MPEP § 407 — MPEP § 407
Current through: 2022-07-01

407-Suspended or Excluded Patent Practitioner 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 0400 

 Section 407 
 

 
 
 
 
 
 407 Suspended or Excluded Patent Practitioner [R-11.2013]

 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.
 

 See MPEP §
 105 .
 

 Form paragraphs 4.07 , and 4.08 should be used where power of attorney
 is given to an attorney or agent who has been suspended from practice before the
 Office.
 

 

 ¶ 4.07 Attorney/Agent Suspended (Sole Practitioner)

 The instant application contains a power of attorney to [1] 
 who has been [2] from practice before the Patent and Trademark Office (Office).
 The Office does not communicate with attorneys or agents who have been suspended or excluded
 from practice. Accordingly, the Office action is being mailed to the address of the applicant
 first named in the application. Applicant(s) may file a new power of attorney in the
 application to have a registered attorney or agent represent them before the Office.
 

 In the absence of an attorney or agent of record, for applications filed
 before September 16, 2012, 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. 
 

 Applicants may obtain a list of registered patent attorneys and agents
 located in their area by consulting the USPTO website, https://oedci.uspto.gov/OEDCI/ , or by
 calling the Office of Enrollment and Discipline at (571) 272-4097. 
 

 Examiner Note:
 
 1. In bracket 1, insert the name of the suspended or excluded
 practitioner.
 

 2. In bracket 2, insert either --suspended-- or --excluded--.

 3. This form paragraph should be used when the suspended or excluded
 practitioner is the only practitioner of record.
 

 4. The Office action is to be mailed only to the
 applicant first named in the application at that applicant’s current address of
 record.
 
 
 

 

 ¶ 4.08 Attorney/Agent Suspended (Plural Practitioners)

 The present application was filed
 containing a power of attorney to [1] and [2] . A correspondence
 address was supplied for [3] . No address was supplied for [4] . 
 

 [5] was [6] from practice before the Patent and Trademark Office
 (Office). The Office does not communicate with attorneys or agents who have been suspended or
 excluded from practice.
 

 As a correspondence address, other than
 to [7] , is not of record, this Office action is being mailed to [8] 
 at his/her last known address as listed on the register of patent attorneys and agents. To
 ensure that a copy of this Office action is received in a timely manner to allow for a timely
 reply, a copy of the Office action is being mailed directly to the address of the applicant
 first named in the application. Any reply by applicant(s) should be by way of the remaining
 practitioner(s) of record and should include a new correspondence address.
 

 Examiner Note:
 
 1. In brackets 1, 3, 5 and 7 insert
 the name of the suspended or excluded practitioner.
 

 2. In brackets 2, 4 and 8, insert
 the name of the first named unsuspended (unexcluded) registered practitioner of
 record.
 

 3. In bracket 6, insert either
 --suspended-- or --excluded--.
 

 4. This form paragraph should be
 used when there is at least one registered practitioner still of record who has not been
 suspended or excluded from practice. Use form paragraph 4.07 if there are no remaining registered
 attorneys or agents of record.
 

 5. The Office action is to be mailed
 both to the first named registered attorney or agent of record (who is not suspended or
 excluded) at the address currently listed in the Attorney’s Roster,
 and to the applicant first named in the application at that
 applicant’s current address 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 20:50:52