[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: 37CFR10.40]

[Page 356-357]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                         DEPARTMENT OF COMMERCE
 
PART 10--REPRESENTATION OF OTHERS BEFORE THE PATENT AND TRADEMARK OFFICE--Table of Contents
 
Sec. 10.40  Withdrawal from employment,

    (a) A practitioner shall not withdraw from employment in a 
proceeding before the Office without permission from the Office (see 
Secs. 1.36 and 2.19 of this subchapter). In any event, a practitioner 
shall not withdraw from employment until the practitioner has taken 
reasonable steps to avoid foreseeable prejudice to the rights of the 
client, including giving due notice to his or her client, allowing time 
for employment of another practitioner, delivering to the client all 
papers and property to which the client is entitled, and complying with 
applicable laws and rules. A practitioner who withdraws from employment 
shall refund promptly any part of a fee paid in advance that has not 
been earned.
    (b) Mandatory withdrawal. A practitioner representing a client 
before the Office shall withdraw from employment if:
    (1) The practitioner knows or it is obvious that the client is 
bringing a legal action, commencing a proceeding before the Office, 
conducting a defense, or asserting a position in litigation or any 
proceeding pending before the Office, or is otherwise having steps taken 
for the client, merely for the purpose of harassing or maliciously 
injuring any person;
    (2) The practitoner knows or it is obvious that the practitoner's 
continued employment will result in violation of a Disciplinary Rule;
    (3) The practitioner's mental or physical condition renders it 
unreasonably difficult for the practitioner to carry out the employment 
effectively; or
    (4) The practitioner is discharged by the client.

[[Page 357]]

    (c) Permissive withdrawal. If paragraph (b) of this section is not 
applicable, a practitioner may not request permission to withdraw in 
matters pending before the Office unless such request or such withdrawal 
is because:
    (1) The petitioner's client:
    (i) Insists upon presenting a claim or defense that is not warranted 
under existing law and cannot be supported by good faith argument for an 
extension, modification, or reversal of existing law;
    (ii) Personally seeks to pursue an illegal course of conduct;
    (iii) Insists that the practitioner pursue a course of conduct that 
is illegal or that is prohibited under a Disciplinary Rule;
    (iv) By other conduct renders it unreasonably difficult for the 
practitioner to carry out the employment effectively;
    (v) Insists, in a matter not pending before a tribunal, that the 
practitioner engage in conduct that is contrary to the judgment and 
advice of the practitioner but not prohibited under the Disciplinary 
Rule; or
    (vi) Has failed to pay one or more bills rendered by the 
practitioner for an unreasonable period of time or has failed to honor 
an agreement to pay a retainer in advance of the performance of legal 
services.
    (2) The practitioner's continued employment is likely to result in a 
violation of a Disciplinary Rule;
    (3) The practitioner's inability to work with co-counsel indicates 
that the best interests of the client likely will be served by 
withdrawal;
    (4) The practitioner's mental or physical condition renders it 
difficult for the practitioner to carry out the employment effectively;
    (5) The practitioner's client knowingly and freely assents to 
termination of the employment; or
    (6) The practitioner believes in good faith, in a proceeding pending 
before the Office, that the Office will find the existence of other good 
cause for withdrawal.