[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR10.133]

[Page 364-365]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                         DEPARTMENT OF COMMERCE
 
PART 10--REPRESENTATION OF OTHERS BEFORE THE PATENT AND TRADEMARK OFFICE--Table of Contents
 
Sec. 10.133  Conference between Director and practitioner; resignation.

    (a) General. The Director may confer with a practitioner concerning 
possible violations by the practitioner of a Disciplinary Rule whether 
or not a disciplinary proceeding has been instituted.
    (b) Resignation. Any practitioner who is the subject of an 
investigation under Sec. 10.131 or against whom a complaint has been 
filed under Sec. 10.134 may resign from practice before the Office only 
by submitting with the Director an affidavit stating his or her desire 
to resign.
    (c) If filed prior to the date set by the administrative law judge 
for a hearing, the affidavit shall state that:
    (1) The resignation is freely and voluntarily proffered;
    (2) The practitioner is not acting under duress or coercion from the 
Office;
    (3) The practitioner is fully aware of the implications of filing 
the resignation;
    (4) The practitioner is aware (i) of a pending investigation or (ii) 
of charges arising from the complaint alleging that he or she is guilty 
of a violation of the Patent and Trademark Office Code of Professional 
Responsibility, the nature of which shall be set forth by the 
practitioner to the satisfaction of the Director;
    (5) The practitioner acknowledges that, if and when he or she 
applies for reinstatement under Sec. 10.160, the Director will 
conclusively presume, for the limited purpose of determining the 
application for reinstatement, that:
    (i) The facts upon which the complaint is based are true and
    (ii) The practitioner could not have successfully defended himself 
or herself against (A) charges predicated on the violation under 
investigation or (B) charges set out in the complaint filed against the 
practitioner.
    (d) If filed on or after the date set by the administrative law 
judge for a hearing, the affidavit shall make the statements required by 
paragraphs (b)

[[Page 365]]

(1) through (4) of this section and shall state that:
    (1) The practitioner acknowledges the facts upon which the complaint 
is based are true; and
    (2) The resignation is being submitted because the practitioner 
could not successfully defend himself or herself against (i) charges 
predicated on the violation under investigation or (ii) charges set out 
in the complaint.
    (e) When an affidavit under paragraph (b) or (c) of this section is 
received while an investigation is pending, the Commissioner shall enter 
an order excluding the practitioner ``on consent.'' When an affidavit 
under paragraph (b) or (c) of this section is received after a complaint 
under Sec. 10.134 has been filed, the Director shall notify the 
administrative law judge. The administrative law judge shall enter an 
order transferring the disciplinary proceeding to the Commissioner and 
the Commissioner shall enter an order excluding the practitioner ``on 
consent.''
    (f) Any practitioner who resigns from practice before the Office 
under this section and who intends to reapply for admission to practice 
before the Office must comply with the provisions of Sec. 10.158.
    (g) Settlement. Before or after a complaint is filed under 
Sec. 10.134, a settlement conference may occur between the Director and 
a practitioner for the purpose of settling any disciplinary matter. If 
an offer of settlement is made by the Director or the practitioner and 
is not accepted by the other, no reference to the offer of settlement or 
its refusal shall be admissible in evidence in the disciplinary 
proceeding unless both the Director and the practitioner agree in 
writing.