MPEP § 401 — U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner (Annotated Rules)
§401 U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner
This page consolidates and annotates all enforceable requirements under MPEP § 401, 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.
U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner
This section addresses U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner. Primary authority: 37 CFR 1.31, 37 CFR 11.18(b), and 37 CFR 11.18(c). Contains: 2 requirements, 2 prohibitions, and 3 permissions.
Key Rules
Assignee as Applicant Signature
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.
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.
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.
Power of Attorney by Assignee
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 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.
Registration Number on Signature
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.
Practitioner Recognition and Conduct
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.
Practitioner Discipline
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.
Form Paragraph Usage
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.
Examiner Form Paragraphs
Examiner form paragraphs are standard language that you might see in an Office Action or communication from the USPTO. Examiners have latitude to change the form paragraphs, but you will often see this exact language.
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.
The examiner should not suggest that applicant employ an attorney or agent if the application appears to contain no patentable subject matter.
Citations
| Primary topic | Citation |
|---|---|
| Assignee as Applicant Signature | 37 CFR § 1.31 |
| Assignee as Applicant Signature | 37 CFR § 1.4(d)(4) |
| Assignee as Applicant Signature | 37 CFR § 11.18(b) |
| Assignee as Applicant Signature | 37 CFR § 11.18(b)(2) |
| Assignee as Applicant Signature | 37 CFR § 11.18(c) |
| Assignee as Applicant Signature | MPEP § 402.03 |
| Form Paragraph Usage Practitioner Discipline Practitioner Recognition and Conduct Registration Number on Signature | Form Paragraph § 4.10 |
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 § 401 — U.S. Patent and Trademark Office Cannot Aid in Selection of Patent Practitioner
Source: USPTO401 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.