603 Supplemental Oath or Declaration [R-07.2015]

I. APPLICATIONS FILED ON OR AFTER SEPTEMBER 16, 2012

[Editor Note: See subsection II., below, for information regarding supplemental oath or declaration in an application filed before September 16, 2012.]

37 CFR 1.67 provides for a supplemental inventor’s oath or declaration (which includes oaths, declarations, assignment-statements under 37 CFR 1.63(e), and substitute statements under 37 CFR 1.64) under 35 U.S.C. 115(h).

37 CFR 1.67(a) provides that the applicant may submit an inventor’s oath or declaration meeting the requirements of 37 CFR 1.63, 1.64, or 1.162 to correct any deficiencies or inaccuracies present in an earlier-filed inventor’s oath or declaration. See 35 U.S.C. 115(h)(1). 37 CFR 1.67(a) also provides that deficiencies or inaccuracies due to the failure to meet the requirements of 37 CFR 1.63(b) in an oath or declaration may be corrected with an application data sheet in accordance with 37 CFR 1.76, except that any correction of inventorship must be pursuant to 37 CFR 1.48. Thus, an error in an inventor’s mailing address may be corrected with an application data sheet in accordance with 37 CFR 1.76. See 37 CFR 1.76(c). Any request to correct or change inventorship in a nonprovisional application must be by way of a request under 37 CFR 1.48(a). Any request to correct or update the name of an inventor in a nonprovisional application must be by way of a request under 37 CFR 1.48(f).

37 CFR 1.67(b) provides that a supplemental inventor’s oath or declaration under 37 CFR 1.67 must be executed by the person whose inventor’s oath or declaration is being withdrawn, replaced, or otherwise corrected.

37 CFR 1.67(c) provides that the Office will not require a person who has executed an oath or declaration in compliance with 35 U.S.C. 115 and 37 CFR 1.63 or 1.162 for an application to provide an additional inventor’s oath or declaration for the application. See 35 U.S.C. 115(h)(2).

37 CFR 1.67(d) contains the provision of former 37 CFR 1.67(b) that no new matter may be introduced into a nonprovisional application after its filing date even if an inventor’s oath or declaration is filed to correct deficiencies or inaccuracies present in the earlier-filed oath or declaration.

II. APPLICATIONS FILED BEFORE SEPTEMBER 16, 2012

[Editor Note: See subsection I., above, for information regarding supplemental oath or declaration in an application filed on or after September 16, 2012.]

Pre-AIA 37 CFR 1.67 requires in the supplemental oath or declaration substantially all the data called for in pre-AIA 37 CFR 1.63 for the original oath or declaration. As to the purpose to be served by the supplemental oath or declaration, the examiner should bear in mind that it cannot be availed of to introduce new matter into an application.

Deficiencies or inaccuracies in an oath or declaration may be corrected by a supplemental oath or declaration. The supplemental oath or declaration must (1) identify the entire inventive entity, and (2) be signed by all the inventors when the correction relates to all the inventors or applicants (pre-AIA 37 CFR 1.42, 1.43, or 1.47), or by only those inventor(s) or applicants (pre-AIA 37 CFR 1.42, 1.43, or 1.47) to whom the corrections relates. See pre-AIA 37 CFR 1.67(a). A deficiency or inaccuracy relating to information required by pre-AIA 37 CFR 1.63(c) may also be corrected with an application data sheet (pre-AIA 37 CFR 1.67(a)(3)). The following examples illustrate how certain deficiencies or inaccuracies in an oath or declaration may be corrected:

Example 1: An application was filed with a declaration under pre-AIA 37 CFR 1.63 executed by inventors A, B, and C. If it is later determined that the citizenship of inventor C was in error, a supplemental declaration identifying inventors A, B, and C may be signed by inventor C alone correcting C’s citizenship.

Example 2: An application was filed with a declaration under pre-AIA 37 CFR 1.63 executed by inventors A, B, and C. If it is later determined that the duty to disclose clause was omitted, a supplemental declaration identifying inventors A, B, and C must be signed by inventors A, B, and C. If separate declarations had been executed by each of the inventors and the duty to disclose clause had been omitted only in the declaration by inventor B, then only inventor B would need to execute a supplemental declaration identifying the entire inventive entity.

Example 3: An application was filed with a declaration under pre-AIA 37 CFR 1.63 executed by inventors A, and B, and the legal representative of deceased inventor C. It is later determined that an error was made in the citizenship of deceased inventor C. A supplemental declaration identifying A, B, and C as the inventors would be required to be signed by the legal representative of deceased inventor C alone correcting C’s citizenship.

Example 4: An application was filed with a declaration under pre-AIA 37 CFR 1.63 executed by inventors A and B. If it is later determined that an error exists in the mailing address of inventor B, the mailing address of inventor B may be corrected by a supplemental declaration identifying the entire inventive entity and signed by inventor B alone, or an application data sheet under 37 CFR 1.76 containing only a change in inventor B’s mailing address.

When an inventor who executed the original declaration is refusing or cannot be found to execute a required supplemental declaration, the requirement for that inventor to sign the supplemental declaration may be suspended or waived in accordance with 37 CFR 1.183. All available joint inventor(s) must sign the supplemental declaration on behalf of themselves, if appropriate, and on behalf of the nonsigning inventor. See MPEP § 409.03(a). If there are no joint inventor(s), then the party with sufficient proprietary interest must sign the supplemental declaration on behalf of the nonsigning inventor. See MPEP § 409.03(b).

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