Source: http://patents.uspto.gov/web/offices/pac/mpep/s605.html
Timestamp: 2013-06-20 01:19:34
Document Index: 471257071

Matched Legal Cases: ['§\n1', '§ 1', '§ 1', '§\n1', '§\n1', '§ 1', '§ 1', '§ 1', '§ 1', '§\n1', '§\n1', '§\n1', '§\n1', '§ 1', '§\n1', '§ 1', '§ 1', '§ 1', '§\n201', '§\n409', '§ 301', '§ 602', '§ 719', '§\n605', '§\n605', '§ 1', '§ 1', '§ 1', '§ 1', '§\n605', '§ 502', '§ 502', '§\n602', '§ 1', '§\n1', '§\n1', '§ 201', '§ 201', '§ 602', '§ 714', '§ 714', '§\n409', '§ 409', '§\n409', '§\n409', '§ 409', '§ 201', '§ 409', '§ 409', '§\n409', '§ 409']

Section 605 605
Applicant [R-2]
37 C.F.R. 1.41 Applicant for patent.
(a) A patent is applied for in
the name or names of the actual inventor or inventors.
(1) The inventorship of a
nonprovisional application is that inventorship set forth in the oath or
declaration as prescribed by §
1.63, except as provided for in §§ 1.53(d)(4) and 1.63(d). If an oath or declaration as prescribed
by § 1.63 is not filed
during the pendency of a nonprovisional application, the inventorship is
that inventorship set forth in the application papers filed pursuant to §
1.53(b), unless
applicant files a paper, including the processing fee set forth in §
1.17(i), supplying or
changing the name or names of the inventor or inventors.
(2) The inventorship of a
provisional application is that inventorship set forth in the cover sheet
as prescribed by § 1.51(c)(1). If a
cover sheet as prescribed by § 1.51(c)(1) is not filed during the pendency of a
provisional application, the inventorship is that inventorship set forth
in the application papers filed pursuant to § 1.53(c), unless applicant files a paper including
the processing fee set forth in § 1.17(q), supplying or changing the name or names
of the inventor or inventors.
(3) In a nonprovisional
application filed without an oath or declaration as prescribed by §
1.63 or a provisional
application filed without a cover sheet as prescribed by §
1.51(c)(1), the name,
residence, and citizenship of each person believed to be an actual
inventor should be provided when the application papers pursuant to §
1.53(b) or §
1.53(c) are
** > (4) The inventorship of an
international application entering the national stage under 35 U.S.C.
371 is that
inventorship set forth in the international application, which includes
any change effected under PCT Rule 92bis. See § 1.497(d) and (f) for filing an oath or declaration
naming an inventive entity different from the inventive entity named in
the international application, or if a change to the inventive entity has
been effected under PCT Rule 92bis
subsequent to the execution of any declaration filed under PCT Rule
4.17(iv) (§
1.48(f)(1) does not
apply to an international application entering the national stage under
35 U.S.C. 371). < (b) Unless the contrary is
indicated the word “applicant” when used in these sections refers to the
inventor or joint inventors who are applying for a patent, or to the person
mentioned in §§ 1.42, 1.43 or 1.47 who is
applying for a patent in place of the inventor.
(c) Any person authorized by the
applicant may physically or electronically deliver an application for patent to
the Office on behalf of the inventor or inventors, but an oath or declaration
for the application (§ 1.63) can only be made in
accordance with § 1.64.
(d) A showing may be required
from the person filing the application that the filing was authorized where
such authorization comes into question.
37 C.F.R. 1.45 Joint inventors.
(a) Joint inventors must apply
for a patent jointly and each must make the required oath or declaration;
neither of them alone, nor less than the entire number, can apply for a patent
for an invention invented by them jointly, except as provided in §
(b) Inventors may apply for a
patent jointly even though
(1) They did not
physically work together or at the same time,
(2) Each inventor did not
make the same type or amount of contribution, or
(3) Each inventor did not
make a contribution to the subject matter of every claim of the
(c) If multiple inventors are
named in a nonprovisional application, each named inventor must have made a
contribution, individually or jointly, to the subject matter of at least one
claim of the application and the application will be considered to be a joint
application under 35 U.S.C. 116. If multiple
inventors are named in a provisional application, each named inventor must have
made a contribution, individually or jointly, to the subject matter disclosed
in the provisional application and the provisional application will be
considered to be a joint application under 35 U.S.C.
1.41 and 37 CFR 1.53 were amended effective
December 1, 1997, to remove the requirement that the name(s) of the inventor(s) be
identified in the application papers in order to accord the application a filing
37 CFR 1.41(a)(1) now defines the inventorship of a nonprovisional
application as that inventorship set forth in the oath or declaration filed to comply with
the requirements of 37 CFR 1.63, except as provided for in
1.53(d)(4) and 37 CFR 1.63(d). The oath or declaration
may be filed on the filing date of the application or on a later date. If an oath or
declaration is not filed during the pendency of a nonprovisional application, the
inventorship is that inventorship set forth in the application papers filed pursuant to
1.53(b), unless an applicant files a paper under 37 CFR
1.41(a)(1)
accompanied by the processing fee set forth in 37 CFR 1.17(i)
supplying or changing the name or names of the inventor or inventors.
The name, residence, and citizenship of
each person believed to be an actual inventor should be provided as an application
identifier when application papers under 37 CFR 1.53(b) are
filed without an oath or declaration, or application papers under 37 CFR
1.53(c) are filed without a cover sheet. See 37 CFR
1.41(a)(3). Naming the individuals known to be inventors or the
persons believed to be the inventors may enable the Office to identify the application, if
applicant does not know the application number. Where no inventor(s) is known and applicant
cannot name a person believed to be an inventor on filing, the Office requests that an
alphanumeric identifier be submitted for the application. The use of very short identifiers
should be avoided to prevent confusion. Without supplying at least a unique identifying
name the Office may have no ability or only a delayed ability to match any papers submitted
after filing of the application and before issuance of an identifying application number
with the application file. Any identifier used that is not an inventor’s name should be
specific, alphanumeric characters of reasonable length, and should be presented in such a
manner that it is clear to application processing personnel what the identifier is and
where it is to be found. Failure to apprise the Office of an application identifier such as
the names of the inventors or the alphanumeric identifier being used may result in
applicants having to resubmit papers that could not be matched with the application and
proof of the earlier receipt of such papers where submission was time
For correction of inventorship, see
MPEP §
201.03.
This section concerns filing by the
actual inventor. If the application is filed by another, see MPEP §
409.03.
For assignments of application by
inventor, see MPEP § 301. For an inventor who is dead or insane, see
Applicant’s Citizenship The statute (35 U.S.C.
115) requires an applicant, in a nonprovisional application, to
state his or her citizenship. Where an applicant is not a citizen of any country, a
statement to this effect is accepted as satisfying the statutory requirement, but a
statement as to citizenship applied for or first papers taken out looking to future
citizenship in this (or any other) country does not meet the
6.05 and 6.05.03 may be used to notify applicant
that the applicant’s citizenship is omitted.
¶ 6.05
Oath or Declaration Defective, Heading
The oath or declaration is defective. A new oath or declaration in compliance with 37 CFR 1.67(a) identifying this application by application number and filing date is required. See MPEP §§ 602.01 and 602.02.
The oath or declaration is defective because:
Examiner Note: 1. One or more of the appropriate form paragraphs 6.05.01 to 6.05.20 must follow this paragraph.
2. If none of the form paragraphs apply, then an appropriate explanation of the defect should be given immediately following
¶ 6.05.03
Citizenship Omitted
It does not identify the citizenship of each inventor.
This paragraph must be preceded by form paragraph 6.05
Applicant’s Residence [R-7]
Applicant’s place of residence, that
is, the city and either state or foreign country, is required to be included in the oath
or declaration in a nonprovisional application for compliance with 37 CFR
1.63 unless it is included in an application data sheet
CFR 1.76). In the case of an applicant who is in one of the U.S.
Armed Services, a statement to that effect is sufficient as to residence. For change of
residence, see MPEP § 719.02(b). Applicant’s residence
must be included on the cover sheet for a provisional application unless it is included
in an application data sheet (37 CFR 1.76).
If the residence is not included in
the executed oath or declaration filed under 37 CFR 1.63, the
** > Patent
Application Processing (OPAP) < will normally so
indicate on a “Notice of Informal Application,” so as to require the submission of the
residence information within a set period for reply. If the examiner notes that the
residence has not been included in the oath or declaration or in an application data
sheet, form paragraphs 6.05 (reproduced in MPEP §
605.01) and 6.05.02 should be used.
¶ 6.05.02
Residence Omitted
It does not identify the city and either state or foreign country of residence of each inventor. The residence information
may be provided on either an application data sheet or a supplemental oath or declaration.
This paragraph must be preceded by form paragraph 6.05.
Applicant’s Mailing or Post Office Address [R-7]
Each applicant’s mailing or post
office address is required to be supplied on the oath or declaration, if not stated in
an application data sheet. Applicant’s mailing address means that address at which he or
she customarily receives his or her mail. Either applicant’s home or business address is
acceptable as the mailing address. The mailing address should include the ZIP Code
designation. Since the term “post office address” as previously used in
CFR 1.63 may be confusing, effective November 7, 2000,
CFR 1.63 was amended to use the term “mailing address”
The object of requiring each
applicant’s mailing address is to enable the Office to communicate directly with the
applicant if desired; hence, the address of the attorney with instruction to send
communications to applicant in care of the attorney is not sufficient.
In situations where an inventor does
not execute the oath or declaration and the inventor is not deceased, such as in an
application filed under 37 CFR 1.47, the inventor’s most
recent home address must be given to enable the Office to communicate directly with the
inventor as necessary.
If an oath or declaration was filed
prior to December 1, 1997 and the post office address was incomplete or omitted from the
oath or declaration, “Notice of Informal Application” or form paragraph
6.09.01 may be used to notify applicant of the
deficiency of the post office address.
¶ 6.09.01
Post Office Address Omitted, Residence Given
Applicant has not given a post office address anywhere in the application papers as required by 37 CFR 1.33(a), which was in effect at the time of filing of the oath or declaration. A statement over applicant’s signature providing a
complete post office address is required.
Examiner Note: 1. This form paragraph should only be used where the Post Office address has been omitted in an oath or declaration filed prior
to December 1, 1997. Use form paragraphs 6.05 and 6.05.19 if the oath or declaration was filed on or after December 1, 1997.
2. If both the post office address and residence are incomplete, not uniform or omitted, use form paragraphs 6.05 and 6.05.02.
Oaths or declarations filed on or
after December 1, 1997 must include the mailing or post office address of each inventor.
Effective November 7, 2000 the mailing address of each inventor may be provided in an
application data sheet. See 37 CFR 1.63(c) and 37 CFR
1.76. In an application filed before November 29, 2000, the Office
of ** > Patent
Application Processing (OPAP) < will normally indicate
the omission of an inventor’s mailing address on a “Notice of Informal Application,”
requiring a new oath or declaration when the form is sent out with an Office action. For
utility and plant applications filed on or after November 29, 2000, applicant’s mailing
address may be needed for any patent application publication. If the mailing address of
any inventor has been omitted,
* > OPAP < will notify applicant of the omission and require the omitted mailing address in
response to the notice. If the examiner notes that the mailing or post office address
has not been included in an oath or declaration filed on or after December 1, 1997, and
the mailing address is not provided in an application data sheet, form paragraphs
6.05 (reproduced in MPEP §
605.01) and 6.05.19 may be used to notify applicant
that the mailing or post office address has been omitted from the oath or
¶ 6.05.19
Mailing Address Omitted
It does not identify the mailing address of each inventor. A mailing address is an address at which an inventor customarily
receives his or her mail and may be either a home or business address. The mailing address should include the ZIP Code designation.
The mailing address may be provided in an application data sheet or a supplemental oath or declaration. See 37 CFR 1.63(c) and 37 CFR 1.76.
605.04(a) Applicant’s Signature and Name
37 C.F.R. 1.64 Person making oath or declaration.
(a) The oath or
declaration (§ 1.63), including any
supplemental oath or declaration (§ 1.67), must be made by all of the actual inventors
except as provided for in §§ 1.42,
1.47, or §
(b) If the person making
the oath or declaration or any supplemental oath or declaration is not
the inventor (§§ 1.42,
1.67), the oath or
declaration shall state the relationship of the person to the inventor,
and, upon information and belief, the facts which the inventor is
required to state. If the person signing the oath or declaration is the
legal representative of a deceased inventor, the oath or declaration
shall also state that the person is a legal representative and the
citizenship, residence, and mailing address of the legal
EXECUTION OF OATHS OR DECLARATIONS OF PATENT
applications which have not been prepared and executed in accordance with the
requirements of Title 35 of the United States Code and Title 37 of the Code of
Federal Regulations may be abandoned. Although the statute and the rules have been
in existence for many years, the Office continues to receive a number of
applications which have been improperly executed and/or filed. Since the improper
execution and/or filing of patent applications can ultimately result in a loss of
rights, it is appropriate to emphasize the importance of proper execution and
There is no requirement that a
signature be made in any particular manner. See MPEP §
605.04(d). If applicant signs his or her name using
non-English characters, then such a signature will be accepted.
Applications filed through the
Electronic Filing System must also contain an oath or declaration personally
signed by the inventor. It is improper for an applicant
to sign an oath or declaration which is not attached to or does not identify a
Attached does not necessarily
mean that all the papers must be literally fastened. It is sufficient that the
specification, including the claims, and the oath or declaration are physically
located together at the time of execution. Physical connection is not required.
Copies of declarations are encouraged. See MPEP
§ 502.01, § 502.02,
602, and §
602.05(a).
An oath or declaration under 37
CFR 1.63 by each actual inventor
must be presented. While each inventor need not execute the same oath or
declaration, each oath or declaration executed by an inventor must contain a
complete listing of all inventors so as to clearly indicate what each inventor
believes to be the appropriate inventive entity.
> Where individual declarations are executed,
they must be submitted as individual declarations rather than combined into one
declaration (by combining the signature pages).
< The provisions of
35 U.S.C. 363 for filing an
international application under the Patent Cooperation Treaty (PCT) which
designates the United States and thereby has the effect of a regularly filed
United States national application, except as provided in 35 U.S.C.
102(e), are somewhat different than the provisions of
35 U.S.C. 111. The oath or
declaration requirements for an international application before the Patent and
Trademark Office are set forth in 35 U.S.C.
371(c)(4) and 37 CFR
37 CFR 1.52(c)(1) states that “[a]ny interlineation,
erasure, cancellation or other alteration of the application papers filed must be
made before the signing of any accompanying oath or declaration pursuant to
§ 1.63 referring to those
application papers and should be dated and initialed or signed by the applicant on
the same sheet of paper. Application papers containing alterations made after the
signing of an oath or declaration referring to those application papers must be
supported by a supplemental oath or declaration under §
1.67. In either situation, a substitute specification (§
1.125) is required if the
application papers do not comply with paragraphs (a) and (b) of this section.”
37 CFR 1.52(c)(2) states that
after the signing of the oath or declaration referring to the application papers,
amendments may only be made in the manner provided by 37 CFR
1.121. An application submitted through the electronic
filing system (EFS) may include scanned images of a declaration executed by the
inventor. The reformatting of an application in submitting the specification of
the application using EFS, is not an “alteration of the application papers”
requiring a substitute oath or declaration. It is acceptable to print out a copy
of the specification prepared using traditional word processing software for the
inventor to review as he or she signs the oath or declaration, and then cut and
paste from the electronic document to prepare the EFS version of the specification
and to submit a scanned copy of the declaration with the EFS
Any changes made in ink in the
application or oath prior to signing should be initialed and dated by the
applicants prior to execution of the oath or declaration. The Office
** will require a new oath or declaration
> if the alterations are not initialed and
dated < . Form paragraph
6.02.01 may be used to call noninitialed and/or
nondated alterations to applicant’s attention. ** > ¶ 6.02.01
Non-Initialed and/or Non-Dated Alterations in Application Papers
The application is objected to because of alterations which have not been initialed and/or dated as is required by 37 CFR 1.52(c). A properly executed oath or declaration which complies with 37 CFR 1.67(a) and identifies the application by application number and filing date is required.
< The signing and execution by
the applicant of oaths or declarations in certain continuation or divisional
applications may be omitted. See MPEP § 201.06,
§ 201.07, and § 602.05(a).
For the signature on a reply,
see MPEP § 714.01(a) to § 714.01(d).
EXECUTION OF OATH OR DECLARATION ON BEHALF OF INVENTOR The oath or declaration
required by 35 U.S.C. 115 must be signed by all of
the actual inventors, except under limited circumstances. 35 U.S.C.
116 provides that joint inventors can sign on behalf of an
inventor who cannot be reached or refuses to join. See MPEP §
409.03(a). 35 U.S.C. 117
provides that the legal representative of a deceased or incapacitated inventor can
sign on behalf of the inventor. If a legal representative executes an oath or
declaration on behalf of a deceased inventor, the legal representative must state
that the person is a legal representative and provide the citizenship, residence,
and mailing address of the legal representative. See 37 CFR
1.64, MPEP § 409.01 and §
409.02. 35 U.S.C. 118
provides that a party with proprietary interest in the invention claimed in an
application can sign on behalf of the inventor, if the inventor cannot be reached
or refuses to join in the filing of the application. See MPEP §
409.03(b) and § 409.03(f). The
oath or declaration may not be signed by an attorney on behalf of the inventor,
even if the attorney has been given a power of attorney to do so. Opinion of Hon. Edward Bates, 10 Op. Atty. Gen. 137
(1861). See also Staeger v. Commissioner of Patents and
Trademarks, 189 USPQ 272 (D.D.C. 1976) and In re Striker, 182 USPQ 507 (PTO Solicitor 1973) (In each case, an
oath or declaration signed by the attorney on behalf of the inventor was defective
because the attorney did not have a proprietary interest in the invention.).
CFR 1.63(a)(2) requires that each inventor be identified by
full name, including the family name, and at least one given name without
abbreviation together with any other given name or initial in the oath or
declaration. For example, if the applicant's full name is “John Paul Doe,” either
“John P. Doe” or “J. Paul Doe” is acceptable.
602.03) and 6.05.18 may be used to notify
applicant that the oath or declaration is defective because the full given name of
each inventor has not been adequately stated.
¶ 6.05.18
Full Given Name Is Not Set Forth
The full name of each inventor (family name and at least one given name together with any initial) has not been set forth.
This paragraph must be preceded by paragraph 6.05.
A situation may arise where an
inventor’s full given name is a singular letter, or is a plurality of singular
letters. For example, an inventor’s full given name may be “J. Doe” or “J.P. Doe,”
i.e., the “J” and the “P” are not initials. In such a situation, identifying the
inventor by his or her family name and the singular letter(s) is acceptable, since
that is the inventor’s full given name. In order to avoid an objection under
37 CFR1.63(a)(2), applicant should point out in the oath or
declaration that the singular lettering set forth is the inventor’s given name. A
statement to this effect, accompanying the filing of the oath or declaration, will
also be acceptable. Without such a statement, the examiner should treat the singular
letter(s) as an abbreviation of the inventor’s given name and should object to the
oath or declaration using the appropriate form paragraphs. Applicant may overcome
this objection by filing a responsive statement that the singular letter(s) is/are
the inventor’s given name(s).
In an application where the name
is typewritten with a middle name or initial, but the signature does not contain such middle
name or initial, the typewritten version of the name will be used as the inventor’s
name for the purposes of the application and any patent that may issue from the
application. No objection should be made in this instance, since the inventor’s
signature may differ from his or her legal name. Except for correction of a
typographical or transliteration error in the spelling of an inventor’s name, a
request to have the name changed from the typewritten version to the signed version
or any other corrections in the name of the inventor(s) will not be entertained,
unless accompanied by a petition under 37 CFR 1.182
together with an appropriate petition fee. Since amendments are not permitted after
the payment of the issue fee (37 CFR 1.312), a
petition under 37 CFR 1.182 to change the name of the
inventor cannot be granted if filed after the payment of the issue fee. The petition
should be directed to the attention of the Office of Petitions. Upon granting of the
petition, if the application is maintained in paper, the left margin of the original
oath or declaration should be marked in red ink “See paper No. ___ for correction of
the inventor’s name,” and the application should be sent to the Office of Patent
Application Processing (OPAP) for correction of its records, unless the application
is an application with an application data sheet (e.g., an 09/ series application),
in which case the Office of Petitions will correct the Office computer records and
print a new bibliographic data sheet. If the application is assigned, it will be
forwarded by OPAP or the Office of Petitions to the Assignment Division for a change
in the assignment record.
When a typographical or
transliteration error in the spelling of an inventor’s name is discovered during
pendency of an application, a petition is not required,
** > and
if the application is a nonprovisional application, a new oath or declaration under
37 CFR 1.63 is not needed. However, applicants are strongly
encouraged to use a supplemental application data sheet to correct the typographical
or transliteration spelling error in the inventor’s name in both provisional and
nonprovisional applications. Without a supplemental application data sheet with the
corrected spelling in a nonprovisional
application < , any patent to issue is less likely to
reflect the correct spelling since the spelling of the inventor’s name is taken from
the oath or declaration, or any subsequently filed
> supplemental
< application data sheet.
> typographical or transliteration
< error is not detected until after the payment of
the issue fee, because amendments are not permitted after the payment of the issue
fee, either (A) the application must be withdrawn from issue under 37 CFR
1.313(c)(2) and a request to correct the spelling of the
inventor’s name submitted with a request for continued examination (RCE) under 37 CFR
1.114, or (B) a certificate of correction must be filed after
the patent issues requesting correction of the spelling of the inventor’s
When any correction or change is
effected, the Office computer records must be changed. If the application is
maintained in paper, the change should be noted on the original oath or declaration
by writing in red ink in the left column “See Paper No. __ for inventorship changes.”
See MPEP
§§ 201.03 and 605.04(g). If the
application is an Image File Wrapper (IFW) application, after the Office records are
corrected, a new bib-data sheet must be printed and added to the IFW.
In cases where an inventor’s name
has been changed after the application has been filed and the inventor desires to
change his or her name on the application, he or she must submit a petition under
37 CFR 1.182. Applicants are also strongly encouraged to
submit an application data sheet (37 CFR 1.76) showing the
new name. The petition should be directed to the attention of the Office of
Petitions. The petition must include an appropriate petition fee and a statement
signed by the inventor setting forth both names and the procedure whereby the change
of name was effected, or a copy of the court order.
Since amendments are not permitted
after the payment of the issue fee (37 CFR 1.312), a
inventor cannot be granted if filed after the payment of the issue
If an application data sheet is
not submitted, the petition may still be granted, but the patent may not reflect the
correct spelling of the inventor’s name.
If the petition is granted, if the
application is maintained in paper with a file jacket label (i.e., the application is
an 08/ or earlier series application), the original declaration must be marked in red
ink, in the left margin “See paper No. _ for correction of inventor name” and the
application should be sent to the Office of
Application Processing (OPAP) < for change of name
on the file wrapper and in the PALM database. If the petition is granted in an Image
File Wrapper (IFW) application or if the application is an 09/ or later series
application, the spelling of the inventor’s name should be changed in the Office
computer records and a new PALM bib-data sheet should be printed. If the application
is assigned, applicant should submit a corrected assignment document along with a
cover sheet and the recording fee as set forth in 37 CFR 1.21(h) to
the Assignment Division for a change in the assignment record.
If the applicant is unable to
write, his or her mark as affixed to the oath or declaration must be attested to by a
witness. In the case of the oath, the notary’s signature to the jurat is sufficient
to authenticate the mark.
It is permissible for an applicant
to use a title of nobility or other title, such as “Dr.”, in connection with his or
her signature. The title will not appear in the printed patent.
605.04(f) Signature on Joint Applications - Order of Names The order of names of joint
patentees in the heading of the patent is taken from the order in which the
typewritten names appear in the original oath or declaration. Care should therefore
be exercised in selecting the preferred order of the typewritten names of the joint
inventors, before filing, as requests for subsequent shifting of the names would
entail changing numerous records in the Office. Since the particular order in which
the names appear is of no consequence insofar as the legal rights of the joint
applicants are concerned, no changes will be made except when a petition under
37 CFR 1.182 is granted. The petition should be directed to
the attention of the Office of Petitions. The petition to change the order of names
must be signed by either the attorney or agent of record or all the applicants.
Applicants are strongly encouraged to submit an application data sheet showing the
new order of inventor names to ensure appropriate printing of the inventor names in
any patent to issue. It is suggested that all typewritten and signed names appearing
in the application papers should be in the same order as the typewritten names in the
oath or declaration. When the Office of Petitions grants a petition to change the
order of the names of the inventors, the Office of Petitions will change the order of
the names in the Office computer records and print a new bib-data sheet, unless the
application is an 08/ or earlier series application, in which case, the application
should be sent to the Office of
Application Processing (OPAP) < for correction on
the file wrapper label and the PALM database. Since a change to the order of the
inventor’s names is an amendment to the application and amendments are not permitted
petition under 37 CFR 1.182 to change the order of the
inventor’s name cannot be granted if filed after the payment of the issue
In those instances where the joint
applicants file separate oaths or declarations, the order of names is taken from the
order in which the several oaths or declarations appear in the application papers
unless a different order is requested at the time of filing.
* > a < request is granted to add or delete inventors under 37 CFR
1.48, the change should be noted in red ink in the left margin
of the original oath or declaration, if the application is maintained in paper. The
notation should read “See Paper No. ____ for inventorship changes.” For Image File
Wrapper (IFW) processing, see IFW Manual. The application (other than 09/ or later
series applications) should be sent to the Office of
the file wrapper label and the PALM database regarding the inventorship. A brief
explanation on an “Application Division Data Base Routing Slip” (available from the
Technology Center (TC) technical support staff) should accompany the application file
to > OPAP < . For
09/ or later series applications, the examiner should have the TC’s technical support
staff enter the correction in the PALM database and print a new PALM bib-data sheet,
which will then be placed in the file wrapper, if correction of the database and
printing of a new PALM bib-data sheet was not already done by the Office of
Administrator, Executor, or Other Legal Representative In an application filed by a legal
representative of the inventor, the specification should not be written in the first
For prosecution by administrator or
executor, see MPEP § 409.01(a).
For prosecution by heirs, see
409.01(a) and § 409.01(d).
For prosecution by representative of
legally incapacitated inventor, see MPEP §
409.02.
For prosecution by other than
inventor, see MPEP § 409.03.
Joint Inventors 35 U.S.C. 116 Inventors
When an invention is made by two
or more persons jointly, they shall apply for patent jointly and each make the
required oath, except as otherwise provided in this title. Inventors may apply for a
patent jointly even though (1) they did not physically work together or at the same
time, (2) each did not make the same type or amount of contribution, or (3) each did
not make a contribution to the subject matter of every claim of the patent. ***** 35
U.S.C. 116, as amended by Public Law 98-622, recognizes the
realities of modern team research. A research project may include many inventions. Some
inventions may have contributions made by individuals who are not involved in other,
related inventions.
U.S.C. 116 allows inventors to apply for a patent jointly even
(A) they did not physically work
together or at the same time,
(B) each did not make the same
type or amount of contribution, or
(C) each did not make a
contribution to the subject matter of every claim of the
Items (A) and (B) adopt the rationale
stated in decisions such as Monsanto Co. v. Kamp, 269 F. Supp. 818, 824, 154 USPQ 259, 262 (D.D.C.
Item (C) adopts the rationale of
cases such as SAB Industrie AB v. Bendix Corp., 199
USPQ 95 (E.D. Va. 1978).
With regard to item (A), see Kimberly-Clark Corp. v. Procter
& Gamble Distributing Co., 973 F.2d 911, 916-17, 23 USPQ 2d 1921,
1925-26 (Fed. Cir. 1992) (some quantum of collaboration or connection is required in
order for persons to be “joint” inventors under 35 U.S.C. 116, and
thus individuals who are completely ignorant of what each other has done until years
after their individual independent efforts cannot be considered joint
inventors).
Like other patent applications,
jointly filed applications are subject to the requirements of 35 U.S.C.
121 that an application be directed to only a single invention. If
more than one invention is included in the application, the examiner may require the
application to be restricted to one of the inventions. In such a case, a “divisional”
application complying with 35 U.S.C. 120 would be entitled to
the benefit of the earlier filing date of the original application.
It is possible that different claims
of an application or patent may have different dates of inventions even though the
patent covers only one independent and distinct invention within the meaning of
U.S.C. 121. When necessary, the U.S. Patent and Trademark Office
or a court may inquire of the patent applicant or owner concerning the inventors and the
invention dates for the subject matter of the various claims.
***** (b) Inventors may apply
for a patent jointly even though
(2) Each inventor
did not make the same type or amount of contribution,
(3) Each inventor
did not make a contribution to the subject matter of every claim of
(c) If multiple inventors
are named in a nonprovisional application, each named inventor must have
made a contribution, individually or jointly, to the subject matter of at
least one claim of the application and the application will be considered
to be a joint application under 35 U.S.C.
116. If multiple inventors are named in a
provisional application, each named inventor must have made a
contribution, individually or jointly, to the subject matter disclosed in
the provisional application and the provisional application will be
considered to be a joint application under 35 U.S.C. 116.
Since provisional applications may
be filed without claims, 37 CFR 1.45(c) states that each
inventor named in a joint provisional application must have made a contribution to
the subject matter disclosed in the application.
The significant features resulting
from the amendments to 35 U.S.C. 116 by Public Law
98-622 are the following:
(A) The joint inventors do
not have to separately “sign the application,” but only need apply for the
patent jointly and make the required oath or declaration by signing the
same; this is a clarification, but not a change in current
patent jointly even though “they did not work together or at the same time,”
thereby clarifying (a) that it is not necessary that the inventors
physically work together on a project, and (b) that one inventor may “take a
step at one time, the other an approach at different times.” (Monsanto Co. v. Kamp, 269 F. Supp. 818, 824,
154 USPQ 259, 262 (D.D.C. 1967)).
(C) Inventors may apply for a
patent jointly even though “each did not make the same type or amount of
contribution,” thereby clarifying the “fact that each of the inventors play
a different role and that the contribution of one may not be as great as
that of another does not detract from the fact that the invention is joint,
if each makes some original contribution, though partial, to the final
solution of the problem.” Monsanto Co. v. Kamp,
269 F. Supp. at 824, 154 USPQ at 262.
(D) Inventors may apply for a
patent jointly even though “each did not make a contribution to the subject
matter of every claim of the patent.” (E) Inventors may apply for a
patent jointly as long as each inventor made a contribution, i.e., was an
inventor or joint inventor, of the subject matter of at least one claim of
the patent; there is no requirement that all the inventors be joint
inventors of the subject matter of any one claim.
(F) If an application by
joint inventors includes more than one independent and distinct invention,
restriction may be required with the possible result of a necessity to
change the inventorship named in the application if the elected invention
was not the invention of all the originally named inventors.
(G) The amendment to
35 U.S.C. 116 increases
the likelihood that different claims of an application or patent may have
different dates of invention; when necessary the Office or court may inquire
of the patent applicant or owner concerning the inventors and the invention
dates for the subject matter of the various claims.
Pending nonprovisional
applications will be permitted to be amended by complying with 37 CFR
1.48 to add claims to inventions by inventors not named when
the application was filed as long as such inventions were disclosed in the
application as filed since 37 CFR 1.48 permits correction of
inventorship where the correct inventor or inventors are not named in an application
for patent through error without any deceptive intention on the part of the person
being added as an inventor. This is specially covered in 37 CFR
1.48(c).
Under 35 U.S.C.
116, an examiner may reject claims under 35 U.S.C.
102(f) only in circumstances where a named inventor is not the
inventor of at least one claim in the application; no rejection under
35 U.S.C. 102(f) is appropriate if a named inventor made a
contribution to the invention defined in any claim of the
116, considered in conjunction with 35 U.S.C.
103(c), a rejection may be appropriate under 35 U.S.C.
102(f)/103 where the subject matter,
i.e., prior art, and the claimed invention were not owned by, or subject to an
obligation of assignment to, the same person at the time the invention was
correcting, and are required to correct, the inventorship in compliance with
37 CFR 1.48 when the application is amended to change the
claims so that one (or more) of the named inventors is no longer an inventor of the
subject matter of a claim remaining in the application.
In requiring restriction in an
application filed by joint inventors, the examiner should remind applicants of the
necessity to correct the inventorship pursuant to 37 CFR 1.48 if an
invention is elected and the claims to the invention of one or more inventors are
The examiner should not inquire of
the patent applicant concerning the inventors and the invention dates for the subject
matter of the various claims until it becomes
necessary to do so in order to properly examine the
If an application is filed with
joint inventors, the examiner should assume that the subject matter of the various
claims was commonly owned at the time the inventions covered therein were made,
unless there is evidence to the contrary. If inventors of subject matter, not
commonly owned at the time of the later invention, file a joint application,
applicants have an obligation pursuant to 37 CFR 1.56 to
point out the inventor and invention dates of each claim and the lack of common
ownership at the time the later invention was made in order that the examiner may
consider the applicability of 35 U.S.C.
102(e)/103, 35 U.S.C.
102(f)/103 or 35 U.S.C.
102(g)/103. The examiner should assume,
unless there is evidence to the contrary, that applicants are complying with their
duty of disclosure. It should be pointed out that 35 U.S.C. 119(a)
benefit may be claimed to any foreign application as long as the U.S. named inventor
was the inventor of the foreign application invention and 35 U.S.C.
119(a)-(d) requirements are met. Where two or more foreign
applications are combined in a single U.S. application, to take advantage of the
changes to 35 U.S.C. 103 or
35 U.S.C. 116, the U.S. application may claim benefit under
35 U.S.C. 119(a) to each of the foreign applications provided
all the requirements of 35 U.S.C. 119(a)-(d) are met. One
of the conditions for benefit under 35 U.S.C. 119(a)
is that the foreign application must be for “the same invention” as the application
in the United States. Therefore, a claim in the U.S. application which relies on the
combination of prior foreign applications may not be entitled to the benefit under
35 U.S.C. 119(a) if the subject matter of the claim is not
sufficiently disclosed in the prior foreign application. Cf.
Studiengesellschaft Kohle m.b.H.v.Shell Oil Co., 112 F.3d 1561, 42 USPQ2d 1674 (Fed.
Cir. 1997). For example:
If foreign applicant A invents
X and files a foreign application; foreign applicant B invents Y and files
separate foreign application. A+B combine inventions X+Y and A and B are proper
joint inventors under 35 U.S.C. 116 and file U.S.
application to X+Y. The U.S. application may claim benefit under 35 U.S.C.
119(a) to each of the foreign applications provided the
requirements of 35 U.S.C. 119(a)-(d) are
601.01(h)-Forms
601.03-Change of Correspondence Address
602-Original Oath or Declaration
602.01-Oath Cannot Be Amended
602.03-Defective Oath or Declaration
602.04(a)-Foreign Executed Oath Is Ribboned to Other Application Papers
602.05-Oath or Declaration — Date of Execution
602.05(a)-Oath or Declaration in Continuation and Divisional Applications
604-Administration or Execution of Oath
604.01-Seal
604.02-Venue
604.03(a)-Notarial Powers of Some Military Officers
604.04-Consul
604.04(a)-Consul – Omission of Certificate
604.06-By Attorney in Application
605.01-Applicant’s Citizenship
605.02-Applicant’s Residence
605.03-Applicant’s Mailing or Post Office Address
605.04(a)-Applicant’s Signature and Name
605.04(b)-One Full Given Name Required
605.04(c)-Inventor Changes Name
605.04(d)-Applicant Unable to Write
605.04(e)-May Use Title With Signature
605.04(f)-Signature on Joint Applications - Order of Names
605.04(g)-Correction of Inventorship
605.05-Administrator, Executor, or Other Legal Representative
605.07-Joint Inventors
608.01(l)-Original Claims
608.01(p)-Completeness
608.01(u)-Use of Formerly Filed Incomplete Application
608.01(v)-Trademarks and Names Used in Trade
608.02(b)-Informal Drawings
608.02(c)-Drawing Print Kept in File Wrapper
608.02(m)-Drawing Prints
608.02(n)-Duplicate Prints in Patentability Report Applications
608.02(o)-Notations Entered on Drawing
608.02(q)-Conditions Precedent to Amendment of Drawing
608.04(a)-Matter Not in Original Specification, Claims, or Drawings
608.05-Sequence Listing Table, or Computer Program Listing Appendix Submitted on a Compact Disc
608.05(c)-Compact Disc Submissions of Biosequences
609.07-IDSs Electronically Submitted (e-IDS) Using EFS