Power to Inspect Application

I.

AUTHORITY TO GRANT ACCESS - APPLICATION FILED ON OR AFTER SEPTEMBER 16,

2012

37 CFR 1.14  Patent applications preserved in confidence.

*****

(c)

Power to inspect a pending or abandoned application.

Access

to an application may be provided to any person if the application file is

available, and the application contains written authority

(

e.g.,

a power to inspect) granting access to such

person. The written authority must be signed by:

(1) The applicant;

(2) A patent practitioner of record;

(3) The assignee or an assignee of an undivided part interest;

(4) The inventor or a joint inventor; or

(5) A registered attorney or agent named in the

papers accompanying the application papers filed under §

1.53

or the national stage documents filed under §

1.495

, if a power of attorney has not been

appointed under

§ 1.32

.

*****

For applications filed on or after September 16, 2012, the

applicant, a patent practitioner of record, the assignee or an assignee of an undivided

part interest, or an inventor may provide a written authority for access to a pending or

abandoned application kept in confidence under

35 U.S.C. 122(a)

, except as provided

in

37 CFR

1.11

,

1.14

,

41.6

, or

42.412

. The written authority must identify the application to be

inspected and the name of the person authorized to have access, and will be made of

record. Access provided upon the written order of the Director will also become a part

of the record of the application.

A person acting in a representative capacity under

37 CFR

1.34

may execute a power to inspect an application only if the

patent practitioner was named in the application transmittal papers filed under

37 CFR

1.53

or the national stage documents filed under

37 CFR 1.495

and a power of attorney has not been appointed under

37 CFR 1.32

.

Once a power of attorney has been filed, any previously filed power to inspect signed by

a patent practitioner who does not have a power of attorney will cease to have effect.

For a discussion of power of attorney in an application, see

MPEP § 402

ers filed under

37 CFR

1.53

or the national stage documents filed under

37 CFR 1.495

and a power of attorney has not been appointed under

37 CFR 1.32

.

Once a power of attorney has been filed, any previously filed power to inspect signed by

a patent practitioner who does not have a power of attorney will cease to have effect.

For a discussion of power of attorney in an application, see

MPEP § 402

.

II.

AUTHORITY TO GRANT ACCESS - APPLICATION FILED BEFORE SEPTEMBER 16, 2012

37 CFR 1.14 (pre-AIA) Patent applications preserved in confidence.

*****

(c)

Power to inspect a pending or abandoned

application.

Access to an application may be provided to any

person if the application file is available, and the application contains

written authority (e.g., a power to inspect) granting access to such person.

The written authority must be signed by:

(1) An applicant;

(2) An attorney or agent of record;

(3) An authorized official of an assignee of

record (made of record pursuant to § 3.71 of this chapter); or

(4) A registered attorney or agent named in the

papers accompanying the application papers filed under § 1.53 or the

national stage documents filed under § 1.495, if an executed oath or

declaration pursuant to § 1.63 or § 1.497 has not been filed.

*****

For applications filed prior to September 16, 2012, if an executed oath

or declaration pursuant to

37 CFR 1.63

or

1.497

has been

filed, no person but the applicant (any one of joint applicants), an attorney or agent

of record (if a power of attorney was filed), or an assignee whose assignment is of

record will be permitted to have access to the file of any pending application kept in

confidence under

35

U.S.C. 122(a)

, except as provided for under

37 CFR 1.11

,

1.14

,

41.6

, or

42.412

,

unless written authority from one of the above indicated parties, identifying the

application to be inspected and the name of the person authorized to have access, is

made of record, or upon the written order of the Director, which will also become a part

of the record of the application

ept in

confidence under

35

U.S.C. 122(a)

, except as provided for under

37 CFR 1.11

,

1.14

,

41.6

, or

42.412

,

unless written authority from one of the above indicated parties, identifying the

application to be inspected and the name of the person authorized to have access, is

made of record, or upon the written order of the Director, which will also become a part

of the record of the application.

A person acting in a representative capacity under

37 CFR 1.34

may

execute a power to inspect an application only if the attorney or agent was named in the

application transmittal papers filed under

37 CFR 1.53

or the national stage

documents filed under

37 CFR 1.495

and an executed oath or declaration has not been

filed. Once an executed oath or declaration has been filed, any previously filed power

to inspect signed by a registered attorney or agent who does not have a power of

attorney will cease to have effect. For a discussion of power of attorney in an

application, see

MPEP §

402

.

III.

POWER TO INSPECT

Powers to inspect are not accepted in Image File Wrapper

(IFW) applications. IFW applications are available through the Private Patent

Application Information Retrieval (PAIR) system, and pro se applicants and attorneys of

record have direct access to the IFW through Private PAIR (when a Customer Number is

associated with the correspondence address for the application, and the applicant or

attorney has access to Private PAIR for the customer number). In addition, IFW

application files of published applications or patents are available at least through

Patent Center. If for some reason an applicant, inventor, assignee, or attorney or agent

of record cannot view an IFW application through Private PAIR or Patent Center, then a

copy of the application must be purchased from the Patent and Trademark Copy Fulfillment

Branch of the Public Records Division

dition, IFW

application files of published applications or patents are available at least through

Patent Center. If for some reason an applicant, inventor, assignee, or attorney or agent

of record cannot view an IFW application through Private PAIR or Patent Center, then a

copy of the application must be purchased from the Patent and Trademark Copy Fulfillment

Branch of the Public Records Division. A "power to inspect" is, in effect, the same as a

"power to inspect and make copies."

Where an applicant relied on the applicant's application

as a means to interfere with a competitor’s business or customers, permission to inspect

the application may be given the competitor by the Director. Such permission is via

petition for access under

37 CFR 1.14(i)

.

An unrestricted power to inspect given by an applicant or

inventor is, under existing practice, recognized as in effect until and unless

rescinded. The same is true in the case of one given by the attorney or agent of record,

or assignee so long as such attorney or agent, or assignee retains their connection with

the application.

Permission to inspect given by the Director, however, is not of a

continuing nature, since the conditions that justified the permission to inspect when

given may not apply at a later date.

IV.

ACCESS TO PATENT APPLICATIONS (PROVISIONAL AND NONPROVISIONAL) AND BOARD

RECORDS

In order to ensure that access to patent applications, other than

applications that are available pursuant to

37 CFR 1.11

or

1.14

, and Board

records are given only to persons who are entitled thereto or who are specially

authorized to have access under

37 CFR

1.11, 1.14

and

41.6

and to ensure

also that the file record identifies any such specially authorized person who has been

given access to a file, the following practice will be observed by all personnel of the

U.S

tions that are available pursuant to

37 CFR 1.11

or

1.14

, and Board

records are given only to persons who are entitled thereto or who are specially

authorized to have access under

37 CFR

1.11, 1.14

and

41.6

and to ensure

also that the file record identifies any such specially authorized person who has been

given access to a file, the following practice will be observed by all personnel of the

U.S. Patent and Trademark Office:

(A) Access, as provided for in the rules, will be given on

oral request

to any applicant, inventor, patentee, assignee,

or attorney or agent of record in an application or patent only upon

proof of identity

or upon recognition based on personal

acquaintance.

(B) Where a power of attorney or authorization of agent was given to a

registered firm prior to July 2, 1971, access will be given upon oral request as

in paragraph (A) above to any registered member or employee of the firm who has

signatory power for the firm.

(C) Unregistered employees of attorneys or agents, public

stenographers, and all other persons not within the provisions of paragraphs (A)

and (B) above will be given access only upon presentation of a

written

authorization for access

(power to inspect) signed by a person

specified in paragraph (A) above, which authorization will be entered as a part of

the official file. The power to inspect must

specifically

name

the person who is entitled to inspect and copy the application. An associate or

representative of the named person is not entitled to access to the application on

behalf of the authorized person. Further, the power to inspect must specifically

identify the application by application number and be limited to a single

application. Form PTO/SB/67 may be used for this purpose.

(D) In provisional applications, access or certified copies may only be

requested by parties with written authority from a named inventor, the applicant,

the assignee of record, or the attorney or agent of record, unless the application

is available pursuant to

37 CFR 1.14(a)(1)(iv)-(vi)

ion by application number and be limited to a single

application. Form PTO/SB/67 may be used for this purpose.

(D) In provisional applications, access or certified copies may only be

requested by parties with written authority from a named inventor, the applicant,

the assignee of record, or the attorney or agent of record, unless the application

is available pursuant to

37 CFR 1.14(a)(1)(iv)-(vi)

.

Since provisional applications do not require an oath or declaration, there may be

no power of attorney in the application. If the person requesting a certified copy

is not a named inventor, the applicant, assignee of record, or an attorney or

agent of record, the requested certified copy will be supplied to the

correspondence address of the provisional application

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