justicedao/patent-legal-corpus huggingface dataset:
37 CFR 11.507 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Responsibilities regarding law-related services.

§ 11.507 Responsibilities regarding law-related services. A practitioner shall be subject to the USPTO Rules of Professional Conduct with respect to the provision of law-related services if the law-related services are provided: (a) By the practitioner in circumstances that are not distinct from the practitioner's provision of legal services to clients; or (b) In other circumstances by an entity controlled by the practitioner individually or with others if the practitioner fails to take reasonable measures to assure that a person obtaining the law-related services knows that the services are not legal services and that the protections of the client-practitioner relationship do not exist.
37 CFR 11.50 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Evidence.

§ 11.50 Evidence. (a) Rules of evidence. The rules of evidence prevailing in courts of law and equity are not controlling in hearings in disciplinary proceedings. However, the hearing officer shall exclude evidence that is irrelevant, immaterial, speculative, or unduly repetitious. (b) Depositions. Depositions of witnesses taken pursuant to § 11.51 may be admitted as evidence. (c) Government documents. Official documents, records, and papers of the Office, including, but not limited to, all papers in the file of a disciplinary investigation, are admissible without extrinsic evidence of authenticity. These documents, records, and papers may be evidenced by a copy certified as correct by an employee of the Office. (d) Exhibits. If any document, record, or other paper is introduced in evidence as an exhibit, the hearing officer may authorize the withdrawal of the exhibit subject to any conditions the hearing officer deems appropriate. (e) Objections. Objections to evidence will be in short form, stating the grounds of objection. Objections and rulings on objections will be a part of the record. No exception to the ruling is necessary to preserve the rights of the parties. [73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28462, May 26, 2021]
37 CFR 11.51 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Depositions.

§ 11.51 Depositions. (a) Depositions for use at the hearing in lieu of the personal appearance of a witness before the hearing officer may be taken by the respondent or the OED Director by agreement; or upon a showing of good cause and with the approval of, and under such conditions as may be deemed appropriate by, the hearing officer. If a motion to take a deposition is granted, the hearing officer shall authorize a subpoena to be issued pursuant to 35 U.S.C. 24. If the deponent is a USPTO employee, the respondent shall comply with the requirements of part 104 of this chapter. (b) A party seeking a deposition shall give reasonable notice of not less than 14 days unless a shorter period is agreed upon by the parties or authorized by the hearing officer. The notice shall state the date, time, and place of the deposition. (c) Depositions may be taken upon oral or written questions before any officer authorized to administer an oath or affirmation in the place where the deposition is to be taken. Deposition expenses shall be borne by the party at whose instance the deposition is taken. (d) When a deposition is taken upon written questions, copies of the written questions will be served upon the other party with the notice, and copies of any written cross-questions will be served by hand or Priority Mail Express® not less than five days before the date of the taking of the deposition unless the parties mutually agree otherwise. (e) Testimony by deposition may be recorded by audiovisual means provided that: (1) The notice of deposition states that the method of recording is audiovisual, and (2) A written transcript of the deposition is prepared by a court reporter who was present at the deposition and recorded the testimony. (f) A party on whose behalf a deposition is taken shall file with the hearing officer a copy of a transcript of the deposition signed by a court reporter and a copy of any audiovisual recording and shall serve one copy of the transcript and any audiovisual recording upon the opposing party. (g) Depositions may not be taken to obtain discovery, except as provided for in paragraph (h) of this section. (h) When the OED Director and the respondent agree in writing, a discovery deposition of any witness who will appear voluntarily may be taken under such terms and conditions as may be mutually agreeable to the OED Director and the respondent. The deposition shall not be filed with the hearing officer and may not be admitted into evidence before the hearing officer unless he or she orders the deposition admitted into evidence. The admissibility of the deposition shall lie within the discretion of the hearing officer, who may reject the deposition on any reasonable basis, including the fact that demeanor is involved and that the witness should have been called to appear personally before the hearing officer. [86 FR 28462, May 26, 2021]
37 CFR 11.53 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Proposed findings and conclusions; post-hearing memorandum.

§ 11.53 Proposed findings and conclusions; post-hearing memorandum. (a) Except in cases in which the respondent has failed to answer the complaint or the amended complaint, or appear at a hearing, the hearing officer, prior to making an initial decision, shall afford the parties a reasonable opportunity to submit proposed findings and conclusions and a post-hearing memorandum in support of the proposed findings and conclusions. (b) The OED Director shall serve and file a post-hearing memorandum within 30 days after the hearing transcript has been filed with the hearing officer. The respondent shall have 30 days after service of the OED Director's post-hearing memorandum to file a responsive post-hearing memorandum. The OED Director may file a reply memorandum within 21 days after service of any responsive post-hearing memorandum. (c) The respondent shall serve and file a post-hearing memorandum with respect to any asserted affirmative defenses, or other matters for which the respondent bears the burden of proof, within 30 days after the hearing transcript has been filed with the hearing officer. The OED Director shall have 30 days after service of the respondent's post-hearing memorandum to file a responsive post-hearing memorandum. The respondent may file a reply memorandum within 21 days after service of any responsive post-hearing memorandum. (d) The OED Director's and the respondent's responsive post-hearing memoranda shall be limited to 50 pages, 12-point font, double-spacing, and one-inch margins, and the reply memoranda shall be limited to 25 pages, 12-point font, double-spacing, and one-inch margins, unless otherwise ordered by the hearing officer. (e) The hearing officer may extend the time for filing a post-hearing memorandum and may also increase the page limits, for good cause shown. [86 FR 28463, May 26, 2021]
37 CFR 11.54 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Initial decision of hearing officer.

§ 11.54 Initial decision of hearing officer. (a) The hearing officer shall make an initial decision in the case. The decision will include: (1) A statement of findings of fact and conclusions of law, as well as the reasons or bases for those findings and conclusions with specific references to the record, upon all the material issues of fact, law, or discretion presented on the record; and (2) An order of default judgment, of suspension or exclusion from practice, of reprimand, of probation, or an order dismissing the complaint. The order also may impose any conditions deemed appropriate under the circumstances. (b) The initial decision of the hearing officer shall explain the reason for any default judgment, reprimand, suspension, exclusion, or probation and shall explain any conditions imposed with discipline. In determining any sanction, the following four factors shall be considered if they are applicable: (1) Whether the practitioner has violated a duty owed to a client, the public, the legal system, or the profession; (2) Whether the practitioner acted intentionally, knowingly, or negligently; (3) The amount of the actual or potential injury caused by the practitioner's misconduct; and (4) The existence of any aggravating or mitigating factors. (c) The hearing officer shall transmit a copy of the initial decision to the OED Director and to the respondent and shall transmit the record of the proceeding to the OED Director within 14 days, or as soon as practicable if thereafter, of the date of the initial decision. (d) In the absence of an appeal to the USPTO Director, the decision of the hearing officer will, without further proceedings, become the final decision of the USPTO Director 30 days from the date of the decision of the hearing officer. [86 FR 28463, May 26, 2021]
37 CFR 11.56 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Decision of the USPTO Director.

§ 11.56 Decision of the USPTO Director. (a) The USPTO Director shall decide an appeal from an initial decision of the hearing officer. On appeal from the initial decision, the USPTO Director has authority to conduct a de novo review of the factual record. The USPTO Director may affirm, reverse, or modify the initial decision or remand the matter to the hearing officer for such further proceedings as the USPTO Director may deem appropriate. In making a final decision, the USPTO Director shall review the record or the portions of the record designated by the parties. The USPTO Director shall transmit a copy of the final decision to the OED Director and to the respondent. (b) A final decision of the USPTO Director may dismiss a disciplinary proceeding, reverse or modify the initial decision, reprimand a practitioner, or may suspend or exclude the practitioner from practice before the Office. A final decision suspending or excluding a practitioner shall require compliance with the provisions of § 11.58. The final decision may also condition the reinstatement of the practitioner upon a showing that the practitioner has taken steps to correct or mitigate the matter forming the basis of the action, or to prevent recurrence of the same or similar conduct. (c) The respondent or the OED Director may make a single request for reconsideration or modification of the decision by the USPTO Director if filed within 20 days from the date of entry of the decision. The other party may file a response to the request for reconsideration within 14 days of the filing of the request. No request for reconsideration or modification shall be granted unless the request is based on newly discovered evidence or clear error of law or fact, and the requestor must demonstrate that any newly discovered evidence could not have been discovered any earlier by due diligence. Such a request shall have the effect of staying the effective date of the order of discipline in the final decision. The decision by the USPTO Director is effective on its date of entry. [73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28464, May 26, 2021]
37 CFR 11.57 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Review of final decision of the USPTO Director.

§ 11.57 Review of final decision of the USPTO Director. (a) Review of the final decision by the USPTO Director in a disciplinary case may be had by a petition filed in accordance with 35 U.S.C. 32. Any such petition shall be filed within 30 days after the date of the final decision. (b) The respondent must serve the USPTO Director with the petition. The respondent must serve the petition in accordance with Rule 4 of the Federal Rules of Civil Procedure and § 104.2 of this chapter. (c) Except as provided for in § 11.56(c), an order for discipline in a final decision will not be stayed except on proof of exceptional circumstances. [86 FR 28464, May 26, 2021]
37 CFR 11.59 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Dissemination of disciplinary and other information.

§ 11.59 Dissemination of disciplinary and other information. (a) The OED Director shall inform the public of the disposition of each matter in which public discipline has been imposed, and of any other changes in a practitioner's registration status. Public discipline includes exclusion, as well as exclusion on consent; suspension; and public reprimand. Unless otherwise ordered by the USPTO Director, the OED Director shall give notice of public discipline and the reasons for the discipline to disciplinary enforcement agencies in the State where the practitioner is admitted to practice, to courts where the practitioner is known to be admitted, and the public. If public discipline is imposed, the OED Director shall cause a final decision of the USPTO Director to be published. Final decisions of the USPTO Director include default judgments. See § 11.54(a)(2). If a private reprimand is imposed, the OED Director shall cause a redacted version of the final decision to be published. (b) Records available to the public. Unless the USPTO Director orders that the proceeding or a portion of the record be kept confidential, the OED Director's records of every disciplinary proceeding where a practitioner is reprimanded, suspended, or excluded, including when said sanction is imposed by default judgment, shall be made available to the public upon written request, except that information may be withheld as necessary to protect the privacy of third parties or as directed in a protective order issued pursuant to § 11.44(c). The record of a proceeding that results in a practitioner's transfer to disability inactive status shall not be available to the public. (c) Access to records of exclusion by consent. Unless the USPTO Director orders that the proceeding or a portion of the record be kept confidential, an order excluding a practitioner on consent under § 11.27 and the affidavit required under paragraph (a) of § 11.27 shall be available to the public, except that information in the order or affidavit may be withheld as necessary to protect the privacy of third parties or as directed in a protective order under § 11.44(c). The affidavit required under paragraph (a) of § 11.27 shall not be used in any other proceeding except by order of the USPTO Director or upon written consent of the practitioner.
37 CFR 11.701 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Communications concerning a practitioner's services.

§ 11.701 Communications concerning a practitioner's services. A practitioner shall not make a false or misleading communication about the practitioner or the practitioner's services. A communication is false or misleading if it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading.
37 CFR 11.702 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Communications concerning a practitioner's services: specific rules.

§ 11.702 Communications concerning a practitioner's services: specific rules. (a) A practitioner may communicate information regarding the practitioner's services through any medium. (b) A practitioner shall not compensate, give, or promise anything of value to a person for recommending the practitioner's services, except that a practitioner may: (1) Pay the reasonable costs of advertisements or communications permitted by this section; (2) Pay the usual charges of a legal service plan or a not-for-profit or qualified practitioner referral service; (3) Pay for a law practice in accordance with § 11.117; (4) Refer clients to another practitioner or a non-practitioner professional pursuant to an agreement not otherwise prohibited under the USPTO Rules of Professional Conduct that provides for the other person to refer clients or customers to the practitioner, if: (i) The reciprocal referral agreement is not exclusive, and (ii) The client is informed of the existence and nature of the agreement; and (5) Give nominal gifts as an expression of appreciation that are neither intended nor reasonably expected to be a form of compensation for recommending a practitioner's services. (c) A practitioner shall not state or imply that he or she is certified as a specialist in a particular field of law, unless: (1) The practitioner has been certified as a specialist by an organization that has been approved by an appropriate authority of a State or that has been accredited by the American Bar Association, and (2) The name of the certifying organization is clearly identified in the communication. (d) Any communication made under this section must include the name and contact information of at least one practitioner or law firm responsible for its content. [86 FR 28466, May 26, 2021]
37 CFR 11.703 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Solicitation of clients.

§ 11.703 Solicitation of clients. (a) “Solicitation” or “solicit” denotes a communication initiated by or on behalf of a practitioner or law firm that is directed to a specific person the practitioner knows or reasonably should know needs legal services in a particular matter and that offers to provide, or reasonably can be understood as offering to provide, legal services for that matter. (b) A practitioner shall not solicit professional employment by live person-to-person contact when a significant motive for the practitioner's doing so is the practitioner's or law firm's pecuniary gain, unless the contact is with a: (1) Practitioner; (2) Person who has a family, close personal, or prior business or professional relationship with the practitioner or law firm; or (3) Person who routinely uses for business purposes the type of legal services offered by the practitioner. (c) A practitioner shall not solicit professional employment even when not otherwise prohibited by paragraph (b) of this section, if: (1) The target of solicitation has made known to the practitioner a desire not to be solicited by the practitioner, or (2) The solicitation involves coercion, duress, or harassment. (d) This section does not prohibit communications authorized by law or ordered by a court or other tribunal. (e) Notwithstanding the prohibitions in this section, a practitioner may participate with a prepaid or group legal service plan operated by an organization not owned or directed by the practitioner that uses live person-to-person contact to enroll members or sell subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan. [86 FR 28467, May 26, 2021]
37 CFR 11.704 — [Reserved] Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Communication of fields of practice and specialization.

§ 11.704 Communication of fields of practice and specialization. (a) A practitioner may communicate the fact that the practitioner does or does not practice in particular fields of law. (b) A registered practitioner under § 11.6(a) who is an attorney may use the designation “Patents,” “Patent Attorney,” “Patent Lawyer,” “Registered Patent Attorney,” or a substantially similar designation. A registered practitioner under § 11.6(b) who is not an attorney may use the designation “Patents,” “Patent Agent,” “Registered Patent Agent,” or a substantially similar designation. A registered practitioner under § 11.6(d) who is an attorney may use the designation “Design Patent Attorney.” A registered practitioner under § 11.6(d) who is not an attorney may use the designation “Design Patent Agent.” Unless authorized by § 11.14(b), a registered patent agent or design patent agent shall not hold themself out as being qualified or authorized to practice before the Office in trademark matters or before a court. (c) [Reserved] (d) A practitioner shall not state or imply that a practitioner is certified as a specialist in a particular field of law, unless: (1) The practitioner has been certified as a specialist by an organization that has been approved by an appropriate state authority or that has been accredited by the American Bar Association; and (2) The name of the certifying organization is clearly identified in the communication. (e) Individuals granted limited recognition may use the designation “Limited Recognition” but may not hold themselves out as being registered. [78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28467, May 26, 2021; 88 FR 78650, Nov. 16, 2023]
37 CFR 11.705 — [Reserved] Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Firm names and letterheads.

§ 11.705 Firm names and letterheads. (a) A practitioner shall not use a firm name, letterhead or other professional designation that violates § 11.701. A trade name may be used by a practitioner in private practice if it does not imply a connection with a government agency or with a public or charitable legal services organization and is not otherwise in violation of § 11.701. (b) [Reserved] (c) The name of a practitioner holding a public office shall not be used in the name of a law firm, or in communications on its behalf, during any substantial period in which the practitioner is not actively and regularly practicing with the firm.
37 CFR 11.801 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Registration, recognition and disciplinary matters.

§ 11.801 Registration, recognition and disciplinary matters. An applicant for registration or recognition to practice before the Office, or a practitioner in connection with an application for registration or recognition, or a practitioner in connection with a disciplinary or reinstatement matter, shall not: (a) Knowingly make a false statement of material fact; or (b) Fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, fail to cooperate with the Office of Enrollment and Discipline in an investigation of any matter before it, or knowingly fail to respond to a lawful demand or request for information from an admissions or disciplinary authority, except that the provisions of this section do not require disclosure of information otherwise protected by § 11.106.
37 CFR 11.802 — Representation of Others Before the United States Patent and Trademark Office
Current through: 2024-07-01

Judicial and legal officials.

§ 11.802 Judicial and legal officials. (a) A practitioner shall not make a statement that the practitioner knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, or of a candidate for election or appointment to judicial or legal office. (b) A practitioner who is a candidate for judicial office shall comply with the applicable provisions of the Code of Judicial Conduct.