MPEP § 2109 — Inventorship (Annotated Rules)

§2109 Inventorship

USPTO MPEP version: BlueIron's Update: 2026-01-10

This page consolidates and annotates all enforceable requirements under MPEP § 2109, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Inventorship

This section addresses Inventorship. Primary authority: 35 U.S.C. 119, 35 U.S.C. 101, and 35 U.S.C. 115. Contains: 7 requirements, 4 permissions, and 11 other statements.

Key Rules

Topic

PTAB Jurisdiction

8 rules
StatutoryPermittedAlways
[mpep-2109-377c8b3c7eafe07e27ab2355]
Conception Required for Inventorship
Note:
A person must contribute to the conception of an invention to be considered an inventor.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-2109-d70d4247e1afe143aca0ad85]
Conception Required for Inventorship
Note:
A person must contribute to the conception of an invention to be considered an inventor.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-2109-f51dcc7bf1d340fc49b4056c]
Conception Required for Inventorship
Note:
An inventor must contribute to the conception of an invention, not just achieve reduction to practice.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-2109-c41a99472086209c90f362b3]
Conception Required for Inventorship
Note:
An inventor must contribute to the conception of an invention to be considered an inventor.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-2109-9d9dcc4f783ee4447eaf1490]
Conception Required for Joint Inventorship
Note:
A person must contribute to the conception of an invention to be considered a joint inventor.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-2109-1a19b4dd6ea760ca5e04071f]
Conception Required for Inventorship
Note:
An inventor must contribute to the conception of an invention to be considered a joint inventor.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-2109-5a731752a8f2465df9252a2d]
Conception Required for Chemical Compound Inventors
Note:
An inventor must have a conception of the specific chemical compounds claimed to meet inventorship requirements.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-2109-8ebc24a0f31fdccce17e91ea]
Conception of Specific Chemical Compounds Required for Inventorship
Note:
A person must contribute to the conception of specific chemical compounds to be considered an inventor.

The definition for inventorship can be simply stated: “The threshold question in determining inventorship is who conceived the invention. Unless a person contributes to the conception of the invention, he is not an inventor. … Insofar as defining an inventor is concerned, reduction to practice, per se, is irrelevant [except for simultaneous conception and reduction to practice, Fiers v. Revel, 984 F.2d 1164, 1168, 25 USPQ2d 1601, 1604-05 (Fed. Cir. 1993)]. One must contribute to the conception to be an inventor.” In re Hardee, 223 USPQ 1122, 1123 (Comm’r Pat. 1984). A person who shares in the conception of a claimed invention is a joint inventor of that invention. In re VerHoef, 888 F.3d 1362, 1366-67, 126 F.2d 1561, 1564-65 (Fed. Cir. 2018). See also Board of Education ex rel. Board of Trustees of Florida State Univ. v. American Bioscience Inc., 333 F.3d 1330, 1340, 67 USPQ2d 1252, 1259 (Fed. Cir. 2003) (“Invention requires conception.” With regard to the inventorship of chemical compounds, an inventor must have a conception of the specific compounds being claimed. “[G]eneral knowledge regarding the anticipated biological properties of groups of complex chemical compounds is insufficient to confer inventorship status with respect to specifically claimed compounds.”); Ex parte Smernoff, 215 USPQ 545, 547 (Bd. App. 1982) (“one who suggests an idea of a result to be accomplished, rather than the means of accomplishing it, is not an coinventor”). See MPEP § 2138.04§ 2138.05 for a discussion of what evidence is required to establish conception or reduction to practice.

Jump to MPEP Source · 37 CFR 2138.05PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
Topic

AIA Effective Dates

7 rules
StatutoryPermittedAlways
[mpep-2109-bf0198335315d1c86bfef6a3]
Inventors Must Be Identified After September 16, 2012
Note:
Foreign applicants may misunderstand U.S. patent law regarding inventor identification after the AIA effective date.

The requirement that the applicant for a patent in an application filed before September 16, 2012 be the inventor(s) (except as otherwise provided in pre-AIA 37 CFR 1.41), and that the inventor or each joint inventor be identified in applications filed on or after September 16, 2012, are characteristics of U.S. patent law not generally shared by other countries. Consequently, foreign applicants may misunderstand U.S. law regarding naming of the actual inventors causing an error in the inventorship of a U.S. application that may claim priority to a previous foreign application under 35 U.S.C. 119. A request under 37 CFR 1.48 is required to correct any error in the inventorship in the U.S. application as filed. See MPEP § 602.01(c) et seq. Foreign applicants may need to be reminded of the requirement for the same inventor or at least one common joint inventor between a U.S. application and a 35 U.S.C. 119 priority application. See MPEP § 213.02, subsection II.

Jump to MPEP Source · 37 CFR 1.41)AIA Effective DatesAssignee as Applicant SignatureAIA Overview and Effective Dates
StatutoryPermittedAlways
[mpep-2109-42013a50e600894f80533aa2]
Same Inventor or Common Joint Inventor Required for Priority Claim
Note:
Foreign applicants must ensure the U.S. application and its priority application share the same inventor or at least one common joint inventor.

The requirement that the applicant for a patent in an application filed before September 16, 2012 be the inventor(s) (except as otherwise provided in pre-AIA 37 CFR 1.41), and that the inventor or each joint inventor be identified in applications filed on or after September 16, 2012, are characteristics of U.S. patent law not generally shared by other countries. Consequently, foreign applicants may misunderstand U.S. law regarding naming of the actual inventors causing an error in the inventorship of a U.S. application that may claim priority to a previous foreign application under 35 U.S.C. 119. A request under 37 CFR 1.48 is required to correct any error in the inventorship in the U.S. application as filed. See MPEP § 602.01(c) et seq. Foreign applicants may need to be reminded of the requirement for the same inventor or at least one common joint inventor between a U.S. application and a 35 U.S.C. 119 priority application. See MPEP § 213.02, subsection II.

Jump to MPEP Source · 37 CFR 1.41)AIA Effective DatesAssignee as Applicant SignatureAIA Overview and Effective Dates
StatutoryRequiredAlways
[mpep-2109-28f795958b48c2d1b5a7cdc0]
Inventor’s Oath or Declaration Required for Non-Provisional Patent Applications
Note:
An inventor must sign an oath or declaration in a non-provisional patent application, with specific requirements differing based on the filing date.

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 for detailed information pertaining to naming the inventor. 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.

Jump to MPEP Source · 37 CFR 1.64AIA Effective DatesDetermining Whether Application Is AIA or Pre-AIAAIA Overview and Effective Dates
StatutoryPermittedAlways
[mpep-2109-a69a56867745754dcd3f0043]
Inventors Defined by Oath for Pre-AIA Applications
Note:
For applications filed before September 16, 2012, the inventors are presumed to be those who signed the oath or declaration.

For applications filed before September 16, 2012, 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 otherwise provided. Thus the party or parties executing an oath or declaration under pre-AIA 37 CFR 1.63 are presumed to be the inventors. Driscoll v. Cebalo, 5 USPQ2d 1477, 1481 (Bd. Pat. Inter. 1982); In re DeBaun, 687 F.2d 459, 463, 214 USPQ 933, 936 (CCPA 1982) (The inventor of an element, per se, and the inventor of that element as used in a combination may differ. “The existence of combination claims does not evidence inventorship by the patentee of the individual elements or subcombinations thereof if the latter are not separately claimed apart from the combination.” (quoting In re Facius, 408 F.2d 1396, 1406, 161 USPQ 294, 301 (CCPA 1969) (emphasis in original)); Brader v. Schaeffer, 193 USPQ 627, 631 (Bd. Pat. Inter. 1976) (in regard to an inventorship correction: “[a]s between inventors their word is normally taken as to who are the actual inventors” when there is no disagreement).

Jump to MPEP Source · 37 CFR 1.41(a)(1)AIA Effective DatesAIA Oath/Declaration Requirements (37 CFR 1.63)Pre-AIA Oath/Declaration Requirements
StatutoryInformativeAlways
[mpep-2109-b0943c1b4ed4a33106fb41ad]
Combination Claims Do Not Imply Individual Inventorship
Note:
This rule states that the presence of combination claims in a patent application does not automatically establish inventorship for individual elements or subcombinations unless they are separately claimed.

For applications filed before September 16, 2012, 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 otherwise provided. Thus the party or parties executing an oath or declaration under pre-AIA 37 CFR 1.63 are presumed to be the inventors. Driscoll v. Cebalo, 5 USPQ2d 1477, 1481 (Bd. Pat. Inter. 1982); In re DeBaun, 687 F.2d 459, 463, 214 USPQ 933, 936 (CCPA 1982) (The inventor of an element, per se, and the inventor of that element as used in a combination may differ. “The existence of combination claims does not evidence inventorship by the patentee of the individual elements or subcombinations thereof if the latter are not separately claimed apart from the combination.” (quoting In re Facius, 408 F.2d 1396, 1406, 161 USPQ 294, 301 (CCPA 1969) (emphasis in original)); Brader v. Schaeffer, 193 USPQ 627, 631 (Bd. Pat. Inter. 1976) (in regard to an inventorship correction: “[a]s between inventors their word is normally taken as to who are the actual inventors” when there is no disagreement).

Jump to MPEP Source · 37 CFR 1.41(a)(1)AIA Effective DatesAIA Oath/Declaration Requirements (37 CFR 1.63)Pre-AIA Oath/Declaration Requirements
StatutoryInformativeAlways
[mpep-2109-d994f020cd45851c422d3359]
Inventors Defined by Oath or Declaration
Note:
The inventors are presumed to be the parties executing an oath or declaration under pre-AIA 37 CFR 1.63.

For applications filed before September 16, 2012, 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 otherwise provided. Thus the party or parties executing an oath or declaration under pre-AIA 37 CFR 1.63 are presumed to be the inventors. Driscoll v. Cebalo, 5 USPQ2d 1477, 1481 (Bd. Pat. Inter. 1982); In re DeBaun, 687 F.2d 459, 463, 214 USPQ 933, 936 (CCPA 1982) (The inventor of an element, per se, and the inventor of that element as used in a combination may differ. “The existence of combination claims does not evidence inventorship by the patentee of the individual elements or subcombinations thereof if the latter are not separately claimed apart from the combination.” (quoting In re Facius, 408 F.2d 1396, 1406, 161 USPQ 294, 301 (CCPA 1969) (emphasis in original)); Brader v. Schaeffer, 193 USPQ 627, 631 (Bd. Pat. Inter. 1976) (in regard to an inventorship correction: “[a]s between inventors their word is normally taken as to who are the actual inventors” when there is no disagreement).

Jump to MPEP Source · 37 CFR 1.41(a)(1)AIA Effective DatesAIA Oath/Declaration Requirements (37 CFR 1.63)Pre-AIA Oath/Declaration Requirements
StatutoryRequiredAlways
[mpep-2109-c8ade4aba85f4b97e9b7a738]
Prior Application Must Disclose Named Inventor’s Invention
Note:
The prior filed application must disclose the named inventor’s invention claimed in at least one claim of the later filed application as required by 35 U.S.C. 112.

An application claiming the benefit of a prior filed copending national or international application under 35 U.S.C. 120 must name as an inventor at least one inventor named in the prior filed application. The prior filed application must also disclose the named inventor’s invention claimed in at least one claim of the later filed application in the manner provided by 35 U.S.C. 112(a) for applications filed on or after September 16, 2012, or 35 U.S.C. 112, first paragraph for applications filed prior to September 16, 2012. This practice contrasts with the practice in effect prior to November 8, 1984 (the date of enactment of Public Law 98-622) where the inventorship entity in each of the applications was required to be the same for benefit under 35 U.S.C. 120.

Jump to MPEP SourceAIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
Topic

AIA Overview and Effective Dates

6 rules
StatutoryInformativeAlways
[mpep-2109-657ba433906560fb9abf1835]
Inventors Must Be Individuals
Note:
The Patent Act defines inventors as individuals, including joint inventors.

“The Patent Act expressly provides that inventors are ‘individuals.’ Since 2011, with the passage of the Leahy-Smith America Invents Act, the Patent Act has defined an ‘inventor’ as the ‘individual’ or, if a joint invention, the individuals collectively who invented or discovered the subject matter of the invention.’ 35 U.S.C. 100(f) (emphasis added). The Act similarly defines ‘joint inventor and ‘coinventor’ as ‘any 1 of the individuals who invented or discovered the subject matter of a joint invention.’ § 100(g) (emphasis added). In describing the statements required of an inventor when applying for a patent, the statute consistently refers to inventors and co-inventors as ‘individuals.’” Thaler v. Vidal, 43 F.4th 1207, 1211 (Fed. Cir. 2022).

Jump to MPEP SourceAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-2109-4f7436334d7d92d13c5cbe92]
Inventors Must Be Individuals
Note:
The Patent Act defines inventors as individuals who invented or discovered the subject matter of an invention, including joint inventions.

“The Patent Act expressly provides that inventors are ‘individuals.’ Since 2011, with the passage of the Leahy-Smith America Invents Act, the Patent Act has defined an ‘inventor’ as the ‘individual’ or, if a joint invention, the individuals collectively who invented or discovered the subject matter of the invention.’ 35 U.S.C. 100(f) (emphasis added). The Act similarly defines ‘joint inventor and ‘coinventor’ as ‘any 1 of the individuals who invented or discovered the subject matter of a joint invention.’ § 100(g) (emphasis added). In describing the statements required of an inventor when applying for a patent, the statute consistently refers to inventors and co-inventors as ‘individuals.’” Thaler v. Vidal, 43 F.4th 1207, 1211 (Fed. Cir. 2022).

Jump to MPEP SourceAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-2109-6883901812ff3d772f470a1a]
Inventors Must Be Individuals
Note:
The Patent Act defines inventors and joint inventors as individuals who invented or discovered the subject matter of an invention.

“The Patent Act expressly provides that inventors are ‘individuals.’ Since 2011, with the passage of the Leahy-Smith America Invents Act, the Patent Act has defined an ‘inventor’ as the ‘individual’ or, if a joint invention, the individuals collectively who invented or discovered the subject matter of the invention.’ 35 U.S.C. 100(f) (emphasis added). The Act similarly defines ‘joint inventor and ‘coinventor’ as ‘any 1 of the individuals who invented or discovered the subject matter of a joint invention.’ § 100(g) (emphasis added). In describing the statements required of an inventor when applying for a patent, the statute consistently refers to inventors and co-inventors as ‘individuals.’” Thaler v. Vidal, 43 F.4th 1207, 1211 (Fed. Cir. 2022).

Jump to MPEP SourceAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-2109-e5301d5d16b1a489a612041f]
Definition of Joint Inventors and Coinventors
Note:
The rule defines a joint inventor as any individual who contributed to the invention, aligning with the Patent Act's definition since 2011.

“The Patent Act expressly provides that inventors are ‘individuals.’ Since 2011, with the passage of the Leahy-Smith America Invents Act, the Patent Act has defined an ‘inventor’ as the ‘individual’ or, if a joint invention, the individuals collectively who invented or discovered the subject matter of the invention.’ 35 U.S.C. 100(f) (emphasis added). The Act similarly defines ‘joint inventor and ‘coinventor’ as ‘any 1 of the individuals who invented or discovered the subject matter of a joint invention.’ § 100(g) (emphasis added). In describing the statements required of an inventor when applying for a patent, the statute consistently refers to inventors and co-inventors as ‘individuals.’” Thaler v. Vidal, 43 F.4th 1207, 1211 (Fed. Cir. 2022).

Jump to MPEP SourceAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-2109-3ba5cc541348f2789120aa7c]
Inventors Must Be Individuals
Note:
The Patent Act defines inventors and joint inventors as individuals who invented or discovered the subject matter of an invention.

“The Patent Act expressly provides that inventors are ‘individuals.’ Since 2011, with the passage of the Leahy-Smith America Invents Act, the Patent Act has defined an ‘inventor’ as the ‘individual’ or, if a joint invention, the individuals collectively who invented or discovered the subject matter of the invention.’ 35 U.S.C. 100(f) (emphasis added). The Act similarly defines ‘joint inventor and ‘coinventor’ as ‘any 1 of the individuals who invented or discovered the subject matter of a joint invention.’ § 100(g) (emphasis added). In describing the statements required of an inventor when applying for a patent, the statute consistently refers to inventors and co-inventors as ‘individuals.’” Thaler v. Vidal, 43 F.4th 1207, 1211 (Fed. Cir. 2022).

Jump to MPEP SourceAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-2109-823a858be18b05802f7769ef]
Inventors and Co-inventors Must Be Described As Individuals
Note:
The statute requires that inventors and co-inventors be described as individuals when applying for a patent.

“The Patent Act expressly provides that inventors are ‘individuals.’ Since 2011, with the passage of the Leahy-Smith America Invents Act, the Patent Act has defined an ‘inventor’ as the ‘individual’ or, if a joint invention, the individuals collectively who invented or discovered the subject matter of the invention.’ 35 U.S.C. 100(f) (emphasis added). The Act similarly defines ‘joint inventor and ‘coinventor’ as ‘any 1 of the individuals who invented or discovered the subject matter of a joint invention.’ § 100(g) (emphasis added). In describing the statements required of an inventor when applying for a patent, the statute consistently refers to inventors and co-inventors as ‘individuals.’” Thaler v. Vidal, 43 F.4th 1207, 1211 (Fed. Cir. 2022).

Jump to MPEP SourceAIA Overview and Effective DatesAIA vs Pre-AIA Practice
Topic

First Inventor to File (FITF) System

2 rules
StatutoryInformativeAlways
[mpep-2109-08d84d77245a5e13755e7c70]
Different Inventive Entities with Non-Common Inventors
Note:
This rule states that inventorship is generally attributed to 'another' entity when there are different inventive entities and at least one inventor is not in common.

Inventorship is generally “by another” where there are different inventive entities and there is at least one inventor that is not in common. For information relating to inventorship by “another” involving different inventive entities with at least one inventor in common, see MPEP § 2153.01(a) for applications subject to examination under the first inventor to file (FITF) provisions of the AIA, and MPEP § 2136.04 for applications subject to examination under pre-AIA law.

Jump to MPEP SourceFirst Inventor to File (FITF) SystemAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-2109-7981b4cd8a87ffcca8fee0cc]
Inventorship by Another with Common Inventors
Note:
Describes the rules for inventorship when different inventive entities share at least one common inventor, under both AIA and pre-AIA examination procedures.

Inventorship is generally “by another” where there are different inventive entities and there is at least one inventor that is not in common. For information relating to inventorship by “another” involving different inventive entities with at least one inventor in common, see MPEP § 2153.01(a) for applications subject to examination under the first inventor to file (FITF) provisions of the AIA, and MPEP § 2136.04 for applications subject to examination under pre-AIA law.

Jump to MPEP SourceFirst Inventor to File (FITF) SystemAIA vs Pre-AIA Practice
Topic

Statutory Authority for Examination

2 rules
StatutoryRequiredAlways
[mpep-2109-f840a92d48547770a57dca37]
Examiner Must Verify Common Inventors and Compliance with 120/78 Requirements
Note:
The examiner must ensure that the earlier and later applications have at least one inventor in common and meet all 35 U.S.C. 120 and 37 CFR 1.78 requirements before granting a claim for 120 benefit.

In addition to the normal examination conducted by the examiner, the examiner must examine the earlier filed application to determine if the earlier and later applications have at least one inventor in common and that the other 35 U.S.C. 120 and 37 CFR 1.78 requirements are met. See MPEP § 211 et seq. The claim for 35 U.S.C. 120 benefit will be permitted without examination of the earlier application for disclosure and support of at least one claim of the later filed application under 35 U.S.C. 112 unless it becomes necessary to do so, for example, because of an intervening reference.

Jump to MPEP Source · 37 CFR 1.78Statutory Authority for ExaminationExamination ProceduresDomestic Benefit Claims (35 U.S.C. 120/121)
StatutoryPermittedAlways
[mpep-2109-25533b5c6c607d7df3187a33]
35 U.S.C. 120 Benefit Without Examination
Note:
The claim for 35 U.S.C. 120 benefit can be permitted without examining the earlier application for disclosure and support of at least one claim in the later filed application under 35 U.S.C. 112, unless an intervening reference makes it necessary.

In addition to the normal examination conducted by the examiner, the examiner must examine the earlier filed application to determine if the earlier and later applications have at least one inventor in common and that the other 35 U.S.C. 120 and 37 CFR 1.78 requirements are met. See MPEP § 211 et seq. The claim for 35 U.S.C. 120 benefit will be permitted without examination of the earlier application for disclosure and support of at least one claim of the later filed application under 35 U.S.C. 112 unless it becomes necessary to do so, for example, because of an intervening reference.

Jump to MPEP Source · 37 CFR 1.78Statutory Authority for ExaminationExamination ProceduresDomestic Benefit Claims (35 U.S.C. 120/121)
Topic

Inventorship Under AIA

1 rules
StatutoryRequiredAlways
[mpep-2109-9bf2591a2078d059863d5e26]
Requirement for Correcting Inventorship Errors
Note:
A request under 37 CFR 1.48 is required to correct any error in the inventorship in a U.S. application as filed.

The requirement that the applicant for a patent in an application filed before September 16, 2012 be the inventor(s) (except as otherwise provided in pre-AIA 37 CFR 1.41), and that the inventor or each joint inventor be identified in applications filed on or after September 16, 2012, are characteristics of U.S. patent law not generally shared by other countries. Consequently, foreign applicants may misunderstand U.S. law regarding naming of the actual inventors causing an error in the inventorship of a U.S. application that may claim priority to a previous foreign application under 35 U.S.C. 119. A request under 37 CFR 1.48 is required to correct any error in the inventorship in the U.S. application as filed. See MPEP § 602.01(c) et seq. Foreign applicants may need to be reminded of the requirement for the same inventor or at least one common joint inventor between a U.S. application and a 35 U.S.C. 119 priority application. See MPEP § 213.02, subsection II.

Jump to MPEP Source · 37 CFR 1.41)Inventorship Under AIAAIA Effective DatesAssignee as Applicant Signature
Topic

Pre-AIA 102(f) – Derivation (MPEP 2137)

1 rules
StatutoryRecommendedAlways
[mpep-2109-5d046cb69caa3b7e5b4f1357]
Requirement for Correct Inventorship
Note:
If the named inventor is incorrect and this is admitted, a rejection should be made based on failure to set forth correct inventorship under pre-AIA 35 U.S.C. 102(f).

If a determination is made that the inventive entity named in a U.S. application is not correct, such as when a request under 37 CFR 1.48(a) is not granted or is not entered for technical reasons, but the admission therein regarding the error in inventorship is uncontroverted, a rejection should be made on this basis. See MPEP § 2157 for rejections under 35 U.S.C. 101 and 35 U.S.C. 115, and MPEP § 2137 for rejections under pre-AIA 35 U.S.C. 102(f) (for applications subject to pre-AIA 35 U.S.C. 102), for failure to set forth the correct inventorship.

Jump to MPEP Source · 37 CFR 1.48(a)Pre-AIA 102(f) – Derivation (MPEP 2137)Inventorship Under AIAAIA vs Pre-AIA 102 (MPEP 2151)
Topic

Nationals and Residents

1 rules
StatutoryRequiredAlways
[mpep-2109-c8d597c79fbed2117e087fc7]
Invention Must Be Named In Both Applications
Note:
An application claiming priority must name at least one inventor named in the prior filed application.

An application claiming the benefit of a prior filed copending national or international application under 35 U.S.C. 120 must name as an inventor at least one inventor named in the prior filed application. The prior filed application must also disclose the named inventor’s invention claimed in at least one claim of the later filed application in the manner provided by 35 U.S.C. 112(a) for applications filed on or after September 16, 2012, or 35 U.S.C. 112, first paragraph for applications filed prior to September 16, 2012. This practice contrasts with the practice in effect prior to November 8, 1984 (the date of enactment of Public Law 98-622) where the inventorship entity in each of the applications was required to be the same for benefit under 35 U.S.C. 120.

Jump to MPEP SourceNationals and ResidentsReceiving Office (RO/US)PCT International Application Filing
Topic

Effect of International Filing

1 rules
StatutoryRequiredAlways
[mpep-2109-af9b04cc8ba55a00a5f6cda6]
Inventors Must Match Between Applications
Note:
The inventor named in the later filed application must be listed as an inventor in the prior filed application for benefit under 35 U.S.C. 120.

An application claiming the benefit of a prior filed copending national or international application under 35 U.S.C. 120 must name as an inventor at least one inventor named in the prior filed application. The prior filed application must also disclose the named inventor’s invention claimed in at least one claim of the later filed application in the manner provided by 35 U.S.C. 112(a) for applications filed on or after September 16, 2012, or 35 U.S.C. 112, first paragraph for applications filed prior to September 16, 2012. This practice contrasts with the practice in effect prior to November 8, 1984 (the date of enactment of Public Law 98-622) where the inventorship entity in each of the applications was required to be the same for benefit under 35 U.S.C. 120.

Jump to MPEP SourceEffect of International FilingAIA Effective DatesNationals and Residents
Topic

Domestic Benefit Claims (35 U.S.C. 120/121)

1 rules
StatutoryInformativeAlways
[mpep-2109-be6becac1836443a4a79a06e]
Claim for 35 U.S.C. 120 Benefit Without Additional Notifications
Note:
If applications share at least one inventor and meet other requirements, the Office allows claiming 35 U.S.C. 120 benefit without further notifications from applicants regarding inventorship differences.

So long as the applications have at least one inventor in common and the other requirements are met, the Office will permit a claim for 35 U.S.C. 120 benefit without any additional submissions or notifications from applicants regarding inventorship differences.

Jump to MPEP SourceDomestic Benefit Claims (35 U.S.C. 120/121)Priority and Benefit Claims

Citations

Primary topicCitation
AIA Overview and Effective Dates35 U.S.C. § 100(f)
AIA Overview and Effective Dates35 U.S.C. § 100(g)
Pre-AIA 102(f) – Derivation (MPEP 2137)35 U.S.C. § 101
Pre-AIA 102(f) – Derivation (MPEP 2137)35 U.S.C. § 102
Pre-AIA 102(f) – Derivation (MPEP 2137)35 U.S.C. § 102(f)
35 U.S.C. § 111(a)
AIA Effective Dates
Effect of International Filing
Nationals and Residents
Statutory Authority for Examination
35 U.S.C. § 112
AIA Effective Dates
Effect of International Filing
Nationals and Residents
35 U.S.C. § 112(a)
Pre-AIA 102(f) – Derivation (MPEP 2137)35 U.S.C. § 115
35 U.S.C. § 116
AIA Effective Dates
Inventorship Under AIA
35 U.S.C. § 119
AIA Effective Dates
Domestic Benefit Claims (35 U.S.C. 120/121)
Effect of International Filing
Nationals and Residents
Statutory Authority for Examination
35 U.S.C. § 120
AIA Effective Dates
Inventorship Under AIA
37 CFR § 1.41
AIA Effective Dates37 CFR § 1.41(a)(1)
37 CFR § 1.41(b)
AIA Effective Dates
Inventorship Under AIA
37 CFR § 1.48
Pre-AIA 102(f) – Derivation (MPEP 2137)37 CFR § 1.48(a)
AIA Effective Dates37 CFR § 1.63
AIA Effective Dates37 CFR § 1.64
37 CFR § 1.76
Statutory Authority for Examination37 CFR § 1.78
PTAB Jurisdiction37 CFR § 2138.05
MPEP § 2109.01
Statutory Authority for ExaminationMPEP § 211
AIA Effective Dates
Inventorship Under AIA
MPEP § 213.02
First Inventor to File (FITF) SystemMPEP § 2136.04
Pre-AIA 102(f) – Derivation (MPEP 2137)MPEP § 2137
PTAB JurisdictionMPEP § 2138.04
First Inventor to File (FITF) SystemMPEP § 2153.01(a)
Pre-AIA 102(f) – Derivation (MPEP 2137)MPEP § 2157
AIA Effective DatesMPEP § 602.01
AIA Effective DatesMPEP § 602.01(a)
AIA Effective DatesMPEP § 602.01(b)
AIA Effective Dates
Inventorship Under AIA
MPEP § 602.01(c)
MPEP § 602.09
Beech Aircraft Corp. v. EDO Corp., 990 F.2d 1237, 1248, 26 USPQ2d 1572, 1581 (Fed. Cir. 1993)
Davis v. Carrier, 81 F.2d 250, 252, 28 USPQ 227, 229 (CCPA 1936)
AIA Effective DatesIn re DeBaun, 687 F.2d 459, 463, 214 USPQ 933, 936 (CCPA 1982)
AIA Effective DatesIn re Facius, 408 F.2d 1396, 1406, 161 USPQ 294, 301 (CCPA 1969)
See also Mattor v. Coolegem, 530 F.2d 1391, 1395, 189 USPQ 201, 204 (CCPA 1976)

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2026-01-10