Source: http://petitiontocancel.com/tbmp311.html
Timestamp: 2017-05-25 21:48:39
Document Index: 577907381

Matched Legal Cases: ['§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 106', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 309', '§ 311', '§ 311', '§ 2', '§ 2', '§ 106', '§ 2', '§ 2', '§ 106', '§ 2', '§ 712', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 113', '§ 310', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 311', '§ 311', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 318', '§ 2', '§ 2', '§ 2', '§ 2', '§ 19', '§ 1069', '§ 19', '§ 1069', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2']

When does the Answer take place in an opposition or cancellation?
Notice of Opposition or Petition to Cancel is filed by Plaintiff Defendant (applicant or registrant) Answers within 40 days Discovery Conference between parties (the parties are required to conference in person, by telephone, or by any other means on which they may agree) Discovery Opens Initial Disclosures Due Expert Disclosures Due Discovery Closes Plaintiff's Pretrial Disclosures Plaintiff's 30-day Trial Period-Brief on the Merits submitted Defendant's Pretrial Disclosures Defendant's 30-day Trial Period-Rebuttal on Brief on the Merits submitted Plaintiff's Rebuttal Disclosures Plaintiff's 15-day Rebuttal Period Board's Decision
TRADEMARK TRIAL AND APPEAL BOARD MANUAL OF PROCEDURE (TBMP) January 2017
TBMP 311 Form and Content of Answer
37 CFR § 2.116 Federal Rules of Civil Procedure.
(c) The notice of opposition or the petition for cancellation and the answer correspond to the complaint and answer in a court proceeding.
37 CFR § 2.106(b)(1) Answer.
(b)(1) An answer must be filed through ESTTA. In the event that ESTTA is unavailable due to technical problems, or when extraordinary circumstances are present, an answer may be filed in paper form. An answer filed in paper form must be accompanied by a Petition to the Director under § 2.146, with the fees therefor and the showing required under this paragraph (b).
37 CFR § 2.114(b)(1) Answer.
37 CFR § 2.126 Form of submissions to the Trademark Trial and Appeal Board.
(a) Submissions shall be made to the Trademark Trial and Appeal Board via ESTTA.
(b) . . . . A paper submission, including exhibits and depositions, must meet the following requirements:
An answer to a notice of opposition or petition to cancel corresponds to an answer to a complaint in a court proceeding. [ Note 1.]
The form of an answer must meet the general requirements for submissions to the Board set forth in 37 CFR § 2.126. See TBMP § 106.03. If an answer is filed electronically through ESTTA, the text in the electronic submission must be in at least 11-point type and double-spaced and any exhibits pertaining to the electronic submission must be made electronically as an attachment to the answer and be clear and legible. [ Note 2.] If the answer is submitted on paper, due to technical problems, or when extraordinary circumstances are present, (see 37 CFR § 2.106(b)(1) and 37 CFR § 2.114(b)(1) ) the submission, including any exhibits, may not be stapled or bound or have any extruding tabs, and must otherwise comply with the requirements of 37 CFR § 2.126(b) in order to permit efficient scanning.
A party may no longer make submissions in CD-ROM format that could otherwise be filed electronically as a digital image through ESTTA. [ Note 3.] The Board will not return an inappropriately filed CD-ROM to the party which filed it.
1. See 37 CFR § 2.116(c).
2. See 37 CFR § 2.126(a)(1) and 37 CFR § 2.126(a)(2).
3. See 37 CFR § 2.126(a) and 37 CFR § 2.126(b). Cf. Hunter Industries, Inc. v. Toro Co., 110 USPQ2d 1651, 1654 (TTAB 2014) (parties may not override Trademark Rule 2.126 provisions for form of submissions by agreement, exhibits submitted on flash drives and CD-ROM not considered; however, video and audio recordings may be submitted on CD-ROM or DVD), on appeal, No. 14-CV-4463 (D. Minn.).
TBMP 311.01(a) Format for Answer
An answer need not follow a particular format, as long as the answer meets the requirements for the particular type of submission to the Board (37 CFR § 2.126(a) for electronic filings through ESTTA and 37 CFR § 2.106(b)(1), 37 CFR § 2.145(b)(1), and 37 CFR § 2.126(b) for paper filings (when permitted on Petition)), and otherwise includes the necessary information. The format for an answer is similar to a complaint and should include the following information:
An answer should bear at its top the heading "IN THE UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE TRADEMARK TRIAL AND APPEAL BOARD," followed by the name of the proceeding (e.g., "ABC Corporation v. XYZ Company"), the proceeding number (e.g., "Opposition No. 91156789" or "Cancellation No. 92042567"), and a title describing the nature of the paper (e.g., "ANSWER," "ANSWER AND COUNTERCLAIM," etc.). Cf. TBMP § 309.02(a).
Substance of answer: The answer must contain admissions and/or denials of the allegations in the complaint and may include any defenses to those allegations. See TBMP § 311.02.
Signature: The answer must be signed and include a description of the capacity in which the signing individual signs, e.g., attorney for defendant, defendant (if defendant is an individual), partner of defendant (if defendant is a partnership), officer of defendant identified by title (if defendant is a corporation), etc. See TBMP § 311.01(b).
TBMP 311.01(b) Signature of Answer
37 CFR § 2.119(e) Every submission filed in an inter partes proceeding, … must be signed by the party filing it, or by the party’s attorney or other authorized representative, but an unsigned submission will not be refused consideration if a signed copy is submitted to the Office within the time limit set in the notification of this defect by the Office.
An answer need not be verified, but it must be signed. For answers submitted electronically via ESTTA, electronic signatures pursuant to 37 CFR § 2.193(c) are required. The signature may be made by the defendant or by the defendant’s attorney or other authorized representative. [ Note 1.] See TBMP § 106.02.
If a defendant signing for itself is an individual, the individual must make the signature. If defendants are joint applicants of the involved mark, each defendant must sign a combined, single answer. [ Note 2.] If a defendant signing for itself is a partnership, a partner must make the signature. If a defendant signing for itself is a corporation, association, or similar juristic entity, the signature must be made by an individual who is an officer of defendant and who is authorized to represent it. The signature should be accompanied by a description of the capacity in which the signing individual signs (i.e., as defendant, if defendant is an individual; as counsel for defendant; as a partner of defendant, if defendant is a partnership; as an officer of defendant identified by title, if defendant is a corporation; etc.).
In the case of an electronically filed answer, the Board views the electronic signature on the ESTTA filing form as pertaining to all attachments thereto. [ Note 3.] Thus, a defendant’s (or its attorney’s or other authorized representative’s) electronic signature on the ESTTA filing form serves as its signature for the entire answer being filed, even when there is no electronic signature on the answer, submitted as an attachment to the filing form. [ Note 4.]
Although an answer must be signed, an unsigned answer filed in paper form, (when permitted, see 37 CFR § 2.106(b)(1) and 37 CFR § 2.114(b)(1) ) will not be refused consideration if a signed copy is submitted to the Board within the time limit set in the notification of this defect by the Board. [ Note 5.] See TBMP § 106.02.
1. See 37 CFR § 2.119(e).
2. Cf. TMEP § 712.01 (a response to an Office action by joint applicants who are not represented by an attorney must be signed by each of the applicants, since they are individual parties and not a single entity).
3. PPG Industries Inc. v. Guardian Industries Corp., 73 USPQ2d 1926, 1928 (TTAB 2005) ("Since ESTTA’s inception, the Board has viewed the ESTTA filing form and any attachments thereto as comprising a single document or paper being filed with the Board."). See also Hunt Control Systems Inc. v. Koninklijke Philips Electronics N.V., 98 USPQ2d 1558, 1561 (TTAB 2011); Schott AG v. Scott, 88 USPQ2d 1862, 1863 n.3 (TTAB 2008) ("[T]he ESTTA generated filing form … is considered part of the plaintiff’s initial pleading") MISCELLANEOUS CHANGES TO TRADEMARK TRIAL AND APPEAL BOARD RULES OF PRACTICE, 81 Fed. Reg. 69950, 69957 (October 7, 2016) (The ESTTA cover sheet is considered part of the complete opposition pleading).
4. PPG Industries Inc. v. Guardian Industries Corp., 73 USPQ2d 1926, 1928 (TTAB 2005).
TBMP 311.01(c) Filing and Service of Answer
37 CFR § 2.106(b)(1) An answer must be filed through ESTTA. In the event that ESTTA is unavailable due to technical problems, or when extraordinary circumstances are present, an answer may be filed in paper form. An answer filed in paper form must be accompanied by a Petition to the Director under § 2.146, with the fees therefor and the showing required under this paragraph (b).
37 CFR § 2.114(b)(1) An answer must be filed through ESTTA. In the event that ESTTA is unavailable due to technical problems, or when extraordinary circumstances are present, an answer may be filed in paper form. An answer filed in paper form must be accompanied by a Petition to the Director under § 2.146, with the fees therefor and the showing required under this paragraph (b).
37 CFR § 2.119(a) Except for the notice of opposition or the petition to cancel, every submission filed in the Office in inter partes cases, … must be served upon the other party or parties. Proof of such service must be made before the submission will be considered by the Office.
37 CFR § 2.119(b) Service of submissions filed with the Board and any other papers served on a party not required to be filed with the Board, must be on the attorney or other authorized representative of the party if there be such or on the party if there is no attorney or other authorized representative, and must be made by email, unless otherwise stipulated…
One copy of the answer, and any exhibits thereto, must be filed with the Board. An answer must be filed through ESTTA. [ Note 1.] In the event that ESTTA is unavailable due to technical problems, or when extraordinary circumstances are present, an answer may be filed in paper form accompanied by a Petition to the Director and the requisite fee. [ Note 2.]
Another copy of the answer, with any exhibits thereto, must be served by the defendant upon the attorney for the plaintiff, or on the plaintiff if there is no attorney. [ Note 3.] The answer must bear proof (e.g., a certificate of service, consisting of a statement signed by the filing party, or by its attorney or other authorized representative, clearly stating the date and manner in which service was made) that such service has been made before the submission will be considered by the Board. [ Note 4.] See TBMP § 113 regarding certificates of service. The service of an answer filed with the Board must be made by email, unless otherwise stipulated. [ Note 5.] A party who attempts service by email but is unsuccessful due to technical problems or extraordinary circumstances, may effect service by other means. [ Note 6.] Service by other means should be accompanied by a written explanation or amended certificate of service. [ Note 7.]
For information on the time for filing an answer, see TBMP § 310.03.
Please Note: For answers filed on paper, the pendency of the Petition to the Director to file on paper will not act as a stay of proceedings, see 37 CFR § 2.146(g), and parties should adhere to the trial schedule. [ Note 8.]
1. See 37 CFR § 2.106(b)(1) and 37 CFR § 2.114(b)(1).
2. See 37 CFR § 2.106(b)(1) and 37 CFR § 2.114(b)(1).
3. See 37 CFR § 2.119(a) and 37 CFR § 2.119(b).
4. See 37 CFR § 2.119(a) and 37 CFR § 2.119(b).
5. See 37 CFR § 2.119(b).
6. See 37 CFR § 2.119(b).
7. See 37 CFR § 2.119(b).
8. MISCELLANEOUS CHANGES TO TRADEMARK TRIAL AND APPEAL BOARD RULES OF PRACTICE, 81 Fed. Reg. 69950, 69966 (October 7, 2016).
TBMP 311.02 Substance of Answer
37 CFR § 2.106(b)(2) An answer shall state in short and plain terms the applicant’s defenses to each claim asserted and shall admit or deny the averments upon which the opposer relies. If the applicant is without knowledge or information sufficient to form a belief as to the truth of an averment, applicant shall so state and this will have the effect of a denial. Denials may take any of the forms specified in Rule 8(b) of the Federal Rules of Civil Procedure. An answer may contain any defense, including the affirmative defenses of unclean hands, laches, estoppel, acquiescence, fraud, mistake, prior judgment, or any other matter constituting an avoidance or affirmative defense. When pleading special matters, the Federal Rules of Civil Procedure shall be followed. A reply to an affirmative defense shall not be filed. When a defense attacks the validity of a registration pleaded in the opposition, paragraph (b)(2) of this section shall govern. A pleaded registration is a registration identified by number by the party in the position of plaintiff in an original notice of opposition or in any amendment thereto made under Rule 15 of the Federal Rules of Civil Procedure.
37 CFR § 2.106(b)(3) (i) A defense attacking the validity of any one or more of the registrations pleaded in the opposition shall be a compulsory counterclaim if grounds for such counterclaim exist at the time when the answer is filed. If grounds for a counterclaim are known to the applicant when the answer to the opposition is filed, the counterclaim shall be pleaded with or as part of the answer. If grounds for a counterclaim are learned during the course of the opposition proceeding, the counterclaim shall be pleaded promptly after the grounds therefor are learned. A counterclaim need not be filed if the claim is the subject of another proceeding between the same parties or anyone in privity therewith; but the applicant must promptly inform the Board, in the context of the opposition proceeding, of the filing of the other proceeding.
37 CFR § 2.114(b)(2) An answer shall state in short and plain terms the respondent’s defenses to each claim asserted and shall admit or deny the averments upon which the petitioner relies. If the respondent is without knowledge or information sufficient to form a belief as to the truth of an averment, respondent shall so state and this will have the effect of a denial. Denials may take any of the forms specified in Rule 8(b) of the Federal Rules of Civil Procedure. An answer may contain any defense, including the affirmative defenses of unclean hands, laches, estoppel, acquiescence, fraud, mistake, prior judgment, or any other matter constituting an avoidance or affirmative defense. When pleading special matters, the Federal Rules of Civil Procedure shall be followed. A reply to an affirmative defense shall not be filed. When a defense attacks the validity of a registration pleaded in the petition, paragraph (b)(3) of this section shall govern. A pleaded registration is a registration identified by number by the party in position of plaintiff in an original petition for cancellation, or a counterclaim petition for cancellation, in any amendment thereto made under Rule 15 of the Federal Rules of Civil Procedure.
37 CFR § 2.114(b)(3) (i) A defense attacking the validity of any one or more of the registrations pleaded in the petition shall be a compulsory counterclaim if grounds for such counterclaim exist at the time when the answer is filed. If grounds for a counterclaim are known to respondent when the answer to the petition is filed, the counterclaim shall be pleaded with or as part of the answer. If grounds for a counterclaim are learned during the course of the cancellation proceeding, the counterclaim shall be pleaded promptly after the grounds therefor are learned. A counterclaim need not be filed if the claim is the subject of another proceeding between the same parties or anyone in privity therewith; but the party in position of respondent and counterclaim plaintiff must promptly inform the Board, in the context of the primary cancellation proceeding, of the filing of the other proceeding.
37 CFR § 2.133(d) A plaintiff’s pleaded registration will not be restricted in the absence of a counterclaim to cancel the registration in whole or in part, except that a counterclaim need not be filed if the registration is the subject of another proceeding between the same parties or anyone in privity therewith.
An answer is a formal written response to the plaintiff’s notice of opposition or petition to cancel in which the defendant responds to all of the allegations in the complaint and sets forth any defenses to all or part of plaintiff’s claims. [ Note 1.] Any attack on the validity of a registration pleaded by plaintiff must be pleaded as a counterclaim, unless a separate petition to cancel has been filed to seek cancellation of the registration. [ Note 2.] For specific information on answering the allegations in a complaint and asserting any defenses see TBMP § 311.02(a) and TBMP § 311.02(b).
1. See 37 CFR § 2.106(b)(2) and 37 CFR § 2.114(b)(2).
2. See 37 CFR § 2.106(b)(3)(i); 37 CFR § 2.106(b)(3)(ii); 37 CFR § 2.114(b)(3)(i); and 37 CFR § 2.114(b)(3)(ii).
TBMP 311.02(a) Admissions and Denials
The defendant should not argue the merits of the allegations in a complaint but rather should state, as to each of the allegations contained in the complaint, that the allegation is either admitted or denied. [ Note 1.] If the defendant does not have sufficient information to admit or deny an allegation, the defendant may so state, and this statement will have the effect of a denial as to that allegation. If the complaint consists of numbered paragraphs setting forth the basis of plaintiff’s claim of damage, the defendant’s admissions or denials should be made in numbered paragraphs corresponding to the numbered paragraphs in the complaint.
A denial of an allegation should fairly meet the substance of the allegation denied, and may take any of the forms described in Fed. R. Civ. P. 8(b). [ Note 2.] An answer that fails to deny a portion of an allegation may be deemed admitted as to that portion. See Fed. R. Civ. P. 8(b)(6). Thus, if a defendant intends in good faith to deny only a part or a qualification of an allegation, the defendant should admit so much of the allegation as is true and material and should deny only the remainder. If a defendant intends in good faith to controvert all of the allegations contained in a complaint, including the jurisdictional grounds, the defendant may do so by general denial, subject to the obligations set forth in Fed. R. Civ. P. 11 (for a discussion of Fed. R. Civ. P. 11 in relation to pleadings, see TBMP § 318). If a defendant does not intend in good faith to controvert all of the allegations contained in a complaint, the defendant may make its denials as specific denials of designated allegations or paragraphs, or may generally deny all the allegations except those designated allegations or paragraphs which are expressly admitted. [ Note 3.]
In the absence of a general denial of the allegations in a complaint, admissions or denials should be made in numbered paragraphs corresponding to the numbered paragraphs in the complaint.
1. See 37 CFR § 2.106(b)(2) and 37 CFR § 2.114(b)(2); Fed. R. Civ. P. 8(b); Hewlett-Packard Co. v. Olympus Corp., 931 F.2d 1551, 18 USPQ2d 1710, 1713 (Fed. Cir. 1991); Turner Entertainment Co. v. Ken Nelson, 38 USPQ2d 1942, 1943 (TTAB 1996) (applicant’s answers were argumentative and nonresponsive and Board was ultimately forced to interpret the answer); National Football League v. Jasper Alliance Corp., 16 USPQ2d 1212, 1214 n.2 (TTAB 1990) (applicant’s answer was more in the nature of argument than answer); and Thrifty Corp. v. Bomax Enterprises, 228 USPQ 62, 63 (TTAB 1985).
2. See 37 CFR § 2.106(b)(2) and 37 CFR § 2.114(b)(2). See also Lipton Industries, Inc. v. Ralston Purina Co., 670 F.2d 1024, 213 USPQ 185, 190 (CCPA 1982) (regarding equivocal admissions or denials).
3. See Fed. R. Civ. P. 8(b)(3) and 8(b)(4).
Except as provided in Fed. R. Civ. P. 12(b) and 12(h)(2) (which allow a defendant to raise certain specified defenses by motion), an unpleaded defense cannot be relied upon by the defendant unless the defendant’s pleading is amended (or deemed amended), pursuant to Fed. R. Civ. P. 15(a) or 15(b), to assert the matter. [ Note 1.]
1. See Fed. R. Civ. P. 8(b), 8(c), and 12(b); Trademark Act § 19, 15 U.S.C. § 1069. See also Omega SA (Omega AG) (Omega Ltd.) v. Alpha Phi Omega, 118 USPQ2d 1289, 1291 n.2 (TTAB 2016) (unpleaded prior registration defense not considered on summary judgment); Productos Lacteos Tocumbo S.A. de C.V. v. Paleteria La Michoacana, Inc., 98 USPQ2d 1921, 1926 (TTAB 2011) (unpleaded affirmative defenses of prior registration defense and tacking not considered), aff’d __F. Supp. 3d __, 2016, , No. 1:11-cv-01623-RC (D.D.C. May 27, 2016); H.D. Lee Co. v. Maidenform Inc., 87 USPQ2d 1715, 1720 (TTAB 2008) (the reason for requiring an affirmative defense to be pleaded is to give the plaintiff notice of the defense and an opportunity to respond; defense of tacking must be pleaded to put opposer on notice of new matter that applicant is placing at issue); Diaz v. Servicios De Franquicia Pardo’s S.A.C., 83 USPQ2d 1320, 1322 (TTAB 2007) (answer deemed amended to assert applicant’s priority over opposer pursuant to Article 7 of the Pan American Convention);Barbara’s Bakery Inc. v. Landesman, 82 USPQ2d 1283, 1290 (TTAB 2007) (applicant’s affirmative defense deemed to have been tried by the implied consent of the parties); Chicago Corp. v. North American Chicago Corp., 20 USPQ2d 1715, 1717 n.5 (TTAB 1991) (defense that opposer lacks proprietary rights in its common law mark raised for first time in final brief was neither pleaded nor tried); United States Olympic Committee v. Bata Shoe Co., 225 USPQ 340, 341 (TTAB 1984) (laches is an affirmative defense which must be specifically pleaded); Trans Union Corp. v. Trans Leasing International, Inc., 200 USPQ 748, 754 (TTAB 1978) (defense of laches, which was raised by applicant in its final brief, was not pleaded in answer but was tried by implied consent of opposer); United States Mineral Products Co. v. GAF Corp., 197 USPQ 301, 304 n.5 (TTAB 1977) (the equitable defenses set forth in Trademark Act § 19, 15 U.S.C. § 1069 are affirmative defenses which must be affirmatively pleaded and in this case were neither pleaded nor tried); Copperweld Corp. v. Astralloy-Vulcan Corp., 196 USPQ 585, 590 (TTAB 1977) (laches, while not affirmatively pleaded, was nevertheless tried and briefed by both parties without objection); Hershey Foods Corp. v. Cerreta, 195 USPQ 246, 251 (TTAB 1977) (laches and acquiescence were neither pleaded nor tried); Taffy’s of Cleveland, Inc. v. Taffy’s, Inc., 189 USPQ 154, 156 (TTAB 1975) (laches is affirmative defense that must be pleaded in order to be considered).
TBMP 311.02(d) Other Affirmative Pleadings - Amplifying Denials
An answer may include affirmative assertions that, although they may not rise to the level of an affirmative defense, nevertheless state the reasons for, and thus amplify, the defendant’s denial of one or more of the allegations in the complaint. These amplifications of denials, whether referred to as "affirmative defenses," "avoidances," "affirmative pleadings," or "arguments," are permitted by the Board because they serve to give the plaintiff fuller notice of the position which the defendant plans to take in defense of its right to registration. [ Note 1.]
TBMP 311.03 Reply to Answer Should Not be Filed
Although 37 CFR § 2.106(b) and 37 CFR § 2.114(b) require that an answer to a counterclaim be filed, within the time designated by the Board, they specifically provide that a reply to an affirmative defense need not be filed. [ Note 1.] Similarly, Fed. R. Civ. P. 7(a) provides that there shall be a complaint and an answer and a reply to a counterclaim denominated as such; that certain other specified pleadings, not relevant to Board proceedings (and not including a reply to an answer), shall be allowed; but that "[o]nly these pleadings are allowed," except that the court may order a reply to an answer.
Thus, while a plaintiff must file an answer to a counterclaim, a reply to an answer need not, and should not, be filed.
1. See 37 CFR § 2.106(b)(2), 37 CFR § 2.106(b)(3)(iii), 37 CFR § 2.114(b)(2) and 37 CFR § 2.114(b)(3)(iii).