MPEP 400

Representative of Applicant or Owner

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:

AssignmentAn 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 RepresentationLegal Representation involves having a qualified attorney or agent act on behalf of a client in matters related to patent applications, enforcement, and litigation.
Limited RecognitionLimited 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 AttorneyPower 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 SePro 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:

401U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner
402Power 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
403Correspondence — 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]
405Interviews With Patent Practitioner Not of Record
406Death of Patent Practitioner
407Suspended or Excluded Patent Practitioner
408Interviews With Patent Practitioner of Record
409Death, 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
410Representations to the U.S. Patent and Trademark Office


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