Can a substitute statement be filed in a provisional application?

This page is an FAQ based on guidance 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.

No, a substitute statement cannot be filed in a provisional application. According to MPEP 604:

“A substitute statement is not available for provisional applications because provisional applications do not require an inventor’s oath or declaration.”

Provisional applications have different requirements compared to non-provisional applications. They are primarily used to establish an early filing date and do not require formal claims, oath, or declaration. Therefore, there is no need for a substitute statement in provisional applications.