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611 Signature on Correspondence Filed in the United States Patent and Trademark Office

611.01 Signature and Certificate

611.01(a) Signature as Certificate

37 C.F.R. §2.193(f) Signature as certification.

The presentation to the Office (whether by signing, filing, submitting, or later advocating) of any document by any person, whether a practitioner or non-practitioner, constitutes a certification under §11.18(b) of this chapter. Violations of §11.18(b) of this chapter may jeopardize the validity of the application or registration, and may result in the imposition of sanctions under §11.18(c) of this chapter. Any practitioner violating §11.18(b) of this chapter may also be subject to disciplinary action. See §11.18(d) and § 11.804 of this chapter.

37 C.F.R. §11.18 Signature and certificate for correspondence filed in the Office.

(a) For all documents filed in the Office in patent, trademark, and other non-patent matters, and all documents filed with a hearing officer in a disciplinary proceeding, except for correspondence that is required to be signed by the applicant or party, each piece of correspondence filed by a practitioner in the Office must bear a signature, personally signed or inserted by such practitioner, in compliance with §1.4(d)(1), §1.4(d)(2), or §2.193(a) of this chapter.
(b) By presenting to the Office or hearing officer in a disciplinary proceeding (whether by signing, filing, submitting, or later advocating) any paper, the party presenting such paper, whether a practitioner or non-practitioner, is certifying that—
(1) All statements made therein of the party’s own knowledge are true, all statements made therein on information and belief are believed to be true, and all statements made therein are made with the knowledge that whoever, in any matter within the jurisdiction of the Office, knowingly and willfully falsifies, conceals, or covers up by any trick, scheme, or device a material fact, or knowingly and willfully makes any false, fictitious, or fraudulent statements or representations, or knowingly and willfully makes or uses any false writing or document knowing the same to contain any false, fictitious, or fraudulent statement or entry, shall be subject to the penalties set forth under 18 U.S.C. 1001 and any other applicable criminal statute, and violations of the provisions of this section may jeopardize the probative value of the paper; and
(2) To the best of the party’s knowledge, information and belief, formed after an inquiry reasonable under the circumstances,
(i) The paper is not being presented for any improper purpose, such as to harass someone or to cause unnecessary delay or needless increase in the cost of any proceeding before the Office;
(ii) The other legal contentions therein are warranted by existing law or by a nonfrivolous argument for the extension, modification, or reversal of existing law or the establishment of new law;
(iii) The allegations and other factual contentions have evidentiary support or, if specifically so identified, are likely to have evidentiary support after a reasonable opportunity for further investigation or discovery; and
(iv) The denials of factual contentions are warranted on the evidence, or if specifically so identified, are reasonably based on a lack of information or belief.
(c) Violations of any of paragraphs (b)(2)(i) through (iv) of this section are, after notice and reasonable opportunity to respond, subject to such sanctions or actions as deemed appropriate by the USPTO Director, which may include, but are not limited to, any combination of--
(1) Striking the offending paper;
(2) Referring a practitioner’s conduct to the Director of Enrollment and Discipline for appropriate action;
(3) Precluding a party or practitioner from submitting a paper, or presenting or contesting an issue;
(4) Affecting the weight given to the offending paper; or
(5) Terminating the proceedings in the Office.
(d) Any practitioner violating the provisions of this section may also be subject to disciplinary action.

611.01(b) Requirements for Signature

All correspondence that requires a signature must bear either a handwritten signature personally signed in permanent ink by the person named as the signatory, or an "electronic signature" that meets the requirements of 37 C.F.R. §2.193(c), personally entered by the signatory. 37 C.F.R §2.193(a). The USPTO will accept a signature that meets the requirements of 37 C.F.R. §2.193(c) on all correspondence, whether included in a permitted paper submission (see TMEP §301.01 or in a submission through TEAS or the Electronic System for Trademark Trials and Appeals (ESTTA). 37 C.F.R. §2.193(a)(2). See TMEP §611.01(c) regarding the signature of documents filed electronically.

All documents must be personally signed or bear an electronic signature that was personally entered by the named signatory. 37 C.F.R. §2.193(a)(1), (c)(1). Another person (e.g., paralegal, legal assistant, secretary) may not sign or enter the name of an attorney or other authorized signatory. See In re Dermahose Inc., 82 USPQ2d 1793 (TTAB 2007) ; In re Cowan, 18 USPQ2d 1407 (Comm’r Pats. 1990).

The first and last name, and the title or position, of the person who signs a document must be set forth immediately below or adjacent to the signature. 37 C.F.R. §2.193(d). If the signatory’s name is not provided in full or set forth in a document, the USPTO will require that the signatory’s first and last name be stated for the record. This information can be entered through a Note to the File in the record.

Documents must be signed by a proper party. See TMEP §611.02 and §§611.03–611.03(i) for further information.

See TBMP §106.02 regarding signature of documents filed in Board proceedings, and §106.03 regarding the form of submissions in Board proceedings.

611.01(c) Signature of Documents Filed Electronically

37 C.F.R. §2.193 Trademark correspondence and signature requirements.

...

(c) Requirements for electronic signature. A person signing a document electronically must:
(1) Personally enter any combination of letters, numbers, spaces and/or punctuation marks that the signer has adopted as a signature, placed between two forward slash ("/") symbols in the signature block on the electronic submission; or
(2) Sign the document using some other form of electronic signature specified by the Director.
(d) Signatory must be identified. The first and last name, and the title or position, of the person who signs a document in connection with a trademark application, registration, or proceeding before the Trademark Trial and Appeal Board must be set forth immediately below or adjacent to the signature.

In a document filed in connection with a trademark application, registration, or proceeding before the Trademark Trial and Appeal Board through TEAS or ESTTA, the party filing the document does not apply a conventional signature. Instead, the filer does one of the following:

(1) The signatory personally enters any combination of letters, numbers, spaces, and/or punctuation marks that the signer has adopted as a signature, placed between two forward slash ("/") symbols. 37 C.F.R. §2.193(c)(1). Examples of acceptable signatures include /john doe/, /drl/, /s/, and /544-4925/. The signatory’s first and last name and his or her title or position must be set forth immediately beneath or adjacent to the signature. 37 C.F.R. §2.193(d);
(2) The document is filled out online, printed in text form, and sent to the signatory. The signatory personally signs the printed document in the traditional pen-and-ink manner. The signatory’s first and last name and his or her title or position must be set forth immediately beneath or adjacent to the signature. 37 C.F.R. §2.193(d). The signature portion, along with a declaration under 37 C.F.R. §2.20, if required, is scanned to create a .jpg or .pdf image file and attached to the document for electronic submission; or
(3) The document is completed online, and emailed to the signatory for electronic signature from within TEAS. The signatory personally signs the document and it is automatically returned via TEAS to the party who requested the signature.

The USPTO will also accept a signature that meets the requirements of paragraph (1) above on documents that are permitted to be filed on paper. 37 C.F.R. §2.193(a)(2).

All documents must be properly signed. 37 C.F.R. §2.193(a), 11.18(a). The person(s) identified as the signatory must personally sign the printed form or personally enter his or her electronic signature, either directly on the TEAS form or in the emailed form. 37 C.F.R. §2.193(a), (d). Another person (e.g., paralegal, legal assistant, or secretary) may not sign or enter the name of a qualified U.S. attorney or other authorized signatory. See In re Dermahose Inc., 82 USPQ2d 1793 (TTAB 2007) ; In re Cowan, 18 USPQ2d 1407 (Comm’r Pats. 1990). Just as signing the name of another person on paper does not serve as the signature of the person whose name is written, typing the electronic signature of another person is not a valid signature by that person.

The Trademark Trial and Appeal Board has held that an electronic signature on an electronic transmission through ESTTA pertains to all the attachments to the transmission. PPG Indus., Inc. v. Guardian Indus. Corp., 73 USPQ2d 1926 (TTAB 2005) .

See TBMP §106.02 regarding signature of documents filed in Board proceedings, and §106.03 regarding the form of submissions in Board proceedings.

611.02 Signatures by Authorized Parties Required

All documents filed in the USPTO must be properly signed. The USPTO staff must review the application or registration record to determine whether the applicant or registrant is represented by a qualified U.S. attorney, and must ensure that all documents are properly signed.

Two types of signatures may be required when filing documents with the USPTO: (1) a verification signature and/or (2) a submission signature.

Verification signature. Verifications of facts on behalf of an applicant or registrant must be sworn to, made under oath or in an affidavit, or supported by a declaration, and properly signed by someone meeting the requirements of 37 C.F.R. §2.193(e)(1). See 37 C.F.R. §2.2(n); TMEP §§611.03(a), 804.04.

Submission signature. Most other submissions must be properly signed by the applicant or registrant, someone with legal authority to bind a juristic applicant or registrant (e.g., a corporate officer or general partner of a partnership), or by a qualified U.S. attorney. This includes amendments, responses to Office actions, petitions to the Director under 37 C.F.R. §2.146 or §2.147,letters of express abandonment, requests to divide, and requests to change the correspondence address.

Generally, if the applicant or registrant is represented by a qualified U.S. attorney, the attorney must sign the submission. 37 C.F.R. §§2.193(a),(e)(2)(i),(e)(5)(i), (e)(9)(i), 11.18(a). This applies to both in-house and outside counsel. If the applicant or registrant is not represented by a qualified U.S. attorney, the submission must be signed by the individual applicant or registrant or someone with legal authority to bind a juristic applicant or registrant (e.g., a corporate officer or general partner of a partnership). In the case of joint applicants or registrants who are not represented by such an attorney, all must sign. 37 C.F.R. §2.193(a), (e)(2)(ii), (e)(5)(ii), (e)(9)(ii).

See TMEP §§611.03–611.03(i) for guidelines as to the proper person to sign specific documents, §§611.06–611.06(h) for guidelines on persons with legal authority to bind various types of legal entities, and §611.04 for examples of authorized and potentially unauthorized parties.

611.02(a) TEAS Signature Radio Buttons

On most TEAS forms, the person signing the submission must confirm that he or she is authorized to sign the document by clicking one of three buttons indicating that he or she is:

(1) An owner/holder (or a person with legal authority to bind the owner or holder) who has not previously been represented in this matter, or was previously represented by a qualified U.S. attorney who has withdrawn or whose power has been revoked;
(2) An authorized U.S.-licensed attorney who is an active member in good standing of the bar of the highest court of a U.S. state (including the District of Columbia and any U.S. Commonwealth or territory) who is the owner’s or holder’s current attorney, or an associate thereof, and that if the owner or holder was previously represented by a different U.S.-licensed attorney associated with a different company/firm, the previous power has been revoked, the previously appointed attorney has withdrawn, a new power of attorney has been filed appointing the current attorney as either the attorney or an associate attorney; or
(3) An authorized Canadian trademark attorney/agent who has been appointed to represent the owner or holder and has been granted reciprocal recognition under 37 C.F.R §11.14(c)(1) by the USPTO’s Office of Enrollment and Discipline and is an authorized signatory based on 37 C.F.R §11.14(c)(2).

The USPTO will accept these statements unless there is conflicting information in the record or the USPTO is otherwise made aware of conflicting information.

Example: If, as part of the submitted attorney information, an attorney lists a foreign address and checks the box indicating that he or she is an active member in good standing of the bar of the highest court of a U.S. state, the USPTO will accept this statement, as long as there is no conflicting information in the record.

Example: If an attorney indicates that the applicant was previously unrepresented, or that the applicant was previously represented by another attorney who has withdrawn or whose power has been revoked, when, in fact, there is another attorney of record whose power has not been revoked, the USPTO must inquire into the signatory’s authority to sign, because there is inconsistent information in the record.

Example: If the signatory selects the owner/holder radio button, indicating that he or she is a person with legal authority to bind a juristic applicant (e.g., a corporate officer or general partner of a partnership), but sets forth a title that the USPTO would not normally accept (e.g., accountant, paralegal, or trademark administrator), the USPTO will inquire into the signatory’s authority to sign, because there is inconsistent information in the record.

Example: If, instead of selecting the "authorized U.S.-licensed attorney" radio button, the attorney selects one of the other radio buttons (i.e., indicating that the owner/holder is not represented by an attorney, or that the attorney is an authorized Canadian trademark attorney or agent, representing a Canadian applicant), an issue of signatory authority arises, and the USPTO will inquire into the signatory’s authority to sign, because there is inconsistent information in the record.

Exception: If the signatory indicates that he or she is a Canadian trademark attorney or agent who has been granted reciprocal recognition by OED, and there is a qualified U.S.-licensed attorney designated, the USPTO staff must still check the OED list to verify this information. See TMEP §602.03(a) for further information about Canadian trademark attorneys and agents.

See TMEP §611.05(a) and §712.03 regarding issuance of a notice of incomplete response where there is a question as to a signatory’s authority to sign.

611.03 Proper Person to Sign

This section provides guidelines as to the proper person to sign verifications and various other submissions. Unless otherwise specified by law, the following guidelines should be followed.

Note that if an application or registration owner who is not represented by a qualified U.S. attorney becomes deceased or legally incapacitated, only a party authorized under the relevant state law regarding wills or intestate succession may sign a document required to be signed by the owner. For example, if the owner’s estate has not been settled, the executor may be an authorized party under the relevant state law. In such situations, the document must state that the owner is deceased or legally incapacitated and that the signatory is authorized to sign under the relevant state law.

611.03(a) Verification

A verification must be sworn to or supported by a declaration signed by the owner of the application or registration or a person properly authorized to verify facts on behalf of the owner. See 37 C.F.R. §2.2(n). A person who is properly authorized to verify facts on behalf of an owner is:

A person with legal authority to bind the owner (e.g., a corporate officer or general partner of a partnership);
A person with firsthand knowledge of the facts and actual or implied authority to act on behalf of the owner; or
A qualified U.S. attorney who has a power of attorney from the owner.

See 37 C.F.R. §2.193(e)(1).

Generally, the USPTO does not question the authority of the person who signs an affidavit or declaration verifying facts, unless there is an inconsistency in the record as to the signatory’s authority to sign. See TMEP §804.04.

The broad definition of a "person properly authorized to sign on behalf of an owner" in 37 C.F.R. §2.193(e)(1) applies only to verifications of facts, such as applications for trademark registration, petitions to revive under 37 C.F.R. §2.66, affidavits under §8 or §71 of the Trademark Act, amendments to allege use under 37 C.F.R. §2.76, statements of use under 37 C.F.R. §2.88, and declarations in support of substitute specimens or claims of acquired distinctiveness. See TMEP §§611.03(d), 804, 904.07(a), 1104.10(b)(ii), 1109.11(a), 1212.07, 1604.08(a), 1613.08(a).

It does not apply to, for example, powers of attorney, revocations of powers of attorney, responses to Office actions, amendments to applications, letters of express abandonment, petitions to the Director under 37 C.F.R. §2.146 or §2.147, consent agreements, or changes of correspondence address. See TMEP §§611.03(b)-(c), (e)-(i).

For example, the "Trademark Administrator" of the applicant, who has firsthand knowledge of the facts alleged in the application, may sign the verified statement in support of the application, but unless he or she has legal authority to bind the applicant (e.g., is a corporate officer or general partner of a partnership), or is a qualified U.S. attorney, he or she may not sign responses to Office actions or authorize examiner’s amendments.

611.03(b) Responses, Amendments to Applications, Requests for Express Abandonment, Requests for Reconsideration of Final Actions, and Requests to Divide

Responses, amendments to applications, requests for express abandonment, requests for reconsideration of final actions, and requests to divide must be signed in accordance with the following guidelines:

If the applicant or registrant is represented by a qualified U.S. attorney, the attorney must sign the submission.
If the applicant or registrant is not represented by a qualified U.S. attorney, the individual applicant or registrant or someone with legal authority to bind a juristic applicant or registrant must sign the submission. In the case of joint applicants or registrants who are not represented by a qualified U.S. attorney, all must sign the submission.

See 37 C.F.R. §§2.11(a), 2.62(b), 2.68(a), 2.74(b), 2.87(f), 2.163(b), 2.171(b)(1), 2.184(b)(2), 2.193(e)(2). See TMEP §611.06-611.06(h) for guidelines on persons with legal authority to bind various types of juristic entities and §§602-602.03(e) regarding persons who are qualified to represent others before the USPTO in trademark cases.

A person who is authorized to sign a verification per TMEP §611.03(a) is not entitled to sign responses to Office actions unless he or she also satisfies the signature guidelines above.

See TMEP §714.03 regarding when final action is appropriate after a pro se applicant required to have a qualified U.S. attorney files a response.

611.03(c) Powers of Attorney and Revocations of Powers of Attorney

Powers of attorney and revocations of powers of attorney must be signed by the individual applicant or registrant or someone with legal authority to bind a juristic applicant or registrant. In the case of joint applicants or registrants, all must sign. 37 C.F.R. §§2.17(c)(2), 2.19(a)(1), 2.193(e)(3).

Associate powers of attorney. Once the applicant or registrant has designated a qualified U.S. attorney, the named attorney may sign an associate power of attorney appointing another qualified U.S. attorney as an additional person(s) authorized to prosecute the application or registration. 37 C.F.R. §2.17(c)(2); see TMEP §§605.01, 605.03, 606.

611.03(d) Petitions to Revive

A petition to revive under 37 C.F.R. §2.66 must be signed by someone with firsthand knowledge of the facts regarding unintentional delay. 37 C.F.R. §§2.66(b)(2), (c)(2), 2.193(e)(4); TMEP §1714.01(e). See TMEP §611.03(a) regarding who can sign a verification.

However, any response to an Office action accompanying the petition must be signed in accordance with TMEP §611.03(b).

611.03(e) Petitions to the Director

A petition to the Director under 37 C.F.R. §2.146 or §2.147 must be signed in accordance with the following guidelines:

If the petitioner is represented by a qualified U.S. attorney, the attorney must sign the petition.
If the petitioner is not represented by a qualified U.S. attorney, the individual petitioner or someone with legal authority to bind a juristic petitioner must sign. In the case of joint petitioners who are not represented by a qualified U.S. attorney, all must sign.

37 C.F.R. §§2.11(a), 2.146(c), 2.147(a)(2)(iii), (b)(2)(i), (c), 2.193(e)(5), 11.14(e); TMEP §§1705.07, 1709.01(b)-1709.03.

See TMEP §§611.06-611.06(h) for guidelines on persons with legal authority to bind various types of juristic entities and §§602-602.03(e) regarding persons who are qualified to represent others before the USPTO in trademark cases.

Petitions to the Director include a verified statement of the facts necessitating the petition; this statement must also be properly signed. 37 C.F.R. §§2.146(c), 2.147(a)(2)(iii), (b)(2)(i), (c). See TMEP §611.03(a) regarding who can sign a verification.

611.03(f) Amendment, Correction, or Surrender of Registration

All requests for amendment, correction, or surrender of a registration must be properly signed (i.e., include a submission signature) in accordance with the following guidelines:

If the owner is represented by a qualified U.S. attorney, the attorney must sign.
If the owner is not represented by a qualified U.S. attorney, the individual owner or someone with legal authority to bind a juristic owner must sign. In the case of joint owners who are not represented by a qualified U.S. attorney, all must sign.

37 C.F.R. §§2.11(a), 2.172, 2.173(b)(2), 2.193(e)(6).

Requests for amendment or correction due to the registration owner’s mistake must also include a verification signature in accordance with TMEP §611.03(a). 37 C.F.R. §§2.173(b)(2),2.175(b)(2).

See TMEP §§611.06-611.06(h) for guidelines on persons with legal authority to bind various types of juristic entities and §§602-602.03(e) regarding persons who are qualified to represent others before the USPTO in trademark cases.

611.03(g) Renewal Applications

A renewal application must be signed by the registrant or the registrant’s representative. 37 C.F.R. §§2.183(a), 2.193(e)(7). See TMEP §1606.06 and §1606.07 regarding filing and execution of renewal applications.

611.03(h) Designations and Revocations of Domestic Representative

Designation. The designation of a domestic representative must be signed in accordance with the following guidelines:

If the applicant or registrant is represented by a qualified U.S. attorney, the attorney must sign; or
If the applicant or registrant is not represented by a qualified U.S. attorney, the individual applicant or registrant or someone with legal authority to bind a juristic applicant or registrant must sign. In the case of joint applicants or registrants who are not represented by a qualified U.S. attorney, all must sign.

37 C.F.R. §§2.11(a), 2.24(b), 2.193(e)(8).

Revocation. A revocation of domestic representative must be signed following the same guidelines for when a designation of a domestic representative is filed. 37 C.F.R. §§2.11, 2.24(b), 2.193(e)(8).

Withdrawal. A withdrawal of domestic representative must be signed by an individual domestic representative or by someone legally authorized to bind a juristic domestic representative.

See TMEP §610 regarding the designation of a domestic representative by parties not domiciled in the United States.

611.03(i) Requests to Change Correspondence Address in an Application or Registration

A request to change the correspondence address in an application or registration must be signed in accordance with the following guidelines:

If the applicant or registrant is represented by a qualified U.S. attorney, the attorney must sign; or
If the applicant or registrant is not required to be nor is represented by a qualified U.S. attorney, the individual applicant or registrant or someone with legal authority to bind a juristic applicant or registrant must sign. See TMEP §609.02. In the case of joint applicants or joint registrants who are not represented by a qualified U.S. attorney, all must sign.

See 37 C.F.R. §§2.11(a), 2.18(c), 2.193(e)(9); TMEP §609.02(b).

611.04 Examples of Authorized and Potentially Unauthorized Signatories

Set forth below is a list of examples of parties who are authorized and potentially unauthorized to sign responses, petitions to the Director under 37 C.F.R. §§2.146 or 2.147, amendments, requests for express abandonment, and other documents that must be signed by the applicant or registrant, or by someone with legal authority to bind the applicant or registrant. This list is not exhaustive.

Authorized Parties. In the following situations, a signatory is presumed to be authorized to represent an applicant or registrant:

Person identifies him/herself as an officer of a pro se applicant or registrant (e.g., "President," "Vice President," "Treasurer," "Secretary") of a domestic corporation or the equivalent for another type of domestic business entity (e.g., "Partner" for a partnership, "Member" or "Principal" for a Limited Liability Company).
Person signing for a previously pro se applicant or registrant identifies him/herself as an attorney in good standing of the bar of the highest court of any U.S. state or its territories who is practicing abroad (e.g., Mary Smith, active member in good standing of the New York State Bar since 1988, with offices in Nassau, Bahamas).
Person signing for a foreign corporation identifies him/herself as a qualified U.S. attorney serving as "general counsel" or "in-house counsel" AND as a "corporate officer" or another corporate officer position (e.g., "Secretary," "Treasurer," or "Vice President").
Person signing for a previously pro se applicant or registrant identifies him/herself as an attorney with a U.S. law firm or as "general counsel" or "in-house counsel" of a U.S. applicant, who is in good standing of the bar of the highest court of any state in the United States or its territories, and lists his or her attorney bar information (see TMEP §602.01(a)), and thus is recognized as the attorney of record (see TMEP §604.01).
Person signing is a different attorney from the same U.S.-based firm as the current attorney of record.
Person signing on behalf of a Canadian applicant or registrant is a Canadian trademark attorney or agent whom OED has recognized as qualified to represent parties located in Canada and where the applicant or registrant has also recognized a qualified U.S. attorney (see TMEP §602.03(a)).
Person signing identifies him/herself as an "officer" of a domestic pro se corporate applicant.

Potentially Unauthorized Parties. In the following situations, a signatory is presumed to be unauthorized to represent an applicant or registrant:

Person signing provides no title or position (e.g., applicant is Jack Smith, an individual citizen of the United States, and Mary Jones signs the response; or applicant is ABC Corporation, and Bill Miller, President, signs the original application, but Dave Wilson, with no listed title or position, signs the response).
Person signing appears to be a foreign attorney (e.g., "solicitor" or "barrister" for a foreign entity), or is a foreign law consultant with a law firm in the United States.
Person signing identifies him/herself as a non-attorney representing applicant or registrant in some other capacity (e.g., accountant, paralegal, trademark administrator, business manager, personal assistant, or legal secretary).
Person signing provides the address of a foreign firm but does not indicate that he or she is a qualified U.S. attorney who is practicing abroad.
Person signing an application or registration owned by a foreign entity identifies him/herself as "attorney for applicant," "attorney at law," or similar language, but does not specify that he or she is a member in good standing of the bar of the highest court of a U.S. state (which includes the District of Columbia, a U.S Commonwealth, or a U.S. territory).
Person signing identifies him/herself as "attorney-in-fact."
Person signing on behalf of a foreign-domiciled entity is identified as "in house counsel" or "general counsel," with no other indication of recognition to practice before the USPTO.
Person signing identifies him/herself as "representative of," "agent for," or "representing" applicant or registrant, with no other explanation.
Person signing identifies him/herself as an "authorized signatory" but provides no other indication of the nature of the signer’s relationship to applicant or registrant.
Person signing is a new qualified U.S. attorney from a different firm, when the applicant or registrant had previously appointed a qualified U.S. attorney and no new power of attorney or revocation of the previously appointed power has been made of record.

611.05 Processing Documents Signed by an Improper Party

When examining a document filed in connection with a trademark application or registration, the USPTO staff must ensure that all documents are signed by a proper party. See TMEP §611.02.

Responses in examination. When it appears that a response to an Office action is signed by an improper party, the examining attorney must generally treat the response as incomplete and follow the procedures in TMEP §611.05(a)-(c). The response may not be ratified by an examiner’s amendment. See TMEP §611.03(b) regarding who can sign a response. The examining attorney must ensure that the record establishes a proper party signed the response.

For a response to an Office action signed by an applicant who was required to appoint a qualified U.S. attorney but did not do so, the examining attorney will issue a final Office action, if appropriate, reiterating the requirement to appoint a qualified U.S. attorney and indicating all issues that are made final. See TMEP §601.01(a) regarding amendments to an application by an applicant required to appoint a U.S. attorney.

Responses in post registration. When it appears that a response to an Office action is signed by an improper party, the post registration staff must treat the response as incomplete and follow the procedures in TMEP §611.05(a)-(c). See TMEP §611.03(b) regarding who can sign a response.

For a response to an Office action signed by a registrant who has been required to appoint a qualified U.S. attorney but did not do so, the post registration specialist will issue a second Office action reiterating the requirement to appoint a qualified U.S. attorney.

Other submissions. If a submission other than a response to an Office action (e.g., a proposed amendment to an application that is not responsive to an Office action, a petition to the Director under 37 C.F.R. §2.146 or §2.147, or an express abandonment) is signed by an improper party, the USPTO will notify the applicant or registrant that no action will be taken on the submission, unless the applicant or registrant either: (1) establishes the signatory’s authority; or (2) provides a properly signed submission.

See TBMP §106.02 for information about signature of documents filed in Board proceedings.

611.05(a) Notice of Incomplete Response when Authority of Person Signing Response Is Unclear

If it appears that a response to an examining attorney’s Office action is signed by an improper party, and the applicant is not required to be represented by a qualified U.S. attorney, the examining attorney must treat the response as an incomplete response, and grant the applicant 30 days, or to the end of the response period set forth in the previous Office action, whichever is longer, to perfect the response, pursuant to 37 C.F.R. §2.65(a)(2). See TMEP §718.03(b). The applicant must submit a response properly signed in accordance with the guidelines in TMEP §611.03(b). These same principles and procedures apply to responses to Office actions issued by other USPTO employees (e.g., staff in the Post Registration Section, ITU/Divisional Unit, or Office of Petitions).

See also TMEP §712.03.

611.05(b) Replying to a Notice of Incomplete Response

If the individual whose name appears beneath the signature is an authorized signer, and the applicant is not represented by a qualified U.S. attorney or required to be represented by a qualified U.S. attorney, he or she may simply telephone or send an email message to clarify the record, and the USPTO staff will make an appropriate Note to the File in the record, review the previously submitted response, and take the appropriate action.

A proper reply to a notice of incomplete response must state the nature of the relationship of the signer to the applicant or registrant. If the signer has legal authority to bind the applicant or registrant, the person should so state, and must set forth his or her title or position. If the signer is a qualified U.S. attorney who may practice before the USPTO pursuant to 37 C.F.R. §11.14(a),the attorney should identify himself or herself as such an attorney and must provide the required bar information and statement of good standing. See TMEP §§602.01, 602.01(a). If the signer meets the requirements of 37 C.F.R. §§11.14(b) or (c), the person should explain how he or she meets these requirements.

In a pending application, if the person who signed the response is not an authorized signer, the applicant is not represented by a qualified U.S. attorney or required to be represented by a qualified U.S. attorney, and all proposed amendments in the improperly signed response can be resolved by an examiner’s amendment, then the individual applicant or a person with legal authority to bind a juristic applicant (e.g., a corporate officer or general partner of a partnership) may telephone the examining attorney to authorize such an amendment. Otherwise, when the person who signed the response is not an authorized signer, the applicant must timely submit a properly signed response. See TMEP §§611.03(b), 611.06–611.06(h), and 712.01 regarding the proper party to sign a response to an Office action.

See TMEP §604.04 regarding changes of attorney.

611.05(c) Unsatisfactory Response or Failure to Respond

Pending Applications. If there is an unsatisfactory response or no response is received to the notice of incomplete response issued in connection with the application, the USPTO will abandon the application for incomplete response. See TMEP §718.03(a) for procedures for holding an application abandoned for failure to respond completely.

Post Registration. If there is an unsatisfactory response or no response is received to the notice of incomplete response issued in connection with an affidavit of use or excusable nonuse under §8 or §71, or a §9 renewal application, the USPTO will notify the registrant that the affidavit or renewal application remains unacceptable, and that the registration will be cancelled and/or expired in due course. In the case of a §7 request, the USPTO will notify the registrant that the request for amendment or correction is abandoned.

611.06 Guidelines on Persons with Legal Authority to Bind Certain Juristic Entities

When a document must be signed by a person with "legal authority to bind a juristic entity," the signatory must be someone who has the authority to bind that entity to any obligation and/or agreement whatsoever, and not solely with regard to trademark matters.

See TMEP §611.02 regarding signature by authorized parties being required for application- or registration-related submissions, §§611.03-611.03(i) regarding who can sign specific application- or registration-related submissions, and §611.03(a) regarding who can sign a verification.

611.06(a) Joint Owners

Joint owners are individual parties and not a single entity. Where a document must be signed by someone with legal authority to bind joint owners, the document must be signed by all the owners. See37 C.F.R. §§2.193(e)(2)(ii), (e)(3), (e)(5)(ii), (e)(6), (e)(8), (e)(9)(ii).

611.06(b) Signature by Partnership

Where a document must be signed by someone with legal authority to bind a partnership, a general partner must sign. Signature by all the general partners is not necessary. If the partnership comprises general partners who are juristic entities (e.g., the general partners are corporations), someone with legal authority to bind that type of juristic entity must sign.

In appropriate cases, a document filed by a partnership may be signed by an official other than a general partner, if the record contains an explanation or documentation indicating that the person signing the document has legal authority to bind the partnership.

611.06(c) Signature by Joint Venture

Where a document must be signed by someone with legal authority to bind a joint venture, each party to the venture must sign. Although a joint venture has many attributes of a partnership, it is a special partnership, which is very limited in nature and scope. Generally, signature by each party to the joint venture is necessary.

In appropriate cases, a document filed by a joint venture may be signed by a general manager or other official rather than by each of the joint venturers, if the applicant or registrant states that the person who signed has legal authority to bind the joint venture under relevant state law.

611.06(d) Signature by Corporation

Where a document must be signed by someone with legal authority to bind a corporation, a corporate officer must sign. An officer is a person who holds an office established in the articles of incorporation or corporate bylaws.

The usual titles for officers are President, Vice-President, Secretary, Treasurer, Chief Executive Officer, Chief Operating Officer, and Chief Financial Officer. In some organizations, the Treasurer is called a Comptroller or Controller, and these terms are acceptable. In Maine and Massachusetts the term "Clerk" identifies an officer of a corporation.

Modifications of these basic titles are acceptable if they include the officer title. Titles such as Vice-President for Sales, Executive Vice-President, Assistant Treasurer, Executive Secretary, and Administrative Secretary are acceptable.

The signature of the "Chairman" or "Chairman of the Board of Directors" is also acceptable, but not the signature of an individual director (e.g., the Vice-Chairman of the Board). The terms "Executive Secretary" and "Administrative Secretary" are acceptable because they include the officer-title "Secretary."

Some titles are generally not accepted because they usually do not identify officers. For instance, a General Manager, or any other type of manager, is usually merely an employee, not an officer.

If the applicant or registrant states that the person who signed the response is authorized to bind the applicant or registrant under the articles of incorporation or bylaws, the USPTO will accept the signature.

A corporation cannot delegate authority to sign to someone who is not a corporate officer. In re Textron, Inc., 183 USPQ 301 (Comm'r Pats. 1974). Therefore, documents purporting to authorize representation, even if signed by officers, will not be accepted as establishing authority of a person who does not have authority to legally bind the corporation under its bylaws or articles of incorporation.

When the applicant or registrant is a corporation, a statement that the signatory is an "officer" or "duly authorized officer" of the corporation is acceptable. However, it is unacceptable to state that the person who signed the verification is an "authorized signatory."

611.06(e) Signature by Foreign Companies and Corporations

There are significant differences between the legal entities established under the laws of the United States and legal entities established and recognized under the laws of foreign countries, and the titles and duties of officers of foreign corporations and companies often differ from those in the United States. In the case of foreign entities that are in the nature of corporations, the USPTO will accept the signature of a person considered to be equivalent to an officer under the law of the foreign country. Indication of a title identifying the signer as a type of officer – such as "Legal Officer" or "Information Officer" – is also sufficient.

In foreign countries, a person who holds the title "Manager" or "Director" is normally an officer or the equivalent of an officer.

The term "Procurist" is used in a number of countries to indicate an officer. For British companies, the terms "Registrar" and "Confidential Clerk" are the equivalent of officers.

If the applicant or registrant states that the person who signed the response holds a position that is the equivalent of an officer of a U.S. corporation, the USPTO will accept the signature.

Simply stating that a person has been granted authority to act on behalf of the applicant or registrant is insufficient. Documents purporting to authorize representation, even if signed by officers, will not be accepted as establishing the authority of a person who is not the equivalent of an officer. The applicant or registrant must state that the signatory has authority to legally bind the applicant or registrant under its bylaws or articles of incorporation.

SeeTMEP §611.04 regarding examples of acceptable signatories for foreign corporations and §611.06(g) regarding acceptable signatories for foreign limited liability companies.

611.06(f) Signature by Unincorporated Association

For organizations that are less formally organized than corporations (e.g., fraternal societies, unions, unincorporated associations, and governmental bodies), the titles for officers are less standardized. These organizations frequently use more individualistic terms for titles than the terms customarily used by corporations, and the officer positions themselves may not be as clearly or as formally provided for as is the case with corporations. Regardless of how unfamiliar the title is or how informal the position seems to be, the USPTO will accept the signature if the applicant or registrant states on the record that the signer has, within the framework of the particular organization, authority equivalent to that of an officer to act on behalf of the organization (i.e., has authority to legally bind the applicant or registrant under its bylaws or articles of formation). Some titles that have been accepted are Director, National Director, National Commander, Permanent Chairman, International Sponsor, Supreme Ruler, Royal Impresario, and Chairman of the Steering Committee.

611.06(g) Signature by Limited Liability Company

A limited liability company ("LLC") has attributes of both a corporation and a partnership. See TMEP §803.03(h). Generally, a signatory identified as "manager," "member," "principal," or "owner" may be presumed to have the authority to sign on behalf of a domestic or foreign limited liability company. In addition, anyone with a corporate-officer-type title, such as "President" or "Chief Executive Officer," may sign.

611.06(h) Signature by Limited Liability Partnership

A limited liability partnership ("LLP") has attributes of both a partnership and a corporation. See TMEP §803.03(k). Laws vary to some extent as to the authority conferred on various partners associated with the limited liability partnership. Generally, all partners are recognized as having general agency authority to bind the partnership in the ordinary course of business. Therefore, anyone identified as a partner may sign.

Many states provide for the filing of a Statement of Partnership Authority which specifically names partners having authority and/or limits the authority of certain individuals. If an individual who is not a named partner of the LLP has been recognized as having authority to bind the LLP, that person may sign, and must indicate his or her position as an individual designated in the LLP’s Statement of Partnership Authority.