PPC Client Communication & Confidentiality Standards 3 — Questions and Answers
Question 1: Which of the following actions would most likely constitute a waiver of attorney-client privilege?
- Sharing a legal memo with a testifying expert witness (Correct answer)
- Sharing a legal memo between co-counsel working on the same matter
- Keeping a legal memo in an encrypted client file
- Sharing a legal memo with a non-testifying consulting expert
Correct answer: Sharing a legal memo with a testifying expert witness
Disclosing privileged communications to a testifying expert witness who is not protected by the privilege can constitute a waiver.
Question 2: A patent paralegal is working remotely and receives a client call while at a coffee shop. The best course of action is to:
- Take the call and speak quietly to minimize risk
- Step outside or to a private location before discussing case details (Correct answer)
- Ask the client to call back on a secure line
- Decline the call and send an encrypted email instead
Correct answer: Step outside or to a private location before discussing case details
Confidential client communications should never occur in public spaces where they can be overheard; moving to a private location is the immediate step.
Question 3: The work product doctrine primarily protects:
- All documents in a client's file
- Materials prepared by attorneys and their agents in anticipation of litigation (Correct answer)
- Communications between attorney and client
- Prior art searches conducted before a lawsuit
Correct answer: Materials prepared by attorneys and their agents in anticipation of litigation
The work product doctrine shields materials prepared by or for an attorney in anticipation of litigation or trial from opposing party discovery.
Question 4: A new employee at a client company calls the paralegal requesting a status update on the company's patent portfolio. The proper action is to:
- Provide the update if the caller knows the client's account number
- Verify the caller's authorization with the established client contact before sharing information (Correct answer)
- Provide only publicly available patent status from USPTO records
- Transfer the call directly to the filing attorney
Correct answer: Verify the caller's authorization with the established client contact before sharing information
Before disclosing any client information, the paralegal must verify that the caller is an authorized representative of the client.
Question 5: When using email to send a client a copy of their patent application draft, the paralegal should:
- Use a standard firm email with the draft as an attachment
- Use an encrypted or secure email platform and confirm the recipient's address (Correct answer)
- CC the client's business partner for reference
- Send via regular mail instead to avoid digital interception
Correct answer: Use an encrypted or secure email platform and confirm the recipient's address
Sensitive legal documents such as patent drafts must be sent through encrypted or secure channels with verified recipient addresses.
Question 6: Which scenario best illustrates the difference between the duty of confidentiality and attorney-client privilege?
- Both apply only to oral communications
- Privilege is an evidentiary rule preventing compelled disclosure; confidentiality is an ethical duty covering all client information (Correct answer)
- Confidentiality applies only during representation; privilege is permanent
- Privilege applies only in federal court; confidentiality applies only in state court
Correct answer: Privilege is an evidentiary rule preventing compelled disclosure; confidentiality is an ethical duty covering all client information
Attorney-client privilege is a narrow evidentiary protection against compelled disclosure, while the ethical duty of confidentiality is broader and covers all information relating to the representation.
Question 7: A paralegal notices that a client's patent correspondence has been mailed to an incorrect address by mistake. The correct immediate action is to:
- Wait to see if the mail is returned before reporting
- Notify the supervising attorney immediately and document the error (Correct answer)
- Attempt to retrieve the misdirected mail before informing anyone
- Resend the correspondence to the correct address and close the matter
Correct answer: Notify the supervising attorney immediately and document the error
Any inadvertent disclosure of client information must be reported immediately to the supervising attorney for proper remedial action.
PPC Client Communication & Confidentiality Standards 3
Which of the following actions would most likely constitute a waiver of attorney-client privilege?