[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR1.4]
[Page 12-14]
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, 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,
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Sec. Sec. 1.501 to 1.570; 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 the Board of Patent Appeals
and Interferences in part 41 of this title.
(b) Since each file must be complete in itself, a separate copy of
every paper to be filed in a patent application, patent 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, 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, 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) Handwritten signature. Each piece of correspondence, except
as provided in paragraphs (d)(2), (d)(3), (e) and (f) of this section,
filed in an application, patent file, or other proceeding in the Office
which requires a person's signature, must:
(i) Be an original, that is, have an original handwritten signature
personally signed, in permanent dark ink or its equivalent, 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.
(2) S-signature. An S-signature is a signature inserted between
forward slash marks, but not a handwritten signature as defined by Sec.
1.4(d)(1). An S-signature includes any signature made by electronic or
mechanical means, and any other mode of making or applying a signature
not covered by a handwritten signature of Sec. 1.4(d)(1).
Correspondence being filed in the Office in paper, by facsimile
transmission as provided in Sec. 1.6(d), or via the Office electronic
filing system as an attachment as provided in Sec. 1.6(a)(4), for a
patent application, patent, or a reexamination proceeding may be S-
signature signed instead of being personally signed (i.e., with a
handwritten signature) as provided for in paragraph (d)(1) of this
section. The requirements for an S-signature under this paragraph (d)(2)
of this section are as follows.
(i) The S-signature must consist only of letters, or Arabic
numerals, or both, with appropriate spaces and commas, periods,
apostrophes, or hyphens for punctuation, and the person signing the
correspondence must insert his or her own S-signature with a first
single forward slash mark before, and a second single forward slash mark
after, the S-signature (e.g., /Dr. James T. Jones, Jr./); and
(ii) A patent practitioner (Sec. 1.32(a)(1)), signing pursuant to
Sec. Sec. 1.33(b)(1) or 1.33(b)(2), must supply his/her registration
number either as part of the S-signature, or immediately below or
adjacent to the S-signature. The number () character may be
used only as part of the S-signature when appearing before a
practitioner's registration number; otherwise the number character may
not be used in an S-signature.
(iii) The signer's name must be:
(A) Presented in printed or typed form preferably immediately below
or adjacent the S-signature, and
(B) Reasonably specific enough so that the identity of the signer
can be readily recognized.
(3) Forms. The Office provides forms to the public to use in certain
situations to assist in the filing of correspondence for a certain
purpose and to meet certain requirements for patent applications and
proceedings. Use of the forms for purposes for which they were not
designed is prohibited. No changes to certification statements on the
Office forms (e.g., oath or declaration forms, terminal disclaimer
forms, petition forms, and nonpublication request form) may be made. The
existing text of a form, other than a certification statement, may be
modified, deleted, or added to, if all text identifying the form as an
Office form
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is removed. The presentation to the Office (whether by signing, filing,
submitting, or later advocating) of any Office form with text
identifying the form as an Office form by a party, whether a
practitioner or non-practitioner, constitutes a certification under
Sec. 10.18(b) of this chapter that the existing text and any
certification statements on the form have not been altered other than
permitted by EFS-Web customization.
(4) Certifications. (i) Section 10.18 certifications: 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) of this chapter may also be
subject to disciplinary action. See Sec. Sec. 10.18(d) and 10.23(c)(15)
of this chapter.
(ii) Certifications as to the signature:
(A) Of another: A person submitting a document signed by another
under paragraph (d)(2) of this section is obligated to have a reasonable
basis to believe that the person whose signature is present on the
document was actually inserted by that person, and should retain
evidence of authenticity of the signature.
(B) Self certification: The person inserting a signature under
paragraph (d)(2) of this section in a document submitted to the Office
certifies that the inserted signature appearing in the document is his
or her own signature.
(e) Correspondence requiring a person's signature and relating to
registration practice before the Patent and Trademark Office in patent
cases, enrollment and disciplinary investigations, or disciplinary
proceedings must be submitted with an original handwritten signature
personally signed in permanent dark ink or its equivalent 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.
(h) Ratification/confirmation/evidence of authenticity: The Office
may require ratification, confirmation (which includes submission of a
duplicate document but with a proper signature), or evidence of
authenticity of a signature, such as when the Office has reasonable
doubt as to the authenticity (veracity) of the signature, e.g., where
there are variations of a signature, or where the signature and the
typed or printed name, do not clearly identify the person signing.
(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; 68 FR 48287, Aug. 13, 2003; 69 FR 49997, Aug. 12, 2004; 69 FR
56535, Sept. 21, 2004; 70 FR 56126, Sept. 26, 2005; 72 FR 2775, Jan. 23,
2007]