[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR1.4]

[Page 14-15]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
  CHAPTER I--UNITED STATES 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 the rules relating to 
the filing, processing, or other proceedings of national applications in 
subpart B, Sec.Sec. 1.31 to 1.378; of international applications in 
subpart C, Sec.Sec. 1.401 to 1.499; of ex parte reexaminations of 
patents in subpart D, Sec.Sec. 1.501 to 1.570; of interferences in 
subpart E, Sec.Sec. 1.601 to 1.690; of extension of patent term in 
subpart F, Sec.Sec. 1.710 to 1.785; of inter partes reexaminations of 
patents in subpart H, Sec.Sec. 1.902 to 1.997; and of trademark 
applications Sec.Sec. 2.11 to 2.189.
    (b) Since each file must be complete in itself, a separate copy of 
every paper to be filed in a patent or trademark application, patent 
file, trademark registration file, or other proceeding must be furnished 
for each file to which the paper pertains, even though the contents of 
the papers filed in two or more files may be identical. The filing of 
duplicate copies of correspondence in the file of an application, 
patent, trademark registration file, or other proceeding should be 
avoided, except in situations in which the Office requires the filing of 
duplicate copies. The Office may dispose of duplicate copies of 
correspondence in the file of an application, patent, trademark 
registration file, or other proceeding.
    (c) Since different matters may be considered by different branches 
or sections of the United States Patent and Trademark Office, each 
distinct subject, inquiry or order must be contained in a separate paper 
to avoid confusion and delay in answering papers dealing with different 
subjects.
    (d)(1) Each piece of correspondence, except as provided in 
paragraphs (e) and (f) of this section, filed in an application, patent 
file, trademark registration file, or other proceeding in the Office 
which requires a person's signature, must:
    (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 Office may 
require submission of the original; or
    (iii) Where an electronically transmitted trademark filing is 
permitted, the person who signs the filing must either:
    (A) Place a symbol comprised of numbers and/or letters between two

[[Page 15]]

forward slash marks in the signature block on the electronic submission; 
or
    (B) Sign the verified statement using some other form of electronic 
signature specified by the Director.
    (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 Sec.Sec. 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; 64 FR 48917, Sept. 8, 1999; 65 FR 
54656, Sept. 8, 2000; 66 FR 76772, Dec. 7, 2000; 67 FR 79522, Dec. 30, 
2002]