What are the potential consequences of violating USPTO signature and certification requirements?
This page is an FAQ based on guidance from the Manual of Patent Examining Procedure. It is provided as guidance, with links to the ground truth sources. This is information only: it is not legal advice.
Violations of USPTO signature and certification requirements can result in serious consequences as outlined in 37 CFR 11.18(c) and (d):
- Striking the offending paper
- Referral to the Office of Enrollment and Discipline
- Preclusion from submitting papers or contesting issues
- Affecting the weight given to the offending paper
- Termination of proceedings
- Disciplinary action against practitioners
The MPEP states: “37 CFR 11.18(d) provides that any practitioner violating the provisions of 37 CFR 11.18 may also be subject to disciplinary action, thus clarifying that a practitioner may be subject to disciplinary action in lieu of, or in addition to, the sanctions set forth in 37 CFR 11.18(c) for violations of 37 CFR 11.18.”
Additionally, knowingly making false statements can lead to criminal penalties under 18 U.S.C. 1001.