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RSMK涉外小课堂第一期——美国专利申请之发明人声明

时间:  2022/9/14 10:04:45      发布者:  admin

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RSMK涉外小课堂第一期——美国专利申请之发明人声明

发明人宣誓或声明（Oath or Declaration）是申请美国专利必须提交的文件之一，在实务操作中，宣誓（oath）的方式已经基本无人采用，一般都是通过递交一份书面的声明以代替宣誓（declaration in lieu of oath），书面声明（declaration）不交会导致专利无法授权，迟交会产生额外官费[1]，所以美国专利申请人应对其给予特别重视。


1、声明内容

USPTO针对Declaration提供了专门的模板，可直接使用。下载链接：
https://www.uspto.gov/sites/default/files/documents/aia0001.pdf

对于 Oath or Declaration，美国专利法35 USC 115(b)明确规定了发明人必须做出的陈述[2]:

(1) 申请是由宣誓人或声明人作出的，或授权由其作出的；

(2) 申请人或宣誓人确信自己为申请中提出权利要求的发明的原始发明人或原始共同发明人。

另外，Oath or Declaration还必须包括确认惩罚的声明[3]：故意作虚假陈述及类似的行为，可被处以罚款或监禁，或者两罚并施。


2、允许作出替代声明的情况
(1) 根据35 U.S.C. 115(d)，有如下情况时，可以使用substitute statement（替代声明）来代替Oath or Declaration[4]：
A. 当发明人已逝世；
B. 当发明人具有法律上的无行为能力；
C. 当经过努力，但是无法找到发明人

3、其他情况下的Declaration的签署
(1) 续案（Continuation Application）和分案（Divisional Application），Declaration可以使用母案签署好的版本，不需要重新签署。但是对于部分续案（Continuation-in-PartApplication），不能使用母案签署过的Declaration。
(2) 如果案子递交后要增加发明人，那么提交发明人变更请求的同时需要递交该发明人签署的Declaration。

注释

[1] 37 CFR 1.16(f)：Surcharge for filing the basic filing fee, search fee, examination fee, or inventor's oath or declaration on a date later than the filing date of the application, an application that does not contain at least one claim on the filing date of the application, or an application filed by reference to a previously filed application under § 1.57(a), except provisional applications: by a micro entity... $40.00, by a small entity ... $80.00, by other than a small or micro entity ... $160.00 .

[2] 35 USC 115(b)：REQUIRED STATEMENTS.—

(1) the application was made or was authorized to be made by the affiant or declarant; and

(2) such individual believes himself or herself to be the original inventor or an original joint inventor of a claimed invention in the application.

[3] 35 USC 25(b)：Whenever such written declaration is used, the document must warn the declarant that willful false statements and the like are punishable by fine or imprisonment, or both ( 18 U.S.C. 1001).

[4] 35 USC 115(d)：SUBSTITUTE STATEMENT.—(2) PERMITTED CIRCUMSTANCES.—A substitute statement under paragraph (1) is permitted with respect to any individual who—(A) is unable to file the oath or declaration undersubsection (a) because the individual— (i) is deceased;(ii) is under legal incapacity; or (iii) cannot be found or reached after diligent effort; or (B) is under an obligation to assign the invention but has refused to make the oath or declaration required under subsection (a).