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OCR transcription for search; preserved printed pages are authoritative

# Chapter 400 Representative of Inventor or Owner

## 401 Patent Office Cannot Aid in Selection of Attorney

402 Power of Attorney

402.01
Exceptions as to Registration

402.02
Appointment of Associate Attorney

402.03
Appointment of Substitute Attorney

402.05 Revocation

402.06
Attorney Withdraws

402.07
Assignee Can Revoke Power of Attorney of
Applicant

402.08
Application in Interference

### 403 Correspondence-With Whom Held

403.01
Correspondence Held With Associate Attor-
ney

403.02 Two Attorneys for Same Application

404
Conflicting Parties Having Same Attorney

405
Attorney Not of Record

406
Death of Attorney

407
Disbarred Attorney

408
Telephoning Attorneys

409
Death, Insanity, or Unavailability of Inventor
409.01 Death of Inventor

409.01 (a)
Prosecution by Administrator or Exe-
cutor

409.01 (b)
Proof of Authority of Administrator or
Executor

409.01 (c)
After Administrator or Executor is
Discharged

409.01 (d)
Exception in Some Foreign Countries

409.01 (e)
Applicant of Assigned Application Dies

409.01 (f)
Intervention of Administrator not Com-
pulsory

409.02 Insanity or Other Legal Incapacity

409.03 Unavailability of Inventor

## 401 Patent Office Cannot Aid in Selec- tion of Attorney [R-24]

Rule 31. Applicants May Be Represented by an Attor-
ney or Agent. An applicant for patent may file and
prosecute his own case, or he may be represented by
an attorney or agent authorized to practice before the
Patent Office in patent cases. The Patent Office can-
not aid in the selection of an attorney or agent.

If patentable subject matter appears to be dis-
closed in a pro se application and it is apparent
that the applicant is unfamiliar with the proper
preparation and prosecution of patent applica-
tions, the examiner may suggest to the appli-
cant that it may be desirable to employ a

registered patent attorney or agent. The follow-
ing language is suggested for incorporation in
an Office action :

[1] "Since the value of a patent is largely
dependent upon the skillful preparation of
the specification and claims, applicant may
consider it desirable to employ the services of
a registered patent attorney or agent. The
Patent Office cannot aid in the selection of an
attorney or agent."

## 402 Power of Attorney [R-30]

Rule 34. Recognition for representation. (a) When
a registered attorney or agent acting in a representa-
tive capacity appears in person or signs a paper in
practice before the Patent Office in a patent case, his
personal appearance or signature shall constitute a
representation to the Patent Office that, under the
provisions of these rules and the law, he is authorized
to represent the particular party in whose behalf he
acts. In filing such a paper, the attorney or agent
should specify his registration number with his signa-
ture. Further proof of authority to act in a representa-
tive capacity may be required.

(b) When an attorney or agent shall have filed his
power of attorney, or authorization, duly executed by
the person or persons entitled to prosecute the appli-
cation, he is a principal attorney of record in the case.
A principal attorney or agent so appointed, may ap-
point an associate attorney or agent who shall also
then be of record.

The Patent Office will continue to give effect
to powers of attorney and authorizations of
agent naming firms filed, with respect to patent
applications, before the effective date of the
rules, July 2, 1971 and in all divisions and con-
tinuations thereof not requiring execution by
the applicant. Powers of attorney or authoriza-
tions of agent naming firms of attorneys or
agents filed in patent applications after July 2,
1971 will not be recognized. However, the
Patent Office will construe any such powers or
authorizations as a direction to consider the ad-
dress of the firm as the correspondence address
for the application.

The privilege afforded by Rule 34 (a) as to
recognition of registered attorneys and agents
not of record will apply to all applications
whether filed before or after the effective date.

Attention is called to the requirement of Rule
34(a) that a paper filed by a registered patent
attorney or agent in an application in which he
is not of record should include both his signa-
ture and registration number.

Powers of attorney and authorizations of
agent under Rule 34(b) naming one or more
registered individuals may continue to be made.

As prior to July 2, 1971, where a paper is
hand delivered to the Office and that paper has
been properly signed by a registered attorney
or agent whether or not of record in the partic-
ular case involved, a duplicate copy may be
appropriately marked by the Patent Office em-
ployee receiving the original and returned to
the person delivering the paper. As an example,
a duplicate copy of a request for an extension
of time to make a response may be marked ap-
proved, initiated or signed, and returned to the
delivering person.

Acceptance of papers filed in patent applica-
tions by registered attorneys and agents upon
a representation that the attorney or agent is
authorized to act in a representative capacity
is for the purpose of facilitating responses on
behalf of applicants in patent applications, and,
further, to obviate the need for filing powers of
attorney or authorization of agent in individual
applications when there has been a change in
composition of law firms or. corporate patent
staffs. Interviews with a registered attorney or
agent not of record will, in view of 35 U.S.C.
122, be conducted only on the basis of informa-
tion and files supplied by the attorney or agent.

Usually a power of attorney is made a part
of the application oath or declaration, see
§ 601.02. In order that this power may be valid,
the attorney or agent appointed must be
registered.

When an application for patent is filed ac-
companied by a power of attorney or authori-
zation of agent to a person not registered to
practice before the United States Patent Office,
the Application Branch will send the official
filing receipt directly to the applicant, together
with an explanatory letter. A copy of the
letter will be sent to the person named in the
power of authorization and a copy placed in
the file without being given a paper number.
The name of the unregistered person will not
be placed on the face of the file, and the ex-
aminer will communicate only with the appli-
cant directly unless and until the applicant
appoints a recognized practitioner. An associ-
ate power of attorney or authorization from
the unregistered person will not be recognized
or accepted.

Rule 346. Signature and certificate of attorney.
Every paper filed by an attorney or agent representing
an applicant or party to a proceeding in the Patent

Office must bear the signature of such attorney or
agent, except papers which are required to be signed
by the applicant or party in person (such as the appli-
cation itself and affidavits or declarations required of
applicants). The signature of an attorney or agent
to a paper filed by him, or the filing or presentation
of any paper by him, constitutes a certificate that the
paper has been read; that its filing is authorized ;
that to the best of his knowledge, information, and
belief, there is good ground to support it; and that
it is not interposed for delay.

See also § 1702.

## 402.01 Exceptions as to Registration [R-24]

Rule 342. Limited recognition. Any person not reg-
istered and not entitled to be recognized under rule
341 as an attorney or agent to represent applicants
generally may, upon a showing of circumstances which
render it necessary or justifiable, be recognized by the
Commissioner to prosecute as attorney or agent a spec-
ified application or applications, but this limited recog-
nition shall not extend further than the application or
applications specified.

Sometimes in a joint application one of the
coinventors gives to the other the power of
attorney in the case. Such power will be rec-
ognized even though the one to whom it is
given is not registered.

If a request for special recognition accom-
panies the application, the Application Branch
will forward the file to the Chairman of the
Committee on Enrollment.

## 402.02 Appointment of Associate At- torney [R-24]

The principal attorney (either original or
substitute) may appoint an associate attorney.
The associate attorney may not appoint another
attorney; as provided in rule 34, the power of
attorney or authorization must be "from the
principal attorney or agent in the case of an
associate attorney or agent." See also § 406.

## 402.03 Appointment of Substitute At- torney [R-29]

No appointment of a substitute attorney will
be accepted unless it is signed or concurred in
by the applicant or the assignee of the entire
interest. In all cases where the substitute power
of attorney is accepted, the name of the re-
placed attorney will be cancelled from the file.

The clerk of the examining group will enter
all proper substitute powers of attorney filed in
ex parte cases.

See § 402.07.

## 402.05 Revocation [R-29]

Rule 36. Revocation of power of attorney or author-
ization; withdrawal of attorney or agent. A power of
attorney or authorization of agent may be revoked at
any stage in the proceedings of a case, and an attorney
or agent may withdraw, upon application to and ap-
proval by the Commissioner. An attorney or agent, ex-
cept an associate attorney or agent whose address is
the same as that of the principal attorney or agent,
will be notified of the revocation of his power of attor-
ney or authorization and the applicant will be notified
of the withdrawal of the attorney or agent. An assign-
ment will not of itself operate as a revocation of a
power or authorization previously given, but the
assignee of the entire interest may revoke previous
powers and be represented by an attorney or agent of
his own selection.

Upon revocation of the power of attorney,
appropriate notification is sent by the clerk of
the examining group.

Revocation of the power of the principal
attorney revokes powers granted by him to
other attorneys.

Revocation of the power of attorney be-
comes effective on the date that the revocation
is RECEIVED in the Office (in contradis-
tinction to the date of ACCEPTANCE).

## 402.06 Attorney Withdraws [R-24]

See rule 36 in § 402.05.

In the event that a notice of withdrawal is
filed by the attorney or attorneys of record,
the file will be forwarded to the Office of the
Solicitor where appropriate procedure will be
followed pertaining to the withdrawal.

To expedite the handling of requests for per-
mission to withdraw as attorney, under rule 36,
the request should be submitted in triplicate
(original and two copies) and indicate thereon
the present mailing address of the attorney who
is withdrawing.

## 402.07 Assignee Can Revoke Power of Attorney of Applicant [R-24]

The assignee of record of the entire interest
can revoke the power of attorney of the appli-
cant unless an "irrevocable" right to prosecute
the case had been given.

Rule 32. Prosecution by assignee. The assignee of
record of the entire interest in an application for pat-
ent is entitled to conduct the prosecution of the appli-
cation to the exclusion of the inventor.

See rule 36 in § 402.05.

A power of attorney by the assignee of the
whole interest, if the assignment is recorded in
the Office, revokes all powers given by appli-
cant and prior assignees.

## 402.08 Application in Interference [R-2]]

While an application is involved in inter-
ference, no power of attorney of any kind
should be entered in such application by the
clerk of the group.

If a power of attorney or revocation is re-
ceived for an application while in interference,
it should be forwarded to the Interference Serv-
ice Branch because all parties to the interference
must be notified.

## 403 Correspondence-With Whom Held [R-30]

Rule 33. Correspondence respecting patent applica-
tions and proceedings. (a) The residence and post office
address of the applicant must appear in the oath or
declaration if not stated elsewhere in the application.
The applicant may also specify and an attorney or
agent of record may specify a correspondence address
to which communications about the application are to
be directed. All notices, official letters, and other com-
munications in the case will be directed to the corres-
pondence address or, if no such correspondence address
is specified, to an attorney or agent of record (see rule
34(b) ), or, if no attorney or agent is of record, to the
applicant, or to any assignee of record of the entire
interest if the applicant or such assignee so requests,
or to an assignee of an undivided part if the applicant
so requests, at the post office address of which the
Office has been notified in the case. Amendments and
other papers filed in the application must be signed :
(1) By the applicant, or (2) if there is an assignee of
record of an undivided part interest, by the applicant
and such assignee, or (3) if there is an assignee of
record of the entire interest, by such assignee, or (4)
by an attorney or agent of record, or (5) by a regis-
tered attorney or agent not of record who acts in a
representative capacity under the provisions of rule 34
(a). Double correspondence with an applicant and his
attorney or agent, or with more than one attorney or
agent, will not be undertaken. If more than one at-
torney or agent be made of record and a correspondence
address has not been specified, correspondence will be
held with the one last made of record.

(b) An applicant who has not made of record a
registered attorney or agent may be required to state
whether he received assistance in the preparation or
prosecution of his application, for which any compen-
sation or consideration was given or charged, and if
so, to disclose the name or names of the person or per-
sons providing such assistance. This includes the prep-
aration for the applicant of the specification and
amendments or other papers to be filed in the Patent
Office, as well as other assistance in such matters, but
does not include merely making drawings by drafts-
men or stenographic services in typing papers.

## 403.01

Rule 33 (a) provides for an applicant to sup-
ply an address to receive correspondence from
the Patent Office concerning his application, in
addition to his residence address, so that the
Patent Office may direct mail to any address of
applicant's selection, such as a corporate patent
department, a firm of attorneys or agents, or
an individual attorney, agent, or other person.

Rule 33 states that when an attorney has
been duly appointed to prosecute an appli-
cation correspondence will be held with the
attorney. Double correspondence with an ap-
plicant and his attorney, or with two repre-
sentatives, will not be undertaken. See §§ 403.01,
403.02 and 714.01(d).

In a joint application with no attorney, the
applicant whose name first appears in the
papers receives the correspondence, unless
other instructions are given. All applicants
must sign the responses. See § 714.01 (a).

## 403.01 Correspondence Held With As- sociate Attorney

Where the attorneys bear relation of princi-
pal attorney and associate attorney, the
correspondence will be had with the associate
attorney unless the principal attorney directs
otherwise. Ex parte Eggan, 1911 C.D. 213;
172 O.G. 1091.

## 403.02 Two Attorneys for Same Appli- cations [R-24]

If applicant simultaneously appoints two
principal attorneys he should indicate with
which correspondence is to be conducted. If
one is a local Washington Metropolitan area
attorney and applicant fails to indicate either
attorney, correspondence will be conducted with
the local attorney.

If, after one attorney is appointed, a second
attorney is later appointed without revocation
of the power of the first attorney, the name of
the second attorney is entered on the face of
the file (Ex parte Eggan, 1911 C.D. 213; 172
O.G. 1091), with notation that the Office let-
ters are to be sent to him. This applies also
to associate attorneys.

## 404 Conflicting Parties Having Same Attorney [R-24]

See rule 208 in § 1101.01 (k).

## 405 Attorney Not of Record [R-30]

Papers may be filed in patent applications by
registered attorneys or agents not of record
under rule 34(a). Filing of such papers is con-
sidered to be a representation that the attorney

or agent is authorized to act in a representative
capacity on behalf of applicant. However, in-
terviews with a registered attorney or agent not
of record will be conducted only on the basis of
information and files supplied by the attorney
or agent in view of 35 U.S.C. 122.

## 406 Death of Attorney [R-30] SOLE ATTORNEY

If notification is received from the applicant
or assignee of the death of the sole principal at-
torney and the application is up for action by
the examiner, correspondence is held with the
applicant or assignee who originally appointed
the deceased attorney.

If notification is received from the office of
the deceased attorney and the application is up
for action, the examiner when preparing the
Office action should add a paragraph such as :
[1] "In view of the notification of the death
of the attorney of record, his power is ter-
minated. Applicant (or assignee if he origi-
nally appointed the deceased attorney) may
appoint a new attorney."

If notification of the death of the sole prin-
cipal attorney is received from the Attorney's
Roster or some outside source, there will be no
paper of record in the file wrapper to indicate
that the attorney is deceased. Correspondence
therefore continues to be held with the office of
the deceased attorney but a copy of the Office
action is also mailed to the person who origi-
nally appointed the attorney. In such an Office
action where the application is not ready for
allowance the examiner should add a para-
graph similar to the following :

[2] "Notice of the death of the attorney of
record has come to the attention of this Office.
Since his power of attorney is terminated, a
copy of this action is being mailed to appli-
cant (or assignee if he originally appointed
the deceased attorney). Applicant (or as-
signee) may appoint a new attorney."

If notification of the death of the sole prin-
cipal attorney is received from the Attorney's
Roster or some other outside source and the ap-
plication is ready for allowance, the examiner
prepares the application for allowance and
writes a letter to the office of the deceased at-
torney with a copy to the person who originally
appointed the deceased attorney stating :

[3] "Notice of the death of the attorney of
record has come to the attention of this Office.
Since his power of attorney is thus ter-
minated, and this application is now ready
for allowance, the Notice of Allowance will
be mailed to the office of the deceased attorney
in the absence of a new power of attorney."

409.01 (a)

An amendment signed by an unregistered as-
sistant in the office of the attorney, the latter
having died, may be admitted, subject to future
ratification.

If the ratification is promptly filed, the
amendment should be entered as of the date
on which the amendment was filed.

In carrying out these instructions, primary
examiners should not set a definite time
within which ratification must be filed, but the
word "promptly" as used above should be used
in the notification. The question of prompt-
ness or undue delay in ratification should be
left for determination when the ratification is
filed and the question of entry of the amend-
ment arises. In forming a judgment as to
whether any particular ratification has been
filed promptly, consideration should be given
to the place of residence of the applicant and
other pertinent circumstances.

## 407 Disbarred Attorney [R-24] See § 105.

## 408 Telephoning Attorney [R-30]

Present Office policy places great emphasis on
telephone interviews initiated by the examiner.
For this reason, it is not necessary for an attor-
ney to request a telephone interview. Examiners
are not required to note or acknowledge requests
for telephone calls or state reasons why such
proposed telephone interviews would not be con-
sidered effective to advance prosecution. How-
ever, it is desirable for an attorney to call the
examiner if the attorney feels the call will be
beneficial to advance prosecution of the case.
See §§ 713.01 and 713.05.

### SPECIFIC TELEPHONE INTERVIEW SITUATIONS Restriction of invention (§ 812.01). Multiplicity (§ 706.03 (1) ).

Many attorneys have offices or representatives
in the Washington area and it sometimes expe-
dites business to interview them concerning an
application. When the examiner believes the
progress of the application would be advanced
thereby, he may call the attorney in the case by
telephone and ask him to come to the Office.
Listings of Washington representatives of out-
of-town attorneys are kept in each examining
group.

Registered attorneys or agents not of record
in a patent application and acting in a repre-
sentative capacity under rule 34(a) should not
be telephoned for restriction requirements, ap-
proval of examiner's amendments or given any

information relative to such patent application
by telephone unless the telephone number of
such attorney or agent appears in a paper
signed by applicant or an attorney or agent of
record.

Examiners should place all long distance tele-
phone calls through the FTS (Federal Telecom-
munications System), even though collect calls
may have been authorized by the attorney.

To facilitate any telephone calls that may
become necessary, it is strongly recommended
that amendments include the complete telephone
number, with area code and extension, of the
person with whom the interview should be held,
preferably near the signature.

In new applications, the telephone number
may appear on the letter of transmittal or in
the power of attorney, oath or declaration, next
to the attorney's name and address.

## 409 Death, Insanity, or Unavailability of Inventor [R-27]

If the inventor is dead, insane or otherwise
legally incapacitated, refuses to execute an
application, or cannot be found, an application
may be made by someone other than the in-
ventor, as specified in rules 42-47, §§ 409.01-
409.03.

## 409.01 Death of Inventor [R-30]

Unless a power of attorney is coupled with an
interest (i.e., an attorney is assignee or part-
assignee), the death of the inventor (or one of
the joint inventors) terminates the power of at-
torney and a new power from the heirs, admin-
istrators, executors or assigns is necessary if the
attorney is to remain of record (but see § 409.01
(f)).

## 409.01(a) Prosecution by Adminis- trator or Executor [R-24]

### 35 U.S.C. 117 Death or incapacity of inventor

Legal representatives of deceased inventors and of
those under legal incapacity may make application for
patent upon compliance with the requirements and on
the same terms and conditions applicable to the inven-
tor.

Rule 42. When the inventor is dead. In case of the
death of the inventor, the legal representative (execu-
tor, administrator, etc.) of the deceased inventor may
sign the application papers and make the necessary
oath or declaration, and apply for and obtain the pat-
ent. Where the inventor dies during the time inter-
vening between the filing of his application and the
granting of a patent thereon, the letters patent may

409.01 (b)

# MANUAL OF PATENT EXAMINING PROCEDURE

be issued to the legal representative upon proper inter-
vention by him.

One who has reason to believe that he will
be appointed legal representative of a deceased
inventor may apply for a patent as legal rep-
resentative in accordance with rule 42. Such
application will be considered as having been
made on the date of receipt of all its required
parts, or of the part which renders it com-
plete (rules 51 and 53), provided proof of
applicant's authority as legal representative
is subsequently filed. The filing date corre-
sponding to said date of receipt will be can-
celed if another person is appointed legal rep-
resentative. In the latter case, the application
will be given an application date no earlier
than the date on which the properly appointed
legal representative actually executed the
papers. The foregoing applies to the legal
representative of a deceased sole or deceased
joint inventor.

Application may be made by the heirs of the
inventor, as such, if accompanied by a certifi-
cate from the court that they are all the heirs
and that the estate was under the sum required
by state law for the appointment of an ad-
ministrator.

## 409.01(b) Proof of Authority of Ad- ministrator or Executor [R-27]

Rule 44. Proof of authority. In the cases mentioned
in rules 42 and 43, proof of the power or authority of
the legal representative must be recorded in the Pat-
ent Office or filed in the application before the grant
of a patent.

Whenever because of the death of an in-
ventor, the right of applying for and obtain-
ing a patent for an invention devolves upon
an executor or administrator, or whenever an
executor or administrator desires to intervene
prior to the granting of a patent, proof of the
authority of such executor or administrator
should in all cases be made of record in the
Patent Office by filing in the application or
recording in the assignment records a certifi-
cate of the clerk of a competent court or the
register of wills that his appointment is still
in full force and effect. Such certificate shall
be signed by an officer and authenticated by
the seal of the court by which the same was
issued. The authority of other legal repre-
sentatives of the inventor must be similarly
established.

Should such certificate of appointment be
found to be insufficient for any reason, there
may be required to be filed or recorded a cer-
tified and properly authenticated copy of the

letters testamentary or of the letters of ad-
ministration, in order that the scope of author-
ity of the persons who seek to intervene may
be a matter of record in this Office.

All applications filed by an executor or
administrator are initially referred to the
Assignment Branch to ascertain whether
proper authority has been recorded or "filed
in the application" (rule 44) and for suitable
endorsement on the file. If the authority is
insufficient, correspondence is conducted by the
Assignment Branch. When a reply is received
to such correspondence and also in cases where
the executor or administrator intervenes (after
filing) the case should be sent immediately to
the Assignment Branch.

In any case in which the Chief of the As-
signment Branch reports that the authority of
the executor or administrator of record in the
case is insufficient, the examiner will require
the filing in the application or the recording
in the Assignment Branch of a certificate of
such appointment or a certified copy of letters
testamentary or of letters of administration in
such case before finally passing the case to
issue.

In the case of foreign executors or adminis-
trators, a consular officer of the United States
may authenticate the signature of the foreign
officer attesting to the papers submitted as proof
of authority. Unusual situations may be referred
to the Office of the Solicitor.

# 409.01(c) After Administrator or Executor Has Been Dis- charged [R-21]

When an administrator or executor has per-
formed his functions and has been discharged
and it is desired to make an application for an
invention of the deceased, it is necessary for the
administrator or executor to take out new letters
of administration in order that he may file a
new application of the deceased inventor.

409.01 (d) Exception in Some For-
eign Countries [R-21]

The terms "Executor" and "Administrator"
do not find an exact counterpart in all foreign
countries and the procedure is governed by the
necessity of construing those terms to fit the
circumstances of the case. Hence the person or
persons having authority corresponding to that
of executor or administrator are permitted to
make application as, for example, the heirs in
Germany. The authority of such persons must
be proved by an appropriate certificate.

# 409.01(e) If Applicant of Assigned Application Dies

Where an applicant, carrying on the prose-
cution of an application after assignment, dies,
his administrator may carry on the prosecution
on filing letters of administration unless and
until the assignee intervenes.

# 409.01(f) Intervention of Executor Not Compulsory [R-30]

When an inventor dies after filing an appli-
cation the executor or administrator should
intervene, but the allowance of the application
will not be withheld nor the application with-
drawn from issue if the executor or administra-
tor does not intervene.

This practice is applicable to an application
which has been placed in condition for allow-
ance or passed to issue prior to notification of
the death of the inventor. See § 409.01.

# 409.02 Insanity or Other Legal In- capacity [R-21]

Rute 43. When the inventor is insane or legally in-
capacitated. In case an inventor is insane or otherwise
legally incapacitated, the legal representative (guard-
ian, conservator, etc.) of such inventor may sign the
application papers and make the necessary oath or
declaration, and apply for and obtain the patent.

Section 409.01 (b) is also applicable in case of
insanity or other legal incapacity of an
inventor.

# 409.03 Unavailability of Inventor [R-30]

Rule 47. Filing by other than inventor. (a) If a joint
inventor refuses to join in an application for patent or
cannot be found or reached after diligent effort, the
application may be made by the other inventor on
behalf of himself and the omitted inventor. Such appli-
cation must be accompanied by proof of the pertinent
facts and must state the last known address of the
omitted inventor. The Patent Office shall forward notice
of the filing of the application to the omitted inventor
at said address. Should such notice be returned to the
Office undelivered, or should the address of the omitted
inventor be unknown, notice of the filing of the appli-
cation shall be published in the Official Gazette. The
omitted inventor may subsequently join in the applica-
tion on filling an oath or declaration of the character
required by rule 65. A patent may be granted to the
inventor making the application, upon a showing
satisfactory to the Commissioner, subject to the same
rights which the omitted inventor would have had if
he had been joined.

(b) Whenever an inventor refuses to execute an
application for patent, or cannot be found or reached
after diligent effort, a person to whom the inventor
has assigned or agreed in writing to assign the inven-
tion or who otherwise shows sufficient proprietary in-
terest in the matter justifying such action may make
application for patent on behalf of and as agent for
the inventor. Such application must be accompanied
by proof of the pertinent facts and a showing that
such action is necessary to preserve the rights of the
parties or to prevent irreparable damage, and must
state the last known address of the inventor. The
assignment, written agreement to assign or other evi-
dence of proprietary interest, or a verified copy thereof,
must be filed in the Patent Office. The Office shall for-
ward notice of the filing of the application to the
inventor at the address stated in the application. Should
such notice be returned to the Office undelivered, or
should the address of the inventor be unknown, notice
of the filing of the application shall be published in
the Official Gazette. The inventor may subsequently
join in the application on filing an oath or declaration
of the character required by rule 65. A patent may be
granted to the inventor upon a showing satisfactory
to the Commissioner.

35 U.S.C. 116. Joint inventors

When an invention is made by two or more persons
jointly, they shall apply for patent jointly and each
sign the application and make the required oath, ex-
cept as otherwise provided in this title.

If a joint inventor refuses to join in an application
for patent or cannot be found or reached after diligent
effort, the application may be made by the other in-
ventor on behalf of himself and the omitted inventor.
The Commissioner, on proof of the pertinent facts and
after such notice to the omitted inventor as he pre-
scribes, may grant a patent to the inventor making the
application, subject to the same rights which the
omitted inventor would have had if he had been joined.
The omitted inventor may subsequently join in the
application.

Whenever a person is joined in an application for
patent as joint inventor through error, or a joint in-
ventor is not included in an application through error,
and such error arose without any deceptive intention
on his part, the Commissioner may permit the applica-
tion to be amended accordingly, under such terms as
he prescribes.

35 U.S.C. 118. Filing by other than inventor

Whenever an inventor refuses to execute an applica-
tion for patent, or cannot be found or reached after
diligent effort, a person to whom the inventor has as-
signed or agreed in writing to assign the invention or
who otherwise shows sufficient proprietary interest in
the matter justifying such action, may make applica-
tion for patent on behalf of and as agent for the in-
ventor on proof of the pertinent facts and a showing
that such action is necessary to preserve the rights of
the parties or to prevent irreparable damage; and the
Commissioner may grant a patent to such inventor

upon such notice to him as the Commissioner deems
sufficient, and on compliance with such regulations
as he prescribes.

Rule 47 (a) and 35 U.S.C. 116 permit a joint
inventor to file an application "on behalf of"
himself and a joint inventor who "cannot be
found or reached after diligent effort" or who
refuses to sign application papers. Rule 47 (b)
and 35 U.S.C. 118 allow a person with a dem-
onstrated proprietary interest to make appli-
cation "on behalf of and as agent for" the in-
ventor under the same circumstances. Rule 47
should not be considered an alternative to rule
42, since the language "cannot be found or
reached after diligent effort" has no reasonable
application to a deceased inventor. (In re Appli-
cation Papers filed September 10, 1954, 703 O.G.
434; See rule 42 and § 409.01.) However, rule
47 does apply to situations where a legal repre-
sentative of a deceased inventor cannot be
found or reached after diligent effort, or where
such known legal representative refuses to
make application. Also, in hardship situations
where time or circumstances do not permit ap-
pointment of a legal representative, rule 47 may
apply (In re Schwarz and Paul, 147 USPQ
394).

Application papers submitted under rule 47
are forwarded by the Application Branch to
the Office of the Solicitor for determination
whether the papers are proper and complete
and whether the verified showing justifies ac-
ceptance under either paragraph of the rule.
Where a refusal of the inventor to sign the
application papers is alleged, the circumstances
of this refusal must be specified in the affidavit
or declaration. Where inability to find or reach
an inventor "after diligent effort" is the reason
for filing under rule 47, the affidavit or declara-
tion should include the exact circumstances
which are relied upon to establish that a dili-
gent effort was made. Where the application is
made under rule 47(b) and 35 U.S.C. 118, the
papers must also show the necessity for so filing
and must be accompanied by papers establish-
ing an assignment or written agreement to
assign, or by other satisfactory evidence of
proprietary interest.

Rule 65 (b) requires that in rule 47 applica-
tions the joint applicant in applications under
rule 47(a) or the person having a proprietary
interest in applications under rule 47(b), state
his relationship to the inventor and, upon
information and belief, the facts which the in-
ventor is required by rule 65 to make oath or
declaration to. In applications under rule
47(b) and 35 U.S.C. 118, in addition, the
petition must request grant of the patent to
the inventor. Also, where a corporation is the
"person" making application under rule 47 (b),

an officer thereof should normally make the nec-
essary oath or declaration and sign the applica-
tion.

If papers deposited under rule 47 are found
to be acceptable, a memorandum or letter to that
effect is entered in the file, the application is
given a serial number, and notice is normally
sent to the non-signing "inventor designee" at
his last known address. Where the "inventor
designee" has promptly joined in the applica-
tion by submitting an appropriate rule 65 oath
or declaration referring to attached duplicate
papers, there is no need to notify him of the
application. The examiner will act on the rule
47 application in the usual manner except that
papers filed by an inventor who did not orig-
inally join in the application and papers relat-
ing to its rule 47 status will be forwarded with
the file to the Solicitor's Office for consideration.

The Office of the Solicitor will determine, in
such event, whether the papers meet the require-
ments of rule 65, including the requirement
implicit in that rule, that the oath or declara-
tion be made on the basis of actual knowledge
of the application papers on file. This knowl-
edge may be demonstrated by reference
in the oath or declaration to an attached copy
of the application. In re Bernard, 748 O.G. 282;
123 USPQ 387.

The "inventor designee" may protest his des-
ignation as an inventor and offer evidence to
support his position. The Office in such case,
although it will allow the "inventor designee"
to make his position of record in the file of the
application and will grant him access to the
application, will not institute inter partes pro-
ceedings in the rule 47 application. The rights
of said inventor are protected by the fact that
that in an application filed under rule 47(b)
and 35 U.S.C. 118 the patent must issue to the
inventor and in an application filed under rule
47(a) and 35 U.S.C. 116 the inventor has the
rights of a joint applicant. In re Application of
Hough, et al., 703 O.G. 200.

When the examiner determines that a rule
47 case is allowable, he should forward the file
with a brief memorandum of that determina-
tion to the Solicitor's Office. The rule 47 aspect
of the case will then be reviewed. If it appears
that the originally nonsigning inventor has
joined in the application, or has received notice
and not replied in any way, the file is generally
returned to the examiner for allowance without
further rule 47 correspondence. On the other
hand, if the "inventor designee" has shown some
interest in the case short of proper joinder, he
may be notified of imminent allowance and
given a further opportunity to take any action
he deems appropriate. Where there has been no
proper joinder, by submission of an appropriate
rule 65 oath or declaration referring to at-

tached duplicate application papers, a patent
on a rule 47(b) application must be granted to
the inventor, notwithstanding any recorded as-
signment by the inventor. Hence, it is generally
advisable for an assignee to effect the inventor's
proper joinder as soon as practicable. In many
instances where the employee-inventor is tem-
porarily unavailable, his joinder papers may
best be submitted before a rule 47 application
is formally accepted and a filing date receipt is

mailed. Such joinder papers should be filed with
a brief explanatory letter, requesting that they
be correlated with the earlier rule 47 applica-
tion papers filed on or about a given date. The
submission of joinder papers is not prejudicial
to an earlier filing date under rule 47, assuming
acceptance of an application under that rule
would otherwise be warranted. The fact that the
application was made under rule 47 will be
indicated in the heading of the patent.

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