Patent Law FAQ

When there’s no attorney of record, the signatories for patent application papers depend on the filing date and the applicant type. For applications filed before September 16, 2012, MPEP § 407 states: “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.”

When an attorney is suspended, the signing authority for papers in a patent application depends on the filing date:

For applications filed before September 16, 2012:

• All named applicants
• Assignee of record of an undivided part interest, along with named applicants retaining an interest
• Assignee of the entire interest
• A registered patent attorney or agent not of record acting under 37 CFR 1.34

For applications filed on or after September 16, 2012:

• A patent practitioner of record
• A patent practitioner not of record acting under 37 CFR 1.34
• The applicant (except for juristic entity applicants, which require a patent practitioner)

This information is provided in Form Paragraph 4.07 of MPEP § 407.

If an applicant’s patent attorney or agent is suspended, they should take the following steps:

1. File a new power of attorney in the application to have a registered attorney or agent represent them before the Office.
2. Ensure all future papers are signed by authorized parties (see MPEP § 407, Form Paragraph 4.07 for details on who can sign).
3. If necessary, find a new registered patent attorney or agent using USPTO resources.
4. Update the correspondence address for the application if it was previously associated with the suspended practitioner.

It’s important to act promptly to ensure continued proper representation and communication with the USPTO.

What limited recognition is granted to suspended or excluded practitioners?

Suspended or excluded practitioners are granted limited recognition to handle specific tasks related to pending applications. According to MPEP 407:

“The suspended or excluded practitioner will be granted limited recognition for a period of thirty (30) days, during which time the practitioner may conclude work on behalf of a client on any matters pending before the Office.”

This limited recognition allows the practitioner to:

• Conclude or withdraw from representation in pending proceedings
• Receive and forward correspondence
• Make appropriate filings to protect the client’s rights

However, this recognition is strictly limited to these activities and does not allow the practitioner to engage in new patent prosecution work.

For more information on pending applications, visit: pending applications.

While both suspended and excluded patent practitioners are prohibited from practicing before the USPTO, there are differences in the nature and duration of the prohibition:

• Suspended practitioner: Temporarily prohibited from practicing before the USPTO for a specific period.
• Excluded practitioner: Permanently prohibited from practicing before the USPTO, unless later reinstated.

The MPEP § 407 uses both terms, indicating that the Office treats them similarly in terms of communication and representation: ‘The Office does not communicate with attorneys or agents who have been suspended or excluded from practice.’

When one of multiple practitioners of record is suspended, the USPTO continues to communicate with the remaining unsuspended practitioners. MPEP § 407 provides guidance for this situation: “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.” The Office action is mailed to the first named unsuspended registered practitioner at their address of record. Additionally, to ensure timely receipt, a copy is also sent to the first named applicant’s address of record.

For more information on USPTO communication, visit: USPTO communication.

What happens to pending patent applications when a practitioner is suspended or excluded?

When a patent practitioner is suspended or excluded, the Office of Enrollment and Discipline (OED) Director must review all pending patent applications to determine if immediate action is necessary. According to MPEP 407:

“The OED Director will review all pending applications, in which the suspended or excluded practitioner is the attorney or agent of record, and notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner.”

This process ensures that applicants are aware of their practitioner’s status and can take appropriate action to protect their patent applications.

For more information on pending applications, visit: pending applications.

A power of attorney given to a suspended or disbarred patent practitioner becomes ineffective. The MPEP states: ‘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.’ (MPEP § 407)

What actions can a suspended or excluded practitioner take during the 30-day limited recognition period?

During the 30-day limited recognition period, suspended or excluded practitioners are allowed to perform specific actions to protect their clients’ interests. According to MPEP 407:

“During the 30-day period of limited recognition, the suspended or excluded practitioner may conclude work on behalf of a client on any matters that were pending before the Office on the date of entry of the order of suspension or exclusion.”

Specifically, the practitioner may:

• Receive and forward correspondence related to pending matters
• Make appropriate filings to protect the client’s rights
• Conclude or withdraw from representation in pending proceedings
• Perform limited actions necessary to transfer the client’s case to another registered practitioner

It’s important to note that this limited recognition does not allow the practitioner to take on new clients or file new patent applications during this period.

How does the USPTO notify applicants of their practitioner’s suspension or exclusion?

The USPTO has a specific process for notifying applicants when their patent practitioner has been suspended or excluded. The MPEP 407 outlines this process:

“The OED Director will… notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner. The notification will be sent to the address of record in the application.”

This notification serves several purposes:

• Informs the applicant of their practitioner’s status change
• Advises the applicant of the practitioner’s limited recognition period
• Allows the applicant to take necessary actions to protect their patent application

It’s crucial for applicants to promptly respond to such notifications to ensure their patent applications are not adversely affected by their practitioner’s disciplinary status.

For more information on USPTO notification, visit: USPTO notification.

The USPTO takes specific actions regarding powers of attorney granted to suspended or excluded practitioners. According to MPEP 407:

The Office of Enrollment and Discipline (OED) Director will contact the Director of the Technology Center (TC) managing the application when a practitioner has been suspended or excluded from practice. The OED Director will request that the TC Director review a pending application to determine whether the practitioner has been granted a power of attorney. If the suspended or excluded practitioner was given a power of attorney, the TC Director will notify the applicant and request a new power of attorney.

The process typically involves:

• Identification of affected applications by the OED Director
• Review of power of attorney status by the TC Director
• Notification to the applicant if a power of attorney exists
• Request for a new power of attorney from the applicant
• Potential application abandonment if no response is received within 30 days

For more information on power of attorney, visit: power of attorney.

When an attorney or agent is suspended, the USPTO does not communicate with them. Instead:

• For sole practitioners: The Office action is mailed to the address of the first named applicant in the application.
• For multiple practitioners: The Office action is mailed to the first named unsuspended registered practitioner of record and to the first named applicant.

This is outlined in Form Paragraphs 4.07 and 4.08 of MPEP § 407.

Applicants can find a new registered patent attorney or agent through resources provided by the USPTO. According to MPEP § 407: “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.” These resources allow applicants to search for qualified practitioners who can represent them before the USPTO.

For more information on USPTO Resources, visit: USPTO Resources.

When an applicant’s patent attorney or agent is suspended, they can find a new registered patent attorney or agent by:

1. Consulting the USPTO website at https://oedci.uspto.gov/OEDCI/
2. Calling the Office of Enrollment and Discipline at (571) 272-4097

This information is provided in Form Paragraph 4.07 of MPEP § 407.

No, a suspended or excluded practitioner is not permitted to receive correspondence from the USPTO regarding patent applications. According to MPEP 407:

A suspended or excluded practitioner is not entitled to receive correspondence from the Office, or have interviews with examiners, in applications or patents.

The USPTO takes the following steps to ensure compliance:

• Correspondence will be sent to the applicant or assignee at their address of record.
• If no practitioner is of record, the correspondence will be sent directly to the applicant or assignee.
• Examiners are instructed not to hold interviews with suspended or excluded practitioners.

For more information on USPTO correspondence, visit: USPTO correspondence.

When there’s no attorney of record, the signatories for patent application papers depend on the filing date and the applicant type. For applications filed before September 16, 2012, MPEP § 407 states: “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.”

When an attorney is suspended, the signing authority for papers in a patent application depends on the filing date:

For applications filed before September 16, 2012:

• All named applicants
• Assignee of record of an undivided part interest, along with named applicants retaining an interest
• Assignee of the entire interest
• A registered patent attorney or agent not of record acting under 37 CFR 1.34

For applications filed on or after September 16, 2012:

• A patent practitioner of record
• A patent practitioner not of record acting under 37 CFR 1.34
• The applicant (except for juristic entity applicants, which require a patent practitioner)

This information is provided in Form Paragraph 4.07 of MPEP § 407.

If an applicant’s patent attorney or agent is suspended, they should take the following steps:

1. File a new power of attorney in the application to have a registered attorney or agent represent them before the Office.
2. Ensure all future papers are signed by authorized parties (see MPEP § 407, Form Paragraph 4.07 for details on who can sign).
3. If necessary, find a new registered patent attorney or agent using USPTO resources.
4. Update the correspondence address for the application if it was previously associated with the suspended practitioner.

It’s important to act promptly to ensure continued proper representation and communication with the USPTO.

What limited recognition is granted to suspended or excluded practitioners?

Suspended or excluded practitioners are granted limited recognition to handle specific tasks related to pending applications. According to MPEP 407:

“The suspended or excluded practitioner will be granted limited recognition for a period of thirty (30) days, during which time the practitioner may conclude work on behalf of a client on any matters pending before the Office.”

This limited recognition allows the practitioner to:

• Conclude or withdraw from representation in pending proceedings
• Receive and forward correspondence
• Make appropriate filings to protect the client’s rights

However, this recognition is strictly limited to these activities and does not allow the practitioner to engage in new patent prosecution work.

For more information on pending applications, visit: pending applications.

While both suspended and excluded patent practitioners are prohibited from practicing before the USPTO, there are differences in the nature and duration of the prohibition:

• Suspended practitioner: Temporarily prohibited from practicing before the USPTO for a specific period.
• Excluded practitioner: Permanently prohibited from practicing before the USPTO, unless later reinstated.

The MPEP § 407 uses both terms, indicating that the Office treats them similarly in terms of communication and representation: ‘The Office does not communicate with attorneys or agents who have been suspended or excluded from practice.’

When one of multiple practitioners of record is suspended, the USPTO continues to communicate with the remaining unsuspended practitioners. MPEP § 407 provides guidance for this situation: “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.” The Office action is mailed to the first named unsuspended registered practitioner at their address of record. Additionally, to ensure timely receipt, a copy is also sent to the first named applicant’s address of record.

For more information on USPTO communication, visit: USPTO communication.

What happens to pending patent applications when a practitioner is suspended or excluded?

When a patent practitioner is suspended or excluded, the Office of Enrollment and Discipline (OED) Director must review all pending patent applications to determine if immediate action is necessary. According to MPEP 407:

“The OED Director will review all pending applications, in which the suspended or excluded practitioner is the attorney or agent of record, and notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner.”

This process ensures that applicants are aware of their practitioner’s status and can take appropriate action to protect their patent applications.

For more information on pending applications, visit: pending applications.

A power of attorney given to a suspended or disbarred patent practitioner becomes ineffective. The MPEP states: ‘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.’ (MPEP § 407)

What actions can a suspended or excluded practitioner take during the 30-day limited recognition period?

During the 30-day limited recognition period, suspended or excluded practitioners are allowed to perform specific actions to protect their clients’ interests. According to MPEP 407:

“During the 30-day period of limited recognition, the suspended or excluded practitioner may conclude work on behalf of a client on any matters that were pending before the Office on the date of entry of the order of suspension or exclusion.”

Specifically, the practitioner may:

• Receive and forward correspondence related to pending matters
• Make appropriate filings to protect the client’s rights
• Conclude or withdraw from representation in pending proceedings
• Perform limited actions necessary to transfer the client’s case to another registered practitioner

It’s important to note that this limited recognition does not allow the practitioner to take on new clients or file new patent applications during this period.

How does the USPTO notify applicants of their practitioner’s suspension or exclusion?

The USPTO has a specific process for notifying applicants when their patent practitioner has been suspended or excluded. The MPEP 407 outlines this process:

“The OED Director will… notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner. The notification will be sent to the address of record in the application.”

This notification serves several purposes:

• Informs the applicant of their practitioner’s status change
• Advises the applicant of the practitioner’s limited recognition period
• Allows the applicant to take necessary actions to protect their patent application

It’s crucial for applicants to promptly respond to such notifications to ensure their patent applications are not adversely affected by their practitioner’s disciplinary status.

For more information on USPTO notification, visit: USPTO notification.

The USPTO takes specific actions regarding powers of attorney granted to suspended or excluded practitioners. According to MPEP 407:

The Office of Enrollment and Discipline (OED) Director will contact the Director of the Technology Center (TC) managing the application when a practitioner has been suspended or excluded from practice. The OED Director will request that the TC Director review a pending application to determine whether the practitioner has been granted a power of attorney. If the suspended or excluded practitioner was given a power of attorney, the TC Director will notify the applicant and request a new power of attorney.

The process typically involves:

• Identification of affected applications by the OED Director
• Review of power of attorney status by the TC Director
• Notification to the applicant if a power of attorney exists
• Request for a new power of attorney from the applicant
• Potential application abandonment if no response is received within 30 days

For more information on power of attorney, visit: power of attorney.

When an attorney or agent is suspended, the USPTO does not communicate with them. Instead:

• For sole practitioners: The Office action is mailed to the address of the first named applicant in the application.
• For multiple practitioners: The Office action is mailed to the first named unsuspended registered practitioner of record and to the first named applicant.

This is outlined in Form Paragraphs 4.07 and 4.08 of MPEP § 407.

Applicants can find a new registered patent attorney or agent through resources provided by the USPTO. According to MPEP § 407: “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.” These resources allow applicants to search for qualified practitioners who can represent them before the USPTO.

For more information on USPTO Resources, visit: USPTO Resources.

When an applicant’s patent attorney or agent is suspended, they can find a new registered patent attorney or agent by:

1. Consulting the USPTO website at https://oedci.uspto.gov/OEDCI/
2. Calling the Office of Enrollment and Discipline at (571) 272-4097

This information is provided in Form Paragraph 4.07 of MPEP § 407.

No, a suspended or excluded practitioner is not permitted to receive correspondence from the USPTO regarding patent applications. According to MPEP 407:

A suspended or excluded practitioner is not entitled to receive correspondence from the Office, or have interviews with examiners, in applications or patents.

The USPTO takes the following steps to ensure compliance:

• Correspondence will be sent to the applicant or assignee at their address of record.
• If no practitioner is of record, the correspondence will be sent directly to the applicant or assignee.
• Examiners are instructed not to hold interviews with suspended or excluded practitioners.

For more information on USPTO correspondence, visit: USPTO correspondence.

When there’s no attorney of record, the signatories for patent application papers depend on the filing date and the applicant type. For applications filed before September 16, 2012, MPEP § 407 states: “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.”

When an attorney is suspended, the signing authority for papers in a patent application depends on the filing date:

For applications filed before September 16, 2012:

• All named applicants
• Assignee of record of an undivided part interest, along with named applicants retaining an interest
• Assignee of the entire interest
• A registered patent attorney or agent not of record acting under 37 CFR 1.34

For applications filed on or after September 16, 2012:

• A patent practitioner of record
• A patent practitioner not of record acting under 37 CFR 1.34
• The applicant (except for juristic entity applicants, which require a patent practitioner)

This information is provided in Form Paragraph 4.07 of MPEP § 407.

If an applicant’s patent attorney or agent is suspended, they should take the following steps:

1. File a new power of attorney in the application to have a registered attorney or agent represent them before the Office.
2. Ensure all future papers are signed by authorized parties (see MPEP § 407, Form Paragraph 4.07 for details on who can sign).
3. If necessary, find a new registered patent attorney or agent using USPTO resources.
4. Update the correspondence address for the application if it was previously associated with the suspended practitioner.

It’s important to act promptly to ensure continued proper representation and communication with the USPTO.

What limited recognition is granted to suspended or excluded practitioners?

Suspended or excluded practitioners are granted limited recognition to handle specific tasks related to pending applications. According to MPEP 407:

“The suspended or excluded practitioner will be granted limited recognition for a period of thirty (30) days, during which time the practitioner may conclude work on behalf of a client on any matters pending before the Office.”

This limited recognition allows the practitioner to:

• Conclude or withdraw from representation in pending proceedings
• Receive and forward correspondence
• Make appropriate filings to protect the client’s rights

However, this recognition is strictly limited to these activities and does not allow the practitioner to engage in new patent prosecution work.

For more information on pending applications, visit: pending applications.

While both suspended and excluded patent practitioners are prohibited from practicing before the USPTO, there are differences in the nature and duration of the prohibition:

• Suspended practitioner: Temporarily prohibited from practicing before the USPTO for a specific period.
• Excluded practitioner: Permanently prohibited from practicing before the USPTO, unless later reinstated.

The MPEP § 407 uses both terms, indicating that the Office treats them similarly in terms of communication and representation: ‘The Office does not communicate with attorneys or agents who have been suspended or excluded from practice.’

When one of multiple practitioners of record is suspended, the USPTO continues to communicate with the remaining unsuspended practitioners. MPEP § 407 provides guidance for this situation: “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.” The Office action is mailed to the first named unsuspended registered practitioner at their address of record. Additionally, to ensure timely receipt, a copy is also sent to the first named applicant’s address of record.

For more information on USPTO communication, visit: USPTO communication.

What happens to pending patent applications when a practitioner is suspended or excluded?

When a patent practitioner is suspended or excluded, the Office of Enrollment and Discipline (OED) Director must review all pending patent applications to determine if immediate action is necessary. According to MPEP 407:

“The OED Director will review all pending applications, in which the suspended or excluded practitioner is the attorney or agent of record, and notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner.”

This process ensures that applicants are aware of their practitioner’s status and can take appropriate action to protect their patent applications.

For more information on pending applications, visit: pending applications.

A power of attorney given to a suspended or disbarred patent practitioner becomes ineffective. The MPEP states: ‘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.’ (MPEP § 407)

What actions can a suspended or excluded practitioner take during the 30-day limited recognition period?

During the 30-day limited recognition period, suspended or excluded practitioners are allowed to perform specific actions to protect their clients’ interests. According to MPEP 407:

“During the 30-day period of limited recognition, the suspended or excluded practitioner may conclude work on behalf of a client on any matters that were pending before the Office on the date of entry of the order of suspension or exclusion.”

Specifically, the practitioner may:

• Receive and forward correspondence related to pending matters
• Make appropriate filings to protect the client’s rights
• Conclude or withdraw from representation in pending proceedings
• Perform limited actions necessary to transfer the client’s case to another registered practitioner

It’s important to note that this limited recognition does not allow the practitioner to take on new clients or file new patent applications during this period.

How does the USPTO notify applicants of their practitioner’s suspension or exclusion?

The USPTO has a specific process for notifying applicants when their patent practitioner has been suspended or excluded. The MPEP 407 outlines this process:

“The OED Director will… notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner. The notification will be sent to the address of record in the application.”

This notification serves several purposes:

• Informs the applicant of their practitioner’s status change
• Advises the applicant of the practitioner’s limited recognition period
• Allows the applicant to take necessary actions to protect their patent application

It’s crucial for applicants to promptly respond to such notifications to ensure their patent applications are not adversely affected by their practitioner’s disciplinary status.

For more information on USPTO notification, visit: USPTO notification.

The USPTO takes specific actions regarding powers of attorney granted to suspended or excluded practitioners. According to MPEP 407:

The Office of Enrollment and Discipline (OED) Director will contact the Director of the Technology Center (TC) managing the application when a practitioner has been suspended or excluded from practice. The OED Director will request that the TC Director review a pending application to determine whether the practitioner has been granted a power of attorney. If the suspended or excluded practitioner was given a power of attorney, the TC Director will notify the applicant and request a new power of attorney.

The process typically involves:

• Identification of affected applications by the OED Director
• Review of power of attorney status by the TC Director
• Notification to the applicant if a power of attorney exists
• Request for a new power of attorney from the applicant
• Potential application abandonment if no response is received within 30 days

For more information on power of attorney, visit: power of attorney.

When an attorney or agent is suspended, the USPTO does not communicate with them. Instead:

• For sole practitioners: The Office action is mailed to the address of the first named applicant in the application.
• For multiple practitioners: The Office action is mailed to the first named unsuspended registered practitioner of record and to the first named applicant.

This is outlined in Form Paragraphs 4.07 and 4.08 of MPEP § 407.

Applicants can find a new registered patent attorney or agent through resources provided by the USPTO. According to MPEP § 407: “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.” These resources allow applicants to search for qualified practitioners who can represent them before the USPTO.

For more information on USPTO Resources, visit: USPTO Resources.

When an applicant’s patent attorney or agent is suspended, they can find a new registered patent attorney or agent by:

1. Consulting the USPTO website at https://oedci.uspto.gov/OEDCI/
2. Calling the Office of Enrollment and Discipline at (571) 272-4097

This information is provided in Form Paragraph 4.07 of MPEP § 407.

No, a suspended or excluded practitioner is not permitted to receive correspondence from the USPTO regarding patent applications. According to MPEP 407:

A suspended or excluded practitioner is not entitled to receive correspondence from the Office, or have interviews with examiners, in applications or patents.

The USPTO takes the following steps to ensure compliance:

• Correspondence will be sent to the applicant or assignee at their address of record.
• If no practitioner is of record, the correspondence will be sent directly to the applicant or assignee.
• Examiners are instructed not to hold interviews with suspended or excluded practitioners.

For more information on USPTO correspondence, visit: USPTO correspondence.

When there’s no attorney of record, the signatories for patent application papers depend on the filing date and the applicant type. For applications filed before September 16, 2012, MPEP § 407 states: “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.”

When an attorney is suspended, the signing authority for papers in a patent application depends on the filing date:

For applications filed before September 16, 2012:

• All named applicants
• Assignee of record of an undivided part interest, along with named applicants retaining an interest
• Assignee of the entire interest
• A registered patent attorney or agent not of record acting under 37 CFR 1.34

For applications filed on or after September 16, 2012:

• A patent practitioner of record
• A patent practitioner not of record acting under 37 CFR 1.34
• The applicant (except for juristic entity applicants, which require a patent practitioner)

This information is provided in Form Paragraph 4.07 of MPEP § 407.

If an applicant’s patent attorney or agent is suspended, they should take the following steps:

1. File a new power of attorney in the application to have a registered attorney or agent represent them before the Office.
2. Ensure all future papers are signed by authorized parties (see MPEP § 407, Form Paragraph 4.07 for details on who can sign).
3. If necessary, find a new registered patent attorney or agent using USPTO resources.
4. Update the correspondence address for the application if it was previously associated with the suspended practitioner.

It’s important to act promptly to ensure continued proper representation and communication with the USPTO.

What limited recognition is granted to suspended or excluded practitioners?

Suspended or excluded practitioners are granted limited recognition to handle specific tasks related to pending applications. According to MPEP 407:

“The suspended or excluded practitioner will be granted limited recognition for a period of thirty (30) days, during which time the practitioner may conclude work on behalf of a client on any matters pending before the Office.”

This limited recognition allows the practitioner to:

• Conclude or withdraw from representation in pending proceedings
• Receive and forward correspondence
• Make appropriate filings to protect the client’s rights

However, this recognition is strictly limited to these activities and does not allow the practitioner to engage in new patent prosecution work.

For more information on pending applications, visit: pending applications.

While both suspended and excluded patent practitioners are prohibited from practicing before the USPTO, there are differences in the nature and duration of the prohibition:

• Suspended practitioner: Temporarily prohibited from practicing before the USPTO for a specific period.
• Excluded practitioner: Permanently prohibited from practicing before the USPTO, unless later reinstated.

The MPEP § 407 uses both terms, indicating that the Office treats them similarly in terms of communication and representation: ‘The Office does not communicate with attorneys or agents who have been suspended or excluded from practice.’

When one of multiple practitioners of record is suspended, the USPTO continues to communicate with the remaining unsuspended practitioners. MPEP § 407 provides guidance for this situation: “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.” The Office action is mailed to the first named unsuspended registered practitioner at their address of record. Additionally, to ensure timely receipt, a copy is also sent to the first named applicant’s address of record.

For more information on USPTO communication, visit: USPTO communication.

What happens to pending patent applications when a practitioner is suspended or excluded?

When a patent practitioner is suspended or excluded, the Office of Enrollment and Discipline (OED) Director must review all pending patent applications to determine if immediate action is necessary. According to MPEP 407:

“The OED Director will review all pending applications, in which the suspended or excluded practitioner is the attorney or agent of record, and notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner.”

This process ensures that applicants are aware of their practitioner’s status and can take appropriate action to protect their patent applications.

For more information on pending applications, visit: pending applications.

A power of attorney given to a suspended or disbarred patent practitioner becomes ineffective. The MPEP states: ‘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.’ (MPEP § 407)

What actions can a suspended or excluded practitioner take during the 30-day limited recognition period?

During the 30-day limited recognition period, suspended or excluded practitioners are allowed to perform specific actions to protect their clients’ interests. According to MPEP 407:

“During the 30-day period of limited recognition, the suspended or excluded practitioner may conclude work on behalf of a client on any matters that were pending before the Office on the date of entry of the order of suspension or exclusion.”

Specifically, the practitioner may:

• Receive and forward correspondence related to pending matters
• Make appropriate filings to protect the client’s rights
• Conclude or withdraw from representation in pending proceedings
• Perform limited actions necessary to transfer the client’s case to another registered practitioner

It’s important to note that this limited recognition does not allow the practitioner to take on new clients or file new patent applications during this period.

How does the USPTO notify applicants of their practitioner’s suspension or exclusion?

The USPTO has a specific process for notifying applicants when their patent practitioner has been suspended or excluded. The MPEP 407 outlines this process:

“The OED Director will… notify the applicant of the suspension or exclusion and of the limited recognition of the practitioner. The notification will be sent to the address of record in the application.”

This notification serves several purposes:

• Informs the applicant of their practitioner’s status change
• Advises the applicant of the practitioner’s limited recognition period
• Allows the applicant to take necessary actions to protect their patent application

It’s crucial for applicants to promptly respond to such notifications to ensure their patent applications are not adversely affected by their practitioner’s disciplinary status.

For more information on USPTO notification, visit: USPTO notification.

The USPTO takes specific actions regarding powers of attorney granted to suspended or excluded practitioners. According to MPEP 407:

The Office of Enrollment and Discipline (OED) Director will contact the Director of the Technology Center (TC) managing the application when a practitioner has been suspended or excluded from practice. The OED Director will request that the TC Director review a pending application to determine whether the practitioner has been granted a power of attorney. If the suspended or excluded practitioner was given a power of attorney, the TC Director will notify the applicant and request a new power of attorney.

The process typically involves:

• Identification of affected applications by the OED Director
• Review of power of attorney status by the TC Director
• Notification to the applicant if a power of attorney exists
• Request for a new power of attorney from the applicant
• Potential application abandonment if no response is received within 30 days

For more information on power of attorney, visit: power of attorney.

When an attorney or agent is suspended, the USPTO does not communicate with them. Instead:

• For sole practitioners: The Office action is mailed to the address of the first named applicant in the application.
• For multiple practitioners: The Office action is mailed to the first named unsuspended registered practitioner of record and to the first named applicant.

This is outlined in Form Paragraphs 4.07 and 4.08 of MPEP § 407.

Applicants can find a new registered patent attorney or agent through resources provided by the USPTO. According to MPEP § 407: “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.” These resources allow applicants to search for qualified practitioners who can represent them before the USPTO.

For more information on USPTO Resources, visit: USPTO Resources.

When an applicant’s patent attorney or agent is suspended, they can find a new registered patent attorney or agent by:

1. Consulting the USPTO website at https://oedci.uspto.gov/OEDCI/
2. Calling the Office of Enrollment and Discipline at (571) 272-4097

This information is provided in Form Paragraph 4.07 of MPEP § 407.

No, a suspended or excluded practitioner is not permitted to receive correspondence from the USPTO regarding patent applications. According to MPEP 407:

A suspended or excluded practitioner is not entitled to receive correspondence from the Office, or have interviews with examiners, in applications or patents.

The USPTO takes the following steps to ensure compliance:

• Correspondence will be sent to the applicant or assignee at their address of record.
• If no practitioner is of record, the correspondence will be sent directly to the applicant or assignee.
• Examiners are instructed not to hold interviews with suspended or excluded practitioners.

For more information on USPTO correspondence, visit: USPTO correspondence.