Source: https://www.uspto.gov/web/offices/pac/mpep/s604.html
Timestamp: 2020-05-25 18:51:19
Document Index: 704200939

Matched Legal Cases: ['§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', 'Art\n608']

604-Substitute Statements
Chapter 0600
604 Substitute Statements [R-07.2015]
[Editor Note: This MPEP section is only applicable to patent applications filed on or after September 16, 2012.]
37 CFR 1.64 Substitute statement in lieu of an oath or declaration.
(a) An applicant under § 1.43, 1.45 or 1.46 may execute a substitute statement in lieu of an oath or declaration under § 1.63 if the inventor is deceased, is under a legal incapacity, has refused to execute the oath or declaration under § 1.63, or cannot be found or reached after diligent effort.
(b) A substitute statement under this section must:
(1) Comply with the requirements of § 1.63(a), identifying the inventor or joint inventor with respect to whom a substitute statement in lieu of an oath or declaration is executed, and stating upon information and belief the facts which such inventor is required to state;
(2) Identify the person executing the substitute statement and the relationship of such person to the inventor or joint inventor with respect to whom the substitute statement is executed, and unless such information is supplied in an application data sheet in accordance with § 1.76, the residence and mailing address of the person signing the substitute statement;
(3) Identify the circumstances permitting the person to execute the substitute statement in lieu of an oath or declaration under § 1.63, namely whether the inventor is deceased, is under a legal incapacity, cannot be found or reached after a diligent effort was made, or has refused to execute the oath or declaration under § 1.63; and
(4) Unless the following information is supplied in an application data sheet in accordance with § 1.76, also identify:
(i) Each inventor by his or her legal name; and
(ii) The last known mailing address where the inventor customarily receives mail, and last known residence, if an inventor lives at a location which is different from where the inventor customarily receives mail, for each inventor who is not deceased or under a legal incapacity.
(c) A person may not execute a substitute statement provided for in this section for an application unless that person has reviewed and understands the contents of the application, including the claims, and is aware of the duty to disclose to the Office all information known to the person to be material to patentability as defined in § 1.56.
(d) Any reference to an inventor's oath or declaration includes a substitute statement provided for in this section.
(e) A substitute statement under this section must contain an acknowledgment that any willful false statement made in such statement is punishable under section 1001 of title 18 by fine or imprisonment of not more than 5 years, or both.
(f) A nonsigning inventor or legal representative may subsequently join in the application by submitting an oath or declaration under § 1.63. The submission of an oath or declaration by a nonsigning inventor or legal representative in an application filed under § 1.43, 1.45 or 1.46 will not permit the nonsigning inventor or legal representative to revoke or grant a power of attorney.
37 CFR 1.64 implements the substitute statement provisions of 35 U.S.C. 115(d) and applies to applications filed on or after September 16, 2012.
37 CFR 1.64(a) provides that an applicant under 37 CFR 1.43, 1.45 or 1.46 may execute a substitute statement in lieu of an oath or declaration under 37 CFR 1.63 if the inventor is deceased, is under a legal incapacity, has refused to execute the oath or declaration under 37 CFR 1.63, or cannot be found or reached after diligent effort. Thus, the following applicant entities may sign a substitute statement on behalf of an inventor when such a statement is permitted in a patent application:
(i) the inventor’s legal representative under 37 CFR 1.43, where the inventor is deceased or legally incapacitated;
(ii) the other joint inventors under 37 CFR 1.45, where the inventor refuses to execute the oath or declaration or cannot be found or reached after diligent effort;
(iii) an applicant under 37 CFR 1.46 who is the assignee or party to whom the inventor is under an obligation to assign, where the inventor is deceased, legally incapacitated, refuses to execute the oath or declaration, or cannot be found or reached after diligent effort; or
(iv) an applicant under 37 CFR 1.46 who is a party who otherwise shows a sufficient proprietary interest in the claimed invention under 37 CFR 1.46(b), where the inventor is deceased, legally incapacitated, refuses to sign the declaration or cannot be reached or located after diligent effort.
A non-inventor applicant need not submit proof of the permitted circumstance to file a substitute statement (e.g., inventor’s death certificate to establish that a named inventor is deceased). However, where the permitted circumstance identified in accordance with 37 CFR 1.64(b)(3) is other than the inventor’s death or legal incapacity, the inventor must have refused to execute the oath or declaration, or applicant must have exercised diligent effort to find or reach the inventor. Though proof is not required to be submitted to the Office, proof of attempts to secure the inventor’s signature should be kept in applicant’s file. There is no change to what is considered a good faith attempt to contact an inventor and what constitutes a refusal to sign.
A substitute statement under 37 CFR 1.64 must: (1) comply with the requirements of 37 CFR 1.63(a), identifying the inventor or joint inventor with respect to whom a substitute statement in lieu of an oath or declaration is executed, and stating upon information and belief the facts which such inventor is required to state; (2) identify the person executing the substitute statement and the relationship of such person to the inventor or joint inventor with respect to whom the substitute statement is executed, and unless such information is supplied in an application data sheet in accordance with 37 CFR 1.76, the residence and mailing address of the person signing the substitute statement; and (3) identify the circumstances permitting the person to execute the substitute statement, namely whether the inventor is deceased, is under a legal incapacity, cannot be found or reached after a diligent effort was made, or has refused to execute the oath or declaration under 37 CFR 1.63. For nonprovisional international design applications, the requirement in 37 CFR 1.64(b)(2) to identify the residence and mailing address of the person signing the substitute statement will be considered satisfied by the presentation of such information in the international design application prior to international registration. See 37 CFR 1.1021(d)(3).
Where an assignee executes a substitute statement, the assignee must supply his/her residence and mailing address. If the assignee is a juristic entity, the residence and mailing address of the juristic entity should be used. Additionally, if the assignee is a juristic entity, the applicant name and the title of the person executing the substitute statement must be included. In addition, unless such information is supplied in an application data sheet in accordance with 37 CFR 1.76, or in an international design application prior to registration (see 37 CFR 1.1021(d)(3)), the substitute statement must also identify: (1) each inventor by his or her legal name; and (2) the last known mailing address where the inventor customarily receives mail, and last known residence, if an inventor lives at a location which is different from where the inventor customarily receives mail, for each inventor who is not deceased or under a legal incapacity.
A non-inventor applicant is not required to state in the substitute statement that he/she has reviewed and understands the contents of the application, including the claims. Nevertheless, it should be noted that a person may not execute a substitute statement under 37 CFR 1.64 unless that person has reviewed and understands the contents of the application, including the claims, and is aware of the duty to disclose to the Office all information known to the person to be material to patentability as defined in 37 CFR 1.56. See 37 CFR 1.64(c). Any reference to an inventor’s oath or declaration also includes a substitute statement as provided for in 37 CFR 1.64.
A substitute statement under 37 CFR 1.64 must contain an acknowledgement that any willful false statement made in such statement is punishable under 18 U.S.C. 1001 by fine or imprisonment of not more than five (5) years, or both.
A nonsigning inventor may subsequently join in the application by submitting an oath or declaration under 37 CFR 1.63.
601-Content of Provisional and Nonprovisional Applications
601.01-Complete Application
601.01(a)-Nonprovisional Applications Filed Under 35 U.S.C. 111(a)
601.01(b)-Provisional Applications Filed Under 35 U.S.C. 111(b)
601.01(c)-Conversion to or from a Provisional Application
601.01(d)-Application Filed Without All Pages of Specification
601.01(e)-Nonprovisional Application Filed Without at Least One Claim
601.01(f)-Applications Filed Without Drawings
601.01(g)-Applications Filed Without All Figures of Drawings
601.02-Power of Attorney
601.03-Correspondence Address
601.03(a)-Change of Correspondence Address in Applications Filed On or After September 16, 2012
601.03(b)-Change of Correspondence Address in Applications Filed Before September 16, 2012
601.04-National Stage Requirements of the United States as a Designated Office
601.05-Bibliographic Information - Application Data Sheet (ADS)
601.05(a)-Application Data Sheet (ADS) -- Application Filed On or After September 16, 2012
601.05(b)-Application Data Sheet (ADS) in Application Filed Before September 16, 2012
602-Oaths and Declarations
602.01-Inventorship
602.01(a)-Inventor’s Oath or Declaration in Application Filed On or After September 16, 2012
602.01(b)-Inventor’s Oath or Declaration in Application Filed Before September 16, 2012
602.01(c)-Correction of Inventorship, Name of Inventor, and Order of Names in an Application
602.01(c)(1)-Correction of Inventorship in an Application – Request Filed On or After September 16, 2012
602.01(c)(2)-Correcting or Updating Inventor Name 37 CFR 1.48(f) – Request Filed On or After September 16, 2012
602.01(c)(3)-Correction of Inventorship in an Application – Request Under 37 CFR 1.48 Filed Prior to September 16, 2012
602.02-New Oath or Substitute for Original
602.03-Office Finds the Inventor’s Oath or Declaration Defective
602.04-Foreign Executed Oath
602.05-Oath or Declaration in Continuing Applications
602.05(a)-Oath or Declaration in Continuing Applications Filed On or After September 16, 2012
602.05(b)-Oath or Declaration in Continuing Applications Filed Before September 16, 2012
602.06-Non-English Oath or Declaration
602.07-Oath or Declaration Filed in United States as a Designated Office
602.08-Inventor and Application Information
602.08(a)-Inventor Bibliographic Information
602.08(b)-Inventor Signature and Name
602.08(c)-Identification of Application
602.09-Joint Inventors
603-Supplemental Oath or Declaration
603.01-Supplemental Oath or Declaration Filed After Allowance
605-Applicant
605.01-Applicant for Application filed on or after September 16, 2012
605.02-Applicant for Application Filed Before September 16, 2012
606-Title of Invention
606.01-Examiner May Require Change in Title
607-Filing Fee
607.01-[Reserved]
607.02-Returnability of Fees
608.01-Specification
608.01(a)-Arrangement of Application
608.01(b)-Abstract of the Disclosure
608.01(c)-Background of the Invention
608.01(d)-Brief Summary of Invention
608.01(e)-Reservation Clauses Not Permitted
608.01(f)-Brief Description of Drawings
608.01(g)-Detailed Description of Invention
608.01(h)-Mode of Operation of Invention
608.01(i)-Claims
608.01(j)-Numbering of Claims
608.01(k)-Statutory Requirement of Claims
608.01(l)-Claims Present on the Application Filing Date
608.01(m)-Form of Claims
608.01(n)-Dependent Claims
608.01(o)-Basis for Claim Terminology in Description
608.01(p)-Completeness of Specification
608.01(q)-Substitute or Rewritten Specification
608.01(r)-Derogatory Remarks About Prior Art in Specification
608.01(s)-Restoration of Canceled Matter
608.01(t)-Use in Subsequent Application
608.01(u)-[Reserved]
608.01(v)-Marks Used in Commerce and Trade Names
608.01(w)-Copyright and Mask Work Notices
608.02-Drawing
608.02(a)-New Drawing — When Replacement is Required Before Examination
608.02(b)-Acceptability of Drawings
608.02(c)-Location of Drawings
608.02(d)-Complete Illustration in Drawings
608.02(e)-Examiner Determines Completeness and Consistency of Drawings
608.02(f)-Modifications in Drawings
608.02(g)-Illustration of Prior Art
608.02(h)-Replacement Drawings
608.02(i)-Transfer of Drawings From Prior Applications
608.02(j) - 608.02(o)-[Reserved]
608.02(p)-Correction of Drawings
608.02(q) - 608.02(s)-[Reserved]
608.02(t)-Cancelation of Figures
608.02(u)-[Reserved]
608.02(v)-Drawing Changes Which Require Annotated Sheets
608.02(w)-Drawing Changes Which May Be Made Without Applicant’s Annotated Sheets
608.02(x)-Drawing Corrections or Changes Accepted Unless Notified Otherwise
608.02(y)-Return of Drawing
608.02(z)-Allowable Applications Needing Drawing Corrections or Corrected Drawings
608.03-Models, Exhibits, Specimens
608.03(a)-Handling of Models, Exhibits, and Specimens
608.04-New Matter
608.04(a)-Matter Not Present in Specification, Claims, or Drawings on the Application Filing Date
608.04(b)-New Matter by Preliminary Amendment
608.04(c)-Review of Examiner’s Holding of New Matter
608.05-Sequence Listing, Table, or Computer Program Listing Appendix Submitted in Electronic Form
608.05(a)-Deposit of Computer Program Listings
608.05(b)-Compact Disc Submissions of Large Tables
608.05(c)-Submissions of Biological Sequence Listings as ASCII Files
609-Information Disclosure Statement
609.01-Examiner Checklist for Information Disclosure Statements
609.02-Information Disclosure Statements in Continued Examinations or Continuing Applications
609.03-Information Disclosure Statements in National Stage Applications
609.04-[Reserved]
609.04(a)-Content Requirements for an Information Disclosure Statement
609.04(b)-Timing Requirements for an Information Disclosure Statement
609.05-Examiner Handling of Information Disclosure Statements
609.05(a)-Noncomplying Information Disclosure Statements
609.05(b)-Complying Information Disclosure Statements
609.05(c)-Documents Submitted as Part of Applicant’s Reply to Office Action
609.06-Information Printed on Patent
609.07-IDSs Electronically Submitted (e-IDS) Using EFS-Web
609.08-Electronic Processing of Information Disclosure Statement
Last Modified: 01/24/2018 17:19:03