provisions of the regulations in this part shall only entitle the persons registered to practice before the Patent Office. NOTE: All persons registered prior to November 15, 1938, were registered as attorneys, whether they were attorneys at law or not, and such registrations have not been changed. (a) Attorneys at law. Any attorney at law in good standing admitted to practice before any United States Court or the highest court of any State or Territory of the United States who fulfills the requirements and complies with the provisions of these rules may be admitted to practice before the Patent Office and have his name entered on the register of attorneys. (b) Agents. Any citizen of the United States not an attorney at law who fulfills the requirements and complies with the provisions of these rules may be admitted to practice before the Patent Office and have his name entered on the register of agents. (c) Requirements for registration. No person will be admitted to practice and registered unless he shall apply to the Commissioner of Patents in writing on a prescribed form supplied by the Commissioner and furnish all requested information and material; and shall establish to the satisfaction of the Commissioner that he is of good moral character and of good repute and possessed of the legal and scientific and technical qualifications necessary to enable him to render applicants for patents valuable service, and is otherwise competent to advise and assist them in the presentation and prosecution of their applications before the Patent Office. In order that the Commissioner may determine whether a person seeking to have his name placed upon either of the registers has the qualifications specified, satisfactory proof of good moral character and repute, and of sufficient basic training in scientific and technical matters must be submitted and an examination which is held from time to time must be taken and passed. The taking of an examination may be waived in the case of any person who has actively served for four years in the examining corps of the Patent Office. (d) Registration of firms. Any firm, the individual members of which are each registered on the register of attorneys, may have its name entered upon the register of attorneys. Any firm, one of the individual members of which is registered on the register of agents and each of the remaining individual members are registered either on the register of attorneys or the register of agents, may have its name entered on the register of agents. If the membership of the firm is changed, application must be made for registration of the firm as changed. (e) Foreign patent attorneys and agents. Any foreign patent attorney or agent not a resident of the United States who shall file proof to the satisfaction of the Commissioner that he is registered and in good standing before the patent office of the country in which he resides and practices. and is possessed of the qualifications stated in paragraph (c) of this section, may be registered on the register of agents as entitled to represent applicants located in such country before the United States Patent Office in the presentation and prosecution of applications: Provided, That the patent office of such country allows substantially reciprocal privileges to those admitted to practice before the United States Patent Office. Such registration shall continue only during the period that the conditions specified obtain. (f) Government employees. Officers and employees of the United States who are disqualified by statute (18 U.S.C. 281) from practicing as attorneys or agents in proceedings or other matters before Government departments or agencies, may not be registered, and if any registered attorney or agent becomes such an officer or employee, his name on the register shall be endorsed as inactive during the period of such employment, but officers or employees whose official duties require the preparation and prosecution of applications for patent may be registered (on compliance with the regulations in this part) or recognized to practice, to the extent necessary to carry out their official duties. (g) Former examiners. No person who has served in the examining corps of the Patent Office will be registered after termination of his services, nor, if registered before such service, be reinstated, unless he undertakes (1) not to prosecute or aid in any manner in the prosecution of any application pending in any examining division during his period of service therein; and (2) not to prepare or prosecute nor to assist in any manner in the preparation or prosecution of any application of another filed within two years after the date he left such division, and assigned to such division, without the specific authorization of the Commissioner. Associated and related classes in other divisions may be required to be included in the undertaking or designated classes may be excluded. In case application for registration or reinstatement is made after resignation from the Office, the applicant will not be registered, or reinstated, if he has prepared or prosecuted, or assisted in the preparation or prosecution of any such application as indicated in this paragraph. (h) Oath and registration fee. Before his name may be entered on the register of attorneys or on the register of agents, every applicant for registration must, after his application is approved, subscribe and swear to an oath prescribed by the Commissioner of Patents and pay the prescribed registration fee. (i) Committee on Enrollment. The Commissioner may establish a Committee on Enrollment to receive and act upon applications for registration to practice before the Patent Office, to conduct and supervise the examinations provided for in paragraph (c) of this section, to maintain the registers and to perform such other duties in connection with enrollment and recognition of attorneys and agents as may be necessary; or such functions may be performed by designated officials of the Patent Office. Any action of such committee or official may be reviewed by the Commissioner. NOTE: See § 2.12 for practice in trademark cases. § 1.342. Limited recognition. Any person not registered and not entitled to be recognized under § 1.341 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 specified application or applications, but this limited recognition shall not extend further than the application or applications specified. § 1.343. Persons not registered or recognized. No person or firm not registered or specifically recognized as provided in § 1.342 will be permitted to prosecute applications of others before the Patent Office. § 1.344. Professional conduct. Attorneys and agents appearing before the Patent Office must conform to the standards of ethical and professional conduct generally applicable to attorneys before the courts of the United States. § 1.345. Advertising. (a) The use of advertising, circulars, letters, cards, and similar material to solicit patent business, directly or indirectly, is forbidden as unprofessional conduct, and any person engaging in such solicitation, or associated with or employed by others who so solicit, shall be refused recognition to practice before the Patent Office or may be suspended, excluded or disbarred from further practice. (b) The use of simple professional letterheads, calling cards, or office signs, simple announcements necessitated by opening an office, change of association, or change of address, distributed to clients and friends, and insertion of listings in common form (not display) in a classified telephone or city directory, and listings and professional cards with biographical data in standard professional directories shall not be considered a violation of this rule. (c) No agent shall, in any material specified in paragraph (b) of this section or in papers filed in the Patent Office, represent himself to be an attorney, solicitor or lawyer. NOTE: At 23 F.R. 8622, Nov. 5, 1958, the date on which § 1.345, as set forth above, was to take effect was extended to May 1, 1959, and at 24 F.R. 1419, Feb. 26, 1959 was further extended to July 1, 1959, with the stipulation that until that date, former § 1.345 was effective. § 1.346. 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 application itself and affidavits 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 knowl edge, information, and belief there is good ground to support it; and that it is not interposed for delay. When an applicant or party is represented by a registered firm, such papers must carry the signature of the firm, or the signature of an individual member of the firm or an individual registered attorney or agent employed by the firm and duly authorized to sign on behalf of the firm in addition to the firm name, and the certification constituted by the signing or presentation of the paper shall be a certification by and on behalf of the firm and by the individual. §1.347. Removing names from registers. Attorneys, agents, and firms, registered to practice before the Patent Office, should notify the Office of any change of address for entry on the register, by letter separate from any notice of change of address filed in individual applications. The Office may address a letter to any person or firm on the registers, at the address of which separate notice for the register was last received, for the purpose of ascertaining whether such person or firm desires to remain on the register. The name of any person or firm failing to reply and give the information requested within a time limit specified will be removed from the register, and the names so removed published in the Official Gazette. Any name so removed may be reinstated, either on the register of attorneys or the register of agents, as may be appropriate. § 1:348. Suspension or disbarment proceedings. Except as otherwise provided, proceedings for suspension, disbarment, or exclusion from practice are before a Commissioner. (a) Investigating and prosecuting officer. The duties of investigation, preparing charges, collecting and presenting testimony, and presenting a case for suspension, exclusion from practice or disbarment shall be performed by the Solicitor of the Patent Office or, at his direction, by a designated law examiner or other person, and neither the Solicitor nor such law examiner or other person shall participate in any manner in the decision of the case. If, upon investigation of a complaint or other information concerning an attorney or agent, it shall appear to the Solicitor that grounds for suspension, exclusion from practice, or disbarment exist, he shall prepare and forward the necessary notice and statement. (b) Notice of proceedings. Proceedings for suspension or disbarment shall be instituted by the Solicitor by mailing to, or otherwise serving on, the respondent a notice of such proceeding with a statement of the charges against him, at the same time forwarding a copy to the Commissioner. It shall be the duty of the respondent to answer the charges as specified in paragraph (c) of this section. (c) Answer. The respondent's answer shall be filed in writing with the Commissioner within thirty days from the time the notice is served on the respondent, or within such extension of time as may be allowed by the Commissioner for good cause shown. The answer shall be under oath. Failure to answer within the time allowed will be taken as an admission of the charges. The respondent in his answer should specifically admit or deny every material allegation of fact in the statement of charges; every allegation not denied shall be deemed admitted, unless the respondent states that he has no knowledge thereof sufficient to form a belief, which statement shall be considered a denial. Any special matters of defense shall be stated affirmatively in the answer. False statements in the answer may be made the basis of supplemental charges. (d) Hearing. (1) Unless the Commissioner finds the answer sufficient to dispose of the charges, he will set the case for hearing before him, notifying the respondent and the Solicitor of the place, day and time of commencement of the hearing. Evidence as to the matters in issue may be submitted at the hearing, the testimony of witnesses being presented orally, under oath and reported. (2) The hearing may be advanced and continued by the Commissioner, as far as may be deemed convenient and proper. (3) Depositions for use at the hearing in lieu of personal appearance of witnesses may be taken by either the Solicitor or the respondent on application to and with the written consent of the Commissioner within such times and under such conditions as the Commissioner may prescribe. (e) Hearing officer. The Commissioner may, in his discretion, delegate the conduct of the hearing to a hearing or trial examiner who shall be the presiding officer and who shall make a recommended decision. (f) Administrative Procedure Act. Proceedings shall be governed, in matters not specifically set forth herein, by the provisions of the Administrative Procedure Act, 60 Stat. 237; 5 U.S.C. 1001-1011, which may be applicable. AMENDMENT OF RULES § 1.351. Amendments to rules will be published. All amendments to the regulations in this part will be published in the O ficial Gazette and in the Federal Register. § 1.352. Publication of notice of proposed amendments. (a) Whenever required by law, and in other cases whenever practicable, notice of proposed amendments to the regulations in this part will be published in the Official Gazette and in the Federal Register. If not published with the notice, copies of the text will be furnished to any person requesting the same. All comments, suggestions, and briefs received within a time specified in the notice will be considered before adoption of the proposed amendments which may be modified in the light thereof. (b) Oral hearings may be held at the discretion of the Commission. 3.11. Oath to accompany application for patent. 3.12. Oath to accompany application for patent, by an administrator (or executor). 3.13. Oath not accompanying application. 3.14. Supplemental oath for amendment presenting claims for matter disclosed but not originally claimed. 3.16. Combined petition, oath and specification (single signature form); sole inventor. 3.17. Oath in division or continuing application. 3.21. Design patent application; petition. 3.28. Reissue application, petition; by the inventor. 3.36. Power of attorney or authorization of agent, not accompanying application. 3.37. Revocation of power of attorney or authorization of agent. 3.39. Amendment. 3.46. Interference; disclaimer during interference. AUTHORITY: §§ 3.1 to 3.61 issued under 35 U.S.C. 6. NOTE: The following forms illustrate the manner of preparing various papers to be filled in the Patent Office. Applicants and other parties will find their business facilitated by following them. In special situations such alterations as the circumstances may render necessary may be made provided they do not depart from the requirements of Part 1 of this chapter or of the statute. Before using any form the pertinent sections of Part 1 and sections of the statute should be studied carefully. §3.1. Petition for patent; by a sole inventor. a citizen of State -------- the United States and a resident of of (or subject, etc.), whose post-office address is ---, prays that letters patent may be granted to him for the improvement in set forth in the following specification. (The specification and oath follow the petition.) § 3.2. Petition for patent; by a sole inventor, for himself and assignee. To the Commissioner of Patents: United States and a resident of ----- -3 ------ a citizen of the State of --(or subject, etc.), whose post-office address prays that letters patent may be granted --, a citizen of the United is to himself and States and a resident of --------, State of and of (or subjects, etc.), whose post-office addresses are, respectively, and pray that letters patent may be granted to them, as joint inventors, for the improvement in set forth in the following specification. (The specification and oath follow the petition.) that (2) and resident__ of (3) verily believe__ (4) to be the original, first, and (5) inventor of the improvement in (6) ___ described and claimed in the annexed specification; that (7) do.. not know and do__ not believe that the same was ever known or used before (8) ___ invention thereof, or patented or described in any printed publication in any country before (8) ----- invention thereof, or more than one year prior to this application, or in public use or on sale in the United States more than one year prior to this application; that said invention has not been patented in any country foreign to the United States on an application filed by (9) or (8) legal representatives or assigns more than twelve months prior to this application; and that no application for patent on said invention has been filed by (9) or (8) representatives or assigns in any country foreign to the United States, except as follows: (10) 19__. Sworn to and subscribed before me this (5) "Sole" in the case of a sole inventor; "Joint" in the case of joint inventors (6) Title of the invention. of [SEAL] (7) "He" in the case of a sole inventor; "they" in the case of joint inventors. (8) "His" in the case of a sole inventor; "their" in the case of joint inventors. (9) "Him" in the case of a sole inventor; "them" in the case of joint inventors. (10) If no application has been filled in a foreign country strike out the words "except as follows:". If one or more applications have been filed in foreign countries, the first application and each application more than twelve months old (six months in design cases) must be recited. The country and date of filing the foreign application must be given and the number of the application or other identifying data may also be stated. The claim for priority under 35 US.C. 119 (see § 1.55) may be made here. The following examples illustrate various situations. (a) Only one prior foreign application filed: state "in (country) on (date)." If the right of priority is also claimed add "the right of priority of which application is claimed." (b) More than one prior foreign application: state "in (country) on (date) and in other countries on subsequent dates." The country and date do not need to be recited except for the first filed application and each application more than twelve months old (six months in design cases). (11) All oaths must bear the signature of the afflant. (12) See § 1.66 for officers who may administer oaths, and for oaths executed in foreign countries. §3.12. Oath to accompany application for patent, by an administrator (or executor). the United States and resident of that he verily believes the said C D to be the original, first and sole inventor of the improvement in described and claimed in the foregoing specification; that he does not know and does not believe that the same was ever known or used before the invention thereof by the said C D or patented or described in any printed publication in any country before the said invention thereof, or more than one year prior to this application, or in public use or on sale in the United States more than one year prior to this application; that said invention has not been patented in any country foreign to the United States on an application filed by the said C day being sworn (or affirmed), deposes and says that he is a citizen of the United States of America and resident of that on -- 19____, he filed application for patent Serial No. in the United States Patent Office, that he verily believes himself to be the original, first and sole inventor of the improvement in described and claimed in the specification of said application for patent; that he does not know and does not believe that the same was ever known or used before his invention thereof, or patented or described in any printed publication in any country before his invention thereof, or more than one year prior to the date of said application, or in public use or on sale in the United States more than one year prior to the date of said application; that said invention has not been patented before the date of said application in any country foreign to the United States on an application filed by him or his legal representatives or assigns more than twelve months prior to the date of said application; and that no application for patent on said invention has been filed by him or his representatives or assigns in any country foreign to the United States, except as follows: letters patent for an improvement in Serial No. was filed in the United States Patent Office on or about the --- day of 19____, being duly sworn (or affirmed) deposes and says that the subject matter of the foregoing (1) amendment was part of his invention, was invented before he filed his original application, above identified, for such invention; that he does not know and does not believe that the same was ever known or used before his invention thereof, or patented or |