402.01 Limited Recognition in Patent Matters [R-10.2019]

37 CFR 11.9  Limited recognition in patent matters.

  • (a) Any individual not registered under §11.6 may, upon a showing of circumstances which 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 while individuals who have passed the examination or for whom the examination has been waived are awaiting registration to practice before the Office in patent matters.
  • (b) A nonimmigrant alien residing in the United States and fulfilling the provisions of §11.7(a) and (b) may be granted limited recognition if the nonimmigrant alien is authorized by the United States Government to be employed or trained in the United States in the capacity of representing a patent applicant by presenting or prosecuting a patent application. Limited recognition shall be granted for a period consistent with the terms of authorized employment or training. Limited recognition shall not be granted or extended to a non-United States citizen residing abroad. If granted, limited recognition shall automatically expire upon the nonimmigrant alien’s departure from 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.

  • (a) Only practitioners who are registered under § 11.6 or individuals given limited recognition under § 11.9(a) or (b) are permitted to prosecute patent applications of others before the Office; or represent others in any proceedings before the Office.

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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.