MPEP § 405 — MPEP § 405
Current through: 2022-07-01

405-Interviews With Patent Practitioner Not of Record 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 0400 

 Section 405 
 

 
 
 
 
 
 405 Interviews With Patent Practitioner Not of Record [R-01.2024]

 Papers may be filed in patent applications and reexamination proceedings by
 registered attorneys or agents not of record under 37 CFR 1.34 . Filing of such papers is
 considered to be a representation that the attorney or agent is authorized to act in a
 representative capacity on behalf of applicant. See MPEP §
 402.04 . However, the filing of a paper is only a representation
 with respect to the concurrent filing, and the filing of a paper that is not related to an
 interview does not show authorization to conduct an interview.
 

 Registered practitioners can show authorization to act in a
 representative capacity for purposes of conducting an interview by completing, signing, and
 filing an Applicant Initiated Interview Request Form (PTOL-413A). See MPEP §§ 713.01 and
 713.05 . This eliminates the need to file a power of attorney or
 authorization to act in a representative capacity before having an interview. However, an
 interview concerning an application that has not been published under 35 U.S.C. 122(b) with
 an attorney or agent not of record who obtains authorization through use of the interview
 request form will be conducted based on the information and files supplied by the attorney
 or agent in view of the confidentiality requirements of 35 U.S.C. 122(a) . 
 

 Alternatively, Form/PTO/SB/84, "Authorization to Act in a
 Representative Capacity," which is available from the USPTO website at www.uspto.gov/sites/default/files/web/forms/sb0084.pdf may be used to
 establish the authority to conduct an interview. 
 

 Design patent practitioners can only use acting in a
 representative capacity under 37 CFR 1.34 to show authorization to
 conduct interviews in design patent matters. See MPEP §§
 402.04 and 1502.02 . Also, the use of the provisions
 of 37 CFR
 1.34 by a third party or its representative to conduct an interview,
 or take other action not specifically permitted by the rules of practice in an application
 for patent, is considered a violation of 37 CFR 11.18 and may result in
 disciplinary action if done by a practitioner. 
 

 

 

 See MPEP § 402.03 for information regarding
 when a change of correspondence address or a document granting access (i.e., a power to
 inspect) may be signed by an attorney or agent who is not of record.
 

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 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 

 

 

 
 

 
 
 

 
 

 

 
 
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 Last Modified: 
 
 03/09/2026 20:49:43