MPEP § 401 — MPEP § 401
Current through: 2022-07-01

401-U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 0400 

 Section 401 
 

 
 
 
 
 
 401 U.S. Patent and Trademark Office Cannot Aid in Selection of Patent
 Practitioner [R-01.2024]
 

 
 37 CFR 1.31 Applicant may be represented by one or more patent practitioners or joint
 inventors. 

 An applicant for patent may file and prosecute the applicant's own case,
 or the applicant may give power of attorney so as to be represented by one or more
 patent practitioners or joint inventors, except that a juristic entity (e.g.,
 organizational assignee) must be represented by a patent practitioner even if the
 juristic entity is the applicant. The Office cannot aid in the selection of a patent
 practitioner.
 

 

 An applicant who is a juristic entity must be represented by a patent
 practitioner. An applicant for patent, other than a juristic entity (e.g., organizational
 assignee), may file and prosecute their own application, and thus act as their own
 representative ( pro se ) before the Office. See 37 CFR 1.31 . In
 presenting (whether by signing, filing, submitting, or later advocating) papers to the
 Office, a pro se applicant is making the certifications under
 37 CFR
 11.18(b) , and may be subject to sanctions under 37 CFR 11.18(c) for
 violations of 37 CFR
 11.18(b)(2) . See 37 CFR 1.4(d)(4) . See also
 MPEP §§
 402.03 and 410 . 
 

 If patentable subject matter appears to be disclosed in a pro
 se application and it is apparent that the applicant is unfamiliar with the
 proper preparation and prosecution of patent applications, the examiner may suggest to the
 applicant that it may be desirable to employ a registered patent attorney or agent, but the
 Office cannot aid in selecting a patent practitioner. A listing of registered patent
 attorneys and agents is available at www.uspto.gov/FindPatentAttorney . Interested parties may also obtain a
 list of registered patent practitioners located in their area by writing to the Office of
 Enrollment and Discipline (OED) at Mail Stop OED, Director of the U.S. Patent and Trademark
 Office, P.O. Box 1450, Alexandria, VA 22313-1450. The examiner should not suggest that
 applicant employ a patent practitioner if the application appears to contain no patentable
 subject matter. It is suggested that form paragraph 4.10 be incorporated in an
 Office action if the use of a patent practitioner is considered desirable and if patentable
 subject matter exists in the application. 
 

 ¶ 4.10 Employ Services of Attorney or Agent

 It appears the inventor(s) filed the current application pro
 se (i.e., without the benefit of representation by a registered patent
 practitioner). While inventors named as applicants in a patent application may prosecute the
 application pro se , lack of familiarity with patent examination practice
 and procedure may result in missed opportunities in obtaining optimal protection for the
 invention disclosed. The inventor(s) may wish to secure the services of a registered patent
 practitioner to prosecute the application, because the value of a patent is largely dependent
 upon skilled preparation and prosecution. The Office cannot aid in selecting a patent
 practitioner.
 

 A listing of registered patent practitioners is available at
 www.uspto.gov/FindPatentAttorney . Applicants may also obtain a list of
 registered patent practitioners located in their area by writing to Mail Stop OED, Director of
 the U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450.
 

 Examiner Note:

 The examiner should not suggest that
 applicant employ an attorney or agent if the application appears to contain no patentable
 subject matter.
 

 

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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 20:50:51