[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: 37CFR10.18]

[Page 351-352]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                         DEPARTMENT OF COMMERCE
 
PART 10--REPRESENTATION OF OTHERS BEFORE THE PATENT AND TRADEMARK OFFICE--Table of Contents
 
Sec. 10.18  Signature and certificate for correspondence filed in the Patent and Trademark Office.

    (a) For all documents filed in the Office in patent, trademark, and 
other non-patent matters, except for correspondence that is required to 
be signed by the applicant or party, each piece of correspondence filed 
by a practitioner in the Patent and Trademark Office must bear a 
signature, personally signed by such practitioner, in compliance with 
Sec. 1.4(d)(1) of this chapter.
    (b) By presenting to the Office (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 Patent and 
Trademark Office, knowingly and willfully falsifies, conceals, or covers 
up by any trick, scheme, or device a material fact, or makes any false, 
fictitious or fraudulent statements or representations, or 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 that violations of this 
paragraph may jeopardize the validity of the application or document, or 
the validity or enforceability of any patent, trademark registration, or 
certificate resulting therefrom; and
    (2) To the best of the party's knowledge, information and belief, 
formed after an inquiry reasonable under the circumstances, that--
    (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 prosecution before the Office;
    (ii) The claims and 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 paragraph (b)(1) of this section by a practitioner 
or non-practitioner may jeopardize the validity of the application or 
document, or the validity or enforceability of any patent, trademark 
registration, or certificate resulting therefrom. 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 as deemed 
appropriate by the Commissioner, or the Commissioner's designee, which 
may include, but are not limited to, any combination of--
    (1) Holding certain facts to have been established;
    (2) Returning papers;

[[Page 352]]

    (3) Precluding a party from filing a paper, or presenting or 
contesting an issue;
    (4) Imposing a monetary sanction;
    (5) Requiring a terminal disclaimer for the period of the delay; or
    (6) Terminating the proceedings in the Patent and Trademark Office.
    (d) Any practitioner violating the provisions of this section may 
also be subject to disciplinary action. See Sec. 10.23(c)(15).

[62 FR 53206, Oct. 10, 1997]