MPEP § 402.04 — Acting in a Representative Capacity (Annotated Rules)

§402.04 Acting in a Representative Capacity

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 402.04, 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.

Acting in a Representative Capacity

This section addresses Acting in a Representative Capacity. Primary authority: 37 CFR 1.34, 37 CFR 3.71, and 37 CFR 1.32). Contains: 4 requirements, 3 prohibitions, 4 permissions, and 1 other statement.

Key Rules

Topic

Registration Number on Signature

4 rules
StatutoryRequiredAlways
[mpep-402-04-bfb2a08f527a4ad71fcbb4b2]
Patent Practitioner Must Provide Registration Number and Signature
Note:
A patent practitioner must include their registration number, name, and signature when filing a paper with the United States Patent and Trademark Office.

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.

Jump to MPEP Source · 37 CFR 1.34Registration Number on SignaturePractitioner Signature and CertificationSignature Requirements
StatutoryRequiredAlways
[mpep-402-04-6ddadd80c4d8bb9447df1c45]
Further Proof of Authority for Representative Actions Required
Note:
When a patent practitioner acts in a representative capacity, they must provide proof of their authorization to represent the party they are acting for.

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.

Jump to MPEP Source · 37 CFR 1.34Registration Number on SignaturePractitioner Signature and CertificationSignature Requirements
StatutoryRequiredAlways
[mpep-402-04-eb99cbb89dce3cb3d2443e65]
Registration Number and Signature Required for Filing
Note:
A paper filed by a registered patent attorney or agent must include their name, registration number, and signature if they are not already of record in the application.

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.

Jump to MPEP Source · 37 CFR 1.34Registration Number on SignaturePractitioner Signature and CertificationSignature Requirements
StatutoryPermittedAlways
[mpep-402-04-a44fa29cee9caba92528a7dd]
Papers Filed by Registered Attorneys and Agents in Patent Applications
Note:
Allows papers to be filed on behalf of applicants without individual powers of attorney, facilitating timely responses and changes in law firm composition.

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.

Jump to MPEP Source · 37 CFR 1.34Registration Number on SignaturePractitioner Signature and CertificationSignature Requirements
Topic

Assignee as Applicant Signature

3 rules
StatutoryInformativeAlways
[mpep-402-04-8eba9ba0e4a7de95a691e036]
All Applicants Must Be Represented
Note:
A patent practitioner must represent all parties identified as applicants when filing papers in an application.

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.

Jump to MPEP Source · 37 CFR 1.34Assignee as Applicant SignatureApplicant and Assignee Filing Under AIAAIA Effective Dates
StatutoryProhibitedAlways
[mpep-402-04-208034b8ba5c500639db5230]
Patent Practitioner Must Represent All Applicants
Note:
A patent practitioner must file papers on behalf of all joint inventors or assignees identified as applicants, not just some.

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.

Jump to MPEP Source · 37 CFR 1.34Assignee as Applicant SignatureApplicant and Assignee Filing Under AIAAIA Effective Dates
StatutoryProhibitedAlways
[mpep-402-04-486f20d986cc73b09da0d68e]
Patent Practitioner Must Represent All Assignees
Note:
A patent practitioner must file papers on behalf of all assignees identified as applicants, not just some.

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.

Jump to MPEP Source · 37 CFR 1.34Assignee as Applicant SignatureApplicant and Assignee Filing Under AIAAIA Effective Dates
Topic

Access to Correspondence

3 rules
StatutoryProhibitedAlways
[mpep-402-04-53ffe696dab4364b88e033fb]
Representative Cannot Sign Certain Documents Without Filing Requirements
Note:
A representative may not sign a power of attorney, document granting access to an application, change of correspondence address, terminal disclaimer, or request for express abandonment without filing the required documents.

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).

Jump to MPEP Source · 37 CFR 1.32)Access to CorrespondenceCorrespondence Address RequirementsCorrespondence with the Office
StatutoryPermittedAlways
[mpep-402-04-c753786e65cbb13d99c6a537]
Patent Practitioner Can Sign Access Documents
Note:
A patent practitioner can sign documents granting access to an application if no power of attorney has been appointed and was named in the transmittal papers, effective September 16, 2012.

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).

Jump to MPEP Source · 37 CFR 1.32)Access to CorrespondenceAIA Effective DatesAIA Overview and Effective Dates
StatutoryPermittedAlways
[mpep-402-04-d0ab2cb0e34bae0c71d62092]
Requirement for Representative to Sign Access Grant Before September 16, 2012
Note:
A representative may sign an access grant before September 16, 2012, if no oath or declaration has been filed and the patent practitioner was named in the transmittal papers.

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).

Jump to MPEP Source · 37 CFR 1.32)Access to CorrespondenceAccess to Oath/DeclarationAIA Effective Dates
Topic

AIA Effective Dates

2 rules
StatutoryRequiredAlways
[mpep-402-04-428c8422dc7dc91d8842d877]
All Applicants Must Be Represented
Note:
A patent practitioner must represent all parties identified as applicants when filing papers in an application filed on or after September 16, 2012.

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.

Jump to MPEP Source · 37 CFR 1.34AIA Effective DatesAssignee as Applicant SignatureAIA Overview and Effective Dates
StatutoryPermittedAlways
[mpep-402-04-6c9128e0dfee99dc7ed9fce5]
Patent Practitioner May Act for Pre-2012 Applicants
Note:
A patent practitioner can represent an applicant or assignee of the entire right who has established their right to take action under 37 CFR 3.71 and 3.73 for applications filed before September 16, 2012.

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.

Jump to MPEP Source · 37 CFR 3.71AIA Effective DatesEstablishing OwnershipAssignee as Applicant Signature
Topic

Petition to Suspend/Waive Rules (37 CFR 1.183)

2 rules
StatutoryInformativeAlways
[mpep-402-04-798b9488b6bfa7114175f6af]
Petition Required for Shared Prosecution
Note:
A petition under 37 CFR 1.36(a) or 37 CFR 1.183 is required for less than all applicants or owners to prosecute an application jointly.

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.

Jump to MPEP Source · 37 CFR 1.36(a)Petition to Suspend/Waive Rules (37 CFR 1.183)Petition Procedures (MPEP 1002)Director Authority and Petitions (MPEP 1000)
StatutoryInformativeAlways
[mpep-402-04-8354f01ef2b16b5cb110f3aa]
Petition Required for Partial Representation
Note:
A petition under 37 CFR 1.183 must be granted to allow representation of some, but not all, applicant parties in an application.

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.

Jump to MPEP Source · 37 CFR 1.36(a)Petition to Suspend/Waive Rules (37 CFR 1.183)Petition Procedures (MPEP 1002)Director Authority and Petitions (MPEP 1000)
Topic

Signature Requirements

1 rules
StatutoryRequiredAlways
[mpep-402-04-742de9d517ac224a10719b9d]
Patent Practitioner Signature Constitutes Authorization
Note:
A patent practitioner's signature before the USPTO constitutes authorization to represent a party in a patent case.

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.

Jump to MPEP Source · 37 CFR 1.34Signature RequirementsRegistration Number on SignaturePractitioner Signature and Certification
Topic

Practitioner Recognition and Conduct

1 rules
StatutoryInformativeAlways
[mpep-402-04-2291c63e15b1c674090d8f39]
Interviews With Patent Practitioners Not of Record Require Approval
Note:
Patent practitioners not listed as record must have interviews approved by the examiner.

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

Jump to MPEP Source · 37 CFR 1.34Practitioner Recognition and Conduct
Topic

Correspondence Address Requirements

1 rules
StatutoryInformativeAlways
[mpep-402-04-4d4b0c7ec29a4032c5637110]
Signatures for Changing Correspondence Address
Note:
Patent practitioners may sign documents changing correspondence address if an executed oath or declaration has not been filed and they were named in the application transmittal papers.

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).

Jump to MPEP Source · 37 CFR 1.32)Correspondence Address RequirementsAccess to Patent Application Files (MPEP 101-106)AIA vs Pre-AIA Practice

Citations

Primary topicCitation
Access to Correspondence
Correspondence Address Requirements
37 CFR § 1.138(b)
Access to Correspondence
Correspondence Address Requirements
37 CFR § 1.14(c)
Petition to Suspend/Waive Rules (37 CFR 1.183)37 CFR § 1.183
Access to Correspondence
Correspondence Address Requirements
37 CFR § 1.32
Access to Correspondence
Correspondence Address Requirements
37 CFR § 1.32(b)
Access to Correspondence
Correspondence Address Requirements
37 CFR § 1.321(b)(1)
Access to Correspondence
Correspondence Address Requirements
37 CFR § 1.33(a)
AIA Effective Dates
Assignee as Applicant Signature
Petition to Suspend/Waive Rules (37 CFR 1.183)
Registration Number on Signature
37 CFR § 1.34
Petition to Suspend/Waive Rules (37 CFR 1.183)37 CFR § 1.36(a)
Access to Correspondence
Correspondence Address Requirements
37 CFR § 1.63
AIA Effective Dates37 CFR § 3.71
Registration Number on SignatureMPEP § 1502.02
Petition to Suspend/Waive Rules (37 CFR 1.183)MPEP § 402.10
Practitioner Recognition and ConductMPEP § 405

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.

BlueIron Last Updated: 2025-12-31