Declaration of Authenticity: Drafting, Signing, and Filing

A declaration of authenticity is a signed, sworn statement that lets business or organizational records come into federal court as evidence without putting the records custodian on the witness stand. It works alongside Federal Rule of Evidence 902(11) for domestic records and 902(12) for foreign records, both of which let properly certified business records authenticate themselves. To hold up, your declaration needs the right signer, the three foundational facts required by Rule 803(6), the perjury wording from 28 U.S.C. § 1746, and timely notice to the other side before trial.1Legal Information Institute. Federal Rules of Evidence Rule 902 – Evidence That Is Self-Authenticating

Who Can Sign It

Rule 902(11) calls for “the custodian or another qualified person.” The signer doesn’t need that literal job title, but they do need firsthand knowledge of how the organization creates, stores, and retrieves the records at issue.1Legal Information Institute. Federal Rules of Evidence Rule 902 – Evidence That Is Self-Authenticating A department manager who oversees the database, an IT director responsible for the storage system, or a compliance officer who maintains regulatory files can all qualify.

What disqualifies a signer is lack of actual knowledge. Someone handed a stack of printouts and asked to sign cannot speak to how the data was originally captured, whether it was recorded at or near the time of the events described, or whether keeping those records was a regular business practice.2Legal Information Institute. Federal Rules of Evidence Rule 803 – Exceptions to the Rule Against Hearsay If your declarant could not explain the workflow in a deposition, the declaration is vulnerable.

What the Declaration Must State

The certification’s job is satisfying the business records exception under Federal Rule of Evidence 803(6). Every declaration needs three foundational statements about each record offered:

  • The record was made at or near the time of the event it describes, by someone with knowledge of that event or from information transmitted by someone with knowledge.
  • The record was kept in the course of a regularly conducted business activity.
  • Making that type of record was a regular practice of the business, not something assembled for the lawsuit.

All three must appear. A certification that calls the records “accurate” but omits the regularly-conducted-activity language has not done the job. The opposing party can also defeat the exception entirely by showing that the source of information or the method of preparation indicates the records are not trustworthy — for example, that they were compiled specifically for the litigation rather than kept as part of normal operations.2Legal Information Institute. Federal Rules of Evidence Rule 803 – Exceptions to the Rule Against Hearsay

Beyond the foundational statements, identify each set of records clearly. Label them with exhibit markers (Exhibit A, Exhibit B) and include a short description: the type of record, the date range, and the approximate page count. That prevents confusion when the court matches the declaration to the actual documents.

Drafting the Document

Check the presiding court’s forms page first. Many federal courts post templates; the Southern District of New York, for instance, hosts one directly on its site.3United States District Court Southern District of New York. Declaration If no template exists, draft from scratch. Format matters less than substance, as long as every required element is present.

At the top goes the full case caption: court name, parties, and case number. Federal Rule of Civil Procedure 10 requires every filing to carry this information.4Legal Information Institute. Federal Rule of Civil Procedure 10 – Form of Pleadings Below the caption, state the declarant’s full legal name, title, how long they have held the role, and what gives them knowledge of the record-keeping system.

Work through the body in plain numbered paragraphs. A workable structure:

  • Paragraph 1 identifies you, your title, and your employer.
  • Paragraph 2 explains your role in the record-keeping process and why you are qualified to certify these records.
  • Paragraph 3 states that the attached records were made at or near the time of the events they describe, by a person with knowledge.
  • Paragraph 4 states that the records were kept in the course of a regularly conducted business activity and that making such records was a regular practice.
  • Paragraph 5 identifies and describes each exhibit being authenticated.

Keep the language direct. You are writing a sworn statement, not a brief. “I am the Director of Billing at XYZ Corp and have held this position since 2019. In that role, I oversee the creation and maintenance of all patient billing records” reads better than parroted statutory text.

The Perjury Language and Signature

A declaration of authenticity filed in federal court does not need to be notarized. Under 28 U.S.C. § 1746, an unsworn declaration carries the same weight as a sworn affidavit when it includes specific perjury language, a signature, and a date.5Office of the Law Revision Counsel. 28 USC 1746 – Unsworn Declarations Under Penalty of Perjury The exact wording depends on where the declaration is signed.

Signed within the United States: “I declare under penalty of perjury that the foregoing is true and correct. Executed on [date].”

Signed outside the United States: “I declare under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on [date].”

The phrase “under the laws of the United States of America” belongs only in declarations executed abroad. Leave it out for domestic signings.5Office of the Law Revision Counsel. 28 USC 1746 – Unsworn Declarations Under Penalty of Perjury An undated declaration does not satisfy the statute, and opposing counsel will flag the defect. The difference between a declaration and an affidavit comes down to formality: an affidavit is sworn before a notary; a declaration uses the perjury language in place of the oath. Federal court accepts either. Some state courts still require notarized affidavits, so check local rules if you are filing in state court.

Giving Opposing Counsel Notice

Filing with the court is not enough. Rule 902(11) requires that before trial or hearing, you give the opposing party reasonable written notice of your intent to offer the record and make both the record and the certification available for inspection, so the other side has a fair opportunity to challenge them.1Legal Information Institute. Federal Rules of Evidence Rule 902 – Evidence That Is Self-Authenticating The rule says “reasonable” without naming a number of days, so timing depends on the complexity of the records and local practice. Courts have excluded records where notice came too close to trial for the other side to meaningfully review them.

Separately, Federal Rule of Civil Procedure 26(a)(3) requires pretrial disclosures, including the identification of each exhibit a party expects to offer, at least 30 days before trial unless the court sets a different deadline.6Legal Information Institute. Rule 26 – Duty to Disclose; General Provisions Governing Discovery Treating that 30-day mark as a floor for serving the declaration and attached records is a practical safeguard, though the judge’s scheduling order may require earlier disclosure.

Redact Before You Attach

Business records often contain personal information covered by Federal Rule of Civil Procedure 5.2. Before attaching exhibits, check for and redact:7Legal Information Institute. Rule 5.2 – Privacy Protection For Filings Made with the Court

  • Social Security and taxpayer identification numbers — include only the last four digits.
  • Dates of birth — include only the year.
  • Names of minors — use initials only.
  • Financial account numbers — include only the last four digits.

These requirements apply to both electronic and paper filings. For other sensitive identifiers like driver’s license or immigration numbers, you can seek a protective order or file portions under seal. Failing to redact will not invalidate the declaration, but it can draw sanctions and creates unnecessary privacy exposure.

Filing and Serving

Most federal courts require electronic filing through CM/ECF. Upload the declaration as a PDF along with each authenticated exhibit. CM/ECF automatically generates a notice of electronic filing that serves as proof of service on all parties registered in the case. Any party not registered for electronic service must be served by conventional means, typically mail or hand delivery.

Federal Rule of Civil Procedure 5 requires that anything served on the court also be served on every other party. When a party has an attorney, service goes to the attorney, not the party directly.8Legal Information Institute. Federal Rules of Civil Procedure Rule 5 – Serving and Filing Pleadings and Other Papers Keep copies of the declaration, the exhibits, and proof of service in your own file.

Foreign Records

If the records originate outside the United States, Rule 902(12) applies instead of 902(11). The certification must be signed in a way that would expose the signer to criminal penalties for a false statement in the country where it is signed.1Legal Information Institute. Federal Rules of Evidence Rule 902 – Evidence That Is Self-Authenticating The three 803(6) foundational elements still apply.

Foreign-language records need a certified English translation before the court will consider them. The translator must certify that the translation is complete and accurate and that they are competent to translate from the foreign language into English, and the certification should include the translator’s name, signature, address, and date.9U.S. Department of State. Information about Translating Foreign Documents Notarizing the translation certification is not always required but is common practice and can head off objections.

How Challenges Work

Self-authentication under Rule 902 does not make records bulletproof. The opposing party is never foreclosed from disputing authenticity.1Legal Information Institute. Federal Rules of Evidence Rule 902 – Evidence That Is Self-Authenticating Common grounds for challenge:

  • Inadequate notice — the proponent did not give reasonable written notice before trial or did not make the records available for inspection in time.
  • Unqualified declarant — the signer lacks actual knowledge of the record-keeping system and cannot explain how the records were created or maintained.
  • Missing foundational elements — the certification omits one of the three Rule 803(6) requirements.
  • Lack of trustworthiness — under Rule 803(6)(E), the opponent shows the source of information or circumstances of preparation suggest the records are not reliable, for instance records created after litigation began or compiled selectively from a larger dataset.

If the court sustains an objection, the records can still come in through live testimony from the custodian. But that defeats the whole point of the declaration, which is to avoid that testimony.

Penalties for a False Declaration

Because the declaration is made under penalty of perjury, a signer who knowingly includes false statements faces federal prosecution under 18 U.S.C. § 1621. The statute covers declarations made under 28 U.S.C. § 1746, and conviction carries up to five years in prison, a fine, or both.10Office of the Law Revision Counsel. 18 U.S. Code 1621 – Perjury Generally The operative word is “willfully.” An honest mistake in a record description is not perjury; certifying records you know to be fabricated or materially altered is. Beyond criminal exposure, a false declaration can draw court sanctions, exclusion of related evidence, and adverse inferences that damage the filing party’s entire case.