MPEP § 402 — MPEP § 402
Current through: 2022-07-01

402-Power of Attorney; Naming Representative 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 0400 

 Section 402 
 

 
 
 
 
 
 402 Power of Attorney; Naming Representative [R-01.2024]

 
 37 CFR 1.32 Power of attorney. 

 
 (a) Definitions .
 
 (1) Patent practitioner means a
 registered patent attorney or registered patent agent under §
 11.6 . An attorney or agent registered under §
 11.6(d) may only act as
 a practitioner in design patent applications or other design patent matters
 or design patent proceedings.
 

 
 

 
 *****

 
 (c) A power of attorney may only name as representative:
 
 (1) One or more joint inventors (§ 1.45 );
 

 (2) Those registered patent practitioners associated with a
 Customer Number;
 

 (3) Ten or fewer patent practitioners, stating the name and
 registration number of each patent practitioner. Except as provided in
 paragraph (c)(1) or
 (c)(2) of this section, the Office will not recognize
 more than ten patent practitioners as being of record in an application or
 patent. If a power of attorney names more than ten patent practitioners,
 such power of attorney must be accompanied by a separate paper indicating
 which ten patent practitioners named in the power of attorney are to be
 recognized by the Office as being of record in the application or patent to
 which the power of attorney is directed.
 

 
 

 
 *****

 
 I. NAMING REPRESENTATIVE IN A POWER OF ATTORNEY An applicant may give a power of attorney to one or more
 patent practitioners or one or more joint inventors. A power of attorney to a joint
 inventor will be recognized even though the one to whom it is given is not a registered
 practitioner. See 37
 CFR 1.31 and 37 CFR 1.32(c)(1) .
 

 Powers of attorney naming firms of attorneys or agents filed in patent
 applications will not be recognized. Furthermore, a power of attorney that names more than
 ten patent practitioners will only be entered if Customer Number practice is used or if
 such power of attorney is accompanied by a separate paper indicating which ten patent
 practitioners named in the power of attorney are to be recognized by the Office as being of
 record in the application or patent to which the power of attorney is directed. If a power
 of attorney is not entered because more than ten patent practitioners were named, a copy of
 the power of attorney should be refiled with the separate paper as set forth in
 37 CFR
 1.32(c)(3) . 
 

 Powers of attorney naming joint inventors, one or more registered
 individuals, or all registered practitioners associated with a Customer Number, may be
 made. See MPEP
 § 403 for Customer Number practice. Where a power of attorney is
 given to ten or fewer patent practitioners, 37 CFR 1.32(c)(3) requires the name and
 registration number of each patent practitioner to be stated in the power of attorney. If
 the name submitted on the power of attorney does not match the name associated with the
 registration number provided in the Office of Enrollment and Discipline records for patent
 practitioners, the person that the Office will recognize as being of record will be the
 person associated with the registration number provided, because the Office enters the
 registration number, not the name, when making the practitioner of record. Accordingly, if
 the wrong registration number is provided, a new power of attorney will be required to
 correct the error.
 

 See MPEP § 601.03(a) for change of
 correspondence address in applications filed on or after September 16, 2012; see
 MPEP §
 601.03(b) for change of correspondence address in applications
 filed before September 16, 2012. See MPEP §§ 201.06(c) , 402.02(a) ,
 and 402.02(b) for change in the power of attorney in continuation or
 divisional applications filed under 37 CFR 1.53(b) . See
 MPEP §
 403 for the addition and/or deletion of a practitioner from the
 list of practitioners associated with a Customer Number. For a representative of a
 requester of reexamination, see MPEP § 2213 . 
 

 II. REGISTERED PRACTITIONERS Effective January 2, 2024, the USPTO created the design
 patent practitioner bar for practicing before the Office in design patent matters.
 Design patent practitioners are registered under 37 CFR
 11.6(d) and can only practice in design patent matters.
 37 CFR
 1.32(a)(1) . In contrast, patent practitioners registered under
 37 CFR
 11.6(a) - (c) can practice in all patent
 matters, which includes design patent matters. See MPEP §
 1502.02 .
 

 For a power of attorney to be valid, the attorney or agent
 appointed must be registered to practice before the U.S. Patent and Trademark Office in
 accordance with 37 CFR
 11.6 . The appointed attorney or agent must also be authorized to
 act as a practitioner in the type of patent matter for which representation is sought.
 In other words, design patent practitioners can only be listed on power of attorneys in
 design patent matters. Additionally, a customer number which includes a design patent
 practitioner can only be used in a power of attorney in design patent matters. See
 MPEP §
 403 , subsection I.
 

 Note that under 37 CFR 11.6(c) , certain foreigners
 who are in good standing before the patent office of the country in which they reside
 and practice may be registered as a patent agent to practice before the Office for the
 limited purpose of presenting and prosecuting patent applications of applicants located
 in such country.
 

 Any power of attorney given to a practitioner who has been suspended or
 disbarred by the Office is ineffective, and does not authorize the person to practice
 before the Office or to represent applicants or patentees in patent matters.
 

 III. INEFFECTIVE POWER OF ATTORNEY When an application for patent is filed accompanied by a
 power of attorney to a person who is neither registered to practice before the United
 States Patent and Trademark Office for the type of application in which it is filed nor
 named as the inventor or a joint inventor in the application, the correspondence address
 of record will not be the address indicated on the ineffective power of attorney. The
 Office of Patent Application Processing will select an official correspondence address
 in accordance with MPEP § 403.01 . 
 

 Form paragraph 4.09 may be used to notify applicant that the attorney or
 agent is not registered.
 

 ¶ 4.09 Unregistered Attorney or Agent

 An examination of this application
 reveals that applicant has attempted to appoint an attorney or agent who is neither registered
 to practice before the U.S. Patent and Trademark Office in patent matters nor named as an
 inventor in the application, contrary to the Code of Federal Regulations, 37 CFR 1.31 and
 1.32 .
 Therefore, the appointment is void, ab initio , and the Office will not
 recognize the appointment. All communications from the Office will be addressed to the first
 named applicant, unless specific instructions to the contrary are supplied by the applicant(s)
 for patent or owner(s). 
 

 For applications filed before September 16, 2012, in the
 absence of the appointment of a registered practitioner, all papers filed in the application
 must be signed: (1) by all named applicants unless one named applicant has been given a power
 of attorney to sign on behalf of the remaining applicants, and the power of attorney is of
 record in the application; or (2) if there is an assignee of record of an undivided part
 interest, by all named applicants retaining an interest and such assignee; or (3) if there is
 an assignee of the entire interest, by such assignee; or (4) by a registered patent attorney
 or agent not of record who acts in a representative capacity under the provisions of
 37 CFR
 1.34 

 For applications filed on or after September 16, 2012, all
 papers must be signed by: (1) a patent practitioner of record; (2) a patent practitioner not
 of record who acts in a representative capacity under the provisions of 37 CFR 1.34 ; or (3) the
 applicant, except that papers submitted on behalf of a juristic entity applicant must be
 signed by a patent practitioner. 
 

 While an applicant (other than a
 juristic entity) may prosecute the application, lack of skill in this field usually acts as a
 liability in affording the maximum protection for the invention disclosed. Applicant is,
 therefore, encouraged to secure the services of a registered patent attorney or agent (i.e.,
 registered to practice before the U.S. Patent and Trademark Office) to prosecute the
 application, since the value of a patent is largely dependent upon skillful preparation and
 prosecution.
 

 The Office cannot aid you in selecting a registered attorney or agent,
 however, a list of attorneys and agents registered to practice before the U.S. Patent and
 Trademark Office is available at www.uspto.gov/FindPatentAttorney . For assistance locating this
 information, contact the Office of Enrollment and Discipline at (571) 272-4097 or call the
 Inventors Assistance Center toll-free number, 1(800)786-9199.
 

 Examiner Note:

 This form paragraph is to be used ONLY after ensuring that the named
 representative is not registered with the Office. An inquiry through the Patent Data Portal
 should be first made and if no listing is given, the Office of Enrollment and Discipline
 should be contacted to determine the current “recognition” status of the individual named
 by the applicant in a “power of attorney.” If the named individual is NOT registered or
 otherwise recognized by the Office, the correspondence address of record should be promptly
 changed to that of the first named applicant unless applicant specifically provides a
 different “correspondence address.” A copy of the Office communication incorporating this
 form paragraph should also be mailed to the unregistered individual named by the applicant
 in the “power of attorney.” 
 

 

 
 402.01 Limited Recognition in Patent Matters [R-01.2024]

 
 37 CFR 11.9 Limited recognition in patent matters. 

 
 (a) Any individual not registered under § 11.6 may,
 upon a showing of circumstances that render it necessary or justifiable and
 that the individual is of good moral character and reputation, be given limited
 recognition by the OED Director to prosecute as attorney or agent a specified
 patent application or specified patent applications. Limited recognition under
 this paragraph shall not extend further than the application or applications
 specified. Limited recognition shall not be granted to individuals who have
 passed the examination or to those for whom the examination has been waived
 while such individual’s application for registration to practice before the
 Office in patent matters is pending. 
 

 (b) An individual ineligible to become registered under
 § 11.6 because of their immigration status may be granted
 limited recognition to practice before the Office in patent matters, provided
 the U.S. Government authorizes employment or training in the United States for
 the individual to represent a patent applicant by preparing or prosecuting a
 patent application, and the individual fulfills the provisions of
 paragraphs (d) and (e) of this section. Limited recognition shall be
 granted only for a period consistent with the terms of the immigration status
 and employment or training authorized. Limited recognition is subject to United
 States immigration rules, statutes, laws, and regulations. If granted, limited
 recognition shall automatically terminate if the individual ceases to: lawfully
 reside in the United States, maintain authorized employment or training, or
 maintain their immigration status. Limited recognition shall not be granted or
 extended to a non-U.S. citizen residing outside the United States.
 

 (c) An individual not registered under § 11.6 may,
 if appointed by an applicant, prosecute an international patent application
 only before the United States International Searching Authority and the United
 States International Preliminary Examining Authority, provided that the
 individual has the right to practice before the national office with which the
 international application is filed as provided in PCT Art.
 49 , Rule 90 and §
 1.455 of this subchapter, or before the International
 Bureau when the USPTO is acting as Receiving Office pursuant to
 PCT Rules
 83.1bis and 90.1 .
 

 
 *****

 

 

 

 
 37 CFR 11.10 Restrictions on practice in patent matters;
 former and current Office employees; government employees. 

 
 (a) Only practitioners registered under §
 11.6 ; individuals given limited recognition under §
 11.9(a) or (b) or § 11.16 ; or
 individuals admitted pro hac vice as provided in § 41.5(a) 
 or 42.10(c) of this chapter are permitted to represent
 others before the Office in patent matters.
 *****

 

 
 

 Only registered practitioners and individuals granted
 limited recognition are permitted to prosecute patent applications of others before the
 Office or represent others in patent proceedings before the Office. See
 37 CFR
 11.10(a) . Persons granted limited recognition are considered
 practitioners under 37
 CFR 11.1 and thus permitted to perform the same patent prosecution
 functions of registered patent agents and registered patent attorneys when prosecuting a
 specified patent application or specified patent applications. See 37 CFR 11.5(b)(1) .
 This includes the filing of (A) a power of attorney ( 37 CFR
 1.32(b)(4) ), (B) a document granting access to an application
 ( 37 CFR
 1.14(c) ), (C) a change of correspondence address
 ( 37 CFR
 1.33(a) ), (D) a terminal disclaimer ( 37 CFR
 1.321(b)(1) ), or (E) a request for an express abandonment
 ( 37 CFR
 1.138(b) ). However, persons granted limited recognition are still
 subject to the restrictions expressed in their grant, including temporal, employer, and
 visa limitations. 
 

 If a request for limited recognition under 37 CFR 11.9 
 accompanies the application, the Office of Patent Application Processing will forward
 the file to the Director of the Office of Enrollment and Discipline.
 

 See MPEP § 1807 for representation in
 international applications (PCT) and MPEP §
 2911 for representation in international design
 applications.
 

 

 
 402.02 Appointment of Power of Attorney [R-10.2019]

 For appointment of a power of attorney in applications
 filed on or after September 16, 2012, see MPEP §
 402.02(a) . For appointment of a power of attorney in
 applications filed before September 16, 2012, see MPEP §
 402.02(b) .
 

 Effective June 25, 2004, the associate power of attorney practice was
 eliminated. See Revision of Power of Attorney and Assignment
 Practice, 69 FR 29865 (May 2004). The Office no longer accepts a power of
 attorney signed by a principal to name an associate power of attorney. Appointment of an
 associate power of attorney filed on or after June 25, 2004 are not accepted. See also
 MPEP §
 406 .
 

 
 402.02(a) Appointment in Application Filed On or After
 September 16, 2012 [R-10.2019]
 

 [Editor Note: See MPEP § 402.02(b) for information
 pertaining to appointment of a power of attorney in an application filed before
 September 16, 2012.] 

 
 37 CFR 1.32 Power of attorney. 

 *****

 
 (b) A power of attorney must:
 
 (1) Be in writing;

 (2) Name one or more representatives in
 compliance with paragraph (c) of this section;
 

 (3) Give the representative power to act on
 behalf of the principal; and
 

 (4) Be signed by the applicant for patent (§
 1.42 ) or the
 patent owner. A patent owner who was not the applicant under §
 1.46 must appoint
 any power of attorney in compliance with §§ 3.71 and 3.73 of this chapter.
 

 
 

 
 *****

 
 (d) A power of attorney from a prior national
 application for which benefit is claimed under 35 U.S.C.
 120 , 121 , 365(c) , or 386(c) in a continuing
 application may have effect in the continuing application if a copy of the
 power of attorney from the prior application is filed in the continuing
 application unless: 
 
 (1) The power of attorney was granted by the
 inventor; and
 

 (2) The continuing application names an
 inventor who was not named as an inventor in the prior
 application.
 

 
 

 (e) If the power of attorney was granted by the
 originally named inventive entity, and an added inventor pursuant to §
 1.48 does not provide a power of attorney consistent
 with the power of attorney granted by the originally named inventive entity,
 the addition of the inventor results in the loss of that power of attorney
 upon grant of the § 1.48 request. This
 provision does not preclude a practitioner from acting pursuant to §
 1.34 , if applicable.
 

 
 
 I. GENERAL REQUIREMENTS FOR POWERS OF ATTORNEY For applications filed on or after September 16,
 2012, 37 CFR
 1.32(b)(4) sets forth that a power of attorney must be
 signed by the applicant for patent (i.e., all parties identified as the applicant
 as defined by 37 CFR 1.42(a) ) or the patent
 owner (for reissue applications, reexamination proceedings and supplemental
 examination proceedings). An assignee who is not an applicant cannot revoke or
 appoint power of attorney in a patent application.
 

 Pursuant to 37 CFR 1.42 , the word
 “applicant” refers to the inventor or all of the joint inventors or to the person
 applying for a patent as provided in 37 CFR 1.43 (legal
 representative of a deceased or legally incapacitated inventor), 1.45 
 (joint inventor(s) on behalf of themselves and an omitted inventor) or
 1.46 (assignee, obligated assignee, or person who otherwise
 shows sufficient proprietary interest). Where the applicant is all of the joint
 inventors under 37 CFR 1.45 , one or more of
 the joint inventor-applicants may be appointed to represent all of the joint
 inventor-applicants. The power of attorney must be signed by parties identified as
 the applicant in order to be effective. 
 

 As set forth in 37 CFR
 1.42(b) , if a person is applying for a patent as provided in
 37 CFR
 1.46 , that person (which may be a juristic entity), and not
 the inventor, is the applicant. In this situation, the Office would not accept a
 power of attorney from the inventor. An assignee or obligated assignee who is the
 applicant may appoint an effective power of attorney without the need to establish
 the right to take action under 37 CFR 3.71 . See also
 MPEP § 325 . Persons who otherwise show sufficient
 proprietary interest in the matter may supply a power of attorney along with a
 petition under 37 CFR 1.46(b)(2) , which power
 would be effective once the petition is granted.
 

 An assignee who is not the applicant may sign a power
 of attorney only if the assignee becomes the applicant per 37 CFR
 1.46(c) (which requires compliance with 37 CFR
 3.71 and 3.73 ). See
 MPEP § 325 . A patent owner who was not the applicant
 under 37 CFR
 1.46 must appoint any power of attorney in compliance with
 37 CFR
 3.71 and 3.73 . This covers a patent
 owner in a reissue application who was not the applicant under 37 CFR
 1.46 in the application for the original patent, as well as
 a patent owner in a supplemental examination or reexamination proceeding who was
 not the applicant under 37 CFR 1.46 .
 

 The power of attorney must be signed by someone who is
 authorized to act on behalf of the assignee-applicant (i.e., a person with a title
 that carries apparent authority, or a person who includes a statement of
 authorization to act.). A patent practitioner is not authorized to act on behalf
 of an assignee simply by existence of authority to prosecute an application.
 

 II. POWERS OF ATTORNEY IN CONTINUING APPLICATIONS Pursuant to 37 CFR
 1.32(d) , a power of attorney from a prior national
 application for which benefit is claimed under 35 U.S.C.
 120 , 121 , 365(c) , or
 386(c) in a continuing application may have effect in the
 continuing application if a copy of the power of attorney from the prior
 application is filed in the continuing application unless: (1) The power of
 attorney was granted by the inventor; and (2) the continuing application names an
 inventor who was not named as an inventor in the prior application. Thus
 37
 CFR 1.32(d) specifically requires that a copy of the power
 of attorney from the prior application be filed in the continuing application to
 have effect (even where a change in power did not occur in the prior application).
 Additionally, the copy of the power of attorney must comply with 37 CFR
 1.32(b) in the continuing application in order to be
 accepted, meaning that it must be signed by the applicant for patent named in the
 continuing application.
 

 III. POWER OF ATTORNEY FORMS FOR APPLICATIONS FILED ON OR AFTER SEPTEMBER 16,
 2012 The following forms, available on the USPTO website
 at www.uspto.gov/patent/patents-forms , are for use in
 applications filed on or after September 16, 2012: PTO/AIA/80, PTO/AIA/81, and
 PTO/AIA/82. Form PTO/AIA/81A may be used in a patent that issued from an
 application filed on or after September 16, 2012.
 

 PTO/AIA/80 

 Form PTO/AIA/80 may be used by assignees who either
 are the named applicant or are becoming the applicant by filing a request to
 change the applicant under 37 CFR 1.46(c) . In either
 situation, this form must be accompanied by a statement under 37 CFR
 3.73(c) (Form PTO/AIA/96 or equivalent). The Form PTO/AIA/80
 must be signed by the named assignee or, where the assignee is a juristic entity,
 by a person who is authorized to act on behalf of the assignee. Where an assignee
 gives the practitioner specific authority to act on behalf of the assignee (e.g.,
 authority given by organizational resolution), a practitioner may sign the
 PTO/AIA/80 on behalf of the assignee. Where an assignee is named as the applicant
 in the patent application, the assignee-applicant can appoint a power of attorney
 using the PTO/AIA/82 form instead of Form PTO/AIA/80. 
 

 PTO/AIA/81 

 Form PTO/AIA/81 may be used by joint inventors who
 are the applicant to give one or more joint inventor-applicants power of attorney
 to sign on behalf of all joint inventor-applicants. Since powers of attorney must
 be signed by “the applicant,” all joint inventor-applicants must sign a power of
 attorney, including the joint inventor(s) who are being given power of attorney.
 For example, if the applicant is four joint inventors, A, B, C. and D, and all
 four wish to appoint inventor-applicant C as having power of attorney, A, B, C and
 D must all sign a power of attorney that appoints C. 
 

 PTO/AIA/82 

 Form PTO/AIA/82 may be used by the applicant for
 patent to appoint one or more patent practitioners. The form has three pages,
 PTO/AIA/82A (Part A), PTO/AIA/82B (Part B), and PTO/AIA/82C (Part C). Part A is a
 transmittal page used to identify the application (e.g., application number, if
 known, filing date, first named inventor) to which the power of attorney is
 directed and must be signed by a proper 37 CFR 1.33(b) party. Part B
 is the power of attorney and may also specify the correspondence address. Part B
 must be signed by the applicant. Where there are multiple applicant parties, a
 power of attorney signed by each party must be submitted, and the powers must make
 the same appointment. For information about powers of attorney by less than all
 applicants, see MPEP
 § 402.10 . Part C is an optional page that may be used to
 appoint up to 10 patent practitioners by name and registration number. 
 

 PTO/AIA/82 may be used like a general power of
 attorney, if desired. For example, where the applicant is a juristic entity
 assignee, an officer of the company could sign Part B, leaving the optional
 “Application Number” and “Filing Date” boxes empty, and then the patent
 practitioner could complete and sign one Part A for each respective application
 and file a copy of Part B with each Part A. If Part A or an equivalent is not
 filed with Part B, then the “Application Number” and “Filing Date” boxes on Part B
 must be completed to identify the application to which the power is being
 directed. See 37
 CFR 1.5 . Note that the “Application Number” and “Filing
 Date” boxes of Part B may not be filled in by a patent practitioner after Part B
 has been signed by the applicant (i.e., the form may not be altered once it has
 been signed). 
 

 Note that the Office does not recommend that
 practitioners use a combined declaration and power of attorney document, and no
 longer provides such a form on the USPTO website.
 

 PTO/AIA/81A 

 Form PTO/AIA/81A may be used to appoint a power of
 attorney in a patent resulting from an application filed on or after September 16,
 2012 and must be signed by the applicant or the current patent owner. If the form
 is signed by the current patent owner, compliance with 37 CFR
 3.71 and 3.73 is required by filing a
 Statement Under 37 CFR 3.73(c) (Form
 PTO/AIA/96 or equivalent). 
 

 

 

 

 

 

 

 

 

 

 

 

 
 402.02(b) Appointment in Application Filed Before
 September 16, 2012 [R-10.2019]
 

 [Editor Note: See MPEP § 402.02(a) for information
 pertaining to appointment of a power of attorney in an application filed on or
 after September 16, 2012.] 

 I. GENERAL REQUIREMENTS FOR POWERS OF ATTORNEY 
 37 CFR 1.32 (pre-AIA) Power of attorney. 

 *****

 
 (b) A power of attorney must:
 
 (1) Be in writing;

 (2) Name one or more representatives in
 compliance with paragraph (c) of this section;
 

 (3) Give the representative power to act
 on behalf of the principal; and
 

 (4) Be signed by the applicant for patent (§
 1.41(b) ) or the
 assignee of the entire interest of the applicant. 
 

 
 

 
 *****

 

 For applications filed before September 16, 2012,
 pre-AIA 37
 CFR 1.32(b) sets forth that a power of attorney must be
 signed by the applicant for patent or the assignee of the entire interest of the
 applicant. 
 

 Pursuant to pre-AIA 37 CFR 1.41(b) , the
 word “applicant” refers to the inventor or all of the joint inventors or to the
 person applying for a patent in place of the inventor under pre-AIA 37 CFR
 1.42 (legal representative of deceased inventor),
 1.43 (legal representative of a deceased or legally
 incapacitated inventor), 1.47(a) (joint inventor(s) on
 behalf of themselves and joint inventor(s) who refuse to join or cannot be reached
 or found after diligent effort) or 1.47(b) (by assignee,
 obligated assignee, or person who otherwise shows sufficient proprietary interest
 whenever all of the inventors refuse to sign or cannot be found or reached after
 diligent effort). Note that the Office does not recommend that practitioners use a
 combined declaration and power of attorney document, and no longer provides a
 combined declaration and power of attorney form on the USPTO website. 
 

 While a power of attorney may be signed by the
 inventor(s), the power of attorney should be signed by the assignee of the entire
 interest where one exists. Otherwise, the assignee may be paying the bill, while
 the inventor is providing the power of attorney, thereby possibly raising an issue
 as to who is the practitioner’s client. Additionally, relationships between an
 assignee and the inventors may deteriorate. It is not uncommon in these situations
 for inventors to stop cooperating and in some cases file powers of attorney in an
 attempt to control prosecution of the application. A power of attorney by the
 assignee of the entire interest revokes all powers given by the applicant and
 prior assignees if the assignee establishes their right to take action as provided
 in pre-AIA
 37 CFR 3.71 and pre-AIA 37 CFR 3.73(b) . See
 MPEP §
 324 .
 

 II. POWERS OF ATTORNEY IN CONTINUING APPLICATIONS When filing a continuation or divisional application
 with a copy of a declaration from the parent application in accordance with
 pre-AIA 37
 CFR 1.63(d) , applicants are required to identify in the
 continuation or divisional application any change in power of attorney that
 occurred after the filing of the parent application. See pre-AIA 37 CFR
 1.63(d)(4) . The Office suggests doing so by submitting a
 copy of the most recent power of attorney from the parent application in the
 continuing application to ensure that the Office recognizes the correct power of
 attorney.
 

 III. POWER OF ATTORNEY FORMS FOR APPLICATIONS FILED BEFORE SEPTEMBER 16,
 2012 Form PTO/SB/80 or PTO/SB/81 (available at
 www.uspto.gov/patent/patents-forms ) should be used for powers
 of attorney in applications filed before September 16, 2012. Note that the Office
 does not recommend that practitioners use a combined declaration and power of
 attorney document, and no longer provides such a form on the USPTO website. Form
 PTO/SB/81A may be used in a patent that issued from an application filed before
 September 16, 2012. 
 

 

 

 
 402.03 Signature Requirements for Papers Filed in an
 Application [R-07.2022]
 

 
 37 CFR 11.18 Signature and certificate for correspondence filed in the
 Office. 

 
 (a) For all documents filed in the Office in
 patent, trademark, and other non-patent matters, and all documents filed
 with a hearing officer in a disciplinary proceeding, except for
 correspondence that is required to be signed by the applicant or party, each
 piece of correspondence filed by a practitioner in the Office must bear a
 signature, personally signed or inserted by such practitioner, in compliance
 with § 1.4(d) or § 2.193(a) of this chapter.
 

 (b) By presenting to the Office or hearing officer
 in a disciplinary proceeding (whether by signing, filing, submitting, or
 later advocating) any paper, the party presenting such paper, whether a
 practitioner or non-practitioner, is certifying that—
 
 (1) All statements made therein of the
 party’s own knowledge are true, all statements made therein on
 information and belief are believed to be true, and all statements
 made therein are made with the knowledge that whoever, in any matter
 within the jurisdiction of the Office, knowingly and willfully
 falsifies, conceals, or covers up by any trick, scheme, or device a
 material fact, or knowingly and willfully makes any false, fictitious,
 or fraudulent statements or representations, or knowingly and
 willfully makes or uses any false writing or document knowing the same
 to contain any false, fictitious, or fraudulent statement or entry,
 shall be subject to the penalties set forth under 18 U.S.C.
 1001 and any other applicable criminal statute,
 and violations of the provisions of this section may jeopardize the
 probative value of the paper; and
 

 (2) To the best of the party’s knowledge,
 information and belief, formed after an inquiry reasonable under the
 circumstances,
 
 (i) The paper is not being presented
 for any improper purpose, such as to harass someone or to cause
 unnecessary delay or needless increase in the cost of any
 proceeding before the Office;
 

 (ii) The other legal contentions
 therein are warranted by existing law or by a nonfrivolous
 argument for the extension, modification, or reversal of
 existing law or the establishment of new law;
 

 (iii) The allegations and other factual
 contentions have evidentiary support or, if specifically so
 identified, are likely to have evidentiary support after a
 reasonable opportunity for further investigation or discovery;
 and
 

 (iv) The denials of factual contentions
 are warranted on the evidence, or if specifically so identified,
 are reasonably based on a lack of information or belief.
 

 
 

 
 

 (c) Violations of any of paragraphs (b)(2)(i)
 through (iv) of this section are, after notice and reasonable opportunity to
 respond, subject to such sanctions or actions as deemed appropriate by the
 USPTO Director, which may include, but are not limited to, any combination
 of—
 
 (1) Striking the offending paper;

 (2) Referring a practitioner’s conduct to
 the Director of the Office of Enrollment and Discipline for
 appropriate action;
 

 (3) Precluding a party or practitioner from
 submitting a paper, or presenting or contesting an issue;
 

 (4) Affecting the weight given to the
 offending paper; or
 

 (5) Terminating the proceedings in the
 Office.
 

 
 

 (d) Any practitioner violating the provisions of
 this section may also be subject to disciplinary action.
 

 
 

 37 CFR
 11.18(a) emphasizes that every paper filed by a practitioner
 must be personally signed by the practitioner, except those required to be signed by
 the applicant or party. 
 

 37 CFR
 11.18(b) provides that, by presenting any paper to the Office,
 the party presenting such paper (whether a practitioner or non-practitioner) is: (1)
 certifying that the statements made therein are subject to the declaration clause of
 37 CFR
 1.68 ; and (2) making the certifications required for papers
 filed in a federal court under Rule 11(b) of the Federal Rules of Civil Procedure.
 See MPEP §
 410 . 37 CFR 11.18(d) provides that any
 practitioner violating the provisions of 37 CFR 11.18 may also be subject
 to disciplinary action, thus clarifying that a practitioner may be subject to
 disciplinary action in lieu of, or in addition to, the sanctions set forth in
 37 CFR
 11.18(c) for violations of 37 CFR 11.18 . See also
 37 CFR
 1.4(d)(4) . 
 

 The certifications in 37 CFR 11.18(b) 
 apply to all papers filed in the Office, including allegations of improper conduct
 made by a registered practitioner in any Office proceeding.
 

 

 
 402.04 Acting in a Representative Capacity [R-01.2024]

 
 37 CFR 1.34 Acting in a representative
 capacity 

 When a patent practitioner acting in a representative
 capacity appears in person or signs a paper in practice before the United States
 Patent and Trademark Office in a patent case, his or her personal appearance or
 signature shall constitute a representation to the United States Patent and Trademark
 Office that under the provisions of this subchapter and the law, he or she is
 authorized to represent the particular party on whose behalf he or she acts. In
 filing such a paper, the patent practitioner must set forth his or her registration
 number, his or her name and signature. Further proof of authority to act in a
 representative capacity may be required.
 

 

 In accordance with 37 CFR 1.34 , a paper filed by a
 registered patent attorney or agent in an application in which they are not of record
 must include their name, registration number, and signature. Acceptance of papers filed
 in patent applications and reexamination proceedings by registered attorneys and agents
 upon a representation that the attorney or agent is authorized to act in a
 representative capacity is for the purpose of facilitating replies on behalf of
 applicants in patent applications and, further, to obviate the need for filing powers of
 attorney in individual applications or patents when there has been a change in
 composition of law firms or corporate patent staffs. It is noted that design patent
 practitioners acting in a representative capacity may only do so in design patent
 matters. See MPEP § 1502.02 .
 

 When a patent practitioner acts in a representative
 capacity by filing a paper in an application filed on or after September 16, 2012, they
 must be submitting the paper on behalf of all parties identified as the applicant. The
 provisions of 37 CFR
 1.34 in no way convey authority for a patent practitioner to
 submit papers in an application only on behalf of some of the parties identified as the
 applicant. For example, where the applicant is three joint inventors who do not agree
 about how to proceed in the application, a patent practitioner who only represents one
 of the joint inventors may not file papers in the application to the exclusion of the
 other joint inventors. Likewise, where there are multiple assignees identified as the
 applicant, a patent practitioner may not file papers only on behalf of some of the
 parties.
 

 Powers of attorney by less than all applicants or owners
 are not accepted by the Office unless a petition under 37 CFR 1.36(a) 
 or 37 CFR
 1.183 is granted in the application, and the granted petition
 results in more than one attorney, agent, applicant or owner prosecuting the application
 at the same time and signing correspondence. See MPEP § 402.10 . Acting in a
 representative capacity under 37 CFR 1.34 is not a means of
 prosecuting an application only on behalf of some of the applicant parties. 
 

 For an application filed before September 16, 2012, a
 patent practitioner may act in a representative capacity on behalf of the applicant or
 the assignee of the entire right who has properly established its right to take action
 under 37 CFR
 3.71 and 3.73 . 
 

 See MPEP § 405 for information concerning
 interviews with a patent practitioner not of record.
 

 Except as noted below, a person acting in a representative
 capacity may not sign (A) a power of attorney ( 37 CFR 1.32 ), (B) a document
 granting access to an application, (C) a change of correspondence address), (D) a
 terminal disclaimer ( 37 CFR 1.321(b)(1) ), or (E) a
 request for an express abandonment without filing a continuing application
 ( 37 CFR
 1.138(b) ). In an application filed on or after September 16, 2012,
 a person acting in a representative capacity may sign a document granting access to an
 application or a change of correspondence address if (1) a power of attorney has not
 been appointed under 37 CFR 1.32(b) and (2) the patent
 practitioner was named in the application transmittal papers. See 37 CFR 1.14(c) 
 and 1.33(a) . In an application filed before September 16, 2012, a
 person acting in a representative capacity may sign a document granting access to an
 application or a change of correspondence address if (1) an executed oath or declaration
 under pre-AIA 37 CFR
 1.63 has not been filed and (2) the patent practitioner was named
 in the application transmittal papers. See pre-AIA 37 CFR 1.14(c) and
 pre-AIA 37 CFR
 1.33(a) .
 

 

 
 402.05 Revocation of Power of Attorney [R-10.2019]

 Revocation of a power of attorney becomes effective on the
 date that the revocation is RECEIVED in the Office (not on the date of ACCEPTANCE). Upon
 revocation of the power of attorney, appropriate notification is sent by the Office.
 While an application is involved in an interference or derivation proceeding, any power
 of attorney or revocation of power of attorney should be forwarded to the Patent Trial
 and Appeal Board for consideration. See MPEP § 402.08 .
 

 See MPEP § 402.05(a) for applicant
 revocation of powers of attorney in applications filed on or after September 16, 2012.
 See MPEP §
 402.05(b) for applicant revocation of powers of attorney in
 applications filed before September 16, 2012. See MPEP § 402.07 for assignee revocation
 of a power of attorney.
 

 All of the Office’s power of attorney forms include
 revocation language on them and will revoke any existing power of attorney.
 

 
 402.05(a) Applicant Revocation - Application Filed On or
 After September 16, 2012 [R-10.2019]
 

 
 37 CFR 1.36 Revocation of power of attorney; withdrawal of patent attorney or
 agent. 

 
 (a) A power of attorney, pursuant to § 1.32(b) , may be revoked at any stage in the
 proceedings of a case by the applicant or patent owner. A power of attorney
 to the patent practitioners associated with a Customer Number will be
 treated as a request to revoke any powers of attorney previously given.
 Fewer than all of the applicants (or fewer than all patent owners in a
 supplemental examination or reexamination proceeding) may revoke the power
 of attorney only upon a showing of sufficient cause, and payment of the
 petition fee set forth in § 1.17(f) . A patent
 practitioner will be notified of the revocation of the power of attorney.
 Where power of attorney is given to the patent practitioners associated with
 a Customer Number (§ 1.32(c)(2) ), the
 practitioners so appointed will also be notified of the revocation of the
 power of attorney when the power of attorney to all of the practitioners
 associated with the Customer Number is revoked. The notice of revocation
 will be mailed to the correspondence address for the application (§
 1.33 ) in effect before the revocation. An assignment
 will not of itself operate as a revocation of a power previously given, but
 the assignee may become the applicant under § 1.46(c) and revoke any previous power of attorney and
 grant a power of attorney as provided in § 1.32(b) .
 

 
 *****

 

 

 A power of attorney may be revoked only by the
 applicant or patent owner. An assignee who is not the applicant may revoke a power of
 attorney only if the assignee becomes the applicant per 37 CFR
 1.46(c) (which requires compliance with 37 CFR 3.71 
 and 3.73 ).
 

 If the power of attorney was granted by the originally
 named inventive entity and an added inventor pursuant to § 1.48 does not
 provide a power of attorney consistent with the power of attorney granted by the
 originally named inventive entity, the addition of the inventor results in the loss
 of that power of attorney upon grant of the § 1.48 request. This provision does
 not preclude a practitioner from acting pursuant to 37 CFR 1.34 , if
 applicable. See MPEP § 402.04 for information
 pertaining to acting in a representative capacity.
 

 A nonsigning inventor or legal representative may
 subsequently join in the application by submitting an oath or declaration under
 37 CFR
 1.63 . However, 37 CFR 1.64(f) provides that the
 submission of an oath or declaration by a nonsigning inventor or legal representative
 in an application filed under 37 CFR 1.43 , 1.45 or
 1.46 will not permit the nonsigning inventor or legal
 representative to revoke or grant a power of attorney. 
 

 See MPEP §
 402.02(a) for appointment of a new power of attorney in an
 application filed on or after September 16, 2012.
 

 When an original power of attorney is filed giving power
 of attorney to attorneys A, B, and C, and the same principal subsequently files
 another power of attorney, giving power of attorney to D without revoking all prior
 powers of attorney, the subsequently filed power of attorney will be treated as a
 revocation of the original power of attorney. Similarly, if the applicant signed the
 original power of attorney, and an assignee of the entire interest of the applicant
 later takes action and files a new power of attorney, the original power of attorney
 is revoked and replaced by the power of attorney filed by the assignee. In addition,
 if a power of attorney is given to the practitioners associated with a Customer
 Number, and a (second) power of attorney is later received giving power of attorney
 to patent practitioners associated with a different Customer Number, the second power
 of attorney will be processed, with the first Customer Number being replaced with the
 second. The power of attorney to the practitioners associated with the first Customer
 Number is automatically revoked in this situation. In all of these situations, the
 most recently filed power of attorney will control.
 

 

 
 402.05(b) Applicant Revocation - Application Filed Before
 September 16, 2012 [R-10.2019]
 

 
 37 CFR 1.36 (pre-AIA) Revocation of power of attorney; withdrawal of patent attorney
 or agent. 

 
 (a) A power of attorney, pursuant to §
 1.32(b) , may be revoked at any stage in the
 proceedings of a case by an applicant for patent (§ 1.41(b) ) or an assignee of the entire interest of the
 applicant, or the owner of the entire interest of a patent. A power of
 attorney to the patent practitioners associated with a Customer Number will
 be treated as a request to revoke any powers of attorney previously given.
 Fewer than all of the applicants (or fewer than all of the assignees of the
 entire interest of the applicant or, in a reexamination proceeding, fewer
 than all the owners of the entire interest of a patent) may revoke the power
 of attorney only upon a showing of sufficient cause, and payment of the
 petition fee set forth in § 1.17(f) . A patent
 practitioner will be notified of the revocation of the power of attorney.
 Where power of attorney is given to the patent practitioners associated with
 a Customer Number (§ 1.32(c)(2) ), the
 practitioners so appointed will also be notified of the revocation of the
 power of attorney when the power of attorney to all of the practitioners
 associated with the Customer Number is revoked. The notice of revocation
 will be mailed to the correspondence address for the application (§
 1.33 ) in effect before the revocation. An assignment
 will not of itself operate as a revocation of a power previously given, but
 the assignee of the entire interest of the applicant may revoke previous
 powers of attorney and give another power of attorney of the assignee’s own
 selection as provided in § 1.32(b) .
 

 
 *****

 

 See MPEP § 402.07 for revocation of a
 power attorney by the assignee. Form PTO/SB/81 may be used to revoke a power of
 attorney in an application filed before September 16, 2012. See also
 MPEP §
 402.02(b) .
 

 If the power of attorney was granted by the originally
 named inventive entity and an added inventor pursuant to § 1.48 does not
 provide a power of attorney consistent with the power of attorney granted by the
 originally named inventive entity, the addition of the inventor results in the loss
 of that power of attorney upon grant of the § 1.48 request. This provision does
 not preclude a practitioner from acting pursuant to 37 CFR 1.34 , if
 applicable. See MPEP § 402.04 for information
 pertaining to acting in a representative capacity.
 

 When an original power of attorney is filed giving power
 of attorney to attorneys A, B, and C, and the same principal subsequently files
 another power of attorney, giving power of attorney to D without revoking all prior
 powers of attorney, the subsequently filed power of attorney will be treated as a
 revocation of the original power of attorney. Similarly, if the applicant signed the
 original power of attorney, and an assignee of the entire interest of the applicant
 later takes action and files a new power of attorney, the original power of attorney
 is revoked and replaced by the power of attorney filed by the assignee. In addition,
 if a power of attorney is given to the practitioners associated with a Customer
 Number, and a (second) power of attorney is later received giving power of attorney
 to patent practitioners associated with a different Customer Number, the second power
 of attorney will be processed, with the first Customer Number being replaced with the
 second. The power of attorney to the practitioners associated with the first Customer
 Number is automatically revoked in this situation. In all of these situations, the
 most recently filed power of attorney will control.
 

 A nonsigning inventor may subsequently join in a
 pre-AIA 37 CFR
 1.47 application by submitting an oath or declaration under
 pre-AIA 37 CFR
 1.63 . However, even if the nonsigning inventor joins in the
 application, he or she cannot revoke or give a power of attorney without agreement of
 the pre-AIA 37 CFR
 1.47 applicant.
 

 

 

 
 402.06 Attorney or Agent Withdraws [R-01.2024]

 
 37 CFR 1.36 Revocation of power of attorney; withdrawal of patent attorney or
 agent. 

 *****

 
 (b) A registered patent attorney or patent agent who has been given
 a power of attorney pursuant to § 1.32(b) may withdraw as
 attorney or agent of record upon application to and approval by the Director.
 The applicant or patent owner will be notified of the withdrawal of the
 registered patent attorney or patent agent. Where power of attorney is given to
 the patent practitioners associated with a Customer Number, a request to delete
 all of the patent practitioners associated with the Customer Number may not be
 granted if an applicant has given power of attorney to the patent practitioners
 associated with the Customer Number in an application that has an Office action
 to which a reply is due, but insufficient time remains for the applicant to
 file a reply. See § 41.5 of this title for
 withdrawal during proceedings before the Patent Trial and Appeal Board. 
 

 
 

 

 
 37 CFR 11.116 Declining or terminating representation. 

 
 (a) Except as stated in paragraph (c) of this
 section, a practitioner shall not represent a client, or where representation
 has commenced, shall withdraw from the representation of a client if:
 
 (1) The representation will result in violation
 of the USPTO Rules of Professional Conduct or other law;
 

 (2) The practitioner’s physical or mental
 condition materially impairs the practitioner’s ability to represent the
 client; or
 

 (3) The practitioner is discharged.

 
 

 (b) Except as stated in paragraph (c) of this
 section, a practitioner may withdraw from representing a client if:
 
 (1) Withdrawal can be accomplished without
 material adverse effect on the interests of the client;
 

 (2) The client persists in a course of action
 involving the practitioner’s services that the practitioner reasonably
 believes is criminal or fraudulent;
 

 (3) The client has used the practitioner’s
 services to perpetrate a crime or fraud;
 

 (4) A client insists upon taking action that
 the practitioner considers repugnant or with which the practitioner has a
 fundamental disagreement;
 

 (5) The client fails substantially to fulfill
 an obligation to the practitioner regarding the practitioner’s services
 and has been given reasonable warning that the practitioner will withdraw
 unless the obligation is fulfilled;
 

 (6) The representation will result in an
 unreasonable financial burden on the practitioner or has been rendered
 unreasonably difficult by the client; or
 

 (7) Other good cause for withdrawal exists.

 
 

 (c) A practitioner must comply with applicable law
 requiring notice to or permission of a tribunal when terminating a
 representation. When ordered to do so by a tribunal, a practitioner shall
 continue representation notwithstanding good cause for terminating the
 representation.
 

 (d) Upon termination of representation, a practitioner
 shall take steps to the extent reasonably practicable to protect a client’s
 interests, such as giving reasonable notice to the client, allowing time for
 employment of other counsel, surrendering papers and property to which the
 client is entitled and refunding any advance payment of fee or expense that has
 not been earned or incurred. The practitioner may retain papers relating to the
 client to the extent permitted by other law.
 

 
 

 See MPEP § 402.05(a) for applicant
 revocation of power of attorney in applications filed on or after September 16, 2012.
 For revocation of power of attorney in applications filed before September 16, 2012, see
 MPEP §
 402.05(b) for revocation by the applicant and
 MPEP §
 402.07 for revocation by the assignee. See 37 CFR
 11.116 for information regarding permissive and mandatory
 withdrawal. When filing a request to withdraw as attorney or agent of record, the patent
 attorney or agent should briefly state the reason(s) for which the attorney or agent is
 withdrawing so that the Office can determine whether to grant the request. Among several
 scenarios addressed in 37 CFR 11.116(b) , subsections
 (5) and (6) permit withdrawal when after
 reasonable warning the client fails to compensate the practitioner, or when the
 representation “has been rendered unreasonably difficult by the client.” When preparing
 a request for withdrawal for such reasons, the practitioner should also be mindful of
 37 CFR
 11.106 , which requires a practitioner to maintain the
 confidentiality of client information (except in limited circumstances). Where
 withdrawal is predicated upon such reasons, the practitioner, rather than divulging
 confidential or secret information about the client, should identify the reason(s) for
 requesting to withdraw as being based on “irreconcilable differences.” An explanation of
 and the evidence supporting “irreconcilable differences” should be submitted as
 proprietary material in accordance with MPEP § 724.02 to ensure that the
 client’s confidences are maintained.
 

 In the event that a notice of withdrawal is filed by the attorney or
 agent of record, the file will be forwarded to the appropriate official for decision on
 the request. The withdrawal is effective when approved rather than when
 received.
 

 Each attorney of record must sign the notice of withdrawal, or the
 notice of withdrawal must contain a clear indication of one attorney signing on behalf
 of themselves and another. A withdrawal of another attorney or agent of record, without
 also withdrawing the attorney or agent signing the request is a revocation, not a
 withdrawal.
 

 Pursuant to 37 CFR 11.116(c) , when terminating a
 representation a practitioner must provide notice to, or request permission from, a
 tribunal when required by applicable law. Pursuant to 37 CFR
 11.116(d) , a practitioner is required to take steps to the extent
 reasonably practicable to protect a client’s interests, such as giving reasonable notice
 to the client, allowing time for employment of other counsel, surrendering papers and
 property to which the client is entitled and refunding any advance payment of fee or
 expense that has not been earned or incurred.
 

 The Request for Withdrawal As Attorney or Agent and Change
 of Correspondence Address forms (PTO/SB/83 or PTO/AIA/83, available at www.uspto.gov/PatentForms ) provide a section wherein practitioners
 may certify the completion of activities necessary for the request to withdraw from
 representation to be granted. A Request for Withdrawal As Attorney or Agent may
 alternatively be filed as a Web-based ePetition (see www.uspto.gov/patents-application-process/
 petitions/15-attorney-or-agent-withdrawals for more information).
 When the correspondence address will change as a result of withdrawal, the withdrawing
 practitioner(s) must request that the Office direct all future correspondence to (i) the
 first named inventor or assignee that has properly made itself of record pursuant to
 37 CFR
 3.71 (for applications filed before September 16, 2012), or (ii)
 the applicant (for applications filed on or after September 16, 2012), or (iii) the
 assignee of record (for proceedings involving issued patents). Practitioners may do so
 by specifying either the correspondence address of, or the address associated with the
 Customer Number of, any appropriate party as specified above. Withdrawing
 practitioner(s) cannot change the correspondence address to the address associated with
 the Customer Number of another law firm, or any other address except as noted above.
 

 As long as the request is filed prior to the expiration
 date of a time period for reply or the expiration date of a time period which can be
 obtained by a petition and fee for extension of time under 37 CFR 1.136(a) ,
 the Office will review the request and render a decision, even if the decision on the
 request is decided after the stated period for reply, after the application is
 abandoned, or after proceedings have terminated. In contrast, the Office will not decide
 requests to withdraw from representation as practitioner of record which are filed after
 the expiration date of a time period for reply or the expiration date of a time period
 which can be obtained by a petition and fee for extension of time under
 37 CFR
 1.136(a) . These requests will be placed in the application but
 will not be treated on their merits. In a similar situation, a revocation of power of
 attorney filed after the expiration date of a time period for reply or the expiration
 date of a time period which can be obtained by a petition and fee for an extension of
 time under 37 CFR
 1.136 will simply be placed in the application file. The only
 exception will be a revocation and power of attorney accompanied with a petition to
 revive.
 

 For withdrawal during reexamination proceedings, see
 MPEP §
 2223 . Requests for withdrawal filed after a patent has issued
 will be placed in the file but will generally not be treated on their merits. 
 

 The Office will not approve requests from practitioners to
 withdraw from applications where the requesting practitioner is acting, or has acted, in
 a representative capacity pursuant to 37 CFR 1.34 . In these situations,
 the practitioner is responsible for the correspondence the practitioner files in the
 application while acting in a representative capacity. As such, there is no need for the
 practitioner to obtain the Office's permission to withdraw from representation. However,
 practitioners acting in a representative capacity, like practitioners who have a power
 of attorney in the application, remain responsible for noncompliance with
 37 CFR
 1.56 , as well as 37 CFR 11.18 , with respect to
 documents they file.
 

 Form PTO/AIA/83 may be used to request withdrawal of attorney or agent
 of record.
 

 

 

 

 

 
 402.07 Assignee Revocation of Power of Attorney of Applicant and
 Appointment of New Power of Attorney [R-10.2019]
 
 I. APPLICATION FILED ON OR AFTER SEPTEMBER 16, 2012 In applications filed on or after September 16, 2012,
 any power of attorney must be signed by the applicant or patent owner (for a patent,
 including a patent in a supplemental examination or reexamination proceeding). See
 37 CFR
 1.32(b) . For an assignee to revoke a previously given power of
 attorney and/or grant a power of attorney, the assignee must become the applicant
 under 37
 CFR 1.46(c) . See MPEP §§
 402.02(a) and 402.05(a) . See MPEP §
 325 for details pertaining to establishing the right of an
 assignee to take action in an application filed on or after September 16, 2012. 
 

 II. APPLICATION FILED BEFORE SEPTEMBER 16, 2012 In applications filed before September 16, 2012, the
 assignee of record of the entire interest can revoke the power of attorney of the
 applicant unless an “irrevocable” right to prosecute the application had been given
 as in some government owned applications.
 

 
 37 CFR 3.71 (pre-AIA) Prosecution by assignee. 

 
 (a) Patents — conducting of prosecution. One or more assignees
 as defined in paragraph (b) of this section may, after becoming of record
 pursuant to paragraph (c) of this section, conduct prosecution of a national
 patent application or a reexamination proceeding to the exclusion of either the
 inventive entity, or the assignee(s) previously entitled to conduct
 prosecution.
 

 (b) Patents — assignee(s) who can prosecute. The assignee(s) who
 may conduct either the prosecution of a national application for patent or a
 reexamination proceeding are:
 
 (1) A single assignee. An assignee of the entire right,
 title and interest in the application or patent being reexamined who is
 of record, or
 

 (2) Partial assignee(s) together or with inventor(s). All
 partial assignees, or all partial assignees and inventors who have not
 assigned their right, title and interest in the application or patent
 being reexamined, who together own the entire right, title and interest
 in the application or patent being reexamined. A partial assignee is any
 assignee of record having less than the entire right, title and interest
 in the application or patent being reexamined.
 

 
 

 (c) Patents — Becoming of record. An assignee becomes of record
 either in a national patent application or a reexamination proceeding by filing
 a statement in compliance with § 3.73(b) that is signed by a
 party who is authorized to act on behalf of the assignee.
 

 (d) Trademarks. The assignee of a trademark application or
 registration may prosecute a trademark application, submit documents to
 maintain a trademark registration, or file papers against a third party in
 reliance on the assignee’s trademark application or registration, to the
 exclusion of the original applicant or previous assignee. The assignee must
 establish ownership in compliance with § 3.73(b) .
 

 
 

 See pre-AIA 37 CFR 1.36 in MPEP §
 402.05(b) .
 

 A power of attorney by the assignee of the entire interest revokes all
 powers given by the applicant and prior assignees if the assignee establishes their
 right to take action as provided in pre-AIA 37 CFR 3.73(b) . See
 MPEP §
 324 . Ordinarily, the applicant will still have access to the
 application ( MPEP §
 106 ).
 

 In an application that has been accorded status under pre-AIA 37 CFR
 1.47(a) , or for which status under pre-AIA 37 CFR
 1.47(a) has been requested, a power of attorney given by the
 inventors who have signed the declaration (available inventors) may be revoked by an
 assignee of the entire interest of the available inventors (i.e., the applicant). See
 pre-AIA 37 CFR
 1.32(b)(4) . Rights of the assignee to take action may be
 established as provided in pre-AIA 37 CFR 3.73(b) and
 MPEP
 § 324 .
 

 Form PTO/SB/80 may be used by an assignee of the entire interest of the
 applicant to revoke a power of attorney and appoint a new power of attorney. The
 assignee would sign the power of attorney, and either the assignee or the newly
 appointed practitioner, having authority to take action on behalf of the assignee would
 sign a statement under pre-AIA 37 CFR 3.73(b) for the application in which the general
 power of attorney is to be used. See MPEP § 324, subsection V. for who can
 sign the Statement Under pre-AIA 37 CFR 3.73(b) (Form PTO/SB/96 or equivalent). 
 

 

 

 

 
 402.08 Application in Interference or Derivation Proceeding [R-11.2013]

 While an application is involved in an interference or derivation
 proceeding, any power of attorney of or revocation of power of attorney should be
 forwarded to the Patent Trial and Appeal Board for consideration. 
 

 

 
 402.09 International Application [R-01.2024]

 
 37 CFR 11.9 Limited recognition in patent matters. 

 
 (a) Any individual not registered under § 11.6 
 may, upon a showing of circumstances that render it necessary or justifiable
 and that the individual is of good moral character and reputation, be given
 limited recognition by the OED Director to prosecute as attorney or agent a
 specified patent application or specified patent applications. Limited
 recognition under this paragraph shall not extend further than the application
 or applications specified. Limited recognition shall not be granted to
 individuals who have passed the examination or to those for whom the
 examination has been waived while such individual’s application for
 registration to practice before the Office in patent matters is pending.
 

 (b) An individual ineligible to become registered under
 § 11.6 because of their immigration status may be granted
 limited recognition to practice before the Office in patent matters, provided
 the U.S. Government authorizes employment or training in the United States for
 the individual to represent a patent applicant by preparing or prosecuting a
 patent application, and the individual fulfills the provisions of
 paragraphs (d) and (e) of this section. Limited recognition shall be
 granted only for a period consistent with the terms of the immigration status
 and employment or training authorized. Limited recognition is subject to United
 States immigration rules, statutes, laws, and regulations. If granted, limited
 recognition shall automatically terminate if the individual ceases to: lawfully
 reside in the United States, maintain authorized employment or training, or
 maintain their immigration status. Limited recognition shall not be granted or
 extended to a non-U.S. citizen residing outside the United States.
 

 (c) An individual not registered under § 11.6 
 may, if appointed by an applicant, prosecute an international patent
 application only before the United States International Searching Authority and
 the United States International Preliminary Examining Authority, provided that
 the individual has the right to practice before the national office with which
 the international application is filed as provided in PCT Art.
 49 , Rule 90 and §
 1.455 of this subchapter, or before the International
 Bureau when the USPTO is acting as Receiving Office pursuant to
 PCT Rules
 83.1 bis and 90.1 .
 

 
 *****

 

 

 
 37 CFR 1.455 Representation in international applications. 

 
 (a) Applicants of international applications may be represented by
 attorneys or agents registered to practice before the United States Patent and
 Trademark Office or by an applicant appointed as a common representative
 ( PCT Art.
 49 , Rules 4.8 and
 90 and § 11.9 ). If applicants have
 not appointed an attorney or agent or one of the applicants to represent them,
 and there is more than one applicant, the applicant first named in the request
 and who is entitled to file in the U.S. Receiving Office shall be considered to
 be the common representative of all the applicants. An attorney or agent having
 the right to practice before a national office with which an international
 application is filed and for which the United States is an International
 Searching Authority or International Preliminary Examining Authority may be
 appointed to represent the applicants in the international application before
 that authority. An attorney or agent may appoint an associate attorney or agent
 who shall also then be of record ( PCT Rule 90.1(d) ). The
 appointment of an attorney or agent, or of a common representative, revokes any
 earlier appointment unless otherwise indicated ( PCT Rule
 90.6(b) and (c) ).
 

 (b) Appointment of an agent, attorney or common representative
 ( PCT Rule
 4.8 ) must be effected either in the Request form, signed
 by applicant, in the Demand form, signed by applicant, or in a separate power
 of attorney submitted either to the United States Receiving Office or to the
 International Bureau.
 

 (c) Powers of attorney and revocations thereof should be submitted
 to the United States Receiving Office until the issuance of the international
 search report.
 

 (d) The addressee for correspondence will be as indicated in
 section
 108 of the Administrative Instructions .
 

 
 

 For representation in international applications, see
 MPEP §
 1807 .
 

 

 
 402.10 Appointment/Revocation by Less Than All Applicants or
 Owners [R-10.2019]
 

 Papers giving or revoking a power of attorney in an application
 generally require signature by all the applicants or owners of
 the application. Papers revoking a power of attorney in an application will not be
 accepted by the Office when signed by less than all of the applicants or owners of the
 application unless they are accompanied by a petition under 37 CFR 1.36(a) and
 fee under 37 CFR 1.17(f) with a showing of sufficient cause. Papers giving
 a power of attorney in an application will not be accepted by the Office when signed by
 less than all of the applicants or owners of the application unless they are accompanied
 by a petition under 37
 CFR 1.183 and fee under 37 CFR
 1.17(f) demonstrating the extraordinary situation where justice
 requires waiver of the requirement of 37 CFR 1.32(b)(4) . The petition
 should be directed to the Office of Petitions. The appointment and/or revocation are not
 accepted until the petition under 37 CFR 1.36(a) or 1.183 is granted.
 Therefore, the attorney or agent newly appointed by such papers is not permitted to
 submit any documents (such as an information disclosure statement (IDS)) into the
 application file until the petition under 37 CFR 1.36(a) or 1.183 is granted.
 The acceptance of such papers by petition under 37 CFR 1.36(a) or 1.183 will result
 in more than one attorney, agent, applicant, or owner prosecuting the application at the
 same time. Therefore, each of these parties must sign all subsequent replies submitted
 to the Office. See In re Goldstein, 16 USPQ2d 1963 (Dep. Assist.
 Comm’r Pat. 1988).
 

 In an application filed under pre-AIA 37 CFR
 1.47(a) , an assignee of the entire interest of the available
 inventors (i.e., the applicant) who has signed the declaration may appoint or revoke a
 power of attorney without a petition under 37 CFR 1.36(a) or 1.183 . See
 MPEP
 § 402.07 . However, in applications accepted under
 pre-AIA 37 CFR
 1.47 , such a petition under 37 CFR 1.36(a) or 1.183 submitted by
 a previously nonsigning inventor who has now joined in the application will not be
 granted. See MPEP §
 409.03(i) . Upon accepting papers appointing and/or revoking a
 power of attorney that are signed by less than all of the applicants or owners, the
 Office will indicate to applicants who must sign subsequent replies. Double
 correspondence will still not be permitted. Accordingly, when the acceptance of such
 papers results in an attorney or agent and at least one applicant or owner prosecuting
 the application, correspondence will be mailed to the attorney or agent. When the
 acceptance of such papers results in more than one attorney or agent prosecuting the
 application, the correspondence address will continue to be that of the attorney or
 agent first named in the application, unless all parties agree to a different
 correspondence address. Each attorney or agent signing subsequent papers must indicate
 whom he or she represents.
 

 The following are examples of who must sign replies when there is more
 than one person responsible for prosecuting the application:
 

 
 (A) If coinventor A has given a power of attorney to a patent
 practitioner and coinventor B has not, replies must be signed by the patent
 practitioner of A and by coinventor B.
 

 (B) If coinventors A and B have each appointed their own patent
 practitioner, replies must be signed by both patent practitioners.
 

 
 

 [top] 

 

 

 
 

 
 

 

 

 

 
 
 
 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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