Key Takeaways

  • A declaration for utility or design patent application is a sworn statement by the inventor(s) affirming they are the original creators and that the application complies with USPTO requirements.
  • The form you file depends on the application date: PTO/AIA/01 for new applications (post-9/16/12) and the older declaration form for earlier filings.
  • Signatures and inventor availability are handled differently depending on whether the declaration is new or old; substitutes like PTO/AIA/02 may be used if inventors are unavailable.
  • An Application Data Sheet (ADS) is required for new applications to record bibliographic details and reduce errors.
  • Inventors must provide detailed personal and citizenship information, ensuring consistency across documents.
  • Common mistakes include missing signatures, incomplete inventor details, or errors in bibliographic data, which can delay the patent process.
  • The declaration serves as a legally binding statement—false or misleading information can result in invalidation of the patent.

Declaration for Utility or Design Patent Application

If you need help with your declaration for a utility or design patent application, then you’ll want to conduct some research online first to see what steps are necessary for declaring your application. For this, you can visit the U.S. Patent and Trademark Office (“USPTO”) website. 

For all new patent applications (filed on or after 9/16/12), you’ll need to submit form PTO/AIA/01. However, if you have an older application that predates 9/16/12, then you’ll be required to file an old declaration. In order to find out if your application is new or old, you can look at the filing date that was on your original U.S. patent application.

Purpose of the Declaration

The declaration for utility or design patent application is more than just a form—it is a legally binding statement confirming that the named inventor or inventors are the true originators of the invention. It also affirms that the application complies with the rules set by the United States Patent and Trademark Office (USPTO). By signing, inventors acknowledge their duty of disclosure, which means they must reveal any information material to the patentability of the invention. This declaration helps ensure transparency, prevents fraud, and protects the integrity of the patent system.

Old vs. New Declaration

  • The new declaration does not include an area to list all of the inventors. Rather, only one inventor can sign the declaration. However, for the old declaration form, there will be areas on the form that allow for as many signatures as need be. This means that all inventors can sign the form.
  • The new declaration does not include terms such as “the signer has reviewed and understood the application, including claims that arise. . .”
  • The new declaration does not include a duty to disclose.
  • For old declarations, if no one can find the inventor or if he or she declines to sign the form, those familiar with the invention and who have facts surrounding the issue, will sign it, draft a petition, pay a fee, and submit to the USPTO.
  • For new declarations, if the inventor can’t be found or doesn’t want to sign the form, you can fill out Form PTO/AIA/02 and submit it to the USPTO. This form will replace the new declaration. No other petitions or fees are required.
  • For those inventors who are deceased, a Power of Attorney can act on behalf of the inventor so long as he or she is authorized to do so.
  • For those inventors who are legally incapacitated, a legal representative can also act on behalf of that individual if he or she is authorized to do so.
  • If, however, the inventor originally filed the declaration and application, but during that time period, became legally incapacitated or passed away, the Power of Attorney or legal representative can take over on behalf of the inventor. However, keep in mind that this could cause legal issues as the Power of Attorney may have no interest in continuing with the declaration for the utility or design patent application.
  • If an inventor no longer wishes to move forward with the declaration for application, the inventor can assign his or her rights to an assignee. Before the declaration can be made, however, there must be a filed document from the inventor that specifically establishes his or her interest in assigning ownership to another.
  • Other legal issues could prevent the utility or design declaration depending on how many inventors are involved, and if all inventors are willing to sign the form. Further, such issues could arise based on the legal capacity of the inventor, i.e., death or legal incapacitation, as noted above. You, as an inventor, will want to ensure that all other inventors to your idea/creation are voluntarily signing the declaration, particularly for old applications predating 9/16/12.
  • An example of an inventor refusing to sign would be an invention with five separate inventors. Three of the five sign; however, the remaining two don’t sign. In this case, for new applications, the remaining inventors will submit six separate forms—three PTO/AIA/01 forms (for the three inventors who fill out the form and sign it), two PTO/AIA/02 forms (for those who refused to sign or cannot be found), and an Application Data Sheet (“ADS”).

Information Required from Inventors

When completing a declaration for utility or design patent application, inventors must provide accurate personal details. Required information typically includes:

  • Full legal name of each inventor
  • Residence and mailing address
  • Place of citizenship (important for international filings)
  • Signature and date of signing

This information must be consistent across the declaration, application data sheet, and other USPTO forms. Even small discrepancies—such as inconsistent spelling of names—can cause delays or require correction filings.

Common Mistakes to Avoid

Filing errors in a declaration are common and can cause costly delays. Mistakes often include:

  • Missing or incorrect signatures from inventors
  • Leaving out one or more inventors who contributed to the invention
  • Incorrect bibliographic data (such as addresses or citizenship)
  • Submitting an old declaration form for a new application, or vice versa
  • Failing to file an accompanying ADS when required

To avoid these issues, applicants should carefully review all forms before submission. If errors are discovered after filing, they should be corrected immediately with the USPTO to maintain application validity.

What is an ADS?

An ADS is form PTO/SB/14. Under the new rules, for those declarations dated on or after 9/16/12, this document is generally mandatory. This document can be easily filled out online, as all pedigree information can be auto-loaded, eliminating manual error when submitting to the USPTO. Be sure to proofread the information before submitting it. However, if you notice an error after you’ve submitted, you can immediately begin the process of editing the submission and re-submitting to the USPTO online.

Legal Effect of the Declaration

The declaration has significant legal consequences. By signing, inventors confirm they understand the application’s content and that the information provided is true to the best of their knowledge. If it is later found that false statements were made intentionally, the USPTO can reject or invalidate the patent. Additionally, incomplete or improperly executed declarations may render an application defective until corrected. Because of its binding nature, inventors should ensure the declaration is completed with accuracy and in good faith.

Frequently Asked Questions

  1. What is the purpose of a declaration in a patent application?
    It confirms the inventorship, affirms compliance with USPTO requirements, and binds the inventor to a duty of disclosure.
  2. Do all inventors have to sign the declaration?
    Yes, all inventors must sign. If an inventor cannot or will not sign, the USPTO provides substitute forms like PTO/AIA/02.
  3. What happens if there is an error in the declaration?
    Errors such as missing signatures or incorrect details must be corrected promptly. Failure to do so may delay or jeopardize the patent application.
  4. Is an Application Data Sheet (ADS) always required?
    For applications filed on or after 9/16/12, the ADS is generally mandatory. It records inventor and application information and helps reduce filing errors.
  5. What are the legal risks of providing false information?
    Submitting false information can lead to rejection, invalidation of the patent, or even legal penalties for fraud.

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