MPEP § 605 — MPEP § 605
Current through: 2022-07-01

605-Applicant 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

 Skip over navigation 
 
 
 
 
 
 
 
 search for patents | search for trademarks 

 
 
 
 
 
 
 
 
 
 
 
 Search 
 
 
 

 
 

 
 
 
 
 
 PATENTS 
 
 Patent Search 

 
 Patent Process 

 
 Patent Classification 

 
 Patent Forms 

 
 Statistics 

 
 Electronic Business Center 

 
 Patent Laws, Regulations, Policies & Procedures 

 
 Resources and Guidance 

 
 Office of Data Management 

 
 Announcements 

 
 Initiatives & Events 

 
 International Protection 

 
 Employee Locator 

 
 Contact Patents 

 

 

 
 TRADEMARKS 
 
 Trademark Search 

 
 Trademarks Process 

 
 News & Notices 

 
 Manuals, Guides, Official Gazette 

 
 Laws & Regulations 

 
 Online Filing 

 
 Contact Trademarks 

 

 

 
 IP LAW & POLICY 
 
 Rulemaking 

 
 IP Policy and Enforcement 

 
 Protecting IP Overseas 

 
 Training and Education 

 
 Training Programs & Conferences 

 
 Office of Governmental Affairs 

 
 Office of Chief Economist 

 
 Boards and Counsel 

 

 

 
 PRODUCTS & SERVICES 
 
 Electronic Data Products 

 
 XML Resources 

 
 XML Resources - Retrospective 

 
 USPTO Contact Center Order Form 

 
 Services 

 
 Locate Libraries 

 
 Training/Events 

 
 Online Services Hub 

 

 

 
 INVENTORS 
 
 Patents for Inventors 

 
 Trademarks for Inventors 

 
 Inventors Assistance 

 
 Education and Information 

 
 Scam Prevention 

 
 Pro Se and Pro Bono 

 
 Current Events 

 
 State Resources 

 
 InventorsEye Newsletter 

 

 

 
 NEWS & NOTICES 
 
 Subscription Center 

 
 Press Releases 

 
 Testimony and Speeches 

 
 Director's Forum 

 
 Systems Status 

 
 Emergency Notices 

 
 USPTO Videos 

 
 Official Gazette 

 
 Federal Register Notices 

 
 Event Calendar 

 

 

 
 FAQs 
 
 Patents FAQs 

 
 Trademarks FAQs 

 
 Assignments 

 
 Security 

 
 Musicians and Artists 

 
 Browser Plugins 

 
 Other Web Resources 

 

 

 
 ABOUT US 
 
 USPTO Leadership 

 
 USPTO Organization 

 
 USPTO Offices 

 
 Careers 

 
 Budget, Performance, and Planning 

 
 Statistics 

 
 Vendor Information 

 
 Public Advisory Committees 

 
 National Medal of Technology and Innovation 

 
 IP in Motion 

 
 Contact Us 

 

 

 
 
 

 

 
 

 
 
 
 
 Home Page 

 
 Patents 

 
 Patent Laws, Regulations, Policies & Procedures 

 
 Manual of Patent Examining Procedure 

 Chapter 0600 

 Section 605 
 

 
 
 
 
 
 605 Applicant [R-11.2013]

 Effective September 16, 2012, the Office revised the rules of
 practice to permit a person to whom the inventor has assigned or is under an obligation to
 assign an invention to file and prosecute an application for patent as the applicant, and
 to permit a person who otherwise shows sufficient proprietary interest in the matter to
 file and prosecute an application for patent as the applicant on behalf of the inventor.
 See MPEP §
 605.01 for information regarding the applicant in applications
 filed on or after September 16, 2012.
 

 For applications filed before September 16, 2012, a person to
 whom the inventor assigned an invention could file and prosecute an application for patent,
 but the inventor is considered the applicant. See MPEP §
 605.02 for information regarding the applicant in applications
 filed before September 16, 2012.
 

 
 605.01 Applicant for Application filed on or after
 September 16, 2012 [R-10.2019]
 

 [Editor Note: See MPEP § 605.02 for information
 regarding the applicant in applications filed before September 16, 2012.] 

 The owner or assignee of a patent property can take action
 in a patent application as the applicant. The original applicant is presumed to be the
 owner of an application for an original patent, and any patent that may issue therefrom
 in the absence of an assignment. 37 CFR 3.73 . An assignee who is not
 the original applicant must become the applicant under 37 CFR 1.46 in
 order to request or take action in a patent application. See MPEP §
 325 .
 

 I. DEFINITION OF APPLICANT 
 37 CFR 1.42 Applicant for patent. 

 
 (a) The word "applicant" when used in this
 title refers to the inventor or all of the joint inventors, or to the person
 applying for a patent as provided in §§ 1.43 ,
 1.45 , or 1.46 .
 

 (b) If a person is applying for a patent as
 provided in § 1.46 , the word
 "applicant" refers to the assignee, the person to whom the inventor is under
 an obligation to assign the invention, or the person who otherwise shows
 sufficient proprietary interest in the matter, who is applying for a patent
 under § 1.46 and not the inventor.
 

 (c) If fewer than all joint inventors are
 applying for a patent as provided in § 1.45 , the phrase "the
 applicant" means the joint inventors who are applying for the patent without
 the omitted inventor(s).
 

 (d) Any person having authority may deliver an
 application and fees to the Office on behalf of the applicant. However, an
 oath or declaration, or substitute statement in lieu of an oath or
 declaration, may be executed only in accordance with §
 1.63 or 1.64 , a correspondence
 address may be provided only in accordance with §
 1.33(a) , and amendments and other papers must be
 signed in accordance with § 1.33(b) .
 

 (e) The Office may require additional
 information where there is a question concerning ownership or interest in an
 application, and a showing may be required from the person filing the
 application that the filing was authorized where such authorization comes
 into question.
 

 
 

 
 37 CFR 1.43 Application for patent by a legal representative of a deceased or legally
 incapacitated inventor. 

 If an inventor is deceased or under legal incapacity,
 the legal representative of the inventor may make an application for patent on
 behalf of the inventor. If an inventor dies during the time intervening between
 the filing of the application and the granting of a patent thereon, the letters
 patent may be issued to the legal representative upon proper intervention. See
 §
 1.64 concerning the execution of a substitute statement by a
 legal representative in lieu of an oath or declaration.
 

 

 
 37 CFR 1.45 Application for patent by joint inventors. 

 
 (a) Joint inventors must apply for a patent
 jointly, and each must make an inventor's oath or declaration as required by
 §
 1.63 , except as provided for in §
 1.64 . If a joint inventor refuses to join in an
 application for patent or cannot be found or reached after diligent effort,
 the other joint inventor or inventors may make the application for patent on
 behalf of themselves and the omitted inventor. See §
 1.64 concerning the execution of a substitute
 statement by the other joint inventor or inventors in lieu of an oath or
 declaration.
 

 (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
 application.
 

 
 

 (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 .
 

 
 

 
 37 CFR 1.46 Application for patent by an assignee, obligated assignee, or a person who
 otherwise shows sufficient proprietary interest in the matter. 

 [Editor Note: Applicable only to patent applications filed under
 35
 U.S.C. 111(a) or 363 on or after September
 16, 2012. See 37 CFR 1.46 (pre-AIA) for the rule otherwise in
 effect.] 

 
 (a) A person to whom the inventor has assigned
 or is under an obligation to assign the invention may make an application
 for patent. A person who otherwise shows sufficient proprietary interest in
 the matter may make an application for patent on behalf of and as agent for
 the inventor on proof of the pertinent facts and a showing that such action
 is appropriate to preserve the rights of the parties.
 

 (b) If an application under 35 U.S.C.
 111 is made by a person other than the inventor under
 paragraph (a) of this section, the application must contain an application
 data sheet under § 1.76 specifying in the
 applicant information section ( § 1.76(b)(7) ) the
 assignee, person to whom the inventor is under an obligation to assign the
 invention, or person who otherwise shows sufficient proprietary interest in
 the matter. If an application entering the national stage under
 35
 U.S.C. 371 , or a nonprovisional international design
 application, is applied for by a person other than the inventor under
 paragraph (a) of this section, the assignee, person to whom the inventor is
 under an obligation to assign the invention, or person who otherwise shows
 sufficient proprietary interest in the matter must have been identified as
 the applicant for the United States in the international stage of the
 international application or as the applicant in the publication of the
 international registration under Hague Agreement Article 10(3).
 
 (1) If the applicant is the assignee or a
 person to whom the inventor is under an obligation to assign the
 invention, documentary evidence of ownership ( e.g., 
 assignment for an assignee, employment agreement for a person to whom
 the inventor is under an obligation to assign the invention) should be
 recorded as provided for in part 3 of this chapter no later than the
 date the issue fee is paid in the application.
 

 (2) If the applicant is a person who
 otherwise shows sufficient proprietary interest in the matter, such
 applicant must submit a petition including:
 
 (i) The fee set forth in
 §
 1.17(g) ;
 

 (ii) A showing that such person has
 sufficient proprietary interest in the matter; and
 

 (iii) A statement that making the
 application for patent by a person who otherwise shows
 sufficient proprietary interest in the matter on behalf of and
 as agent for the inventor is appropriate to preserve the rights
 of the parties.
 

 
 

 
 

 (c)
 
 (1) Correction or update in the name of the applicant. 
 Any request to correct or update the name of the applicant under this
 section must include an application data sheet under §
 1.76 specifying the correct or updated name of
 the applicant in the applicant information section ( §
 1.76(b)(7) ). in accordance with
 § 1.76(c)(2) . A
 change in the name of the applicant recorded pursuant to Hague
 Agreement Article 16(1)(ii) will be effective to change the name of
 the applicant in a nonprovisional international design
 application.
 

 
 
 (2) Change in the applicant. Any request to change the
 applicant under this section after an original applicant has been
 specified must include an application data sheet under
 § 1.76 specifying
 the applicant in the applicant information section ( §
 1.76(b)(7) in accordance with §
 1.76(c)(2) ) and comply with §§
 3.71 and 3.73 of this
 title.
 

 
 

 (d) Even if the whole or a part interest in the
 invention or in the patent to be issued is assigned or obligated to be
 assigned, an oath or declaration must be executed by the actual inventor or
 each actual joint inventor, except as provided for in §
 1.64 . See §
 1.64 concerning the execution of a substitute
 statement by an assignee, person to whom the inventor is under an obligation
 to assign the invention, or a person who otherwise shows sufficient
 proprietary interest in the matter.
 

 (e) If a patent is granted on an application
 filed under this section by a person other than the inventor, the patent
 shall be granted to the real party in interest. Otherwise, the patent may be
 issued to the assignee or jointly to the inventor and the assignee as
 provided in § 3.81 . Where a real
 party in interest has filed an application under §
 1.46 , the applicant shall notify the Office of any
 change in the real party in interest no later than payment of the issue fee.
 The Office will treat the absence of such a notice as an indication that
 there has been no change in the real party in interest.
 

 (f) The Office may publish notice of the filing
 of the application by a person who otherwise shows sufficient proprietary
 interest in the Official Gazette. 

 
 

 37 CFR
 1.42 defines who is the applicant for a patent. The word
 “applicant” when used in title 37 refers to the inventor or all joint inventors, or
 to the person applying for a patent as provided in 37 CFR
 1.43 , 1.45 , or 1.46 . If a
 person is applying for a patent as provided in 37 CFR
 1.46 , the word “applicant” refers to the assignee, the person to
 whom the inventor is under an obligation to assign, or the person who otherwise shows
 sufficient proprietary interest in the matter, who is applying for the patent under
 37 CFR
 1.46 and not the inventor. If fewer than all joint inventors
 are applying for the patent as provided in 37 CFR 1.45 , the phrase “the
 applicant” means the joint inventors who are applying for the patent without the
 omitted inventor(s).
 

 37 CFR
 1.43 provides that if an inventor is deceased or under legal
 incapacity, the legal representative of the inventor may make an application for
 patent on behalf of the inventor. See also MPEP § 409.01(a) .
 

 37 CFR
 1.45 pertains to an application filed by joint inventors. Joint
 inventors must apply for a patent jointly and each joint inventor must make the
 inventor’s oath or declaration required by 37 CFR 1.63 , except as provided
 for in 37 CFR
 1.64 . See 35 U.S.C. 116(a) and
 37 CFR
 1.45(a) . If a joint inventor refuses to join in an application
 for patent or cannot be found or reached after diligent effort, the other joint
 inventor or inventors may make the application for patent on behalf of themselves and
 the omitted inventor. See 35 U.S.C. 116(b) and
 37 CFR
 1.45(a) . See also MPEP § 409.02 .
 

 37 CFR
 1.46 provides for the filing of an application for patent by an
 assignee, a person to whom the inventor is under an obligation to assign the
 invention, or a person who otherwise shows sufficient proprietary interest in the
 matter under 35
 U.S.C. 118 . If an application under 35 U.S.C.
 111 is made by a person other than the inventor under
 37 CFR
 1.46(a) , the application must contain an application data sheet
 under 37 CFR
 1.76 specifying in the applicant information section the
 assignee, the person to whom the inventor is under an obligation to assign the
 invention, or the person who otherwise shows sufficient proprietary interest in the
 matter. While identifying the party making the application for patent (the applicant)
 in an application data sheet is not a filing date requirement, a delay in naming the
 applicant under 37 CFR 1.46 may cause it to appear that applicant is the
 inventor and thus requiring the party to file a request under 37 CFR
 1.46(c) to become the applicant, which requires compliance with
 37 CFR
 3.71 and 3.73 . See MPEP §
 325 . If an assignee is filing an application under
 37 CFR
 1.46 , but the assignee is not the assignee of the entire right,
 title and interest in the application, then the assignee would need to be named as
 the applicant under 37 CFR 1.46 together with the
 other party who has an ownership interest. For example, if there are two joint
 inventors, and one inventor has assigned his rights in the invention to the assignee,
 but the other inventor has not assigned his rights in the invention and is under no
 obligation to assign his rights, the assignee and the other inventor should be
 identified as the applicant in the applicant information section of the application
 data sheet. See 37 CFR 3.71 . Under the example provided, the assignee would
 have an undivided interest in the entirety of the one inventor’s interest but would
 not be the owner of the entire right, title and interest in the invention. Because of
 this, the assignee cannot be named as the sole applicant in the application. All
 parties having any portion of the ownership in the patent must act together as a
 composite entity in patent matters before the Office. See MPEP § 301 .
 

 If the applicant is the assignee or person to whom the
 inventor is under an obligation to assign the invention, the documentary evidence of
 ownership (e.g., assignment for an assignee, employment agreement for an obligated
 assignee) should be recorded as provided for in 37 CFR part 3 no later than the date
 the issue fee is paid. See 37 CFR 1.46(b)(1) .
 

 If the applicant is a person who otherwise shows
 sufficient proprietary interest in the matter, such applicant must submit a petition
 including: (1) the fee set forth in 37 CFR 1.17(g) ; (2) a showing
 that such person has sufficient proprietary interest in the matter; and (3) a
 statement that making the application for patent by a person who otherwise shows
 sufficient proprietary interest on behalf of and as agent for the inventor is
 appropriate to preserve the rights of the parties. See 37 CFR
 1.46(b)(2) . A discussion of the evidence necessary for a
 showing that a person has sufficient proprietary interest in the matter is set forth
 in MPEP §
 409.05 . The Office may publish notice of the filing of the
 application by a person who otherwise shows sufficient proprietary interest in the
 Official Gazette. See 37 CFR
 1.46(f) .
 

 Any request to correct or update the name of the
 applicant after an applicant has been specified under 37 CFR
 1.46(b) must include an application data sheet under
 37 CFR
 1.76 specifying the correct or updated name of the applicant in
 in the applicant information section. See 37 CFR
 1.46(c)(1) . Thus, if there is no change in the applicant itself
 but just the applicant’s name (due to a correction or name change), the applicant
 need only submit an application data sheet specifying the correct or updated name of
 the applicant in the applicant information section. Any corrected application data
 sheet must identify the information being changed with underlining for insertions and
 strike-through or brackets for text removed as required by 37 CFR
 1.76(c)(2) . A change in the name of the applicant recorded
 pursuant to Hague Agreement Article 16(1)(ii) will be effective to change the name of
 the applicant in a nonprovisional international design application.
 

 II. CHANGE OF APPLICANT Where no applicant is identified, the Office will, by
 default, consider the inventor to be the applicant (e.g., to complete processing of
 the application so that it can be forwarded for examination). Any request to change
 the applicant must include an application data sheet under 37 CFR 1.76 
 specifying the applicant in the applicant information section in accordance with
 37 CFR
 1.76(c)(2) and must comply with 37 CFR 3.71 
 and 3.73 . See 37 CFR 1.46(c)(2) . Thus, if there
 is a change of applicant under 37 CFR 1.46 (e.g., from the
 inventor to the assignee, or from one assignee to another assignee), the new
 applicant must establish its ownership of the application under 37 CFR
 3.71(b) and 3.73 . 
 

 37 CFR
 1.46(e) provides that if a patent is granted on an application
 filed under 37
 CFR 1.46 by a person other than the inventor, the patent shall
 be granted to the real party in interest (e.g., the current assignee for an
 application that has been assigned). Otherwise, the patent may be issued to the
 assignee or jointly to the inventor and the assignee as provided in 37 CFR 3.81 . 
 

 Where a real party in interest has filed an application
 under 37 CFR
 1.46 , the applicant shall notify the Office of any change in
 the real party in interest no later than payment of the issue fee. The Office will
 treat the absence of such a notice as an indication that there has been no change in
 the real party in interest. See 35 U.S.C. 118 and
 37 CFR
 1.46(e) . The use of box 3 of the Part B – Fee(s) Transmittal
 form, PTOL-85B will be required where the real party in interest has changed from
 filing of the application and the application was filed pursuant to 37 CFR
 1.46 . Identification of the real party in interest in box 3 of
 PTOL-85B will not change the applicant of record in the application. For example,
 where the application was filed pursuant to 37 CFR 1.46 and identified
 Assignee X as the applicant, but the ownership subsequently changed and box 3 of
 PTOL-85B identified Assignee Y as the real party in interest, the issued patent would
 identify Assignee X as the applicant and Assignee Y as the assignee. Assignee Y would
 only be identified as the applicant if a proper request to change the applicant is
 filed pursuant to 37 CFR 1.46 no later than payment
 of the issue fee. Furthermore, a request to change the applicant under
 37 CFR
 1.46(c)(2) should not be filed after the patent has issued
 because such a request cannot be granted.
 

 III. CORRECTION OR UPDATE OF 37 CFR 1.46
 APPLICANT For correction of an inventor’s name, see
 37 CFR
 1.48 and MPEP § 602.01(c)(2) .
 

 If a minor typographical error in a 37 CFR 1.46 
 applicant’s name is detected prior to payment of the issue fee, a request to correct
 the applicant’s name under 37 CFR 1.46(c)(1) should be filed
 promptly and must be filed no later than payment of the issue fee. The request, which
 can essentially be a signed transmittal letter, must be filed with an application
 data sheet under 37 CFR 1.76 specifying the
 correct name of the applicant in the applicant information section ( 37 CFR
 1.76(b)(7) ) and must be shown with appropriate markings
 (underlining for additions, strikethrough for deletions). The request should be clear
 that the request is being filed under 37 CFR 1.46(c)(1) rather than
 37 CFR
 1.46(c)(2) . Neither a fee nor a statement under
 37 CFR
 3.73(c) is required. 
 

 If the minor typographical error in the applicant’s
 name is not detected until after the payment of the issue fee, the application must
 be withdrawn from issue or a certificate of correction must be filed, as further
 described below, because amendments are not permitted after the payment of the issue
 fee. If the application is withdrawn from issue under 37 CFR
 1.313(c)(2) , the request under 37 CFR
 1.46(c)(1) to correct the applicant’s name must be submitted
 with a request for continued examination (RCE) under 37 CFR 1.114 if
 the application is a utility or plant application. In the case of a design
 application, the petition to withdraw from issue under 37 CFR
 1.313(c)(3) and request under 37 CFR
 1.46(c)(1) should be accompanied by a continued prosecution
 application (CPA) under 37 CFR 1.53(d) . If a certificate
 of correction is filed, a petition under 37 CFR 1.182 must be filed with
 the certificate of correction after the patent issues requesting correction of the
 applicant’s name.
 

 If a 37 CFR 1.46 applicant’s name
 changes (e.g., XYZ, LLC changes its name to XYZ, Inc.), a request to update the name
 of the applicant under 37 CFR 1.46(c)(1) should be filed
 promptly and must be filed no later than payment of the issue fee. The request, which
 can essentially be a signed transmittal letter, must be filed with an application
 data sheet under 37 CFR 1.76 specifying the
 correct name of the applicant in the applicant information section ( 37 CFR
 1.76(b)(7) ) and must be shown with appropriate markings
 (underlining for additions, strikethrough for deletions). The request should be clear
 that the request is being filed under 37 CFR 1.46(c)(1) rather than
 37 CFR
 1.46(c)(2) . Neither a fee nor a statement under
 37 CFR
 3.73(c) is required, however, applicant may submit a statement
 under 37 CFR
 3.73(c) that includes a reference to the name change document,
 if desired.
 

 37 CFR 1.46(c)(1) does not
 provide for deletion of a party who was incorrectly named as the applicant (e.g.,
 Company X was identified in the applicant information section of the application data
 sheet, but the named inventors neither assigned nor were under an obligation to
 assign to Company X, and Company X is not a sufficient proprietary interest party).
 In such a situation, a petition under 37 CFR 1.182 , including the
 petition fee under 37 CFR 1.17(f) , may be filed and
 accompanied by an application data sheet under 37 CFR 1.76 
 specifying the correct name of the applicant in the applicant information section
 ( 37 CFR
 1.76(b)(7) ) in accordance with 37 CFR
 1.76(c)(2) . The petition should provide an adequate explanation
 regarding the identification of a party as the applicant who was not the actual
 applicant. 
 

 

 

 

 
 605.02 Applicant for Application Filed Before September
 16, 2012 [R-07.2015]
 

 [Editor Note: See MPEP § 605.01 for information
 regarding the applicant in applications filed on or after September 16, 2012.]
 

 
 37 CFR 1.41 (pre-AIA) 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 filed.
 

 (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 CFR 1.45 (pre-AIA) 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 § 1.47 .
 

 (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 application.
 

 
 

 (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 .
 

 
 

 Pre-AIA 37 CFR
 1.41(a) defines the inventorship of a nonprovisional application
 as that inventorship set forth in the oath or declaration filed to comply with the
 requirements of pre-AIA 37 CFR 1.63 , except as provided for in 37 CFR
 1.53(d)(4) and pre-AIA 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 37 CFR
 1.53(b) , unless an applicant files a paper under pre-AIA 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.
 

 For correction of inventorship, see MPEP § 602.01(c) et seq. 

 For applications filed before September 16, 2012, if the
 application is filed by another, see MPEP § 409.03 et seq. 

 For assignments of application by inventor, see
 MPEP §
 301 . 
 

 For applications filed before September 16, 2012 by
 another on behalf of a deceased or legally incapacitated inventor, see
 MPEP §
 409.01(b) . For applications filed before September 16, 2012
 where at least one inventor is unavailable, see MPEP § 409.03 et seq. 

 

 [top] 

 

 

 
 

 
 

 

 

 

 
 
 
 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-Naming the Inventor; Inventor's Oath or Declaration 
 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)-[Reserved] 

 
 

 
 

 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 

 
 

 604-Substitute Statements 

 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-Disclosure 
 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)-[Reserved] 

 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,” “Large Tables,” or “Computer Program Listing Appendix” Submitted in ASCII Plain Text or a “Sequence Listing
 XML” Submitted as XML File Text 
 608.05(a)-Submission of a “Computer Program Listing Appendix” 

 608.05(b)-ASCII Plain Text Submissions of “Large Tables” and Treatment of Lengthy Tables in a Specification for Patents and Patent Application
 Publications 

 608.05(c)-Submissions of Biological Sequence Listings 

 
 

 
 

 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-Content and Timing Requirements for an Information Disclosure Statement 
 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 (eIDS) Using Patent Center 

 609.08-Electronic Processing of Information Disclosure Statement 

 
 

 

 

 
 

 
 
 

 
 

 

 
 
 Accessibility 

 Privacy Policy 

 Terms of Use 

 Security 

 Emergencies/Security Alerts 

 Information Quality Guidelines 

 
 

 
 
 Federal Activities Inventory Reform (FAIR) Act 

 Notification and Federal Employee Antidiscrimination and Retaliation (NoFEAR) Act 

 Budget & Performance 

 Freedom of Information Act (FOIA) 

 
 

 
 
 Department of Commerce NoFEAR Act Report 

 Regulations.gov 

 STOP!Fakes.gov 

 Department of Commerce 

 USA.gov 

 
 

 
 
 Strategy Targeting Organized Piracy (STOP!) 

 Careers 

 Site Index 

 Contact Us 

 Submit Feedback 

 
 

 
 This page is owned by Patents.

 Last Modified: 
 
 03/09/2026 20:49:43