What certifications are made when presenting a paper to the USPTO?

When presenting any paper to the USPTO, the party (whether a practitioner or non-practitioner) is making important certifications as outlined in 37 CFR 11.18(b):

1. All statements made of the party’s own knowledge are true.
2. Statements made on information and belief are believed to be true.
3. The paper is not being presented for any improper purpose (e.g., harassment, delay).
4. Legal contentions are warranted by existing law or non-frivolous arguments for changes in the law.
5. Factual contentions have or are likely to have evidentiary support.
6. Denials of factual contentions are warranted or based on lack of information or belief.

The MPEP notes: “37 CFR 11.18(b) provides that, by presenting any paper to the Office, the party presenting such paper (whether a practitioner or non-practitioner) is: (1) certifying that the statements made therein are subject to the declaration clause of 37 CFR 1.68; and (2) making the certifications required for papers filed in a federal court under Rule 11(b) of the Federal Rules of Civil Procedure.”

To learn more:

• USPTO Certifications
• Patent Filing
• Legal Responsibilities
• Practitioner Duties