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–$195 depending on your situation. Your role ends the moment you file.
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 application that claims technology disclosed in an older document, submit that older document with a factual description of its relevance, and the Examiner decides what to do with it.
The public has used it from the start. In the first two years after the AIA's 3PPS provisions took effect, the public filed 2,116 preissuance submissions — nearly three per day — placing 5,499 prior art documents on the record: non-patent literature, patents, published US applications, and foreign references. 76% were accepted as proper; 23% were rejected, most often for improper accompanying comments. (Source: USPTO, Sept. 2014 — early AIA implementation data.)
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.
| 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). If you suspect prior art exists but haven't found the document yet, start with the Finding Prior Art guide.
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 submission by a party for a given application, 3 or fewer documents | Free (§ 1.290(g) exemption) |
| Standard fee — 37 CFR 1.17(o) | $195 per 10 documents (or fraction thereof) |
| Small entity (60% discount) | $78 per 10 documents |
| Micro entity | Not available for third-party submissions |
Note that 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 simply submit all 5 at once for one $195 fee ($78 small entity).
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, use the Statutory Deadline Calculator to confirm the filing window is still open. A Notice of Allowance closes it immediately and without warning — this is the single highest-stakes fact about the entire process.
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). Beyond the exemption, the fee is $195 per 10 documents ($78 for small entities) under 37 CFR 1.17(o), per the fee schedule effective January 19, 2025. Micro entity rates are not available for third-party submissions.
- 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. For applications claiming an earlier priority date — including all PCT-origin cases — the first-OA prong usually controls and the window runs much longer than 6 months; see Strategic Timing.
- 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.