MPEP § 402.01 — Limited Recognition in Patent Matters (Annotated Rules)
§402.01 Limited Recognition in Patent Matters
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
Limited Recognition Practitioners
(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.
(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.
(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.
(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.
(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.
(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.
(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.
(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. *****
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.
Article 19 Amendment Scope
(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.
Correspondence Address Requirements
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.
International Design Examination
See MPEP § 1807 for representation in international applications (PCT) and MPEP § 2911 for representation in international design applications.
Citations
| Primary topic | Citation |
|---|---|
| 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 Scope | 37 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 Practitioners | 37 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 Practitioners | 37 CFR § 11.9(a) |
| Limited Recognition Practitioners | 37 CFR § 41.5(a) |
| International Design Examination | MPEP § 1807 |
| International Design Examination | MPEP § 2911 |
| Article 19 Amendment Scope | PCT 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.
Official MPEP § 402.01 — Limited Recognition in Patent Matters
Source: USPTO402.01 Limited Recognition in Patent Matters [R-01.2024]
37 CFR 11.9 Limited recognition in patent matters.
- (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.
- (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.
- (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.
*****
37 CFR 11.10 Restrictions on practice in patent matters; former and current Office employees; government employees.
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.
If a request for limited recognition under 37 CFR 11.9 accompanies the application, the Office of Patent Application Processing will forward the file to the Director of the Office of Enrollment and Discipline.
See MPEP § 1807 for representation in international applications (PCT) and MPEP § 2911 for representation in international design applications.