2157 Improper Naming of Inventors [R-10.2019]

Although the AIA eliminated pre-AIA 35 U.S.C. 102(f), the patent laws still require the naming of the actual inventor or joint inventors of the claimed subject matter. See 35 U.S.C. 115(a) (“[a]n application for patent that is filed under [35 U.S.C.] 111(a) or commences the national stage under [35 U.S.C.] 371 shall include, or be amended to include, the name of the inventor for any invention claimed in the application”). The Office presumes that the named inventor or joint inventors in the application are the actual inventor or joint inventors to be named on the patent. See MPEP § 2109. A situation in which an application names a person who is not the actual inventor as the inventor will be handled in a derivation proceeding under 35 U.S.C. 135 (see MPEP §§ 2310-2315), by a correction of inventorship under 37 CFR 1.48 to name the actual inventor, or through a rejection under 35 U.S.C. 101 and 35 U.S.C. 115, as appropriate.

Where an application names an incorrect inventorship, the applicant should submit a request to correct inventorship under 37 CFR 1.48. See MPEP § 602.01(c) et seq. In the rare situation where it is clear that the application does not name the correct inventorship and the applicant has not filed a request to correct inventorship under 37 CFR 1.48, Office personnel should reject the claims under 35 U.S.C. 101 and 35 U.S.C. 115.

Use Form Paragraph 7.04.02.aia to reject claims under 35 U.S.C. 101 and 115 for failing to set forth the correct inventorship.

¶ 7.04.101.aia Statement of Statutory Bases, 35 U.S.C. 101 and 35 U.S.C. 115— Improper Inventorship

35 U.S.C. 101 reads as follows:

Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to the conditions and requirements of this title.

35 U.S.C. 115(a) reads as follows (in part):

An application for patent that is filed under section 111(a) or commences the national stage under section 371 shall include, or be amended to include, the name of the inventor for any invention claimed in the application.

The present application sets forth the incorrect inventorship because [1].

Examiner Note:

1. If form paragraph 7.04.01 is already being used for a rejection that is not based on improper inventorship, then in lieu of this form paragraph, use form paragraph 7.04.102.aia with form paragraph 7.04.01 for a rejection based on improper inventorship.
2. In bracket 1, insert the basis for concluding that the inventorship is incorrect.
3. This form paragraph must be followed by form paragraph 7.04.02.aia.

¶ 7.04.102.aia Statement of Statutory Basis, 35 U.S.C. 115— Improper Inventorship

35 U.S.C. 115(a) reads as follows (in part):

The present application sets forth the incorrect inventorship because [1].

Examiner Note:

1. This form paragraph is to be used ONLY when a rejection under 35 U.S.C. 101 on another basis has been made and the statutory text thereof is already present.
2. This form paragraph must be preceded by form paragraph 7.04.01 for a rejection based on improper inventorship.
3. In bracket 1, insert an explanation of the supporting evidence establishing that an improper inventor is named.

¶ 7.04.02.aia Rejection, 35 U.S.C. 101/115

Claim [1] rejected under 35 U.S.C. 101 and 35 U.S.C. 115 for failing to set forth the correct inventorship for the reasons stated above.

Examiner Note:

1. In bracket 1, pluralize “Claim” if necessary, insert “is” or “are” as appropriate, and insert the claim number(s) which are under rejection.
2. This rejection must be preceded by either form paragraph 7.04.101.aia or 7.04.102.aia.

Note that a rejection under pre-AIA 35 U.S.C. 102(f) should not be made if the application is subject to examination under the first inventor to file (FITF) provisions of the AIA. See MPEP § 2159et seq. to determine whether an application is subject to examination under the FITF provisions, and MPEP § 2137 for information pertaining to pre-AIA 35 U.S.C. 102(f).

2101-2102-[Reserved]
2103-Patent Examination Process
2104-Requirements of 35 U.S.C. 101
- 2104.01-Barred by Atomic Energy Act
- 2106.01-[Reserved]
- 2106.02-[Reserved]
- 2106.03-Eligibility Step 1: The Four Categories of Statutory Subject Matter
- 2106.04-Eligibility Step 2A: Whether a Claim is Directed to a Judicial Exception
  - 2106.04(a)-Abstract Ideas
    - 2106.04(a)(1)-Examples of Claims That Do Not Recite Abstract Ideas
    - 2106.04(a)(2)-Abstract Idea Groupings
    - 2106.04(a)(3)-Tentative Abstract Ideas
    - 2106.04(d)(1)-Evaluating Improvements in the Functioning of a Computer, or an Improvement to Any Other Technology or Technical Field in Step 2A Prong Two
    - 2106.04(d)(2)-Particular Treatment and Prophylaxis in Step 2A Prong Two
    - 2106.05(a)-Improvements to the Functioning of a Computer or To Any Other Technology or Technical Field
    - 2106.05(b)-Particular Machine
    - 2106.05(c)-Particular Transformation
    - 2106.05(d)-Well-Understood, Routine, Conventional Activity
    - 2106.05(e)-Other Meaningful Limitations
    - 2106.05(f)-Mere Instructions To Apply An Exception
    - 2106.05(g)-Insignificant Extra-Solution Activity
    - 2106.05(h)-Field of Use and Technological Environment
    - 2106.06(a)-Eligibility is Self Evident
    - 2106.06(b)-Clear Improvement to a Technology or to Computer Functionality
    - 2106.07(a)-Formulating a Rejection For Lack of Subject Matter Eligibility
      - 2106.07(a)(1)-Form Paragraphs for use in Lack of Subject Matter Eligibility Rejections
      - 2107.01-General Principles Governing Utility Rejections
      - 2107.02-Procedural Considerations Related to Rejections for Lack of Utility
      - 2107.03-Special Considerations for Asserted Therapeutic or Pharmacological Utilities
      - 2111.01-Plain Meaning
      - 2111.02-Effect of Preamble
      - 2111.03-Transitional Phrases
      - 2111.04-“Adapted to,” “Adapted for,” “Wherein,” “Whereby,” and Contingent Clauses
      - 2111.05-Functional and Nonfunctional Descriptive Material
      - 2112.01-Composition, Product, and Apparatus Claims
      - 2112.02-Process Claims
      - 2116.01-Novel, Nonobvious Starting Material or End Product
      - 2120.01-Rejections Under 35 U.S.C. 102(a)(1) and (a)(2) and Pre-AIA 35 U.S.C. 102(a), (b), or (e): Printed Publication or Patent
      - 2120.02-Rejections Under 35 U.S.C. 102(a)(1) or Pre-AIA 35 U.S.C. 102(a) or (b): Knowledge by Others, or Public Use, or On Sale
      - 2121.01-Use of Prior Art in Rejections Where Operability is in Question
      - 2121.02-Compounds and Compositions — What Constitutes Enabling Prior Art
      - 2121.03-Plant Genetics — What Constitutes Enabling Prior Art
      - 2121.04-Apparatus and Articles — What Constitutes Enabling Prior Art
      - 2124.01-Tax Strategies Deemed Within the Prior Art
      - 2126.01-Date of Availability of a Patent as a Reference
      - 2126.02-Scope of Reference’s Disclosure Which Can Be Used to Reject Claims When the Reference Is a “Patent” but Not a “Publication”
      - 2128.01-Level of Public Accessibility Required
      - 2128.02-Date Publication Is Available as a Reference
      - 2131.01-Multiple Reference 35 U.S.C. 102 Rejections
      - 2131.02-Genus-Species Situations
      - 2131.03-Anticipation of Ranges
      - 2131.04-Secondary Considerations
      - 2131.05-Nonanalogous or Disparaging Prior Art
      - 2132.01-Overcoming a Pre-AIA 35 U.S.C. 102(a) Rejection based on a Printed Publication or Patent
      - 2133.01-Rejections of Continuation-In-Part (CIP) Applications
      - 2133.02-Rejections Based on Publications and Patents
        
        2133.02(a)-Overcoming a Pre-AIA 35 U.S.C. 102(b) Rejection Based on a Printed Publication or Patent
        
        2133.03(a)-“Public Use”
        
        2133.03(b)-“On Sale”
        
        2133.03(c)-The “Invention”
        
        2133.03(d)-“In This Country”
        
        2133.03(e)-Permitted Activity; Experimental Use
        
        2133.03(e)(1)-Commercial Exploitation
        
        2133.03(e)(2)-Intent
        
        2133.03(e)(3)-“Completeness” of the Invention
        
        2133.03(e)(4)-Factors Indicative of an Experimental Purpose
        
        2133.03(e)(5)-Experimentation and Degree of Supervision and Control
        
        2133.03(e)(6)-Permitted Experimental Activity and Testing
        
        2133.03(e)(7)-Activity of an Independent Third Party Inventor
        
        2135.01-The Four Requirements of Pre-AIA 35 U.S.C. 102(d)
        
        2136.01-Status of Unpublished or Published as Redacted U.S. Application as a Reference Under Pre-AIA 35 U.S.C. 102(e)
        
        2136.02-Content of the Prior Art Available Against the Claims
        
        2136.03-Critical Reference Date
        
        2136.04-Different Inventive Entity; Meaning of “By Another”
        
        2136.05-Overcoming a Rejection Under Pre-AIA 35 U.S.C. 102(e)
        
        2136.05(a)-Antedating a Pre-AIA 35 U.S.C. 102(e) Reference
        
        2136.05(b)-Showing The Reference Is Describing An Inventor's Or At Least One Joint Inventor's Own Work
        
        2137.01-[Reserved]
        
        2137.02-[Reserved]
        
        2138.01-Interference Practice
        
        2138.02-“The Invention Was Made in This Country”
        
        2138.03-“By Another Who Has Not Abandoned, Suppressed, or Concealed It”
        
        2138.04-“Conception”
        
        2138.05-“Reduction to Practice”
        
        2138.06-“Reasonable Diligence”
        
        2139.01-Effective Filing Date of a Claimed Invention Under Pre-AIA 35 U.S.C. 102
        
        2139.02-Determining Whether To Apply Pre-AIA 35 U.S.C. 102(a), (b), or (e)
        
        2139.03-Form Paragraphs for Use in Rejections Under Pre-AIA 35 U.S.C. 102
        
        2141.01-Scope and Content of the Prior Art
        
        2141.01(a)-Analogous and Nonanalogous Art
        
        2143.01-Suggestion or Motivation To Modify the References
        
        2143.02-Reasonable Expectation of Success Is Required
        
        2143.03-All Claim Limitations Must Be Considered
        
        2144.01-Implicit Disclosure
        
        2144.02-Reliance on Scientific Theory
        
        2144.03-Reliance on Common Knowledge in the Art or “Well Known” Prior Art
        
        2144.04-Legal Precedent as Source of Supporting Rationale
        
        2144.05-Obviousness of Similar and Overlapping Ranges, Amounts, and Proportions
        
        2144.06-Art Recognized Equivalence for the Same Purpose
        
        2144.07-Art Recognized Suitability for an Intended Purpose
        
        2144.08-Obviousness of Species When Prior Art Teaches Genus
        
        2144.09-Close Structural Similarity Between Chemical Compounds (Homologs, Analogues, Isomers)
        
        2146.01-Prior Art Disqualification Under Pre-AIA 35 U.S.C. 103(c)
        
        2146.02-Establishing Common Ownership or Joint Research Agreement Under Pre-AIA 35 U.S.C. 103(c)
        
        2146.03-Examination Procedure With Respect to Pre-AIA 35 U.S.C. 103(c)
        
        2146.03(a)-Provisional Rejection (Obviousness) Under 35 U.S.C. 103(a) Using Provisional Prior Art Under Pre-AIA 35 U.S.C. 102(e)
        
        2152.01-Effective Filing Date of the Claimed Invention
        
        2152.02-Prior Art Under AIA 35 U.S.C. 102(a)(1) (Patented, Described in a Printed Publication, or in Public Use, on Sale, or Otherwise Available to the Public)
        
        2152.02(a)-Patented
        
        2152.02(b)-Described in a Printed Publication
        
        2152.02(c)-In Public Use
        
        2152.02(d)-On Sale
        
        2152.02(e)-Otherwise Available to the Public
        
        2152.02(f)-No Requirement of “By Others”
        
        2153.01-Prior Art Exception Under AIA 35 U.S.C. 102(b)(1)(A) To AIA 35 U.S.C. 102(a)(1) (Grace Period Inventor-Originated Disclosure Exception)
        
        2153.01(a)-Grace Period Inventor-Originated Disclosure Exception
        
        2153.01(b)-[Reserved]
        
        2154.01-Prior Art Under AIA 35 U.S.C. 102(a)(2) “U.S. Patent Documents”
        
        2154.01(a)-WIPO Published Applications
        
        2154.01(b)-Determining When Subject Matter Was Effectively Filed Under AIA 35 U.S.C. 102(d)
        
        2154.01(c)-Requirement Of “Names Another Inventor”
        
        2154.01(d)-Provisional Rejections Under 35 U.S.C. 102(a)(2); Reference Is a Copending U.S. Patent Application
        
        2154.02(a)-Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(A) to AIA 35 U.S.C. 102(a)(2) (Inventor-Originated Disclosure Exception)
        
        2154.02(b)-Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(B) to AIA 35 U.S.C. 102(a)(2) (Inventor-Originated Prior Public Disclosure Exception)
        
        2154.02(c)-Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(C) to AIA 35 U.S.C. 102(a)(2) (Common Ownership or Obligation of Assignment)
        
        2155.01-Showing That the Disclosure Was Made by the Inventor or a Joint Inventor
        
        2155.02-Showing That the Subject Matter Disclosed Had Been Previously Publicly Disclosed by the Inventor or a Joint Inventor
        
        2155.03-Showing That the Disclosure was Made, or That Subject Matter had Been Previously Publicly Disclosed, by Another Who Obtained the Subject Matter Disclosed Directly or Indirectly From the Inventor or a Joint Inventor
        
        2155.04-Enablement
        
        2155.05-Who May File an Affidavit or Declaration Under 37 CFR 1.130
        
        2155.06-Situations in Which an Affidavit or Declaration Is Not Available
        
        2158.01-Form Paragraphs for Use in Rejections Under AIA 35 U.S.C. 103
        
        2159.01-Applications Filed Before March 16, 2013
        
        2159.02-Applications Filed on or After March 16, 2013
        
        2159.03-Applications Subject to the AIA but Also Containing a Claimed Invention Having an Effective Filing Date Before March 16, 2013
        
        2159.04-Applicant Statement in Transition Applications Containing a Claimed Invention Having an Effective Filing Date on or After March 16, 2013
        
        2161.01-Computer Programming, Computer Implemented Inventions, and 35 U.S.C. 112(a) or Pre-AIA 35 U.S.C. 112, First Paragraph
        
        2163.01-Support for the Claimed Subject Matter in Disclosure
        
        2163.02-Standard for Determining Compliance With the Written Description Requirement
        
        2163.03-Typical Circumstances Where Adequate Written Description Issue Arises
        
        2163.04-Burden on the Examiner with Regard to the Written Description Requirement
        
        2163.05-Changes to the Scope of Claims
        
        2163.06-Relationship of Written Description Requirement to New Matter
        
        2163.07-Amendments to Application Which Are Supported in the Original Description
        
        2163.07(a)-Inherent Function, Theory, or Advantage
        
        2163.07(b)-Incorporation by Reference
        
        2164.01-Test of Enablement
        
        2164.01(a)-Undue Experimentation Factors
        
        2164.01(b)-How to Make the Claimed Invention
        
        2164.01(c)-How to Use the Claimed Invention
        
        2164.05(a)-Specification Must Be Enabling as of the Filing Date
        
        2164.05(b)-Specification Must Be Enabling to Persons Skilled in the Art
        
        2164.06(a)-Examples of Enablement Issues-Missing Information
        
        2164.06(b)-Examples of Enablement Issues — Biological and Chemical Cases
        
        2164.06(c)-Examples of Enablement Issues – Computer Programming Cases
        
        2164.08(a)-Single Means Claim
        
        2164.08(b)-Inoperative Subject Matter
        
        2164.08(c)-Critical Feature Not Claimed
        
        2165.01-Considerations Relevant to Best Mode
        
        2165.02-Best Mode Requirement Compared to Enablement Requirement
        
        2165.03-Requirements for Rejection for Lack of Best Mode
        
        2165.04-Examples of Evidence of Concealment
        
        2172.01-Unclaimed Essential Subject Matter
        
        2173.01-Interpreting the Claims
        
        2173.02-Determining Whether Claim Language is Definite
        
        2173.03-Correspondence Between Specification and Claims
        
        2173.04-Breadth Is Not Indefiniteness
        
        2173.05-Specific Topics Related to Issues Under 35 U.S.C. 112(b) or Pre-AIA 35 U.S.C. 112, Second Paragraph
        
        2173.05(a)-New Terminology
        
        2173.05(b)-Relative Terminology
        
        2173.05(c)-Numerical Ranges and Amounts Limitations
        
        2173.05(d)-Exemplary Claim Language (“for example,” “such as”)
        
        2173.05(e)-Lack of Antecedent Basis
        
        2173.05(f)-Reference to Limitations in Another Claim
        
        2173.05(g)-Functional Limitations
        
        2173.05(h)-Alternative Limitations
        
        2173.05(i)-Negative Limitations
        
        2173.05(j)-Old Combination
        
        2173.05(k)-Aggregation
        
        2173.05(l)-[Reserved]
        
        2173.05(m)-Prolix
        
        2173.05(n)-Multiplicity
        
        2173.05(o)-Double Inclusion
        
        2173.05(p)-Claim Directed to Product-By- Process or Product and Process
        
        2173.05(q)-“Use” Claims
        
        2173.05(r)-Omnibus Claim
        
        2173.05(s)-Reference to Figures or Tables
        
        2173.05(t)-Chemical Formula
        
        2173.05(u)-Trademarks or Trade Names in a Claim
        
        2173.05(v)-Mere Function of Machine
        
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