Brief Summary:
Chapter 400 provides an overview of the individuals who are legally capable of helping an inventor file a patent application.
The power of attorney and the withdrawal or revocation of the power of attorney are the focus of this chapter. This chapter also covers who receives correspondence during the prosecution of an application.
Key Terms:
Assignment | An Assignment is the transfer of ownership rights of a patent or patent application from one party to another, typically documented through a written agreement. |
Legal Representation | Legal Representation involves having a qualified attorney or agent act on behalf of a client in matters related to patent applications, enforcement, and litigation. |
Limited Recognition | Limited Recognition refers to a special status granted by the patent office to individuals who are not registered patent attorneys or agents, allowing them to represent specific clients in patent matters under certain conditions. |
Power of Attorney | Power of Attorney is a legal authorization allowing a designated individual, typically a patent attorney or agent, to act on behalf of the patent applicant or owner in matters related to the patent application or maintenance. |
Pro Se | Pro Se refers to an individual who represents themselves in the patent application process without the assistance of a registered patent attorney or agent. |
37 CFR (Code of Federal Regulations):
37 CFR 1.33 – Correspondence respecting patent applications, reexamination proceedings, and other proceedings. |
37 CFR 1.33 outlines the requirements for specifying a correspondence address for patent applications and proceedings, detailing who can sign amendments and other papers, and how communications are directed, ensuring proper handling and communication with the USPTO. |
37 CFR 1.36 – Revocation of power of attorney; withdrawal of patent attorney or agent. |
37 CFR 1.36 allows the revocation of a power of attorney by the applicant or patent owner at any stage, and permits a patent attorney or agent to withdraw with the Director’s approval, ensuring proper notification and handling of such changes. |
35 USC (United States Code):
35 USC 116 – Inventors. |
35 USC 116 outlines the requirements and procedures for joint inventorship, specifying that when an invention is made by two or more persons jointly, they shall apply for a patent jointly, regardless of their individual contributions to the invention. |
35 USC 117 – Death or Incapacity of Inventor. |
35 USC 117 allows a legal representative to apply for a patent on behalf of an inventor who is deceased or legally incapacitated. |
Quick Statistics:
Number of Pages: 60 pgs
Sections: 401 – 410
List of Sections:
401 | U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner | |
402 | Power of Attorney; Naming Representative | |
• 402.01 Limited Recognition in Patent Matters • 402.02 Appointment of Power of Attorney | ||
• 402.02(a) Appointment in Application Filed On or After September 16, 2012 • 402.02(b) Appointment in Application Filed Before September 16, 2012 | ||
• 402.03 Signature Requirements for Papers Filed in an Application • 402.04 Acting in a Representative Capacity • 402.05 Revocation of Power of Attorney | ||
• 402.05(a) Applicant Revocation – Application Filed On or After September 16, 2012 • 402.05(b) Applicant Revocation – Application Filed Before September 16, 2012 | ||
• 402.06 Attorney or Agent Withdraws • 402.07 Assignee Revocation of Power of Attorney of Applicant and Appointment of New Power of Attorney • 402.08 Application in Interference or Derivation Proceeding • 402.09 International Application • 402.10 Appointment/Revocation by Less Than All Applicants or Owners | ||
403 | Correspondence — With Whom Held; Customer Number Practice | |
• 403.01 Correspondence in Applications | ||
• 403.01(a) Correspondence in Applications Filed On or After September 16, 2012 • 403.01(b) Correspondence in Applications Filed Before September 16, 2012 | ||
• 403.02 Two Patent Practitioners for Same Application | ||
404 | [Reserved] | |
405 | Interviews With Patent Practitioner Not of Record | |
406 | Death of Patent Practitioner | |
407 | Suspended or Excluded Patent Practitioner | |
408 | Interviews With Patent Practitioner of Record | |
409 | Death, Legal Incapacity, or Unavailability of Inventor | |
• 409.01 Deceased or Legally Incapacitated Inventor | ||
• 409.01(a) Deceased or Legally Incapacitated Inventor – Application Filed on or After September 16, 2012 • 409.01(b) Deceased or Legally Incapacitated Inventor- Application Filed Before September 16, 2012 | ||
• 409.02 Unavailable Joint Inventor – Application Filed on or after September 16, 2012 • 409.03 Unavailability of Inventor – Application Filed Before September 16, 2012 | ||
• 409.03(a) At Least One Joint Inventor Available • 409.03(b) No Inventor Available • 409.03(c)-Unavailable Legal Representative of Deceased Inventor • 409.03(d) Proof of Unavailability or Refusal • 409.03(e) Statement of Last Known Address • 409.03(f) Proof of Proprietary Interest • 409.03(g) Proof of Irreparable Damage • 409.03(h) Processing and Acceptance of a Pre-AIA 37 CFR 1.47 Application • 409.03(i) Rights of the Nonsigning Inventor • 409.03(j) Action Following Acceptance of a Pre-AIA 37 CFR 1.47 Application | ||
• 409.04 [Reserved] • 409.05 Application For Patent by an Assignee, Obligated Assignee, or a Person Who Otherwise Shows Sufficient Proprietary Interest – Application Filed On or After September 16, 2012 | ||
410 | Representations to the U.S. Patent and Trademark Office |