Form PTO/SB/40 "Request for Correction in a Patent Application Relating to Inventorship or an Inventor Name, or Order of Names, Other Than in a Reissue Application (37 Cfr 1.48)"

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This is a legal form that was released by the U.S. Department of Commerce - Patent and Trademark Office on April 1, 2018 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

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Download Form PTO/SB/40 "Request for Correction in a Patent Application Relating to Inventorship or an Inventor Name, or Order of Names, Other Than in a Reissue Application (37 Cfr 1.48)"

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Doc Code: R48.REQ
Document Description: Request under Rule 48 correcting inventorship
PTO/AIA/40 (04-18)
Approved for use through 11/30/2020. OMB 0651-0031
U.S. Patent and Trademark Office, U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
REQUEST FOR CORRECTION IN A
Application Number
PATENT APPLICATION RELATING TO
Filing Date
First Named Inventor
INVENTORSHIP OR AN INVENTOR
Art Unit
NAME, OR ORDER OF NAMES, OTHER
Examiner Name
THAN IN A REISSUE APPLICATION (37
Practitioner Docket
CFR 1.48)
Number
To:
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450
Applicant hereby requests that the inventorship be corrected or changed, or that the name of the inventor or a joint inventor, or the order of
the names of joint inventors, be changed, in the above-identified application. Note: 37 CFR 1.48 applies to any request to correct inventorship
filed on or after September 16, 2012, regardless of the application filing date. Do not submit this form after payment of the issue fee or if the
application has been patented. See 37 CFR 1.324 for correction of inventorship in a patent.
Please check the applicable box(es) below.
For a nonprovisional application:
1. This request is to correct or change the inventorship in a nonprovisional application (under 37 CFR 1.48(a)) and includes:
An application data sheet (ADS) in accordance with 37 CFR 1.76(c) with the corrected or updated information shown with markings
(e.g., underlining for insertions, strikethrough for deletions). See the Manual of Patent Examining Procedure (MPEP) section
601.05(a) for information about filing an ADS in an application filed on/after September 16, 2012. For information about filing a
Supplemental ADS in an application filed before September 16, 2012, see MPEP 601.05(b).
The processing fee set forth in 37 CFR 1.17(i).
$ _____________________
An inventor is being added. An inventor’s oath or declaration by any actual inventor who has not yet executed an oath or declaration
is required (see 37 CFR 1.48(b)). See MPEP 602.01(a) for information about an inventor’s oath or declaration for an application filed
on/after September 16, 2012 (e.g., form PTO/AIA/01). For information about an inventor’s oath or declaration for an application
filed before September 16, 2012 (e.g., form PTO/SB/01), see MPEP 602.01(b).
This request is being filed after the first Office action on the merits has been given or mailed (see 37 CFR 1.48(c) and 1.17(d)). Check
one of the following:
This request to correct or change the inventorship is due solely to the cancellation of claims in the application.
OR
The fee set forth in 37 CFR 1.17(d) is due (in addition to the fee set forth in 37 CFR 1.17(i)).
$ _____________________
[Page 1 of 2]
This collection of information is required by 37 CFR 1.48. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 1 hour to complete, including
gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the
amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND
TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
Doc Code: R48.REQ
Document Description: Request under Rule 48 correcting inventorship
PTO/AIA/40 (04-18)
Approved for use through 11/30/2020. OMB 0651-0031
U.S. Patent and Trademark Office, U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
REQUEST FOR CORRECTION IN A
Application Number
PATENT APPLICATION RELATING TO
Filing Date
First Named Inventor
INVENTORSHIP OR AN INVENTOR
Art Unit
NAME, OR ORDER OF NAMES, OTHER
Examiner Name
THAN IN A REISSUE APPLICATION (37
Practitioner Docket
CFR 1.48)
Number
To:
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450
Applicant hereby requests that the inventorship be corrected or changed, or that the name of the inventor or a joint inventor, or the order of
the names of joint inventors, be changed, in the above-identified application. Note: 37 CFR 1.48 applies to any request to correct inventorship
filed on or after September 16, 2012, regardless of the application filing date. Do not submit this form after payment of the issue fee or if the
application has been patented. See 37 CFR 1.324 for correction of inventorship in a patent.
Please check the applicable box(es) below.
For a nonprovisional application:
1. This request is to correct or change the inventorship in a nonprovisional application (under 37 CFR 1.48(a)) and includes:
An application data sheet (ADS) in accordance with 37 CFR 1.76(c) with the corrected or updated information shown with markings
(e.g., underlining for insertions, strikethrough for deletions). See the Manual of Patent Examining Procedure (MPEP) section
601.05(a) for information about filing an ADS in an application filed on/after September 16, 2012. For information about filing a
Supplemental ADS in an application filed before September 16, 2012, see MPEP 601.05(b).
The processing fee set forth in 37 CFR 1.17(i).
$ _____________________
An inventor is being added. An inventor’s oath or declaration by any actual inventor who has not yet executed an oath or declaration
is required (see 37 CFR 1.48(b)). See MPEP 602.01(a) for information about an inventor’s oath or declaration for an application filed
on/after September 16, 2012 (e.g., form PTO/AIA/01). For information about an inventor’s oath or declaration for an application
filed before September 16, 2012 (e.g., form PTO/SB/01), see MPEP 602.01(b).
This request is being filed after the first Office action on the merits has been given or mailed (see 37 CFR 1.48(c) and 1.17(d)). Check
one of the following:
This request to correct or change the inventorship is due solely to the cancellation of claims in the application.
OR
The fee set forth in 37 CFR 1.17(d) is due (in addition to the fee set forth in 37 CFR 1.17(i)).
$ _____________________
[Page 1 of 2]
This collection of information is required by 37 CFR 1.48. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 1 hour to complete, including
gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the
amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND
TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
PTO/AIA/40 (04-18)
Approved for use through 11/30/2020. OMB 0651-0031
U.S. Patent and Trademark Office, U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
REQUEST FOR CORRECTION IN A PATENT APPLICATION RELATING TO INVENTORSHIP OR AN
INVENTOR NAME, OR ORDER OF NAMES, OTHER THAN IN A REISSUE APPLICATION
(37 CFR 1.48)
2. This request is to correct or update the name of the inventor or a joint inventor, or the order of names of joint inventors, in a
nonprovisional application (under 37 CFR 1.48(f)) and includes:
An application data sheet in accordance with 37 CFR 1.76(c) identifying the complete inventive entity, including the corrected or
updated name of the inventor, or the new order of names shown with markings (e.g., underlining for insertions, strikethrough for
deletions). See the MPEP 601.05(a) for information about filing an ADS in an application filed on/after September 16, 2012. For
information about filing a Supplemental ADS in an application filed before September 16, 2012, see MPEP 601.05(b).
The processing fee set forth in 37 CFR 1.17(i).
$ _____________________
For a provisional application:
This request is to change or correct the inventorship, or correct or update the name of the inventor or a joint inventor, in a provisional
application (under 37 CFR 1.48(d)) and includes:
Attached hereto is a document that is signed by a party set forth in 37 CFR 1.33(b) and identifies each inventor by his or her legal
name, in the preferred order. Note: the document may be an application data sheet in accordance with 37 CFR 1.76(c) that
identifies the changes with markings (underlining for insertions, strikethrough for deletions).
The processing fee set forth in 37 CFR 1.17(q).
$ _____________________
Fee Payment Information:
Applicant asserts small entity status. See 37 CFR 1.27.
Applicant certifies micro entity status. See 37 CFR 1.29.
Form PTO/SB/15A or B or equivalent must either be enclosed or have been submitted previously
A check in the amount of the fee is enclosed.
Payment by credit card. Form PTO-2038 is attached.
The Director is hereby authorized to charge any fees which may be required, or credit any overpayment
to Deposit Account No. ______________________.
Payment made via EFS-Web.
WARNING: Information on this form may become public. Credit card information should not be included
on this form. Provide credit card information and authorization on PTO-2038.
I am the
Applicant*
attorney or agent of record
attorney or agent acting under 37 CFR 1.34
Registration number __________________
Registration number __________________
Signature __________________________________________________________________________________________________________
Typed or printed name _______________________________________________________________________________________________
Date ______________________________________________________________________________________________________________
NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4 for signature requirements and certifications. *Juristic entities
must be represented by a patent practitioner (See 37 CFR 1.31, applicable to any paper filed on or after September 16, 2012 that is presented
on behalf of a juristic entity, regardless of application filing date). Submit multiple forms if more than one signature is required, see below**.
** Total of _____________ forms are submitted.
[Page 2 of 2]
Privacy Act Statement
The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
submission of the attached form related to a patent application or patent. Accordingly, pursuant to the
requirements of the Act, please be advised that: (1) the general authority for the collection of this information is
35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which
the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission
related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and
Trademark Office may not be able to process and/or examine your submission, which may result in termination
of proceedings or abandonment of the application or expiration of the patent.
The information provided by you in this form will be subject to the following routine uses:
1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
may be disclosed to the Department of Justice to determine whether disclosure of these records is
required by the Freedom of Information Act.
2. A record from this system of records may be disclosed, as a routine use, in the course of presenting
evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in
the course of settlement negotiations.
3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress
submitting a request involving an individual, to whom the record pertains, when the individual has
requested assistance from the Member with respect to the subject matter of the record.
4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
having need for the information in order to perform a contract. Recipients of information shall be required
to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
5. A record related to an International Application filed under the Patent Cooperation Treaty in this system
of records may be disclosed, as a routine use, to the International Bureau of the World Intellectual
Property Organization, pursuant to the Patent Cooperation Treaty.
6. A record in this system of records may be disclosed, as a routine use, to another federal agency for
purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act
(42 U.S.C. 218(c)).
7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General
Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency’s
responsibility to recommend improvements in records management practices and programs, under
authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA
regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or
Commerce) directive. Such disclosure shall not be used to make determinations about individuals.
8. A record from this system of records may be disclosed, as a routine use, to the public after either
publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C.
151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to
the public if the record was filed in an application which became abandoned or in which the proceedings
were terminated and which application is referenced by either a published application, an application
open to public inspection or an issued patent.
9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or
regulation.
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