Signature as Certificate

37 C.F.R.  Signature as certification.

The presentation to the Office (whether by signing,

filing, submitting, or later advocating) of any document by any person, whether a

practitioner or non-practitioner, constitutes a certification under §11.18(b) of

this chapter.  Violations of §11.18(b) of this chapter may jeopardize the validity

of the application or registration, and may result in the imposition of sanctions

under §11.18(c) of this chapter.  Any practitioner violating §11.18(b) of this

chapter may also be subject to disciplinary action.

See

§11.18(d) and § 11.804 of this chapter.

37 C.F.R.  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)(1), §1.4(d)(2), 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

ion 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,

(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.

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.

(d) Any practitioner violating the provisions of

this section may also be subject to disciplinary action.