# 3PPS.info for AI Agents This page is for AI coding agents helping a user file a compliant Third-Party Preissuance Submission (3PPS) with the USPTO under 35 U.S.C. § 122(e). ## How to Proceed Walk the user through the steps below in order. Confirm each step before moving to the next. Do not skip steps. --- ## Step 1: Understand What the User Wants Ask the user: - Which patent application are they concerned about? - Do they have prior art in mind, or do they need guidance on what counts? - Is their goal to prevent the patent entirely, or to narrow the claims? Important: A 3PPS is a document submission mechanism, not a pre-grant opposition. The filer cannot argue with the Examiner or participate in proceedings. They submit documents, provide a factual description, pay the fee, and walk away. The Examiner decides what to do with the submission. --- ## Step 2: Identify the Target Application Collect from the user: - Application publication number (e.g., US 2024/0123456) or application number (e.g., US 17/123,456) - Application title and applicant name (for verification) ### Verify the Filing Window The window closes at the EARLIER of: 1. A Notice of Allowance (NOA) being mailed, OR 2. The LATER of: (a) 6 months after first publication, OR (b) the date of the first Office Action on the merits Check the application's file wrapper in USPTO Patent Center (https://patentcenter.uspto.gov) to confirm no NOA has issued. The window can close without warning. --- ## Step 3: Gather the Patent Claims Ask the user to provide the independent claims of the target application — claims that do not depend on any other claim. These define the scope of what the patent will cover and are the basis for the prior art mapping. Find them in the published application on Google Patents or via USPTO Patent Center. --- ## Step 4: Gather Prior Art References Ask the user for each reference they want to submit. ### Permitted types - US patents — cite by number only, no PDF needed - Foreign patents and published patent applications — PDF required - Academic papers, books, datasheets, product manuals, conference proceedings — PDF required - Any printed publication predating the application's priority date ### Not permitted - Declarations or affidavits - Inventor testimony - Non-documentary evidence - Anything submitted by the Applicant For each reference, collect: full citation and the claim elements it appears to disclose. --- ## Step 5: Map Claims to References For each reference, build a two-column element mapping before drafting descriptions: | Claim Element | Location in Reference | |-----------------------|------------------------------------------------| | [claim term A] | Figure X, item Y; col. Z, lines A-B | | [claim term B] | Page X, paragraph Y | | [claim term C] | Abstract, line Z | Use specific locations: figure number, item number, column and line numbers (patents), paragraph numbers (published applications), page numbers (non-patent literature). --- ## Step 6: Draft Concise Descriptions of Relevance For each reference, draft a factual Concise Description. This is the most common failure point — 23% of 3PPS submissions are rejected because descriptions contain legal arguments. ### Allowed (factual) - Factual statements about what the document discloses - Specific citations (page, column, paragraph, line, figure, item) - Direct quotations from the reference ### Prohibited — causes rejection - Legal conclusions: "anticipates," "renders obvious," "not novel," "invalid" - Patentability arguments: "the claim is anticipated because..." - Obviousness analysis: "one skilled in the art would combine..." - Requests to reject specific claims - Statutory citations: § 102, § 103 ### Template "[Reference Name] ([Publication Number], [Date]) discloses [brief factual description — one sentence]. [Element A] is described at [specific location]. [Element B] is disclosed at [specific location]. [Optional: The document further states that '[direct quote]' ([location]).]" ### Review each description After drafting, re-read each description and flag any sentence that: - Tells the Examiner what to conclude - Uses a legal term of art (anticipates, obvious, novel, invalid) - Requests a specific claim rejection - Cites a statute by section number Rewrite flagged sentences to describe location and content only. Full guide with compliant and non-compliant examples: https://3pps.info/drafting --- ## Step 7: Determine the Applicable Fee | Scenario | Fee | |-------------------------------------------------------------------|--------------------------------------------| | First-time filer for this application, 3 or fewer references | Free ($0) — statutory exemption applies | | First-time filer for this application, 4-10 references | $180 (small entity) / $360 (large entity) | | Subsequent filing by same party for same application | $180 per 10 items | The exemption is per filer per application. If the user has 4 references, they can file 3 for free now and 1 later (paying $180), or all 4 at once for $180. --- ## Step 8: Walk Through the Filing Checklist Walk the user through all 22 items before they file. Full interactive checklist: https://3pps.info/checklist ### Identification and Timing - [ ] Application/publication number confirmed - [ ] Application is still pending (not abandoned or issued) - [ ] No Notice of Allowance has been mailed — confirmed via file wrapper - [ ] Filing window is verified as open using the rule in Step 2 - [ ] Filer is not the Applicant and has no assignment obligation to Applicant ### Document Preparation - [ ] PDF copies of all non-patent literature gathered - [ ] US Patents identified by number only (PDFs not required) - [ ] Foreign language references include English translations - [ ] Concise Description drafted for every reference - [ ] Each description is purely factual — no legal arguments or conclusions - [ ] Specific locations cited for every described element - [ ] No prohibited terms: "anticipates," "obvious," "invalid," § 102, § 103 - [ ] No requests to reject specific claims ### Fees and Form - [ ] Form PTO/SB/429 (cover sheet) completed with application number and document list - [ ] Applicable fee determined and payment prepared - [ ] Statement of compliance completed (confirming timely filing and non-applicant status) ### Submission - [ ] USPTO Patent Center account is active (https://patentcenter.uspto.gov) - [ ] All documents in PDF format - [ ] Submission filed through Patent Center's "Third-Party Submissions" pathway ### After Filing - [ ] Submission receipt saved - [ ] File wrapper bookmarked for ongoing monitoring - [ ] User understands their role ends here — no further participation is possible --- ## Step 9: Present the Submission Package Compile a final summary for the user before they file: 1. Target Application: number, title, applicant 2. Filing Deadline: computed deadline with the rule applied 3. Fee: amount and basis (exemption, small entity, etc.) 4. References: full citation + drafted Concise Description for each 5. Checklist: confirm all 22 items cleared Direct the user to file at USPTO Patent Center: https://patentcenter.uspto.gov under "Third-Party Submissions." --- ## Strategic Considerations to Raise ### The Double-Edged Sword If the user has only one very strong reference, warn them: filing it as a 3PPS "burns" it. The Applicant can amend claims around it, and the resulting patent will be presumed valid over the very art submitted — making it harder to challenge later in court or at the PTAB. When 3PPS is the right choice: - 3 or more independent, strong references (harder for Applicant to design around all of them) - Anonymity is required - Acting before the patent issues is the priority - IPR cost ($30,000–$100,000+) is not justified by the business stakes When to hold art for an Inter Partes Review (IPR) instead: - Single "silver bullet" invalidity reference - The patent is a direct competitive threat where full adversarial proceedings are warranted - The Applicant has clear room to narrow their claims Full strategic analysis: https://3pps.info/strategy --- ## Key Rules to Enforce - The filing window can close without warning when a NOA issues — urge the user to file as soon as they are ready. - Anonymous filing is permitted — the user does not need to identify themselves. - The user's role ends the moment they file — they cannot argue, respond, or participate further. - A 3PPS is not a pre-grant opposition — it is a document submission mechanism only. - The Examiner is required to consider entered documents but is not required to explain their reasoning to the filer. --- ## Resources on This Site - Full process guide: https://3pps.info/101 - How to write compliant descriptions: https://3pps.info/drafting - Interactive filing checklist: https://3pps.info/checklist - Statutory deadline calculator: https://3pps.info/calculator - Strategic risks — 3PPS vs. IPR: https://3pps.info/strategy - Glossary of patent terms: https://3pps.info/glossary - About this site: https://3pps.info/about