37 CFR § 1.43 — Application for patent by a legal (MPEP Coverage Index) – BlueIron IP

This page consolidates MPEP guidance interpreting 37 CFR § 1.43, including 83 rules from the Manual of Patent Examining Procedure. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Summary

The legal representative must file an application for patent on behalf of a deceased or incapacitated inventor, including a declaration confirming their authority to act.

What this section covers

This section addresses the process of filing an application on behalf of a deceased or incapacitated inventor.

Key obligations

The legal representative must file an application for patent on behalf of the deceased or incapacitated inventor.
The application must include a declaration or oath from the legal representative, confirming their authority to act on behalf of the inventor.
Compliance with USC and CFR requirements is necessary for filing a valid application by a legal representative.

Practice notes

Practitioners should ensure the legal representative has all necessary documentation, including proof of authority and identity.
Practitioners should be aware that delays may occur if the legal representative fails to provide complete and accurate information.

Who Can Be an Applicant for a PatentMPEP 1490
Legal Representative of Deceased Inventor as ApplicantMPEP 1490
Joint Inventors Applying for PatentMPEP 1490
Assignee Requirement for Patent ApplicationMPEP 1490
Requirement for Patent Applications Filed After September 16, 2012MPEP 1893.01(b)
Substitute Statement for Deceased InventorMPEP 1893.01(e)Prohibited
Definition of Applicant for PatentMPEP 402.02(a)
Joint Inventors Can Appoint RepresentativeMPEP 402.02(a)Permitted
Applicant Must Sign Power of AttorneyMPEP 402.02(a)Required
Nonsigning Inventor Can Join Application but Not Revoke Power of AttorneyMPEP 402.05(a)Permitted
Legal Representative for Deceased Inventor Not Required to Provide ProofMPEP 409.01(a)Required
Proper Legal Representation Required for Deceased InventorMPEP 409.01(a)Recommended
New Letters Required for Invention Application After Executor DischargeMPEP 409.01(a)Permitted
Executors and Administrators Must Fit Case CircumstancesMPEP 409.01(a)Required
Executors and Administrators Can ApplyMPEP 409.01(a)Permitted
Living Inventors Must Prove Deceased Co-Inventor DiedMPEP 409.01(a)Required
Living Inventors' Signatures Required After Deceased Co-Inventor DiesMPEP 409.01(a)Required
Legal Representative Must Submit Substitute StatementMPEP 409.01(a)Required
Legal Representative Required for Joint Inventor ApplicationMPEP 409.01(a)Required
Legal Representative Can Make Inventor's Oath for Patent ApplicationMPEP 409.01(b)Permitted
Court Appointment for Oath/Declaration Execution When Inventor is IncapacitatedMPEP 409.01(b)Required
Legal Representative Can Apply for PatentMPEP 409.01(b)Permitted
Heirs May Apply If No ExecutorMPEP 409.01(b)Required
Heirs Must Identify as Legal RepresentativeMPEP 409.01(b)Recommended
Proof of Authority for Deceased Inventor Not NeededMPEP 409.01(b)Required
Proper Legal Representation Required for Deceased InventorMPEP 409.01(b)Recommended
New Letters Required for Invention Application After Executor DischargeMPEP 409.01(b)Permitted
Executor and Administrator Must Fit Case CircumstancesMPEP 409.01(b)Required
Permitted Applicant for Executor or AdministratorMPEP 409.01(b)Permitted
Administrator May Prosecute After Inventor DiesMPEP 409.01(b)Permitted
Executor or Administrator Must Intervene After Inventor DeathMPEP 409.01(b)Required
Living Inventors Must Prove Deceased Co-Inventor DiedMPEP 409.01(b)Required
Living Joint Inventors' Signatures Required After Deceased Inventor DiesMPEP 409.01(b)Required
Legal Representative Must Submit Oath When InterveningMPEP 409.01(b)Required
Legal Representative Must Sign Papers After Joint Inventor DiesMPEP 409.01(b)Required
Inventor's Oath/Declaration Substitute Allowed Under Certain ConditionsMPEP 409.05Prohibited
Requirement for Applicant Name and AddressMPEP 601.05(a)
Requirement for Applicant Information on ADSMPEP 601.05(a)Recommended
Inventor's Oath/Declaration Substitute Allowed Under Certain ConditionsMPEP 604Prohibited
Nonsigning Inventor Can Join Application LaterMPEP 604Permitted
Nonsigning Inventor Cannot Grant POAMPEP 604
Inventor's Substitute Statement RequirementMPEP 604Prohibited
Requirement for Substitute Statement on Deceased Inventor's BehalfMPEP 604Prohibited
Substitute Statement for Missing SignaturesMPEP 604Recommended
Joint Inventors Must Execute Substitute StatementMPEP 604Prohibited
Joint Inventors Cannot Execute for Deceased or Incapacitated Co-InventorMPEP 604Prohibited
Substitute Statement by Legal Representative or ApplicantMPEP 604Permitted
Legal Representative Must Execute Substitute Statement for Deceased InventorMPEP 604
Assignee Can Execute Substitute StatementMPEP 604Permitted
All Parties Can Sign Substitute Statement Under 37 CFR 1.46MPEP 604Permitted
All Parties Must Sign Substitute Statement for Non-Signing InventorMPEP 604Required
Applicant Must Execute Substitute StatementMPEP 604Permitted
Assignees Must Jointly Name ApplicantsMPEP 604Recommended
Second Inventor Refusal Requires Substitute StatementMPEP 604Required
Appropriate Officials Must Execute Substitute Statement for Composite ApplicantMPEP 604Required
Both Companies Must Sign Patent ApplicationMPEP 604
All Patent Ownership Parties Must Act TogetherMPEP 604Required
Definition of Applicant for PatentMPEP 605.01
Definition of Patent ApplicantMPEP 605.01
Definition of Applicant for Patent ApplicationMPEP 605.01
Applicant for Patent by Assignee or Obligated PartyMPEP 605.01
Joint Inventors Applying Without Omitted Inventor(s)MPEP 605.01
Legal Representative May File Patent on Deceased Inventor's BehalfMPEP 605.01Permitted

Applicant Must Sign Power of AttorneyMPEP 402.02(a)Required
Legal Representative for Deceased Inventor Not Required to Provide ProofMPEP 409.01(a)Required
Executors and Administrators Must Fit Case CircumstancesMPEP 409.01(a)Required
Living Inventors Must Prove Deceased Co-Inventor DiedMPEP 409.01(a)Required
Living Inventors' Signatures Required After Deceased Co-Inventor DiesMPEP 409.01(a)Required
Legal Representative Must Submit Substitute StatementMPEP 409.01(a)Required
Legal Representative Required for Joint Inventor ApplicationMPEP 409.01(a)Required
Court Appointment for Oath/Declaration Execution When Inventor is IncapacitatedMPEP 409.01(b)Required
Heirs May Apply If No ExecutorMPEP 409.01(b)Required
Proof of Authority for Deceased Inventor Not NeededMPEP 409.01(b)Required
Executor and Administrator Must Fit Case CircumstancesMPEP 409.01(b)Required
Executor or Administrator Must Intervene After Inventor DeathMPEP 409.01(b)Required
Living Inventors Must Prove Deceased Co-Inventor DiedMPEP 409.01(b)Required
Living Joint Inventors' Signatures Required After Deceased Inventor DiesMPEP 409.01(b)Required
Legal Representative Must Submit Oath When InterveningMPEP 409.01(b)Required
Legal Representative Must Sign Papers After Joint Inventor DiesMPEP 409.01(b)Required
All Parties Must Sign Substitute Statement for Non-Signing InventorMPEP 604Required
Second Inventor Refusal Requires Substitute StatementMPEP 604Required
Appropriate Officials Must Execute Substitute Statement for Composite ApplicantMPEP 604Required
All Patent Ownership Parties Must Act TogetherMPEP 604Required

Application by Legal Representative for Deceased InventorMPEP 1893.01(b)Permitted
Patents Can Be Issued to Inventor’s Legal Representative After DeathMPEP 1893.01(b)Permitted
Application by Legal Representative for Deceased InventorMPEP 409.01(a)Permitted
Patents Can Be Issued to Inventor’s Legal Representative After Death During Application ProcessMPEP 409.01(a)Permitted
Application by Assignee for Deceased InventorMPEP 409.01(a)Permitted
37 CFR 1.46 Assignee Can Execute Substitute StatementMPEP 409.01(a)Permitted
Application by Legal Representative for Deceased InventorMPEP 409.01(a)Permitted
Patents Can Be Issued to Inventor’s Legal Representative After DeathMPEP 409.01(a)Permitted
Death Terminates Power of Attorney Before September 16, 2012MPEP 409.01(b)
New Power Required for Sole Inventor’s DeathMPEP 409.01(b)
Specification Requirement Before Inventor DeathMPEP 409.01(b)
Incompetence Not Excuse for Filing Under Pre-AIA 37 CFR 1.47MPEP 409.03(d)
Petition for Pre-AIA Filing Under Special CircumstancesMPEP 409.03(d)Permitted
Petition Under Pre-AIA 37 CFR 1.47 InappropriateMPEP 409.03(d)
Legal Representative Gross Income Limit for Micro Entity StatusMPEP 509.04(a)Prohibited
Surviving Spouse Gross Income Limit for Micro Entity StatusMPEP 509.04(a)Prohibited
Assignee Must Meet Gross Income LimitMPEP 509.04(a)
Other Joint Inventors, Assignees, and Licensees Must Meet Gross Income LimitMPEP 509.04(a)
Application by Legal Representative for Deceased InventorMPEP 605.01Permitted
Patent Can Be Issued to Inventor’s Legal Representative After DeathMPEP 605.01Permitted

MPEP Section	Rules
MPEP § 1490	Who Can Be an Applicant for a PatentMPEP 1490 Legal Representative of Deceased Inventor as ApplicantMPEP 1490 Joint Inventors Applying for PatentMPEP 1490 Assignee Requirement for Patent ApplicationMPEP 1490
MPEP § 1893.01(b)	Requirement for Patent Applications Filed After September 16, 2012MPEP 1893.01(b) Application by Legal Representative for Deceased InventorMPEP 1893.01(b)Permitted Patents Can Be Issued to Inventor’s Legal Representative After DeathMPEP 1893.01(b)Permitted
MPEP § 1893.01(e)	Substitute Statement for Deceased InventorMPEP 1893.01(e)Prohibited
MPEP § 402.02(a)	Definition of Applicant for PatentMPEP 402.02(a) Joint Inventors Can Appoint RepresentativeMPEP 402.02(a)Permitted Applicant Must Sign Power of AttorneyMPEP 402.02(a)Required
MPEP § 402.05(a)	Nonsigning Inventor Can Join Application but Not Revoke Power of AttorneyMPEP 402.05(a)Permitted
MPEP § 409.01(a)	Application by Legal Representative for Deceased InventorMPEP 409.01(a)Permitted Patents Can Be Issued to Inventor’s Legal Representative After Death During Application ProcessMPEP 409.01(a)Permitted Application by Assignee for Deceased InventorMPEP 409.01(a)Permitted 37 CFR 1.46 Assignee Can Execute Substitute StatementMPEP 409.01(a)Permitted Application by Legal Representative for Deceased InventorMPEP 409.01(a)Permitted Patents Can Be Issued to Inventor’s Legal Representative After DeathMPEP 409.01(a)Permitted Legal Representative for Deceased Inventor Not Required to Provide ProofMPEP 409.01(a)Required Proper Legal Representation Required for Deceased InventorMPEP 409.01(a)Recommended New Letters Required for Invention Application After Executor DischargeMPEP 409.01(a)Permitted Executors and Administrators Must Fit Case CircumstancesMPEP 409.01(a)Required Executors and Administrators Can ApplyMPEP 409.01(a)Permitted Living Inventors Must Prove Deceased Co-Inventor DiedMPEP 409.01(a)Required Living Inventors' Signatures Required After Deceased Co-Inventor DiesMPEP 409.01(a)Required Legal Representative Must Submit Substitute StatementMPEP 409.01(a)Required Legal Representative Required for Joint Inventor ApplicationMPEP 409.01(a)Required
MPEP § 409.01(b)	Legal Representative Can Make Inventor's Oath for Patent ApplicationMPEP 409.01(b)Permitted Death Terminates Power of Attorney Before September 16, 2012MPEP 409.01(b) New Power Required for Sole Inventor’s DeathMPEP 409.01(b) Court Appointment for Oath/Declaration Execution When Inventor is IncapacitatedMPEP 409.01(b)Required Legal Representative Can Apply for PatentMPEP 409.01(b)Permitted Heirs May Apply If No ExecutorMPEP 409.01(b)Required Heirs Must Identify as Legal RepresentativeMPEP 409.01(b)Recommended Proof of Authority for Deceased Inventor Not NeededMPEP 409.01(b)Required Proper Legal Representation Required for Deceased InventorMPEP 409.01(b)Recommended New Letters Required for Invention Application After Executor DischargeMPEP 409.01(b)Permitted Executor and Administrator Must Fit Case CircumstancesMPEP 409.01(b)Required Permitted Applicant for Executor or AdministratorMPEP 409.01(b)Permitted Administrator May Prosecute After Inventor DiesMPEP 409.01(b)Permitted Executor or Administrator Must Intervene After Inventor DeathMPEP 409.01(b)Required Specification Requirement Before Inventor DeathMPEP 409.01(b) Living Inventors Must Prove Deceased Co-Inventor DiedMPEP 409.01(b)Required Living Joint Inventors' Signatures Required After Deceased Inventor DiesMPEP 409.01(b)Required Legal Representative Must Submit Oath When InterveningMPEP 409.01(b)Required Legal Representative Must Sign Papers After Joint Inventor DiesMPEP 409.01(b)Required
MPEP § 409.03(d)	Incompetence Not Excuse for Filing Under Pre-AIA 37 CFR 1.47MPEP 409.03(d) Petition for Pre-AIA Filing Under Special CircumstancesMPEP 409.03(d)Permitted Petition Under Pre-AIA 37 CFR 1.47 InappropriateMPEP 409.03(d)
MPEP § 409.05	Inventor's Oath/Declaration Substitute Allowed Under Certain ConditionsMPEP 409.05Prohibited
MPEP § 509.04(a)	Legal Representative Gross Income Limit for Micro Entity StatusMPEP 509.04(a)Prohibited Surviving Spouse Gross Income Limit for Micro Entity StatusMPEP 509.04(a)Prohibited Assignee Must Meet Gross Income LimitMPEP 509.04(a) Other Joint Inventors, Assignees, and Licensees Must Meet Gross Income LimitMPEP 509.04(a)
MPEP § 601.05(a)	Requirement for Applicant Name and AddressMPEP 601.05(a) Requirement for Applicant Information on ADSMPEP 601.05(a)Recommended
MPEP § 604	Inventor's Oath/Declaration Substitute Allowed Under Certain ConditionsMPEP 604Prohibited Nonsigning Inventor Can Join Application LaterMPEP 604Permitted Nonsigning Inventor Cannot Grant POAMPEP 604 Inventor's Substitute Statement RequirementMPEP 604Prohibited Requirement for Substitute Statement on Deceased Inventor's BehalfMPEP 604Prohibited Substitute Statement for Missing SignaturesMPEP 604Recommended Joint Inventors Must Execute Substitute StatementMPEP 604Prohibited Joint Inventors Cannot Execute for Deceased or Incapacitated Co-InventorMPEP 604Prohibited Substitute Statement by Legal Representative or ApplicantMPEP 604Permitted Legal Representative Must Execute Substitute Statement for Deceased InventorMPEP 604 Assignee Can Execute Substitute StatementMPEP 604Permitted All Parties Can Sign Substitute Statement Under 37 CFR 1.46MPEP 604Permitted All Parties Must Sign Substitute Statement for Non-Signing InventorMPEP 604Required Applicant Must Execute Substitute StatementMPEP 604Permitted Assignees Must Jointly Name ApplicantsMPEP 604Recommended Second Inventor Refusal Requires Substitute StatementMPEP 604Required Appropriate Officials Must Execute Substitute Statement for Composite ApplicantMPEP 604Required Both Companies Must Sign Patent ApplicationMPEP 604 All Patent Ownership Parties Must Act TogetherMPEP 604Required
MPEP § 605.01	Definition of Applicant for PatentMPEP 605.01 Application by Legal Representative for Deceased InventorMPEP 605.01Permitted Patent Can Be Issued to Inventor’s Legal Representative After DeathMPEP 605.01Permitted Definition of Patent ApplicantMPEP 605.01 Definition of Applicant for Patent ApplicationMPEP 605.01 Applicant for Patent by Assignee or Obligated PartyMPEP 605.01 Joint Inventors Applying Without Omitted Inventor(s)MPEP 605.01 Legal Representative May File Patent on Deceased Inventor's BehalfMPEP 605.01Permitted

Related Provisions

Based on MPEP Last Modified: 10/30/2024 08:50:22

37 CFR § 1.43 — Application for patent by a legal (MPEP Coverage Index) – BlueIron IP

37 CFR § 1.43 Application for patent by a legal

Summary

Official MPEP § 1.43 — Application for patent by a legal

1.43 Application for patent by a legal representative of a deceased or legally incapacitated inventor.

Verbatim in MPEP

Required Actions

Key Interpretations

Topics

MPEP Coverage

Related Provisions