MPEP § 402.01 — Limited Recognition in Patent Matters (Annotated Rules)

§402.01 Limited Recognition in Patent Matters

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 402.01, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Limited Recognition in Patent Matters

This section addresses Limited Recognition in Patent Matters. Primary authority: 37 CFR 11.10(a), 37 CFR 11.1, and 37 CFR 11.5(b)(1). Contains: 2 permissions.

Key Rules

Topic

Limited Recognition Practitioners

9 rules
StatutoryPermittedAlways
[mpep-402-01-377ff580503ea328fe3fe9f5]
Unregistered Practitioners May Prosecute Specific Patents With OED Director’s Approval
Note:
An unregistered individual can prosecute a patent application as an attorney or agent if approved by the OED Director, provided they meet moral character and reputation requirements.

(a) Any individual not registered under § 11.6 may, upon a showing of circumstances that render it necessary or justifiable and that the individual is of good moral character and reputation, be given limited recognition by the OED Director to prosecute as attorney or agent a specified patent application or specified patent applications. Limited recognition under this paragraph shall not extend further than the application or applications specified. Limited recognition shall not be granted to individuals who have passed the examination or to those for whom the examination has been waived while such individual’s application for registration to practice before the Office in patent matters is pending.

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryProhibitedAlways
[mpep-402-01-197bf82f2f0c0ebd71318afe]
Limited Recognition for Patent Practitioners
Note:
Individuals not registered may be given limited recognition to prosecute specific patent applications, but this does not extend beyond the specified cases and is not granted to those who have passed or are exempt from the examination while their registration application is pending.

(a) Any individual not registered under § 11.6 may, upon a showing of circumstances that render it necessary or justifiable and that the individual is of good moral character and reputation, be given limited recognition by the OED Director to prosecute as attorney or agent a specified patent application or specified patent applications. Limited recognition under this paragraph shall not extend further than the application or applications specified. Limited recognition shall not be granted to individuals who have passed the examination or to those for whom the examination has been waived while such individual’s application for registration to practice before the Office in patent matters is pending.

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryPermittedAlways
[mpep-402-01-365aee32e6fa56ffe7b0db6d]
Non-Registered Practitioners May Represent Patent Applicants
Note:
Individuals ineligible for registration due to immigration status may practice before the Office in patent matters if authorized by the U.S. Government and meeting additional requirements.

(b) An individual ineligible to become registered under § 11.6 because of their immigration status may be granted limited recognition to practice before the Office in patent matters, provided the U.S. Government authorizes employment or training in the United States for the individual to represent a patent applicant by preparing or prosecuting a patent application, and the individual fulfills the provisions of paragraphs (d) and (e) of this section. Limited recognition shall be granted only for a period consistent with the terms of the immigration status and employment or training authorized. Limited recognition is subject to United States immigration rules, statutes, laws, and regulations. If granted, limited recognition shall automatically terminate if the individual ceases to: lawfully reside in the United States, maintain authorized employment or training, or maintain their immigration status. Limited recognition shall not be granted or extended to a non-U.S. citizen residing outside the United States.

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryRequiredAlways
[mpep-402-01-841631688dc2661b613fba88]
Limited Recognition Period Must Match Immigration Status
Note:
The period of limited recognition for practicing before the Office in patent matters must align with the individual's authorized immigration status and employment or training.

(b) An individual ineligible to become registered under § 11.6 because of their immigration status may be granted limited recognition to practice before the Office in patent matters, provided the U.S. Government authorizes employment or training in the United States for the individual to represent a patent applicant by preparing or prosecuting a patent application, and the individual fulfills the provisions of paragraphs (d) and (e) of this section. Limited recognition shall be granted only for a period consistent with the terms of the immigration status and employment or training authorized. Limited recognition is subject to United States immigration rules, statutes, laws, and regulations. If granted, limited recognition shall automatically terminate if the individual ceases to: lawfully reside in the United States, maintain authorized employment or training, or maintain their immigration status. Limited recognition shall not be granted or extended to a non-U.S. citizen residing outside the United States.

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryInformativeAlways
[mpep-402-01-13764e4f7e9f8c844ee84a02]
Limited Recognition Subject to Immigration Laws
Note:
Individuals granted limited recognition to practice patent matters must comply with U.S. immigration rules, statutes, and regulations.

(b) An individual ineligible to become registered under § 11.6 because of their immigration status may be granted limited recognition to practice before the Office in patent matters, provided the U.S. Government authorizes employment or training in the United States for the individual to represent a patent applicant by preparing or prosecuting a patent application, and the individual fulfills the provisions of paragraphs (d) and (e) of this section. Limited recognition shall be granted only for a period consistent with the terms of the immigration status and employment or training authorized. Limited recognition is subject to United States immigration rules, statutes, laws, and regulations. If granted, limited recognition shall automatically terminate if the individual ceases to: lawfully reside in the United States, maintain authorized employment or training, or maintain their immigration status. Limited recognition shall not be granted or extended to a non-U.S. citizen residing outside the United States.

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryRequiredAlways
[mpep-402-01-cd583c3061647436c7c00b44]
Limited Recognition Terminates on Immigration Status Change
Note:
If an individual granted limited recognition to practice before the Office in patent matters ceases to lawfully reside, maintain authorized employment or training, or retain their immigration status, their limited recognition will automatically terminate.

(b) An individual ineligible to become registered under § 11.6 because of their immigration status may be granted limited recognition to practice before the Office in patent matters, provided the U.S. Government authorizes employment or training in the United States for the individual to represent a patent applicant by preparing or prosecuting a patent application, and the individual fulfills the provisions of paragraphs (d) and (e) of this section. Limited recognition shall be granted only for a period consistent with the terms of the immigration status and employment or training authorized. Limited recognition is subject to United States immigration rules, statutes, laws, and regulations. If granted, limited recognition shall automatically terminate if the individual ceases to: lawfully reside in the United States, maintain authorized employment or training, or maintain their immigration status. Limited recognition shall not be granted or extended to a non-U.S. citizen residing outside the United States.

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryProhibitedAlways
[mpep-402-01-0124b78c70b5d8947312439a]
Limited Recognition Not Granted to Non-U.S. Citizens Residing Outside U.S.
Note:
This rule prohibits granting limited recognition to non-U.S. citizens who reside outside the United States for practicing before the Office in patent matters.

(b) An individual ineligible to become registered under § 11.6 because of their immigration status may be granted limited recognition to practice before the Office in patent matters, provided the U.S. Government authorizes employment or training in the United States for the individual to represent a patent applicant by preparing or prosecuting a patent application, and the individual fulfills the provisions of paragraphs (d) and (e) of this section. Limited recognition shall be granted only for a period consistent with the terms of the immigration status and employment or training authorized. Limited recognition is subject to United States immigration rules, statutes, laws, and regulations. If granted, limited recognition shall automatically terminate if the individual ceases to: lawfully reside in the United States, maintain authorized employment or training, or maintain their immigration status. Limited recognition shall not be granted or extended to a non-U.S. citizen residing outside the United States.

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryPermittedAlways
[mpep-402-01-8d6094ae26a2d0c4cb49e6e5]
Permitted Patent Practitioners Must Be Registered
Note:
Only registered practitioners, those given limited recognition under specific sections, and pro hac vice admitted individuals can represent others in patent matters before the Office.

(a) Only practitioners registered under § 11.6; individuals given limited recognition under § 11.9(a) or (b) or § 11.16; or individuals admitted pro hac vice as provided in § 41.5(a) or 42.10(c) of this chapter are permitted to represent others before the Office in patent matters. *****

Jump to MPEP Source · 37 CFR 11.6Limited Recognition PractitionersPractitioner Recognition and Conduct
StatutoryPermittedAlways
[mpep-402-01-0ce9302d2d8a06ec7a8d0ff6]
Limited Recognition Practitioners May Prosecute Patents
Note:
Only registered practitioners and those granted limited recognition can prosecute patent applications on behalf of others before the Office.

Only registered practitioners and individuals granted limited recognition are permitted to prosecute patent applications of others before the Office or represent others in patent proceedings before the Office. See 37 CFR 11.10(a). Persons granted limited recognition are considered practitioners under 37 CFR 11.1 and thus permitted to perform the same patent prosecution functions of registered patent agents and registered patent attorneys when prosecuting a specified patent application or specified patent applications. See 37 CFR 11.5(b)(1). This includes the filing of (A) a power of attorney (37 CFR 1.32(b)(4)), (B) a document granting access to an application (37 CFR 1.14(c)), (C) a change of correspondence address (37 CFR 1.33(a)), (D) a terminal disclaimer (37 CFR 1.321(b)(1)), or (E) a request for an express abandonment (37 CFR 1.138(b)). However, persons granted limited recognition are still subject to the restrictions expressed in their grant, including temporal, employer, and visa limitations.

Jump to MPEP Source · 37 CFR 11.10(a)Limited Recognition PractitionersPractitioner Recognition and ConductCorrespondence Address Requirements
Topic

Article 19 Amendment Scope

1 rules
StatutoryPermittedAlways
[mpep-402-01-e04d2e299ff9247ec25bcb8f]
Individual Not Registered May Prosecute Before Specific Authorities Only
Note:
An individual not registered under §11.6 may prosecute an international patent application before the United States International Searching and Preliminary Examining Authorities only, provided they have the right to practice before the national office or the International Bureau.

(c) An individual not registered under § 11.6 may, if appointed by an applicant, prosecute an international patent application only before the United States International Searching Authority and the United States International Preliminary Examining Authority, provided that the individual has the right to practice before the national office with which the international application is filed as provided in PCT Art. 49, Rule 90 and § 1.455 of this subchapter, or before the International Bureau when the USPTO is acting as Receiving Office pursuant to PCT Rules 83.1bis and 90.1.

Jump to MPEP Source · 37 CFR 11.6Article 19 Amendment ScopeNationals and ResidentsReceiving Office (RO/US)
Topic

Correspondence Address Requirements

1 rules
StatutoryPermittedAlways
[mpep-402-01-05a5bd16a229d4d12be21d7e]
Limited Recognition Practitioners Can Prosecute Patent Applications
Note:
Persons granted limited recognition are permitted to perform the same patent prosecution functions as registered practitioners when prosecuting specified patent applications, subject to certain restrictions.

Only registered practitioners and individuals granted limited recognition are permitted to prosecute patent applications of others before the Office or represent others in patent proceedings before the Office. See 37 CFR 11.10(a). Persons granted limited recognition are considered practitioners under 37 CFR 11.1 and thus permitted to perform the same patent prosecution functions of registered patent agents and registered patent attorneys when prosecuting a specified patent application or specified patent applications. See 37 CFR 11.5(b)(1). This includes the filing of (A) a power of attorney (37 CFR 1.32(b)(4)), (B) a document granting access to an application (37 CFR 1.14(c)), (C) a change of correspondence address (37 CFR 1.33(a)), (D) a terminal disclaimer (37 CFR 1.321(b)(1)), or (E) a request for an express abandonment (37 CFR 1.138(b)). However, persons granted limited recognition are still subject to the restrictions expressed in their grant, including temporal, employer, and visa limitations.

Jump to MPEP Source · 37 CFR 11.10(a)Correspondence Address RequirementsCorrespondence with the OfficeLimited Recognition Practitioners
Topic

International Design Examination

1 rules
StatutoryInformativeAlways
[mpep-402-01-83e89c0939b4b36793ede43e]
Representation Required for International Design Applications
Note:
MPEP §2911 outlines the requirements for representation in international design applications.

See MPEP § 1807 for representation in international applications (PCT) and MPEP § 2911 for representation in international design applications.

Jump to MPEP Source · 37 CFR 11.10International Design ExaminationInternational Design ApplicationsPatent Cooperation Treaty

Citations

Primary topicCitation
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 1.138(b)
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 1.14(c)
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 1.32(b)(4)
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 1.321(b)(1)
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 1.33(a)
Article 19 Amendment Scope37 CFR § 1.455
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 11.1
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 11.10(a)
Limited Recognition Practitioners37 CFR § 11.16
Correspondence Address Requirements
Limited Recognition Practitioners
37 CFR § 11.5(b)(1)
Article 19 Amendment Scope
Limited Recognition Practitioners
37 CFR § 11.6
37 CFR § 11.9
Limited Recognition Practitioners37 CFR § 11.9(a)
Limited Recognition Practitioners37 CFR § 41.5(a)
International Design ExaminationMPEP § 1807
International Design ExaminationMPEP § 2911
Article 19 Amendment ScopePCT Rules 83.1

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2025-12-31