Signature Requirements for Papers Filed in an Application

37 CFR 11.18 Signature and certificate for correspondence filed in the

Office.

(a) For all documents filed in the Office in

patent, trademark, and other non-patent matters, and all documents filed

with a hearing officer in a disciplinary proceeding, except for

correspondence that is required to be signed by the applicant or party, each

piece of correspondence filed by a practitioner in the Office must bear a

signature, personally signed or inserted by such practitioner, in compliance

with §

1.4(d)

or § 2.193(a) of this chapter.

(b) By presenting to the Office or hearing officer

in a disciplinary proceeding (whether by signing, filing, submitting, or

later advocating) any paper, the party presenting such paper, whether a

practitioner or non-practitioner, is certifying that—

(1) All statements made therein of the

party’s own knowledge are true, all statements made therein on

information and belief are believed to be true, and all statements

made therein are made with the knowledge that whoever, in any matter

within the jurisdiction of the Office, knowingly and willfully

falsifies, conceals, or covers up by any trick, scheme, or device a

material fact, or knowingly and willfully makes any false, fictitious,

or fraudulent statements or representations, or knowingly and

willfully makes or uses any false writing or document knowing the same

to contain any false, fictitious, or fraudulent statement or entry,

shall be subject to the penalties set forth under

18 U.S.C.

1001

and any other applicable criminal statute,

and violations of the provisions of this section may jeopardize the

probative value of the paper; and

(2) To the best of the party’s knowledge,

information and belief, formed after an inquiry reasonable under the

circumstances,

contain any false, fictitious, or fraudulent statement or entry,

shall be subject to the penalties set forth under

18 U.S.C.

1001

and any other applicable criminal statute,

and violations of the provisions of this section may jeopardize the

probative value of the paper; and

(2) To the best of the party’s knowledge,

information and belief, formed after an inquiry reasonable under the

circumstances,

(i) The paper is not being presented

for any improper purpose, such as to harass someone or to cause

unnecessary delay or needless increase in the cost of any

proceeding before the Office;

(ii) The other legal contentions

therein are warranted by existing law or by a nonfrivolous

argument for the extension, modification, or reversal of

existing law or the establishment of new law;

(iii) The allegations and other factual

contentions have evidentiary support or, if specifically so

identified, are likely to have evidentiary support after a

reasonable opportunity for further investigation or discovery;

and

(iv) The denials of factual contentions

are warranted on the evidence, or if specifically so identified,

are reasonably based on a lack of information or belief.

(c) Violations of any of paragraphs (b)(2)(i)

through (iv) of this section are, after notice and reasonable opportunity to

respond, subject to such sanctions or actions as deemed appropriate by the

USPTO Director, which may include, but are not limited to, any combination

of—

(1) Striking the offending paper;

(2) Referring a practitioner’s conduct to

the Director of the Office of Enrollment and Discipline for

appropriate action;

(3) Precluding a party or practitioner from

submitting a paper, or presenting or contesting an issue;

(4) Affecting the weight given to the

offending paper; or

(5) Terminating the proceedings in the

Office.

e not limited to, any combination

of—

(1) Striking the offending paper;

(2) Referring a practitioner’s conduct to

the Director of the Office of Enrollment and Discipline for

appropriate action;

(3) Precluding a party or practitioner from

submitting a paper, or presenting or contesting an issue;

(4) Affecting the weight given to the

offending paper; or

(5) Terminating the proceedings in the

Office.

(d) Any practitioner violating the provisions of

this section may also be subject to disciplinary action.

37 CFR

11.18(a)

emphasizes that every paper filed by a practitioner

must be personally signed by the practitioner, except those required to be signed by

the applicant or party.

37 CFR

11.18(b)

provides that, by presenting any paper to the Office,

the party presenting such paper (whether a practitioner or non-practitioner) is: (1)

certifying that the statements made therein are subject to the declaration clause of

37 CFR

1.68

; and (2) making the certifications required for papers

filed in a federal court under Rule 11(b) of the Federal Rules of Civil Procedure.

See

MPEP §

410

.

37 CFR 11.18(d)

provides that any

practitioner violating the provisions of

37 CFR 11.18

may also be subject

to disciplinary action, thus clarifying that a practitioner may be subject to

disciplinary action in lieu of, or in addition to, the sanctions set forth in

37 CFR

11.18(c)

for violations of

37 CFR 11.18

. See also

37 CFR

1.4(d)(4)

.

The certifications in

37 CFR 11.18(b)

apply to all papers filed in the Office, including allegations of improper conduct

made by a registered practitioner in any Office proceeding.