What are the requirements for a substitute statement in lieu of an oath or declaration?

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.

A substitute statement in lieu of an oath or declaration must:

• Comply with the requirements of 37 CFR 1.63, identifying the inventor or joint inventor with respect to whom a substitute statement is executed, and stating upon information and belief the facts which such inventor is required to state.
• Identify the person executing the substitute statement and the relationship of such person to the inventor or joint inventor.
• Identify the circumstances permitting the person to execute the substitute statement.
• Include an acknowledgement that any willful false statement made in the substitute statement is punishable under 18 U.S.C. 1001 by fine or imprisonment of not more than 5 years, or both.

As stated in MPEP 604: ‘A substitute statement under 37 CFR 1.64 must: (1) Comply with the requirements of 37 CFR 1.63(a), identifying the inventor or joint inventor with respect to whom a substitute statement in lieu of an oath or declaration is executed, and stating upon information and belief the facts which such inventor is required to state.’