USPTO Rules, Ethics, and Procedure
USPTO Rules, Ethics, and Procedure tests Part 11 and the rules that govern practice before the Office: the duty of disclosure, signature certifications, candor, confidentiality, conflicts, and discipline.
Duty of disclosure
37 CFR 1.56 requires each individual associated with the application-inventors, attorneys, and agents-to disclose material information. Information is material if it is not cumulative and either establishes a prima facie case of unpatentability or contradicts a position the applicant takes. There is no duty to search, but the duty continues during pendency. Related foreign search reports and litigation references often matter.
Signatures, candor, and confidentiality
37 CFR 11.18 certifies that a filing is not presented for an improper purpose, that legal contentions are warranted, and that factual contentions have evidentiary support. 11.18(c) authorizes sanctions. 11.303 requires candor toward the tribunal. 11.106 protects client information, 11.107 governs conflicts, 11.101 requires competence, and 11.104 requires communication. Confidentiality does not authorize misleading the Office.
Worked example
An agent files a 37 CFR 1.132 declaration in which an expert states that a reference "does not teach" a claimed feature, but the agent has read the reference and knows it expressly teaches that feature. Signing the submission violates 11.18 and 11.303. The agent must correct the record or withdraw the submission; staying silent risks discipline and undermines the client's case.
Traps
Limiting the duty of disclosure to prior art is wrong; material information can include adverse facts and inconsistent statements. Withholding a known reference because it is "bad" invites inequitable-conduct allegations. Signing another person's name is prohibited. Joint representation can create 11.107 conflicts. Practicing before the USPTO without registration or limited recognition is unauthorized.