Legal Definitions - PTO Code of Professional Responsibility

The PTO Code of Professional Responsibility refers to the comprehensive set of ethical rules and professional standards that govern individuals who represent inventors and companies before the U.S. Patent and Trademark Office (PTO). These rules ensure that patent attorneys, patent agents, and other authorized practitioners conduct themselves with integrity, competence, and fairness when handling patent and trademark matters, upholding the public trust in the intellectual property system.

Here are some examples illustrating how the PTO Code of Professional Responsibility applies:

• Example 1: Avoiding Conflicts of Interest

  Imagine a patent attorney, Ms. Chen, is hired by Company A to patent a new type of battery technology. Shortly after, Company B, a direct competitor, approaches Ms. Chen to patent their own similar battery innovation. The PTO Code of Professional Responsibility would prohibit Ms. Chen from representing Company B because doing so would create a direct conflict of interest with her existing client, Company A. She has a duty of loyalty to Company A and cannot represent a competitor in a related matter without specific waivers and careful consideration, which are often difficult to obtain in such direct competition scenarios.

• Example 2: Duty of Candor and Good Faith

  Mr. Davis, a patent agent, is prosecuting a patent application for a client's unique software algorithm. During his research, he discovers a very similar algorithm published in an obscure academic paper that could potentially make his client's invention unpatentable. The PTO Code requires Mr. Davis to disclose this "prior art" (previous invention or publication) to the patent examiner, even if it might weaken his client's case. Failing to disclose known material information would be a violation of his duty of candor and good faith to the PTO, potentially leading to disciplinary action and even invalidating the patent if it were granted.

• Example 3: Competence and Diligence

  A new patent attorney, Mr. Lee, takes on a complex biotechnology patent application for a client. Due to his inexperience in this specific field, he fails to properly understand the technical nuances of the invention and misses a critical deadline for filing a response to an office action from the PTO. As a result, the client's patent application becomes abandoned, losing all potential patent rights. The PTO Code of Professional Responsibility mandates that practitioners only handle matters for which they are competent or seek assistance from those who are. Mr. Lee's lack of diligence and competence in handling the matter, leading to the abandonment, would be a violation of the Code.