justicedao/patent-legal-corpus huggingface dataset:
37 CFR 11.36 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Answer to complaint.

§ 11.36 Answer to complaint. (a) Time for answer. An answer to a complaint shall be filed within the time set in the complaint but in no event shall that time be less than thirty days from the date the complaint is filed. (b) With whom filed. The answer shall be filed in writing with the hearing officer at the address specified in the complaint. The hearing officer may extend the time for filing an answer once for a period of no more than thirty days upon a showing of good cause, provided a motion requesting an extension of time is filed within thirty days after the date the complaint is served on respondent. A copy of the answer, and any exhibits or attachments thereto, shall be served on the OED Director. (c) Content. The respondent shall include in the answer a statement of the facts that constitute the grounds of defense and shall specifically admit or deny each allegation set forth in the complaint. The respondent shall not deny a material allegation in the complaint that the respondent knows to be true or state that respondent is without sufficient information to form a belief as to the truth of an allegation, when in fact the respondent possesses that information. The respondent shall also state affirmatively in the answer special matters of defense and any intent to raise a disability as a mitigating factor. If respondent intends to raise a special matter of defense or disability, the answer shall specify the defense or disability, its nexus to the misconduct, and the reason it provides a defense or mitigation. A respondent who fails to do so cannot rely on a special matter of defense or disability. The hearing officer may, for good cause, allow the respondent to file the statement late, grant additional hearing preparation time, or make other appropriate orders. (d) Failure to deny allegations in complaint. Every allegation in the complaint that is not denied by a respondent in the answer shall be deemed to be admitted and may be considered proven. The hearing officer at any hearing need receive no further evidence with respect to that allegation. (e) Default judgment. Failure to timely file an answer will constitute an admission of the allegations in the complaint and may result in entry of default judgment.
37 CFR 11.38 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Contested case.

§ 11.38 Contested case. Upon the filing of an answer by the respondent, a disciplinary proceeding shall be regarded as a contested case within the meaning of 35 U.S.C. 24. Evidence obtained by a subpoena issued under 35 U.S.C. 24 shall not be admitted into the record or considered unless leave to proceed under 35 U.S.C. 24 was previously authorized by the hearing officer.
37 CFR 11.3 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Suspension of rules.

§ 11.3 Suspension of rules. (a) In an extraordinary situation, when justice requires, any requirement of the regulations of this Part which is not a requirement of statute may be suspended or waived by the USPTO Director or the designee of the USPTO Director, sua sponte, or on petition by any party, including the OED Director or the OED Director's representative, subject to such other requirements as may be imposed. (b) No petition under this section shall stay a disciplinary proceeding unless ordered by the USPTO Director or a hearing officer. [73 FR 47688, Aug. 14, 2008]
37 CFR 11.401 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Truthfulness in statements to others.

§ 11.401 Truthfulness in statements to others. In the course of representing a client, a practitioner shall not knowingly: (a) Make a false statement of material fact or law to a third person; or (b) Fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by § 11.106.
37 CFR 11.402 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Communication with person represented by a practitioner.

§ 11.402 Communication with person represented by a practitioner. (a) In representing a client, a practitioner shall not communicate about the subject of the representation with a person the practitioner knows to be represented by another practitioner in the matter, unless the practitioner has the consent of the other practitioner or is authorized to do so by law, rule, or a court order. (b) This section does not prohibit communication by a practitioner with government officials who are otherwise represented by counsel and who have the authority to redress the grievances of the practitioner's client, provided that, if the communication relates to a matter for which the government official is represented, then prior to the communication the practitioner must disclose to such government official both the practitioner's identity and the fact that the practitioner represents a party with a claim against the government.
37 CFR 11.403 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Dealing with unrepresented person.

§ 11.403 Dealing with unrepresented person. In dealing on behalf of a client with a person who is not represented by a practitioner, a practitioner shall not state or imply that the practitioner is disinterested. When the practitioner knows or reasonably should know that the unrepresented person misunderstands the practitioner's role in the matter, the practitioner shall make reasonable efforts to correct the misunderstanding. The practitioner shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the practitioner knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client.
37 CFR 11.404 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Respect for rights of third persons.

§ 11.404 Respect for rights of third persons. (a) In representing a client, a practitioner shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person. (b) A practitioner who receives a document or electronically stored information relating to the representation of the practitioner's client and knows or reasonably should know that the document or electronically stored information was inadvertently sent shall promptly notify the sender.
37 CFR 11.40 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Representative for OED Director or respondent.

§ 11.40 Representative for OED Director or respondent. (a) A respondent may represent himself or herself, or be represented by an attorney before the Office in connection with an investigation or disciplinary proceeding. The attorney shall file a written declaration that he or she is an attorney within the meaning of § 11.1 and shall state: (1) The address to which the attorney wants correspondence related to the investigation or disciplinary proceeding sent, and (2) A telephone number where the attorney may be reached during normal business hours. (b) The Deputy General Counsel for Intellectual Property and Solicitor and attorneys in the Office of the Solicitor shall represent the OED Director. The attorneys representing the OED Director in disciplinary proceedings shall not consult with the USPTO Director, the General Counsel, the Deputy General Counsel for General Law, or an individual designated by the USPTO Director to decide disciplinary matters regarding the proceeding. (c) The General Counsel and the Deputy General Counsel for General Law shall remain screened from the investigation and prosecution of all disciplinary proceedings in order that they shall be available as counsel to the USPTO Director in deciding disciplinary proceedings unless access is appropriate to perform their duties. After a final decision is entered in a disciplinary proceeding, the OED Director and attorneys representing the OED Director shall be available to counsel the USPTO Director, the General Counsel, and the Deputy General Counsel for General Law in any further proceedings. [73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28461, May 26, 2021]
37 CFR 11.41 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Filing of papers.

§ 11.41 Filing of papers. (a) The provisions of §§ 1.8 and 2.197 of this chapter do not apply to disciplinary proceedings. All papers filed after the complaint and prior to entry of an initial decision by the hearing officer shall be filed with the hearing officer at an address or place designated by the hearing officer. The term “filed” means the delivery, mailing, or electronic transmission of a document to a hearing officer or designee in connection with a disciplinary complaint or related matter. (b) All papers filed after entry of an initial decision by the hearing officer shall be filed with the USPTO Director. A copy of the paper shall be served on the OED Director. The hearing officer or the OED Director may provide for filing papers and other matters by hand, by Priority Mail Express®, or by other means. [69 FR 35452, June 24, 2004, as amended at 79 FR 63042, Oct. 22, 2014; 86 FR 28461, May 26, 2021]
37 CFR 11.42 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Service of papers.

§ 11.42 Service of papers. (a) All papers other than a complaint shall be served on a respondent who is represented by an attorney by: (1) Delivering a copy of the paper to the office of the attorney; or (2) Mailing a copy of the paper by first-class mail, Priority Mail Express®, or other delivery service to the attorney at the address provided by the attorney under § 11.40(a)(1); or (3) Any other method mutually agreeable to the attorney and a representative for the OED Director. (b) All papers other than a complaint shall be served on a respondent who is not represented by an attorney by: (1) Delivering a copy of the paper to the respondent; or (2) Mailing a copy of the paper by first-class mail, Priority Mail Express®, or other delivery service to the respondent at the address to which a complaint may be served or such other address as may be designated in writing by the respondent; or (3) Any other method mutually agreeable to the respondent and a representative for the OED Director. (c) A respondent shall serve on the representative for the OED Director one copy of each paper filed with the hearing officer or the OED Director. A paper may be served on the representative for the OED Director by: (1) Delivering a copy of the paper to the representative; or (2) Mailing a copy of the paper by first-class mail, Priority Mail Express®, or other delivery service to an address designated in writing by the representative; or (3) Any other method mutually agreeable to the respondent and the representative. (d) Each paper filed in a disciplinary proceeding shall contain therein a certificate of service indicating: (1) The date on which service was made; and (2) The method by which service was made. (e) The hearing officer or the USPTO Director may require that a paper be served by hand or by Priority Mail Express®. (f) Service by mail is completed when the paper mailed in the United States is placed into the custody of the U.S. Postal Service. [79 FR 63042, Oct. 22, 2014]
37 CFR 11.43 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Motions before a hearing officer.

§ 11.43 Motions before a hearing officer. Motions, including all prehearing motions commonly filed under the Federal Rules of Civil Procedure, shall be served on the opposing party and filed with the hearing officer. Each motion shall set forth a basis for the requested relief, including a concise statement of the facts and supporting reasons, along with a citation of the authorities upon which the movant relies. For any motion for summary judgment or motion to dismiss, the basis shall be provided in a written memorandum accompanying the motion. All motions and memoranda shall be double-spaced and written in 12-point font unless otherwise ordered by the hearing officer. Unless the hearing officer extends the time for good cause, the opposing party shall serve and file a memorandum in response to any motion for summary judgment or motion to dismiss within 21 days of the date of service of the motion, and the moving party may file a reply memorandum within 14 days after service of the opposing party's responsive memorandum. Every motion must include a statement that the moving party or attorney for the moving party has conferred with the opposing party or attorney for the opposing party in a good-faith effort to resolve the issues raised by the motion and whether the motion is opposed. If, prior to a decision on the motion, the parties resolve issues raised by a motion presented to the hearing officer, the parties shall promptly notify the hearing officer. [88 FR 45088, July 14, 2023]
37 CFR 11.44 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Hearings.

§ 11.44 Hearings. (a) The hearing officer shall preside over hearings in disciplinary proceedings. After the time for filing an answer has elapsed, the hearing officer shall set the time and place for the hearing. In cases involving an incarcerated respondent, any necessary oral hearing may be held at the location of incarceration. The hearing officer may order a hearing to be conducted by remote videoconference in whole or in part. Oral hearings will be recorded and transcribed, and the testimony of witnesses will be received under oath or affirmation. The hearing officer shall conduct the hearing as if the proceeding were subject to 5 U.S.C. 556. A copy of the transcript of the hearing shall become part of the record. A copy of the transcript shall also be provided to the OED Director and the respondent at the expense of the Office. (b) If the respondent to a disciplinary proceeding fails to appear at the hearing after a notice of hearing has been issued by the hearing officer, the hearing officer may deem the respondent to have waived the opportunity for a hearing and may proceed with the hearing in the absence of the respondent. Where the respondent does not appear, the hearing officer may strike the answer or any other pleading, deem the respondent to have admitted the facts as alleged in the complaint, receive evidence in aggravation or mitigation, enter a default judgment, and/or enter an initial decision imposing discipline on the respondent. (c) A hearing under this section will not be open to the public except that the hearing officer may grant a request by a respondent to open his or her hearing to the public and make the record of the disciplinary proceeding available for public inspection, provided, a protective order is entered to exclude from public disclosure information which is privileged or confidential under applicable laws or regulations. [73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28461, May 26, 2021; 88 FR 45088, July 14, 2023]
37 CFR 11.45 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Amendment of pleadings.

§ 11.45 Amendment of pleadings. The OED Director may, without Committee on Discipline authorization, but with the authorization of the hearing officer, amend the complaint to include additional charges based upon conduct committed before or after the complaint was filed. If amendment of the complaint is authorized, the hearing officer shall authorize amendment of the answer. Any party who would otherwise be prejudiced by the amendment will be given reasonable opportunity to meet the allegations in the complaint or answer as amended, and the hearing officer shall make findings on any issue presented by the complaint or answer as amended.
37 CFR 11.4 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Computing time.

§ 11.4 Computing time. Computing time. The following rules apply in computing any time period specified in this part where the period is stated in days or a longer unit of time: (a) Exclude the day of the event that triggers the period; (b) Count every day, including intermediate Saturdays, Sundays, and legal holidays; and (c) Include the last day of the period, but if the last day is a Saturday, Sunday, or legal holiday, the period continues to run until the end of the next day that is not a Saturday, Sunday, or legal holiday. [86 FR 28452, May 26, 2021]
37 CFR 11.501 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Responsibilities of partners, managers, and supervisory practitioners.

§ 11.501 Responsibilities of partners, managers, and supervisory practitioners. (a) A practitioner who is a partner in a law firm, and a practitioner who individually or together with other practitioners possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all practitioners in the firm conform to the USPTO Rules of Professional Conduct. (b) A practitioner having direct supervisory authority over another practitioner shall make reasonable efforts to ensure that the other practitioner conforms to the USPTO Rules of Professional Conduct. (c) A practitioner shall be responsible for another practitioner's violation of the USPTO Rules of Professional Conduct if: (1) The practitioner orders or, with knowledge of the specific conduct, ratifies the conduct involved; or (2) The practitioner is a partner or has comparable managerial authority in the law firm in which the other practitioner practices, or has direct supervisory authority over the other practitioner, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.
37 CFR 11.502 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Responsibilities of a subordinate practitioner.

§ 11.502 Responsibilities of a subordinate practitioner. (a) A practitioner is bound by the USPTO Rules of Professional Conduct notwithstanding that the practitioner acted at the direction of another person. (b) A subordinate practitioner does not violate the USPTO Rules of Professional Conduct if that practitioner acts in accordance with a supervisory practitioner's reasonable resolution of an arguable question of professional duty.
37 CFR 11.503 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Responsibilities regarding non-practitioner assistance.

§ 11.503 Responsibilities regarding non-practitioner assistance. With respect to a non-practitioner assistant employed or retained by or associated with a practitioner: (a) A practitioner who is a partner, and a practitioner who individually or together with other practitioners possesses comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person's conduct is compatible with the professional obligations of the practitioner; (b) A practitioner having direct supervisory authority over the non-practitioner assistant shall make reasonable efforts to ensure that the person's conduct is compatible with the professional obligations of the practitioner; and (c) A practitioner shall be responsible for conduct of such a person that would be a violation of the USPTO Rules of Professional Conduct if engaged in by a practitioner if: (1) The practitioner orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or (2) The practitioner is a partner or has comparable managerial authority in the law firm in which the person is employed, or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.
37 CFR 11.504 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Professional independence of a practitioner.

§ 11.504 Professional independence of a practitioner. (a) A practitioner or law firm shall not share legal fees with a non-practitioner, except that: (1) An agreement by a practitioner with the practitioner's firm, partner, or associate may provide for the payment of money, over a reasonable period of time after the practitioner's death, to the practitioner's estate or to one or more specified persons; (2) A practitioner who purchases the practice of a deceased, disabled, or disappeared practitioner may, pursuant to the provisions of § 11.117, pay to the estate or other representative of that practitioner the agreed-upon purchase price; (3) A practitioner or law firm may include non-practitioner employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and (4) A practitioner may share legal fees, whether awarded by a tribunal or received in settlement of a matter, with a nonprofit organization that employed, retained or recommended employment of the practitioner in the matter and that qualifies under Section 501(c)(3) of the Internal Revenue Code. (b) A practitioner shall not form a partnership with a non-practitioner if any of the activities of the partnership consist of the practice of law. (c) A practitioner shall not permit a person who recommends, employs, or pays the practitioner to render legal services for another to direct or regulate the practitioner's professional judgment in rendering such legal services. (d) A practitioner shall not practice with or in the form of a professional corporation or association authorized to practice law for a profit, if: (1) A non-practitioner owns any interest therein, except that a fiduciary representative of the estate of a practitioner may hold the stock or interest of the practitioner for a reasonable time during administration; (2) A non-practitioner is a corporate director or officer thereof or occupies the position of similar responsibility in any form of association other than a corporation; or (3) A non-practitioner has the right to direct or control the professional judgment of a practitioner. (e) The prohibitions of paragraph (a), (b), or (d)(1) or (2) of this section shall not apply to an arrangement that fully complies with the laws, rules, and regulations of the attorney licensing authority of the State(s) that affirmatively regulate(s) such arrangement. [78 FR 20201, Apr. 3, 2013, as amended at 88 FR 45088, July 14, 2023]
37 CFR 11.506 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Restrictions on right to practice.

§ 11.506 Restrictions on right to practice. A practitioner shall not participate in offering or making: (a) A partnership, shareholders, operating, employment, or other similar type of agreement that restricts the right of a practitioner to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or (b) An agreement in which a restriction on the practitioner's right to practice is part of the settlement of a client controversy.