Patent Law FAQ

37 CFR 1.46 is significant in patent application prosecution, particularly for applications filed on or after September 16, 2012. According to MPEP 106.01, this regulation allows the assignee of record of the entire interest to become the applicant and prosecute the application.

The MPEP states: ‘…for applications filed on or after September 16, 2012, [the assignee] can prosecute the application after becoming the applicant under 37 CFR 1.46.’

This regulation is part of the changes implemented by the America Invents Act (AIA) and provides more flexibility for assignees in managing patent applications.

For assignee applicants or persons to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership should be recorded as follows:

• As provided for in part 3 of Chapter 37 CFR
• No later than the date the issue fee is paid in the application

According to 37 CFR 1.46(b)(1): If the applicant is the assignee or a person to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership (e.g., assignment for an assignee, employment agreement for a person to whom the inventor is under an obligation to assign the invention) should be recorded as provided for in part 3 of this chapter no later than the date the issue fee is paid in the application.

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

When an application is filed by someone other than the inventor under 35 U.S.C. 111, it must contain specific information as outlined in 37 CFR 1.46(b):

• An application data sheet under § 1.76
• In the applicant information section (§ 1.76(b)(7)), specify:
  • The assignee
  • Person to whom the inventor is under an obligation to assign the invention
  • Person who otherwise shows sufficient proprietary interest in the matter

The regulation states: If an application under 35 U.S.C. 111 is made by a person other than the inventor under paragraph (a) of this section, the application must contain an application data sheet under § 1.76 specifying in the applicant information section (§ 1.76(b)(7)) the assignee, person to whom the inventor is under an obligation to assign the invention, or person who otherwise shows sufficient proprietary interest in the matter.

When a patent is granted on an application filed by someone other than the inventor, it is issued to the real party in interest. This is stipulated in both 35 U.S.C. 118 and 37 CFR 1.46(e):

35 U.S.C. 118 states: If the Director grants a patent on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest and upon such notice to the inventor as the Director considers to be sufficient.

37 CFR 1.46(e) further clarifies: If a patent is granted on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest. Otherwise, the patent may be issued to the assignee or jointly to the inventor and the assignee as provided in § 3.81.

Applicants other than the inventor must notify the USPTO of any change in the real party in interest as follows:

• Notification should be made no later than payment of the issue fee
• Changes can be indicated in Box 3 of the PTOL-85B form
• If no notification is provided, the USPTO will presume no change has occurred

According to MPEP 308: Applicants other than the inventor can notify the Office of a change in the real party in interest by providing the real party in interest in Box 3 of the PTOL-85B. See MPEP § 307. The real party in interest will be listed in the assignee section of the patent. This does not change the applicant designated in the application or on any patent that is granted.

Additionally, 37 CFR 1.46(e) states: Where a real party in interest has filed an application under § 1.46, the applicant shall notify the Office of any change in the real party in interest no later than payment of the issue fee. The Office will treat the absence of such a notice as an indication that there has been no change in the real party in interest.

For assignee applicants or persons to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership should be recorded as follows:

• As provided for in part 3 of Chapter 37 CFR
• No later than the date the issue fee is paid in the application

According to 37 CFR 1.46(b)(1): If the applicant is the assignee or a person to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership (e.g., assignment for an assignee, employment agreement for a person to whom the inventor is under an obligation to assign the invention) should be recorded as provided for in part 3 of this chapter no later than the date the issue fee is paid in the application.

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

When an application is filed by someone other than the inventor under 35 U.S.C. 111, it must contain specific information as outlined in 37 CFR 1.46(b):

• An application data sheet under § 1.76
• In the applicant information section (§ 1.76(b)(7)), specify:
  • The assignee
  • Person to whom the inventor is under an obligation to assign the invention
  • Person who otherwise shows sufficient proprietary interest in the matter

The regulation states: If an application under 35 U.S.C. 111 is made by a person other than the inventor under paragraph (a) of this section, the application must contain an application data sheet under § 1.76 specifying in the applicant information section (§ 1.76(b)(7)) the assignee, person to whom the inventor is under an obligation to assign the invention, or person who otherwise shows sufficient proprietary interest in the matter.

When a patent is granted on an application filed by someone other than the inventor, it is issued to the real party in interest. This is stipulated in both 35 U.S.C. 118 and 37 CFR 1.46(e):

35 U.S.C. 118 states: If the Director grants a patent on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest and upon such notice to the inventor as the Director considers to be sufficient.

37 CFR 1.46(e) further clarifies: If a patent is granted on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest. Otherwise, the patent may be issued to the assignee or jointly to the inventor and the assignee as provided in § 3.81.

Applicants other than the inventor must notify the USPTO of any change in the real party in interest as follows:

• Notification should be made no later than payment of the issue fee
• Changes can be indicated in Box 3 of the PTOL-85B form
• If no notification is provided, the USPTO will presume no change has occurred

According to MPEP 308: Applicants other than the inventor can notify the Office of a change in the real party in interest by providing the real party in interest in Box 3 of the PTOL-85B. See MPEP § 307. The real party in interest will be listed in the assignee section of the patent. This does not change the applicant designated in the application or on any patent that is granted.

Additionally, 37 CFR 1.46(e) states: Where a real party in interest has filed an application under § 1.46, the applicant shall notify the Office of any change in the real party in interest no later than payment of the issue fee. The Office will treat the absence of such a notice as an indication that there has been no change in the real party in interest.

For assignee applicants or persons to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership should be recorded as follows:

• As provided for in part 3 of Chapter 37 CFR
• No later than the date the issue fee is paid in the application

According to 37 CFR 1.46(b)(1): If the applicant is the assignee or a person to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership (e.g., assignment for an assignee, employment agreement for a person to whom the inventor is under an obligation to assign the invention) should be recorded as provided for in part 3 of this chapter no later than the date the issue fee is paid in the application.

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

37 CFR 1.46 is significant in patent application prosecution, particularly for applications filed on or after September 16, 2012. According to MPEP 106.01, this regulation allows the assignee of record of the entire interest to become the applicant and prosecute the application.

The MPEP states: ‘…for applications filed on or after September 16, 2012, [the assignee] can prosecute the application after becoming the applicant under 37 CFR 1.46.’

This regulation is part of the changes implemented by the America Invents Act (AIA) and provides more flexibility for assignees in managing patent applications.

When an application is filed by someone other than the inventor under 35 U.S.C. 111, it must contain specific information as outlined in 37 CFR 1.46(b):

• An application data sheet under § 1.76
• In the applicant information section (§ 1.76(b)(7)), specify:
  • The assignee
  • Person to whom the inventor is under an obligation to assign the invention
  • Person who otherwise shows sufficient proprietary interest in the matter

The regulation states: If an application under 35 U.S.C. 111 is made by a person other than the inventor under paragraph (a) of this section, the application must contain an application data sheet under § 1.76 specifying in the applicant information section (§ 1.76(b)(7)) the assignee, person to whom the inventor is under an obligation to assign the invention, or person who otherwise shows sufficient proprietary interest in the matter.

When a patent is granted on an application filed by someone other than the inventor, it is issued to the real party in interest. This is stipulated in both 35 U.S.C. 118 and 37 CFR 1.46(e):

35 U.S.C. 118 states: If the Director grants a patent on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest and upon such notice to the inventor as the Director considers to be sufficient.

37 CFR 1.46(e) further clarifies: If a patent is granted on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest. Otherwise, the patent may be issued to the assignee or jointly to the inventor and the assignee as provided in § 3.81.

Applicants other than the inventor must notify the USPTO of any change in the real party in interest as follows:

• Notification should be made no later than payment of the issue fee
• Changes can be indicated in Box 3 of the PTOL-85B form
• If no notification is provided, the USPTO will presume no change has occurred

According to MPEP 308: Applicants other than the inventor can notify the Office of a change in the real party in interest by providing the real party in interest in Box 3 of the PTOL-85B. See MPEP § 307. The real party in interest will be listed in the assignee section of the patent. This does not change the applicant designated in the application or on any patent that is granted.

Additionally, 37 CFR 1.46(e) states: Where a real party in interest has filed an application under § 1.46, the applicant shall notify the Office of any change in the real party in interest no later than payment of the issue fee. The Office will treat the absence of such a notice as an indication that there has been no change in the real party in interest.

For assignee applicants or persons to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership should be recorded as follows:

• As provided for in part 3 of Chapter 37 CFR
• No later than the date the issue fee is paid in the application

According to 37 CFR 1.46(b)(1): If the applicant is the assignee or a person to whom the inventor is under an obligation to assign the invention, documentary evidence of ownership (e.g., assignment for an assignee, employment agreement for a person to whom the inventor is under an obligation to assign the invention) should be recorded as provided for in part 3 of this chapter no later than the date the issue fee is paid in the application.

An applicant who shows sufficient proprietary interest in the matter must submit a petition with their patent application, including:

1. The fee set forth in § 1.17(g)
2. A showing that the person has sufficient proprietary interest in the matter
3. A statement that making the application for patent by this person on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties

This requirement is outlined in 37 CFR 1.46(b)(2): If the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: (i) The fee set forth in § 1.17(g); (ii) A showing that such person has sufficient proprietary interest in the matter; and (iii) A statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.

37 CFR 1.46 is significant in patent application prosecution, particularly for applications filed on or after September 16, 2012. According to MPEP 106.01, this regulation allows the assignee of record of the entire interest to become the applicant and prosecute the application.

The MPEP states: ‘…for applications filed on or after September 16, 2012, [the assignee] can prosecute the application after becoming the applicant under 37 CFR 1.46.’

This regulation is part of the changes implemented by the America Invents Act (AIA) and provides more flexibility for assignees in managing patent applications.

When an application is filed by someone other than the inventor under 35 U.S.C. 111, it must contain specific information as outlined in 37 CFR 1.46(b):

• An application data sheet under § 1.76
• In the applicant information section (§ 1.76(b)(7)), specify:
  • The assignee
  • Person to whom the inventor is under an obligation to assign the invention
  • Person who otherwise shows sufficient proprietary interest in the matter

The regulation states: If an application under 35 U.S.C. 111 is made by a person other than the inventor under paragraph (a) of this section, the application must contain an application data sheet under § 1.76 specifying in the applicant information section (§ 1.76(b)(7)) the assignee, person to whom the inventor is under an obligation to assign the invention, or person who otherwise shows sufficient proprietary interest in the matter.

When a patent is granted on an application filed by someone other than the inventor, it is issued to the real party in interest. This is stipulated in both 35 U.S.C. 118 and 37 CFR 1.46(e):

35 U.S.C. 118 states: If the Director grants a patent on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest and upon such notice to the inventor as the Director considers to be sufficient.

37 CFR 1.46(e) further clarifies: If a patent is granted on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest. Otherwise, the patent may be issued to the assignee or jointly to the inventor and the assignee as provided in § 3.81.

Applicants other than the inventor must notify the USPTO of any change in the real party in interest as follows:

• Notification should be made no later than payment of the issue fee
• Changes can be indicated in Box 3 of the PTOL-85B form
• If no notification is provided, the USPTO will presume no change has occurred

According to MPEP 308: Applicants other than the inventor can notify the Office of a change in the real party in interest by providing the real party in interest in Box 3 of the PTOL-85B. See MPEP § 307. The real party in interest will be listed in the assignee section of the patent. This does not change the applicant designated in the application or on any patent that is granted.

Additionally, 37 CFR 1.46(e) states: Where a real party in interest has filed an application under § 1.46, the applicant shall notify the Office of any change in the real party in interest no later than payment of the issue fee. The Office will treat the absence of such a notice as an indication that there has been no change in the real party in interest.