justicedao/patent-legal-corpus huggingface dataset:
37 CFR 11.106 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Confidentiality of information.

§ 11.106 Confidentiality of information. (a) A practitioner shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation, the disclosure is permitted by paragraph (b) of this section, or the disclosure is required by paragraph (c) of this section. (b) A practitioner may reveal information relating to the representation of a client to the extent the practitioner reasonably believes necessary: (1) To prevent reasonably certain death or substantial bodily harm; (2) To prevent the client from engaging in inequitable conduct before the Office or from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the practitioner's services; (3) To prevent, mitigate, or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client's commission of a crime, fraud, or inequitable conduct before the Office in furtherance of which the client has used the practitioner's services; (4) To secure legal advice about the practitioner's compliance with the USPTO Rules of Professional Conduct; (5) To establish a claim or defense on behalf of the practitioner in a controversy between the practitioner and the client, to establish a defense to a criminal charge or civil claim against the practitioner based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the practitioner's representation of the client; (6) To comply with other law or a court order; or (7) To detect and resolve conflicts of interest arising from the practitioner's change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the practitioner-client privilege or otherwise prejudice the client. (c) A practitioner shall disclose to the Office information necessary to comply with applicable duty of disclosure provisions. (d) A practitioner shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client. [86 FR 28466, May 26, 2021]
37 CFR 11.107 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Conflict of interest; Current clients.

§ 11.107 Conflict of interest; Current clients. (a) Except as provided in paragraph (b) of this section, a practitioner shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if: (1) The representation of one client will be directly adverse to another client; or (2) There is a significant risk that the representation of one or more clients will be materially limited by the practitioner's responsibilities to another client, a former client or a third person or by a personal interest of the practitioner. (b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a) of this section, a practitioner may represent a client if: (1) The practitioner reasonably believes that the practitioner will be able to provide competent and diligent representation to each affected client; (2) The representation is not prohibited by law; (3) The representation does not involve the assertion of a claim by one client against another client represented by the practitioner in the same litigation or other proceeding before a tribunal; and (4) Each affected client gives informed consent, confirmed in writing.
37 CFR 11.109 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Duties to former clients.

§ 11.109 Duties to former clients. (a) A practitioner who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing. (b) A practitioner shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the practitioner formerly was associated had previously represented a client: (1) Whose interests are materially adverse to that person; and (2) About whom the practitioner had acquired information protected by §§ 11.106 and 11.109(c) that is material to the matter; unless the former client gives informed consent, confirmed in writing. (c) A practitioner who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter: (1) Use information relating to the representation to the disadvantage of the former client except as the USPTO Rules of Professional Conduct would permit or require with respect to a client, or when the information has become generally known; or (2) Reveal information relating to the representation except as the USPTO Rules of Professional Conduct would permit or require with respect to a client.
37 CFR 11.10 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Restrictions on practice in patent matters; former and current Office employees; government employees.

§ 11.10 Restrictions on practice in patent matters; former and current Office employees; government employees. (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. (b) Post employment agreement of former Office employee. No individual who has served in the patent examining corps or elsewhere in the Office may practice before the Office after termination of his or her service, unless he or she signs a written undertaking agreeing: (1) To not knowingly act as an agent, attorney, or design patent practitioner for or otherwise represent any other person: (i) Before the Office, (ii) In connection with any particular patent or patent application, (iii) In which said employee participated personally and substantially as an employee of the Office; and (2) To not knowingly act within two years after terminating employment by the Office as agent, attorney, or design patent practitioner for, or otherwise represent any other person: (i) Before the Office, (ii) In connection with any particular patent or patent application, (iii) If such patent or patent application was pending under the employee's official responsibility as an officer or employee within a period of one year prior to the termination of such responsibility. [86 FR 28454, May 26, 2021, as amended at 88 FR 78650, Nov. 16, 2023]
37 CFR 11.110 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Imputation of conflicts of interest; General rule.

§ 11.110 Imputation of conflicts of interest; General rule. (a) While practitioners are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by §§ 11.107 or 11.109, unless: (1) The prohibition is based on a personal interest of the disqualified practitioner and does not present a significant risk of materially limiting the representation of the client by the remaining practitioners in the firm; or (2) The prohibition is based upon § 11.109(a) or (b), and arises out of the disqualified practitioner's association with a prior firm, and (i) The disqualified practitioner is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and (ii) Written notice is promptly given to any affected former client to enable the former client to ascertain compliance with the provisions of this section, which shall include a description of the screening procedures employed; a statement of the firm's and of the screened practitioner's compliance with the USPTO Rules of Professional Conduct; a statement that review may be available before a tribunal; and an agreement by the firm to respond promptly to any written inquiries or objections by the former client about the screening procedures. (b) When a practitioner has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated practitioner and not currently represented by the firm, unless: (1) The matter is the same or substantially related to that in which the formerly associated practitioner represented the client; and (2) Any practitioner remaining in the firm has information protected by §§ 11.106 and 11.109(c) that is material to the matter. (c) A disqualification prescribed by this section may be waived by the affected client under the conditions stated in § 11.107. (d) The disqualification of practitioners associated in a firm with former or current Federal Government lawyers is governed by § 11.111.
37 CFR 11.111 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Former or current Federal Government employees.

§ 11.111 Former or current Federal Government employees. A practitioner who is a former or current Federal Government employee shall not engage in any conduct which is contrary to applicable Federal ethics law, including conflict of interest statutes and regulations of the department, agency or commission formerly or currently employing said practitioner.
37 CFR 11.112 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Former judge, arbitrator, mediator or other third-party neutral.

§ 11.112 Former judge, arbitrator, mediator or other third-party neutral. (a) Except as stated in paragraph (d) of this section, a practitioner shall not represent anyone in connection with a matter in which the practitioner participated personally and substantially as a judge or other adjudicative officer or law clerk to such a person or as an arbitrator, mediator or other third-party neutral, unless all parties to the proceeding give informed consent, confirmed in writing. (b) A practitioner shall not negotiate for employment with any person who is involved as a party or as practitioner for a party in a matter in which the practitioner is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral. A practitioner serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or practitioner involved in a matter in which the clerk is participating personally and substantially, but only after the practitioner has notified the judge, or other adjudicative officer. (c) If a practitioner is disqualified by paragraph (a) of this section, no practitioner in a firm with which that practitioner is associated may knowingly undertake or continue representation in the matter unless: (1) The disqualified practitioner is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and (2) Written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this section. (d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party.
37 CFR 11.114 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Client with diminished capacity.

§ 11.114 Client with diminished capacity. (a) When a client's capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment or for some other reason, the practitioner shall, as far as reasonably possible, maintain a normal client-practitioner relationship with the client. (b) When the practitioner reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial or other harm unless action is taken and cannot adequately act in the client's own interest, the practitioner may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian. (c) Information relating to the representation of a client with diminished capacity is protected under § 11.106. When taking protective action pursuant to paragraph (b) of this section, the practitioner is impliedly authorized under § 11.106(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client's interests.
37 CFR 11.116 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Declining or terminating representation.

§ 11.116 Declining or terminating representation. (a) Except as stated in paragraph (c) of this section, a practitioner shall not represent a client, or where representation has commenced, shall withdraw from the representation of a client if: (1) The representation will result in violation of the USPTO Rules of Professional Conduct or other law; (2) The practitioner's physical or mental condition materially impairs the practitioner's ability to represent the client; or (3) The practitioner is discharged. (b) Except as stated in paragraph (c) of this section, a practitioner may withdraw from representing a client if: (1) Withdrawal can be accomplished without material adverse effect on the interests of the client; (2) The client persists in a course of action involving the practitioner's services that the practitioner reasonably believes is criminal or fraudulent; (3) The client has used the practitioner's services to perpetrate a crime or fraud; (4) A client insists upon taking action that the practitioner considers repugnant or with which the practitioner has a fundamental disagreement; (5) The client fails substantially to fulfill an obligation to the practitioner regarding the practitioner's services and has been given reasonable warning that the practitioner will withdraw unless the obligation is fulfilled; (6) The representation will result in an unreasonable financial burden on the practitioner or has been rendered unreasonably difficult by the client; or (7) Other good cause for withdrawal exists. (c) A practitioner must comply with applicable law requiring notice to or permission of a tribunal when terminating a representation. When ordered to do so by a tribunal, a practitioner shall continue representation notwithstanding good cause for terminating the representation. (d) Upon termination of representation, a practitioner shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payment of fee or expense that has not been earned or incurred. The practitioner may retain papers relating to the client to the extent permitted by other law.
37 CFR 11.117 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Sale of law practice.

§ 11.117 Sale of law practice. A practitioner or a law firm may sell or purchase a law practice, or an area of law practice, including good will, if the following conditions are satisfied: (a) The seller ceases to engage in the private practice of law, or in the area of practice that has been sold, in a geographic area in which the practice has been conducted; (b)(1) Except as provided in paragraph (b)(2) of this section, the entire practice, or the entire area of practice, is sold to one or more lawyers or law firms; (2) To the extent the practice or the area of practice involves patent proceedings before the Office, that practice or area of practice may be sold only to one or more registered practitioners or law firms that include at least one registered practitioner; (c)(1) The seller gives written notice to each of the seller's clients regarding: (i) The proposed sale; (ii) The client's right to retain other counsel or to take possession of the file; and (iii) The fact that the client's consent to the transfer of the client's files will be presumed if the client does not take any action or does not otherwise object within ninety (90) days after receipt of the notice. (2) If a client cannot be given notice, the representation of that client may be transferred to the purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may disclose to the court in camera information relating to the representation only to the extent necessary to obtain an order authorizing the transfer of a file; and (d) The fees charged clients shall not be increased by reason of the sale.
37 CFR 11.118 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Duties to prospective client.

§ 11.118 Duties to prospective client. (a) A person who consults with a practitioner about the possibility of forming a client-practitioner relationship with respect to a matter is a prospective client. (b) Even when no client-practitioner relationship ensues, a practitioner who has learned information from a prospective client shall not use or reveal that information, except as § 11.109 would permit with respect to information of a former client. (c) A practitioner subject to paragraph (b) of this section shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the practitioner received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in paragraph (d) of this section. If a practitioner is disqualified from representation under this paragraph, no practitioner in a firm with which that practitioner is associated may knowingly undertake or continue representation in such a matter, except as provided in paragraph (d) of this section. (d) When the practitioner has received disqualifying information as defined in paragraph (c) of this section, representation is permissible if: (1) Both the affected client and the prospective client have given informed consent, confirmed in writing; or (2) The practitioner who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client; and (i) The disqualified practitioner is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and (ii) Written notice is promptly given to the prospective client. [78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28466, May 26, 2021]
37 CFR 11.15 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Refusal to recognize a practitioner.

§ 11.15 Refusal to recognize a practitioner. Any practitioner authorized to appear before the Office may be suspended, excluded, or reprimanded in accordance with the provisions of this Part. Any practitioner who is suspended or excluded under this Part shall not be entitled to practice before the Office in patent, trademark, or other non-patent matters while suspended or excluded. [73 FR 47688, Aug. 14, 2008]
37 CFR 11.201 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Advisor.

§ 11.201 Advisor. In representing a client, a practitioner shall exercise independent professional judgment and render candid advice. In rendering advice, a practitioner may refer not only to law but to other considerations such as moral, economic, social and political factors that may be relevant to the client's situation.
37 CFR 11.203 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Evaluation for use by third persons.

§ 11.203 Evaluation for use by third persons. (a) A practitioner may provide an evaluation of a matter affecting a client for the use of someone other than the client if the practitioner reasonably believes that making the evaluation is compatible with other aspects of the practitioner's relationship with the client. (b) When the practitioner knows or reasonably should know that the evaluation is likely to affect the client's interests materially and adversely, the practitioner shall not provide the evaluation unless the client gives informed consent. (c) Except as disclosure is authorized in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by § 11.106.
37 CFR 11.204 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Practitioner serving as third-party neutral.

§ 11.204 Practitioner serving as third-party neutral. (a) A practitioner serves as a third-party neutral when the practitioner assists two or more persons who are not clients of the practitioner to reach a resolution of a dispute or other matter that has arisen between them. Service as a third-party neutral may include service as an arbitrator, a mediator or in such other capacity as will enable the practitioner to assist the parties to resolve the matter. (b) A practitioner serving as a third-party neutral shall inform unrepresented parties that the practitioner is not representing them. When the practitioner knows or reasonably should know that a party does not understand the practitioner's role in the matter, the practitioner shall explain the difference between the practitioner's role as a third-party neutral and a practitioner's role as one who represents a client.