Michael Jewess, CIPA/ITMA CPD WEBINAR on professional ethics, 17 July 2018:  BIBLIOGRAPHY (compiled 12 July 2018)

 

(For Michael Jewess’s home page, click HOME.)

 

I.  GENERAL

     Michael Jewess, Inside intellectual property (CIPA, London 2013), see www.researchinip.com/iip.htm.  Chapter 2 sets out the arguments in this webinar at more length.  Chapter 1 deals with "Legal Professional Quality".  Chapter 5 deals with patenting, including ethical challenges on arising from patent novelty searching.  Chapter 8 deals with branding, including the ethical challenges which trade mark cluttering presents to the practitioner.  Chapter 11 at para 11.06 deals with dubious negotiating tactics.  Chapter 15 deals with the practice’s financial model, at page 312 specifically with charging practices that can misalign the interests of the practice with those of the client.

      IPReg, Rules of conduct for patent attorneys, trade mark attorneys and other regulated persons (first issued September 2009, including amendments to April 2016, commencement date 1 January 2015):  http://ipreg.org.uk/wp-content/files/2012/08/IPReg-Code-of-Conduct-April-2016-website.pdf.  Additional Guidance to Rule 11 issued by e-mail (http://ipreg.org.uk/pro/practice-development/client-accounts/) to all private practices and sole practitioners:  http://ipreg.org.uk/wp-content/files/2015/10/Client_Monies_Guidance_10_Sep_15_Final_with_footnotes.pdf.  Some revision is likely in 2019 or 2020.

     IPReg, Special rules of professional conduct applicable to regulated persons conducting litigation or exercising a right of audience before the courts (commencement date 15 September 2011, updated May 2015).  Amendment of Guidance to Rule 3.4 proposed by IPReg in September 2013 not yet made.  See http://ipreg.org.uk/wp-content/files/2012/08/Litigators_Code_for_website_2015.pdf and http://ipreg.org.uk/pro/rules-and-regulations/litigators-code/.

     IPReg, IPReg Practical training protocol (2018), https://ipreg.org.uk/ipreg-practical-training-protocol-template/, referring to two Competency frameworks, for patent and trade mark attorney trainees respectively.  For guidance only, but note emphasis on training in the IPReg Rules of conduct ... as well as in law and practice.

     CITMA, Professional representation before the EUIPO post-Brexit (12 August 2016), https://www.citma.org.uk/membership/brexit/professional_representation_before_euipo.  Many UK practitioners will lose ETMA/EDA status post-Brexit;  care with letterheadings, business cards, etc. is needed.

     Administrative Council of the European Patent Organisation, Regulation on discipline for professional representatives (in force from 21 October 1977, amended to 2007), available under http://patentepi.com/en/the-institute/rules-and-regulations.html.

     European Patent Institute, The code of conduct of the Institute of Professional Representatives before the European Patent Office (decided 13 November 1979, supplemented and amended to 2001), available under http://patentepi.com/en/the-institute/rules-and-regulations.html.

     Solicitors Regulation Authority, SRA Handbook, Version 19 (1 October 2017), available under http://www.sra.org.uk, which includes SRA principles 2011 (as amended to 1 November 2015) and Code of conduct 2011 (as amended to 1 April 2016).

     Solicitors Regulation Authority, Warning notice:  offensive communications (24 August 2017), https://www.sra.org.uk/solicitors/code-of-conduct/guidance/warning-notices/Offensive-communications--Warning-notice.page.  This guidance warns against offensive use of social media and e-mail both inside and outside of professional practice.

    

II.  CONDITIONAL FEES

     The Damages-Based Agreements Regulations, SI 2013 No 609.

 

III.  LIENS

 

     IPReg, Practice note & guidance on liens on client IP and enduring powers of attorney [ie liens intended to compensate the practitioner if bills are not paid] (2013), http://ipreg.org.uk/wp-content/files/2013/04/IPReg_Practice_Guidance_Jan_20132.pdf.

 

IV.  BRIBERY, MONEY-LAUNDERING, ORGANISED CRIME, SANCTIONS-BUSTING, COMPANY CODES OF CONDUCT (very highly selective)

     Bribery Act, 2010.  Section 7(2) refers to "adequate procedures" to protect clients and practices against criminal liability.

     IPReg, Anti-money laundering (undated, probably 2015), http://ipreg.org.uk/pro/practice-development/anti-money-laundering/.

     Serious Crime Act, 2015.  Section 45 lowers the threshold for criminal liability of professionals (among others) of knowledge of organised criminal activity.

     Policing and Crime Act 2017.  Sections 146 to 149 allow the Treasury to impose civil financial penalties on legal and natural persons in relation to sanctions busting.  Section 145 increases certain criminal penalties under the Anti-Terrorism, Crime and Security Act, 2001.

     Lucy Kellaway, Financial Times, 27 March 2017, “Codes of conduct are in breach of common sense”, a critique of some company codes of conduct but endorsing the “newspaper test” or “Private Eye test”.

 

V.  DIVERSITY

     SRA, Ethnic diversity in law firms - understanding the barriers (May 2010), available at http://www.lawsociety.org.uk/policy-campaigns/research-trends/research-publications/documents/ethnic-diversity-in-law-firms---understanding-the-barriers/.

     SRA, Your firm data (probably late 2017), http://www.sra.org.uk/diversitydata.  This links to a Diversity questionnaire in word format that had been used in the August 2017 data collection exercise, and says firms should publish a summary of their firm data while protecting personal information.  The next collection exercise is planned for spring 2019.

     Nicholas Fox, Recruitment and diversity in the patent and trade mark professions (IPReg, 2013), http://ipreg.org.uk/wp-content/files/2013/04/Recruitment_and_Diversity_in_the_Patent_and_Trade_Mark_Professions_Final.pdf 

      Nicholas Fox, Gender and diversity in the patent and trade mark professions (IPReg, 2016), http://ipreg.org.uk/wp-content/files/2013/04/2016-Gender-and-Diversity-in-the-Patent-and-Trade-Mark-Professions.pdf.

      IPReg, Legal Services Board – consultation on diversity guidance [response to] (2016), http://ipreg.org.uk/wp-content/files/2016/12/LSB-Diversity-Consultation-IPReg-response-.pdf.

     Legal Services Board –Encouraging a diverse workforce (guidance effective 15 February 2017) http://www.legalservicesboard.org.uk/what_we_do/consultations/closed/pdf/20170215/2017_Encouraging_A_Diverse_Workforce.pdf  - see  Annex B for the final guidance to regulators following submissions from IPReg (preceding reference) and others, specifically listing diversity of socio-economic background and warning of a review of regulators in August 2018.

    IP Inclusive, A charter for equality, diversity, and inclusion (undated, probably 2015 or 2016, with signing up continuing to be invited), http://www.ipinclusive.org.uk/charter.html.

     IP Inclusive, Annual report 2017, http://www.ipinclusive.org.uk/uploads/2/5/2/6/25268365/180109_ip_inclusive_annual_report_2017.pdf, reporting the 2017 focus on business benefits of diversity.

 

 

VI.  RESERVED ACTIVITIES;  RESTRICTIONS ON IN-HOUSE PRACTICES

 

      Legal Services Act, 2007.  Section 15 relates to in-house practitioners engaging in reserved legal activities as defined in Section 12 is an "overriding obligation" referred to in the IPReg Code, Rule 2.

 

      IPReg, Rights to conduct litigation and rights of audience and other reserved legal activities certification rules 2012 (commencement date 31 December 2012, as amended to 19 January 2015):  http://ipreg.org.uk/wp-content/files/2013/01/IPReg_Regulations_Post-ABS_Website.pdf.  These rules mainly with litigation, but under Rule 9 patent and trade mark attorneys are allowed to draft deeds relating to intellectual property rights and to administer oaths.+

 

      IPReg, Registered Bodies Regulations, 2015 (commencement date 1 January 2015): http://ipreg.org.uk/wp-content/files/2014/12/Registered_Bodies_Regulations_2015.pdf.

 

      Legal Services Board, Statement of policy on section 15(4) of the Legal Services Act 2007: regulatory arrangements for in-house lawyers (February 2016) http://www.legalservicesboard.org.uk/Projects/thematic_review/pdf/201602_S15_Statement_Of_Policy.pdf.*  The title is potentially misleading:  the LSB considers that some regulators, including IPReg, impose restrictions beyond the scope of section 15(4), ie on non-reserved legal activities carried out in-house. 

 

 

 

(For Michael Jewess’s home page, click HOME.)

 

 

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+  Administering oaths is the discharge of a public office and cannot be done by an attorney or a solicitor for his own clients, and for which a small fixed fee is prescribed.  See Nicholas Fox, CIPA Journal, June 2013.   

 

*  This statement of policy followed the consultation, Legal Services Board, Are regulatory restrictions in practising rules for in-house lawyers justified? (26 February 2015) http://www.legalservicesboard.org.uk/Projects/thematic_review/pdf/S15_(In_House_Lawyers)_Discussion_Paper_(Feb_2015).pdf.