MPEP § 402.09 — International Application (Annotated Rules)

§402.09 International Application

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

This page consolidates and annotates all enforceable requirements under MPEP § 402.09, 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.

International Application

This section addresses International Application.

Key Rules

Topic

Limited Recognition Practitioners

7 rules
StatutoryPermittedAlways
[mpep-402-09-e8d1a9f4f7e5becb67e2b8b3]
Unregistered Individuals May Prosecute Patent Applications Under Certain Circumstances
Note:
An unregistered individual can be given limited recognition by the OED Director to prosecute patent applications if they demonstrate necessity, justification, good moral character, and reputation. This limited recognition does not extend beyond the specified application(s) and is not granted to those who have passed or are pending examination.

(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-402-09-741c480fc4b5f59f8534223a]
Limited Recognition for Patent Practitioners
Note:
Individuals not registered may be given limited recognition to prosecute specific patent applications, but not if they have passed the examination or are pending registration.

(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-402-09-6299df59df67e67d5b21add1]
Non-Registered Practitioner May Represent Patent Applicants
Note:
A non-U.S. citizen ineligible for registration may be granted limited recognition to practice before the Office in patent matters if authorized by the U.S. Government and fulfilling certain conditions.

(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-402-09-6ede8969242f5f221496bad9]
Limited Recognition Validity Consistent with Immigration Status
Note:
The period of limited recognition for practicing before the Office in patent matters is consistent 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-402-09-a2c5552466a55ed1adcc40cf]
Limited Recognition Subject to U.S. Immigration Laws
Note:
Individuals granted limited recognition to practice before the Office in 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-402-09-165a428ecb419c450e061a9a]
Limited Recognition Terminates on Status Change
Note:
If an individual granted limited recognition ceases to lawfully reside in the U.S., maintain authorized employment, 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-402-09-51d105b68962f2edf03c8db4]
Non-U.S. Citizens Residing Outside U.S. Cannot Get Limited Recognition
Note:
This rule prohibits granting limited recognition to non-U.S. citizens who are residing 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
Topic

Article 19 Amendment Scope

2 rules
StatutoryPermittedAlways
[mpep-402-09-ea5a61265fe998b44bdd80a2]
Right to Prosecute International Patent Application
Note:
An individual not registered under §11.6 may prosecute an international patent application before the United States International Searching Authority and the United States International Preliminary Examining Authority if appointed by an applicant and has the right to practice before the national office with which the international application is filed.

(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 83.1 bis and 90.1.

Jump to MPEP Source · 37 CFR 11.6Article 19 Amendment ScopeNationals and ResidentsReceiving Office (RO/US)
StatutoryRequiredAlways
[mpep-402-09-e090f2d19c2ea9cda88e4a1a]
Agent Appointment Must Be Done Through Request Form, Demand Form, or Power of Attorney
Note:
Applicants must appoint an agent by signing the request form, demand form, or submitting a separate power of attorney to either the United States Receiving Office or the International Bureau.

(b) Appointment of an agent, attorney or common representative (PCT Rule 4.8) must be effected either in the Request form, signed by applicant, in the Demand form, signed by applicant, or in a separate power of attorney submitted either to the United States Receiving Office or to the International Bureau.

Jump to MPEP Source · 37 CFR 1.455Article 19 Amendment ScopeNationals and ResidentsReceiving Office (RO/US)
Topic

Nationals and Residents

2 rules
StatutoryPermittedAlways
[mpep-402-09-dafe53582d34cca806d917e8]
Attorney or Agent Representation Required for International Applications
Note:
Applicants of international applications must be represented by attorneys or agents registered to practice before the USPTO, or an appointed common representative.

(a) Applicants of international applications may be represented by attorneys or agents registered to practice before the United States Patent and Trademark Office or by an applicant appointed as a common representative (PCT Art. 49, Rules 4.8 and 90 and § 11.9). If applicants have not appointed an attorney or agent or one of the applicants to represent them, and there is more than one applicant, the applicant first named in the request and who is entitled to file in the U.S. Receiving Office shall be considered to be the common representative of all the applicants. An attorney or agent having the right to practice before a national office with which an international application is filed and for which the United States is an International Searching Authority or International Preliminary Examining Authority may be appointed to represent the applicants in the international application before that authority. An attorney or agent may appoint an associate attorney or agent who shall also then be of record (PCT Rule 90.1(d)). The appointment of an attorney or agent, or of a common representative, revokes any earlier appointment unless otherwise indicated (PCT Rule 90.6(b) and (c)).

Jump to MPEP Source · 37 CFR 11.9Nationals and ResidentsSignature RequirementsLimited Recognition Practitioners
StatutoryPermittedAlways
[mpep-402-09-ae8b3979792bb7a9562747a6]
Attorney or Agent May Represent Applicants Before International Authority
Note:
An attorney or agent registered to practice before the U.S. Patent and Trademark Office may be appointed to represent applicants in an international application filed with an authority where the United States is an International Searching Authority or International Preliminary Examining Authority.

(a) Applicants of international applications may be represented by attorneys or agents registered to practice before the United States Patent and Trademark Office or by an applicant appointed as a common representative (PCT Art. 49, Rules 4.8 and 90 and § 11.9). If applicants have not appointed an attorney or agent or one of the applicants to represent them, and there is more than one applicant, the applicant first named in the request and who is entitled to file in the U.S. Receiving Office shall be considered to be the common representative of all the applicants. An attorney or agent having the right to practice before a national office with which an international application is filed and for which the United States is an International Searching Authority or International Preliminary Examining Authority may be appointed to represent the applicants in the international application before that authority. An attorney or agent may appoint an associate attorney or agent who shall also then be of record (PCT Rule 90.1(d)). The appointment of an attorney or agent, or of a common representative, revokes any earlier appointment unless otherwise indicated (PCT Rule 90.6(b) and (c)).

Jump to MPEP Source · 37 CFR 11.9Nationals and ResidentsReceiving Office (RO/US)International Searching Authority (ISA)
Topic

Signature Requirements

2 rules
StatutoryRequiredAlways
[mpep-402-09-7a04d39c29e1318c2f03efa4]
Attorney May Appoint Associate Who Is of Record
Note:
An attorney may appoint an associate who will also be recorded as a representative for the international application.

(a) Applicants of international applications may be represented by attorneys or agents registered to practice before the United States Patent and Trademark Office or by an applicant appointed as a common representative (PCT Art. 49, Rules 4.8 and 90 and § 11.9). If applicants have not appointed an attorney or agent or one of the applicants to represent them, and there is more than one applicant, the applicant first named in the request and who is entitled to file in the U.S. Receiving Office shall be considered to be the common representative of all the applicants. An attorney or agent having the right to practice before a national office with which an international application is filed and for which the United States is an International Searching Authority or International Preliminary Examining Authority may be appointed to represent the applicants in the international application before that authority. An attorney or agent may appoint an associate attorney or agent who shall also then be of record (PCT Rule 90.1(d)). The appointment of an attorney or agent, or of a common representative, revokes any earlier appointment unless otherwise indicated (PCT Rule 90.6(b) and (c)).

Jump to MPEP Source · 37 CFR 11.9Signature RequirementsPatent Cooperation TreatyNationals and Residents
StatutoryInformativeAlways
[mpep-402-09-de3b07c683d924a3eacbfb36]
Earlier Appointment Revoked Upon New Representation
Note:
An attorney, agent, or common representative appointed in an international application revokes any previous appointment unless otherwise specified.

(a) Applicants of international applications may be represented by attorneys or agents registered to practice before the United States Patent and Trademark Office or by an applicant appointed as a common representative (PCT Art. 49, Rules 4.8 and 90 and § 11.9). If applicants have not appointed an attorney or agent or one of the applicants to represent them, and there is more than one applicant, the applicant first named in the request and who is entitled to file in the U.S. Receiving Office shall be considered to be the common representative of all the applicants. An attorney or agent having the right to practice before a national office with which an international application is filed and for which the United States is an International Searching Authority or International Preliminary Examining Authority may be appointed to represent the applicants in the international application before that authority. An attorney or agent may appoint an associate attorney or agent who shall also then be of record (PCT Rule 90.1(d)). The appointment of an attorney or agent, or of a common representative, revokes any earlier appointment unless otherwise indicated (PCT Rule 90.6(b) and (c)).

Jump to MPEP Source · 37 CFR 11.9Signature RequirementsPatent Cooperation TreatyNationals and Residents
Topic

Receiving Office (RO/US)

1 rules
StatutoryRequiredAlways
[mpep-402-09-2f6aa76cd6d6463194ad9a57]
First Named Applicant Is Common Representative If No Attorney or Agent
Note:
If no attorney or agent is appointed and there are multiple applicants, the first named applicant who can file in the U.S. Receiving Office will represent all applicants.

(a) Applicants of international applications may be represented by attorneys or agents registered to practice before the United States Patent and Trademark Office or by an applicant appointed as a common representative (PCT Art. 49, Rules 4.8 and 90 and § 11.9). If applicants have not appointed an attorney or agent or one of the applicants to represent them, and there is more than one applicant, the applicant first named in the request and who is entitled to file in the U.S. Receiving Office shall be considered to be the common representative of all the applicants. An attorney or agent having the right to practice before a national office with which an international application is filed and for which the United States is an International Searching Authority or International Preliminary Examining Authority may be appointed to represent the applicants in the international application before that authority. An attorney or agent may appoint an associate attorney or agent who shall also then be of record (PCT Rule 90.1(d)). The appointment of an attorney or agent, or of a common representative, revokes any earlier appointment unless otherwise indicated (PCT Rule 90.6(b) and (c)).

Jump to MPEP Source · 37 CFR 11.9Receiving Office (RO/US)Request Content and FormSignature Requirements

Citations

Primary topicCitation
Article 19 Amendment Scope37 CFR § 1.455
Article 19 Amendment Scope
Limited Recognition Practitioners
37 CFR § 11.6
Nationals and Residents
Receiving Office (RO/US)
Signature Requirements
37 CFR § 11.9
MPEP § 1807
section 108 of the Administrative Instructions
Article 19 Amendment ScopePCT Rule 4.8
Article 19 Amendment ScopePCT Rules 83.1
Nationals and Residents
Receiving Office (RO/US)
Signature Requirements
PCT Rule 90.6(b)

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