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.