sro<strong>be</strong>rts on DSK5SPTVN1PROD with RULES48818 Federal Register / Vol. 77, No. 157 / Tuesday, August 14, 2012 / Rules and Regulationsapplications under paragraph (b) of thissection. See § 1.63(d) concerning thesubmission of a copy of the inventor’soath or declaration from the priorapplication for a continuing applicationunder paragraph (b) of this section.(6) If applicant does not pay the basicfiling fee during the pendency of theapplication, the Office may dispose ofthe application.* * * * *(h) Subsequent treatment ofapplication—Nonprovisional (includingcontinued prosecution) application. Anapplication for a patent filed underparagraphs (b) or (d) of this section willnot <strong>be</strong> placed on the files forexamination until all its required parts,complying with the rules relatingthereto, are received, except that theinventor’s oath or declaration may <strong>be</strong>filed when the application is otherwisein condition for allowance pursuant toparagraph (f)(3) of this section andminor informalities may <strong>be</strong> waivedsubject to subsequent correctionwhenever required.* * * * *■ 25. Section 1.55 is amended byrevising the introductory text ofparagraph (a)(1)(i), the introductory textof paragraph (c), and paragraph (d)(1)(ii)to read as follows:§ 1.55 Claim for foreign priority.(a) * * *(1)(i) In an original application filedunder 35 U.S.C. 111(a), the claim forforeign priority must <strong>be</strong> presented in anapplication data sheet (§ 1.76(b)(6))during the pendency of the application,and within the later of four months fromthe actual filing date of the applicationor sixteen months from the filing date ofthe prior foreign application. This timeperiod is not extendable. The claimmust identify the foreign application forwhich priority is claimed, as well as anyforeign application for the same subjectmatter and having a filing date <strong>be</strong>forethat of the application for which priorityis claimed, by specifying the applicationnum<strong>be</strong>r, country (or intellectualproperty authority), day, month, andyear of its filing. The time periods inthis paragraph do not apply in anapplication under 35 U.S.C. 111(a) if theapplication is:* * * * *(c) Unless such claim is accepted inaccordance with the provisions of thisparagraph, any claim for priority under35 U.S.C. 119(a)–(d) or 365(a) notpresented in an application data sheet(§ 1.76(b)(6)) within the time periodprovided by paragraph (a) of this sectionis considered to have <strong>be</strong>en waived. If aclaim for priority under 35 U.S.C.119(a)–(d) or 365(a) is presented afterthe time period provided by paragraph(a) of this section, the claim may <strong>be</strong>accepted if the claim identifying theprior foreign application by specifyingits application num<strong>be</strong>r, country (orintellectual property authority), and theday, month, and year of its filing wasunintentionally delayed. A petition toaccept a delayed claim for priorityunder 35 U.S.C. 119(a)–(d) or 365(a)must <strong>be</strong> accompanied by:* * * * *(d)(1) * * *(ii) The foreign application isidentified in an application data sheet(§ 1.76(b)(6)); and* * * * *■ 26. Section 1.56 is amended byrevising paragraph (c)(3) to read asfollows:§ 1.56 Duty to disclose informationmaterial to patentability.* * * * *(c) * * *(3) Every other person who issubstantively involved in thepreparation or prosecution of theapplication and who is associated withthe inventor, the applicant, an assignee,or anyone to whom there is anobligation to assign the application.* * * * *■ 27. Section 1.59 is amended byrevising paragraph (a)(2) to read asfollows:§ 1.59 Expungement of information orcopy of papers in application file.(a) * * *(2) Information forming part of theoriginal disclosure (i.e., writtenspecification including the claims,drawings, and any preliminaryamendment present on the filing date ofthe application) will not <strong>be</strong> expungedfrom the application file.* * * * *■ 28. Section 1.63 is revised to read asfollows:§ 1.63 Inventor’s oath or declaration.(a) The inventor, or each individualwho is a joint inventor of a claimedinvention, in an application for patentmust execute an oath or declarationdirected to the application, except asprovided for in § 1.64. An oath ordeclaration under this section must:(1) Identify the inventor or jointinventor executing the oath ordeclaration by his or her legal name;(2) Identify the application to whichit is directed;(3) Include a statement that the personexecuting the oath or declaration<strong>be</strong>lieves the named inventor or jointVerDate Mar2010 17:28 Aug 13, 2012 Jkt 226001 PO 00000 Frm 00044 Fmt 4701 Sfmt 4700 E:\FR\FM\14AUR6.SGM 14AUR6inventor to <strong>be</strong> the original inventor oran original joint inventor of a claimedinvention in the application for whichthe oath or declaration is <strong>be</strong>ingsubmitted; and(4) State that the application wasmade or was authorized to <strong>be</strong> made bythe person executing the oath ordeclaration.(b) Unless the following informationis supplied in an application data sheetin accordance with § 1.76, the oath ordeclaration must also identify:(1) Each inventor by his or her legalname; and(2) A mailing address where theinventor customarily receives mail, andresidence, if an inventor lives at alocation which is different from wherethe inventor customarily receives mail,for each inventor.(c) A person may not execute an oathor declaration for an application unlessthat person has reviewed andunderstands the contents of theapplication, including the claims, and isaware of the duty to disclose to theOffice all information known to theperson to <strong>be</strong> material to patentability asdefined in § 1.56. There is no minimumage for a person to <strong>be</strong> qualified toexecute an oath or declaration, but theperson must <strong>be</strong> competent to execute,i.e., understand, the document that theperson is executing.(d)(1) A newly executed oath ordeclaration under § 1.63, or substitutestatement under § 1.64, is not requiredunder § 1.51(b)(2) and § 1.53(f) or§ 1.497 for an inventor in a continuingapplication that claims the <strong>be</strong>nefitunder 35 U.S.C. 120, 121, or 365(c) incompliance with § 1.78 of an earlierfiledapplication, provided that an oathor declaration in compliance with thissection, or substitute statement under§ 1.64, was executed by or with respectto such inventor and was filed in theearlier-filed application, and a copy ofsuch oath, declaration, or substitutestatement showing the signature or anindication thereon that it was executed,is submitted in the continuingapplication.(2) The inventorship of a continuingapplication filed under 35 U.S.C. 111(a)is the inventor or joint inventorsspecified in the application data sheetfiled <strong>be</strong>fore or concurrently with thecopy of the inventor’s oath ordeclaration from the earlier-filedapplication. If an application data sheetis not filed <strong>be</strong>fore or concurrently withthe copy of the inventor’s oath ordeclaration from the earlier-filedapplication, the inventorship is theinventorship set forth in the copy of theinventor’s oath or declaration from theearlier-filed application, unless it is
Federal Register / Vol. 77, No. 157 / Tuesday, August 14, 2012 / Rules and Regulations48819sro<strong>be</strong>rts on DSK5SPTVN1PROD with RULESaccompanied by a statement signedpursuant to § 1.33(b) stating the name ofeach inventor in the continuingapplication.(3) Any new joint inventor named inthe continuing application must providean oath or declaration in compliancewith this section, except as provided forin § 1.64.(e)(1) An assignment may also serveas an oath or declaration required bythis section if the assignment asexecuted:(i) Includes the information andstatements required under paragraphs(a) and (b) of this section; and(ii) A copy of the assignment isrecorded as provided for in part 3 of thischapter.(2) Any reference to an oath ordeclaration under this section includesan assignment as provided for in thisparagraph.(f) With respect to an applicationnaming only one inventor, any referenceto the inventor’s oath or declaration inthis chapter includes a substitutestatement executed under § 1.64. Withrespect to an application naming morethan one inventor, any reference to theinventor’s oath or declaration in thischapter means the oaths, declarations,or substitute statements that have <strong>be</strong>encollectively executed by or with respectto all of the joint inventors, unlessotherwise clear from the context.(g) An oath or declaration under thissection, including the statementprovided for in paragraph (e) of thissection, must <strong>be</strong> executed (i.e., signed)in accordance either with § 1.66 or withan acknowledgment that any willfulfalse statement made in suchdeclaration or statement is punishableunder 18 U.S.C. 1001 by fine orimprisonment of not more than five (5)years, or both.(h) An oath or declaration filed at anytime pursuant to 35 U.S.C. 115(h)(1)will <strong>be</strong> placed in the file record of theapplication or patent, but may notnecessarily <strong>be</strong> reviewed by the Office.Any request for correction of the namedinventorship must comply with § 1.48in an application and § 1.324 in apatent.■ 29. Section 1.64 is revised to read asfollows:§ 1.64 Substitute statement in lieu of anoath or declaration.(a) An applicant under § 1.43, 1.45 or1.46 may execute a substitute statementin lieu of an oath or declaration under§ 1.63 if the inventor is deceased, isunder a legal incapacity, has refused toexecute the oath or declaration under§ 1.63, or cannot <strong>be</strong> found or reachedafter diligent effort.(b) A substitute statement under thissection must:(1) Comply with the requirements of§ 1.63(a), identifying the inventor orjoint inventor with respect to whom asubstitute statement in lieu of an oath ordeclaration is executed, and statingupon information and <strong>be</strong>lief the factswhich such inventor is required to state;(2) Identify the person executing thesubstitute statement and therelationship of such person to theinventor or joint inventor with respectto whom the substitute statement isexecuted, and unless such informationis supplied in an application data sheetin accordance with § 1.76, the residenceand mailing address of the personsigning the substitute statement;(3) Identify the circumstancespermitting the person to execute thesubstitute statement in lieu of an oath ordeclaration under § 1.63, namelywhether the inventor is deceased, isunder a legal incapacity, cannot <strong>be</strong>found or reached after a diligent effortwas made, or has refused to execute theoath or declaration under § 1.63; and(4) Unless the following informationis supplied in an application data sheetin accordance with § 1.76, also identify:(i) Each inventor by his or her legalname; and(ii) The last known mailing addresswhere the inventor customarily receivesmail, and last known residence, if aninventor lives at a location which isdifferent from where the inventorcustomarily receives mail, for eachinventor who is not deceased or undera legal incapacity.(c) A person may not execute asubstitute statement provided for in thissection for an application unless thatperson has reviewed and understandsthe contents of the application,including the claims, and is aware of theduty to disclose to the Office allinformation known to the person to <strong>be</strong>material to patentability as defined in§ 1.56.(d) Any reference to an inventor’soath or declaration includes a substitutestatement provided for in this section.(e) A substitute statement under thissection must contain anacknowledgment that any willful falsestatement made in such statement ispunishable under section 1001 of title18 by fine or imprisonment of not morethan 5 years, or both.(f) A nonsigning inventor or legalrepresentative may subsequently join inthe application by submitting an oath ordeclaration under § 1.63. Thesubmission of an oath or declaration bya nonsigning inventor or legalrepresentative in an application filedunder § 1.43, 1.45 or 1.46 will notVerDate Mar2010 17:28 Aug 13, 2012 Jkt 226001 PO 00000 Frm 00045 Fmt 4701 Sfmt 4700 E:\FR\FM\14AUR6.SGM 14AUR6permit the nonsigning inventor or legalrepresentative to revoke or grant apower of attorney.■ 30. Section 1.66 is revised to read asfollows:§ 1.66 Statements under oath.An oath or affirmation may <strong>be</strong> made<strong>be</strong>fore any person within the UnitedStates authorized by law to administeroaths. An oath made in a foreigncountry may <strong>be</strong> made <strong>be</strong>fore anydiplomatic or consular officer of theUnited States authorized to administeroaths, or <strong>be</strong>fore any officer having anofficial seal and authorized toadminister oaths in the foreign countryin which the applicant may <strong>be</strong>, whoseauthority shall <strong>be</strong> proved by a certificateof a diplomatic or consular officer of theUnited States, or by an apostille of anofficial designated by a foreign countrywhich, by treaty or convention, accordslike effect to apostilles of designatedofficials in the United States. The oathshall <strong>be</strong> attested in all cases in this andother countries, by the proper officialseal of the officer <strong>be</strong>fore whom the oathor affirmation is made. Such oath oraffirmation shall <strong>be</strong> valid as toexecution if it complies with the laws ofthe State or country where made. Whenthe person <strong>be</strong>fore whom the oath oraffirmation is made in this country isnot provided with a seal, his officialcharacter shall <strong>be</strong> established bycompetent evidence, as by a certificatefrom a clerk of a court of record or otherproper officer having a seal.■ 31. Section 1.67 is revised to read asfollows:§ 1.67 Supplemental oath or declaration.(a) The applicant may submit aninventor’s oath or declaration meetingthe requirements of § 1.63, § 1.64, or§ 1.162 to correct any deficiencies orinaccuracies present in an earlier-filedinventor’s oath or declaration.Deficiencies or inaccuracies due to thefailure to meet the requirements of§ 1.63(b) in an oath or declaration may<strong>be</strong> corrected with an application datasheet in accordance with § 1.76, exceptthat any correction of inventorship must<strong>be</strong> pursuant to § 1.48.(b) A supplemental inventor’s oath ordeclaration under this section must <strong>be</strong>executed by the person whoseinventor’s oath or declaration is <strong>be</strong>ingwithdrawn, replaced, or otherwisecorrected.(c) The Office will not require aperson who has executed an oath ordeclaration in compliance with 35U.S.C. 115 and § 1.63 or 1.162 for anapplication to provide an additionalinventor’s oath or declaration for theapplication.
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