[Federal Register Volume 69, Number 102 (Wednesday, May 26, 2004)]
[Rules and Regulations]
[Pages 29865-29880]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-11761]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Parts 1, 3 and 5
[Docket No.: 2003-P-019]
RIN 0651-AB63
Revision of Power of Attorney and Assignment Practice
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Final rule.
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SUMMARY: The United States Patent and Trademark Office (Office) is
revising the rules of practice to allow for more efficient processing
of powers of attorney and assignment documents within the Office. For
example, the Office will require applicants to use the Office's
Customer Number practice if more than ten registered patent
practitioners are to be made of record. In addition, the Office is
eliminating some mail stops (i.e., CPA, Provisional Patent Application)
that were found not be useful in routing correspondence within the
Office, and creating a new mail stop (Licensing and Review) to assist
the Office in the proper routing of national security classified and
secrecy order papers. Finally, because the Office is discontinuing the
current Office practice of returning patent and trademark assignment
documents submitted by mail for recording in the assignment database,
only copies of assignment documents may be submitted for recording in
the Office's Assignment records.
DATES: Effective Date: June 25, 2004. Any associate power of attorney
filed before this date will continue to be effective.
FOR FURTHER INFORMATION CONTACT: Karin Ferriter ((703) 306-3159)
(Office of the Deputy Commissioner for Patent Examination Policy), Mary
Hannon ((703) 308-8910, ext. 137) (Office of the Commissioner for
Trademarks), or Robert J. Spar ((703) 308-5107) (Office of the Deputy
Commissioner for Patent Examination Policy), directly by phone, or by
facsimile to (703) 872-9411, or by mail addressed to: Mail Stop
Comments--Patents, Commissioner for Patents, P.O. Box 1450, Alexandria,
VA 22313-1450.
SUPPLEMENTARY INFORMATION: A purpose of this final rule is to limit the
number of patent practitioners that a patent applicant, or an assignee
of the patent applicant, can name in a power of attorney. If more than
ten registered patent attorneys or registered patent agents are to be
appointed, then the Office's Customer Number practice must be used.
This change is necessary to eliminate the undue processing burden on
the Office when a power of attorney naming more than ten patent
practitioners is submitted in patent applications. In addition, a
purpose of this final rule is to eliminate the associate power of
attorney practice in patent cases. An associate power of attorney is
not necessary for a patent practitioner to take most actions in a
patent application. Instead of filing an associate power of attorney, a
patent practitioner can file an ``Authorization to Act in a
Representative Capacity'' (note the sample form posted on the Office's
Internet Web site at: http://www.uspto.gov/web/forms/sb0084.pdf).
Another purpose of this final rule is to eliminate an original
assignment document from the list of documents that may be submitted
for recordation. This is because the Office shall no longer be
returning assignment documents after they have been scanned into the
Office's electronic assignment database, and any assignee that submits
the original assignment document will be unable to retrieve the
document.
The Office provides for the use of a Customer Number to identify
either an address for patent-related correspondence, or a set of patent
attorneys and agents who may be identified with a patent application as
patent practitioners of record. Customer Number practice permits the
correspondence or fee address, or the list of practitioners of record
to be easily changed in a large number of patent applications by filing
a single request for Customer Number data change. A separate revocation
of power of attorney, or appointment of a new power of attorney would
not need to be filed in each patent application if a Customer Number
Data Change Request (PTO/SB/124) is filed. As a result, if a patent
attorney or patent agent is to begin to represent a client, or is
discontinuing representation of a client, on a particular set of
applications, and, if the power of attorney for that set of
applications was originally to the patent practitioners associated with
a Customer Number, then the list of patent practitioners associated
with the Customer Number should be changed to reflect the addition or
deletion. When Customer Number practice is used, a separate document
does not need to be filed by applicant for each application in which
the list of practitioners associated with the Customer Number is to be
changed; only one Customer Number Data Change Request is required to
eliminate any patent practitioners who should no longer be associated
with the Customer Number. Alternatively, a new power of attorney to a
list of patent practitioners or to the patent practitioners associated
with a different customer number may be filed in each application in
which the power of attorney should be changed.
The rules pertaining to power of attorney are revised to reflect
Customer Number practice, a practice wherein an applicant or an
assignee of the entire interest of the applicant in a patent
application can give power of attorney to a list of registered patent
practitioners associated with a Customer Number. See Manual of Patent
Examining Procedure (8th ed. 2001) (Rev. 1, Feb. 2003) (MPEP), Section
403, for a description of Customer Number practice. The rules are also
revised to explain the requirements of a power of attorney and to limit
the number of practitioners who may be given a power of attorney
without using Customer Number practice. Furthermore, the patent rules
are amended to discontinue the ``associate'' power of attorney
practice, to clarify the procedures related to revocation of power of
attorney, and to clarify how a registered practitioner may sign a
document in a representative capacity.
Documents affecting the title to a patent or trademark property
(e.g., assignments, or security interests) are currently recorded in
the Office's assignment database, upon submission of the document with
the appropriate cover sheet and the fee required by 35 U.S.C. 41(d)(1).
In addition, Government Interests are recorded, upon submission of the
document, as required by Executive Order 9234 of February 18, 1944 (9
FR 1959, 3 CFR 1943-1948
[[Page 29866]]
Comp., p. 303). Since 1995, assignment documents have been recorded in
the Office's Assignment database without stamping or otherwise marking
the document that was submitted for recordation. The automated system
that receives documents for recordation assigns the reel and frame
number to the document and places the recordation stampings on the
images that are stored in the automated system. The Office is
increasing the integrity of its internal patent application record
maintenance by adopting a new electronic data processing system for the
storage and maintenance of all the records associated with patent
applications. The new system includes the process of scanning all
incoming papers to create an image file of the papers associated with
patent applications. Papers that are scanned are stored, and then
destroyed according to a record retention schedule. Consistent with
this new practice, the Office will discontinue the practice of
returning assignment documents that were mailed to the Office, and will
require assignment documents to be submitted on 8\1/2\ by 11-inch paper
(21.6 by 27.9 cm) (``letter size'') or DIN size A4 (21.0 by 29.7 cm).
To assist applicants in identifying the application or patent to
which a Notice of Recordation relates, the Notice has been revised to
reflect the title of the invention and docket number stored in the
Office's electronic records, if the notice of recordation is for a
single property (application or patent). Any docket number included on
the Assignment Cover sheet will only be used in the Office's electronic
financial records for purposes of processing the recordation fee, but
will not be entered into other electronic records for the patent or
patent application.
Discussion of Specific Rules
The Office is amending sections of 1.1, 1.12, 1.31, 1.33, 1.34,
1.36, 1.53, 1.363, 3.1, 3.21, 3.24, 3.25, 3.27, 3.31, 3.34, 3.41, 3.81,
and 5.1 of title 37 of the Code of Federal Regulations (CFR), and
adding new Sec. 1.32 to title 37 CFR.
Section 1.1: Section 1.1(a)(4)(i) is amended to add ``submitted by
mail'' and to delete ``or under Sec. 3.81 of this chapter'' to require
that assignments submitted by mail contemporaneously with a request to
issue a patent to an assignee be sent to Mail Stop Assignment
Recordation Services instead of Mail Stop Issue Fee in order to more
efficiently direct assignment documents. Section 1.1 is also amended to
remove paragraph (f). The Office has determined that Mail Stop
Provisional Patent Application is not useful in the routing of
correspondence within the Office.
Section 1.12: Section 1.12(b) is amended to replace ``has not been
published under 35 U.S.C. 122(b) are not available to the public'' with
``is open to the public pursuant to Sec. 1.11 or for which copies or
access may be supplied pursuant to Sec. 1.14, are available to the
public'' in order to clarify the assignment records that are available
to the public. Section 1.12(b) is further amended to provide that
copies of any such assignment records and related information that are
not available to the public shall be obtainable only upon written
authority of the applicant or applicant's assignee, patent attorney, or
patent agent or upon a showing that the person seeking such information
is a bona fide prospective or actual purchaser, mortgagee, or licensee
of such application, unless it shall be necessary to the proper conduct
of business before the Office or as provided in part 1.
As revised, Sec. 1.12(b) more clearly provides, for example, for
an application that is relied upon under 35 U.S.C. 120 in an
application that has issued as a patent, any assignment records
relating to the parent application could be considered to relate to the
patent. Before the amendment to Sec. 1.12(b), the text of the rule
suggested that the assignment records for the parent application were
not available to the public. This was not the intended construction,
and was inconsistent with MPEP Sec. 301.01. As revised Sec. 1.12(b)
provides that the assignment records for the parent application of a
patent, or an application that has published under 35 U.S.C. 122(b),
are open to public inspection.
Section 1.31: Section 1.31 is amended to revise the title to refer
to ``registered patent attorney or patent agent'' and to introduce the
term ``power of attorney.'' Section 1.31 is also revised to add
``United States'' before ``Patent and Trademark Office'' in the
definition of ``Office'' to properly reflect the current name of the
Office in the rule. See 35 U.S.C. 1(a).
Section 1.32: New Sec. 1.32 sets forth definitions related to
power of attorney. Section 1.32 does not apply to power of attorney in
an international application (Sec. 1.455). The terms ``power of
attorney,'' ``principal,'' ``revocation,'' and ``Customer Number'' are
defined, and the requirements for a power of attorney are set forth.
The term ``patent practitioner'' is not separately defined, but is a
collective reference to a registered patent attorney or registered
patent agent.
``Power of attorney'' is defined in paragraph (a)(1) of Sec. 1.32
as a written document by which a principal designates a registered
patent attorney or a registered patent agent (collectively ``patent
practitioner'') to act on his or her behalf.
``Principal'' is defined in paragraph (a)(2) of Sec. 1.32 as
either the applicant for patent (Sec. 1.41(b)) or the assignee of the
entire interest of the applicant, and the entity who executes a power
of attorney designating one or more agents to act on his or her behalf.
An appointment by fewer than all of the applicants, or assignees of the
entire interest of the applicants requires a petition under Sec. 1.183
to waive the requirement of Sec. 1.32(b)(4) that the applicant, or the
assignee of the entire interest of the applicant sign the power of
attorney.
The term ``patentee'' has not been included in this definition
because use of the term ``patentee'' would make the rule unnecessarily
complicated. Although the term ``patentee'' often is a reference to the
assignee, the patentee could also be the inventors, or if an inventor
is deceased or legally incapacitated, the inventors and the legal
representative of such an inventor. An inventor who could not be
reached or refused to join in the filing of a patent application would
not be an applicant as set forth in Sec. 1.41(b), but would still be a
patentee, but once a patent has issued, the signature of the nonsigning
inventor should still not be required on any power of attorney.
Accordingly, the term ``patentee'' does not necessarily reference the
same group of individuals as the term ``applicant'' and has not been
used in the rules so that the applicant, not necessarily the patentee,
could change the power of attorney, for example, in an application that
has issued as a patent.
``Revocation'' is defined in paragraph (a)(3) of Sec. 1.32 as the
cancellation by the principal of the authority previously given to a
registered patent attorney or registered patent agent to act on his or
her behalf.
``Customer Number'' is defined in paragraph (a)(4) of Sec. 1.32 to
be a number that may be used to: (i) Designate the correspondence
address of a patent application or patent such that the correspondence
address for the patent application or patent would be the address
associated with the Customer Number; (ii) designate the fee address
(Sec. 1.363) of a patent by a Customer Number such that the fee
address for the patent would be the address associated with the
Customer Number; and (iii) specify, in a power of attorney, that each
of the patent practitioners associated
[[Page 29867]]
with a Customer Number have a power of attorney.
Section 1.32(b) sets forth the requirements for a power of
attorney, other than a power of attorney in an international
application (see Sec. 1.455 for the power of attorney in an
international application and note that Customer Number practice cannot
be used in an international application). To comply with Sec. 1.32(b),
the power of attorney, in an application other than an international
application, must: (1) Be in writing; (2) name one or more
representatives in compliance with (c) of this section; (3) give the
representative power to act on behalf of the principal; and (4) be
signed by the applicant for patent (Sec. 1.41(b)) or the assignee of
the entire interest of the applicant. Furthermore, pursuant to Sec.
1.32(c), a power of attorney may only name as representative: (1) One
or more joint inventors (Sec. 1.45); (2) those registered patent
practitioners associated with a Customer Number; or (3) ten or fewer
registered patent attorneys or registered patent agents (see Sec. 10.6
of this subchapter)(patent practitioners). Except as provided in Sec.
1.32(c)(1) or (c)(2), the Office will not recognize more than ten
patent practitioners as being of record in an application or patent. If
a power of attorney names more than ten patent practitioners, such
power of attorney must be accompanied by a separate paper indicating
which ten patent practitioners named in the power of attorney are to be
recognized by the Office as being of record in application or patent to
which the power of attorney is directed.
New Sec. 1.32(c)(3) sets a limit on the number of patent
practitioners who can be given a power of attorney without using
Customer Number practice because it is extremely burdensome for the
Office to manually enter a long list of patent practitioners,
particularly where the same list of patent practitioners is to be
entered for a large number of applications, and to update that listing.
Applicants desiring to appoint a large number of patent practitioners
may continue to do so, but Customer Number practice will be required in
order to have more than ten patent practitioners recognized by the
Office as being of record and reflected in Office computer systems. See
Sec. 1.32(c)(2).
If more than ten patent practitioners have been named in a combined
declaration and power of attorney (e.g., from an earlier filed
application (see Sec. 1.63(d)(1)(iv))), then the Office of Initial
Patent Examination will enter the practitioners indicated on the
separate paper filed pursuant to Sec. 1.32(c)(3). If more than ten
patent practitioners are listed on a power of attorney, and no separate
paper under Sec. 1.32(c)(3) is filed, then no patent practitioners
will be made of record. If a separate paper is not provided and a
patent practitioner later attempts to sign a batch update request to
request that the address associated with the Customer Number be used
for the correspondence address and/or the fee address for the patent
applications listed on the spreadsheet (see Notice of Elimination of
Batch Update Practice to Change Power of Attorney, 1272 Off. Gaz.
Patent Office Notices 24 (July 1, 2003)), the request will be rejected
because the patent practitioner is not of record. Applicant may then
submit a newly executed power of attorney complying with Sec. 1.32, or
submit a copy of the previously filed power of attorney accompanied by
a separate paper indicating which ten practitioners are to be made of
record pursuant to Sec. 1.32(c)(3).
Customer Number practice allows the Office to enter a single five
or six digit number into the Office computer system instead of a large
number of patent practitioners and is a more appropriate use of Office
resources than continuing to permit applicants to give a power of
attorney to an unlimited number of practitioners. See MPEP Sec. 403.
Section 1.33: Section 1.33(a) is revised to reflect Customer Number
practice. If applicant provides, in a single document, both a complete
typed address and a Customer Number and requests that both be used for
the correspondence address, the address associated with the Customer
Number will be used. Section 1.33(a) is revised to include the
following sentence: ``If more than one correspondence address is
specified in a single document, the Office will establish one as the
correspondence address and will use the address associated with a
Customer Number, if given, over a typed correspondence address.''
Applicants will often specify the correspondence address in more than
one paper that is filed with an application, and the address given in
the different places sometimes conflicts. Where the applicant
specifically directs the Office to use a correspondence address in more
than one paper, priority will be accorded to the correspondence address
specified in the following order: (1) Application data sheet (ADS); (2)
application transmittal; (3) oath or declaration (unless power of
attorney is more current); and (4) power of attorney. Accordingly, if
the ADS includes a typed correspondence address, and the declaration
gives a different address (i.e., the address associated with a Customer
Number) as the correspondence address, the Office will use the typed
correspondence address as included on the ADS. In the experience of the
Office, the ADS is the most recently created document and tends to have
the most current address. After the correspondence address has been
entered according to the above procedure, it will only be changed
pursuant to Sec. 1.33(a)(1).
A Customer Number merely provided in correspondence without an
instruction to use the Customer Number for the correspondence address
or for any other purposes, e.g., a Customer Number that is adjacent the
heading of the paper, is not a specific direction to use the Customer
Number for any purpose.
Section 1.33(b)(1) is revised to change the reference from Sec.
1.34(b) to new Sec. 1.32(b).
Section 1.33(b)(2) is revised to change Sec. 1.34(a) to Sec. 1.34
to be consistent with the revision to Sec. 1.34.
Section 1.33(c) revised to change the cross-reference to Sec.
1.32(b) instead of Sec. 1.34(b) and to change the reference to Sec.
1.34(a) to Sec. 1.34 to be consistent with the revision to Sec. 1.34.
Section 1.34: Section 1.34 is revised to change the title to
``Acting in a Representative Capacity.'' The paragraph designation for
paragraph (a) and '', pursuant to Sec. 1.31,'' are deleted. In
addition, ``the registered patent attorney or patent agent should
specify his or her registration number with his or her signature'' is
changed to ``the registered patent attorney or patent agent must
specify his or her name and the registration number with his or her
signature.'' When a registered patent attorney or patent agent acts in
a representative capacity, it should be clear who is signing the paper.
Because signatures are not always legible and because sometimes the
wrong registration number is given, it is necessary for the registered
patent attorney or agent to include his or her name so that the
identity of the person who is acting in a representative capacity may
be identified.
Paragraph (b) of Sec. 1.34 is deleted. With Customer Number
practice, the associate power of attorney practice set forth in Sec.
1.34(b) is no longer necessary because once power of attorney is given
to the patent practitioners associated with a Customer Number, the list
of patent practitioners of record may easily be changed. Additionally,
for a patent practitioner to have the most information with which to
represent his client, the patent practitioner needs to
[[Page 29868]]
have access to the private Patent Application Information Retrieval
(private PAIR) system on the Office's Internet Web site (http://PAIR.uspto.gov), and a patent practitioner can only have direct access
to private PAIR if he or she is associated with the Customer Number,
and if the Customer Number is used for the correspondence address of
the application. Private PAIR provides patent practitioners with access
to the Office's computer systems that track the patent file history,
and, if the application is maintained in the Image File Wrapper (IFW)
system, access to the images of the documents in the file history.
Furthermore, private PAIR provides pro se applicants and patent
practitioners with information about recently mailed correspondence
from the Office for a particular Customer Number. Furthermore, private
PAIR provides an explanation of any patent term extension or patent
term adjustment calculations for the patent application. A patent
practitioner who does not have access to private PAIR is disadvantaged
in representing a client compared to a practitioner who has access to
private PAIR. See the discussion with respect to comment 9 below.
A government entity or assignee may have multiple law firms or sets
of attorneys working on their patent applications. Such an entity
should consider having multiple Customer Numbers, with a separate
Customer Number for each set of patent attorneys, and having at least
one in-house patent practitioner listed on each listing of patent
practitioners associated with a Customer Number so that the government
entity or assignee has access to private PAIR for all of their patent
applications.
An applicant or assignee of the entire interest of the applicant
who gives a power of attorney to a limited number of patent
practitioners has expressed a desire to be represented by only those
patent practitioners. As Sec. 1.34 is revised, if Customer Number
practice is not used, an applicant or assignee of the entire interest
of the applicant will be required to sign a new power of attorney in
order for an associate practitioner to be ``of record'' in addition to
the specifically identified principal patent practitioner. Of course, a
registered patent practitioner may still act in a representative
capacity pursuant to Sec. 1.34 (by providing his or her name and a
registration number with his or her signature), and the rule changes do
not change this flexibility. A patent practitioner who is acting in a
representative capacity pursuant to Sec. 1.34 may conduct an interview
with an examiner. See MPEP Sec. 713.05. A patent practitioner who is
acting in a representative capacity can also file amendments and other
papers (Sec. 1.33(b)(2)). A patent practitioner who is acting in a
representative capacity pursuant to Sec. 1.34 may not, however, change
the correspondence address (Sec. 1.33(a)(2)) (except where an executed
oath or declaration has not been filed, and the patent practitioner
filed the application)), expressly abandon the application without
filing a continuing application (Sec. 1.138(b)), or sign a terminal
disclaimer (Sec. 1.321(b)(1)(iv)). A patent practitioner who is
signing on behalf of the assignee of the entire interest may (i.e., not
signing in a representative capacity or as a patent practitioner of
record), however, sign these same documents upon compliance with Sec.
3.73(b), if the practitioner is authorized to act on behalf of the
assignee.
A patent attorney or agent who has been given a power of attorney
cannot change the power of attorney from the set of patent
practitioners appointed by the applicant or assignee of the entire
interest of the applicant to a Customer Number (or change from one
Customer Number to another). To appoint a new power of attorney, the
applicant or assignee of the entire interest of the applicant must be
involved and must sign the power of attorney. Where a large number of
patent applications of a single assignee are involved, the assignee may
wish to consider giving the patent practitioners a power of attorney
that is not specific to an application, similar to the General Power of
Attorney used in Patent Cooperation Treaty (PCT) practice, and having
one of the patent practitioners with general power of attorney take
action by submitting a copy of the power of attorney and a statement in
compliance with Sec. 3.73(b). Form PTO/SB/80 is available for this
purpose and is posted on the Office's Internet Web site at
www.uspto.gov, under forms.
Section 1.36: Section 1.36 is revised to include new paragraphs (a)
and (b) so that revocation of power of attorney and withdrawal as
attorney or agent of record are addressed in separate paragraphs. In
addition, ``or authorization of agent'' is deleted because the term
``power of attorney'' has been defined to include an authorization of
an agent. The cross-reference to Sec. 1.31 is changed to Sec.
1.32(b).
Section 1.36(a) addresses revocation of a power of attorney. A
registered patent attorney or patent agent is notified of any
revocation with a ``Notice Regarding Change in Power of Attorney.'' A
power of attorney to the patent practitioners associated with a
Customer Number that is filed subsequent to another power of attorney
will be treated as a revocation of the previously granted power of
attorney. The Office can only recognize one Customer Number at a time
for power of attorney purposes. When the power of attorney is to the
patent practitioners associated with a Customer Number, the power of
attorney is considered to be revoked when the power of attorney to the
practitioners associated with the Customer Number is revoked. The
revoked power of attorney may be replaced with either a new power of
attorney to a new Customer Number or a power of attorney to a new list
of patent practitioners. A power of attorney is not considered revoked
when the list of patent practitioners associated with a Customer Number
is changed (as by filing a Request for Customer Number Data Change
(PTO/SB/124)). When the power of attorney is revoked, a single notice
is mailed to the correspondence address in effect before the power of
attorney was revoked. An associate registered patent attorney or patent
agent is not separately informed of a revocation. As a result, Sec.
1.36(a) has been revised to no longer suggest that such an associate
practitioner would be separately notified of the revocation of power of
attorney.
When power of attorney is given to the registered patent
practitioners associated with a Customer Number, for example with PTO/
SB/81, the list of patent practitioners associated with the Customer
Number is changed by changing the data associated with the Customer
Number (using, for example PTO/SB/124 (2 pages 124A & 124B), Request
for Customer Number Data Change). No notice is given to the patent
practitioners who are added or removed from the Customer Number.
Section 1.36(b) provides that when the power of attorney for an
application is given to the practitioners associated with a Customer
Number, all of the patent practitioners associated with the Customer
Number will not be permitted to withdraw if an application with the
power of attorney has an Office action to which a reply is due and
insufficient time remains in the time period for reply for applicant to
prepare a reply. See MPEP Sec. 402.06.
Section 1.53: Section 1.53 is amended by removing paragraph (d)(9)
and redesignating paragraph (d)(10) as paragraph (d)(9). The Office has
determined that Mail Stop CPA is not useful in the routing of
correspondence within the Office.
[[Page 29869]]
Section 1.363: Section 1.363 is amended by adding paragraph (c),
which states ``A fee address must be an address associated with a
Customer Number.'' At the time of issue fee payment, applicants may
designate a fee address for maintenance fee purposes (hereafter, fee
address) by submitting a ``Fee Address'' Indication form (PTO/SB/47) as
an attachment to the Fee(s) Transmittal (PTOL-85B). If no Customer
Number was previously acquired from the Office for the address being
designated as the fee address, a Request for Customer Number form (PTO/
SB/125) should also be attached to the Fee(s) Transmittal (PTOL-85B).
If a fee address is established in an allowed application or patent,
the Office will send all maintenance fee correspondence (such as
maintenance fee reminder notices) to the fee address; and the Office
will send all other correspondence, to the correspondence address of
record. See Customer Number Required in Order to Establish a Fee
Address, 1261 Off. Gaz. Pat. Office 19 (August 6, 2002).
Section 3.1: Section 3.1 is revised to identify which trademark
applications are covered by 37 CFR part 3, and to delete ``or a
transfer of its entire right, title and interest in a'' so that the
definition of an assignment includes a transfer of part of the right,
title and interest in a registered mark or a mark for which an
application to register has been filed. Section 3.1 is also revised to
add ``United States'' before ``Patent and Trademark Office'' in the
definition of ``Office'' to properly reflect the current name of the
Office in the rule. See 35 U.S.C. 1(a).
Section 3.21: Section 3.21 is revised to change ``its date of
execution, name of each inventor, and title of the invention'' to ``the
name of each inventor and the title of the invention.'' Section 3.21 is
also revised to change ``the provisional application by name of each
inventor and title of the invention'' to ``the provisional application
by the name of each inventor and the title of the invention'' by adding
``the'' before ``name'' and ``title.''
The phrase ``its date of execution'' has been deleted from Sec.
3.21 because the date of execution of a declaration is no longer
required on a declaration (see MPEP Sec. 602.05 and because the
application could be executed on more than one date, and thus there may
be no single date of execution). Accordingly, the date of execution of
the application is not particularly useful in identification of the
patent application and is deleted as unnecessary.
Section 3.24: Section 3.24 is revised to include two paragraphs,
namely, paragraphs (a) and (b).
New paragraph (a) of Sec. 3.24 addresses documents and cover
sheets for electronic submissions (e.g., patent assignment documents
filed via the Electronic Filing System (EFS) or the Electronic Patent
Assignment System (EPAS)), and requires all documents submitted
electronically to be submitted as digitized images in Tagged Image File
Format (TIFF). In addition, when printed to a paper size of 8\1/2\ by
11 inches (21.6 by 27.9 cm)(``letter size'') or DIN size A4 (21.0 by
29.7 cm), the document must be legible and a one-inch (2.5 cm) margin
must be present on all sides.
New paragraph (b) of Sec. 3.24 addresses documents and cover
sheets for paper and facsimile submissions. Section Sec. 3.24(b)
provides that for paper submissions (e.g., documents that are mailed to
the Office), the original document may no longer be submitted. Section
3.24(b) provides that ``[e]ither a copy of the original document or an
extract of the original document'' must be submitted for recordation.
Section 3.24(b) also explains why original documents should not be
submitted for recording: ``The Office will not return recorded
documents, so original documents must not be submitted for recording.''
The Office is moving to uniform processing of incoming papers, with
incoming papers being scanned upon receipt, electronically routed
within the Office, and an appropriate reply being transmitted to
applicant or his representative. With this uniform procedure, the
Office will not return or retain assignment documents submitted for
recordation. As a result, the Office is not permitting the submission
of originals of assignment documents, and instead is requiring that a
copy or an extract of an original document be submitted. The term ``an
extract of the original document'' is being added to reflect the
current practice of submitting redacted copies of assignment documents,
where part of an assignment document discusses matters other than
assignment of interests related to a patent.
Section 3.24 is further revised to provide, in paragraph (b), that
documents (copies) submitted for recording must be on sheets of paper
having a size of 8\1/2\ by 11 inches (21.6 by 27.9 cm)(``letter size'')
or DIN size A4 (21.0 by 29.7 cm). ``Legal-size'' (8\1/2\ by 14 inch or
21.64 by 33.1 cm) sheets of paper are no longer permissible. If the
original assignment document is on ``legal size'' sheets of paper, the
assignment document should be reduced to 8\1/2\ by 11-inch or DIN size
A4 paper for submission to the Office (e.g., by photocopying onto
letter-size paper). Sheets of paper that are either 8\1/2\ by 11 inches
(21.6 by 27.9 cm) or DIN size A4 (21.0 by 29.7 cm) are required for
scanning purposes.
Section 3.25: Section 3.25 is amended to delete paragraph (a)(1)
and renumber paragraphs (a)(2) through (4) as (a)(1) through (3),
respectively. Paragraph (a)(1) is deleted to prohibit applicants from
submitting the original assignment document (because applicants should
retain the original of the assignment document). Paragraph (a)(1) of
Sec. 3.25, as renumbered, is further revised to insert ``original''
before ``document'' in order to clarify that only a copy of an original
assignment document may be submitted for recording.
Section 3.25(c) is revised to add paragraph (1) to state that
electronic submissions (e.g., ETAS for trademark assignment documents)
must be attached as a digitized image in Tagged Image File Format
(TIFF), to move the existing requirements for paper submissions into
paragraph (2), and to specify that the document (copy) submitted for
recording must have a one-inch margin when printed on 8 \1/2\ by 11
inch (21.6 by 27.9 cm) or DIN size A4 (21.0 cm by 29.7 cm) paper.
Legal-size paper is no longer permitted. See the discussion of this
change above for patents (Sec. 3.24).
Section 3.27: Section 3.27 is revised to change ``to be recorded''
to ``submitted by mail for recordation'' because documents and cover
sheets submitted for recording may be faxed or electronically submitted
to the Office and need not be mailed. Only documents submitted by mail
need to be addressed as set forth in the rule. Section 3.27 is also
revised to delete ``or with a request under Sec. 3.81''. As explained
with respect to Sec. 3.81, when an applicant requests a patent to
issue to an assignee, the assignment document should be separately
submitted for recordation because inclusion of the assignment document
with the request to issue the patent to the assignee slows down the
recordation process.
Section 3.31: Section 3.31(a)(7) is revised to set forth the
requirements for signature of patent and trademark cover sheets filed
electronically. These requirements correspond to the requirements set
forth in Sec. Sec. 2.33(d) and 2.193(c)(1)(iii) of this chapter for
electronically transmitted trademark filings.
Trademark assignments may be submitted electronically with the
Electronic Trademark Assignment
[[Page 29870]]
System (ETAS), which is available on the Office's Internet Web site.
See http://etas.uspto.gov/. Patent assignments may be electronically
submitted using a similar tool, the Electronic Patent Assignment System
(EPAS), and may also be submitted using EFS. When submitting a copy of
an assignment using ETAS or EPAS, the cover sheet is completed and
signed electronically. As with electronic submission of a trademark
application, a signature may be applied to an assignment cover sheet by
either: (1) Placing a symbol comprised of letters, numbers, and/or
punctuation marks between forward slash marks in the signature block on
the electronic submission (e.g. Jane P. Doe); or (2) signing the cover
sheet using some other form of electronic signature specified by the
Director. See Trademark Manual of Examining Procedure (TMEP) Sec.
804.05, Signature of Electronically Transmitted Applications (May
2003).
Section 3.31(c)(1) is revised to simplify the requirements for the
cover sheet to only require identification of whether the document to
be recorded relates to a governmental interest.
Paragraph (f) is added to Sec. 3.31, and provides that a trademark
cover sheet should include the citizenship of the parties conveying and
receiving the interest, and that if the party receiving the interest is
a partnership or joint venture, the cover sheet should set forth the
names, legal entities, and national citizenship (or the state or
country of organization) of all general partners or active members.
This information is required for purposes of examination of the
application or registration file. Providing this information when the
assignment is recorded may avoid a subsequent Office action by an
examiner.
Section 3.34: Section 3.34(b) is revised to delete ``the originally
recorded document or'' to thereby provide that it is ``a copy of the
document originally submitted for recording'' that must be submitted.
As explained above, the Office is revising the procedure for handling
assignment documents and will no longer be returning the document that
is submitted for recording.
Section 3.41: Section 3.41(b)(2) is revised to include electronic
and facsimile submission as a means in which a statement of Government
interest could be submitted for recordation without incurring a fee.
Section 3.41(b)(2) is also revised to change the cross-reference to
Sec. 3.27 because Sec. 3.27 was previously revised to delete Sec.
3.27(b).
Section 3.81: Section 3.81(a) is revised to change ``name(s)'' to
``name'' and ``assignee(s)'' to ``assignee'' because under rules of
statutory and regulatory construction, the singular includes the plural
unless the context indicates otherwise. Furthermore, Sec. 3.81(a) is
amended to change ``should be accompanied by the assignment and either
a direction to record the assignment in the Office pursuant to Sec.
3.28, or a statement under Sec. 3.73(b)'' to ``must state that the
document has been filed for recordation as set forth in Sec. 3.11.''
When an assignment document is submitted for recording, the preferred
submission is by facsimile to (703) 306-5995, or through an electronic
filing system (e.g., ETAS for trademark assignment documents or EPAS or
EFS for patent assignment documents), and not by mail. Accordingly, the
Office has revised the rules to enable patent applicants to state that
the assignment documents have been filed for recordation, rather than
including the assignment documents for recordation with the request.
Paragraphs (a) and (b) of Sec. 3.81 are revised to delete the
reference to a statement under Sec. 3.73(b). If the application has
been assigned, the assignment document should be submitted for
recording as set forth in Sec. 3.11 for the patent to issue showing
the name of the assignee. Although during prosecution a statement under
Sec. 3.73(b) can be relied upon to establish that an assignee is of
record, pursuant to Sec. 3.73(b)(1)(i), ``the documents submitted to
establish ownership may be required to be recorded pursuant to Sec.
3.11 in the assignment records as a condition to permitting the
assignee to take action.'' By the time that a patent issues, any
assignment should have been submitted for recording, and reliance upon
Sec. 3.73(b) should not be necessary. Furthermore, although during
prosecution of an application the Office will have an opportunity to
require recordation, at issuance, prosecution has come to a close and
there is no other practical opportunity for the Office to require
recordation before the patent is issued.
Section 3.81(b) is revised to read ``[a]fter payment of the issue
fee: Any request for issuance of an application in the name of the
assignee submitted after the date of payment of the issue fee, and any
request that a patent be corrected to state the name of the assignee,
must state that the assignment was submitted for recordation as set
forth in Sec. 3.11 before issuance of the patent, and must include a
request for a certificate of correction under Sec. 1.323 of this
chapter (accompanied by the fee set forth in Sec. 1.20(a)) and the
processing fee set forth in Sec. 1.17(i) of this chapter.'' This
modifies the practice relating to issuance of a patent to an assignee
by requiring that after payment of an issue fee, a request for a
certificate of correction must be filed in order to obtain issuance of
the patent to an assignee. Thus, where assignment information is
submitted after payment of the issue fee, the patent document will not
include the assignment information, but the assignment information will
be included in a Certificate of Correction. Furthermore, the practice
of allowing a patent to issue to an assignee when a Sec. 3.73(b)
statement has been filed, but an assignment has not been recorded is
discontinued. See MPEP Sec. 1481. Section 3.81(c)(1) is amended to
change ``assignee(s)'' to ``assignee'' and ``inventor(s)'' to
``inventor'' because the singular includes the plural unless the
context indicates otherwise. See 1 U.S.C. 1.
Section 5.1: Section 5.1(a) is revised to add Mail Stop L&R to the
address so that the address reads as follows: All correspondence in
connection with this part, including petitions, should be addressed to:
Mail Stop L&R, Commissioner for Patents, P.O. Box 1450, Alexandria,
Virginia 22313-1450. National security classified applications and
other related papers may also be hand-carried to Licensing and Review,
Technology Center 3600, as provided in Sec. 5.1(c).
Response to Comments: The Office published a notice proposing
changes to the rules of practice regarding power of attorney and
assignment practice. See Clarification of Power of Attorney Practice,
and Revisions to Assignment Rules, 68 FR 38258 (June 27, 2003), 1272
Off. Gaz. Pat. Office Notices 181 (July 29, 2003). The Office received
nine written comments (from one intellectual property organization,
seven patent practitioners, and one business). Comments in support of a
change are not discussed. The other comments and the Office's response
to those comments follow:
Comment 1: An editorial change to Sec. 1.12(b) was recommended to
change the term ``such records and related information'' because the
use of the term was confusing.
Response: The suggestion has been adopted and ``such records and
related information'' has been changed to ``assignment records,
digests, and indexes'.
Comment 2: The definition of ``power of attorney'' in Sec. 1.32(a)
was recommended to be revised to include designating a patent attorney
or patent
[[Page 29871]]
agent or an individual authorized to practice before the Office in
patent cases. Another comment noted that the use of ``agent'' in Sec.
1.32 was confusing, and recommended revision to avoid using the term
``agent'' to include an attorney.
Response: These suggestions have been adopted. The definition of
power of attorney and the remainder of the rule have been revised
accordingly. Instead of using ``agent'' the term ``representative'' or
``patent practitioner'' has been used. The term ``an individual
authorized to practice before the Office in patent cases'' has not been
included, however, because such a person is considered to have limited
capacity to take action on behalf of a patent applicant (see Sec.
10.9(a) and (b)), and is not recognized by the Office as an attorney or
agent of record, and is not entered into the Office's computer systems
as having a power of attorney.
Comment 3: The term ``principal'' in Sec. 1.32(a)(2) was suggested
as being too narrowly defined, and it was suggested that the term be
defined broadly enough to include an appointment by fewer than all of
the inventors.
Response: This suggestion has not been adopted, but the language
has been clarified in regard to appointments by fewer than all the
applicants or assignees. Where all the applicants, or the assignees of
the entire interest of all the applicants, do not give power of
attorney to the same patent practitioners, a petition under Sec. 1.182
is currently required before the Office will permit the split power of
attorney. See MPEP Sec. 402.10. The term ``all the inventors'' is
specifically not used in order to provide for the situation where an
inventor is deceased or where a petition under Sec. 1.47 has been
granted (the applicant would then either be fewer than all of the
inventors or the party with proprietary interest pursuant to Sec.
1.47(b)). If the term ``inventors'' was used, then in any application
in which a petition under Sec. 1.47 was granted, a petition under
Sec. 1.183 would also always be required to permit the power of
attorney to be signed by fewer than all of the inventors, or by an
assignee who is the assignee of the entire interest of the applicant,
but not the assignee of the entire interest in the application (due to
the lack of an assignment from the inventor, or if deceased, the legal
representative of the inventor, who did not sign the declaration). With
a split power of attorney, both patent practitioners are required to
sign any response to an Office action, and to participate in any
interviews in the patent application, which tends to delay prosecution
of the patent application. Accordingly, applicants need to show good
and sufficient reasons why more than one practitioner is necessary to
represent applicants for the patent, and such an explanation will need
to be provided in a petition under Sec. 1.183 to waive the
requirements of Sec. 1.32(b)(4) for the applicant or the assignee of
the entire interest of the applicant to sign the power of attorney.
Comment 4: One comment noted that in Sec. 1.32(a)(3) revocation
should also be defined as including the situation where the power of
attorney is revoked by a new principal, and suggested that the
definition be modified to address this situation. Another comment
suggested that a new power of attorney act as a revocation of all prior
powers of attorney.
Response: The suggestion to expand the definition of revocation to
include revocation by a new or different principal has been adopted. In
the definition of revocation (Sec. 1.32(a)(3)), ``by the principal''
has been deleted after ``previously given''. As to the comment that a
new power of attorney act as revocation of all prior powers of
attorney, this suggestion has not been adopted because automatic
revocation will only occur in certain situations. When an original
power of attorney is filed giving power of attorney to attorneys A, B,
and C, and the same principal subsequently files another power of
attorney, giving power of attorney to D without revoking all prior
powers of attorney, the subsequently filed power of attorney will be
treated as a revocation of the original power of attorney. Similarly,
if the applicant signed the original power of attorney, and an assignee
of the entire interest of the applicant later takes action and files a
new power of attorney, the original power of attorney is revoked and
replaced by the power of attorney filed by the assignee. In addition,
if a power of attorney is given to the practitioners associated with a
Customer Number, and a (second) power of attorney is later received
giving power of attorney to patent practitioners associated with a
different Customer Number, the second power of attorney will be
processed, with the first Customer Number being replaced with the
second. The power of attorney to the practitioners associated with the
first Customer Number is automatically revoked in this situation. In
all of these situations, the most recently filed power of attorney will
control.
Comment 5: Several comments opposed the requirement in Sec.
1.32(b)(2) to use Customer Number practice if more than ten patent
practitioners are to be named. They argued that the proposed rule would
require an applicant to choose between naming only a law firm by using
the law firm's Customer Number, or to name ten attorneys in order to
name some patent practitioners in the law firm as well as others not in
the law firm. The commentators encouraged the Office to consider
amending the rule to allow for appointment of both practitioners and
Customer Numbers, as well as more than one Customer Number. The
comments argued that using different Customer Numbers for different
combinations of in-house practitioners and outside firm practitioners
is burdensome and risky. One comment contended that all patent
practitioners associated with a Customer Number needed to be at the
same address.
Response: Applicants and assignees currently, as a matter of
practice, do have to choose between giving a power of attorney to a
list of individual practitioners and a power of attorney to the
practitioners associated with a Customer Number. This is because the
Office's computer systems only allow either a list of individual
practitioners or a Customer Number to be entered, but not both, nor
more than one Customer Number. The proposal to allow for entry of
multiple Customer Numbers would likely result in separate registration
numbers being entered. The programming required to allow for more than
one Customer Number would be very costly, and updating the list of
patent practitioners would be burdensome on the Office, so it has not
been adopted.
A Customer Number does not need to have only patent practitioners
in a single law firm associated with it. Instead, a Customer Number can
be used to list all of the patent practitioners associated with a given
client and who are working together to represent the client. As a
result, requiring the use of a Customer Number if more than ten
attorneys are to be appointed power of attorney would not require an
applicant to make the choice suggested by the comment. Furthermore, to
allow any of the patent practitioners access to private PAIR, Customer
Number practice must be used.
The comments have not explained why appointment of more than ten
patent practitioners, particularly hundreds of patent practitioners, is
necessary. When a long list of patent practitioners is submitted to the
Office, this list must be constantly updated with a separate submission
for each application. When a patent practitioner leaves a law firm, he
must file a withdrawal for each application in which he has a power of
attorney. There
[[Page 29872]]
could be thousands of applications in which he was given a power of
attorney, even though he never personally signed a single communication
in any of them. If the proper action is not taken in the application,
he or she can be held responsible for the failure to take the
appropriate action because he did not timely withdraw. Given the
Office's extremely liberal policy of accepting correspondence from a
patent practitioner who is acting in a representative capacity pursuant
to Sec. 1.34, whether someone is of record is only relevant for a
patent practitioner signing a change of correspondence address, an
express abandonment without filing a continuing application, or a
disclaimer. The work required for the Office to constantly update the
lists of patent practitioners of record in receipt, matching and
processing of the relevant paper has not been shown to be justified in
exchange for the value actually given to applicants.
All patent practitioners associated with a Customer Number do not
need to be at the same address. A Customer Number can be used like a
client number, with all the patent practitioners who represent the
client being associated with a single Customer Number.
Comment 6: Another comment asked if more than one Customer Number
could be used to designate the list of patent practitioners of record
so that applicants could give power of attorney to Customer Number A
(all in-house counsel), and Customer Number B (several patent
practitioners who are not in-house counsel). Alternatively, it was
suggested that Sec. 1.32(b)(2) be revised to permit the naming of more
than one Customer Number.
Response: The suggestion has not been adopted. As stated in
response to comment 5, in order to implement a change to permit use of
more than one Customer Number to identify either the list of patent
practitioners to be made of record or the correspondence address,
reprogramming of multiple Office computer systems would be required,
which is an automation project that the Office does not have resources
to devote to at this time. Furthermore, the Office could not reprogram
the software to allow multiple Customer Numbers to be used for the list
of patent practitioners without also allowing multiple Customer Numbers
being used for the correspondence address because access to private
PAIR is a function of the correspondence address being associated with
a single Customer Number. Thus, if the Office were to allow more than
one Customer Number to be given for correspondence address purposes so
that practitioners associated with each of the Customer Numbers can
have access to private PAIR, then applicants would need to elect a
single Customer Number for mailing purposes, and the Office would have
to reprogram its system so as to be able to capture only the elected
Customer Number for mailing purposes. The more Customer Numbers that
the applicant has associated with a given application, the more likely
that the applicant will need to change one or more of the Customer
Numbers associated with the application. If only a single Customer
Number is used (the Office permits up to three different Customer
Numbers to be used, one for the power of attorney, one for the
correspondence address and one for the fee address, but the same
Customer Number can be used), then only a single Request for Customer
Number Data Change can effectuate any changes necessary to the list of
patent practitioners, or the address associated with a Customer Number.
Given that a law firm, or a sole practitioner, can have multiple
Customer Numbers without the Office being required to make any
programming changes, it is more appropriate for the patent
practitioners to use multiple Customer Numbers, with each Customer
Number for a set of practitioners to be associated with a set of patent
applications, rather than the Office to incur the cost of permitting
multiple Customer Numbers to be used for the correspondence address
(private PAIR access), or for the list of patent practitioners of
record in an application.
Comment 7: Most of the comments opposed the proposal of denying
entry of a power of attorney that was not in compliance with the
proposed rules, and noted that there would be significant costs to
applicants as a result of this policy. For example, where the power of
attorney was given by the applicant in a combined declaration and power
of attorney, many comments argued that a new declaration would be
required to provide a proper power of attorney, and that a new
declaration would be difficult to obtain because the applicant may no
longer be employed by the company. Several comments emphasized the
burden to applicants in changing their forms to comply with the limit
of ten patent practitioners of record and requested a several-year
delay in the effective date.
Response: After careful consideration, the Office has decided to
permit applicants to supply a separate paper listing the patent
practitioners who shall be made of record. Where a power of attorney is
included as part of a declaration pursuant to Sec. 1.63, and the power
of attorney does not comply with Sec. 1.32(b), the declaration would
not be considered defective so long as the requirements of Sec. 1.63
(or Sec. 1.64) are met. If a separate paper indicating which ten
registered patent attorneys or registered patent agents named in the
power of attorney are to be recognized by the Office as being of record
in the application or patent to which the power of attorney is directed
is provided pursuant to Sec. 1.32(c)(3), then the registered patent
practitioners listed on the separate paper will be made of record. On
the other hand, if the power of attorney does not comply with Sec.
1.32(b) and the separate paper of Sec. 1.32(c)(3) is not provided,
then no patent practitioners will be made of record.
The Office does not encourage combined declarations and power of
attorney. If such a combined format is used, however, it is recommended
that the following language be inserted into the oath or declaration so
that the patent practitioner will be able to take instructions from the
actual client:
The undersigned hereby authorizes the U.S. attorney or agent
named herein to accept and follow instructions from ------ as to any
action to be taken in the United States Patent and Trademark Office
regarding this application without direct communication between the
U.S. attorney or agent and the undersigned. In the event of a change
in the persons from whom instructions may be taken, the U.S.
attorney or agent named herein will be so notified by the
undersigned.
See Responsibilities of Practitioners Representing Clients in
Proceedings Before the Patent and Trademark Office, 1091 Off. Gaz.
Patent Office 26 (May 25, 1988). If the client is the company that
employed the inventor, then if the company is the assignee of the
entire interest of the applicant, the assignee should sign the power of
attorney in the patent application, not the inventor who may no longer
be employed by the assignee (company). Because an inventor who is no
longer being employed by a company is unlikely to be represented by a
patent practitioner who has filed a patent application on behalf of the
assignee, the fact that it would be difficult to obtain the signature
of the inventor on a new power of attorney is not persuasive, and a
petition under Sec. 1.183 to waive this provision of the rules is
unlikely to be granted for such a reason. An inventor may be available
to sign a power of attorney, but may have a divergent interest from the
company. Where the company (assignee) has not chosen to intervene in
the application, and the power of attorney is given by the inventor
(applicant), the inventor may later revoke the original power of
[[Page 29873]]
attorney to the patent practitioners chosen by the assignee and appoint
his/her own patent attorney and change the correspondence address in
the application (or patent). Such an exercise of authority by an
inventor (applicant) is appropriate so long as the assignee of the
entire interest of the applicant has not appointed a power of attorney,
but adds unnecessary complexity to the prosecution of the application.
Where a power of attorney lists more than ten patent practitioners
and the Office enters those patent practitioners listed on a separate
paper provided pursuant to Sec. 1.32(c)(3), a patent practitioner who
is not recognized as the patent attorney or patent agent of record and,
as a result is not entered into the Office's computer systems, is not
required to request to be withdrawn, if the practitioner ceases to
represent the applicant or assignee of the applicant. If such a patent
practitioner files a request to withdraw, the Office will enter the
paper in the patent application file, but will not process the paper,
as the practitioner cannot be withdrawn because the practitioner was
not made of record and was not entered into the Office's computer
records.
Comment 8: One comment, while questioning the wisdom of having any
limit on the number of patent practitioners who may be given a power of
attorney, suggested a limit of 25, and for the Office to enter in the
first 25 when more than 25 are listed in a power of attorney.
Alternatively, it was suggested in two comments that a fee be required
for the entry of more than 10 patent practitioners. Another comment
questioned the limit contending that where an application is
electronically filed, the Office does not have to enter in any lists of
registration numbers, because if PrintEFS were updated, the application
data sheet could be scanned and optical character recognition (OCR) be
used to upload the data.
Response: A smaller number would be preferred by some, a larger by
others, but the Office has decided that ten best balances the need of
applicants to appoint several practitioners without using Customer
Number practice and the need of the Office to avoid unnecessary work.
The suggestion to adopt a fee to accept more than a set number of
patent practitioners of record is noted and may be pursued in a future
rule making, but the extra burden associated with entering additional
names was a significant factor for not adopting the suggestions at this
time.
Comment 9: Many comments disapproved of the deletion of associate
power of attorney practice. The comments argued that when a new
attorney takes over prosecution of a patent application from a former
counsel, an associate power of attorney is useful to bridge the gap
until a new power of attorney can be executed. In addition, an
associate power of attorney is considered useful where a patent
practitioner of record who is not in the Washington, DC, area appoints
another patent practitioner within the area to assist in the
prosecution for the purpose of some procedural or petition matter, but
does not wish to have the practitioner made of record in all patent
applications (as would happen if they used Customer Number practice,
and added the practitioner to the list of practitioners associated with
the Customer Number). Another comment argued that the associate power
of attorney practice was desirable because of the delays in obtaining a
new power of attorney, and that such delays would lead to the original
attorney of record receiving correspondence for too long. Another
comment suggested that the rules be amended to provide that an
associate attorney's authority is not dependent upon the continued
representation by the appointing principal attorney.
Response: Associate power of attorney practice has been eliminated
because the practice is unnecessary in view of Customer Number
practice. Customer Number practice, like an associate power of
attorney, allows the list of patent practitioners to be changed easily
to add an attorney without execution of a new power of attorney from
the client, and therefore it is not necessary to be able to give an
associate power of attorney if the power of attorney is to the
practitioners associated with a Customer Number. Instead of using an
associate power of attorney, if the power of attorney is to the patent
practitioners associated with a Customer Number, a Request for Customer
Number Data Change can be filed to add a practitioner that would have
been given an associate power. In order to most effectively represent a
patent applicant, a patent practitioner needs access to the private
Patent Application Information Retrieval (private PAIR) system. Private
PAIR enables the practitioner to obtain direct access the Office's
electronic records for a patent application, including in many
instances images of the papers in the patent application. In order to
obtain access to these records, however, a Customer Number must be
associated with the correspondence address of the application, and the
registered practitioner must be associated with the Customer Number.
The availability of the associate power of attorney practice to add new
patent practitioners would encourage practitioners to give an associate
power of attorney rather than having a new power of attorney to the
practitioners associated with a Customer Number signed by the applicant
or assignee of the entire interest of the applicant, even though the
new power of attorney to the practitioners associated with a Customer
Number would enhance their ability to represent the applicant or
assignee of the entire interest of the applicant because of the access
to private PAIR gained by Customer Number practice.
Using a Customer Number effectively as a client number, so that
both in-house patent counsel and other patent practitioners are
associated with the Customer Number, may only be appropriate for
clients who file many patent applications. If the set of practitioners
who are representing a client on a matter is so unique that it is not
efficient to establish a Customer Number specifically for this set of
practitioners, then the power of attorney would be to a list of patent
practitioners and the correspondence address could be given as a
Customer Number so that only those patent practitioners associated with
the Customer Number for the correspondence address (a subset of those
with power of attorney) would have access to private PAIR.
As to the suggestion that an associate power of attorney is
necessary for the attorney to conduct an interview, e.g., in the
situation where a non-Washington, DC, firm appoints a Washington, DC,
area patent practitioner to conduct an interview in a patent
application, it is noted that the Washington, DC, patent practitioner
does not need to be of record or have an associate power of attorney if
the Washington, DC, practitioner has in their possession a copy of the
application file. Even if the Washington, DC, practitioner does not
have a copy of the application file, the practitioner may conduct an
interview with ``proper authority from the applicant or attorney or
agent of record in the form of a paper on file in the application.''
See MPEP Sec. 713.05. Should an examiner object to a practitioner who
is not of record conducting the interview, the practitioner is
encouraged to bring a letter signed by an attorney of record,
authorizing the practitioner to conduct the interview. For example, a
sample of an ``Authorization to Act in a Representative Capacity'' is
posted on the Office's Internet Web site under ``Forms'' at http://www.uspto.gov/web/forms/sb0084.pdf. A faxed copy of the letter would be
acceptable.
[[Page 29874]]
Similarly, a patent practitioner does not need to be of record to
file a reply to an Office action. See Sec. 1.34, and MPEP Sec. Sec.
405 and 714.01(c). Although the practitioner who is acting in a
representative capacity pursuant to Sec. 1.34 cannot sign a change of
correspondence address (Sec. 1.33(a)(2)), a disclaimer (Sec. 1.321),
or a request to expressly abandon a patent application (Sec. 1.138)
(unless also filing a continuing application), he can take all other
actions necessary to continue the prosecution of the application. An
associate power of attorney does not put a patent practitioner in a
significantly better position to represent an applicant than they could
exercise by acting in a representative capacity pursuant to Sec. 1.34.
An associate power of attorney does, however, increase the workload of
the Office as the Office practice was to enter the associate patent
attorneys or patent agents into the Office computer records, indicate
that the practitioner is an associate attorney, and then change the
listing if the primary attorney ceased to have a power of attorney, or
as new associates were appointed. In order to reduce the paperwork that
the Office needs to process for a patent application, the Office will
no longer enter associate powers of attorney into the electronic
records for patent applications so as to make the associate attorney of
record.
Patent practitioners with an associate power of attorney cannot
directly access private PAIR, and as a result, are less able to
represent a client than one with direct access to private PAIR. Private
PAIR allows access to the Office's computer records for the patent
application, for example to the Patent Application Locating and
Monitoring (PALM) system contents, to the patent term adjustment
calculations, and, if the application is maintained in the Image File
Wrapper (IFW) system, to the image filed of the documents in the file
history. One particularly helpful feature of private PAIR is the ``View
Outgoing Correspondence,'' a feature that allows patent practitioners
to obtain a list of applications with recently mailed correspondence,
and, if the application is maintained in the IFW system, to view the
documents. To have access to private PAIR for a patent application, the
patent practitioner must be associated with a Customer Number that is
associated with the correspondence address for the application. In
addition, the patent practitioner's computer system (or his or her
paralegal's computer system) must be loaded with the appropriate
software. Public PAIR also allows access to much of this same
information, but is only available for applications that have either
published or issued as patents. If the patent practitioner merely has
an associate power of attorney, the practitioner is not associated with
the Customer Number, and is not able to access Private PAIR. Without
access to private PAIR, a patent practitioner may not have access to
the complete patent application file and cannot fully represent the
client. For example, patent term adjustment calculations are available
in private PAIR, but are not mailed to applicants.
Currently, the Office records both primary attorneys of record (who
may not be associated with a Customer Number) as well as associate
powers of attorney in the Office's PreExam computer system, so as to
have a readily available list of patent practitioners of record for a
particular application. Since an associate power of attorney terminates
with the termination of the power of attorney to the patent
practitioner who gave the associate power of attorney, associate powers
of attorney require record keeping in addition to the entry of the
associate powers of attorney into attorney of record fields, because
the Office must take down the associate power of attorney once the
primary attorney no longer has power of attorney. The suggestion to
allow an associate power of attorney to remain valid even after the
power of attorney to the primary attorney has been revoked, or where
the primary attorney has withdrawn, has not been adopted. If an
applicant or assignee desires the associate to be an attorney of
record, the applicant or assignee should sign the required power of
attorney.
In the situation where a practitioner is being brought in to assist
with some overflow work, no appointment of an associate power of
attorney is necessary before the Office is willing to accept the paper
from the practitioner. Part 1 of the rules of practice do not address
engagement letters between one patent practitioner and another. As a
result, if the attorney of record desires the assistance of another
patent practitioner, the rules of practice do not prohibit the patent
practitioner from obtaining an ``Associate Power of Attorney'' or
``Authorization of Agent'' from the patent practitioner of record for
their records. Furthermore, such a document would be considered a
showing under Sec. 1.34 that a person was acting in a representative
capacity pursuant to Sec. 1.34 on behalf of the applicant.
As to the delay inherent in obtaining a new power of attorney,
although the original attorney will no longer be permitted to give an
associate power of attorney, the original attorney can withdraw, or
simply change the correspondence address to the new attorney's address.
Comment 10: One comment explained that the list of practitioners
associated with a Customer Number usually only includes the partners in
a firm, whereas an associate power of attorney was given to associate
attorneys. The comment argued that eliminating associate power of
attorney practice would hamper development of associate attorneys.
Response: The Office's computer system does not allow both a power
of attorney to the practitioners associated with a Customer Number and
either a list of patent practitioners (without use of a Customer
Number) or another list of practitioners associated with a different
Customer Number. Accordingly, the Office cannot enter a power of
attorney to a Customer Number and an associate power of attorney.
Furthermore, the relationship between being of record in a patent
application (as would have occurred where the Office was able to enter
an associate power of attorney), and being able to develop as a patent
practitioner is not understood. A patent practitioner who is an
associate at a firm could act in a representative capacity pursuant to
Sec. 1.34, under the direction of a practitioner of record. The
inability to sign a change of correspondence address, has little to do
with professional development.
Comment 11: Many comments suggested that a benefit of associate
power of attorney practice is to permit someone who is not of record to
conduct an interview, and that many examiners deny such an interview
because the attorney is not of record, even though the Manual of Patent
Examining Procedure states that such an interview is acceptable.
Response: Applicants desiring to have an attorney who is not of
record and are concerned that the examiner may question the authority
of the practitioner to conduct the interview should delegate to the
practitioner the authority to conduct the interview by a separate
letter, such as an ``Authorization to Act in a Representative
Capacity.'' This sample template is available on the Office's Internet
Web site in the listing of forms after PTO/SB/83. A faxed copy of such
a letter would be acceptable, and the practitioner could bring a copy
of the letter to the interview in the event that the examiner has a
question about the authority of the practitioner.
Comment 12: One comment noted that having applicant execute a new
[[Page 29875]]
power of attorney would not be unduly burdensome, but requested
clarification of the effect of elimination of associate power of
attorney practice upon previously filed associate powers of attorney.
Response: Previously filed associate powers of attorney remain
valid, and will continue to be effective.
Comment 13: One comment noted a discomfort with the use of Customer
Number practice in that if the Office transposes digits when entering
the Customer Number, the correspondence goes to an entirely incorrect
address.
Response: The Office is sensitive to the need to carefully check
for the correct entry of Customer Numbers and is taking steps to ensure
that the correct Customer Number is entered. For example, when the
Office keys in a Customer Number, the address associated with the
Customer Number is retrieved. This address is compared to the name of
the firm or company that filed the patent application, and any street
address included with the application papers, to check the accuracy of
the Customer Number that is entered. Applicants can assist the Office
in improving the accuracy of entry of the Customer Number by ensuring
that the Customer Number is clear and legible (e.g., at least 12- or
14-point font and not fuzzy).
Comment 14: One comment stated that the proposal to require the
exact name as registered with his or her signature was unreasonable,
but noted that it was not clear that the exact name as registered was
in fact being proposed to be required.
Response: The Office did intend to propose to require the exact
name as registered, as this change was also included in the rule
changes proposed in a recent notice of proposed rule making. See
Changes To Support Implementation of the United States Patent and
Trademark Office 21st Century Strategic Plan, 68 FR 53816 (Sep. 12,
2003), 1275 Off. Gaz. Pat. Office Notices (Oct. 7, 2003) (proposed
rule). On reflection, the Office agrees that it is not necessary to
obtain the exact name as registered to confirm the identity of the
person signing the correspondence, but will instead require the typed
name of the person signing the correspondence. Signatures are not
always legible, and digits on registration numbers are sometimes
transposed or inadvertently omitted. Accordingly, having a typed name
is considered necessary.
Comment 15: As to Sec. 1.36, one comment stated that the
revocation of the power of attorney should be available to fewer than
all of the inventors, or fewer than the assignee of the entire interest
of the applicant.
Response: The suggestion has not been adopted. The current practice
is to permit revocation by fewer than all of the applicants only if a
petition under Sec. 1.182 is filed, explaining why a split power of
attorney is necessary. See MPEP Sec. 402.10. Having more than one
attorney or an attorney and an applicant required to sign all
correspondence in an application often leads to the application
becoming abandoned due to the difficulty in obtaining the necessary
signatures. As a result, the rules have not been amended to provide for
fewer than all of the applicants to be able to revoke the power of
attorney without a showing of sufficient cause.
Comment 16: One comment suggested that .jpg files be added to the
list of formats accepted for electronic submission of assignment
documents pursuant to Sec. 3.24 and Sec. 3.25, arguing that this
format is accepted in Trademarks.
Response: At this time it is not feasible for the Office to expand
the formats that will be accepted for electronic submission of
assignment documents. The format .jpg is acceptable for Trademark
documents filed through Trademark Electronic Application System (TEAS),
but not assignments of Trademarks filed through ETAS.
Comment 17: Two comments noted the change in practice proposed in
Sec. 3.34 would be more acceptable to applicants if the Notice of
Recordation were modified to also include an Attorney Docket Number, as
well as the title of the invention according to the application on
filing. Alternatively, one comment suggested use of the Express Mail
number as an identifier on the Notice of Recordation.
Response: The proposal to use the Express Mail number as an
identifier is not adopted. The Office can process faxed or
electronically filed assignment documents much quicker than those
received by mail, and allowing use of an Express Mail number would
promote a practice of mailing at a time when the Office is seeking to
discourage mailing and encourage electronic submissions. The Office
has, however, adopted the suggestion to include the title of the
invention, but notes that the title that will be printed on the Notice
of Recordation is the title reflected in the Office's computer records,
and will not be rekeyed from the assignment. As to the attorney docket
number, the suggestion has also been adopted, if the assignment is for
a single property. The notice of recordation cannot reflect docket
numbers if the assignment is for more than one patent or trademark.
Comment 18: Another comment stated that sometimes the wrong patent
assignment document is attached to the Notice of Recordation, and
having a copy of the document has been useful in the past to enable the
mix-up to be addressed.
Response: The Office has made patent and trademark assignment
records available over the Internet. Although the copy of a patent
assignment document cannot be displayed using http://assignments.uspto.gov/assignments/q?db=pat, the assignment records on
the Internet provide a mechanism to check if the patent assignment was
recorded correctly.
Administrative Procedure Act: This final rule changes the rules of
practice to Office procedures involving power of attorney practice and
recording of assignment documents. The changes addressed in this final
rule are limited to the format for and the manner of submitting,
establishing and changing the power of attorney, for submitting
documents to be recorded in the assignment records, and the
availability of assignment records to the public. Therefore, these
changes involve rules of agency practice and procedure under 5 U.S.C.
553(b)(A). See Bachow Communications Inc. v. FCC, 237 F.3d 683, 690 (DC
Cir. 2001). Therefore, prior notice and opportunity for public comment
were not required pursuant to 5 U.S.C. 553(b) or (c) (or any other
law). Nevertheless, the Office did provide an opportunity for public
comment on the changes in the notice of proposed rule making because
the Office desires the benefit of public comment on the proposed
changes.
Regulatory Flexibility Act: As prior notice and an opportunity for
public comment were not required pursuant to 5 U.S.C. 553 (or any other
law), a regulatory flexibility analysis under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) is not required. See 5 U.S.C.
603. The changes in this final rule impose no additional fees on patent
applicants.
Executive Order 13132: This rule making does not contain policies
with federalism implications sufficient to warrant preparation of a
Federalism Assessment under Executive Order 13132 (Aug. 4, 1999).
Executive Order 12866: This rule making has been determined to be
not significant for purposes of Executive Order 12866 (Sept. 30, 1993).
Paperwork Reduction Act: This final rule involves information
collection requirements which are subject to review by the Office of
Management and Budget (OMB) under the Paperwork
[[Page 29876]]
Reduction Act of 1995 (44 U.S.C. 3501 et seq.). The collections of
information involved in this final rule have been reviewed and
previously approved by OMB under OMB control numbers 0651-0027, 0651-
0032, 0651-0034, and 0651-0035. The changes in this final rule do not
affect the information requirements associated with these information
collections. Therefore, the Office is not submitting these information
collection packages to OMB for review and approval.
The title, description and respondent description of each of the
information collections are shown below with an estimate of the annual
reporting burdens. Included in the estimate is the time for reviewing
instructions, gathering and maintaining the data needed, and completing
and reviewing the collection of information. The principal impacts of
the changes in this proposed rule are to: (1) Provide for power of
attorney to a Customer Number and to limit the number of attorneys who
may be given a power of attorney without using a Customer Number; (2)
eliminate associate power of attorney practice; (3) require attorneys
acting in a representative capacity to specify their name and
registration number; (4) allow access to assignment records except
those relating to any pending or abandoned patent application which is
preserved in confidence under Sec. 1.14; (5) provide that assignment
documents submitted for recording must be on certain sizes of paper;
(6) specifically state that the assignment documents that are submitted
for recording will not be returned; (7) for assignments that are
submitted electronically, provide for an electronic signature; (8)
require the citizenship of the parties conveying and receiving the
interest on a trademark assignment cover sheet; (9) provide that a
request to issue a patent to an assignee filed after issue fee payment
must be accompanied by a request for a certificate of correction; and
(10) change the address that would be used for mailing certain patent
applications.
OMB Number: 0651-0027.
Title: Recording Assignments.
Form Numbers: PTO-1594 and PTO-1595.
Type of Review: Approved through June of 2005.
Affected Public: Individuals or households, business or other for-
profit institutions, not-for-profit institutions, farms, Federal
Government, and State, local, or tribal governments.
Estimated Number of Respondents: 240,345.
Estimated Time Per Response: 30 minutes.
Estimated Total Annual Burden Hours: 120,173 hours.
Needs and Uses: The Office records over 200,000 assignments or
documents related to ownership of patent and trademark cases each year.
The Office requires a cover sheet to expedite the processing of these
documents and to ensure that they are properly recorded.
OMB Number: 0651-0032.
Title: Initial Patent Application.
Form Number: PTO/SB/01-07, PTO/SB/13PCT, PTO/SB/16-19, PTO/SB/29
and 29A, PTO/SB/101-110.
Type of Review: Approved through July of 2006.
Affected Public: Individuals or households, business or other for-
profit institutions, not-for-profit institutions, farms, Federal
Government, and State, local, or tribal governments.
Estimated Number of Respondents: 454,287.
Estimated Time Per Response: 22 minutes to 10 hours and 45 minutes.
Estimated Total Annual Burden Hours: 4,171,568 hours.
Needs and Uses: The purpose of this information collection is to
permit the Office to determine whether an application meets the
criteria set forth in the patent statute and regulations. The standard
Fee Transmittal form, New Utility Patent Application Transmittal form,
New Design Patent Application Transmittal form, New Plant Patent
Application Transmittal form, Declaration, Provisional Application
Cover Sheet, and Plant Patent Application Declaration will assist
applicants in complying with the requirements of the patent statute and
regulations, and will further assist the USPTO in processing and
examination of the application.
OMB Number: 0651-0034.
Title: Secrecy and License to Export.
Form Numbers: None.
Type of Review: Approved through April of 2004.
Affected Public: Individuals or households, business or other for-
profit institutions, not-for-profit institutions, farms, Federal
Government, and State, local, or tribal governments.
Number of Respondents: 1,669.
Estimated Time Per Response: Between 30 minutes and 4 hours.
Estimated Total Annual Burden Hours: 1,310 hours.
Needs and Uses: When disclosure of an invention may be detrimental
to national security, the Director of the USPTO must issue a secrecy
order and withhold the publication of the application or grant of a
patent for such period as the national interest requires. The USPTO is
also required to grant foreign filing licenses in certain circumstances
to applicants filing patent applications in foreign countries. This
collection is used by the public to petition the USPTO to allow
disclosure, modification, or rescission of a secrecy order, or to
obtain a general or group permit. Applicants may also petition the
USPTO for a foreign filing license, a retroactive license, or to change
the scope of a license.
OMB Number: 0651-0035.
Title: Representative and Address Provisions.
Form Numbers: PTO/SB/80/81/82/83/122/123/124A/124B/125A/125B.
Type of Review: Approved through November of 2005.
Affected Public: Individuals or households, business or other for-
profit, not for-profit institutions and Federal Government.
Estimated Number of Respondents: 355,005.
Estimated Time Per Response: 3 minutes (0.05 hours) to 1 hour 30
minutes (1.5 hours).
Estimated Total Annual Burden Hours: 30,088 hours.
Needs and Uses: Under 35 U.S.C. 2 and 37 CFR 1.31-1.36 and 1.363,
this information is used to submit a request to grant or revoke power
of attorney in an application or patent, to withdraw as patent attorney
or patent agent of record, or to designate or change the correspondence
address for one or more applications or patents, and to request or
change information associated with a customer number.
Interested persons are requested to send comments regarding these
information collections, including suggestions for reducing this
burden, to Robert J. Spar, Director, Office of Patent Legal
Administration, Commissioner for Patents, P.O. Box 1450, Alexandria, VA
22313-1450, or to the Office of Information and Regulatory Affairs,
OMB, 725 17th Street, NW., Washington, DC 20503, (Attn: USPTO Desk
Officer).
Notwithstanding any other provision of law, no person is required
to respond to nor shall a person be subject to a penalty for failure to
comply with a collection of information subject to the requirements of
the Paperwork Reduction Act unless that collection of information
displays a currently valid OMB control number.
List of Subjects
37 CFR Part 1
Administrative practice and procedure, Courts, Freedom of
Information, Inventions and patents, Reporting and record keeping
requirements, Small Businesses.
[[Page 29877]]
37 CFR Part 3
Administrative practice and procedure, Inventions and patents,
Reporting and record keeping requirements.
37 CFR Part 5
Classified information, foreign relations, inventions and patents.
0
For the reasons set forth in the preamble, 37 CFR parts 1, 3 and 5 are
amended as follows:
PART 1--RULES OF PRACTICE IN PATENT CASES
0
1. The authority citation for 37 CFR part 1 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2).
0
2. Amend Sec. 1.1 by revising paragraph (a)(4)(i) to read as follows,
and by removing and reserving paragraph (f).
Sec. 1.1 Addresses for non-trademark correspondence with the United
States Patent and Trademark Office.
(a) * * *
(4) Office of Public Records correspondence. (i) Assignments. All
patent-related documents submitted by mail to be recorded by Assignment
Services Division, except for documents filed together with a new
application, should be addressed to: Mail Stop Assignment Recordation
Services, Director of the United States Patent and Trademark Office,
P.O. Box 1450, Alexandria, Virginia 22313-1450. See Sec. 3.27.
* * * * *
(f) [Reserved]
0
3. Revise Sec. 1.12(b) to read as follows:
Sec. 1.12 Assignment records open to public inspection.
* * * * *
(b) Assignment records, digests, and indexes relating to any
pending or abandoned patent application, which is open to the public
pursuant to Sec. 1.11 or for which copies or access may be supplied
pursuant to Sec. 1.14, are available to the public. Copies of any
assignment records, digests, and indexes that are not available to the
public shall be obtainable only upon written authority of the applicant
or applicant's assignee or patent attorney or patent agent or upon a
showing that the person seeking such information is a bona fide
prospective or actual purchaser, mortgagee, or licensee of such
application, unless it shall be necessary to the proper conduct of
business before the Office or as provided in this part.
* * * * *
0
4. Revise Sec. 1.31 to read as follows:
Sec. 1.31 Applicants may be represented by a registered patent
attorney or patent agent.
An applicant for patent may file and prosecute his or her own case,
or he or she may give a power of attorney so as to be represented by a
registered patent attorney or registered patent agent. See Sec. 10.6
of this subchapter. The United States Patent and Trademark Office
cannot aid in the selection of a registered patent attorney or patent
agent.
0
5. Add new Sec. 1.32 to read as follows:
Sec. 1.32 Power of attorney.
(a) Definitions.
(1) Power of attorney means a written document by which a principal
designates a registered patent attorney or a registered patent agent to
act on his or her behalf.
(2) Principal means either an applicant for patent (Sec. 1.41(b))
or an assignee of entire interest of the applicant. The principal
executes a power of attorney designating one or more registered patent
attorneys or registered patent agents to act on his or her behalf.
(3) Revocation means the cancellation by the principal of the
authority previously given to a registered patent attorney or
registered patent agent to act on his or her behalf.
(4) Customer Number means a number that may be used to:
(i) Designate the correspondence address of a patent application or
patent such that the correspondence address for the patent application
or patent would be the address associated with the Customer Number;
(ii) Designate the fee address (Sec. 1.363) of a patent such that
the fee address for the patent would be the address associated with the
Customer Number; and
(iii) Submit a list of practitioners such that those registered
patent practitioners associated with the Customer Number would have
power of attorney.
(b) A power of attorney must:
(1) Be in writing;
(2) Name one or more representatives in compliance with (c) of this
section;
(3) Give the representative power to act on behalf of the
principal; and
(4) Be signed by the applicant for patent (Sec. 1.41(b)) or the
assignee of the entire interest of the applicant.
(c) A power of attorney may only name as representative:
(1) One or more joint inventors (Sec. 1.45);
(2) Those registered patent practitioners associated with a
Customer Number;
(3) Ten or fewer registered patent attorneys or registered patent
agents (see Sec. 10.6 of this subchapter) (patent practitioners).
Except as provided in paragraph (c)(1) or (c)(2) of this section, the
Office will not recognize more than ten patent practitioners as being
of record in an application or patent. If a power of attorney names
more than ten patent practitioners, such power of attorney must be
accompanied by a separate paper indicating which ten patent
practitioners named in the power of attorney are to be recognized by
the Office as being of record in application or patent to which the
power of attorney is directed.
0
6. Amend Sec. 1.33 by revising paragraphs (a) introductory text, (b)
introductory text, (b)(1), (b)(2) and (c) to read as follows:
Sec. 1.33 Correspondence respecting patent applications,
reexamination proceedings, and other proceedings.
(a) Correspondence address and daytime telephone number. When
filing an application, a correspondence address must be set forth in
either an application data sheet (Sec. 1.76), or elsewhere, in a
clearly identifiable manner, in any paper submitted with an application
filing. If no correspondence address is specified, the Office may treat
the mailing address of the first named inventor (if provided, see
Sec. Sec. 1.76(b)(1) and 1.63(c)(2)) as the correspondence address.
The Office will direct all notices, official letters, and other
communications relating to the application to the correspondence
address. The Office will not engage in double correspondence with an
applicant and a registered patent attorney or patent agent, or with
more than one registered patent attorney or patent agent except as
deemed necessary by the Director. If more than one correspondence
address is specified in a single document, the Office will establish
one as the correspondence address and will use the address associated
with a Customer Number, if given, over a typed correspondence address.
For the party to whom correspondence is to be addressed, a daytime
telephone number should be supplied in a clearly identifiable manner
and may be changed by any party who may change the correspondence
address. The correspondence address may be changed as follows:
* * * * *
(b) Amendments and other papers. Amendments and other papers,
except for written assertions pursuant to Sec. 1.27(c)(2)(ii) of this
part, filed in the application must be signed by:
[[Page 29878]]
(1) A registered patent attorney or patent agent of record
appointed in compliance with Sec. 1.32(b);
(2) A registered patent attorney or patent agent not of record who
acts in a representative capacity under the provisions of Sec. 1.34;
* * * * *
(c) All notices, official letters, and other communications for the
patent owner or owners in a reexamination proceeding will be directed
to the patent attorney or patent agent of record (see Sec. 1.32(b)) in
the patent file at the address listed on the register of patent
attorneys and patent agents maintained pursuant to Sec. 10.5 and Sec.
10.11 or, if no patent attorney or patent agent is of record, to the
patent owner or owners at the address or addresses of record.
Amendments and other papers filed in a reexamination proceeding on
behalf of the patent owner must be signed by the patent owner, or if
there is more than one owner by all the owners, or by a patent attorney
or patent agent of record in the patent file, or by a registered patent
attorney or patent agent not of record who acts in a representative
capacity under the provisions of Sec. 1.34. Double correspondence with
the patent owner or owners and the patent owner's patent attorney or
patent agent, or with more than one patent attorney or patent agent,
will not be undertaken. If more than one patent attorney or patent
agent is of record and a correspondence address has not been specified,
correspondence will be held with the last patent attorney or patent
agent made of record.
* * * * *
0
7. Revise Sec. 1.34 to read as follows:
Sec. 1.34 Acting in a representative capacity.
When a registered patent attorney or patent agent 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 in whose behalf he or she
acts. In filing such a paper, the registered patent attorney or patent
agent must specify his or her registration number and name with his or
her signature. Further proof of authority to act in a representative
capacity may be required.
0
8. Revise Sec. 1.36 to read as follows:
Sec. 1.36 Revocation of power of attorney; withdrawal of patent
attorney or patent agent.
(a) A power of attorney, pursuant to Sec. 1.32(b), may be revoked
at any stage in the proceedings of a case by an applicant for patent
(Sec. 1.41(b)) or an assignee of the entire interest of the applicant.
A power of attorney to the patent practitioners associated with a
Customer Number will be treated as a request to revoke any powers of
attorney previously given. Fewer than all of the applicants (or by
fewer than the assignee of the entire interest of the applicant) may
only revoke the power of attorney upon a showing of sufficient cause,
and payment of the petition fee set forth in Sec. 1.17(h). A
registered patent attorney or patent agent will be notified of the
revocation of the power of attorney. Where power of attorney is given
to the patent practitioners associated with a Customer Number (Sec.
1.32(c)(2)), the practitioners so appointed will also be notified of
the revocation of the power of attorney when the power of attorney to
all of the practitioners associated with the Customer Number is
revoked. The notice of revocation will be mailed to the correspondence
address for the application (Sec. 1.33) in effect before the
revocation. An assignment will not of itself operate as a revocation of
a power previously given, but the assignee of the entire interest of
the applicant may revoke previous powers of attorney and give another
power of attorney of the assignee's own selection as provided in Sec.
1.32(b).
(b) A registered patent attorney or patent agent who has been given
a power of attorney pursuant to Sec. 1.32(b) may withdraw as attorney
or agent of record upon application to and approval by the Director.
The applicant or patent owner will be notified of the withdrawal of the
registered patent attorney or patent agent. Where power of attorney is
given to the patent practitioners associated with a Customer Number, a
request to delete all of the patent practitioners associated with the
Customer Number may not be granted if an applicant has given power of
attorney to the patent practitioners associated with the Customer
Number in an application that has an Office action to which a reply is
due, but insufficient time remains for the applicant to file a reply.
See Sec. 1.613(d) for withdrawal in an interference.
Sec. 1.53 [Amended]
0
9. Amend Sec. 1.53 by removing paragraph (d)(9) and redesignating
paragraph (d)(10) as paragraph (d)(9).
0
10. Revise Sec. 1.363 by adding paragraph (c) as follows:
Sec. 1.363 Fee address for maintenance fee purposes.
* * * * *
(c) A fee address must be an address associated with a Customer
Number.
PART 3--ASSIGNMENT, RECORDING AND RIGHTS OF ASSIGNEE
0
11. The authority citation for 37 CFR part 3 continues to read as
follows:
Authority: 15 U.S.C. 1123; 35 U.S.C. 2(b)(2).
0
12. Revise Sec. 3.1 to read as follows:
Sec. 3.1 Definitions.
For purposes of this part, the following definitions shall apply:
Application means a national application for patent, an
international patent application that designates the United States of
America, or an application to register a trademark under section 1 or
44 of the Trademark Act, 15 U.S.C. 1051 or 15 U.S.C. 1126, unless
otherwise indicated.
Assignment means a transfer by a party of all or part of its right,
title and interest in a patent, patent application, registered mark or
a mark for which an application to register has been filed.
Document means a document which a party requests to be recorded in
the Office pursuant to Sec. 3.11 and which affects some interest in an
application, patent, or registration.
Office means the United States Patent and Trademark Office.
Recorded document means a document which has been recorded in the
Office pursuant to Sec. 3.11.
Registration means a trademark registration issued by the Office.
0
13. Revise Sec. 3.21 to read as follows:
Sec. 3.21 Identification of patents and patent applications.
An assignment relating to a patent must identify the patent by the
patent number. An assignment relating to a national patent application
must identify the national patent application by the application number
(consisting of the series code and the serial number, e.g., 07/
123,456). An assignment relating to an international patent application
which designates the United States of America must identify the
international application by the international application number
(e.g., PCT/US90/01234). If an assignment of a patent application filed
under Sec. 1.53(b) is executed concurrently with, or subsequent to,
the execution of the patent application, but before the patent
application is filed, it must identify the
[[Page 29879]]
patent application by the name of each inventor and the title of the
invention so that there can be no mistake as to the patent application
intended. If an assignment of a provisional application under Sec.
1.53(c) is executed before the provisional application is filed, it
must identify the provisional application by the name of each inventor
and the title of the invention so that there can be no mistake as to
the provisional application intended.
0
14. Revise Sec. 3.24 to read as follows:
Sec. 3.24 Requirements for documents and cover sheets relating to
patents and patent applications.
(a) For electronic submissions: Either a copy of the original
document or an extract of the original document may be submitted for
recording. All documents must be submitted as digitized images in
Tagged Image File Format (TIFF) or another form as prescribed by the
Director. When printed to a paper size of either 21.6 by 27.9 cm (8\1/
2\ by 11 inches) or 21.0 by 29.7 cm (DIN size A4), the document must be
legible and a 2.5 cm (one-inch) margin must be present on all sides.
(b) For paper or facsimile submissions: Either a copy of the
original document or an extract of the original document must be
submitted for recording. Only one side of each page may be used. The
paper size must be either 21.6 by 27.9 cm (8\1/2\ by 11 inches) or 21.0
by 29.7 cm (DIN size A4), and in either case, a 2.5 cm (one-inch)
margin must be present on all sides. For paper submissions, the paper
used should be flexible, strong white, non-shiny, and durable. The
Office will not return recorded documents, so original documents must
not be submitted for recording.
0
15. Revise Sec. 3.25 to read as follows:
Sec. 3.25 Recording requirements for trademark applications and
registrations.
(a) Documents affecting title. To record documents affecting title
to a trademark application or registration, a legible cover sheet (see
Sec. 3.31) and one of the following must be submitted:
(1) A copy of the original document;
(2) A copy of an extract from the document evidencing the effect on
title; or
(3) A statement signed by both the party conveying the interest and
the party receiving the interest explaining how the conveyance affects
title.
(b) Name changes. Only a legible cover sheet is required (See Sec.
3.31).
(c) All documents. (1) For electronic submissions: All documents
must be submitted as digitized images in Tagged Image File Format
(TIFF) or another form as prescribed by the Director. When printed to a
paper size of either 21.6 by 27.9 cm (8\1/2\ by 11 inches) or 21.0 by
29.7 cm (DIN size A4), a 2.5 cm (one-inch) margin must be present on
all sides.
(2) For paper or facsimile submissions: All documents should be
submitted on white and non-shiny paper that is either 8\1/2\ by 11
inches (21.6 by 27.9 cm) or DIN size A4 (21.0 by 29.7 cm) with a one-
inch (2.5 cm) margin on all sides in either case. Only one side of each
page may be used. The Office will not return recorded documents, so
original documents should not be submitted for recording.
0
16. Revise Sec. 3.27 to read as follows:
Sec. 3.27 Mailing address for submitting documents to be recorded.
Documents and cover sheets submitted by mail for recordation should
be addressed to Mail Stop Assignment Recordation Services, Director of
the United States Patent and Trademark Office, P.O. Box 1450,
Alexandria, Virginia 22313-1450, unless they are filed together with
new applications.
0
17. Amend Sec. 3.31 by revising paragraphs (a)(7) and (c)(1) and
adding a paragraph (f) to read as follows:
Sec. 3.31 Cover sheet content.
(a) * * *
(7) The signature of the party submitting the document. For an
assignment document or name change filed electronically, the person who
signs the cover sheet must either:
(i) Place a symbol comprised of letters, numbers, and/or
punctuation marks between forward slash marks submission (e.g./Thomas
O'Malley III/) in the signature block on the electronic submission; or
(ii) Sign the cover sheet using some other form of electronic
signature specified by the Director.
* * * * *
(c) * * *
(1) Indicate that the document relates to a Government interest;
and
* * * * *
(f) Each trademark cover sheet should include the citizenship of
the party conveying the interest and the citizenship of the party
receiving the interest. In addition, if the party receiving the
interest is a partnership or joint venture, the cover sheet should set
forth the names, legal entities, and national citizenship (or the state
or country of organization) of all general partners or active members
that compose the partnership or joint venture.
0
18. Revise Sec. 3.34 to read as follows:
Sec. 3.34 Correction of cover sheet errors.
(a) An error in a cover sheet recorded pursuant to Sec. 3.11 will
be corrected only if:
(1) The error is apparent when the cover sheet is compared with the
recorded document to which it pertains, and
(2) A corrected cover sheet is filed for recordation.
(b) The corrected cover sheet must be accompanied by a copy of the
document originally submitted for recording and by the recording fee as
set forth in Sec. 3.41.
0
19. Revise Sec. 3.41(b)(2) to read as follows:
Sec. 3.41 Recording fees.
* * * * *
(b) * * *
(2) The document and cover sheet are either: Faxed or
electronically submitted as prescribed by the Director, or mailed to
the Office in compliance with Sec. 3.27.
0
20. Revise Sec. 3.81 to read as follows:
Sec. 3.81 Issue of patent to assignee.
(a) With payment of the issue fee: An application may issue in the
name of the assignee consistent with the application's assignment where
a request for such issuance is submitted with payment of the issue fee,
provided the assignment has been previously recorded in the Office. If
the assignment has not been previously recorded, the request must state
that the document has been filed for recordation as set forth in Sec.
3.11.
(b) After payment of the issue fee: Any request for issuance of an
application in the name of the assignee submitted after the date of
payment of the issue fee, and any request for a patent to be corrected
to state the name of the assignee, must state that the assignment was
submitted for recordation as set forth in Sec. 3.11 before issuance of
the patent, and must include a request for a certificate of correction
under Sec. 1.323 of this chapter (accompanied by the fee set forth in
Sec. 1.20(a)) and the processing fee set forth in Sec. 1.17(i) of
this chapter.
(c) Partial assignees. (1) If one or more assignee, together with
one or more inventor, holds the entire right, title, and interest in
the application, the patent may issue in the names of the assignee and
the inventor.
(2) If multiple assignees hold the entire right, title, and
interest to the exclusion of all the inventors, the patent may issue in
the names of the multiple assignees.
[[Page 29880]]
PART 5--SECRECY OF CERTAIN INVENTIONS AND LICENSES TO EXPORT AND
FILE APPLICATIONS IN FOREIGN COUNTRIES
0
21. The authority citation for 37 CFR part 5 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2), 41, 181-188, as amended by the
Patent Law Foreign Filing Amendments Act of 1988, Pub. L. 100-418,
102 Stat. 1567; the Arms Export Control Act, as amended, 22 U.S.C.
2751 et seq.; the Atomic Energy Act of 1954, as amended, 42 U.S.C.
2011 et seq.; the Nuclear Non Proliferation Act of 1978, 22 U.S.C.
3201 et seq.; and the delegations in the regulations under these
Acts to the Director (15 CFR 370.10(j), 22 CFR 125.04, and 10 CFR
810.7).
0
22. Revise 5.1(a) to read as follows:
Sec. 5.1 Applications and correspondence involving national security.
(a) All correspondence in connection with this part, including
petitions, should be addressed to: Mail Stop L&R, Commissioner for
Patents, P.O. Box 1450, Alexandria, Virginia 22313-1450.
* * * * *
Dated: May 18, 2004.
Jon W. Dudas,
Acting Under Secretary of Commerce for Intellectual Property and Acting
Director of the United States Patent and Trademark Office.
[FR Doc. 04-11761 Filed 5-25-04; 8:45 am]
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