MPEP § 405 — Interviews With Patent Practitioner Not of Record (Annotated Rules)
§405 Interviews With Patent Practitioner Not of Record
This page consolidates and annotates all enforceable requirements under MPEP § 405, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.
Interviews With Patent Practitioner Not of Record
This section addresses Interviews With Patent Practitioner Not of Record. Primary authority: 35 U.S.C. 122(b), 35 U.S.C. 122(a), and 37 CFR 1.34. Contains: 5 permissions.
Key Rules
Practitioner Conduct and Certification
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.
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.
POA Form Requirements
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).
Sanctions for Misconduct
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.
Practitioner Authority to Inspect
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.
Citations
| Primary topic | Citation |
|---|---|
| POA Form Requirements | 35 U.S.C. § 122(a) |
| POA Form Requirements | 35 U.S.C. § 122(b) |
| Practitioner Conduct and Certification Sanctions for Misconduct | 37 CFR § 1.34 |
| Sanctions for Misconduct | 37 CFR § 11.18 |
| Practitioner Authority to Inspect | MPEP § 402.03 |
| Practitioner Conduct and Certification Sanctions for Misconduct | MPEP § 402.04 |
| POA Form Requirements | MPEP § 713.01 |
Source Text from USPTO’s MPEP
This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.
Official MPEP § 405 — Interviews With Patent Practitioner Not of Record
Source: USPTO405 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.