MPEP § 409.01(b) — Deceased or Legally Incapacitated Inventor- Application Filed Before September 16, 2012 (Annotated Rules)

§409.01(b) Deceased or Legally Incapacitated Inventor- Application Filed Before September 16, 2012

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 409.01(b), 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.

Deceased or Legally Incapacitated Inventor- Application Filed Before September 16, 2012

This section addresses Deceased or Legally Incapacitated Inventor- Application Filed Before September 16, 2012. Primary authority: 35 U.S.C. 117, 37 CFR 1.42, and 37 CFR 1.43. Contains: 8 requirements, 2 guidance statements, and 6 permissions.

Key Rules

Topic

AIA vs Pre-AIA Practice

8 rules
StatutoryInformativeAlways
[mpep-409-01-b-1392f8353ea4d1acda4ad980]
New Power Required for Sole Inventor’s Death
Note:
If the sole inventor dies and all powers of attorney are terminated, heirs, administrators, or assignees must provide a new power.

Unless a power of attorney is coupled with an interest (i.e., a patent practitioner is assignee or part-assignee), the death of the inventor (or one of the joint inventors) terminates the power of attorney given by the deceased inventor in an application filed before September 16, 2012. A new power from the heirs, administrators, executors, or assignees is necessary if the deceased inventor is the sole inventor or all powers of attorney in the application have been terminated. See also pre-AIA 37 CFR 1.422.

Jump to MPEP Source · 37 CFR 1.422AIA vs Pre-AIA PracticeAIA Effective DatesAIA Overview and Effective Dates
StatutoryRequiredAlways
[mpep-409-01-b-d425c16ee5276f9987f81781]
Proof of Authority for Deceased Inventor Not Needed
Note:
The Office does not require proof of authority from a legal representative of a deceased inventor, but the representative should ensure proper capacity.

Proof of authority of the legal representative of a deceased or incapacitated inventor is not required. Although the Office does not require proof of authority to be filed, any person acting as a legal representative of a deceased or incapacitated inventor should ensure that he or she is properly acting in such a capacity.

Jump to MPEP Source · 37 CFR 1.43AIA vs Pre-AIA Practice
StatutoryRecommendedAlways
[mpep-409-01-b-a15ba6f6b6471f6910a68296]
Proper Legal Representation Required for Deceased Inventor
Note:
Any person acting as a legal representative of a deceased inventor must ensure they are properly authorized to act.

Proof of authority of the legal representative of a deceased or incapacitated inventor is not required. Although the Office does not require proof of authority to be filed, any person acting as a legal representative of a deceased or incapacitated inventor should ensure that he or she is properly acting in such a capacity.

Jump to MPEP Source · 37 CFR 1.43AIA vs Pre-AIA Practice
StatutoryPermittedAlways
[mpep-409-01-b-bc428414ff5f7cf4a72e85d9]
New Letters Required for Invention Application After Executor Discharge
Note:
An administrator or executor must obtain new letters of administration after being discharged to file an application for the deceased inventor's invention.

When an administrator or executor has performed his or her functions and has been discharged and it is desired to make an application for an invention of the deceased, it is necessary for the administrator or executor to take out new letters of administration in order that he or she may file a new application for an invention of the deceased inventor.

Jump to MPEP Source · 37 CFR 1.43AIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-409-01-b-ae4e0dcd0311278d74ace88e]
Executor and Administrator Must Fit Case Circumstances
Note:
The terms 'executor' and 'administrator' must be interpreted to fit the specific circumstances of each case, allowing those with corresponding authority to make an application.

The terms “Executor” and “Administrator” do not have exact counterparts in all foreign countries, and therefore, those terms must be construed to fit the circumstances of the case. Hence, the person or persons having authority corresponding to that of executor or administrator are permitted to make an application.

Jump to MPEP Source · 37 CFR 1.43AIA vs Pre-AIA Practice
StatutoryPermittedAlways
[mpep-409-01-b-c172fdc99e0b3d03379e6c85]
Permitted Applicant for Executor or Administrator
Note:
Persons with authority equivalent to an executor or administrator are permitted to make an application.

The terms “Executor” and “Administrator” do not have exact counterparts in all foreign countries, and therefore, those terms must be construed to fit the circumstances of the case. Hence, the person or persons having authority corresponding to that of executor or administrator are permitted to make an application.

Jump to MPEP Source · 37 CFR 1.43AIA vs Pre-AIA Practice
StatutoryPermittedAlways
[mpep-409-01-b-5e559bad7a6e9ef1913e9d31]
Administrator May Prosecute After Inventor Dies
Note:
The administrator of a deceased inventor’s estate can continue prosecuting an application prosecuted after assignment, unless the assignee intervenes.

When an inventor who has prosecuted an application after assignment, dies, the administrator of the deceased inventor’s estate may carry on the prosecution upon filing letters of administration unless and until the assignee intervenes (see MPEP § 402.07).

Jump to MPEP Source · 37 CFR 1.43AIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-409-01-b-4cedbf249688262e001a0f85]
Specification Requirement Before Inventor Death
Note:
The application must meet the condition for allowance before the inventor's death, as per MPEP § 409.01.

This practice is applicable to an application which has been placed in condition for allowance or passed to issue prior to notification of the death of the inventor. See MPEP § 409.01.

Jump to MPEP Source · 37 CFR 1.43AIA vs Pre-AIA Practice
Topic

Circumstances Requiring Substitute Statement

5 rules
StatutoryRequiredAlways
[mpep-409-01-b-394fba313309cd01abcf7c78]
Heirs May Apply If No Executor
Note:
Heirs can apply as legal representatives if there is no will appointing an executor and the estate's value does not meet state law requirements for administrator appointment.

Application may be made by the heirs of the inventor, as such, if there is no will or the will did not appoint an executor and the estate was under the sum required by state law for the appointment of an administrator. The heirs should identify themselves as the legal representative of the deceased inventor in the oath or declaration submitted pursuant to pre-AIA 37 CFR 1.63 and 1.64.

Jump to MPEP Source · 37 CFR 1.63Circumstances Requiring Substitute StatementSubstitute Statement (37 CFR 1.64)AIA Oath/Declaration Requirements (37 CFR 1.63)
StatutoryRecommendedAlways
[mpep-409-01-b-6485422a8468ff6f74e52af5]
Heirs Must Identify as Legal Representative
Note:
The heirs must identify themselves as the legal representative of the deceased inventor in the oath or declaration submitted under pre-AIA 37 CFR 1.63 and 1.64.

Application may be made by the heirs of the inventor, as such, if there is no will or the will did not appoint an executor and the estate was under the sum required by state law for the appointment of an administrator. The heirs should identify themselves as the legal representative of the deceased inventor in the oath or declaration submitted pursuant to pre-AIA 37 CFR 1.63 and 1.64.

Jump to MPEP Source · 37 CFR 1.63Circumstances Requiring Substitute StatementSubstitute Statement (37 CFR 1.64)AIA Oath/Declaration Requirements (37 CFR 1.63)
StatutoryRequiredAlways
[mpep-409-01-b-5901a9dee39734a666987b6d]
Living Joint Inventors' Signatures Required After Deceased Inventor Dies
Note:
If a joint inventor dies after filing, living inventors must sign papers unless the deceased's legal representative intervenes.

When an application is being prosecuted by joint inventors without a joint inventor or patent practitioner having been granted a power of attorney, and a joint inventor dies after filing the application, the living joint inventor(s) must submit proof that the other joint inventor is dead. Upon submission of such proof, only the signatures of the living joint inventors are required on the papers filed with the USPTO if the legal representative of the deceased inventor does not intervene. If the legal representative of the deceased inventor wishes to intervene, the legal representative must submit an oath or declaration in compliance with pre-AIA 37 CFR 1.63 and 1.64 (e.g., stating that he or she is the legal representative of the deceased inventor and his or her residence, citizenship and post office address). Once the legal representative of the deceased inventor intervenes in the pro se application, the signatures of the living joint inventors and the legal representative are required on the papers filed with the USPTO.

Jump to MPEP Source · 37 CFR 1.63Circumstances Requiring Substitute StatementPOA for Joint ApplicantsSubstitute Statement (37 CFR 1.64)
StatutoryRequiredAlways
[mpep-409-01-b-f06315745bfe558a938e4b9b]
Legal Representative Must Submit Oath When Intervening
Note:
The legal representative of a deceased inventor must submit an oath or declaration in compliance with pre-AIA 37 CFR 1.63 and 1.64 if they wish to intervene in the application.

When an application is being prosecuted by joint inventors without a joint inventor or patent practitioner having been granted a power of attorney, and a joint inventor dies after filing the application, the living joint inventor(s) must submit proof that the other joint inventor is dead. Upon submission of such proof, only the signatures of the living joint inventors are required on the papers filed with the USPTO if the legal representative of the deceased inventor does not intervene. If the legal representative of the deceased inventor wishes to intervene, the legal representative must submit an oath or declaration in compliance with pre-AIA 37 CFR 1.63 and 1.64 (e.g., stating that he or she is the legal representative of the deceased inventor and his or her residence, citizenship and post office address). Once the legal representative of the deceased inventor intervenes in the pro se application, the signatures of the living joint inventors and the legal representative are required on the papers filed with the USPTO.

Jump to MPEP Source · 37 CFR 1.63Circumstances Requiring Substitute StatementSubstitute Statement (37 CFR 1.64)AIA Oath/Declaration Requirements (37 CFR 1.63)
StatutoryRequiredAlways
[mpep-409-01-b-c3383a611f2f867bbd5e2144]
Legal Representative Must Sign Papers After Joint Inventor Dies
Note:
If a joint inventor dies after filing, the legal representative must sign papers with living inventors once they intervene.

When an application is being prosecuted by joint inventors without a joint inventor or patent practitioner having been granted a power of attorney, and a joint inventor dies after filing the application, the living joint inventor(s) must submit proof that the other joint inventor is dead. Upon submission of such proof, only the signatures of the living joint inventors are required on the papers filed with the USPTO if the legal representative of the deceased inventor does not intervene. If the legal representative of the deceased inventor wishes to intervene, the legal representative must submit an oath or declaration in compliance with pre-AIA 37 CFR 1.63 and 1.64 (e.g., stating that he or she is the legal representative of the deceased inventor and his or her residence, citizenship and post office address). Once the legal representative of the deceased inventor intervenes in the pro se application, the signatures of the living joint inventors and the legal representative are required on the papers filed with the USPTO.

Jump to MPEP Source · 37 CFR 1.63Circumstances Requiring Substitute StatementPOA for Joint ApplicantsSubstitute Statement (37 CFR 1.64)
Topic

AIA Definition of Applicant (37 CFR 1.42)

3 rules
StatutoryPermittedAlways
[mpep-409-01-b-2a905ac7f9b9d94fd6269231]
Executor Can Apply for Patent After Inventor Dies
Note:
The legal representative of a deceased inventor can apply for and obtain the patent after the inventor's death, provided they make the necessary oath or declaration.

In case of the death of the inventor, the legal representative (executor, administrator, etc.) of the deceased inventor may make the necessary oath or declaration, and apply for and obtain the patent. Where the inventor dies during the time intervening between the filing of the application and the granting of a patent thereon, the letters patent may be issued to the legal representative upon proper intervention.

Jump to MPEP Source · 37 CFR 1.42AIA Definition of Applicant (37 CFR 1.42)Applicant and Assignee Filing Under AIAAIA vs Pre-AIA Practice
StatutoryPermittedAlways
[mpep-409-01-b-23943a0df4201bb815b41d08]
Patent Can Be Issued to Inventor’s Legal Representative
Note:
If an inventor dies between filing the application and patent issuance, their legal representative can apply for and obtain the patent.

In case of the death of the inventor, the legal representative (executor, administrator, etc.) of the deceased inventor may make the necessary oath or declaration, and apply for and obtain the patent. Where the inventor dies during the time intervening between the filing of the application and the granting of a patent thereon, the letters patent may be issued to the legal representative upon proper intervention.

Jump to MPEP Source · 37 CFR 1.42AIA Definition of Applicant (37 CFR 1.42)Applicant and Assignee Filing Under AIAAIA vs Pre-AIA Practice
StatutoryPermittedAlways
[mpep-409-01-b-ebae2d29f4750ed1b896ab68]
Legal Representative Can Apply for Patent
Note:
A person who reasonably expects to become the legal representative of a deceased inventor may apply for a patent as such representative under pre-AIA regulations.

One who has reason to believe that he or she will be appointed legal representative of a deceased inventor may apply for a patent as legal representative in accordance with pre-AIA 37 CFR 1.42.

Jump to MPEP Source · 37 CFR 1.42AIA Definition of Applicant (37 CFR 1.42)Applicant and Assignee Filing Under AIAAIA vs Pre-AIA Practice
Topic

AIA Effective Dates

2 rules
StatutoryInformativeAlways
[mpep-409-01-b-f711b5991a93add48eee338b]
Death Terminates Power of Attorney Before September 16, 2012
Note:
The death of an inventor terminates the power of attorney in applications filed before September 16, 2012, unless coupled with an interest.

Unless a power of attorney is coupled with an interest (i.e., a patent practitioner is assignee or part-assignee), the death of the inventor (or one of the joint inventors) terminates the power of attorney given by the deceased inventor in an application filed before September 16, 2012. A new power from the heirs, administrators, executors, or assignees is necessary if the deceased inventor is the sole inventor or all powers of attorney in the application have been terminated. See also pre-AIA 37 CFR 1.422.

Jump to MPEP Source · 37 CFR 1.422AIA Effective DatesAIA Overview and Effective DatesPower of Attorney by Assignee
MPEP GuidanceInformativeAlways
[mpep-409-01-b-1e457cc07adee8cfb1c93c55]
Requirement for Deceased Inventor in Application Filed After September 16, 2012
Note:
This rule outlines the requirements for handling a deceased inventor's application filed on or after September 16, 2012.

[Editor Note: See MPEP § 409.01(a) for information pertaining to a deceased or legally incapacitated inventor in an application filed on or after September 16, 2012.]

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

AIA Oath/Declaration Requirements (37 CFR 1.63)

2 rules
StatutoryRequiredAlways
[mpep-409-01-b-3919de05b53f2935f6f47900]
Court Appointment for Oath/Declaration Execution When Inventor is Incapacitated
Note:
When an inventor becomes legally incapacitated before filing and executing the oath or declaration, a court must appoint a legal representative to execute it.

When an inventor becomes legally incapacitated prior to the filing of an application and prior to executing the oath or declaration required by pre-AIA 37 CFR 1.63 and no legal representative has been appointed, one must be appointed by a court of competent jurisdiction for the purpose of execution of the oath or declaration of the application.

Jump to MPEP Source · 37 CFR 1.63AIA Oath/Declaration Requirements (37 CFR 1.63)Pre-AIA Oath/Declaration RequirementsInventor's Oath/Declaration Requirements
StatutoryRequiredAlways
[mpep-409-01-b-0cf8408b4bd052bac7a2767a]
Executor or Administrator Must Intervene After Inventor Death
Note:
If an inventor dies after filing and swearing to an application, the executor or administrator should intervene, but the allowance will not be withheld if they do not.

When an inventor dies after filing an application and executing the oath or declaration required by pre-AIA 37 CFR 1.63, the executor or administrator should intervene, but the allowance of the application will not be withheld nor the application withdrawn from issue if the executor or administrator does not intervene.

Jump to MPEP Source · 37 CFR 1.63AIA Oath/Declaration Requirements (37 CFR 1.63)Pre-AIA Oath/Declaration RequirementsInventor's Oath/Declaration Requirements
Topic

Inventor's Oath/Declaration Requirements

1 rules
StatutoryPermittedAlways
[mpep-409-01-b-67d4e411d1f8e72d14363c09]
Legal Representative Can Make Inventor's Oath for Patent Application
Note:
When an inventor is insane or legally incapacitated, their legal representative can make the necessary oath or declaration and apply for a patent.

In case an inventor is insane or otherwise legally incapacitated, the legal representative (guardian, conservator, etc.) of such inventor may make the necessary oath or declaration, and apply for and obtain the patent.

Jump to MPEP Source · 37 CFR 1.43Inventor's Oath/Declaration RequirementsAIA vs Pre-AIA Practice
Topic

POA for Joint Applicants

1 rules
StatutoryRequiredAlways
[mpep-409-01-b-cb2baa4f28213df4e9816ddb]
Living Inventors Must Prove Deceased Co-Inventor Died
Note:
When a co-inventor dies after filing an application, living inventors must submit proof to the USPTO. If a legal representative intervenes, their signature is also required.

When an application is being prosecuted by joint inventors without a joint inventor or patent practitioner having been granted a power of attorney, and a joint inventor dies after filing the application, the living joint inventor(s) must submit proof that the other joint inventor is dead. Upon submission of such proof, only the signatures of the living joint inventors are required on the papers filed with the USPTO if the legal representative of the deceased inventor does not intervene. If the legal representative of the deceased inventor wishes to intervene, the legal representative must submit an oath or declaration in compliance with pre-AIA 37 CFR 1.63 and 1.64 (e.g., stating that he or she is the legal representative of the deceased inventor and his or her residence, citizenship and post office address). Once the legal representative of the deceased inventor intervenes in the pro se application, the signatures of the living joint inventors and the legal representative are required on the papers filed with the USPTO.

Jump to MPEP Source · 37 CFR 1.63POA for Joint ApplicantsPower of AttorneyCircumstances Requiring Substitute Statement

Citations

Primary topicCitation
AIA Definition of Applicant (37 CFR 1.42)37 CFR § 1.42
AIA Effective Dates
AIA vs Pre-AIA Practice
37 CFR § 1.422
AIA Oath/Declaration Requirements (37 CFR 1.63)
Circumstances Requiring Substitute Statement
POA for Joint Applicants
37 CFR § 1.63
AIA vs Pre-AIA PracticeMPEP § 402.07
AIA vs Pre-AIA PracticeMPEP § 409.01
AIA Effective DatesMPEP § 409.01(a)

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: 2025-12-31