1. Michael Neas Supervisor Office of PCT Legal Administration
Leahy-Smith America Invents Act Effects on PCT and U.S. National Phase Practice
Michael Neas
Supervisor
Office of PCT Legal Administration

2. Applicants for U.S. Patent Applications
35 U.S.C. 118 as amended by the AIA expands who may be an applicant
Inventors are no longer the only possible applicants
Applicants may be persons:
To whom the inventor has assigned;
To whom the inventor is under an obligation to assign; and
Who otherwise shows proprietary interest in the matter.
Applies to patent applications filed under 35 U.S.C. 111 or 363 on or after September 16, 2012
October 2012

3. Applicants for PCT Applications - International Phase (1)
For international applications filed on/after September 16, 2012, an applicant for the purposes of the United States may be:
Inventor
Legal representative of deceased or legally incapacitated inventor
Assignee
Obligated assignee
Person who otherwise shows proprietary interest
Proof of proprietary interest will be required in the national phase
Example: Inventor X assigns all rights in the invention to Assignee Y. Assignee Y may be indicated on the PCT Request form (Box II) as an applicant for “all designated States” and Inventor X indicated (in Box III) as “inventor only”
October 2012

4. Applicants for PCT Applications - International Phase (2)
Change to Sec. 118 allowed the PCT Request Form to be simplified
October 2012

5. Applicants for PCT Applications - International Phase (3)
October 2012

6. Inventorship in §371 National Phase Applications (1)
Inventorship in a §371 application having an international filing date on or after 9/16/2012 (§1.41(e)):
If a signed ADS is included with the initial §371 submission, inventorship will be taken from the ADS
Otherwise, the inventorship will be that set forth in the international phase (including any change effected under PCT Rule 92bis)
October 2012

7. Inventorship in §371 National Phase Applications (2)
Procedure for correcting inventorship and/or an inventor’s name has been simplified:
All corrections fall under §1.48
§1.497(d) is removed for § 371s having an international filing date on or after 9/16/2012
Request under §1.48 need only include an ADS + processing fee (37 CFR 1.17(i))
An inventor’s oath or declaration will be required for each actual inventor who has not yet executed such oath or declaration
October 2012

8. Applicants for §371 National Phase Applications (1)
Applicants for §371 applications having an international filing date on or after 9/16/2012:
Unless changed in the national phase, the applicants identified in the international phase as applicants for the U.S. will be considered to be the applicants for the §371 application (§ 1.46(b))
For a person who otherwise shows sufficient proprietary interest in the matter, the applicant must submit a petition including
The fee set forth in § 1.17(g) ($200);
A showing that such person has sufficient proprietary interest; and
A statement that making the application is appropriate to preserve the rights of the parties (§ 1.46(b)(2)).
October 2012

9. Applicants in §371 National Phase Applications (2)
Correcting or updating the name of the applicant, or changing an applicant (§ 1.46(c)):
Must include an ADS specifying the change in the applicant information section (§1.76(b)(7)), and for changes in the applicant comply with §§3.71 and 3.73
October 2012

10. Inventor’s Oath or Declaration (1)
35 U.S.C. 115 as amended by the AIA
Still requires that the inventors execute an oath or declaration
Except as otherwise provided
Changes the required statements
Now requires
Statement that application was made by or authorized to be made by the affiant or declarant
Statement that the individual believes himself or herself to be the original inventor or an original joint inventor of a claimed invention
No longer requires
Statement of citizenship
Statement that the inventor believes himself or herself to be the “first” inventor of the subject matter
AIA-compliant inventor’s oath or declaration forms are available at
October 2012

11. Inventor’s Oath or Declaration (2)
Substitute statements (§ 1.64)
Can be submitted where the inventor is deceased, legally incapacitated, cannot be found or reached after diligent effort, or refuses to execute
No petition is required to execute the substitute statement
Office has created a new PTO form for this purpose (PTO/AIA/02)
Assignment may serve as the inventor’s oath or declaration if:
Executed by inventor and contains information/statements required by § 1.63, and
A copy of the assignment is recorded in the Office’s assignment database
October 2012

12. Timing of Inventor’s Oath or Declaration
May postpone submission of inventor’s oath or declaration until the application is in condition for allowance if an ADS is filed identifying (§1.495(c)):
Each inventor by his or her legal name
A mailing address where the inventor customarily receives mail, and residence, if the inventor lives at a location different than the mailing address, for each inventor
A surcharge (§1.492(h)) is required for filing the inventor’s oath or declaration after commencement
The inventor’s oath or declaration must be filed no later than the time period set in the “Notice of Allowability” to avoid abandonment
“Filing or 371(c)” date on the Filing Receipt will no longer be based on date of receipt of oath/declaration
October 2012

13. Domestic Benefit Claims in §371 Applications
Benefit claims under 35 U.S.C. 120, 365(c) and 119(e) must be in the ADS
Inclusion of such benefit claims in the first sentence(s) of the specification will not comply with the new rules.
October 2012

14. Important Practice Tips (1)
If naming a non-inventor applicant as applicant for “all designated States”
Review residence and nationality of the non-inventor applicant because it may affect
Competency of RO/US
Competency of U.S. practitioner to represent applicant
Ability to file international application under the PCT
Do not delay the filing of the oath or declaration in a 35 U.S.C. 371 application
The 14 month clock for patent term adjustment under 35 U.S.C. 154(b)(1)(A) does not start until the requirements under section 371 have been fulfilled
Include a signed ADS with the initial 371 submission if inventorship has changed and to express domestic benefit claims
Early commencement still requires submission of an oath or declaration
The international filing date, NOT the date the 371 submission is filed, determines applicability of the AIA
October 2012

15. Important Practice Tips (2)
For international applications filed before September 16, 2012
Consider filing a bypass continuation if
Status under 37 CFR 1.42 (deceased inventor) is needed and there are complications identifying the legal representative or obtaining their signature
Status under 37 CFR 1.47 is needed because an inventor refuses to sign or cannot be located after diligent effort
Substitute statement practice is available in an application filed under 35 U.S.C. 111(a) on or after September 16, 2012
Assignee or joint inventors may execute a substitute statement
October 2012

16. Patent Law Treaty Status – Senate passed S.3486 in September 2012
Major provisions
Simplification of filing date requirements
Reference filing
Restoration of priority right
Single standard for revival, restoration of priority right, delayed payment of issue fee, etc.
Unintentionality
October 2012

17. Thanks!
October 2012