3PPS 101: The Workflow
A layman's guide to understanding 35 U.S.C. § 122(e). What it is, what it isn't, and how it works.
A 3PPS lets anyone submit prior art to a USPTO examiner before a patent grants. File before the Notice of Allowance issues, keep descriptions factual (no legal arguments), and pay $0–$180 depending on your situation. Your role ends the moment you file.
In the first two years after the AIA's 3PPS provisions took effect, the public filed 2,116 preissuance submissions — nearly three per day. Of those, 76% were accepted as proper by the USPTO; 23% were rejected, most often for improper accompanying comments. In accepted cases, 5,499 prior art documents were placed on the record: 1,695 non-patent literature documents, 1,567 patents, 1,249 published US applications, and 988 foreign references. Source: USPTO, Sept. 2014 (early AIA implementation data — will be updated with current figures).
What is a Preissuance Submission?
Traditionally, the patent examination process was a closed loop between the Applicant and the Examiner. The America Invents Act (AIA), signed into law in 2011, opened a window for the public to submit prior art — patents, printed publications — that they believe is relevant to the patentability of a pending application.
Think of it as "crowdsourcing" the search for prior art. If you know of a document that shows an invention isn't new, a 3PPS is the statutory mechanism to put that document on the Examiner's desk.
You identify a pending patent application that claims technology disclosed in an older document. You submit that older document to the USPTO with a factual description of its relevance. The Examiner decides what to do with it.
What It Is Not
A 3PPS is not a pre-grant opposition. You cannot participate in the proceedings. You cannot argue with the Examiner. You simply submit the documents, provide a factual description, pay the fee, and walk away. The Examiner decides what to do with it.
| 3PPS Is | 3PPS Is Not |
|---|---|
| A document submission mechanism | A proceeding you can participate in |
| A way to inform the Examiner | A way to argue with the Examiner |
| Governed by 37 CFR 1.290 | An Inter Partes Review (IPR) |
| Available before grant | Available after grant |
| Relatively cheap (often free) | A $30,000+ legal proceeding |
The Process Flow
Identification
You identify a pending patent application — usually found via USPTO Patent Center or Google Patents — that claims technology strictly disclosed in an older document. Note the application number (e.g., US 2024/0123456).
Submission via Patent Center
You file through USPTO Patent Center. The submission includes: the Prior Art documents, a "Concise Description of Relevance" for each document, Form PTO/SB/429, and the applicable fee. Anonymous filing is permitted.
USPTO Entry Check
USPTO staff check for compliance: Is the timing within the statutory window? Are fees paid? Do the descriptions contain impermissible legal arguments? If compliant, the documents are entered into the application's file wrapper.
Silent Exit
Your role ends. The Examiner is required to consider the entered documents. You will not be notified of the outcome. Monitor the application's file wrapper through Patent Center to track what happens.
Required Documents
| Document | Notes | Required? |
|---|---|---|
| Form PTO/SB/429 | Cover sheet identifying the application and listing submitted documents | Yes |
| Copy of Prior Art | Non-patent literature must be uploaded in full. US Patents can be identified by number only. | Yes |
| Concise Description of Relevance | Factual document pointing to specific parts of each reference. No legal arguments. | Yes |
| English Translation | Required if the reference is in a foreign language. | If foreign lang. |
| Statement of Compliance | Confirming you are not the Applicant and the filing is timely. | Yes |
Fees & Exemptions
| Scenario | Fee |
|---|---|
| First-time filer for this application, submitting 3 or fewer items | Free (§ 1.290(g) exemption) |
| First-time filer for this application, submitting 4–10 items | $180 (small entity rate) |
| Subsequent filing by same party for same application | $180 per 10 items |
| Large entity filer | $360 per 10 items |
The 3-item free exemption is per filer per application. If you have 5 strong references, consider whether to use the exemption on your 3 best first, then file a second submission with the remaining 2 (paying the fee). Or submit all 5 at once for the $180 fee.
After Filing
Once your submission is entered, your formal role is complete. The Examiner is obligated to consider the submitted references but is not required to explain their reasoning to you.
To monitor what happens, access the application's file history through USPTO Patent Center ↗. Look for Office Actions citing your references, or a Notice of Allowance suggesting your submission did not change the outcome.
Before you do anything else, verify your timing. Use the Statutory Deadline Calculator to confirm the filing window is still open. The window can close without warning.
Frequently Asked Questions
- Can anyone file a Third-Party Preissuance Submission?
- Yes. Any member of the public may file a 3PPS under 35 U.S.C. § 122(e). No attorney is required, and filing can be done anonymously.
- How much does a 3PPS cost?
- First-time filers submitting 3 or fewer documents for a given application pay no fee ($0). Submitting 4–10 documents costs $180 for small entities and $360 for large entities per 10 items submitted.
- What types of prior art can I submit?
- You may submit patents (US or foreign), published patent applications, and printed publications such as academic papers, datasheets, or product manuals. Declarations, affidavits, and non-documentary evidence are not permitted.
- When does the filing window close?
- The window closes at the earlier of: (a) when a Notice of Allowance is mailed, or (b) the later of 6 months after publication or the date of the first Office Action on the merits. Critically, the window can close without warning when a Notice of Allowance issues.
- What happens after I submit?
- Your role ends completely. The USPTO checks the submission for compliance and, if accepted, enters it into the application's file wrapper. The Examiner is required to consider the documents but is not required to explain their reasoning to you.