justicedao/patent-legal-corpus huggingface dataset:
37 CFR 11.20 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Disciplinary sanctions; Transfer to disability inactive status.

§ 11.20 Disciplinary sanctions; Transfer to disability inactive status. (a) Types of discipline. The USPTO Director, after notice and opportunity for a hearing, and where grounds for discipline exist, may impose on a practitioner the following types of discipline: (1) Exclusion from practice before the Office; (2) Suspension from practice before the Office for an appropriate period of time; (3) Reprimand or censure; or (4) Probation. Probation may be imposed in lieu of or in addition to any other disciplinary sanction. The conditions of probation shall be stated in the order imposing probation. Violation of any condition of probation shall be cause for imposition of the disciplinary sanction. Imposition of the disciplinary sanction predicated upon violation of probation shall occur only after a notice to show cause why the disciplinary sanction should not be imposed is resolved adversely to the practitioner. (b) Conditions imposed with discipline. When imposing discipline, the USPTO Director may condition reinstatement upon the practitioner making restitution, successfully completing a professional responsibility course or examination, or any other condition deemed appropriate under the circumstances. (c) Transfer to disability inactive status. As set forth in § 11.29, the USPTO Director, after notice and opportunity for a hearing, may transfer a practitioner to disability inactive status where grounds exist to believe the practitioner has been transferred to disability inactive status in another jurisdiction, has been judicially declared incompetent, has been judicially ordered to be involuntarily committed after a hearing on the grounds of incompetency or disability, or has been placed by court order under guardianship or conservatorship. [73 FR 47689, Aug. 14, 2008, as amended at 78 FR 20200, Apr. 3, 2013; 86 FR 28457, May 26, 2021]
37 CFR 11.21 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Warnings.

§ 11.21 Warnings. A warning is neither public nor a disciplinary sanction. The OED Director may conclude an investigation with the issuance of a warning. The warning shall contain a statement of facts and identify the USPTO Rules of Professional Conduct relevant to the facts. [86 FR 28458, May 26, 2021]
37 CFR 11.23 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Committee on Discipline.

§ 11.23 Committee on Discipline. (a) The USPTO Director shall appoint a Committee on Discipline. The Committee on Discipline shall consist of at least three employees of the Office. None of the Committee members shall report directly or indirectly to the OED Director or any employee designated by the USPTO Director to decide disciplinary matters. Each Committee member shall be a member in good standing of the bar of the highest court of a State. The Committee members shall select a Chairperson from among themselves. Three Committee members will constitute a panel of the Committee. (b) Powers and duties of the Committee on Discipline. The Committee shall have the power and duty to: (1) Meet in panels at the request of the OED Director and, after reviewing evidence presented by the OED Director, by majority vote of the panel, determine whether there is probable cause to bring charges under § 11.32 against a practitioner; and (2) Prepare and forward its own probable cause findings and recommendations to the OED Director. (c) No discovery shall be authorized of, and no member of the Committee on Discipline shall be required to testify about deliberations of, the Committee on Discipline or of any panel. (d) The Chairperson shall appoint the members of the panels and a Contact Member of the Committee on Discipline.
37 CFR 11.26 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Settlement.

§ 11.26 Settlement. Before or after a complaint under § 11.34 is filed, a settlement conference may occur between the OED Director and the practitioner. Any offers of compromise and any statements made during the course of settlement discussions shall not be admissible in subsequent proceedings. The OED Director may recommend to the USPTO Director any settlement terms deemed appropriate, including steps taken to correct or mitigate the matter forming the basis of the action, or to prevent recurrence of the same or similar conduct. A settlement agreement shall be effective only upon entry of a final decision by the USPTO Director.
37 CFR 11.27 — [Reserved] Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Exclusion on consent.

§ 11.27 Exclusion on consent. (a) Required affidavit. The OED Director may confer with a practitioner concerning possible violations by the practitioner of the Rules of Professional Conduct whether or not a disciplinary proceeding has been instituted. A practitioner who is the subject of an investigation or a pending disciplinary proceeding based on allegations of grounds for discipline, and who desires to resign, may only do so by consenting to exclusion and delivering to the OED Director an affidavit declaring the consent of the practitioner to exclusion and stating: (1) That the practitioner's consent is freely and voluntarily rendered, that the practitioner is not being subjected to coercion or duress, and that the practitioner is fully aware of the implications of consenting to exclusion; (2) That the practitioner is aware that there is currently pending an investigation into, or a proceeding involving allegations of misconduct, the nature of which shall be specifically set forth in the affidavit to the satisfaction of the OED Director; (3) That the practitioner acknowledges that, if and when he or she applies for reinstatement under § 11.60, the OED Director will conclusively presume, for the limited purpose of determining the application for reinstatement, that: (i) The facts upon which the investigation or complaint is based are true, and (ii) The practitioner could not have successfully defended himself or herself against the allegations in the investigation or charges in the complaint. (b) Action by the USPTO Director. Upon receipt of the required affidavit, the OED Director shall file the affidavit and any related papers with the USPTO Director for review and approval. The USPTO Director may order the OED Director or the practitioner to supplement the record with further information or argument. The OED Director may also file comments in response to the affidavit. If the affidavit is approved, the USPTO Director will enter an order excluding the practitioner on consent and providing other appropriate actions. Upon entry of the order, the excluded practitioner shall comply with the requirements set forth in § 11.58. (c) [Reserved] (d) Reinstatement. Any practitioner excluded on consent under this section may not petition for reinstatement for five years. A practitioner excluded on consent who intends to reapply for admission to practice before the Office must comply with the provisions of § 11.58, and apply for reinstatement in accordance with § 11.60. Failure to comply with the provisions of § 11.58 constitutes grounds for denying an application for reinstatement. [73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28459, May 26, 2021]
37 CFR 11.301 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Meritorious claims and contentions.

§ 11.301 Meritorious claims and contentions. A practitioner shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous, which includes a good-faith argument for an extension, modification or reversal of existing law.
37 CFR 11.303 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Candor toward the tribunal.

§ 11.303 Candor toward the tribunal. (a) A practitioner shall not knowingly: (1) Make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the practitioner; (2) Fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the practitioner to be directly adverse to the position of the client and not disclosed by opposing counsel in an inter partes proceeding, or fail to disclose such authority in an ex parte proceeding before the Office if such authority is not otherwise disclosed; or (3) Offer evidence that the practitioner knows to be false. If a practitioner, the practitioner's client, or a witness called by the practitioner, has offered material evidence and the practitioner comes to know of its falsity, the practitioner shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. A practitioner may refuse to offer evidence that the practitioner reasonably believes is false. (b) A practitioner who represents a client in a proceeding before a tribunal and who knows that a person intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. (c) The duties stated in paragraphs (a) and (b) of this section continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of information otherwise protected by § 11.106. (d) In an ex parte proceeding, a practitioner shall inform the tribunal of all material facts known to the practitioner that will enable the tribunal to make an informed decision, whether or not the facts are adverse. (e) In a proceeding before the Office, a practitioner shall disclose to the Office information necessary to comply with applicable duty of disclosure provisions.
37 CFR 11.304 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Fairness to opposing party and counsel.

§ 11.304 Fairness to opposing party and counsel. A practitioner shall not: (a) Unlawfully obstruct another party's access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A practitioner shall not counsel or assist another person to do any such act; (b) Falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law; (c) Knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists; (d) Make a frivolous discovery request or fail to make a reasonably diligent effort to comply with a legally proper discovery request by an opposing party; (e) In a proceeding before a tribunal, allude to any matter that the practitioner does not reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or (f) Request a person other than a client to refrain from voluntarily giving relevant information to another party unless: (1) The person is a relative or an employee or other agent of a client; and (2) The practitioner reasonably believes that the person's interests will not be adversely affected by refraining from giving such information.
37 CFR 11.305 — [Reserved] Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Impartiality and decorum of the tribunal.

§ 11.305 Impartiality and decorum of the tribunal. A practitioner shall not: (a) Seek to influence a judge, hearing officer, administrative law judge, administrative patent judge, administrative trademark judge, juror, prospective juror, employee or officer of the Office, or other official by means prohibited by law; (b) Communicate ex parte with such a person during the proceeding unless authorized to do so by law, rule or court order; or (c) [Reserved] (d) Engage in conduct intended to disrupt any proceeding before a tribunal.
37 CFR 11.306 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Trial publicity.

§ 11.306 Trial publicity. (a) A practitioner who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the practitioner knows or reasonably should know will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter. (b) Notwithstanding paragraph (a) of this section, a practitioner may state: (1) The claim, offense or defense involved and, except when prohibited by law, the identity of the persons involved; (2) Information contained in a public record; (3) That an investigation of a matter is in progress; (4) The scheduling or result of any step in litigation; (5) A request for assistance in obtaining evidence and information necessary thereto; and (6) A warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest. (c) Notwithstanding paragraph (a) of this section, a practitioner may make a statement that a reasonable practitioner would believe is required to protect a client from the substantial undue prejudicial effect of recent publicity not initiated by the practitioner or the practitioner's client. A statement made pursuant to this paragraph shall be limited to such information as is necessary to mitigate the recent adverse publicity. (d) No practitioner associated in a firm or government agency with a practitioner subject to paragraph (a) of this section shall make a statement prohibited by paragraph (a).
37 CFR 11.307 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Practitioner as witness.

§ 11.307 Practitioner as witness. (a) A practitioner shall not act as advocate at a proceeding before a tribunal in which the practitioner is likely to be a necessary witness unless: (1) The testimony relates to an uncontested issue; (2) The testimony relates to the nature and value of legal services rendered in the case; or (3) Disqualification of the practitioner would work substantial hardship on the client. (b) A practitioner may act as advocate in a proceeding before a tribunal in which another practitioner in the practitioner's firm is likely to be called as a witness unless precluded from doing so by §§ 11.107 or 11.109.
37 CFR 11.309 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Advocate in nonadjudicative proceedings.

§ 11.309 Advocate in nonadjudicative proceedings. A practitioner representing a client before a legislative body or administrative agency in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provisions of §§ 11.303(a) through (c), 11.304(a) through (c), and 11.305.
37 CFR 11.30 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Participation in the USPTO Diversion Program.

§ 11.30 Participation in the USPTO Diversion Program. (a) Before or after a complaint under § 11.34 is filed, the OED Director may dispose of a disciplinary matter by entering into a diversion agreement with a practitioner. Diversion agreements may provide for, but are not limited to, law office management assistance, counseling, participation in lawyer assistance programs, and attendance at continuing legal education programs. Neither the OED Director nor the practitioner is under any obligation to propose or enter into a diversion agreement. To be an eligible party to a diversion agreement, a practitioner cannot have been disciplined by the USPTO or another jurisdiction within the past three years, except that discipline by another jurisdiction is not disqualifying if that discipline in another jurisdiction was based on the conduct forming the basis for the current investigation. (b) For a practitioner to be eligible for diversion, the conduct at issue must not involve: (1) The misappropriation of funds or dishonesty, deceit, fraud, or misrepresentation; (2) Substantial prejudice to a client or other person as a result of the conduct; (3) A serious crime as defined in § 11.1; or (4) A pattern of similar misconduct unless the misconduct at issue is minor and related to a chronic physical or mental health condition or disease. (c) The diversion agreement is automatically completed when the terms of the agreement have been fulfilled. A practitioner's successful completion of the diversion agreement bars the OED Director from pursuing discipline based on the conduct set forth in the diversion agreement. (d) A material breach of the diversion agreement shall be cause for termination of the practitioner's participation in the diversion program. Upon a material breach of the diversion agreement, the OED Director may pursue discipline based on the conduct set forth in the diversion agreement. [88 FR 45087, July 14, 2023]
37 CFR 11.32 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Instituting a disciplinary proceeding.

§ 11.32 Instituting a disciplinary proceeding. If after conducting an investigation under § 11.22(a), the OED Director is of the opinion that grounds exist for discipline under § 11.19(b), the OED Director, after complying where necessary with the provisions of 5 U.S.C. 558(c), may convene a meeting of a panel of the Committee on Discipline. If convened, the panel of the Committee on Discipline shall then determine as specified in § 11.23(b) whether there is probable cause to bring disciplinary charges. If the panel of the Committee on Discipline determines that probable cause exists to bring charges, the OED Director may institute a disciplinary proceeding by filing a complaint under § 11.34. [78 FR 20201, Apr. 3, 2013]
37 CFR 11.34 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Complaint.

§ 11.34 Complaint. (a) A complaint instituting a disciplinary proceeding shall: (1) Name the person who is the subject of the complaint who may then be referred to as the “respondent”; (2) Give a plain and concise description of the respondent's alleged grounds for discipline; (3) State the place and time, not less than thirty days from the date the complaint is filed, for filing an answer by the respondent; (4) State that a decision by default may be entered if an answer is not timely filed by the respondent; and (5) Be signed by the OED Director. (b) A complaint will be deemed sufficient if it fairly informs the respondent of any grounds for discipline, and where applicable, the USPTO Rules of Professional Conduct that form the basis for the disciplinary proceeding so that the respondent is able to adequately prepare a defense. (c) The complaint shall be filed in the manner prescribed by the USPTO Director. 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. (d) Time for filing a complaint. A complaint shall be filed within one year after the date on which the OED Director receives a grievance forming the basis of the complaint. No complaint shall be filed more than ten years after the date on which the misconduct forming the basis for the proceeding occurred. (e) Tolling agreements. The one-year period for filing a complaint under paragraph (d) of this section shall be tolled if the involved practitioner and the OED Director agree in writing to such tolling. [73 FR 47689, Aug. 14, 2008, as amended at 77 FR 45251, July 31, 2012; 78 FR 20201, Apr. 3, 2013; 86 FR 28460, May 26, 2021]
37 CFR 11.35 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Service of complaint.

§ 11.35 Service of complaint. (a) A complaint may be served on a respondent by any of the following methods: (1) By delivering a copy of the complaint personally to the respondent, in which case the individual who delivers the complaint to the respondent shall file an affidavit with the OED Director indicating the time and place the complaint was delivered to the respondent. (2) By mailing a copy of the complaint by Priority Mail Express®, first-class mail, or any delivery service that provides confirmation of delivery or attempted delivery to: (i) A respondent who is a registered practitioner at the address provided to OED pursuant to § 11.11, or (ii) A respondent who is not registered at the last address for the respondent known to the OED Director. (3) By any method mutually agreeable to the OED Director and the respondent. (4) In the case of a respondent who resides outside the United States, by sending a copy of the complaint by any delivery service that provides the ability to confirm delivery or attempted delivery, to: (i) A respondent who is a registered practitioner at the address provided to OED pursuant to § 11.11; or (ii) A respondent who is not registered at the last address for the respondent known to the OED Director. (b) If a copy of the complaint cannot be delivered to the respondent through any one of the procedures in paragraph (a) of this section, the OED Director shall serve the respondent by causing an appropriate notice to be published in the Official Gazette for two consecutive weeks, in which case the time for filing an answer shall be 30 days from the second publication of the notice. Failure to timely file an answer will constitute an admission of the allegations in the complaint in accordance with § 11.36(d), and the hearing officer may enter an initial decision on default. (c) If the respondent is known to the OED Director to be represented by an attorney under § 11.40(a), a copy of the complaint may be served on the attorney in lieu of service on the respondent in the manner provided for in paragraph (a) or (b) of this section. [86 FR 28460, May 26, 2021]