Representation & Ethics (400)

Question 1

Who may practice before the USPTO in patent matters?

Answer 1

Registered patent attorneys and agents.

Question 2

What is the difference between a patent attorney and agent?

Answer 2

Attorneys are licensed lawyers; agents are not, but both are registered to practice before the USPTO.

Question 3

What is the USPTO registration exam?

Answer 3

The Patent Bar exam, required for registration.

Question 4

Who administers the USPTO registration exam?

Answer 4

The Office of Enrollment and Discipline (OED).

Question 5

Can foreign attorneys practice before the USPTO?

Answer 5

No, only registered U.S. patent practitioners may represent others.

Question 6

Can inventors prosecute their own applications?

Answer 6

Yes, they can appear pro se.

Question 7

Can corporate officers prosecute applications?

Answer 7

Only if they are registered practitioners.

Question 8

Can law students practice before the USPTO?

Answer 8

Only under the supervision of a registered practitioner via a student practice rule.

Question 9

Can someone disbarred practice before the USPTO?

Answer 9

No, they are barred from representation.

Question 10

What is required to be listed as a practitioner?

Answer 10

Registration number and inclusion in the USPTO roster.

Question 11

What is a power of attorney?

Answer 11

A written authorization for a practitioner or law firm to act on behalf of the applicant.

Question 12

Who can grant a power of attorney in a patent application?

Answer 12

The applicant, assignee, or a legal representative.

Question 13

How must a power of attorney be submitted?

Answer 13

In writing, signed, and filed with the USPTO.

Question 14

Can a power of attorney be filed electronically?

Answer 14

Yes, via Patent Center.

Question 15

What is a customer number?

Answer 15

An identifier linking practitioners or firms to patent applications.

Question 16

What is a general power of attorney?

Answer 16

A blanket authorization applying to multiple future applications.

Question 17

What is a specific power of attorney?

Answer 17

Authorization for a particular application only.

Question 18

Can power of attorney be revoked?

Answer 18

Yes, by written notice to the USPTO.

Question 19

What happens if no power of attorney is on file?

Answer 19

USPTO communicates with the applicant directly.

Question 20

Can power of attorney survive after the practitioner leaves a firm?

Answer 20

Only if the practitioner was appointed individually, not as part of the firm.

Question 21

What is the OED?

Answer 21

Office of Enrollment and Discipline, which handles practitioner conduct.

Question 22

What are grounds for disciplinary action by the USPTO?

Answer 22

Dishonesty, misrepresentation, neglect, conviction of a serious crime, or misconduct.

Question 23

What rules govern practitioner conduct?

Answer 23

37 CFR Part 11, including the USPTO Rules of Professional Conduct.

Question 24

Can a practitioner be disciplined for conduct outside of patent practice?

Answer 24

Yes, if it reflects adversely on their fitness to practice.

Question 25

What is required when a conflict of interest arises?

Answer 25

Disclosure and client consent, often in writing.

Question 26

Are practitioners obligated to report misconduct?

Answer 26

Yes, they must report substantial violations by others.

Question 27

Can a practitioner communicate directly with a represented party?

Answer 27

No, only with consent of that party’s counsel.

Question 28

What is competence in USPTO practice?

Answer 28

The legal, scientific, and procedural knowledge required to handle a matter.

Question 29

What is diligence in USPTO practice?

Answer 29

Prompt and attentive representation.

Question 30

What is a fiduciary duty?

Answer 30

The obligation to act in the best interest of the client.

Question 31

Is client confidentiality required?

Answer 31

Yes, unless disclosure is authorized or required by law.

Question 32

Can fees be split with non-practitioners?

Answer 32

No, fee-splitting with non-practitioners is not permitted.

Question 33

What is unauthorized practice of law?

Answer 33

Practicing law or giving legal advice without being a licensed attorney.

Question 34

Can a patent agent prepare licensing agreements?

Answer 34

No, they may only practice before the USPTO, not in general legal matters.

Question 35

What should a practitioner do if they discover inequitable conduct?

Answer 35

Advise the client and consider withdrawing if not corrected.

Question 36

What is the duty of candor?

Answer 36

The obligation to disclose known material information to the USPTO.

Question 37

What is a sanction under USPTO rules?

Answer 37

Discipline imposed for violating ethical rules, such as suspension or disbarment.

Question 38

Can a practitioner be reinstated after disbarment?

Answer 38

Yes, by petition after a waiting period and showing rehabilitation.

Question 39

What is client consent?

Answer 39

Written agreement from a client after full disclosure of facts and risks.

Question 40

Can a practitioner hold a financial interest in a client’s patent?

Answer 40

Only with full disclosure and written consent.

Question 41

What is a patent agent?

Answer 41

A non-lawyer registered to practice before the USPTO.

Question 42

What is a power of attorney?

Answer 42

A document authorizing representation before the USPTO.

Question 43

What is the OED?

Answer 43

Office of Enrollment and Discipline.

Question 44

What is the Patent Bar?

Answer 44

The USPTO registration exam for practitioners.

Question 45

What is pro se representation?

Answer 45

An inventor representing themselves.

Question 46

What is a customer number?

Answer 46

An identifier used to link applications to a practitioner or firm.

Question 47

What is a conflict of interest?

Answer 47

A situation where a practitioner’s duty to one client may conflict with another.

Question 48

What is a fiduciary?

Answer 48

A person in a position of trust, acting for another’s benefit.

Question 49

What is the duty of candor?

Answer 49

An obligation to be honest and disclose material information to the USPTO.

Question 50

What is client confidentiality?

Answer 50

The duty to keep client information private.

Question 51

What is competence?

Answer 51

Having the knowledge and skill necessary for representation.

Question 52

What is diligence?

Answer 52

Prompt and careful attention to client matters.

Question 53

What is a disciplinary proceeding?

Answer 53

An investigation and possible sanction for practitioner misconduct.

Question 54

What is a specific power of attorney?

Answer 54

Authorization for a single patent application.

Question 55

What is a general power of attorney?

Answer 55

Authorization covering multiple applications.

Question 56

What is a sanction?

Answer 56

A penalty for unethical conduct.

Question 57

What is disbarment?

Answer 57

Removal of a practitioner’s right to represent clients.

Question 58

What is fee-splitting?

Answer 58

Sharing legal fees with non-practitioners, which is prohibited.

Question 59

What is unauthorized practice?

Answer 59

Acting as a lawyer without a license.

Question 60

What is full disclosure?

Answer 60

Providing all relevant facts to a client before obtaining consent.