Correspondence Signature Requirements

37 CFR 1.4  Nature of correspondence and signature requirements.

*****

(d)

(1)

Handwritten signature.

A design patent practitioner

must indicate their design patent practitioner status by placing the word

“design” (in any format) adjacent to their handwritten signature. Each

piece of correspondence, except as provided in paragraphs (d)(2) through

(4), (e) and (f) of this section, filed in an application, patent file,

or other proceeding in the Office that requires a person’s signature,

must:

(i) Be an original, that is, have an original

handwritten signature personally signed, in permanent dark ink or

its equivalent, by that person; or

(ii) Be a direct or indirect copy, such as a photocopy

or facsimile transmission (

§ 1.6(d)

), of

an original. In the event that a copy of the original is filed, the

original should be retained as evidence of authenticity. If a

question of authenticity arises, the Office may require submission

of the original.

(2)

S-signature.

An S-signature is a signature inserted

between forward slash marks, but not a handwritten signature as defined

by paragraph (d)(1) of this section. An S-signature includes any

signature made by electronic or mechanical means, and any other mode of

making or applying a signature other than a handwritten signature as

provided for in paragraph (d)(1) of this section. Correspondence being

filed in the Office in paper, by facsimile transmission as provided in

§

1.6(d)

, or via the USPTO patent electronic filing

system as an attachment as provided in

§

1.6(a)(4)

, for a patent application, patent, or a

reexamination or supplemental examination proceeding may be S-signature

signed instead of being personally signed (

i.e.,

with

a handwritten signature) as provided for in paragraph (d)(1) of this

section. The requirements for an S-signature under this paragraph (d)(2)

of this section are as follows.

filing

system as an attachment as provided in

§

1.6(a)(4)

, for a patent application, patent, or a

reexamination or supplemental examination proceeding may be S-signature

signed instead of being personally signed (

i.e.,

with

a handwritten signature) as provided for in paragraph (d)(1) of this

section. The requirements for an S-signature under this paragraph (d)(2)

of this section are as follows.

(i) The S-signature must consist only of letters, or

Arabic numerals, or both, with appropriate spaces and commas,

periods, apostrophes, or hyphens for punctuation, and the person

signing the correspondence must insert his or her own S-signature

with a first single forward slash mark before, and a second single

forward slash mark after, the S-signature (

e.g.,

/Dr. James T. Jones, Jr./); and

(ii) A patent practitioner (

§

1.32(a)(1)

), signing pursuant to

§ 1.33(b)(1)

or

(2)

, must

supply their registration number either as part of the S-signature,

or immediately below or adjacent to the S-signature. The hash (#)

character may only be used as part of the S-signature when

appearing before a practitioner’s registration number; otherwise

the hash character may not be used in an S-signature. A design

patent practitioner must additionally indicate their design patent

practitioner status by placing the word “design” (in any format)

adjacent to the last forward slash of their S-signature.

(iii) The signer’s name must be:

(A) Presented in printed or typed form preferably

immediately below or adjacent the S-signature, and

(B) Reasonably specific enough so that the

identity of the signer can be readily recognized.

(3) Electronically submitted correspondence.

Correspondence permitted via the USPTO patent electronic filing system

may be signed by a graphic representation of a handwritten signature as

provided for in paragraph (d)(1) of this section or a graphic

representation of an S-signature as provided for in paragraph (d)(2) of

this section when it is submitted via the USPTO patent electronic filing

system.

) Electronically submitted correspondence.

Correspondence permitted via the USPTO patent electronic filing system

may be signed by a graphic representation of a handwritten signature as

provided for in paragraph (d)(1) of this section or a graphic

representation of an S-signature as provided for in paragraph (d)(2) of

this section when it is submitted via the USPTO patent electronic filing

system.

(4) Certifications—

(i) Certification as to the paper

presented. The presentation to the Office (whether by signing,

filing, submitting, or later advocating) of any paper by a party,

whether a practitioner or non-practitioner, constitutes a

certification under

§ 11.18(b)

of

this subchapter. Violations of

§ 11.18(b)(2)

of this subchapter by a party, whether a practitioner or

non-practitioner, may result in the imposition of sanctions under

§ 11.18(c)

of

this subchapter. Any practitioner violating

§

11.18(b)

of this subchapter may also be

subject to disciplinary action. See

§

11.18(d)

of this subchapter.

(ii) Certification as to the signature.

The person inserting a signature under paragraph (d)(2) or (d)(3)

of this section in a document submitted to the Office certifies

that the inserted signature appearing in the document is his or her

own signature. A person submitting a document signed by another

under paragraph (d)(2) or (d)(3) of this section is obligated to

have a reasonable basis to believe that the person whose signature

is present on the document was actually inserted by that person,

and should retain evidence of authenticity of the signature.

Violations of the certification as to the signature of another or a

person’s own signature as set forth in this paragraph may result in

the imposition of sanctions under

§ 11.18(c) and

ection is obligated to

have a reasonable basis to believe that the person whose signature

is present on the document was actually inserted by that person,

and should retain evidence of authenticity of the signature.

Violations of the certification as to the signature of another or a

person’s own signature as set forth in this paragraph may result in

the imposition of sanctions under

§ 11.18(c) and

(d)

of this chapter.

(5)

Forms.

The Office provides forms to the public to use

in certain situations to assist in the filing of correspondence for a

certain purpose and to meet certain requirements for patent applications

and proceedings. Use of the forms for purposes for which they were not

designed is prohibited. No changes to certification statements on the

Office forms (

e.g.,

oath or declaration forms,

terminal disclaimer forms, petition forms, and nonpublication request

forms) may be made. The existing text of a form, other than a

certification statement, may be modified, deleted, or added to, if all

text identifying the form as an Office form is removed. The presentation

to the Office (whether by signing, filing, submitting, or later

advocating) of any Office form with text identifying the form as an

Office form by a party, whether a practitioner or non-practitioner,

constitutes a certification under

§ 11.18(b)

of this

chapter that the existing text and any certification statements on the

form have not been altered other than permitted by EFS-Web

customization.

(e) [Reserved]

(f) When a document that is required by statute to be certified

must be filed, a copy, including a photocopy or facsimile transmission, of the

certification is not acceptable.

*****

oner,

constitutes a certification under

§ 11.18(b)

of this

chapter that the existing text and any certification statements on the

form have not been altered other than permitted by EFS-Web

customization.

(e) [Reserved]

(f) When a document that is required by statute to be certified

must be filed, a copy, including a photocopy or facsimile transmission, of the

certification is not acceptable.

*****

(h)

Ratification/confirmation/evidence of authenticity:

The

Office may require ratification, confirmation (which includes submission of a

duplicate document but with a proper signature), or evidence of authenticity of

a signature, such as when the Office has reasonable doubt as to the

authenticity (veracity) of the signature,

e.g.,

where there

are variations of a signature, or where the signature and the typed or printed

name, do not clearly identify the person signing.

Correspondence filed in the Office, which requires a person’s signature,

may be filed with one of two types of signatures: (A) handwritten signature; and (B)

"S-signature."

See

37 CFR

1.4(d)

. Additionally, pursuant to

37 CFR

1.4(d)(3)

, correspondence filed via the USPTO patent electronic

filing system may be signed by a graphic representation of a handwritten signature as

provided for in

37 CFR

1.4(d)(1)

or a graphic representation of an S-signature as

provided for in

37 CFR

1.4(d)(2)

. A graphic representation of a handwritten signature may

be created by using a stylus pen and/or touch-pad. All correspondence, except for a

notice of appeal pursuant to

37 CFR 41.31

, filed in the Office

must include a signature. See

37 CFR 1.4

,

1.33

, and

11.18

.

I.

HANDWRITTEN SIGNATURE

A person’s handwritten signature may be an original or a copy

thereof. The word original, as used herein, is defined as correspondence which is

personally signed in permanent dark ink or its equivalent by the person whose

signature appears thereon. Dark ink or equivalent permits traditional ink and newer

non-liquid gel type ink technologies

37 CFR 1.4

,

1.33

, and

11.18

.

I.

HANDWRITTEN SIGNATURE

A person’s handwritten signature may be an original or a copy

thereof. The word original, as used herein, is defined as correspondence which is

personally signed in permanent dark ink or its equivalent by the person whose

signature appears thereon. Dark ink or equivalent permits traditional ink and newer

non-liquid gel type ink technologies. Since incoming correspondence is electronically

stored and scanned as a black and white image, a dark color is required so that the

scanned image is legible. Where copies of correspondence are acceptable, photocopies

or facsimile transmissions may be filed. For example, a photocopy or facsimile

transmission of an original of an amendment, declaration (e.g., under

37 CFR

1.63

or

1.67

), petition, issue fee

transmittal form, and authorization to charge a deposit account or a credit card may

be submitted in a patent application. Where copies are permitted, second and further

generation copies (i.e., copy of a copy) are acceptable. For example, a client may

fax a paper to an attorney and the attorney may then fax the paper to the Office,

provided the paper is eligible to be faxed (see

MPEP § 502.01

). The

original, if not submitted to the Office, should be retained as evidence of proper

execution in the event that questions arise as to the authenticity of the signature

reproduced on the photocopy or facsimile-transmitted correspondence. If a question of

authenticity arises, the Office may require submission of the original.

37 CFR

1.4(d)(1)

covers all handwritten signatures. The requirement in

37 CFR

1.4(d)(1)

of permanent dark ink or its equivalent relates to

whether a handwritten signature is compliant and is not limiting on the type of

handwritten signature that is covered by

37 CFR 1.4(d)(1)

. Thus,

37 CFR

1.4(d)(1)

would cover handwritten signatures in red ink or in

pencil; although, under

37 CFR 1.4(d)(1)

neither would be

acceptable since red ink is not dark, and pencil is not permanent

1.4(d)(1)

of permanent dark ink or its equivalent relates to

whether a handwritten signature is compliant and is not limiting on the type of

handwritten signature that is covered by

37 CFR 1.4(d)(1)

. Thus,

37 CFR

1.4(d)(1)

would cover handwritten signatures in red ink or in

pencil; although, under

37 CFR 1.4(d)(1)

neither would be

acceptable since red ink is not dark, and pencil is not permanent. A scanned image of

a document that contains a handwritten signature filed via the USPTO patent

electronic filing system is permitted as a copy under

37 CFR

1.4(d)(1)(ii)

. A signature applied by an electric or mechanical

typewriter directly to paper is not a handwritten signature, which is applied by

hand. Accordingly, if a typewriter applied signature is used, it must meet the

requirements of

37

CFR 1.4(d)(2)

. Adding forward slashes to a handwritten (or

hand-printed) ink signature that is personally applied will not cause the signature

to be treated under

37 CFR 1.4(d)(2)

. Such a signature will be treated under

37 CFR

1.4(d)(1)

with the slashes ignored. The end product from a

manually applied hand stamp or from a signature replication or transfer means (such

as by pen or by screen) appears to be a handwritten signature, but is not actually

handwritten, and would be treated under

37 CFR 1.4(d)(2)

. An electronic

reproduction of a handwritten signature, e.g., scanned, that is electronically

applied to a document is not a personally signed original document under

37 CFR

1.4(d)(1)(i)

and reproductions of such correspondence cannot be

copies under

37 CFR

1.4(d)(1)(ii)

. A graphic representation of a handwritten

signature as provided for in

37 CFR 1.4(d)(1)

will be accepted

when submitted via the USPTO patent electronic filing system, pursuant to

37 CFR

1.4(d)(3)

.

37 CFR 1.4(d)(1)

further requires

that a design patent practitioner must indicate their design patent practitioner

status by placing the word “design” (in any format) adjacent to their handwritten

signature.

II

c representation of a handwritten

signature as provided for in

37 CFR 1.4(d)(1)

will be accepted

when submitted via the USPTO patent electronic filing system, pursuant to

37 CFR

1.4(d)(3)

.

37 CFR 1.4(d)(1)

further requires

that a design patent practitioner must indicate their design patent practitioner

status by placing the word “design” (in any format) adjacent to their handwritten

signature.

II.

S-SIGNATURE

The second type of signature is an S-signature. See

37 CFR

1.4(d)(2)

. An S-signature is a signature inserted between

forward slash marks, but not a handwritten signature as defined by

37 CFR

1.4(d)(1)

. An S-signature includes any signature made by

electronic or mechanical means, and any other mode of making or applying a signature

not covered by either a handwritten signature of

37 CFR 1.4(d)(1)

. The S-signature

can be used with correspondence e.g., oaths and affidavits filed in the Office in

paper, by facsimile transmission as provided in

37 CFR 1.6(d)

, or via the USPTO

patent electronic filing system as an attachment as provided in

37 CFR

1.6(a)(4)

, for a patent application, a patent, or a

reexamination or supplemental examination proceeding.

37 CFR 1.4(d)

does not authorize filing correspondence by email. A legible electronic image of a

handwritten signature inserted, or copied and pasted by the person signing the

correspondence into the correspondence may be considered to be an acceptable

signature under

37

CFR 1.4(d)(2)

provided the signature is surrounded by a first

single forward slash mark before the electronic image and a second single forward

slash mark after the electronic image and includes the signers name below or adjacent

to the signature as required.

An S-signature must consist only of letters, or Arabic numerals, or

both, with appropriate spaces and punctuation (i.e., commas, periods, apostrophes, or

hyphens).

"Letters"

ure is surrounded by a first

single forward slash mark before the electronic image and a second single forward

slash mark after the electronic image and includes the signers name below or adjacent

to the signature as required.

An S-signature must consist only of letters, or Arabic numerals, or

both, with appropriate spaces and punctuation (i.e., commas, periods, apostrophes, or

hyphens).

"Letters"

include

English and non- English alphabet letters, and text characters (e.g., Kanji).

Non-text, graphic characters (e.g., a smiley face created in the True Type Wing Dings

font) are not permitted.

"Arabic

numerals"

are the numerals 0, 1, 2, 3, 4, 5, 6, 7, 8, and 9,

which are the standard numerals used in the United States. To accommodate as many

varieties of names as possible, a signer may select any combination of letters,

Arabic numerals, or both, for their S-signature under

37 CFR

1.4(d)(2)(i)

. The person signing the correspondence must insert

their own S-signature with a first single forward slash mark before, and a second

single forward slash mark after, the S-signature (e.g., /Dr. James T. Jones, Jr./).

Additional forward slashes are not permitted as part of the S-signature. The

presentation of just letters and Arabic numerals as an S-signature without the

S-signature being placed between two forward slashes will be treated as an unsigned

document. A design patent practitioner must indicate their design patent practitioner

status by placing the word “design” (in any format) adjacent to the last forward

slash of their S-signature.

Commas, periods, apostrophes, and hyphens are often found in names

and will therefore be found in many S-signatures. These punctuation marks and

appropriate spaces may be used with letters and Arabic numerals in an S-signature. A

sample S-signature including punctuation marks and spaces, between two forward

slashes, is: /John P. Doe/. Punctuation marks,

per se,

are not

punctuation and are not permitted without proper association with letters and Arabic

numerals

s

and will therefore be found in many S-signatures. These punctuation marks and

appropriate spaces may be used with letters and Arabic numerals in an S-signature. A

sample S-signature including punctuation marks and spaces, between two forward

slashes, is: /John P. Doe/. Punctuation marks,

per se,

are not

punctuation and are not permitted without proper association with letters and Arabic

numerals. An S-signature of only punctuation marks would be improper (e.g., /- - -/).

In addition, punctuation marks, such as question marks (e.g., /???/), are often

utilized to represent an intent not to sign a document and may be interpreted to be a

non-

bona fide

attempt at a signature, in addition to being

improper.

Script fonts are not permitted for any portion of a document except

the S-signature. See

37 CFR 1.52(b)(2)(ii)

.

Presentation of a typed name in a script font without the typed name being placed

between the required slashes does not present the proper indicia manifesting an

intent to sign and will be treated as an unsigned document.

37 CFR

1.4(d)(2)(i)

also defines who can insert an S-signature into a

document.

37 CFR

1.4(d)(2)(i)

requires that a person, which includes a

practitioner, must insert their own signature using letters and/or Arabic numerals,

with appropriate commas, periods, apostrophes, or hyphens as punctuation and spaces.

The “must insert his or her own signature” requirement is met by the signer directly

typing their own signature using a keyboard. The requirement does not permit one

person (e.g., a secretary) to type in the signature of a second person (e.g., a

practitioner) even if the second person directs the first person to do so. A person

physically unable to use a keyboard, however, may, while simultaneously reviewing the

document for signature, direct another person to press the appropriate keys to form

the S-signature

ng a keyboard. The requirement does not permit one

person (e.g., a secretary) to type in the signature of a second person (e.g., a

practitioner) even if the second person directs the first person to do so. A person

physically unable to use a keyboard, however, may, while simultaneously reviewing the

document for signature, direct another person to press the appropriate keys to form

the S-signature.

A signature which is created using a commercial

signing system may be acceptable under

37 CFR

1.4(d)(2)

if the signature is inserted between forward slash

marks or under

37 CFR 1.4(d)(3)

if the signature

is a graphic representation of either a handwritten signature or an S-signature and

submitted via the USPTO patent electronic filing system.

37 CFR

1.4(d)(3)

does not apply to documents submitted in paper.

For consistency purposes, and to avoid raising a doubt as to who has

signed, the same S-signature should be utilized each time, with variations of the

signature being avoided. The signer should review any indicia of identity of the

signer in the body of the document, including any printed or typed name and

registration number, to ensure that the indicia of identity in the body of the

document is consistent with how the document is S-signed. Knowingly adopting an

S-signature of another is not permitted.

While an S-signature need not be the name of the signer of the

document, the Office strongly suggests that each signer use an S-signature that has

their full name. The Office expects that where persons do not sign with their name it

will be because they are using an S-signature that is the usual S-signature for that

person, which is their own signature, and not something that is employed to obfuscate

or misidentify the signer. Titles may be used with the signer’s S-signature and must

be placed between the slash marks (e.g., /Dr. John Doe/), or with the printed or

typed version of the name.

37 CFR

1.4(d)(2)(ii)

requires that a practitioner (

37 CFR

1.32(a)(1)

) signing pursuant to

37 CFR

1.33(b)(1)

or

for that

person, which is their own signature, and not something that is employed to obfuscate

or misidentify the signer. Titles may be used with the signer’s S-signature and must

be placed between the slash marks (e.g., /Dr. John Doe/), or with the printed or

typed version of the name.

37 CFR

1.4(d)(2)(ii)

requires that a practitioner (

37 CFR

1.32(a)(1)

) signing pursuant to

37 CFR

1.33(b)(1)

or

(b)(2)

must place their

registration number, either as part of, or adjacent, their S-signature. A hash (#)

character may only be used in an S-signature if it is prior to a practitioner’s

registration number that is part of the S-signature. A design patent practitioner

must additionally indicate their design patent practitioner status by placing the

word “design” (in any format) adjacent to the last forward slash of their

S-signature. For an application filed on or after September 16, 2012, when a

practitioner is signing as an applicant as defined in

37 CFR 1.42

(e.g., as an inventor), a registration number is not required and should not be

supplied to avoid confusion as to which basis the practitioner is signing, e.g., as a

practitioner or as the applicant. A patent practitioner signing on behalf of a

juristic entity applicant (see

37 CFR 1.33(b)(3)

) is signing as a patent

practitioner and thus must provide their registration number. For applications filed

before September 16, 2012, when a practitioner is signing as an applicant as defined

in

pre-AIA 37 CFR

1.41

or as an assignee a registration number is not required

and should not be supplied for the reasons noted above.

The signer’s name must be (A) presented in printed or typed form

preferably immediately below or adjacent the S-signature, and (B) reasonably specific

enough so that the identity of the signer can be readily recognized. See

37 CFR

1.4(d)(2)(iii)(A)

. The printed or typed name requirement is

intended to describe any manner of applying the signer’s name to the document,

including by a typewriter or machine printer

me must be (A) presented in printed or typed form

preferably immediately below or adjacent the S-signature, and (B) reasonably specific

enough so that the identity of the signer can be readily recognized. See

37 CFR

1.4(d)(2)(iii)(A)

. The printed or typed name requirement is

intended to describe any manner of applying the signer’s name to the document,

including by a typewriter or machine printer. It could include a printer (mechanical,

electrical, optical, etc.) associated with a computer or a facsimile machine but

would not include manual or hand printing. See

37 CFR 1.52(a)(1)(iv)

. The

printed or typed name may be inserted before or after the S-signature is applied, and

it does not have to be inserted by the S-signer. A printed or typed name appearing in

the letterhead or body of a document is not acceptable as the presentation of the

name of the S-signer. A graphic representation of an S-signature as provided for in

37 CFR

1.4(d)(2)

will be accepted when submitted via the USPTO patent

electronic filing system, pursuant to

37 CFR 1.4(d)(3)

.

III.

CERTIFICATIONS

37 CFR

1.4(d)(4)(i)

establishes that the presentation to the Office

(whether by signing, filing, submitting, or later advocating) of any paper by a

party, whether a practitioner or non- practitioner, constitutes a certification under

37 CFR

11.18(b)

of this chapter.

37 CFR

1.4(d)(4)(ii)

establishes certifications as to the signature of

another for a person submitting a document signed by another under

37 CFR

1.4(d)(2)

or

37 CFR 1.4(d)(3)

. Thus, the

submitting person is obligated to have a reasonable basis to believe that the person

whose signature is present on the document actually inserted the signature on the

document. Such reasonable basis does not require an actual knowledge but does require

some reason to believe the signature is appropriate

submitting a document signed by another under

37 CFR

1.4(d)(2)

or

37 CFR 1.4(d)(3)

. Thus, the

submitting person is obligated to have a reasonable basis to believe that the person

whose signature is present on the document actually inserted the signature on the

document. Such reasonable basis does not require an actual knowledge but does require

some reason to believe the signature is appropriate. For example, where a

practitioner emails a

37 CFR 1.63

declaration to an

inventor for signature by the inventor and receives an executed declaration by the

inventor in return from the inventor, reasonable basis would exist. Evidence of

authenticity should be retained. This may involve retaining the emails sent to the

inventor and any cover letter or email (with the signed document as an attachment)

back to the practitioner from the inventor in the example relating to execution of a

37 CFR

1.63

declaration.

37 CFR

1.4(d)(4)(ii)

further establishes that a person inserting a

signature under

37

CFR 1.4(d)(2)

or

37 CFR 1.4(d)(3)

in a document

submitted to the Office certifies that the inserted signature appearing in the

document is their own signature. This is meant to prohibit a first person from

requesting a second person to insert the first person’s signature in a document.

While the certification is directed at the person inserting another S- signature, the

person requesting the inappropriate insertion may also be subject to sanctions.

37 CFR

1.4(d)(4)(ii)

additionally establishes that violations of the

certifications as to the signature of another or a person’s own signature, set forth

in

37 CFR

1.4(d)(4)(ii)

, may result in the imposition of sanctions under

37 CFR 11.18(c)

and (d)

.

IV.

RATIFICATION, CONFIRMATION, OR EVIDENCE OF AUTHENTICITY

Pursuant to

37 CFR 1.4(h)

, the Office may

additionally inquire in regard to a signature so as to identify the signer and

clarify the record where the identity of the signer is unclear

ature of another or a person’s own signature, set forth

in

37 CFR

1.4(d)(4)(ii)

, may result in the imposition of sanctions under

37 CFR 11.18(c)

and (d)

.

IV.

RATIFICATION, CONFIRMATION, OR EVIDENCE OF AUTHENTICITY

Pursuant to

37 CFR 1.4(h)

, the Office may

additionally inquire in regard to a signature so as to identify the signer and

clarify the record where the identity of the signer is unclear. An example of when

ratification or confirmation of a signature may be required is when there are

variations in a signature or whenever a name in an S-signature is not exactly the

same as the name indicated as an inventor, or a practitioner of record. Hence,

whatever signature is adopted by a signer, that signature should be consistently used

on all documents. Also addressed is the treatment of variations in a signature or

where a printed or typed name accompanies the S-signature but the identity of the

signer is unclear. In such cases, the Office may require ratification or confirmation

of a signature. Ratification requires the person ratifying to state they personally

signed the previously submitted document as well as, if needed, the submission of a

compliant format of the signature. Confirmation includes submitting a duplicate

document, which is compliantly signed if the previous signature was noncompliant (as

opposed to unclear). Where it is necessary to ratify the signatures on multiple

previously submitted documents, the ratification paper should include an itemized

list of the documents and their filing dates.

In lieu of ratification, the Office may require a resubmission of a

properly signed duplicate document. Resubmission of a document may be required, for

example, where ratification alone is inappropriate, such as where the image of the

signature is of such poor quality (e.g., illegible font) that the Office is unable to

store or reproduce the document with the signature image.

Ratification or confirmation alone does not provide a means for

changing the name of a signer

erly signed duplicate document. Resubmission of a document may be required, for

example, where ratification alone is inappropriate, such as where the image of the

signature is of such poor quality (e.g., illegible font) that the Office is unable to

store or reproduce the document with the signature image.

Ratification or confirmation alone does not provide a means for

changing the name of a signer. For example, when an inventor changes their name and

the inventor desires to change their name in the nonprovisional application, such

change must be by way of a request under

37 CFR 1.48(f)

.

See

MPEP

§§ 602.01(c)(2)

and

602.08(b)

.

In addition, the Office may require evidence of authenticity where

the Office has reasonable doubt as to the authenticity (veracity) of the signature.

Evidence of authenticity may include evidence establishing a chain of custody of a

document from the person signing the document to the person filing the document.

Proper evidence of a chain of custody will aid in avoiding the impact of repudiation

of a signature.

Where there has been a

bona fide

attempt to follow

the rule, but where there is some doubt as to the identity of the signer of a signed

document, the Office may require ratification of the signature. Note, ratification

would only be an effective remedy if the signer was a proper party to have executed

the document to be ratified. For example, a practitioner of record may ratify their

signature on an amendment, but not the signature of a secretary who is not a

practitioner or inventor in the application. A registered practitioner may, however,

ratify the amendment made by another registered practitioner but may not ratify a

document required to be signed by an inventor, such as a

37 CFR 1.63

declaration

ment to be ratified. For example, a practitioner of record may ratify their

signature on an amendment, but not the signature of a secretary who is not a

practitioner or inventor in the application. A registered practitioner may, however,

ratify the amendment made by another registered practitioner but may not ratify a

document required to be signed by an inventor, such as a

37 CFR 1.63

declaration. Similarly, an inadvertent typographical error or simple misspelling of a

name will be treated as a

bona fide

attempt to follow the rule,

which would require ratification only where there is some doubt as to the identity of

the signer rather than be treated as an unsigned paper requiring resubmission. Where

there is an obvious typographical error so that the Office does not have some doubt

as to the identity of the signer (and therefore notification to applicant is not

needed), further action by applicant would not be required and, where appropriate,

the obvious error will be noted in the record.

The inadvertent failure to follow the format and content of an

S-signature will be treated as a

bona fide

attempt at a signature

but the paper will be considered as being unsigned correspondence. Examples of

correspondence that will be treated as unsigned are (A) the S-signature is not

enclosed in forward slashes, (B) the S-signature is composed of non-text graphic

characters (e.g., a smiley face) and not letters and numerals, and (C) the

S-signature is not a name and there is no other accompanying name adjacent or below

the S-signature so that the identity of the signer cannot be readily recognized.

If the signer, after being required to ratify or resubmit a document

with a compliant signature, repeats the same S-signature in reply without appropriate

correction, the reply will not be considered to be a

bona fide

attempt to reply, and no additional time period will be given to submit a properly

signed document.

V

the S-signature so that the identity of the signer cannot be readily recognized.

If the signer, after being required to ratify or resubmit a document

with a compliant signature, repeats the same S-signature in reply without appropriate

correction, the reply will not be considered to be a

bona fide

attempt to reply, and no additional time period will be given to submit a properly

signed document.

V.

CERTIFICATION OF DOCUMENTS PROVIDED FOR BY STATUTE

When a statute requires or permits the Director to require a document

to be certified (such as the requirement in

37 CFR 1.55

for a certified copy

of a foreign patent application pursuant to

35 U.S.C. 119

or a certified copy

of an international application pursuant to

35 U.S.C. 365

) a copy of the

certification, including a photocopy or facsimile transmission, will not be

acceptable. Note that for applications filed under

35 U.S.C.

111(a)

, foreign priority documents retrieved by the Office from

a foreign intellectual property office that participates with the Office in a

priority document exchange (PDX) agreement can serve as the certified copy provided

the requirements of

37 CFR 1.55(h)

are met. The

requirement for an original certification does not apply to certifications such as

required under

37

CFR 1.8

since these certifications are not provided for by

statute.