MPEP § 602 — MPEP § 602
Current through: 2022-07-01

602-Oaths and Declarations 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Chapter 0600 

 Section 602 
 

 
 
 
 
 
 602 Oaths and Declarations [R-11.2013]

 
 35 U.S.C. 25 
 Declaration in lieu of oath. 

 
 (a) The Director may by rule prescribe that any document to be filed
 in the Patent and Trademark Office and which is required by any law, rule, or
 other regulation to be under oath may be subscribed to by a written declaration in
 such form as the Director may prescribe, such declaration to be in lieu of the
 oath otherwise required.
 

 (b) Whenever such written declaration is used, the document must warn
 the declarant that willful false statements and the like are punishable by fine or
 imprisonment, or both ( 18 U.S.C. 1001 ).
 

 
 

 
 35 U.S.C. 26 
 Effect of defective execution. 

 Any document to be filed in the Patent and Trademark Office and which is
 required by any law, rule, or other regulation to be executed in a specified manner may
 be provisionally accepted by the Director despite a defective execution, provided a
 properly executed document is submitted within such time as may be prescribed.
 

 

 A copy, such as a photocopy or facsimile transmission, of an
 originally executed oath or declaration is encouraged to be filed (see
 MPEP §
 502.01 ), especially since applications are maintained in
 electronic form, not paper. The original should be retained by applicant, or his or her
 representative as evidence of authenticity. If a question of authenticity arises, the U.S.
 Patent and Trademark Office may require submission of the original. See 37 CFR
 1.4(d)(1)(ii) .
 

 I. OATHS 
 37 CFR 1.66 Statements under oath. 

 An oath or affirmation may be made before any person
 within the United States authorized by law to administer oaths. An oath made in a
 foreign country may be made before any diplomatic or consular officer of the United
 States authorized to administer oaths, or before any officer having an official seal
 and authorized to administer oaths in the foreign country in which the applicant may
 be, whose authority shall be proved by a certificate of a diplomatic or consular
 officer of the United States, or by an apostille of an official designated by a
 foreign country which, by treaty or convention, accords like effect to apostilles of
 designated officials in the United States. The oath shall be attested in all cases in
 this and other countries, by the proper official seal of the officer before whom the
 oath or affirmation is made. Such oath or affirmation shall be valid as to execution
 if it complies with the laws of the State or country where made. When the person
 before whom the oath or affirmation is made in this country is not provided with a
 seal, his official character shall be established by competent evidence, as by a
 certificate from a clerk of a court of record or other proper officer having a
 seal.
 

 

 An oath or affirmation may be made before any person
 within the United States authorized by law to administer oaths. An oath made in a
 foreign country may be made in accordance with 37 CFR 1.66 . The authority of
 military personnel to act as a notary is set forth in 10 U.S.C. 1044(a).
 

 The language of 35 U.S.C. 115 and 37 CFR 1.66 is
 such that an attorney in the application is not barred from administering the oath as
 notary. The Office presumes that an attorney acting as notary is cognizant of the extent
 of his or her authority and jurisdiction and will not knowingly jeopardize his or her
 client’s rights by performing an illegal act. If such practice is permissible under the
 law of the jurisdiction where the oath is administered, then the oath is a valid
 oath.
 

 The law of the District of Columbia prohibits the
 administering of oaths by the attorney in the case. If the oath is known to be void
 because of being administered by the attorney in a jurisdiction where the law holds this
 to be invalid, a new oath or declaration should be submitted. The application file may
 be referred to the Office of Enrollment and Discipline. See 37 CFR 1.66 
 and MPEP §
 604 .
 

 A. Seal A seal is usually impressed on an oath. Documents with
 seals cannot be adequately scanned for retention in an Image File Wrapper, and
 because the Office maintains patent applications in an image form, the Office
 strongly encourages the use of declarations rather than oaths. However, oaths
 executed by military personnel in accordance with 10 U.S.C. 1044(a) and those
 executed in many states including Alabama, Louisiana, Maryland, Massachusetts, New
 Jersey, New York, Rhode Island, South Carolina, and Virginia need not be impressed
 with a seal. See paragraph B. below for information regarding venue.
 

 When the person before whom the oath or affirmation is
 made in this country is not provided with a seal, his or her official character shall
 be established by competent evidence, as by a certificate from a clerk of a court of
 record or other proper officer having a seal, except as noted above. When the issue
 concerns the authority of the person administering the oath, proof of authority may
 be required. Depending on the jurisdiction, the seal may be either embossed or rubber
 stamped. The latter should not be confused with a stamped legend indicating only the
 date of expiration of the notary’s commission.
 

 In some jurisdictions, the seal of the notary is not
 required but the official title of the officer must be on the oath. This applies to
 Alabama, California (certain notaries), Louisiana, Maryland, Massachusetts, New
 Jersey, New York, Ohio, Puerto Rico, Rhode Island, South Carolina, and Virginia.
 

 See MPEP § 602.04 for foreign executed
 oaths.
 

 B. Venue That portion of an oath or affidavit indicating where
 the oath is taken is known as the venue. Where the county and state in the venue
 agree with the county and state in the seal, no problem arises. If the venue and seal
 do not correspond in county and state, the jurisdiction of the notary must be
 determined from statements by the notary appearing on the oath. Venue and notary
 jurisdiction must correspond or the oath is improper. The oath should show on its
 face that it was taken within the jurisdiction of the certifying officer or notary.
 This may be given either in the venue or in the body of the jurat. Otherwise, a new
 oath or declaration, or a certificate of the notary that the oath was taken within
 his or her jurisdiction, should be submitted. 
 

 II. DECLARATIONS 
 37 CFR 1.68 Declaration in lieu of oath. 

 Any document to be filed in the Patent and Trademark Office and which
 is required by any law, rule, or other regulation to be under oath may be subscribed
 to by a written declaration. Such declaration may be used in lieu of the oath
 otherwise required, if, and only if, the declarant is on the same document, warned
 that willful false statements and the like are punishable by fine or imprisonment, or
 both ( 18 U.S.C.
 1001 ) and may jeopardize the validity of the application or any
 patent issuing thereon. The declarant must set forth in the body of the declaration
 that all statements made of the declarant's own knowledge are true and that all
 statements made on information and belief are believed to be true. 
 

 

 
 18 U.S.C. 1001 
 Statements or entries generally. 

 Whoever, in any matter within the jurisdiction of any department or
 agency of the United States knowingly and willfully falsifies, conceals, or covers up
 by any trick, scheme, or device a material fact, or makes any false, fictitious or
 fraudulent statements or representations, or makes or uses any false writing or
 document knowing the same to contain any false, fictitious or fraudulent statement or
 entry, shall be fined not more than $10,000 or imprisoned not more than five years,
 or both.
 

 

 By statute, 35 U.S.C. 25 , the Director has been
 empowered to prescribe instances when a written declaration may be accepted in lieu of
 the oath for “any document to be filed in the Patent and Trademark Office.” A
 declaration may be submitted in lieu of an oath in any document filed in the Office
 provided the declaration complies with the requirements of 37 CFR 1.68 . A
 37 CFR
 1.68 declaration need not be ribboned to the other papers, even if
 signed in a country foreign to the United States. However, because it is an integral
 part of the application, it must be maintained together therewith. When a declaration is
 used, it is unnecessary to appear before any official in connection with the making of
 the declaration. 
 

 The filing of a written declaration is acceptable in lieu
 of an original application oath that is informal.
 

 Office personnel are authorized to accept a statutory declaration under
 28 U.S.C. 1746 filed in the U.S. Patent and Trademark Office in lieu of an “oath” or
 declaration under 35
 U.S.C. 25 and 37 CFR 1.68 , provided the statutory
 declaration otherwise complies with the requirements of law.
 

 Section 1746 of Title 28 of the United States Code provides:

 
 Whenever, under any law of the United States or under any rule,
 regulation, order, or requirement made pursuant to law, any matter is required or
 permitted to be supported, evidenced, established, or proved by the sworn
 declaration, verification, certificate, statement, oath or affidavit, in writing of
 the person making the same (other than a deposition, or an oath of office, or an oath
 required to be taken before a specified official other than notary public), such
 matter may, with like force and effect, be supported, evidenced, established, or
 proved by the unsworn declaration, certificate, verification, or statement, in
 writing of such person which is subscribed by him, as true under penalty of perjury,
 and dated, in substantially the following form:
 

 [1] If executed without the United States:

 “I declare (or certify, verify, or state) under penalty of perjury
 under the laws of the United States of America that the foregoing is true and
 correct. Executed on (date).
 

 (Signature).”

 [2] If executed within the United States its territories,
 possessions, or commonwealths:
 

 “I declare (or certify, verify, or state) under penalty of perjury
 that the foregoing is true and correct. Executed on (date).
 

 (Signature).”

 
 
 602.01 Naming the Inventor; Inventor's Oath or
 Declaration [R-07.2022]
 

 The inventor, or each individual who is a joint inventor of
 a claimed invention, in an application for patent (other than a provisional application)
 must execute an oath or declaration directed to the application, except as provided for
 in 37 CFR
 1.64 . See MPEP § 602.01(a) for the requirements
 of an inventor’s oath or declaration in an application filed on or after September 16,
 2012. See MPEP § 602.01(b) for the requirements of an original oath or
 declaration in an application filed before September 16, 2012.
 

 See MPEP § 2109 for the definition of, and
 requirements for, inventorship and MPEP §§ 602.09 and
 2109.01 for information pertaining to joint inventorship.
 

 I. NAMING INVENTORSHIP IN APPLICATION FILED ON OR AFTER SEPTEMBER 16, 2012 [Editor Note: See subsection II., below, for naming inventorship in
 applications filed before September 16, 2012.] 

 
 37 CFR 1.41 Inventorship. 

 
 (a) An application must include, or be amended to
 include, the name of the inventor for any invention claimed in the
 application.
 

 (b) The inventorship of a nonprovisional application
 under 35 U.S.C. 111(a) is the inventor or joint inventors
 set forth in the application data sheet in accordance with §
 1.76 filed before or concurrently with the inventor's
 oath or declaration. If an application data sheet is not filed before or
 concurrently with the inventor's oath or declaration, the inventorship is
 the inventor or joint inventors set forth in the inventor's oath or
 declaration, except as provided for in §§
 1.53(d)(4) and 1.63(d) . Once an
 application data sheet or the inventor's oath or declaration is filed in a
 nonprovisional application, any correction of inventorship must be pursuant
 to §
 1.48 . If neither an application data sheet nor the
 inventor's oath or declaration is filed during the pendency of a
 nonprovisional application, the inventorship is the inventor or joint
 inventors set forth in the application papers filed pursuant to
 §
 1.53(b) , unless the applicant files a paper, including
 the processing fee set forth in §
 1.17(i) , supplying the name or names of the inventor
 or joint inventors.
 

 (c) The inventorship of a provisional application is
 the inventor or joint inventors set forth in the cover sheet as prescribed
 by §
 1.51(c)(1) . Once a cover sheet as prescribed by
 §
 1.51(c)(1) is filed in a provisional application, any
 correction of inventorship must be pursuant to §
 1.48 . If a cover sheet as prescribed by §
 1.51(c)(1) is not filed during the pendency of a
 provisional application, the inventorship is the inventor or joint inventors
 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 the
 name or names of the inventor or joint inventors.
 

 (d) In a nonprovisional application under
 35
 U.S.C. 111(a) filed without an application data sheet
 or the inventor’s oath or declaration, or in a provisional application filed
 without a cover sheet as prescribed by § 1.51(c)(1) , the name
 and residence 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.
 

 (e) The inventorship of an international application
 entering the national stage under 35 U.S.C. 371 is the
 inventor or joint inventors set forth in the application data sheet in
 accordance with § 1.76 filed with the
 initial submission under 35 U.S.C. 371 . Unless
 the initial submission under 35 U.S.C. 371 is
 accompanied by an application data sheet in accordance with
 §
 1.76 setting forth the inventor or joint inventors,
 the inventorship is the inventor or joint inventors set forth in the
 international application, which includes any change effected under
 PCT
 Rule 92bis. 

 (f) The inventorship of an international design
 application designating the United States is the creator or creators set
 forth in the publication of the international registration under Hague
 Agreement Article 10(3). Any correction of inventorship must be pursuant to
 §
 1.48 .
 

 
 

 An application must include, or be amended to include,
 the name of the inventor for any invention claimed in the application (the
 inventorship). See 35 U.S.C. 115(a) and
 37 CFR
 1.41(a) . 
 

 As provided in 37 CFR 1.41(b) , the applicant may
 name the inventorship of a nonprovisional application under 35 U.S.C.
 111(a) in the application data sheet in accordance with
 37 CFR
 1.76 or in the inventor’s oath or declaration. The inventorship
 of a nonprovisional application under 35 U.S.C. 111(a) is the inventor
 or joint inventors set forth in the application data sheet in accordance with
 37 CFR
 1.76 filed before or concurrently with the inventor’s oath or
 declaration. An application data sheet must be signed to comply with
 37 CFR
 1.76 . An unsigned application data sheet is treated as only a
 transmittal letter. See 37 CFR 1.76(e) . If an application
 data sheet is not filed before or concurrently with the inventor’s oath or
 declaration, the inventorship is the inventor or joint inventors set forth in the
 inventor’s oath or declaration except as provided in 37 CFR
 1.53(d)(4) (continued prosecution applications for designs) and
 37 CFR
 1.63(d) (continuing applications). Once an application data
 sheet or the inventor’s oath or declaration is filed in a nonprovisional application,
 any correction of inventorship must be pursuant to 37 CFR 1.48(a) .
 If neither an application data sheet nor inventor’s oath or declaration is filed
 during the pendency of a nonprovisional application, the inventorship is the inventor
 or joint inventors set forth in the application papers filed pursuant to
 37 CFR
 1.53(b) , unless the applicant files a paper, including the
 processing fee set forth in 37 CFR 1.17(i) , supplying the
 name or names of the inventor or joint inventors.
 

 Applicants who wish to take advantage of the ability to
 name the inventors in an application data sheet rather than the inventor’s oath or
 declaration should take care to ensure that an application data sheet under
 37 CFR
 1.76 that is signed in compliance with 37 CFR
 1.33(b) is present on filing, or at least prior to the filing
 of any inventor’s oath or declaration in the application. If an inventor’s oath or
 declaration is filed in the application prior to the filing of an application data
 sheet under 37
 CFR 1.76 that is signed in compliance with 37 CFR
 1.33(b) , the inventorship named in the inventor’s oath or
 declaration controls. For example, if an inventor’s oath or declaration naming only
 inventor “A” is present on filing without an accompanying application data sheet, and
 a signed application data sheet is filed naming inventors “A” and “B” is subsequently
 filed in the application, the application will be treated as naming only inventor “A”
 (the inventor provided in the inventor’s oath or declaration) until the inventorship
 is corrected under 37 CFR 1.48(a) . 
 

 As provided in 37 CFR 1.41(c) , the inventorship
 of a provisional application is the inventor or joint inventors set forth in the
 cover sheet as prescribed by 37 CFR 1.51(c)(1) . Once a cover
 sheet as prescribed by 37 CFR 1.51(c)(1) is filed in a
 provisional application, any correction of inventorship must be pursuant to
 37 CFR
 1.48 . If a cover sheet as prescribed by 37 CFR
 1.51(c)(1) is not filed during the pendency of a provisional
 application, the inventorship is the inventor or joint inventors set forth in the
 application papers filed pursuant to 37 CFR 1.53(c) , unless the
 applicant files a paper including the processing fee set forth in 37 CFR
 1.17(q) , supplying the name or names of the inventor or joint
 inventors. 
 

 37 CFR
 1.41(d) provides that in either a nonprovisional application
 under 35 U.S.C.
 111(a) filed without an application data sheet or the
 inventor’s oath or declaration, or in a provisional application filed without a cover
 sheet as prescribed by 37 CFR 1.51(c)(1) , the name and
 residence of each person believed to be an actual inventor should be provided when
 the application papers filed pursuant to 37 CFR 1.53(b) or (c) are filed.
 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 dependent.
 

 37 CFR
 1.41(e) provides that the inventorship of an international
 application entering the national stage under 35 U.S.C. 371 is the inventor or
 joint inventors set forth in the application data sheet in accordance with
 37 CFR
 1.76 filed with the initial submission under 35 U.S.C. 371 .
 Thus, the applicant in an international application may change inventorship as to the
 U.S. at the time of national stage entry by simply filing an application data sheet
 in accordance with 37 CFR 1.76 with the initial
 submission under 35
 U.S.C. 371 naming the inventor or joint inventors. Unless the
 initial submission under 35 U.S.C. 371 is accompanied by
 an application data sheet in accordance with 37 CFR 1.76 setting forth the
 inventor or joint inventors, the inventorship is the inventor or joint inventors set
 forth in the international application, which includes any change effected under
 PCT Rule 92bis
 . 37 CFR 1.41(e) does not provide
 the ability to name the inventor or joint inventors via the inventor’s oath or
 declaration even when an application data sheet in accordance with 37 CFR 1.76 
 is not provided. 
 

 37 CFR
 1.41(f) was added to set forth the inventorship in an
 international design application designating the United States. Specifically, the
 inventorship of an international design application designating the United States is
 the creator or creators set forth in the publication of the international
 registration under Hague Agreement Article 10(3). 37 CFR
 1.41(f) further provides that any correction of inventorship
 must be pursuant to 37 CFR 1.48 .
 

 II. NAMING INVENTORSHIP IN AN APPLICATION FILED BEFORE SEPTEMBER 16, 2012 [Editor Note: See subsection I., above, for naming inventorship 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.
 

 
 

 Pre-AIA 37 CFR
 1.41(a)(1) 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) . 
 

 For applications filed prior to September 16, 2012,
 where the first-filed executed oath or declaration sets forth an inventive entity
 which is different from the inventive entity initially set forth at the time of
 filing of the application, the actual inventorship of the application will be taken
 from the executed oath or declaration. See Pre-AIA 37 CFR 1.41(a)(1) . 
 

 As provided in pre-AIA 37 CFR 1.41(a)(2) , the
 inventorship of a provisional application is the inventor or joint inventors set
 forth in the cover sheet as prescribed by 37 CFR 1.51(c)(1) . 
 

 See MPEP §§
 602.08(b) and 605.02 for additional information.
 

 III. CORRECTION OF INVENTORSHIP For correction of inventorship, see
 MPEP §
 602.01(c) et seq. Note that requests to correct the inventorship under
 37 CFR
 1.48 filed on or after September 16, 2012 (regardless of the
 application filing date) are treated by OPAP. If the request is granted, OPAP will
 correct the Office records and send a corrected filing receipt.
 

 
 602.01(a) Inventor’s Oath or Declaration in Application
 Filed On or After September 16, 2012 [R-07.2022]
 

 [Editor Note: See MPEP § 602.01(b) for information
 pertaining to an inventor's oath or declaration in applications filed before
 September 16, 2012.] 

 
 35 U.S.C. 115 
 Inventor’s oath or declaration. 

 
 (a) NAMING THE INVENTOR; INVENTOR’S OATH OR
 DECLARATION.—An application for patent that is filed under section
 111(a) or commences the national stage under
 section
 371 shall include, or be amended to include, the name
 of the inventor for any invention claimed in the application. Except as
 otherwise provided in this section, each individual who is the inventor or a
 joint inventor of a claimed invention in an application for patent shall
 execute an oath or declaration in connection with the application. 
 

 (b) REQUIRED STATEMENTS.—An oath or declaration
 under subsection (a) shall contain statements that— 
 
 (1) the application was made or was
 authorized to be made by the affiant or declarant; and 
 

 (2) such individual believes himself or
 herself to be the original inventor or an original joint inventor of a
 claimed invention in the application. 
 

 
 

 (c) ADDITIONAL REQUIREMENTS.—The Director may
 specify additional information relating to the inventor and the invention
 that is required to be included in an oath or declaration under subsection
 (a). 
 

 (d) SUBSTITUTE STATEMENT.—
 
 (1) IN GENERAL.—In lieu of executing an oath
 or declaration under subsection (a), the applicant for patent may
 provide a substitute statement under the circumstances described in
 paragraph (2) and such additional circumstances that the Director may
 specify by regulation.
 

 (2) PERMITTED CIRCUMSTANCES.—A substitute
 statement under paragraph (1) is permitted with respect to any
 individual who—
 
 (A) is unable to file the oath or
 declaration under subsection (a) because the individual— 
 
 (i) is deceased;

 (ii) is under legal incapacity;
 or
 

 (iii) cannot be found or reached
 after diligent effort; or 
 

 
 

 
 
 (B) is under an obligation to assign
 the invention but has refused to make the oath or declaration
 required under subsection (a).
 

 
 

 (3) CONTENTS.—A substitute statement under
 this subsection shall— 
 
 (A) identify the individual with
 respect to whom the statement applies;
 

 (B) set forth the circumstances
 representing the permitted basis for the filing of the
 substitute statement in lieu of the oath or declaration under
 subsection (a); and 
 

 (C) contain any additional
 information, including any showing, required by the
 Director.
 

 
 

 
 

 (e) MAKING REQUIRED STATEMENTS IN ASSIGNMENT OF
 RECORD.—An individual who is under an obligation of assignment of an
 application for patent may include the required statements under subsections
 (b) and (c) in the assignment executed by the individual, in lieu of filing
 such statements separately.
 

 (f) TIME FOR FILING.—The applicant for patent
 shall provide each required oath or declaration under subsection (a),
 substitute statement under subsection (d), or recorded assignment meeting
 the requirements of subsection (e) no later than the date on which the issue
 fee for the patent is paid.
 

 (g) EARLIER-FILED APPLICATION CONTAINING REQUIRED
 STATEMENTS OR SUBSTITUTE STATEMENT.—
 
 (1) EXCEPTION.—The requirements under this
 section shall not apply to an individual with respect to an
 application for patent in which the individual is named as the
 inventor or a joint inventor and that claims the benefit under
 section 120 ,
 121 ,
 365(c) , or 386(c) of the filing of an earlier-filed
 application, if—
 
 (A) an oath or declaration meeting the
 requirements of subsection (a) was executed by the individual
 and was filed in connection with the earlier-filed
 application;
 

 (B) a substitute statement meeting the
 requirements of subsection (d) was filed in connection with the
 earlier filed application with respect to the individual; or
 

 (C) an assignment meeting the
 requirements of subsection (e) was executed with respect to the
 earlier-filed application by the individual and was recorded in
 connection with the earlier-filed application. 
 

 
 

 (2) COPIES OF OATHS, DECLARATIONS,
 STATEMENTS, OR ASSIGNMENTS.—Notwithstanding paragraph (1), the
 Director may require that a copy of the executed oath or declaration,
 the substitute statement, or the assignment filed in connection with
 the earlier-filed application be included in the later-filed
 application. 
 

 
 

 (h) SUPPLEMENTAL AND CORRECTED STATEMENTS; FILING
 ADDITIONAL STATEMENTS.— 
 
 (1) IN GENERAL.—Any person making a
 statement required under this section may withdraw, replace, or
 otherwise correct the statement at any time. If a change is made in
 the naming of the inventor requiring the filing of 1 or more
 additional statements under this section, the Director shall establish
 regulations under which such additional statements may be filed.
 

 (2) SUPPLEMENTAL STATEMENTS NOT REQUIRED.—If
 an individual has executed an oath or declaration meeting the
 requirements of subsection (a) or an assignment meeting the
 requirements of subsection (e) with respect to an application for
 patent, the Director may not thereafter require that individual to
 make any additional oath, declaration, or other statement equivalent
 to those required by this section in connection with the application
 for patent or any patent issuing thereon.
 

 (3) SAVINGS CLAUSE.—A patent shall not be
 invalid or unenforceable based upon the failure to comply with a
 requirement under this section if the failure is remedied as provided
 under paragraph (1).
 

 
 

 (i) ACKNOWLEDGMENT OF PENALTIES.—Any declaration or
 statement filed pursuant to this section shall contain an acknowledgment
 that any willful false statement made in such declaration or statement is
 punishable under section 1001 of title 18 
 by fine or imprisonment of not more than 5 years, or both.
 

 
 

 
 37 CFR 1.63 Inventor's oath or declaration. 

 
 (a) The inventor, or each individual who is a
 joint inventor of a claimed invention, in an application for patent must
 execute an oath or declaration directed to the application, except as
 provided for in § 1.64 . An oath or
 declaration under this section must:
 
 (1) Identify the inventor or joint inventor
 executing the oath or declaration by his or her legal name;
 

 (2) Identify the application to which it is
 directed;
 

 (3) Include a statement that the person
 executing the oath or declaration believes the named inventor or joint
 inventor to be the original inventor or an original joint inventor of
 a claimed invention in the application for which the oath or
 declaration is being submitted; and
 

 (4) State that the application was made or
 was authorized to be made by the person executing the oath or
 declaration.
 

 
 

 (b) Unless the following information is supplied
 in an application data sheet in accordance with §
 1.76 , the oath or declaration must also identify:
 
 (1) Each inventor by his or her legal name;
 and
 

 (2) A mailing address where the inventor
 customarily receives mail, and residence, if an inventor lives at a
 location which is different from where the inventor customarily
 receives mail, for each inventor.
 

 
 

 (c) A person may not execute an oath or declaration
 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 . There is no
 minimum age for a person to be qualified to execute an oath or declaration,
 but the person must be competent to execute, i.e., understand, the document
 that the person is executing.
 

 (d) 
 
 (1) A newly executed oath or declaration
 under § 1.63 , or
 substitute statement under § 1.64 , is not
 required under §§ 1.51(b)(2) and
 1.53(f) , or under
 §§ 1.497 and
 1.1021(d) , for an
 inventor in a continuing application that claims the benefit under
 35 U.S.C. 120 ,
 121 ,
 365(c) , or 386(c) in compliance with §
 1.78 of an earlier-filed application, provided
 that an oath or declaration in compliance with this section, or
 substitute statement under § 1.64 , was
 executed by or with respect to such inventor and was filed in the
 earlier-filed application, and a copy of such oath, declaration, or
 substitute statement showing the signature or an indication thereon
 that it was executed, is submitted in the continuing application.
 

 (2) The inventorship of a continuing
 application filed under 35 U.S.C. 111(a) 
 is the inventor or joint inventors specified in the application data
 sheet filed before or concurrently with the copy of the inventor's
 oath or declaration from the earlier-filed application. If an
 application data sheet is not filed before or concurrently with the
 copy of the inventor's oath or declaration from the earlier-filed
 application, the inventorship is the inventorship set forth in the
 copy of the inventor's oath or declaration from the earlier-filed
 application, unless it is accompanied by a statement signed pursuant
 to § 1.33(b) stating
 the name of each inventor in the continuing application.
 

 (3) Any new joint inventor named in the
 continuing application must provide an oath or declaration in
 compliance with this section, except as provided for in
 § 1.64 .
 

 
 

 (e) 
 
 (1) An assignment may also serve as an oath
 or declaration required by this section if the assignment as
 executed:
 
 (i) Includes the information and
 statements required under paragraphs (a) and (b) of this
 section; and
 

 (ii) A copy of the assignment is
 recorded as provided for in part 3 of this chapter.
 

 
 

 (2) Any reference to an oath or declaration
 under this section includes an assignment as provided for in this
 paragraph.
 

 
 

 (f) With respect to an application naming only one
 inventor, any reference to the inventor's oath or declaration in this
 chapter includes a substitute statement executed under §
 1.64 . With respect to an application naming more than
 one inventor, any reference to the inventor's oath or declaration in this
 chapter means the oaths, declarations, or substitute statements that have
 been collectively executed by or with respect to all of the joint inventors,
 unless otherwise clear from the context.
 

 (g) An oath or declaration under this section,
 including the statement provided for in paragraph (e) of this section, must
 be executed (i.e., signed) in accordance either with §
 1.66 or with an acknowledgment that any willful false
 statement made in such declaration or statement is punishable under
 18
 U.S.C. 1001 by fine or imprisonment of not more than
 five (5) years, or both.
 

 (h) An oath or declaration filed at any time
 pursuant to 35 U.S.C. 115(h)(1) will
 be placed in the file record of the application or patent, but may not
 necessarily be reviewed by the Office. Any request for correction of the
 named inventorship must comply with § 1.48 in an application
 and §
 1.324 in a patent.
 

 
 
 I. IDENTITY OF INVENTOR(S), APPLICATION, AND REQUIRED STATEMENTS The inventor, or each individual who is a joint
 inventor of a claimed invention, in an application for patent (other than a
 provisional application) must execute an oath or declaration directed to the
 application, except as provided for in 37 CFR 1.64 . See
 37 CFR
 1.63(a) and 35 U.S.C. 115 . An oath or
 declaration must: (1) identify the inventor or joint inventor executing the oath
 or declaration by their legal name; (2) identify the application to which it is
 directed; (3) include a statement the person executing the oath or declaration
 believes the named inventor or joint inventors to be the original inventor or an
 original joint inventor of a claimed invention in the application for which the
 oath or declaration is being submitted; and (4) state that the application was
 made or authorized to be made by the person executing the oath or declaration.
 Items (3) and (4) above are requirements of 35 U.S.C. 115(a) and
 (b) . 
 

 A. Inventor Name And Mailing Address The requirements that an oath or declaration must
 identify the inventor or joint inventor executing the oath or declaration by
 their legal name and identify the application to which it is directed are
 necessary for the Office to ensure compliance with the requirement of
 35 U.S.C. 115(a) . Specifically, 35 U.S.C.
 115(a) requires that each individual who is the inventor
 or a joint inventor of a claimed invention in an application for patent has
 executed an oath or declaration in connection with the application (except as
 provided for in 35 U.S.C. 115 ). See
 MPEP § 602.08(b) for additional information
 pertaining to inventor names.
 

 Unless such information is supplied in an
 application data sheet in accordance with 37 CFR
 1.76 , the oath or declaration must also identify: (1)
 each inventor by their legal name; (2) a mailing address where the inventor or
 each joint inventor customarily receives mail; and (3) a residence for each
 inventor or joint inventor who lives at a location which is different from
 where the inventor or joint inventor customarily receives mail. See
 37 CFR
 1.63(b) . 
 

 For nonprovisional international design
 applications, 37 CFR 1.1021(d)(3) 
 provides that the requirement in 37 CFR 1.63(b) to identify
 each inventor by their legal name, mailing address, and residence, if an
 inventor lives at a location which is different from the mailing address, will
 be considered satisfied by the presentation of such information in the
 international design application prior to international registration.
 

 See also MPEP §
 602.08(a) for additional details regarding inventor
 bibliographic information. 
 

 If applicant files an application data sheet
 (ADS) that identifies each inventor by their legal name, in accordance with
 37 CFR
 1.76 , the applicant is not required to name each inventor
 in a single oath or declaration. This permits each joint inventor to execute an
 oath or declaration stating only that the joint inventor executing the oath or
 declaration is an original joint inventor of the claimed invention in the
 application for which the oath or declaration is being submitted. To be in
 accordance with 37 CFR 1.76 , the
 application data sheet must be signed in compliance with 37 CFR
 1.33(b) . An unsigned application data sheet will be
 treated only as a transmittal letter.
 

 B. Identification Of Application See MPEP §
 602.08(c) for the minimum information necessary to
 identify the application to which an oath or declaration under
 37 CFR
 1.63 is directed.
 

 C. Required Statements An oath or declaration under 37 CFR
 1.63 in an application filed on or after September 16,
 2012 is no longer required to contain the “reviewed and understands” clause and
 “duty to disclose” clause of pre-AIA 37 CFR 1.63(b)(2) and
 (b)(3) . However, 37 CFR 1.63 still requires
 that a person executing an oath or declaration review and understand the
 contents of the application, and be aware of the duty to disclose under
 37 CFR
 1.56 . See 37 CFR 1.63(c) . There is no
 minimum age for a person to be qualified to execute an oath or declaration, but
 the person must be competent to execute (i.e., understand) the document that
 the person is executing.
 

 II. ASSIGNMENT-STATEMENT AS OATH OR DECLARATION 37 CFR
 1.63(e) implements the provisions of 35 U.S.C.
 115(e) . An assignment may also serve as an oath or
 declaration required by 37 CFR 1.63 if the assignment:
 (1) includes the information and statements required under 37 CFR 1.63(a) and
 (b) ; and (2) a copy of the assignment is recorded as
 provided for in 37 CFR part 3. The assignment, including the information and
 statements required under 37 CFR 1.63(a) and (b) , must
 be executed by the individual who is under the obligation of assignment. Any
 reference to an oath or declaration includes an assignment as provided for in
 37 CFR
 1.63(e) . 
 

 Applicants should be mindful that 37 CFR
 3.31 requires a conspicuous indication, such as by use of a
 check-box on the assignment cover sheet, to alert the Office that an assignment
 submitted with an application is being submitted for a dual purpose: recording in
 the assignment database, such as to support a power of attorney, and for use in
 the application as the inventor’s oath or declaration. Assignments cannot be
 recorded unless an application number is provided against which the assignment is
 to be recorded. When filing an application on paper, if an assignment is submitted
 for recording along with the application, the assignment is separated from the
 paper application after the application is assigned an application number and is
 forwarded to the Assignment Recordation Branch for recording in its database. The
 assignment does not become part of the application file. If the applicant
 indicates that an assignment-statement is also an oath or declaration, the Office
 will scan the assignment into the Image File Wrapper (IFW) file for the
 application before forwarding it to the Assignment Recordation Branch. 
 

 For USPTO patent electronic filing system filing of
 application papers, the USPTO patent electronic filing system does not accept
 assignments for recording purposes when filing an application. Assignments
 submitted via the USPTO patent electronic filing system will be made of record in
 the application, and will not be forwarded to the Assignment Recordation Branch
 for recordation by the Office. Recording of assignments may only be done
 electronically in EPAS (Electronic Patent Assignment System). If an applicant
 files the assignment-statement for recording via EPAS and utilizes the check-box,
 the Office will place a copy of the assignment-statement in the application file.
 
 

 III. EXECUTION OF INVENTOR’S OATH OR DECLARATION With respect to an application naming more than one
 inventor, any reference to the inventor’s oath or declaration in 37 CFR chapter I
 means the oaths, declarations, or substitute statements that have been
 collectively executed by or with respect to all of the joint inventors, unless it
 is otherwise clear from the context. Thus, any requirement in 37 CFR chapter I for
 the inventor’s oath or declaration with respect to an application naming more than
 one inventor is met if an oath or declaration under 37 CFR
 1.63 , an assignment-statement under 37 CFR
 1.63(e) , or a substitute statement under 37 CFR
 1.64 executed by or with respect to each joint inventor is
 filed. See 37 CFR 1.63(f) .
 

 An oath or declaration under 37 CFR
 1.63 , including the assignment-statement provided for in
 37 CFR
 1.63(e) , must be executed (i.e., signed) in accordance
 either with 37 CFR 1.66 , or with an acknowledgement that any willful
 false statement made in such declaration or statement is punishable under
 18 U.S.C.
 1001 by fine or imprisonment of not more than five (5)
 years, or both. See 37 CFR 1.63(g) and
 35
 U.S.C. 115(i) . The inventor’s oath or declaration must be
 executed (i.e., signed) by the inventor or the joint inventors, unless the
 inventor’s oath or declaration is a substitute statement under 37 CFR
 1.64 , which must be signed by the applicant, or an
 assignment-statement under 37 CFR 1.63(e) , which must be
 signed by the inventor who is under the obligation of assignment of the patent
 application.
 

 See MPEP §
 602.08(b) for additional information regarding the
 execution of the inventor’s oath or declaration.
 

 See 35 U.S.C. 115(g) ,
 37 CFR
 1.63(d) and MPEP §
 602.05(a) regarding the use of copies of inventor’s
 oaths or declarations in continuing applications. 
 

 35
 U.S.C. 115(h)(1) provides that any person making a statement
 under this section may at any time “withdraw, replace, or otherwise correct the
 statement at any time.” 37 CFR 1.63(h) provides that
 an oath or declaration filed at any time pursuant to 35 U.S.C.
 115(h)(1) will be placed in the file record of the
 application or patent, but may not necessarily be reviewed by the Office. 
 

 IV. FORMS Forms PTO/AIA/01 through PTO/AIA/11 may be used when
 submitting the inventor’s oath or declaration in an application filed on or after
 September 16, 2012. These forms and an "AIA Inventor's Oath or Declaration Quick
 Reference Guide" are available on the USPTO website at www.uspto.gov/PatentForms . 
 

 

 
 602.01(b) Inventor’s Oath or Declaration in Application
 Filed Before September 16, 2012 [R-07.2022]
 

 [Editor Note: See MPEP § 602.01(a) for information
 pertaining to an inventor’s oath or declaration in applications filed on or after
 September 16, 2012.] 

 
 35 U.S.C. 115 
 (pre-AIA) Oath of applicant. 

 The applicant shall make oath that he believes
 himself to be the original and first inventor of the process, machine,
 manufacture, or composition of matter, or improvement thereof, for which he
 solicits a patent; and shall state of what country he is a citizen. Such oath may
 be made before any person within the United States authorized by law to administer
 oaths, or, when made in a foreign country, before any diplomatic or consular
 officer of the United States authorized to administer oaths, or before any officer
 having an official seal and authorized to administer oaths in the foreign country
 in which the applicant may be, whose authority is proved by certificate of a
 diplomatic or consular officer of the United States, or apostille of an official
 designated by a foreign country which, by treaty or convention, accords like
 effect to apostilles of designated officials in the United States. Such oath is
 valid if it complies with the laws of the state or country where made. When the
 application is made as provided in this title by a person other than the inventor,
 the oath may be so varied in form that it can be made by him. For purposes of this
 section, a consular officer shall include any United States citizen serving
 overseas, authorized to perform notarial functions pursuant to section 1750 of the
 Revised Statutes, as amended (22 U.S.C. 4221).
 

 

 
 37 CFR 1.63 (pre-AIA) Oath or declaration. 

 
 (a) An oath or declaration filed under
 §
 1.51(b)(2) as a part of a nonprovisional application
 must:
 
 (1) Be executed, i.e., signed, in accordance
 with either § 1.66 or
 §
 1.68 . There is no minimum age for a person to be
 qualified to sign, but the person must be competent to sign, i.e.,
 understand the document that the person is signing;
 

 (2) Identify each inventor by full name,
 including the family name, and at least one given name without
 abbreviation together with any other given name or initial;
 

 (3) Identify the country of citizenship of
 each inventor; and
 

 (4) State that the person making the oath or
 declaration believes the named inventor or inventors to be the
 original and first inventor or inventors of the subject matter which
 is claimed and for which a patent is sought.
 

 
 

 (b) In addition to meeting the requirements of
 paragraph (a) of this section, the oath or declaration must also:
 
 (1) Identify the application to which it is
 directed;
 

 (2) State that the person making the oath or
 declaration has reviewed and understands the contents of the
 application, including the claims, as amended by any amendment
 specifically referred to in the oath or declaration; and
 

 (3) State that the person making the oath or
 declaration acknowledges the duty to disclose to the Office all
 information known to the person to be material to patentability as
 defined in § 1.56 .
 

 
 

 (c) Unless such information is supplied on an
 application data sheet in accordance with §
 1.76 , the oath or declaration must also identify:
 
 (1) The mailing address, and the residence if
 an inventor lives at a location which is different from where the
 inventor customarily receives mail, of each inventor; and
 

 (2) Any foreign application for patent (or
 inventor’s certificate) for which a claim for priority is made
 pursuant to § 1.55 , and any
 foreign application having a filing date before that of the
 application on which priority is claimed, by specifying the
 application number, country, day, month, and year of its filing.
 

 
 

 (d)
 
 (1) A newly executed oath or declaration is
 not required under § 1.51(b)(2) and
 §
 1.53(f) in a continuation or divisional
 application, provided that:
 
 (i) The prior nonprovisional
 application contained an oath or declaration as prescribed by
 paragraphs (a) through (c) of this section;
 

 (ii) The continuation or divisional
 application was filed by all or by fewer than all of the
 inventors named in the prior application;
 

 (iii) The specification and drawings
 filed in the continuation or divisional application contain no
 matter that would have been new matter in the prior application;
 and
 

 (iv) A copy of the executed oath or
 declaration filed in the prior application, showing the
 signature or an indication thereon that it was signed, is
 submitted for the continuation or divisional application.
 

 
 

 (2) The copy of the executed oath or
 declaration submitted under this paragraph for a continuation or
 divisional application must be accompanied by a statement requesting
 the deletion of the name or names of the person or persons who are not
 inventors in the continuation or divisional application.
 

 (3) Where the executed oath or declaration
 of which a copy is submitted for a continuation or divisional
 application was originally filed in a prior application accorded
 status under § 1.47 , the copy
 of the executed oath or declaration for such prior application must be
 accompanied by:
 
 (i) A copy of the decision granting a
 petition to accord § 1.47 
 status to the prior application, unless all inventors or legal
 representatives have filed an oath or declaration to join in an
 application accorded status under §
 1.47 of which the continuation or
 divisional application claims a benefit under 35 U.S.C.
 120 , 121 , or
 365(c) ;
 and
 

 (ii) If one or more inventor(s) or legal
 representative(s) who refused to join in the prior application
 or could not be found or reached has subsequently joined in the
 prior application or another application of which the
 continuation or divisional application claims a benefit under
 35 U.S.C.
 120 , 121 , or
 365(c) , a
 copy of the subsequently executed oath(s) or declaration(s)
 filed by the inventor or legal representative to join in the
 application.
 

 
 

 (4) Where the power of attorney or
 correspondence address was changed during the prosecution of the prior
 application, the change in power of attorney or correspondence address
 must be identified in the continuation or divisional application.
 Otherwise, the Office may not recognize in the continuation or
 divisional application the change of power of attorney or
 correspondence address during the prosecution of the prior
 application.
 

 (5) A newly executed oath or declaration must
 be filed in a continuation or divisional application naming an
 inventor not named in the prior application.
 

 
 

 (e) A newly executed oath or declaration must be
 filed in any continuation-in-part application, which application may name
 all, more, or fewer than all of the inventors named in the prior
 application.
 

 
 

 The inventor, or each individual who is a joint
 inventor of a claimed invention, in an application for patent (other than a
 provisional application) must execute an oath or declaration directed to the
 application, except as provided for in pre-AIA 37 CFR 1.64 . See
 pre-AIA 37 CFR
 1.63(a) and pre-AIA 35 U.S.C. 115 . When joint
 inventors execute separate oaths or declarations, each oath or declaration should
 make reference to the fact that the affiant or declarant is a joint inventor together
 with each of the other inventors indicating them by name. This may be done by stating
 that the affiant or declarant does verily believe that the affiant or declarant is
 the original, first and joint inventor together with “A” or “A & B, etc.” as the
 facts may be.
 

 Pre-AIA 37 CFR
 1.63(a) and (b) set forth the basic requirements for an oath or
 declaration in an application filed before September 16, 2012. 
 

 See MPEP § 602.08 et seq. for details specific to the required inventor
 bibliographic information, signature, and name, and to the identification of the
 application to which the oath or declaration applies.
 

 Unless included in an application data sheet, oaths and
 declarations must make reference to any foreign application for patent (or inventor’s
 certificate) for which priority is claimed and any foreign application filed prior to
 the filing date of an application on which priority is claimed. See pre-AIA 37 CFR
 1.63(c)(2) .
 

 The applicant is required to recite all foreign
 applications filed prior to the application on which priority is claimed. It is
 required to give the foreign application number and name of the country or office in
 which filed, as well as the filing date of each foreign application to which priority
 is claimed.
 

 See MPEP §
 602.03 for information pertaining to defective oaths or
 declarations.
 

 Forms PTO/SB/01 through PTO/SB/04 may be used when
 submitting the inventor’s oath or declaration in an application filed before
 September 16, 2012, which are available on the USPTO website at www.uspto.gov/patents/apply/forms/forms . 
 

 

 
 602.01(c) Correction of Inventorship, Name of Inventor, and Order of
 Names in an Application [R-07.2022]
 
 I. NAMING INVENTORSHIP The Office will issue a filing receipt listing the
 inventors identified at the time of filing of the application even if the
 application was filed without an executed oath or declaration. See
 MPEP § 602.01 for information specific to naming
 inventorship. Correction of inventorship may be requested under 37 CFR 1.48 
 or may be obtained by filing a continuing application under 37 CFR
 1.53 . 
 

 See MPEP § 601.01(a) , subsection II
 for information regarding completion of an nonprovisional application subsequent
 to the filing date pursuant to 37 CFR 1.53(f) (e.g., because
 the inventor’s oath or declaration was not present on filing date). See
 MPEP §
 601.01(b) for information regarding completion of a
 provisional application subsequent to the filing date. 
 

 II. REQUESTS FOR CORRECTION OF INVENTORSHIP UNDER 37 CFR 1.48 Correction of inventorship in an application is
 permitted by amendment under 35 U.S.C. 116 , which is
 implemented by 37 CFR 1.48 . 
 

 For requests for correction of inventorship filed
 under 37 CFR
 1.48(a) or (d) on or after September 16, 2012 (without
 regard to the filing date of the application), see MPEP §
 602.01(c)(1) .
 

 For requests filed on or after September 16, 2012,
 under 37 CFR
 1.48(f) to correct or update inventor names, or to change
 the order of inventor names, see MPEP §
 602.01(c)(2) . Note that requests under 37 CFR 1.48 
 filed on or after September 16, 2012 will be handled by the Office of Patent
 Application Processing (OPAP). 
 

 For requests for correction of inventorship filed
 before September 16, 2012 (without regard to the filing date of the application),
 see MPEP §
 602.01(c)(3) in Revision 08.2017 of the Ninth Edition of
 the MPEP, published in January 2018. 
 

 For additional information pertaining to correction
 of inventorship in applications that name joint inventors, see
 MPEP
 § 602.09 .
 

 37 CFR
 1.48 does not apply to reissue applications as is noted in
 its title, whether correcting an inventorship error in the patent to be reissued
 or in the reissue application itself. Where an error in inventorship in a patent
 is to be corrected via a reissue application, see 37 CFR
 1.171 - 37 CFR 1.175 and
 MPEP §
 1412.04 . Where such an error is to be corrected via a
 certificate of correction under 37 CFR 1.324 , see
 MPEP §
 1481 . See 37 CFR 1.48(i) for correction
 of inventorship in interferences and contested cases before the Patent Trial and
 Appeal Board.
 

 Although 37 CFR 1.48 does not contain a
 diligence requirement for filing the request, once an inventorship error is
 discovered, timeliness requirements under 37 CFR 1.116 and
 37 CFR
 1.312 apply. 
 

 A request under 37 CFR 1.48 will not be
 required:
 

 (A)Where an application is to issue with the correct
 inventorship based on the allowed claims even though the application may have been
 filed with an incorrect inventorship based on the claims as originally submitted;
 and
 

 (B)Where a court has issued an order under
 35 U.S.C.
 256 for correction of the inventorship of a patent. Such
 request should be submitted directly to the Certificate of Correction Division
 along with form PTO/SB/44 (see MPEP § 1485 ). 
 

 III. CORRECTION OF INVENTORSHIP BY FILING CONTINUING APPLICATION Correction of inventorship may also be obtained by
 the filing of a continuing application under 37 CFR 1.53 without the need
 for filing a request under 37 CFR 1.48 , although it
 should be noted that the requirements for a request under 37 CFR 1.48 
 filed on or after September 16, 2012 are minimal.
 

 35 U.S.C.
 120 permits a continuing application to claim the benefit of
 the filing date of a copending, previously filed, parent application provided
 there is inventorship overlap between the continuing application and the parent
 application. If the inventive entity of a continuing application includes an
 inventor named in the parent application, the inventorship overlap required by
 35 U.S.C.
 120 is met. However, refiling to change inventorship could
 result in the loss of a benefit claim if there is no overlap in inventorship
 between the two applications. 
 

 
 Example:

 The parent application names inventors A and B
 and claims inventions 1 and 2. Inventor A contributes only to invention 1 and
 inventor B contributes only to invention 2. A restriction requirement was made
 and invention 1 was elected. Upon allowance of claims directed to invention 1
 and cancellation of claims directed to invention 2, a request under
 37 CFR
 1.48(a) was filed requesting deletion of inventor B. The
 request under 37 CFR 1.48(a) was granted by OPAP. Prior to issuance of
 the parent application, a divisional application claiming benefit under
 35
 U.S.C. 120 to the parent application is filed claiming
 only invention 2 and naming only inventor B. The inventorship overlap required
 by 35
 U.S.C. 120 is met in this instance even though at the
 time of filing of the divisional application the inventorship overlap was lost
 as a result of the deletion of an inventor in the parent application. The
 overlap of inventorship need not be present on the date the continuing
 application is filed nor present when the parent application issues or becomes
 abandoned. 
 

 

 Note that a correction of inventorship may result in
 the loss of power of attorney. For applications filed on or after September 16,
 2012, 37 CFR 1.32(e) provides that if the power of attorney was
 granted by the originally named inventive entity, and an added inventor pursuant
 to 37 CFR
 1.48 does not provide a power of attorney consistent with
 the power of attorney granted by the originally named inventive entity, the
 addition of the inventor results in the loss of that power of attorney upon grant
 of the 37 CFR
 1.48 request. This provision does not preclude a
 practitioner from acting in a representative capacity pursuant to
 37 CFR
 1.34 , if applicable.
 

 For applications filed on or after September 16,
 2012, the inventorship in the continuing application is the inventor or joint
 inventors specified in the ADS filed before or with the copy of the inventor’s
 oath or declaration from the earlier-filed application. If an ADS is not filed
 before or with the copy of the inventor’s oath or declaration, then the
 inventorship is the inventorship in the copy of the inventor’s oath or declaration
 from the earlier-filed application, unless accompanied by a statement, signed by a
 37 CFR
 1.33(b) party, stating the name of each inventor in the
 continuing application. Any new joint inventor named in the continuing application
 must execute an inventor’s oath or declaration, except as provided for in
 37 CFR
 1.64 .
 

 
 602.01(c)(1) Correction of Inventorship in an
 Application – Request Filed On or After September 16, 2012 [R-01.2024]
 

 [Editor Note: See MPEP § 602.01(c)(3) in
 Revision 08.2017 of the Ninth Edition of the MPEP, published in January 2018
 for information about correction of inventorship for requests filed before
 September 16, 2012.] 

 
 37 CFR 1.48 Correction of inventorship pursuant to 35 U.S.C. 116 or correction of
 the name or order of names in a patent application, other than a reissue
 application. 

 
 (a) Nonprovisional application: Any request to correct or
 change the inventorship once the inventorship has been established under
 § 1.41 must include:
 
 (1) An application data sheet in accordance
 with § 1.76 that
 identifies each inventor by his or her legal name; and
 

 (2) The processing fee set forth in
 § 1.17(i) .
 

 
 

 (b) Inventor's oath or declaration for added inventor: An
 oath or declaration as required by §
 1.63 , or a substitute statement in compliance with
 § 1.64 , will be required for any actual inventor
 who has not yet executed such an oath or declaration.
 

 (c) Any request to correct or change the
 inventorship under paragraph (a) of this section filed after the Office
 action on the merits has been given or mailed in the application must
 also be accompanied by the fee set forth in §
 1.17(d) , unless the request is accompanied by a
 statement that the request to correct or change the inventorship is due
 solely to the cancelation of claims in the application.
 

 (d) Provisional application. Once a cover sheet as
 prescribed by § 1.51(c)(1) is filed
 in a provisional application, any request to correct or change the
 inventorship must include:
 
 (1) A request, signed by a party set forth in
 § 1.33(b) , to
 correct the inventorship that identifies each inventor by his or
 her legal name; and
 

 (2) The processing fee set forth in
 § 1.17(q) .
 

 
 

 (e) Additional information may be required. The
 Office may require such other information as may be deemed appropriate
 under the particular circumstances surrounding the correction of
 inventorship.
 

 
 *****

 

 Requests for correction of inventorship under
 37 CFR
 1.48 filed on or after September 16, 2012 are handled by the
 Office of Patent Application Processing (OPAP). 
 

 I. 37 CFR 1.48(a) - NONPROVISIONAL APPLICATION Under 37 CFR 1.48(a) , an
 applicant may submit a request for correction of inventorship in a
 nonprovisional patent application once the inventorship has been established.
 Note that inventorship is established upon the first submission of an
 application data sheet or inventor’s oath or declaration. See
 MPEP § 602.08(b) , subsection III, for details
 regarding naming inventorship in an application filed on or after September 16,
 2012. 
 

 A request to correct the inventorship filed under
 37 CFR
 1.48(a) should identify the inventorship change and must
 be accompanied by a signed application data sheet (ADS) including the legal
 name, residence, and mailing address of the inventor or each actual joint
 inventor (see 37 CFR 1.76(b)(1) ) and the
 processing fee set forth in 37 CFR 1.17(i) . The
 application data sheet submitted with a request under 37 CFR
 1.48(a) must identify the information being changed with
 underlining for insertions and strike-through or brackets for text removed.
 

 37 CFR
 1.48(a) enables an applicant to correct inventorship
 where an application sets forth improper inventorship as well as where the
 prosecution of an application results in the need to add or delete one or more
 inventors (e.g., due to the addition or deletion of claims or an amendment to
 the claims).
 

 II. 37 CFR 1.48(b) – INVENTOR’S OATH OR DECLARATION FOR ADDED
 INVENTOR 37 CFR
 1.48(b) provides that an oath or declaration as required
 by 37 CFR
 1.63 , or a substitute statement in compliance with
 37 CFR
 1.64 , will be required for any actual inventor who has
 not yet executed such an oath or declaration. 
 

 For applications filed on or after September 16,
 2012, the oath or declaration required by 37 CFR 1.48(b) must comply
 with 37
 CFR 1.63 in effect for applications filed on or after
 September 16, 2012. See MPEP § 602.01(a) . A substitute
 statement in compliance with 37 CFR 1.64 is only
 available for applications filed on or after September 16, 2012. See
 MPEP §
 604 for the requirements for substitute
 statements.
 

 For applications filed before September 16,
 2012, the oath or declaration required by 37 CFR 1.48(b) for an added
 inventor must comply with pre-AIA 37 CFR 1.63 which
 remains in effect for applications filed before September 16, 2012. See
 MPEP § 602.01(b) . 
 

 III. 37 CFR 1.48(c) – REQUEST FILED AFTER OFFICE ACTION ON THE MERITS 37 CFR
 1.48(c) provides that the fee set forth in
 37 CFR 1.17(d) (in addition
 to the processing fee) is required when requests under 37 CFR
 1.48 are filed after the Office action on the merits has
 been given or mailed in the application. However, the fee will not be required
 when inventors are deleted if the request to correct or change inventorship is
 accompanied by a statement that the request to correct or change the
 inventorship is due solely to the cancelation of claims in the application.
 
 

 IV. 37 CFR 1.48(d) – PROVISIONAL APPLICATION 37 CFR
 1.48(d) provides for correcting inventorship in
 provisional applications. Under 37 CFR 1.41(c) , the
 inventorship of a provisional application is the inventor or joint inventors
 set forth in the cover sheet as prescribed by 37 CFR
 1.51(c)(1) . Once a cover sheet is filed in a provisional
 application, any correction of inventorship must be pursuant to
 37 CFR
 1.48 . If a cover sheet as prescribed by 37 CFR
 1.51(c)(1) is not filed during the pendency of a
 provisional application, the inventorship is the inventor or joint inventors
 set forth in the application papers filed pursuant 37 CFR
 1.53(c) , unless the applicant files a paper, including
 the processing fee set forth in 37 CFR
 1.17(q) , supplying the name or names of the inventor or
 joint inventors.
 

 37 CFR
 1.48(d) provides a procedure for adding or deleting or
 correcting or updating the name of an inventor in a provisional application.
 37 CFR
 1.48(d) requires that the submission include: (1) a
 request, signed by a party set forth in 37 CFR 1.33(b) , to correct
 the inventorship that identifies each inventor by their legal name; and (2) the
 fee set forth in 37 CFR 1.17(q) . When an
 inventor is being added, applicants should also file a corrected application
 data sheet or a new cover sheet providing the residence of all inventors. See
 37 CFR
 1.51(c) . For provisional applications, it may not be
 necessary to correct the inventorship under 37 CFR 1.48(d) unless there
 would be no overlap of inventors upon the filing of the nonprovisional
 application with the correct inventorship. The need to correct the inventorship
 in any U.S. nonprovisional or provisional application may in part be dependent
 upon whether a foreign filing under the Paris Convention will occur subsequent
 to the U.S. filing. See MPEP § 213 . 
 

 Where an inventorship error in a provisional
 application is desired to be corrected after expiration of twelve months from
 the filing date of the provisional application, a request under
 37 CFR
 1.48(d) may still be filed with OPAP. 
 

 V. FORM TO REQUEST CORRECTION OR
 CHANGE TO INVENTORSHIP The Office has a form PTO/AIA/40 to request
 correction in a patent application (other than a reissue application) relating
 to inventorship, an inventor name, or order of names. The form is reproduced
 below and is also available on www.uspto.gov/PatentForms .
 

 

 

 

 

 
 602.01(c)(2) Correcting or Updating Inventor Name 37 CFR
 1.48(f) – Request Filed On or After September 16, 2012 [R-07.2022]
 

 [Editor Note: See MPEP § 602.01(c)(3) in
 Revision 08.2017 of the Ninth Edition of the MPEP, published in January 2018
 for a discussion of the requirements for requests to correct or update inventor
 name filed before September 16, 2012.] 

 
 37 CFR 1.48 Correction of inventorship in a patent application, other than a
 reissue application, pursuant to 35 U.S.C. 116. 

 *****

 
 (f) Correcting or updating the name of an inventor: Any
 request to correct or update the name of the inventor or a joint
 inventor, or the order of the names of joint inventors, in a
 nonprovisional application must include:
 
 (1) An application data sheet in
 accordance with § 1.76 that
 identifies each inventor by his or her legal name in the desired
 order; and
 

 (2) The processing fee set forth in
 § 1.17(i) .
 

 
 

 
 *****

 

 The change in the order of the names of inventors in
 a provisional application is not provided for since provisional applications do
 not become application publications or patents. 
 

 The procedures for correction of inventorship and
 for correction to the name of an inventor or to the order of the names of the
 inventors are not distinct. 37 CFR 1.48(f) permits an
 applicant to change or update a particular inventor’s name if their legal name has
 changed (e.g., due to marriage), or an inventor’s name contains an error (e.g.,
 typographical or transliteration mistake or the reversal of family or given names)
 and allows an applicant to adjust the order of the names of joint inventors (e.g.,
 to control the order of names on a printed patent). 37 CFR
 1.48(f) specifically provides that any request to correct or
 update the name of the inventor or a joint inventor, or the order of the names of
 joint inventors, in a nonprovisional application must include: (1) an application
 data sheet in accordance with 37 CFR 1.76 that identifies
 each inventor by their legal name in the desired order (identifying the
 information that is being changed as required by 37 CFR
 1.76(c)(2) ); and (2) the processing fee set forth in
 37 CFR 1.17(i) . In addition to the corrected application
 data sheet, the request should also identify the desired inventor name change. 
 

 See MPEP §
 602.01(c)(1) for a copy of form PTO/AIA/40 that may be
 used to correct or update in inventor’s name or change the order of names in
 applications (other than reissue applications).
 

 

 
 602.01(c)(3) [Reserved]

 

 

 

 
 602.02 New Oath or Substitute for Original [R-11.2013]

 Applicant may submit a new inventor’s oath or declaration
 to correct any deficiencies or inaccuracies present in an earlier-filed inventor’s oath
 or declaration. See 37 CFR 1.67(a) . Some deficiencies or
 inaccuracies can be corrected with an application data sheet (ADS) in accordance with
 37 CFR
 1.76 . See MPEP § 601.05 .
 

 For applications filed on or after September 16, 2012,
 joint inventors may execute separate oaths or declarations in which only the person
 executing the oath or declaration is identified if an ADS is filed that provides the
 required inventor information. If such an ADS is not filed, then each oath or
 declaration must name all of the inventors. See 37 CFR 1.63(a) and (b) . Each
 separate oath or declaration by an inventor should be complete in itself. 
 

 For applications filed before September 16, 2012, where
 neither the original oath or declaration, nor the substitute oath or declaration is
 complete in itself, but each oath or declaration names all of the inventors and the two
 taken together give all the required data, no further oath or declaration is needed.
 

 

 
 602.03 Office Finds the Inventor’s Oath or Declaration
 Defective [R-07.2022]
 

 Examiners are not required to review inventor’s oaths or
 declarations that are filed in non-reissue applications. Non-examiner staff will review
 inventor’s oaths or declarations that are filed before allowance of an application for
 compliance with 37
 CFR 1.63 or 1.64 and may send an informational
 notice to the applicant regarding any deficiencies. Similarly, non-examiner staff will
 review inventor’s oaths or declarations at or after allowance of an application for
 compliance with 37
 CFR 1.63 or 1.64 and will send a requirement to
 the applicant to correct any deficiencies. If an application data sheet has been
 submitted, applicant may postpone the filing of the inventor’s oath or declaration until
 the application is in condition for allowance for applications filed on or after
 September 16, 2012. If an oath or declaration in compliance with 37 CFR 1.63 ,
 or a substitute statement in compliance with 37 CFR 1.64 , executed by or with
 respect to each inventor has not been submitted at the time of allowance, a notice
 requiring the inventor’s oath or declaration may be sent with the Notice of
 Allowability. The required inventor’s oath or declaration must be submitted no later
 than the date on which the issue fee is paid. See 35 U.S.C.
 115(f) .
 

 The Office does not check the date of execution of the
 oath or declaration and will not require a newly executed oath or declaration based on
 an oath or declaration being stale (i.e., when the date of execution is more than three
 months prior to the filing date of the application) or where the date of execution has
 been omitted. However, applicants are reminded that they have a continuing duty of
 disclosure under 37 CFR 1.56 .
 

 The wording of an oath or declaration should not be
 amended, altered or changed in any manner after it has been signed. If the wording is
 not correct or if all of the required affirmations have not been made, or if it has not
 been properly subscribed to, a new oath or declaration should be submitted. However, in
 some cases, a deficiency in the oath or declaration can be corrected by a supplemental
 paper such as an application data sheet (see 37 CFR 1.76 and
 MPEP §
 601.05 ) and a new oath or declaration is not necessary. See
 37 CFR
 1.63(b) . For example, if the oath does not set forth evidence that
 the notary was acting within their jurisdiction at the time the oath is administered the
 oath, a certificate of the notary that the oath was taken within their jurisdiction will
 correct the deficiency. See MPEP § 602 .
 

 The inventor’s oath or declaration must include certain
 inventor bibliographic information (see MPEP §
 602.08(a) ), name the inventor or each joint inventor and
 except as otherwise provided be signed by each inventor (see MPEP §
 602.08(b) ), and identify the application to which it is
 directed (see MPEP § 602.08(c) ). See MPEP §
 602.04 for a defective foreign executed oath.
 

 

 
 602.04 Foreign Executed Oath [R-07.2022]

 
 37 CFR 1.66 Statements under oath. 

 [Editor Note: Applicable only to patent applications filed under
 35
 U.S.C. 111(a) , 363 , or 385 on or after September 16, 2012. See 37 CFR 1.66
 (pre-AIA) for the rule otherwise in effect.] 

 An oath or affirmation may be made before any person
 within the United States authorized by law to administer oaths. An oath made in a
 foreign country may be made before any diplomatic or consular officer of the United
 States authorized to administer oaths, or before any officer having an official seal
 and authorized to administer oaths in the foreign country in which the applicant may
 be, whose authority shall be proved by a certificate of a diplomatic or consular
 officer of the United States, or by an apostille of an official designated by a
 foreign country which, by treaty or convention, accords like effect to apostilles of
 designated officials in the United States. The oath shall be attested in all cases in
 this and other countries, by the proper official seal of the officer before whom the
 oath or affirmation is made. Such oath or affirmation shall be valid as to execution
 if it complies with the laws of the State or country where made. When the person
 before whom the oath or affirmation is made in this country is not provided with a
 seal, his official character shall be established by competent evidence, as by a
 certificate from a clerk of a court of record or other proper officer having a
 seal.
 

 

 An oath executed in a foreign country must be properly
 authenticated. 
 

 I. HAGUE CONVENTION APOSTILLE On October 15, 1981, the Hague “Convention Abolishing
 the Requirement of Legalization for Foreign Public Documents” entered into force
 between the United States and 28 foreign countries as parties to the Convention.
 Subsequently, additional countries have become parties to the Convention. The
 Convention applies to any document submitted to the United States Patent and
 Trademark Office for filing or recording, which is sworn to or acknowledged by a
 notary public in any one of the member countries. The Convention abolishes the
 certification of the authority of the notary public in a member country by a
 diplomatic or consular officer of the United States and substitutes certification by
 a special certificate, or apostille, executed by an officer of the member country. 
 

 Accordingly, the Office will accept for filing or
 recording a document sworn to or acknowledged before a notary public in a member
 country if the document bears, or has appended to it, an apostille certifying the
 notary’s authority. The requirement for a diplomatic or consular certificate,
 specified in 37
 CFR 1.66 , will not apply to a document sworn to or acknowledged
 before a notary public in a member country if an apostille is used.
 

 A list of the current member countries that are parties
 to the Hague Convention can be obtained from the Internet website of the Hague
 Conference on Private International Law at www.hcch.net/en/ instruments /conventions /
 status-table/?cid=41 .
 

 The Convention prescribes the following form for the
 apostille:
 

 Model of Certificate 

 The certificate will be in the form of a square with
 sides at least 9 centimeters long.
 

 
 II. CERTIFICATE OF DIPLOMATIC OR CONSULAR OFFICER When the oath is made in a foreign country not a member
 of the Hague Convention Abolishing the Requirement of Legalization for Foreign Public
 Documents, the authority of any officer other than a diplomatic or consular officer
 of the United States authorized to administer oaths must be proved by certificate of
 a diplomatic or consular officer of the United States. See 37 CFR
 1.66 . This proof may be through an intermediary, e.g., the consul
 may certify as to the authority and jurisdiction of another official who, in turn,
 may certify as to the authority and jurisdiction of the officer before whom the oath
 is taken. 
 

 Where the oath is taken before an officer in a foreign
 country other than a diplomatic or consular officer of the United States and whose
 authority is not authenticated or accompanied with an apostille certifying the
 notary’s authority, the application is nevertheless accepted for purposes of
 examination. Applicant should submit a new oath properly authenticated by an
 appropriate diplomatic or consular officer, the filing of proper apostille, or a
 declaration ( 37 CFR
 1.68 ). The Office does not return improperly authenticated
 oaths for proper authentication.
 

 

 
 602.05 Oath or Declaration in Continuing Applications [R-11.2013]

 A copy of an oath or declaration from a prior application
 may be submitted with a continuation or divisional application, or with a
 continuation-in-part application filed on or after September 16, 2012, even if the oath
 or declaration identifies the application number of the prior application. However, if
 such a copy of the oath or declaration is filed after the filing date of the
 continuation or divisional application and an application number has been assigned to
 the continuation or divisional application (see 37 CFR 1.5(a) ), the cover letter
 accompanying the oath or declaration should identify the application number of the
 continuation or divisional application. The cover letter should also indicate that the
 oath or declaration submitted is a copy of the oath or declaration from a prior
 application to avoid the oath or declaration being incorrectly matched with the prior
 application file. Furthermore, applicant should also label the copy of the oath or
 declaration with the application number of the continuation or divisional application in
 the event that the cover letter is separated from the copy of the oath or
 declaration.
 

 A copy of the oath or declaration from a prior
 nonprovisional application may be filed in a continuation or divisional application even
 if the specification for the continuation or divisional application is different from
 that of the prior application, in that revisions have been made to clarify the text to
 incorporate amendments made in the prior application, or to make other changes provided
 the changes do not constitute new matter relative to the prior application. If the
 examiner determines that the continuation or divisional application contains new matter
 relative to the prior application, the examiner should so notify the applicant in the
 next Office action and indicate that the application should be redesignated as a
 continuation-in-part. 
 

 See MPEP § 602.05(a) for information
 regarding an oath or declaration in a continuing application filed on or after September
 16, 2012. See MPEP § 602.05(b) for information
 regarding an oath or declaration in a continuing application filed before September 16,
 2012.
 

 
 602.05(a) Oath or Declaration in Continuing Applications
 Filed On or After September 16, 2012 [R-07.2015]
 

 [Editor Note: See MPEP § 602.05(b) for information
 regarding oath or declaration in a continuing application filed before September
 16, 2012.] 

 For applications filed on or after September 16, 2012,
 a continuing application, including a continuation-in-part application, may be filed
 with a copy of an oath or declaration or substitute statement from the prior
 nonprovisional application, provided that the oath or declaration is in compliance
 with 37 CFR
 1.63 or the substitute statement is in compliance with
 37 CFR
 1.64 . See 37 CFR 1.63(d)(1) . It should be
 noted that a copy of the inventor’s oath or declaration submitted in a continuing
 application filed on or after September 16, 2012 must comply with requirements of
 35 U.S.C.
 115 and 37 CFR 1.63 or 1.64 in
 effect for applications filed on or after September 16, 2012. For example, the
 inventor’s oath or declaration must include a statement that the application was made
 or was authorized to be made by the person executing the oath or declaration.
 Accordingly, a new inventor’s oath or declaration may need to be filed in a
 continuing application filed on or after September 16, 2012, where the prior
 application was filed before September 16, 2012, in order to meet the requirements of
 35 U.S.C.
 115 and 37 CFR 1.63 (or 1.64 ) in
 effect for applications filed on or after September 16, 2012. 
 

 For continuing applications filed on or after September
 16, 2012 under 37 CFR 1.53(b) , the inventorship is the inventor or joint
 inventors specified in the application data sheet filed before or concurrently with
 the copy of the inventor’s oath or declaration from the earlier-filed application. If
 an application data sheet is not filed before or concurrently with the copy of the
 inventor’s oath or declaration from the earlier-filed application, the inventorship
 is the inventorship set forth in the copy of the inventor’s oath or declaration from
 the earlier-filed application, unless it is accompanied by a signed statement
 pursuant to 37
 CFR 1.33(b) that states the name of each inventor in the
 continuing application. See 37 CFR 1.63(d)(2) . Any new joint
 inventor named in the continuing application must provide an oath or declaration in
 compliance with 37 CFR 1.63 , except as provided in 37 CFR
 1.64 . See 37 CFR 1.63(d)(3) .
 

 

 
 602.05(b) Oath or Declaration in Continuing Applications
 Filed Before September 16, 2012 [R-07.2015]
 

 [Editor Note: See MPEP § 602.05(a) for information
 regarding oath or declaration in a continuing application filed on or after
 September 16, 2012.] 

 A continuation or divisional application filed before
 September 16, 2012 under 37 CFR 1.53(b) (other than a
 continuation-in-part (CIP)) may be filed with a copy of the oath or declaration from
 the prior nonprovisional application. See pre-AIA 37 CFR 1.63(d)(1)(iv) . 
 

 A continuation or divisional application of a prior
 application accorded status under pre-AIA 37 CFR 1.47 will be
 accorded status under pre-AIA 37 CFR 1.47 if a copy of
 the decision according pre-AIA 37 CFR 1.47 status in the
 prior application is filed in the continuation or divisional application, unless an
 oath or declaration signed by all of the inventors is included upon filing the
 continuation or divisional application. An oath or declaration in an application
 accorded status under pre-AIA 37 CFR 1.47 is generally
 not signed by all of the inventors. Accordingly, if a copy of an oath or declaration
 of a prior application is submitted in a continuation or divisional application filed
 under 37 CFR
 1.53(b) and the copy of the oath or declaration omits the
 signature of one or more inventors, the Office of Patent Application Processing
 (OPAP) should send a “Notice to File Missing Parts” requiring the signature of the
 nonsigning inventor, unless a copy of the decision according status under
 pre-AIA 37 CFR
 1.47 is also included at the time of filing of the continuation
 or divisional application. If OPAP mails such a Notice, a copy of the decision
 according status under pre-AIA 37 CFR 1.47 , together
 with a surcharge under 37 CFR 1.16(f) for its late
 filing, will be an acceptable reply to the Notice. Alternatively, applicant may
 submit an oath or declaration signed by the previously nonsigning inventor together
 with the surcharge set forth in 37 CFR 1.16(f) in reply to the
 Notice.
 

 If an inventor named in a prior application is not an
 inventor in a continuation or divisional application filed under 37 CFR
 1.53(b) , the continuation or divisional application may either
 be filed (A) with a copy of an oath or declaration from a prior application and a
 statement requesting the deletion of the name or names of the person or persons who
 are not inventors of the invention being claimed in the continuation or divisional
 application (see pre-AIA 37 CFR 1.63(d) ), or (B) with a newly executed oath or
 declaration naming the correct inventive entity. If an inventor named in a prior
 application is not an inventor in a continuation or divisional application filed
 under 37 CFR
 1.53(d) (continued prosecution design application), the request
 for filing the continuation or divisional application must be accompanied by a
 statement requesting the deletion of the name or names of the person or persons who
 are not inventors of the invention being claimed in the continuation or divisional
 application (see 37 CFR 1.53(d)(4) ). 
 

 A continuation or divisional application filed under
 37 CFR
 1.53(b) of a prior application in which a petition (or request)
 under 37 CFR
 1.48 to add an inventor was filed should be filed with a copy
 of the executed declaration naming the correct inventive entity from the prior
 application or a newly executed declaration naming the correct inventive entity. A
 copy of any decision under 37 CFR 1.48 from the prior
 application is not required to be filed in the continuation or divisional
 application. See MPEP § 602.01(c)(3) in Revision 08.2017 of the Ninth Edition of the
 MPEP, published in January 2018, for the language of pre-AIA 37 CFR 1.48.
 

 

 

 
 602.06 Non-English Oath or Declaration [R-08.2012]

 
 37 CFR 1.69 Foreign language oaths and declarations. 

 
 (a) Whenever an individual making an oath or
 declaration cannot understand English, the oath or declaration must be in a
 language that such individual can understand and shall state that such
 individual understands the content of any documents to which the oath or
 declaration relates. 
 

 (b) Unless the text of any oath or declaration in a
 language other than English is in a form provided by the Patent and Trademark
 Office or in accordance with PCT Rule 4.17(iv) , it must
 be accompanied by an English translation together with a statement that the
 translation is accurate, except that in the case of an oath or declaration
 filed under § 1.63 , the translation may
 be filed in the Office no later than two months from the date applicant is
 notified to file the translation. 
 

 
 

 37 CFR
 1.69 requires that oaths and declarations be in a language which
 is understood by the individual making the oath or declaration, i.e., a language which
 the individual comprehends. If the individual comprehends the English language, he or
 she should preferably use it. If the individual cannot comprehend the English language,
 any oath or declaration must be in a language which the individual can comprehend. If an
 individual uses a language other than English for an oath or declaration, the oath or
 declaration must include a statement that the individual understands the content of any
 documents to which the oath or declaration relates. If the documents are in a language
 the individual cannot comprehend, the documents may be explained to him or her so that
 he or she is able to understand them.
 

 The Office will accept a single non-English language oath
 or declaration where there are joint inventors, of which only some understand English
 but all understand the non-English language of the oath or declaration.
 

 

 
 602.07 Oath or Declaration Filed in United States as a
 Designated Office [R-08.2012]
 

 See MPEP § 1893.01(e) .
 

 

 
 602.08 Inventor and Application Information [R-11.2013]

 The inventor, or each individual who is a joint inventor of
 a claimed invention, in an application for patent (other than a provisional application)
 must execute an oath or declaration directed to the application, except as provided for
 in 37 CFR
 1.64 . See MPEP § 602.01(a) for the requirements
 of an inventor’s oath or declaration in an application filed on or after September 16,
 2012. See MPEP § 602.01(b) for the requirements of an original oath or
 declaration in an application filed before September 16, 2012.
 

 The inventor’s oath or declaration must include certain
 inventor bibliographic information (see MPEP §
 602.08(a) ), name the inventor or each joint inventor and
 except as otherwise provided be signed by each inventor (see MPEP §
 602.08(b) ), and identify the application to which it is
 directed (see MPEP § 602.08(c) ).
 

 
 602.08(a) Inventor Bibliographic Information [R-10.2019]
 I. INVENTOR’S CITIZENSHIP For applications filed on or after September 16,
 2012, the citizenship of the inventor is no longer required by 35 U.S.C.
 115 or 37 CFR 1.63 .
 

 For nonprovisional applications filed before
 September 16, 2012, pre-AIA 35 U.S.C. 115 requires
 the inventor(s) to state his or her citizenship. Where an inventor 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 requirement.
 

 II. INVENTOR’S RESIDENCE Each inventor’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
 ( 37 CFR
 1.76 ). In the case of an inventor 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 . Each inventor’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 only a mailing address where the inventor
 customarily receives mail is provided, the Office will presume that the inventor’s
 residence is the city and either state or foreign country of the mailing address.
 If the inventor lives at a location which is different from the inventor’s mailing
 address, the inventor’s residence (city and either state or foreign country) must
 be included in the inventor’s oath or declaration or an application data
 sheet.
 

 III. INVENTOR’S MAILING OR POST OFFICE ADDRESS Each inventor’s mailing or post office address is
 required to be supplied on the oath or declaration, if not stated in an
 application data sheet. See 37 CFR 1.63(b) ,
 pre-AIA 37
 CFR 1.63(c) , and 37 CFR 1.76 . 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.
 

 The inventor’s mailing address means that address at
 which he or she customarily receives his or her mail, even if it is not the main
 mailing address of the inventor. Either the inventor’s home or business address is
 acceptable as the mailing address. A post office box is also acceptable. The
 mailing address should include the ZIP Code designation. The object of requiring
 each inventor’s mailing address is to enable the Office to communicate directly
 with the inventor if desired; hence, the address of the attorney with instruction
 to send communications to the inventor 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 or legally incapacitated,
 such as in an application filed on or after September 16, 2012 in which a
 substitute statement under 37 CFR 1.64 is filed, the
 inventor’s most recent home address must be given to enable the Office to
 communicate directly with the inventor as necessary.
 

 

 
 602.08(b) Inventor Signature and Name [R-01.2024]
 I. SIGNATURE REQUIREMENT - EXECUTION OF INVENTOR’S OATHS OR
 DECLARATIONS United States 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 filing.
 

 There is no requirement that a signature be made in
 any particular manner. See MPEP § 402.03 . It is permissible
 for an applicant to use a title of nobility or other title, such as “Dr.”, in
 connection with their signature. The title will not appear in the printed patent.
 If applicant signs their name using non-English characters, then such a signature
 will be accepted. If the applicant is unable to write, their 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. See
 MPEP §
 602 .
 

 Applications filed through the USPTO patent
 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 the application (e.g., a
 specification and drawings) to which it is directed.
 

 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. Each
 inventor need not execute the same oath or declaration. For nonprovisional
 international design applications, see also 37 CFR
 1.1021(d) and 1.1067 . For applications filed
 before September 16, 2012, 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 pre-AIA 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 1.497 .
 

 37 CFR
 1.52(c) states that “[i]nterlineation, erasure,
 cancellation, or other alteration of the application papers may be made before or
 after the signing of the inventor's oath or declaration referring to those
 application papers, provided that the statements in the inventor's oath or
 declaration pursuant to § 1.63 remain applicable to
 those application papers. A substitute specification ( § 1.125 ) may
 be required if the application papers do not comply with paragraphs (a) and (b) of
 this section.” 
 

 An inventor is not required to re-execute a new
 inventor’s oath or declaration after alteration of the application papers provided
 that the changes are minor, for example, correction of typographical errors,
 grammatical problems, and clarifying sentences. If the changes would amount to the
 introduction of new matter had the change been made to a filed application,
 however, then the inventor should execute a new oath or declaration after
 reviewing the amended application. The rule permits alterations to the
 specification without the inventor re-executing an oath or declaration only where
 the statements in the executed declaration remain applicable. Additionally, an
 inventor must before executing the oath or declaration (i) review and understand
 the contents of the application; and (ii) be aware of their duty of disclosure.
 See 37 CFR
 1.63(c) . If the changes made to the specification before an
 application is filed result in substantial alterations to the application, then an
 inventor may not understand the contents of the application or be aware of their
 duty to disclose information relating to the substantial alteration.
 

 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) , 714.01(c) , and
 714.01(d) . 
 

 II. SIGNATURE REQUIREMENT - EXECUTION OF OATH OR DECLARATION ON BEHALF OF
 INVENTOR 

 A. For applications filed on or after September 16,
 2012 The inventor, or each individual who is a joint
 inventor of a claimed invention, in an application for patent must execute an
 oath or declaration directed to the application, except as provided under
 37 CFR
 1.64 . Only inventors can execute an oath or declaration
 under 37
 CFR 1.63 . The applicant for patent may execute a
 substitute statement under 37 CFR 1.64 in lieu of an
 oath or declaration under the permitted circumstances. For information on the
 execution of a substitute statement, see MPEP § 604 .
 

 B. For applications filed before September 16,
 2012 The oath or declaration required by
 pre-AIA 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 pre-AIA 37 CFR 1.64 and
 MPEP §
 409.01(b) . Pre-AIA 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.).
 

 III. INVENTOR’S NAME For nonprovisional applications filed on or after
 September 16, 2012, 37 CFR 1.63 requires the
 identification of the inventor by his or her legal name. 37 CFR
 1.63(a)(1) simplifies the requirement for the inventor’s
 name to be his or her name and no longer refers to a family or given name. The
 requirement for an inventor’s legal name is sufficient, given that individuals do
 not always have both a family name and a given name, or have varying
 understandings of what a “given” name requires. 
 

 For nonprovisional applications filed before
 September 16, 2012, pre-AIA 37 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. 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 CFR 1.63(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. 
 

 A. Correction of Name 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 their legal name. Any request to have
 the name of the inventor or a joint inventor in a nonprovisional application
 corrected or updated, including correction of a typographical or
 transliteration error in the spelling of an inventor’s name, must be by way of
 a request under 37 CFR 1.48(f) . A request
 under 37 CFR
 1.48(f) must include (1) an application data sheet in
 accordance with 37 CFR 1.76 that identifies
 each inventor by their legal name, and (2) the processing fee set forth in
 37 CFR 1.17(i) . Requests
 under 37 CFR
 1.48(f) filed on or after September 16, 2012, are treated
 by the Office of Patent Application Processing (OPAP). If the request complies
 with 37 CFR
 1.48(f) , OPAP will correct the Office records and send a
 corrected filing receipt. 
 

 If the error in the inventor’s name 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 under 37 CFR 1.48(f) to correct the inventor’s name submitted
 with a request for continued examination (RCE) under 37 CFR
 1.114 , or (B) a certificate of correction, along with a
 petition under 37 CFR 1.182 , must be filed
 after the patent issues requesting correction of inventor’s name.
 

 Any request to correct or change inventorship, or
 correct or update the name of the inventor or a joint inventor, in a
 provisional application must be made pursuant to 37 CFR
 1.48(d) . 37 CFR 1.48(d) requires a
 request signed by a party set forth in 37 CFR 1.33(b) , that
 identifies each inventor by their legal name, and the processing fee set forth
 in 37 CFR 1.17(q) . OPAP treats
 requests under 37 CFR 1.48(d) and will
 correct the Office records and send a corrected filing receipt if the request
 complies with 37 CFR 1.48(d) . 
 

 B. Change of Name When an inventor’s name has been changed after the
 nonprovisional application has been filed and the inventor desires to change
 their name on the application, they must submit a request under
 37 CFR
 1.48(f) , including an application data sheet in
 accordance with 37 CFR 1.76 , that
 identifies each inventor by their legal name and the processing fee set forth
 in 37 CFR 1.17(i) . The
 corrected application data sheet must identify the information being changed as
 required by 37 CFR 1.76(c)(2) . The
 Office of Patent Application Processing (OPAP) treats requests under
 37 CFR
 1.48(f) and will correct the Office records and send a
 corrected filing receipt if the request complies with 37 CFR
 1.48(f) .Since amendments are not permitted after the
 payment of the issue fee ( 37 CFR 1.312 ), a request
 under 37 CFR
 1.48(f) to change the name of the inventor cannot be
 granted if filed after the payment of the issue fee.
 

 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 Recordation Branch for a change in the assignment record.
 

 C. Order of Joint Inventor Names For applications filed on or after September 16,
 2012, the order of names of joint patentees in the heading of the patent is
 taken from the order in which the names appear in the application data sheet if
 submitted before or with the inventor’s oath or declaration. For applications
 filed before September 16, 2012, 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. 
 

 Because the particular order in which the names
 appear is of no consequence insofar as the legal rights of the joint inventors
 are concerned, no changes will be made except when a request under
 37 CFR
 1.48(f) (filed on or after September 16, 2012) is
 granted. 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. The Office of Patent Application Processing (OPAP) treats
 requests under 37 CFR 1.48(f) and if the
 request is granted OPAP will change the order of the names in the Office
 computer records and send a corrected filing receipt. Because a change to the
 order of names of joint inventors is an amendment to the application and
 amendments are not permitted after the payment of the issue fee
 ( 37 CFR
 1.312 ), a request under 37 CFR
 1.48(f) to change the order of the names of joint
 inventors cannot be granted if filed after the payment of the issue fee.
 

 In those instances where the joint inventors file
 separate oaths or declarations in an application filed before September 16,
 2012, 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 or a request under 37 CFR
 1.48(f) is granted. For applications filed on or after
 September 16, 2012, the order of inventors is taken from an application data
 sheet in accordance with 37 CFR 1.76 if filed before
 or with the inventor’s oath or declaration unless a request under
 37 CFR
 1.48(f) is granted. A request under 37 CFR
 1.48(f) may be filed on or after September 16, 2012 to
 change the order of the names of joint inventors in a nonprovisional
 application regardless of the filing date of the application.
 

 

 
 602.08(c) Identification of Application [R-07.2015]

 37 CFR
 1.63 requires that an oath or declaration identify the
 application (e.g., specification and drawings) to which it is directed. 
 

 The following combination of information supplied in an oath or
 declaration filed on the application filing date with a specification are acceptable
 as minimums for identifying the application and compliance with any one of the items
 below will be accepted as complying with the identification requirement of
 37 CFR
 1.63 :
 

 
 (A) name of inventor(s), and reference to an attached specification
 or application which is both attached to the oath or declaration at the time of
 execution and submitted with the oath or declaration on filing;
 

 
 
 (B) name of inventor(s), and attorney docket number which was on
 the specification as filed; or
 

 
 
 (C) name of inventor(s), and title of the invention which was on
 the specification as filed.
 

 
 Filing dates are granted on applications filed without an inventor’s
 oath or declaration in compliance with 37 CFR 1.63 . The following
 combinations of information supplied in an oath or declaration filed after the filing
 date of the application are acceptable as minimums for identifying the application
 and compliance with any one of the items below will be accepted as complying with the
 identification requirement of 37 CFR 1.63 :
 

 
 (A) application number (consisting of the series code and the
 serial number, e.g., 08/123,456);
 

 
 
 (B) serial number and filing date;

 
 
 (C) international application number of an
 international application;
 

 (D) international registration number of an
 international design application;
 

 
 
 (E) attorney docket number which was on the specification as
 filed;
 

 
 
 (F) title of the invention which was on the specification as filed
 and reference to an attached specification or application which is both
 attached to the oath or declaration at the time of execution and submitted with
 the oath or declaration; or
 

 
 
 (G) title of the invention which was on the specification as filed
 and accompanied by a cover letter accurately identifying the application for
 which it was intended by either the application number (consisting of the
 series code and the serial number, e.g., 08/123,456), or serial number and
 filing date. Absent any statement(s) to the contrary, it will be presumed that
 the application filed in the USPTO is the application which the inventor(s)
 executed by signing the oath or declaration.
 

 
 Any specification that is filed attached to an oath or declaration on
 a date later than the application filing date will not be compared with the
 specification submitted on filing. Absent any statement(s) to the contrary, the
 “attached” specification will be presumed to be a copy of the specification and any
 amendments thereto, which were filed in the USPTO in order to obtain a filing date
 for the application.
 

 Any variance from the above guidelines will only be considered upon
 the filing of a petition for waiver of the rules under 37 CFR 1.183 
 accompanied by a petition fee ( 37 CFR 1.17(f) ).
 

 Further an oath or declaration attached to a cover letter
 referencing an incorrect application may not become associated with the correct
 application and, therefore, could result in the abandonment of the correct
 application.
 

 See MPEP § 1896 for the identification requirements for a
 declaration filed in a U.S. national stage application filed under 35 U.S.C.
 371 .
 

 

 

 
 602.09 Joint Inventors [R-10.2019]

 
 35 U.S.C. 116 
 Inventors. 

 [Editor Note: Applicable to proceedings commenced on or after September 16,
 2012. See 35
 U.S.C. 116 (pre-AIA) for the law otherwise
 applicable.] 

 
 (a) JOINT INVENTIONS.—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.
 

 (b) OMITTED INVENTOR.—If a joint inventor refuses to
 join in an application for patent or cannot be found or reached after diligent
 effort, the application may be made by the other inventor on behalf of himself
 and the omitted inventor. The Director, on proof of the pertinent facts and
 after such notice to the omitted inventor as he prescribes, may grant a patent
 to the inventor making the application, subject to the same rights which the
 omitted inventor would have had if he had been joined. The omitted inventor may
 subsequently join in the application.
 

 (c) CORRECTION OF ERRORS IN APPLICATION.—Whenever
 through error a person is named in an application for patent as the inventor,
 or through an error an inventor is not named in an application, the Director
 may permit the application to be amended accordingly, under such terms as he
 prescribes.
 

 
 

 
 35 U.S.C. 116 (pre-AIA) 
 Inventors. 

 [Editor Note: Not applicable to proceedings commenced on or after September
 16, 2012. See 35 U.S.C. 116 for the law otherwise applicable.] 

 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. 
 

 *****

 

 
 37 CFR 1.45 Joint inventors. 

 
 *****

 (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 . 
 

 
 

 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 in a nonprovisional application by signing the same. See
 MPEP §§
 602.01(a) and 602.01(b) .
 

 Because 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.
 

 35 U.S.C.
 116 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.
 

 35 U.S.C.
 116 (and 37 CFR 1.45 ) allows inventors to
 apply for a patent jointly even though
 

 
 (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 patent. 
 

 
 See MPEP § 2109.01 for a discussion of the
 legal requirements for joint inventorship.
 

 Applicants are responsible for 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. Requests under 37 CFR 1.48 filed on or after
 September 16, 2012 (regardless of the application filing date) are treated by OPAP. If
 the request is granted, OPAP will correct the Office records and send a corrected filing
 receipt.
 

 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 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. 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.
 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 canceled.
 

 35 U.S.C. 116 increases the
 likelihood that different claims of an application or patent may have different dates of
 invention even though the patent covers only one independent and distinct invention
 within the meaning of 35 U.S.C. 121 . 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 application. 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. When necessary, the U.S. Patent and Trademark Office or a court may inquire of
 the patent applicant or owner the inventorship or ownership of each claimed invention on
 its effective filing date, or on its date of invention, as applicable. 37 CFR 1.110 .
 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.
 

 

 [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 

 
 

 

 

 
 

 
 
 

 
 

 

 
 
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 03/09/2026 20:50:52