MPEP § 407 — Suspended or Excluded Patent Practitioner (Annotated Rules)
§407 Suspended or Excluded Patent Practitioner
This page consolidates and annotates all enforceable requirements under MPEP § 407, 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.
Suspended or Excluded Patent Practitioner
This section addresses Suspended or Excluded Patent Practitioner. Contains: 1 guidance statement.
Key Rules
Practitioner Discipline
See MPEP § 105.
3. This form paragraph should be used when the suspended or excluded practitioner is the only practitioner of record.
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.
POA Form Requirements
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.
Practitioner Recognition and Conduct
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.
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.
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.
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.
Citations
| Primary topic | Citation |
|---|---|
| Practitioner Discipline | MPEP § 105 |
| Practitioner Discipline Practitioner Recognition and Conduct | Form Paragraph § 4.07 |
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 § 407 — Suspended or Excluded Patent Practitioner
Source: USPTO407 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.