Is proof required when filing a substitute statement?

According to MPEP 604, “A non-inventor applicant need not submit proof of the permitted circumstance to file a substitute statement (e.g., inventor’s death certificate to establish that a named inventor is deceased).” However, it’s important to note that:

• If the circumstance is not death or legal incapacity, the inventor must have refused to execute the oath or declaration, or the applicant must have made a diligent effort to find or reach the inventor.
• While proof is not required to be submitted to the USPTO, “proof of attempts to secure the inventor’s signature should be kept in applicant’s file.“

This approach balances the need for truthful statements with practical considerations in patent applications.

To learn more:

• substitute statement
• proof requirements
• patent application
• inventor unavailability
• diligent effort