What is a substitute statement in lieu of an oath or declaration?
A substitute statement is a document that can be filed in place of an oath or declaration when the inventor is deceased, legally incapacitated, cannot be found or reached after diligent effort, or refuses to execute the oath or declaration. According to MPEP 602:
’35 U.S.C. 115(d) provides that ‘the applicant for patent’ may provide a substitute statement under the circumstances described in 35 U.S.C. 115(d)(2). The applicant for patent is defined in 35 U.S.C. 100(g) as ‘the inventor or joint inventors who are applying for a patent through their assignee, obligated assignee, or person who otherwise shows sufficient proprietary interest in the matter.’
The substitute statement must:
- Identify the inventor to whom it relates
- Identify the circumstances permitting the filing of the substitute statement
- Include a statement that the person executing the substitute statement has reviewed and understands the contents of the application
- Include a statement that the person executing the substitute statement acknowledges the duty to disclose information material to patentability
This provision allows for the continuation of the patent application process even when the inventor is unable or unwilling to execute the oath or declaration.
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