What is a waiver?

Paragraph 2 of Chapter 6 to the Core Regulatory Framework, together with the Waivers Standard Operating Procedure, sets out the basis upon which IPReg will grant a regulated person (an attorney or a firm), a waiver from the normal requirement to comply with a particular regualatory requirement.  IPReg requires all regulated persons to comply with all of IPReg's regulatory requirements as these are in place to protect consumers and to maintain confidence in the patent and trade mark professions.  However, where for a short period of time a regulated person is unable to comply with a requirement and is able to demonstrate that there would be miminal risk to consumers in continuing to practise whilst not in compliance, IPReg may consider waiving the requirement.  In most cases, this will be for a time-limited period and conditions may apply.

Examples of waivers include:

• a waiver from the requirement to comply with CPD or continuing competence requirements because of a lenghty period of inactive practice such as parental leave
• a waiver from the requirement to hold Professional Indemnity Insurance with a participating insurer.  In this case, the regulated person will have applied successfully to the PII Sandbox
• a waiver in relation to historic qualifications as set out in Note 3 of Schedule 3 to the Examination and Admission of Individuals to the Register Rules
• a waiver from the requirement to have at least one UK registered attorney as a manager or partner of a registered firm.  For example, to be on the patent attorney register, at least one of the firm's managers or partners must be a UK registered patent attorney.  IPReg may waive that requirement in certain circumstances.

There are some requirements that cannot be waived such as the fundamental requirement of all regulated persons to comply with IPReg's Overarching Principles which require them to act honestly, with independence and integrity.  IPReg cannot waive any of its rules which reflects a statutory requirement and it cannot waive the prohibition against acting where the regulated person's own interests conflict with those of their client.

There are a number of criteria a regulated person must meet in order to apply for a waiver from any of IPReg's regulatory arrangements, and a number of factors that IPReg will take into account.  In some cases, an application will be determined by the IPReg Board or the Patent Regulation Board or Trade Mark Regulation Board as appropriate. 

In most categories of cases, IPReg will publish information about waivers that have been granted.  IPReg will not publish information about waivers granted in relation to continuing competence or recognition of historic qualifications.  Instead, in its Annual Return IPReg will publish the number of applications for waivers granted undert these categories.  Where a waiver has been granted, other than in relation to continuing competence or historic qualifications, a notice will be attached to the regulated person's entry on the online register.  Links to entries to the online register are published below:

1. Haley Giuliano International LLP

2. Scintilla Intellectual Property Limited