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.

1. (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.
2. (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—
3. (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
4. (2) To the best of the party’s knowledge, information and belief, formed after an inquiry reasonable under the circumstances,
5. (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;
6. (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;
7. (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
8. (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.
9. (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--
10. (1) Striking the offending paper;
11. (2) Referring a practitioner’s conduct to the Director of the Office of Enrollment and Discipline for appropriate action;
12. (3) Precluding a party or practitioner from submitting a paper, or presenting or contesting an issue;
13. (4) Affecting the weight given to the offending paper; or
14. (5) Terminating the proceedings in the Office.
15. (d) Any practitioner violating the provisions of this section may also be subject to disciplinary action.

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.

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

...

1. (c) Requirements for electronic signature. A person signing a document electronically must:
2. (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
3. (2) Sign the document using some other form of electronic signature specified by the Director.
4. (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 may do one of the following, depending on the document:

1. (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. (2) The document is filled out online and is printed. 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;
3. (3) The document is filled out online and the pdf signature page generated within the USPTO’s form is sent to the signatory. The signatory signs the pdf signature page with an electronic signature generated using document-signing software that meets the requirements of TMEP §611.01(c)(ii). 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 pdf signature page is then attached for electronic submission; or
4. (4) 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 paragraphs (1) and (3) 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. Similarly, another person may not use document-signing software to create or generate the electronic signature of the named signatory.

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.

Trademark Rule 2.193(c), 37 C.F.R §2.193(c), sets forth the requirements for electronic signatures for trademark correspondence. Under Rule 2.193(c), a person signing a submission electronically must either:

1. (1) Personally enter any combination of letters, numbers, spaces, and/or punctuation marks that he or she has adopted as a signature, placed between two forward slash ("/") symbols in the signature block on the electronic submission; or
2. (2) Sign the document using some other form of electronic signature specified by the Director.

37 C.F.R. §2.193(c).

In accordance with the Director’s discretion to specify other forms of acceptable electronic signatures under Rule 2.193(c)(2), 37 C.F.R §2.193(c)(2), as of July 22, 2023, the USPTO began accepting documents with electronic signatures generated via third-party document-signing software, provided the signature meets the requirements set forth in TMEP §611.01(c)(ii). The Director has not specified any other form of acceptable electronic signature under Rule 2.193(c).

When reviewing an electronic signature that was generated using document-signing software, USPTO staff must first determine compliance with other signature requirements, such as whether it was signed by a proper person under Trademark Rule 2.193(e), 37 C.F.R §2.193(e). See TMEP §611.02 for more information on signatures by proper parties.

Submissions must be personally signed by the individual identified in the signatory name field. See 37 C.F.R §2.193(a)(2), (d); TMEP §611.01(b). Another person may not use document-signing software to enter or electronically generate someone else's signature. See 37 C.F.R §2.193(a)(2); In re Dermahose Inc., 82 USPQ2d 1793 (TTAB 2007); In re Cowan, 18 USPQ2d 1407, 1409 (Comm’r Pats. 1990); TMEP §611.01(b).

An electronic signature generated using document-signing software must meet both the software and signature block requirements set forth below.

Document-signing software requirements. Parties using third-party document-signing software must ensure that the underlying software:

1. (1) Preserves signature data for later inspection in the form of a digital certificate, token, or audit trail. Examining attorneys and post-registration examiners may presume that the document-signing software retains and integrates signature data in the final pdf that is uploaded unless the Office of the Deputy Commissioner for Trademark Examination Policy notifies the examining attorney otherwise.
2. (2) Generates or otherwise provides the date on which the signature was applied. If the software does not include the date of signature, the signatory must enter it on the electronic form. If the software generates a date and a different date is separately entered on the electronic form, the date generated by the software controls.
3. (3) Indicates that the signature page or electronic submission form was generated or electronically signed using document-signing software.
4. (4) Is specifically designed to generate an electronic signature. Signatures created using other types of software, such as graphic editing software, are not acceptable.

Signature block requirements. Examining attorneys and post-registration examiners must ensure that the signature block comports with the requirements listed below:

1. (1) Name and title. The first and last name, and the title or position, of each person who signed the document must be set forth immediately below or adjacent to the signatory’s adopted signature. If the signatory’s full name is not provided, the signatory’s first and last name must be stated for the record. This information can be entered through a Note to the File.
2. (2) Date signed. The date that the document was signed must appear with the signature. As noted in the instructions within the electronic form and appearing on the generated pdf signature page, if the document-signing software provides a date and timestamp, separate manual entry of the signature date is not required. If the signature date is manually entered and disagrees with the software-generated timestamp date, the date generated by the software controls for purposes of determining the date of signature. Regardless of the date the form was signed, the filing date for the electronic submission remains the date and time the USPTO receives the submission, in Eastern Time.
3. (3) USPTO timestamp. The pdf signature page generated within the USPTO’s form must display the timestamp applied by the USPTO’s electronic filing system that indicates when the signature page was created within the electronic form (i.e., prior to signature).

   Because the timestamp will only appear in the pdf signature page generated by the USPTO electronic filing system, the USPTO-generated pdf signature page must be used to meet the requirements for an acceptable electronic signature. A USPTO-generated pdf signature page is currently only available for verification signatures and when using the electronic Change Address or Representation (CAR) form. See TMEP §611.02 regarding verification signatures.

4. (4) Acceptable software type. The software used by the signer must meet the software requirements listed above.

See 37 C.F.R §2.193(a), (c), (d); TMEP §§303.01, 611.01(b), 804.03.

If the submission is signed by a proper party and all the elements listed above are satisfied, the examining attorney may presume the signature meets the requirements for an acceptable electronic signature, unless directed otherwise by the Office of the Deputy Commissioner for Trademark Examination Policy. If one or more of these requirements are not met, the signature will be treated as an unacceptable electronic signature. 37 C.F.R §2.193(c).

Notwithstanding the provisions above, examining attorneys and post-registration examiners retain the discretion to inquire regarding the acceptability of a signature on an electronic trademark submission or to require evidence of authenticity of such signature.

The requirements regarding submissions signed using document-signing software apply only to documents that must be signed in accordance with Rule 2.193(e). 37 C.F.R §2.193(e). This includes verified statements in support of an application and verified statements in support of an amendment to an application or registration, such as verified statements submitted to support a claim of acquired distinctiveness under Section 2(f). 37 C.F.R §2.41(a)(2)-(3), 2.193(e). These requirements do not apply to agreements with third parties submitted to the USPTO as part of the record during prosecution of an application, such as an agreement between the applicant and the owner of a cited mark consenting to registration of the applicant’s mark or a consent to register the name of an individual under Section 2(c). 15 U.S.C §1052(c)-(d).

Electronic signatures generated using document-signing software submitted before July 22, 2023. Because the USPTO timestamp and USPTO-generated pdf signature page was not available before July 22, 2023, USPTO staff may accept a declaration or verification that contains an electronic signature generated using document-signing software that was submitted before July 22, 2023 that otherwise meets the requirements set forth above. Any electronic signature generated using document-signing software submitted on or after July 22, 2023 must comply with all of the requirements set forth above, including use of the USPTO-generated pdf signature form with the relevant USPTO timestamp.

Electronic signatures generated using document-signing software currently only acceptable for certain signatures. The pdf signature page generated in the USPTO’s forms containing the USPTO timestamp is currently only available for declarations or verifications and when using the CAR form. Accordingly, only these types of signatures, and not any other submission signatures, can meet the requirements of an acceptable electronic signature generated using document-signing software as set forth immediately above. See TMEP §611.01 for the types of signatures required for filing documents with the USPTO.