Ethics of Prior Art Survey

1. Question: Assuming that you know of non-cumulative prior art that is materially related to your pending patent application, would you be committing an ethical violation by failing to submit the reference to the PTO?

Question: Assuming that you know of non-cumulative prior art that is materially related to your pending patent application, would you be committing an ethical violation by failing to submit the reference to the PTO? Yes

Other (please specify)

2. How does your answer change if you learned of the prior art only after receiving a notice of allowance?

How does your answer change if you learned of the prior art only after receiving a notice of allowance? No, failing to submit the art would not be an ethical violation.

Yes, failing to submit the art would be an ethical violation.

Other (please specify)

3. Situation: Assume that you learn of material, non-cumulative prior art after receiving a notice of allowance, but before the patent issues. The in-house patent attorney demands that you to pay the issue fee and not submit the reference.

Question: What do you do?

	Strongly Disagree	Unsure	Strongly Agree
Report the in-house attorney to the USPTO Office of Enrollment & Discipline (OED).	*Situation: Assume that you learn of material, non-cumulative prior art after receiving a notice of allowance, but before the patent issues. The in-house patent attorney demands that you to pay the issue fee and not submit the reference. Question: What do you do? Report the in-house attorney to the USPTO Office of Enrollment & Discipline (OED). Strongly Disagree	Report the in-house attorney to the USPTO Office of Enrollment & Discipline (OED). Unsure	Report the in-house attorney to the USPTO Office of Enrollment & Discipline (OED). Strongly Agree
Follow the client's orders.	Follow the client's orders. Strongly Disagree	Follow the client's orders. Unsure	Follow the client's orders. Strongly Agree
Go ahead and file an IDS with the reference (against the clients orders).	Go ahead and file an IDS with the reference (against the clients orders). Strongly Disagree	Go ahead and file an IDS with the reference (against the clients orders). Unsure	Go ahead and file an IDS with the reference (against the clients orders). Strongly Agree
Advise the client of the duty of candor.	Advise the client of the duty of candor. Strongly Disagree	Advise the client of the duty of candor. Unsure	Advise the client of the duty of candor. Strongly Agree
Withdraw your firm from the case.	Withdraw your firm from the case. Strongly Disagree	Withdraw your firm from the case. Unsure	Withdraw your firm from the case. Strongly Agree

Other (please specify)

4. Situation: Assuming that you receive a package labeled "PRIOR ART RELATED TO PENDING CASE NO 11/XXX,XXX." Your firm handles that pending case.

Question: May you ethically leave the package unopened?

Situation: Assuming that you receive a package labeled "PRIOR ART RELATED TO PENDING CASE NO 11/XXX,XXX." Your firm handles that pending case. Question: May you ethically leave the package unopened? No

Yes

Other (please specify)

5. Following the above question: Assume you open the package and find material, non-cumulative prior art along with a claim chart linking each element of the pending claims are found in the references.

Question: Are you ethically required to submit the claim chart to the PTO?

Following the above question: Assume you open the package and find material, non-cumulative prior art along with a claim chart linking each element of the pending claims are found in the references. Question: Are you ethically required to submit the claim chart to the PTO? Yes

Other (please specify)

6. How many years have you been working with intellectual property or other legal issues?

How many years have you been working with intellectual property or other legal issues?

7. Your position (Check all that apply):

Your position (Check all that apply): Judiciary (Judge, clerk, etc.) In House Attorney/Agent Professor	Law Firm Student Business Exec (non-lawyer)	Examiner Inventor
Other (please specify)

8. Area of business or technology

Area of business or technology Marketing Litigation Medical Devices Generic Pharma Nanotechnology	Financial Services Chemical Mechanical Licensing Biotechnology	Electrical Diagnostics Telecommunications Business Strategy Pharmaceutical
Other (please specify)

9. OPTIONAL: Feel free to provide your contact information.

OPTIONAL: Feel free to provide your contact information. Name
Phone number
E-mail address

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