prototypes force you to develop applicable designs and procedures for your invention;
• Prototypes help determine the functionality of your invention;
• Prototypes bring to light places where your invention could improve;
• Prototypes help make sure your invention will accomplish what it is set out to do.

Does your prototype need to be perfect? Nope. Don’t get too caught up in perfecting every tiny detail within the prototype.

You don’t need to spend a ton of time making sure each aspect of your invention is perfect before you start the patent application process. In fact, it is important to begin the application process sooner rather than later so that you can preserve an early application filing date. Most often the approach taken by successful inventors is to file a patent application at an early stage to establish their rights to the concept, and then improve and perfect their product. When done correctly, the initial patent application will embrace the overall idea of their product – even including the improvements they make later.

Even so, it’s a good idea to make sure you have an idea and an invention that will be able to accomplish what you think it will before you start spending a lot of money pursuing a patent. Prototypes help you to make that determination.

Draft a Business Plan

Similar to building a prototype, it is a good idea to draft a business plan for your idea and invention. The business plan does not need to be complex and does not need to be perfect. It’s more about thinking through your idea and getting processes onto paper.

Drafting a business plan helps you evaluate the pros and cons of seeking a patent. It also forces you to evaluate whether your invention will actually make money. Finally, a business plan helps you evaluate what steps you will need to take to get the idea off the ground.

Look Into Getting an Eligibility Opinion

When considering getting a patent, another thing to consider doing early on is  getting an eligibility opinion from a patent attorney . This patent attorney should be licensed and registered with the United States Patent Office.

Your patent attorney and associated law firm will have experience filing patents and will understand the nuances involved within the underlying patent statutes and applicable case law. Because of this,  a patent attorney  will have a much better understanding of whether your idea can actually be patented or not.

Of course, your patent attorney won’t be able to tell you with 100% certainty whether or not you can get a patent for your idea. The case law in this area is always changing and morphing, and it is hard to predict exactly how a patent examiner will come down on any one idea.

Even still, your patent attorney will be able to point out and guide you through certain pitfalls, complications, and considerations that you may not have thought of on your own.

Determine the Inventors of the Patent

In many cases, it is easy to identify the inventors of your patent. You may have come up with the idea all on your own, and may have spent your own time and effort to develop a prototype.

But oftentimes, the best ideas are thought of and developed in groups. There can often be multiple players involved in the development of an idea. Because of this, it’s important to make determinations up front about who should be classified as an inventor.

Keep in mind an inventor is someone who helped think of and create the idea underlying the claimed invention. An inventor is someone who contributed to the ingenuity of the underlying idea and invention. Just because someone helped build a prototype or provided an expert opinion for you does not mean they are a co-inventor.

Inventorship Considerations

It’s important to identify all of the inventors up front because all co-inventors must be included in your patent application. Inventors may jointly apply for a patent even if:

• The inventors did not work together physically or at the same time;
• Each inventor did not make the same type or amount of contribution, or
• Each inventor did not contribute to the subject matter of every claim within the patent application.

The minimum contribution requirement in order to be a co-inventor on a patent application is that they contributed to the subject matter that is embraced by at least one claim in the patent application.

This is an important discussion to have with your patent attorney. You want to make sure that the proper inventors are named in the patent application. Your patent attorney will be able to provide advice based on any particular nuances applicable to your situation.

Note that even though someone might have contributed to the invention and must be named on the patent application, you might not want that person to have ownership rights in the invention. In that case, you will want to have that inventor  assign their rights to you or your company . This is often the case when an employee takes part in developing something that is later patented. The employee will be named on the patent application, will sign the patent application, and will also turn over their rights to the employer by signing an “assignment” document.

Ermine Owners of the Patent

The next step is to determine the who you would like to be the owner of the patent, and who might have ownership claims should you apply for a patent.

Regarding the first part, who would you like to be the owner, the two main things to think about are:

• Should the patent be owned by a company?
• Should the patent be owned by you individually?

If you simply apply for a patent, it will be owned by the inventors individually. This is often ok, especially if you are the only inventor and if you don’t have any investors. Often, if there are multiple inventors or investors involved, someone will want the invention placed in the name of a company co-owned by the various inventors and investors.

Ownership Considerations

Regarding the second part – would someone else have a claim of ownership over my patent – here are some things to consider:

• Is the invention related to your job?
• Did you come up with the invention during work hours?
• Did you use company resources to develop the invention?
• Were you tasked by your employer with developing this idea?
• Did you spend time working on this outside of work hours?
• Is the invention unrelated to your job?
• Did you regularly discuss the idea with your colleagues or boss?

When your employer can claim that the invention was a part of your employment, they can claim ownership to your patent. Be sure to check any agreements you may have signed with your company, as some employment agreements directly address this question. Make a thoughtful, honest assessment about whether your big idea is intellectual property that actually belongs to the company you work for. It is also a good question to ask your patent attorney.

Assess the Extent of Public Exposure

Another important thing to consider is the extent to which your idea has already been made public. Have you already somehow shared your idea or invention in the public domain?

For example, have you published it in an article or journal, showcased it at a trade show, or established a Kickstarter campaign to drum up funds? If you have, you may not be eligible to patent your invention and receive patent protection.

U.S. patent law still technically provides a one-year grace period, under the right circumstances, when you have exposed your invention to the public. Therefore, be sure to determine the exact date of the first time your invention was revealed to the public. This date may start your one-year clock. But there is no such patent grace period in most of the world.  So carefully that before your expose your invention publicly.

Conduct Market Research

As a final note on prep work, it can be a good idea to conduct some market research on your idea before you file your patent application. This helps give you some background information on how the public would react to your idea, and whether it pays to get patent protection.

It also helps you better understand whether your idea could actually make money, and how long it might take to recoup that money.

The truth is, even if you have a great idea, it might not be worth pursuing. It might be too hard to get off the ground or it might require too much leg work from you or money upfront. The public may not understand the value of your product, and marketing it might not be worthwhile.

These are all important factors to at least briefly explore before you file a patent.

Step 2: Conduct a Patent Search Using a Patent Database

Next up is to  conduct a patent search  for your idea using one of the various patent databases. This will help determine whether or not your invention is truly novel, as we discussed above, because it will let you know if others have already obtained a similar patent.

You can conduct your patent search within the  United States Patent and Trademark Office’s various patent databases . Take time to understand the limitations to this search and why it might not be thorough and might not guarantee that your idea does not exist. Conducting this patent search, however, before you submit your application can often save you substantial time and money if you search and discover your idea has already been patented by another.

The United States Patent and Trademark Office has a  great video that walks through a step-by-step strategy for conducting a patent search . Here are some of our own tips.

Brainstorm Patent Search Words and Phrases

First, spend some time brainstorming keywords you can use for your patent search. To develop terms, think through some of the following questions:

• What is the purpose of your invention?
• What are simple words you would use to describe your invention?
• Is your invention a process or procedure? If so, what are the steps?
• Is your invention a product?
• What material is your invention made of?
• What does your invention look like?
• What does your invention accomplish?
• How is your invention used?

Compile a list of terms as you think through these questions. Try to describe your idea out loud to others this will help you simplify the concepts and develop keywords.

Here are some additional tips as you draft patent search terms:

• Identify keywords for your invention;
• Identify any technical terms that help describe your invention;
• Avoid overly broad terms;
• Avoid generic terms;
• Think of synonyms for the terms you initially choose.

This will probably be an iterative process. As you conduct searches and review prior art, you will begin to develop a greater understanding of the terms commonly used and the common phrasing for patent applications within your field.  Keep in mind that terms very different than what you imagine might have been used when someone else patented an idea similar to yours.  So when they patented a “can opener” like yours, they may have called it a “container lid remover”. Since your search for “can opener” won’t find their patent, it is important for you to be flexible with the keywords and to try many different combinations.

Search Within Classes and Subclasses

The next step is to conduct a patent search within classes and subclasses on the  United States Patent and Trademark Office website . The Patent Office sorts each patent into various classes. There are about 450 classes in total. Examples of patent classes include Apparel, Cutlery, Metal Working, Sewing, and Woodworking.

Within each of these classes are numerous subclasses. Subclasses drill into patents at a deeper, more granular level. In total, there are hundreds of thousands of class/subclass combinations.

The advantage of searching within classes and subclasses is that you will find important prior art, even if they use different terminology. So finding the correct class/subclass to look in will reveal that “container lid remover” patent that might have escaped your keyword research for can opener.

You will need to search through multiple classes and subclasses to conduct a thorough patent search and make sure you have covered all of your bases. This can take a substantial amount of time, so don’t be discouraged by the process.

Search Issued Patents and Patent Applications

The United States Patent Office has two main patent databases:

• A database for patents that have been issued;
• A database for patent applications that have been published.

While there is some overlap between these two databases, it is important to conduct a patent search within both databases because each database contains unique hits. This is because not all patent applications are published, and not all applications are eventually granted patents. Published patent applications are prior art and can be used against your efforts to get your own patent.

Full Text and PDF Image Databases

The Patent Office has two types of databases for issued patents:

• Full-Text; and

The Patent Office has full-text patents for patents that have been issued from 1976 to the present, and PDF images for all patents issued from 1790 to the present.

The PDF image database only allows you to search by patent number or classification code. Therefore, it can be harder to fruitfully search the PDF image database. However, this database goes much further back in time than the full-text database.

So, be sure to still check the PDF Image database as a final check. It is helpful to familiarize yourself with classes and subclasses before you dive into this database, as that’s the primary way you will be able to find any relevant patents.

Third Party Patent Search Databases

There are also some  third party patent search databases  you can use to facilitate your patent search. These databases have advanced filters. This includes searching by date, author/inventor, and other key features beyond class and subclass.

These databases can also be more intuitive to navigate, as they mimic other platforms you may be familiar with.

Third party patent search databases can offer quicker access to data analytics than the United States Patent Office’s databases. They can also convert non-English text to English quickly and cluster documents within patent families.

Because of this, it’s a good idea to use both the Patent office databases as well as third party databases to make sure your patent search is comprehensive and complete.

Searching With Google Patents

Yes, the world’s largest search engine also has a patent search database! It is found at patents.google.com. The Google patent site is an extremely easy to use patent search database. It has a search window that looks just like the familiar search window. Just type in a query and up pop thousands of patent results.

The important thing to understand about Google Patents is that while it is extremely easy to find results, it is far from thorough. Google Patents is a great way to find a patent if you already know the patent number or if you know the name of the inventor. Also, searching on Google Patents will help you see if lots of people have similar ideas. It can be a good way to quickly, easily, and inexpensively discover that there is something just like your invention. But if you search extensively on Google Patents and still don’t find an invention like this, it is not wise to rely on this to trust that it actually doesn’t exist. In such cases it is way more likely that the Google Patent algorithm simply didn’t lead you to it.

Engage a Patent Attorney for Searching

After you have spent some time on your own searching the patent databases, it’s a good idea to engage a patent attorney to conduct a search on your idea and invention. Patent attorneys, and the patent searchers they employ, are much more experienced with looking for and finding the best prior art that will help you to understand how different your invention really is from the prior art.

Attorneys will often find things you might have been unable to on your own. They can also provide you pointers for further searching on your own.

Keep Detailed Search Notes

It can be helpful to keep detailed records of your patent search efforts. Take notes on the search terms you used, the databases you reviewed, and the various parameters you may have applied.

This will help you eliminate some duplicate efforts, as you will likely conduct your patent searches across days if not weeks. Be sure to note any patents you have questions about to consult with a patent attorney later on.

In addition, when you apply for a patent, you have a duty of candor to the Patent Office. This means will need to tell the Patent Office about the prior art that you know of that is relevant to the patentability of your invention.

Step 3: Prepare the Patent Application

You have the makings of a patentable idea, and your patent searches show that no one else has filed a patent on your idea. You may be ready to start your patent application.

The next step is to decide what type of patent application you should file. Set out below are the main types of applications to file, and key considerations as you make this determination.

Provisional Patent Application

A provisional patent application  is an informal patent application. It allows you to file an application with an informal (but detailed and complete) description of your invention and without any type of formal oath or declaration. It will not be reviewed by the Patent Office, but most importantly, it reserves your filing date.

Why Is Your Filing Date So Important?

The date on which you file can be very important for future patent disputes. This is because the United States operates under a “first-to-file” rule. It also establishes what prior art can be used against you when your patent application is reviewed by the Patent Office. Having an earlier priority date (filing date) can be extremely helpful in getting your patent application approved.

First-to-file Rule

The first-to-file rule is the principle that the first inventor to file for a patent has priority for that patent.

This is a change to the historic rule in the United States that the inventor who first created an invention received priority– even if someone else managed to file their patent application first. In 2013, the American Invents Act was passed, which changed this long standing rule. This change brought the United States in line with other foreign patent laws that had been operating on a first-to-file basis.

The first-to-file rule is simpler and easier for the government to enforce than a first-to-invent rule, which may be one reason why the United States recently made this change. However, the rule can also potentially hurt inventors who have an idea and create an invention, but take their time perfecting it before actually filing their patent application.

The risk is that they may be ‘beaten to the punch’ by someone who later invents but files quickly.

This is why it’s important for you to file your patent application as soon as practical so to make sure you preserve your priority under the first-to-file system. Once you file your patent application, you’ll be able to  state that your idea is patent pending . Being able to state that your idea is patent pending helps communicate to the public you have started the application process and have established your rights, even if you have yet to actually get your patent.

Benefits of a Provisional Patent

Filing a provisional patent application will establish your priority in your invention for the sake of a future filing of a nonprovisional (utility) patent application. A provisional patent application is not examined by the Patent Office and therefore avoids many of the costs typically involved with nonprovisional patent prosecution. A nonprovisional patent application must be filed within one year from the provisional patent application to maintain priority.

So,  a provisional patent  essentially gives you a year to conduct market research and further refine your invention before investing the more substantial money, time, and effort into a nonprovisional patent application and the patent prosecution process.

Another benefit is that provisional patent applications are kept confidential at the Patent Office. This means there will be no public disclosure of your invention.

Important Consideration for Provisional Patent Applications

You’ll want to make sure you describe the invention adequately in the provisional patent application. This is because if the invention is not adequately described in the provisional, you might not be able to rely on the provisional patent application date as your filing date once you file your nonprovisional.

Overall, provisional patent applications can be a good way for start-ups and small businesses or inventors with smaller budgets to get their ‘foot in the door’ at the Patent Office. It allows them to receive some patent protection before they fully invest in the more extensive patent prosecution steps.

Provisional Patent Application Details

Here are a few details that must be included in your provisional patent application:

• Cover sheet;
• Written description;
• Drawings (if necessary);

The written description of the invention must meet the requirements identified in  35 U.S.C. 112 . This statute requires a clear and concise description of the invention and the manner and process of making and using it.

Essentially, the written description should provide enough details that someone with ordinary skill in the field would be able to make and use the invention. The written description also needs enough detail so that a person of ordinary skill in the field would be able to recognize the invention in the nonprovisional application that would be filed later on.

Nonprovisional Patent Application

A nonprovisional patent application  – also known as a utility patent application – is the formal patent application submitted to the United States Patent and Trademark Office to start the patent process. Remember – if you filed a provisional first – this application must be filed within one year after filing your provisional patent application. Filing this application will give your idea patent pending status.

Nonprovisional patent applications start the process toward obtaining utility patents. Design patents have a separate application process, which is outlined below.

In general, it is helpful to engage an attorney when filing your nonprovisional patent application. A patent attorney will be able to provide you advice on the appropriate language to use in the application as well as guide the extensive processes and procedures that happen after filing.

For further insight, check out the  United States Patent Office’s comprehensive filing guide .

Ways to File

There are three ways to file your nonprovisional patent application:

• Using the Patent Office’s electronic filing system called EFC-Web;
• Using the United States mail; or
• Hand delivering your application to the Patent Office in Alexandria, Virginia.

Be sure to note that if you choose to file non-electronically, you will be charged an additional $400 non-electronic filing fee.

Details to Include

A nonprovisional patent application must include the following:

• Application Transmittal Form or Letter;
• Specification, including a description and a claim or claims;
• Drawings, when necessary;
• Oath or declaration; and
• Required filing, search, and examination fees.

Application Transmittal Form or Letter

The Application Transmittal Form or Letter outlines the entire contents of the patent application. You can find a  template form on the Patent Office’s website .

Specification

The Specification is the written description of the invention, including the manner and process for making and using the invention. Like the provisional patent application, the Specification must be written in clear, concise, and exact terms that allow a person with ordinary skill in the field to make and use the invention. Unlike the provisional patent application, there are numerous formal requirements for how the specification is written. Violating any of these rules will result in an objection or rejection of the specification.

Patent Claims

The claims in a patent application are the part that define the scope of the invention. That is, they define the territory that others cannot trespass without  infringing the patent . The claims are a series of carefully written sentences that define a core combination of parts of elements that another cannot copy. Drafting the claims is critical, as often just a few words can make the difference of whether others will  infringe the patent . Skillfully written claims mark the difference between a valuable patent that competitors cannot get around from a patent that is easily ‘broken’ as has little value.

Oath or Declaration

The oath or declaration should address the following:

• The application was made or authorized to be made by the person executing the declaration;
• The individual believes himself or herself to be the original inventor or an original joint inventor of a claimed invention in the application, and
•  An acknowledgment of penalties clause referring to fine or imprisonment of not more than five years, or both.

For ease of reference, the Patent Office has a  template declaration on its website.

As a general note, the nonprovisional patent application may establish priority and serve as the basis for further follow-on applications that you may submit in the future. Such future applications can be submitted during the pendency of this nonprovisional. That means they can be submitted at any point before the patent issues or is abandoned.

Divisional Patent Application

A divisional patent application can follow a nonprovisional patent application. It is used to pursue an independent or distinct invention that is carved out of an application that is already patent pending. This type of application is typically filed after you receive a restriction requirement office action from a patent examiner. That is, if the Patent Office examiner believes there is more than one invention present in a patent application, he or she may issue a restriction – requiring you to choose one.  The divisional patent application may be filed later to pursue the invention you didn’t initially choose.

Patent Examiner Involvement

A patent examiner will sometimes evaluate an application and conclude there are multiple inventions within a single patent application. This may be because different versions of the invention are presented. Or, because there are different aspects to an invention that are being pursued in different groups of claims.

If this is the case, the patent examiner will issue a restriction requirement to you as the applicant. Once you receive a restriction, you must file an election to pick one version/group. You can submit a divisional patent application to pursue the non-elected version/group.

Continuation Application

A continuation application is a patent application that is filed after your original patent application that has the same specification and drawings as the original, but contains new or different claims than the original.  The continuation application maintains a strong claim of priority from the original because of the fact that the invention shown in the drawings and described in the specification have not changed.

Continuation-in-part Application

A continuation-in-part(CIP) application is used when you make improvements or come up with add-ons to your original invention while it is patent pending. Since many inventors continue to work on their inventions even after a patent application has been filed, a continuation-in-part is a way to seek additional patents for these improvements, while maintaining priority from the original patent application.

If this is you, and you have developed some improvements, use a continuation application. As long as your original invention serves as the base for your improvements, then the continuation-in-part application is your best way to maintain priority for that base established in your original patent application.

Design Patent Application

Design patent applications are distinct from utility patent applications. Design patent applications seek to patent solely the shape or “ornamental appearance” of an invention, or both. This would include any two-dimensional or three-dimensional shapes and other design aspects of the product, device, or item you are looking to patent.

Your idea might have both utility and design aspects that are worthy of protection. If this is the case, may seek both a utility patent and a design patent.

It’s important to keep the different scope of protection of design vs. utility patents as you apply for your patents. Together they can be utilized to protect all aspects of your idea from future infringers.

International Patent Applications

Up to this point we have been talking about patent applications that are submitted to the United States Patent and Trademark Office. Such applications are only suitable for seeking patent protection within the United States. As patents are territorial in nature, U.S. patents do not protect an invention or idea in foreign countries. These patents do not cover any rights you might have internationally for your idea.

With this in mind, it is important to consider where you want/need patent protection. Do you want to protect your rights only in the United States? Or do you want protection on an international stage?

One important factor to consider here is where the best market for your invention will be. Will it be only the United States? Or will it extend to other countries? Do you need to obtain patent protection in non-U.S. countries?

If you want to protect your idea internationally, you will need to get a patent in any country where you would like to get protection. Because it can be very expensive to do so, you’ll want to look into filing an international application first.

A common international patent application to start the international patenting process is the Patent Cooperation Treaty Application (PCT Application). The PCT provides a unified procedure for filing patent applications internationally, and effectively can start the process toward providing you protection in all of the states that are part of the treaty. Eventually, to complete the process you would need to file “national” patent applications in the countries where you want protection. The advantage of the PCT application is that it gives you up to 30 months from your first patent application to file those national patent applications. For many inventors, this buys them valuable time to bring their product to market while they decide whether to invest in those national applications.

Step 4: Patent Prosecution

You have done your prep work, conducted your searches, and submitted your patent application to the Patent Office to patent an idea. What happens next with your application?

Your application will run through multiple individuals who assess its specification and diagrams to determine the particular “art unit” within the Patent Office to send your application. These art units are arranged by technology that correlate with the various classes you encountered when searching the patent databases.

Once your patent application lands in an art unit, it will be assigned to a patent examiner. Unfortunately, once your patent examiner is assigned, it cannot be changed.

Office Actions

As an initial note, office actions are official communications sent to you from the Patent Office as it  evaluates your application . Most of these communications come from your patent examiner to notify you of the results and status of their evaluation.

Office actions may communicate legal problems with your patent, from small typos to larger issues with your application. Whatever issues are raised in an office action, each must be responded in order to provide a complete response. Also any objection and rejections must be overcome for your patent application to be approved.

Restrictions

When they start reviewing a patent application, patent examiners will first review your patent application to determine if a single invention is present. If multiple inventions are present, the examiner may issue a restriction. The most common type of restriction is when an examiner contends that the applicant has claimed inventions that are distinct or independent. When issuing a restriction, the examiner is contending that the applicant is seeking a patent for an invention that should actually be split up into multiple, distinct patents.

If this is the case, the patent examiner will ask you to pick which invention you want to patent with the current application. As we discussed above, you can still seek application coverage for the other inventions by filing a divisional patent application.

Substantive Examination

After determining whether a restriction is required, patent examiners will move on to their substantive examination of your patent application.

Patent examiners conduct thorough searches of prior art to make a reasoned determination of whether or not your invention is distinct enough from other patents. This is why it’s so important that you review and analyze all of the prior art available before you submit your application.

Examiners review all sources of prior art that are available to them, not just patents. This can include industry publications or other scholarly publications.

Examiners also make sure your application satisfies the applicable statutory requirements. This includes ensuring that your application contains a sufficient description of your invention, and that it meets all of the formal rules for patent application content and structure.

First Office Action on the Merits

Once your patent examiner has reviewed all applicable prior art, the examiner will submit to you the First Office Action. This has two functions:

• It informs the applicants which parts of the application are allowable; and
• It identifies all deficiencies in the applications that need to be addressed by the applicant.

If you receive a First Office Action that contains a rejection, don’t panic. A first rejection is normal and can be a necessary part of the process. You can submit a response to the examiner to address any identified defects.

You can also have an interview with your patent examiner to discuss any issues that have been identified. This will be helpful in addressing the examiner’s specific concerns and in making sure your response is adequate.

Applicant Response

You are typically given a time period of three months to respond to the First Official Action. You may also be able to obtain extensions through payment of extension fees. Any response filed must address each and every issue identified by your examiner.

You can change or rearrange your specifications, claims, and drawings within your application as part of the response. However, you won’t be able to add any new material that was not included in the original application. This is one reason it’s a good idea to be over-inclusive in your initial application.

Examiner Response

The examiner will then review your applicant response and make a couple of potential determinations:

• This is issued if the examiner believes the response sufficiently addresses the identified issues, which allows your patent application to proceed forward;
• This is issued if the examiner is not satisfied that your response resolves all the issues within the First Office Action.

A Notice of Allowance essentially approves your patent application. In response, once issuance fees are paid, your patent will be granted. At that point, your idea is no longer patent pending and you can enforce your patent against others.

A Final Office Action, also called a Final Rejection, may be issued when the examiner is able to make the same rejections it made previously for a second time. They can also issue a final rejection when they make new rejections, by the examining claiming that these new rejections were made necessary by the changes you made in your response.

If you receive a Final Office Action, you have a few options:

• You can continue to amend the application and try to convince the examiner to grant the application (with more limited options);
• You can appeal the examiner’s decision;
• You can file an RCE (Request for Continued Examination) along with the government fee to buy at least one additional ‘round’ of argument with the Examiner;
• You can file a continuation or continuation-in-part patent application; or
• You can abandon the application.

Step 5: Appeals and Petition Process

Sometimes it is not possible to convince an examiner that their rejection of your patent application is incorrect. If this happens, you may want to consider filing some type of appeal.

Appeals Process

You can file a Notice of Appeal and appeal the examiner’s final determination of patentability. That is – after a final office action is issued. Appeals are heard by the Patent Trial and Appeals Board (PTAB).

This Board is comprised of experienced senior patent examiners and will hear arguments regarding your patent application and consider all applicable documents. The Board will then make a determination about whether or not to reverse the examiners rejections and grant your patent application over the examiner’s decision.

An appeal may be a good option if your examiner substantively disagrees with the novelty, utility, or non obviousness of your invention. The Board is well versed in the legal arguments surrounding these key legal issues and can sometimes make a different determination than that made by the patent examiner.

Petition Process

If you have an issue with something related to the patent application process, you may want to file a petition. Petitions, unlike appeals, are submitted to and determined by the Office of Petitions at the Patent office. In general, petitions address issues within the process. For example, if you want to seek certain exceptions to the patent prosecution process timeline or requirements, petitions are used. Petitions are also used to revive a patent application that were abandoned when the inventor unintentionally fails to respond to an office action or pay a fee on time.

Patent Vs. Copyright: Similarities And Differences

Patents and copyrights are both forms of intellectual property protection.  How they mostly differ is in the type of thing they protect.  Patents protect the functional aspects of an invention or the ornamental design of a useful product.  Copyrights, on the other hand, protect content.

The content of a web page, the content of a video, the content of a musical composition are what is protected by copyright.  What’s more – copyright protects “artistic expression”, and not the underlying idea.  So a copyright for a book about a manufacturing process protects the way you chose to write about that process, but not the process itself.  The process itself might instead be protectable by a patent.

How Are They Similar?

Copyrights and patents are similar in that they both require a certain amount of creativity, originality, novelty, etc. by a human being. Inventions or content created by A.I. (Artificial intelligence) are neither eligible for patent nor copyright protection.

How Are They Different?

Patents also differ from copyrights in that patents require a formal process to establish your rights. That is, you must file a patent application that is approved and granted before you have any rights to the invention. Copyright rights, however, are established when the work is “fixed in a tangible form”. You can take steps to register your copyright with the Library of Congress, and that does have benefits. But your rights against copying are established at the time that your create the copyrightable content.

What You Should Know About Confidentiality Agreements

Confidentiality agreements can be a useful step in maintaining your rights to your ideas and other confidential information in your business. The important thing to understand, however, that a confidentiality agreement is just a contract. Your only recourse is through contract law.

A contract generally cannot be asserted against third parties.  So if you have a confidentiality agreement with company A, and then you see company B manufacturing your product, you have no right to stop company B (unless you can prove that company B improperly received your confidential information).  If instead, however, you have a patent on the product, you could assert it against company B, because if a product infringes your patent, it doesn’t matter how the infringer learned about it!

One-Sided Agreement

A one-sided agreement is simply a pledge from one party to another, without any significant obligation on the other side. 

Mutual Confidentiality Agreements

When two parties are considering (for example) working together, they might contemplate “comparing notes” about their business practices, innovations, etc.  In such cases, they might enter into a mutual confidentiality agreement whereby both parties are agreeing not to disclose, reveal, or use for any purpose other than their proposed joint project, venture, or agreement, the information that the other party shares.

Unilateral Confidentiality Agreements

A unilateral confidentiality agreement is a one-sided agreement, where one side is revealing information, and the other side is agreeing to keep it confidential. For example a simple agreement by a manufacturer to not to disclose any information revealed by the inventor, does not create any significant obligation by the inventor.

Who To Share Your Invention Idea With

It is important to understand that anytime you share your invention with third parties, there are risks. Some circumstances carry greater risk than others.  For example, sharing your invention idea with a company in the same industry as the idea can be high risk. Talking with a prototype builder or designer that makes a living from helping inventors build prototypes is probably low risk.

The best way to reduce your risk is to file a patent application and thereby establish your priority. Anytime you share your invention idea, you should first consider the potential benefit of sharing against the risk it may create.

Related Questions

With the nuts and bolts of how to patent and idea described above, people still commonly have the following questions:

How Can I Patent My Idea For Free?

People often wonder if there is a way to patent their idea for free. Unfortunately, there is no mechanism to patent your invention for free. The so-called “poor man’s patent” – where you mail a description of your idea to yourself – does not work! It is a myth that has persisted for more than one hundred years. 

The only path toward getting a patent requires actually filing a patent application in the USPTO. Even if you found someone who was willing and able to write an effective patent application for you for free, the USPTO will still charge their fees to you.

Can I Sell My Idea As An Invention?

It is typically not possible to sell an idea as an invention, where you have not at least applied for a patent.  An idea itself cannot be sold, because you cannot obligate someone to pay for that which you do not own. The only exception to this occurs when a serial inventor with a track record has a pre-existing relationship with a company interested in their ideas.

Due to their existing relationship, the company is willing to pay the inventor for their ideas, for no other reason than to keep the relationship going so that they get the opportunity to hear future ideas.  To the typical inventor, however, it is necessary to establish rights to your invention before you can have to leverage to sell your idea.

Can I Patent An Idea Without A Prototype?

It is possible to patent an idea without a prototype.  The patent application process requires that the inventor explain how the invention works in writing. That is, the patent application must describe (and show in the drawings) the invention with enough detail so that the reader can reproduce the invention. 

This is called a ‘constructive reduction to practice’, and will suffice in 99% of patent applications.  The only time when proof will be required that the invention has actually been created is when the patent application describes an invention that seems to be inoperable (such as a perpetual motion machine).

So how do you patent an idea? It is important to complete some diligence up front to make sure your idea meets the requirements for a patent. It’s also important to conduct a thorough search to determine there is no prior art directly on point, i.e., that your idea hasn’t already been patented.

Once you are comfortable that your invention is eligible for a patent, it’s time to start the application process. It can be helpful to have an experienced patent attorney working with you to navigate this process.

Don’t let the complexity of the process keep you from pursuing a patent for your idea. Filing a patent application can be complicated, but when done properly and for the right invention it can greatly help and protect you or your business.

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How to Create an Invention (9-Step Guide)

March 9, 2022

Table of contents

How do i come up with an invention idea, step 1: decide on your invention, step 2: research and conceptualize, step 3: document the process, step 4: market research, step 5: design your invention, step 6: start prototyping, step 7: patent your invention, step 8: begin manufacturing, step 9: sell or license your product, how to create an invention: faqs, final notes on how to create an invention.

This is probably the most popular question we get asked here at MAKO Design + Invent. In general, every great idea starts with two things :

• It needs to solve a problem for a specific group of people.
• The idea should be simple for the end-user.

So, before you go about developing and manufacturing the invention, try to simplify the idea as much as possible. Focus on just one or two key features that will solve a pressing problem for users.

It’s important to realize that a simpler product allows the designers and engineers to focus on making the one or two key features included as refined as they can possibly be. A simpler product is also easier to manufacture, which means fewer defects and, most importantly, happier customers.

This is a critical part of coming up with a great idea, and the nine steps below will help you transform your new invention idea into a polished, successful product.

If you’re reading this, you might be thinking about how to start the process of inventing. Every great idea needs a well-structured plan to be successful.

Thoughtful choices must be made first when coming up with an invention idea to begin the process of development.

Key considerations:

• Will you license for royalties or a lump sum?

These are factors you will need to think about to know what’s right for you and your lifestyle.

If manufacturing and marketing is the path you would like to take, be prepared to become an entrepreneur and put a lot of time into building a business based on your idea.

This path enables your invention to have a higher success rate with a higher payout, but it also means a lengthy process is ahead. Your hard work will pay off in the long term if you do decide to go this route!

The second option of licensing leaves you with the choice of receiving royalties from the company you end up selling your idea to or receiving a single lump-sum payout. While royalties may sound enticing, you may be acquiring significantly less than if you were to market the invention yourself.

The standard royalty rate is between 2-5% of the gross profit the company receives. The lump-sum option gives you a one-time payout from the company that is purchasing your idea. Essentially you are selling the rights to your idea.

Whichever option you choose, these companies are looking to mitigate risk. Thus, in addition to the idea itself, you should also consider how to create an invention prototype. That way, you can sell units after conducting product prototyping to help prove that your product has traction in the market while garnering feedback. If you can get positive reviews from customers, even better.

The conceptualization phase is where you’ll acquire a comprehensive understanding of your invention’s potential value.

• What problem is my invention solving?
• Who is my target audience?
• Are there already existing products in the market
• What is the size of the market?
• How saturated is this market?
• Do you understand how you can build/direct others to build your invention?

Mentally preparing yourself to execute the idea you have decided on will be your next move.

One thing many first-time inventors forget about when they are first thinking about how to come up with an invention is that developing the idea is just one small part of the process.

Indeed, your job is not over once you’ve come up with the idea. Seeing the invention process through requires careful and strategic planning, consistent self-motivation, and experienced developers – this could be yourself or a professional design firm like MAKO Design + Invent.

Creating an invention doesn’t mean you should quit your day job and work on it full-time, especially if you’re partnered with a developing firm to design, engineer, and bring your vision to life.

Your invention will, however, require a long-term commitment.

Document everything!

Record all the progress you make throughout every stage when you come up with an invention for organizational purposes and legal protection.

You will need to protect your ideas and privacy by ensuring that you do not disclose any specific information to the wrong parties. Make sure you have your concept written somewhere in print so that if anything should happen, you are covered.

Don’t hesitate to go the extra mile and create disclosure documents where you see fit.

Once you are mentally prepared and organized and have made important decisions regarding the frameworks of your invention, start doing research on how to create an invention for a specific market.

• Are there similar products in the market?
• Does that product have a patent?
• Does my invention have advantages over theirs?
• Is their product design better?
• How efficient is the product design in comparison?
• Is my product more environmentally friendly?
• Does mine cost less to make?
• Are there any other benefits to my product that theirs doesn’t have?

This market research will help you decide if you need to rework your idea or if it’s original enough to succeed. Answering these questions will also help you know when and how to create an invention prototype following the design phase and before you start manufacturing.

We want you to be excited about and confident in your idea so you are optimally positioned to achieve your product goals. In fact, most inventions are modifications or combinations of existing products.

Never give up!

Now for the fun part; designing the invention. 

Three-dimensional computer-aided designs (CAD) are required to bring your 2D concept to life. Visualization is key to understanding your true product design and learning how to create an invention prototype. 

Ways of achieving this can be either by yourself using an engineering software like Solidworks or leveraging the experience and expertise of professional design firms like MAKO Design + Invent that provide product design services . 

Photographic renderings are next as you delve into the true design of your idea. You can find some examples of what these look like in our past work . Here at MAKO, we believe including mechanical and electrical design is key to truly understanding the way your product will function. 

Many firms do not incorporate design for manufacturing principles in the design process or know how to create a CAD. They might just create a 3D model of your invention, which can lead to a costly rework. MAKO brings together industrial design, mechanical engineering, and electrical design all under one roof to ensure the invention prototypes we create for clients look great and also function as they should.

To cut costs, ensure you use good quality designs to limit the number of prototypes you create. Whether you’re building the MVP version or a near-final prototype, these prototypes will help bolster your pitches and boost the confidence of someone evaluating your idea. 

This stage helps you test the functionality as well as locate any weaknesses/improvements to be made. 

As a result, it’s imperative that you do not skip this stage. In fact, not learning the importance of creating an invention prototype will lead to more costly errors and potentially faulty products down the line, and no one wants that.

You are ready to get serious now and apply for a patent. 

We do recommend acquiring a provisional patent so your idea is protected for a 12-month trial period. Once you learn how to create an invention prototype, you have time for trial and error to market the product yourself before applying for a full patent. 

The trial period gives you time to build credibility for your brand as well and provides the opportunity for you to get your name out there. 

That way, when you’re ready to sell the idea, your invention may be worth more to potential buyers.

Seeking out a manufacturer is your next move. 

This is for entrepreneurs gearing up to open their own businesses, with a focus on their new invention. For those looking to license, this is not a requirement; however, it will increase value to potential buyers, as mentioned before.

Most products have more than one part to them, meaning you may need to seek out more than one manufacturer, depending on the complexity of your product. You may need to seek different companies for each task as well. For example, parts manufacturing, assembly, packaging, and shipment.

Outsourcing on your own is also a good idea, as it will help you maintain a competitive edge in the global manufacturing marketplace. MAKO Design + Invent offers this for our clients at the time that we produce the prototype. We can utilize this collected information with our suppliers in Canada, the US, and overseas to finalize the production logistics for you.

The final phase of creating your product after sourcing out your manufacturers and parts is to either sell your units to a product buyer or license your invention .

This is the exciting part! 

While still under the 12-month provisional patent, we recommend you industriously promote your invention to as many buyers as possible. Find the decision-makers within these potential buyers! Work out improvement opportunities while you have the time to experiment.  

Licensing deals can sometimes be more difficult to obtain. If you keep busy and market your product under the 12-month provision patent trial, you will earn your product more value in the eyes of potential buyers. Once you’ve obtained some sales under your belt, you can sell the product outright or license it at a much higher premium because it’s worth more now. 

Know your buyers, do your research on them, and brush up on your negotiation skills. Be realistic! Don’t get greedy and blow a good deal.

To get your invention made, you should follow the nine steps below: 1. Decide on Your Invention: Determine the problem that’s worth solving and for whom. 2. Research and Conceptualize: Learn if your invention is the right fit in the existing market. 3. Document the Process: Protect your idea and yourself. 4. Market Research: Research how and where customers will use your invention. 5. Design Your Invention: Conceptualize and visualize the invention in both 2D and 3D. 6. Start Prototyping: Test functionality and identify improvement opportunities. 7. Patent Your Invention: Protect the product and build credibility. 8. Begin Manufacturing: Build and ship the final product. 9. Sell or License Your Product: Earn royalties or enjoy a lump-sum payment for your hard work.

It starts with a CAD file, a 3D representation of the invention. This file also has information about the functionality, dimensions, and other critical details required to manufacture a prototype. 

It depends on what stage you’re at in the product development cycle. Depending on the development phase, you may need a designer, engineer, patent attorney, manufacturer, or a combination of these. That’s why MAKO Design + Invent offers end-to-end product development services to help simplify the process and minimize risk to the inventor.

The recommended steps above are based on our years of product development experience. As the pioneering end-to-end product development firm catered to inventors, small manufacturers, eCommerce brands, and startups, we understand how daunting it can be to not only come up with an invention but actually start bringing your idea to life. Trust us, we have over 20 years of experience doing this. 

Each step in this guide is designed to minimize risks, costs, and revisions to help ensure all timeline and budget requirements are met. In addition, we’ve outlined the details above to help explain why a great product is more than just a great idea. Successful products go beyond the idea . It’s a combination of the right parts, materials, engineering know-how, manufacturers, and other strategic elements that make up a successful product launch.

And in the end, if you work with us, you’ll be at the helm. Of course, it will be a collaborative experience, but we won’t make any changes or updates to the design without your approval. 

It’s truly your vision that comes to life!

About:   MAKO Design + Invent  is the original firm providing world-class  consumer product development services tailored to startups, small manufacturers, and inventors . Simply put, we are the leading one-stop-shop for  developing your physical product  from idea to store shelves, all in a high-quality, cost-effective, and timely manner. We operate as one powerhouse 30-person product design team spread across 4 offices to serve you (Austin, Miami, San Francisco, & Toronto). We have full-stack in-house  industrial design ,  mechanical engineering ,  electrical engineering ,  patent referral ,  prototyping , and  manufacturing services . To assist our startup and inventor clients, in addition to above, we help with business strategy, product strategy, marketing, and sales/distribution for all consumer product categories. Also, our founder Kevin Mako hosts  The Product Startup Podcast , the industry's leading hardware podcast. Check it out for tips, interviews, and best practices for hardware startups, inventors, and product developers.  Click HERE to learn more about MAKO Design + Invent !

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Got a Eureka? Here's How to Find Funding for Your Next Invention

At last, you have that brilliant idea for an invention. Only one problem: you don’t have the funding to turn your invention into a reality. Before you throw your idea away, consider invention funding.

There are many different ways you can get your invention financed, from loans to investors. Keep reading as we break down everything you need to know about invention funding.

Protecting Your Idea For Invention Funding

Working with investors is the best way to finance the creation or launch of your invention. You can seek out financing with only an idea, meaning you haven’t begun the process of making your invention.

Developing your invention past the idea means that you have filed a patent application, are engineering the product, developing a prototype and creating a proof on concept.

Make Sure Your Idea Is Orginal

Before you start protecting your idea and hounding investors for money, you’ll want to make sure your idea is original. To do this, you can do a patent search with either an attorney or on the U.S. Patent and Trademark Office’s website.

Here, you can find out if your invention is as original as you think it is. This step is key in applying for grants, as you can’t get funding for an idea that isn’t original.

Protect Your Idea

Keep in mind, that while investors are the best way to finance your idea so you can create and launch it, you as the inventor should still make sure that you protect your idea from any theft.

If you don’t take the proper steps of protecting your idea and are already meeting with investors, then you risk that an investor could listen to your pitch, steal it, and go ahead and create your invention on their own, leaving you with nothing.

This is why, at the least, you’ll want to make investors sign a non-disclosure agreement before you meet. You could also wait to pitch your idea until after you have achieved patent-pending status. Waiting until you have a patent is typically the safest way to protect the rights to your idea.

However, patents are expensive. The cost of filing a patent can be as much as $20,000. Chances are if you’re already having a hard time getting the funding for your invention, you probably don’t have the finances to cover you patent costs.

Types Of Funding

When it comes to funding your idea, there are different routes you can take. Here are some ways you can go about getting funding and/or an investor.

Research Nonprofit Grants

If you happen to work with a nonprofit organization, they might have grants available if your invention is a social enterprise. A social enterprise will have both a social and for-profit side to it.

If this describes your idea, then a nonprofit organization would be able to be a fiscal sponsor. This would allow you to search for grants under the nonprofit’s tax-exempt status.

You can find out about nonprofit grant opportunities by joining a local inventor’s club. Here you can network with other local inventors and learn about these opportunities. Check  The United Inventors Association’s website  for a listing of local inventors clubs.

Look For Student Invention Grants

If you are a college facility member or a college student, then you might be able to apply for a Student Invention Grant from the  National Collegiate Inventors and Innovators Alliance . This organization gives awards to inventors with ideas that can demonstrate either technological innovation or a positive social impact.

Apply For Federal Funding

The U.S. government actively supports the development and research work for inventors with projects that align with the objectives of the U.S. government’s departments. If this describes your invention, you can receive funds of up to several million dollars that don’t need to be repaid.

You can learn about the government’s grant opportunities  on their website . Here you will be able to efficiently navigate between all of the government’s granting offices for opportunities.

Submit A Financial Request To SBIR

You can also submit a financial request to the  Small Business Innovation Research office . This works well for inventors with a small for-profit business that is at least 51 percent owned by a permanent resident or U.S. citizen. The business also needs to have under 500 employees.

This office has 12 federal agencies and offers maximum funding values from $150,000 to $1 million.

Present To Angel Investors

Another option is to present your concept to “angel” investors for funding. Angel investors tend to sponsor innovations by donating somewhere between $20,000 to $100,000. These investors expect to be paid back in the form of a small percentage of ownership in your newly formed company.

Angel investors will rarely get tangled up in the day-to-day management of your idea, but they will offer you introductions to experts in their network that can be resources for you. To find an angel investor, contact your local chamber of commerce or college’s alumni association.

Talk to Venture Capitalists

Another funding option is to talk to Venture Capital (VC) firms. These companies will sponsor your idea at the highest level of usually millions of dollars. In return, they will ask for a significant amount of ownership in your start-up.

VC firms tend to be involved with the strategic direction of your start-up company and are on the board of directors of your new business.

Talk to Family and Friends

Another option is to talk to your family and friends and see if they are interested in investing in your idea or giving you a loan or donation. You should consider what would happen to your relationship with your family and friends if you were not able to pay them back.

This is why you should also consider websites like Kickstarter that let you get funding for an idea from your network of friends and family. Here, you would pay them back with non-monetary items which might be more attainable for you.

Get A Loan 

You can also look into getting a loan, but you will need to pay that back over time. There are many loan opportunities out there, including taking out  more than one payday loans .

Get Funding For Your Invention 

Now that you know your options for invention funding, it’s time to get your brilliant idea funded. Make sure your idea is original and protected first, then explore these investor and loan options.

For more resources for inventors, check out the rest of our blog.

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Start » startup, how to file a patent.

Filing for a patent can protect your creation and business. Here's what you need to know about the patent filing process.

You've done your research, tested your designs and created a working prototype of your invention. Now you're ready to present it to the public and turn it into a successful business.

Before you begin the process of launching your new product, you might want to consider filing for a patent first. As a piece of intellectual property , you'll want to protect your unique creation from any potential copycats.

Below, we'll explore the different patents available, as well as the steps for completing the filing process with the federal government.

What is a patent?

A patent is issued by the U.S. Patent and Trademark Office (USPTO) to grant a "property right" to the creator of an invention. This right excludes others from making, using, offering for sale or importing that person's invention or design within the United States.

The majority of entrepreneurs will file one of two types of patents :

• Utility patents protect how an invention works, including its functionality and structure.
• Design patents apply to the look of an item and protect the "ornamental design."

A new patent typically gives the inventor a 20-year window from the application date, where no one else can profit from manufacturing and distributing their invention or design.

[See more: How to Trademark Your Business Name .]

Who can file for a patent?

With the exception of officers and employees of the USPTO, anyone who invents or discovers something that qualifies for a patent may file for one.

To obtain a patent, one's invention or discovery must be "new and useful." U.S. patent law states that an invention can't be patented if it is already available to the public before the application is filed, or if another patent or patent application was filed describing the same claimed invention.

Whether you're filing a design or utility patent, the USPTO operates on the "first to file" principle. This means that whoever files a patent for a particular invention or design first will have the patent's protection rights.

To obtain a patent, one's invention or discovery must be "new and useful."

Patent filing process

The patent filing process can be a lengthy and expensive one, so if you're hoping to obtain a patent, you'll want to start as soon as possible. It may take 13 to 18 months to even receive your first notification from the USPTO, and the entire process — from filing to issuance — can take as long as 30 months.

According to the USPTO , here are the steps you should take before you file a patent application for your invention:

• Research if your invention has already been patented.
• Determine which patent is applicable to your invention.
• Decide whether or not to file domestically and globally.
• Decide whether to file the patent yourself or enlist an attorney to file on your behalf.

Once you've taken these steps, you can prepare to file your online application with the USPTO. You'll need to first apply for a customer number and digital certificate, as well as pay any applicable fees .

After you file the electronic application, the USPTO will then examine it and decide whether to grant it. You may need to submit reconsideration requests and appeals if your patent application is initially denied.

If your patent is approved, you will need to pay the USPTO's issue and publication fees, as well as maintenance fees at certain intervals after the patent is granted.

What other intellectual property protections exist?

Protecting your business's intellectual property is critical. However, it can be difficult to decide whether to file for a patent, trademark or copyright — or all of the above.

To help you, the U.S. Small Business Administration offers a course that outlines the filing steps, timelines and costs for each. You can also check out CO—'s guide to protecting your intellectual property.

CO— aims to bring you inspiration from leading respected experts. However, before making any business decision, you should consult a professional who can advise you based on your individual situation.

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How to Submit Invention Ideas to Companies: Do's and Don’ts

So you’ve come up with a brilliant invention idea, and now you’re wondering how to get it in front of the right people who can help bring your idea to life. In this article, we’ll explore the do’s and don’ts of submitting your ideas to  invention companies , as well as what to keep in mind when trying to find the best partners for your project.

Do Your Research

Before you start reaching out to different invention companies, it’s essential to research the companies that would be a good fit for your project. Look for businesses that have experience in your specific industry, as well as a proven track record of success with similar projects.

• Look for companies that have a good reputation in your field.
• Don’t settle for the first company you find without conducting thorough research.

Be Prepared with a Comprehensive Pitch

Once you’ve identified potential partners, be prepared with a comprehensive pitch that covers all aspects of your invention. This should include a detailed description of your idea, how it works, and its potential market and applications.

• To create a clear and concise pitch that showcases your invention’s value.
• Don’t go into meetings without a well-thought-out presentation.

Protect Your Intellectual Property

Before submitting your idea to any invention company, you should ensure that your intellectual property is protected. This can include filing for a patent, trademark, or copyright, depending on the nature of your invention.

• Do consult with a lawyeror patent professional to protect your intellectual property.
• Don’t disclose your invention without first taking necessary precautions.

Be Patient and Persistent

Submitting your invention idea to companies can be a time-consuming process, and it’s crucial to remain patient and persistent. Keep in mind that many companies receive numerous submissions, and it may take some time for them to review your proposal and get back to you.

• Do follow up with companies after submitting your idea, but give them enough time to review it.
• Don’t get discouraged if you don’t receive an immediate response or a partnership doesn’t work out.

Network and Connect with Others

It’s essential to take advantage of networking opportunities to connect with others in your industry. Attend events, conferences, and workshops to meet potential partners, learn from experts, and share your ideas with others who share your passion.

• Do use social media platforms and industry forums to network and share your ideas with others.
• Don’t be afraid to reach out to professionals for advice or mentorship.

Be Open to Feedback and Criticism

When submitting your invention idea to companies, be prepared to receive feedback and criticism. Not all feedback will be positive, but it’s essential to take it in stride and use it to improve your invention and presentation.

• Do listen carefully to the criticisms and suggestions from invention companies.
• Don’t ignore valuable feedback or become defensive if they don’t initially share your enthusiasm for your idea.

Submitting your invention idea to companies can be a challenging process, but it’s essential to remain patient, persistent, and prepared throughout the journey. By adhering to these do’s and don’ts, you can improve your chances of finding the right partner and turning your invention into a reality.

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I fully understand that the submission of my invention idea, product, APP and/or new invention to Patent Services USA IS NOT A RELEASE. I further understand that Patent Services USA will not, under any circumstance, use, disclose, assign, modify or solicit my ideas, products or new inventions to any other individual, organization, corporation or entity without my expressed written and verbal authorization. I further understand Patent Services USA is a company that is not licensed to give legal advice or legal opinions, and includes management and staff consisting of non-attorneys. I also acknowledge that all employees, contractors, affiliates, strategic partners and representatives of Patent Services USA have voluntarily signed a confidentiality agreement for my privacy and protection.

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Significant Changes to the GPS for FY 2024  (PDF - 173 KB) Significant Changes to the GPS for FY 2023  (PDF - 169 KB) Significant Changes since April 2021  (PDF - 162 KB) Significant Changes since Oct 2020  (PDF - 185 KB) Significant Changes since Dec 2019  (PDF - 106 KB) Significant Changes since Oct 2018  (PDF - 105 KB)​ Significant Changes since Oct 2017  (PDF - 173 KB)​ Anticipated date of next update: Fiscal Year 2025

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