Legal Definitions - Office of Enrollment and Discipline

The Office of Enrollment and Discipline is a division within the U.S. Patent and Trademark Office (PTO).

It is responsible for licensing patent attorneys and agents, and for investigating and addressing complaints of misconduct against them. This office has the authority to sanction, suspend, or disbar practitioners from practicing before the PTO.

The Office of Enrollment and Discipline (OED) is a specific division within the U.S. Patent and Trademark Office (USPTO). Its primary role is to oversee and regulate the individuals who are authorized to represent inventors and companies in matters before the USPTO. This includes both patent attorneys and patent agents.

The OED has two main responsibilities:

• Enrollment and Licensing: It sets the standards and administers the examinations for individuals seeking to become registered patent attorneys or patent agents. It then grants them the license to practice before the USPTO.
• Discipline and Oversight: It investigates complaints of misconduct against these registered patent practitioners. If misconduct is found, the OED has the authority to impose sanctions, which can range from warnings to suspending or permanently disbarring a practitioner from representing clients before the USPTO. This disciplinary authority operates alongside any actions a state bar association might take.

Here are some examples illustrating the role of the Office of Enrollment and Discipline:

• Example 1: Licensing a New Patent Agent
  Sarah, an engineer with a strong scientific background, decides she wants to help inventors secure their patents. She studies for and passes the rigorous Patent Bar Exam. Before she can officially represent clients before the USPTO as a patent agent, she must apply to the OED, which will review her qualifications and exam results to ensure she meets all requirements for enrollment. If approved, the OED will officially register her, allowing her to practice.

  This example illustrates the OED's role in the "enrollment and licensing" aspect, ensuring that only qualified individuals are authorized to practice before the USPTO.

• Example 2: Investigating a Missed Deadline
  An inventor, Mr. Chen, hired a registered patent attorney to file a crucial patent application. Due to an oversight, the attorney missed a critical deadline for submitting required documents, causing Mr. Chen's application to be abandoned and potentially losing his patent rights. Mr. Chen files a formal complaint with the OED, detailing the attorney's negligence.

  This example demonstrates the OED's "discipline and oversight" function. It highlights how the OED investigates complaints of misconduct, such as negligence, by patent practitioners and can take action to address the attorney's failure to meet professional standards.

• Example 3: Addressing Misleading Advertising
  A patent agent, Mr. Davies, begins advertising his services by making exaggerated claims about his success rate and guaranteeing patent grants, which is unethical and misleading. Several clients, feeling deceived after their applications were rejected despite Mr. Davies's guarantees, report his advertising practices to the OED.

  This example showcases the OED's role in upholding ethical standards. The OED would investigate Mr. Davies's advertising for professional misconduct, and if found in violation of the rules of professional conduct, could impose sanctions, including suspension, to protect the public from deceptive practices.