[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 1999]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR1.4]

[Page 11-12]
 
             TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
    CHAPTER I--PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE
 
PART 1--RULES OF PRACTICE IN PATENT CASES--Table of Contents
 
                      Subpart A--General Provisions
 
Sec. 1.4  Nature of correspondence and signature requirements.

    (a) Correspondence with the Patent and Trademark Office comprises:
    (1) Correspondence relating to services and facilities of the 
Office, such as general inquiries, requests for publications supplied by 
the Office, orders for printed copies of patents or trademark 
registrations, orders for copies of records, transmission of assignments 
for recording, and the like, and
    (2) Correspondence in and relating to a particular application or 
other proceeding in the Office. See particularly

[[Page 12]]

the rules relating to the filing, processing, or other proceedings of 
national applications in subpart B, Secs. 1.31 to 1.378; of 
international applications in subpart C, Secs. 1.401 to 1.499; of 
reexamination of patents in subpart D, Secs. 1.501 to 1.570; of 
interferences in subpart E; Secs. 1.601 to 1.690; of extension of patent 
term in subpart F, Secs. 1.710 to 1.785; and of trademark applications 
Secs. 2.11 to 2.189.
    (b) Since each application file should be complete in itself, a 
separate copy of every paper to be filed in an application should be 
furnished for each application to which the paper pertains, even though 
the contents of the papers filed in two or more applications may be 
identical.
    (c) Since different matters may be considered by different branches 
or sections of the Patent and Trademark Office, each distinct subject, 
inquiry or order should be contained in a separate letter to avoid 
confusion and delay in answering letters dealing with different 
subjects.
    (d)(1) Each piece of correspondence, except as provided in 
paragraphs (e) and (f) of this section, filed in a patent or trademark 
application, reexamination proceeding, patent or trademark interference 
proceeding, patent file or trademark registration file, trademark 
opposition proceeding, trademark cancellation proceeding, or trademark 
concurrent use proceeding, which requires a person's signature, must 
either:
    (i) Be an original, that is, have an original signature personally 
signed in permanent ink by that person; or
    (ii) Be a direct or indirect copy, such as a photocopy or facsimile 
transmission (Sec. 1.6(d)), of an original. In the event that a copy of 
the original is filed, the original should be retained as evidence of 
authenticity. If a question of authenticity arises, the Patent and 
Trademark Office may require submission of the original.
    (2) The presentation to the Office (whether by signing, filing, 
submitting, or later advocating) of any paper by a party, whether a 
practitioner or non-practitioner, constitutes a certification under 
Sec. 10.18(b) of this chapter. Violations of Sec. 10.18(b)(2) of this 
chapter by a party, whether a practitioner or non-practitioner, may 
result in the imposition of sanctions under Sec. 10.18(c) of this 
chapter. Any practitioner violating Sec. 10.18(b) may also be subject to 
disciplinary action. See Secs. 10.18(d) and 10.23(c)(15).
    (e) Correspondence requiring a person's signature and relating to 
registration to practice before the Patent and Trademark Office in 
patent cases, enrollment and disciplinary investigations, or 
disciplinary proceedings must be submitted with an original signature 
personally signed in permanent ink by that person.
    (f) When a document that is required by statute to be certified must 
be filed, a copy, including a photocopy or facsimile transmission, of 
the certification is not acceptable.
    (g) An applicant who has not made of record a registered attorney or 
agent may be required to state whether assistance was received in the 
preparation or prosecution of the patent application, for which any 
compensation or consideration was given or charged, and if so, to 
disclose the name or names of the person or persons providing such 
assistance. Assistance includes the preparation for the applicant of the 
specification and amendments or other papers to be filed in the Patent 
and Trademark Office, as well as other assistance in such matters, but 
does not include merely making drawings by draftsmen or stenographic 
services in typing papers.

(Pub. L. 94-131, 89 Stat. 685; 35 U.S.C. 6, Pub. L. 97-247)

[24 FR 10332, Dec. 22, 1959, as amended at 48 FR 2707, Jan. 20, 1982; 49 
FR 48451, Dec. 12, 1984; 53 FR 47807, Nov. 28, 1988; 58 FR 54501, Oct. 
22, 1993; 62 FR 53180, Oct. 10, 1997]