Disruption to travel, mail, and in-person meetings caused by the ongoing COVID-19 pandemic has made acquiring signatures problematic and the need for inventor signatures has created a direct impact on the patent procedures for many companies. To mitigate these issues, it is increasingly important for applicants and their counsel to understand the United States Patent Office’s acceptance of electronic signatures. Pursuant to 37 C.F.R. § 1.4(e), electronic signatures are acceptable for all submissions to the USPTO except correspondence relating to registration to practice before the Patent and Trademark Office in patent cases, enrollment and disciplinary investigations, or disciplinary proceedings; and payments by credit cards where the payment is not made by the electronic filing system. Electronic signatures have been used regularly by U.S. attorneys for patent filings since their acceptance began in 2004.
持续的 COVID-19 大流行导致旅行、邮件和面对面会议的中断，使获取签名成为难题，而对发明人签名的需求也直接影响了许多公司的专利程序。为了减轻这些问题的影响，对于申请人及其律师来说，了解美国专利商标局对电子签名的接受越来越重要。根据37 C.F.R. §1.4（e），所有向 USPTO 提交的电子签名均可接受，除了与在专利商标局进行专利案件执业登记、注册和纪律调查或纪律程序中有关的通信；以及通过信用卡付款时未通过电子提交系统处理。自 2004 年开始接受电子签名以来，美国律师就频繁地将电子签名用于专利申请中。
Electronic signatures may also be used for documents including inventor declarations and powers of attorney. This can greatly facilitate obtaining signatures in a remote workforce. However, it is important to note that the relevant inventor or employee must affix his or her own signature to the document, regardless of whether that signature is electronic or handwritten. The proper method for electronic signatures is referred to as the “S-Signature,” which requires the inventor to place his or her name in between a pair of forward slashes (Ex: “/John Smith/”) on the signature line. While the signing individual must apply their own signature (type their name) to the document, the slash marks do not have to be entered by the signing party. For example, the slashes may be pre-inserted in a document before it is sent to an inventor for signature. This may further increase efficiency and ensure proper application of the signature.
电子签名也可以被用于包括发明人声明和授权委托书等文件中。这可以极大地方便在远程工作中获取签名。但是，重要的是要注意，无论是电子签名还是手写签名，相关发明人或雇员都必须在文件上附上自己的签名。正确的电子签名方法被称为“ S 签名”，它要求发明人在签名栏的⼀对斜线之间（例如：“/ John Smith /”）签署其名字。尽管签名人必须在文档上签上他们自己的名字，但签名人不用键入斜线。例如，在发送给发明人签名之前，可以将斜线预先键入到文档中。这可以进⼀步提高效率并确保签名的正确应用。
While the USPTO accepts electronic signatures, if the signature were to become the subject of a contentious matter, there is little evidence of who signed and when they signed the document. The evidence is often limited to the e-mail exchange in which the signed document was attached. However, certain signature services may be used to verify the authenticity electronic signatures. It is important to note that the signatures must still include the slashes. Pre-inserting the slashes or building them into a signature workflow may also be done when using a signature service, which can make the process more efficient for the signing party and reduce the chance of improper signature application.
尽管 USPTO 接受电子签名，但如果签名本身成为有争议的主题，则几乎没有证据能证明谁签的名以及何时签的名。证据通常仅限于包含签名文件的电子邮件。 但是，某些签名服务也可用于验证电子签名的真实性。重要的是要注意， 签名仍然必须包含斜线。当使用签名服务时，也可以预先键入斜线或将其设置到签名工作流程中，这可以使签名方的签名过程更加高效，并减少不正确签名的机会。
For applicants and patent owners with international concerns, it is important to consider the rules of all applicable jurisdictions. Notably, the U.S. and Patent Cooperation Treaty (PCT) have enacted rules regarding the acceptance of electronic signatures in the form of S-Signatures. However, some countries may require handwritten signatures or enhanced electronic signature procedures.
对于有国际关注的申请人和专利权人，考虑所有司法管辖区都适用的规则很重要。值得注意的是，美国和专利合作条约（PCT）已制定了有关接受 S 签名形式的电子签名规则。但是，某些国家/地区可能需要手写签名或增强的电子签名程序。
Assignments, licenses, and other grants carry additional considerations globally and even within the U.S. because the validity of such grants is generally interpreted according to the controlling law, which may be state law. There is no universal rule indicating what type of electronic signatures will be sufficient in court. In the United States, the Electronic Signatures in Global and National Commerce (ESIGN) Act in 2000 made electronic signatures legal in every state and U.S. territory when federal law applies. All states and Washington D.C. have enacted some form of electronic signature laws, mostly adopting the Uniform Electronic Transactions Act (UETA). Notable states that have not enacted the UETA, but have instead enacted their own electronic signature laws include Illinois, New York, and Washington. As a result, in order to determine whether an electronic signature is sufficient in a given jurisdiction, it is still important to check local rules.
转让、许可和其他授权使用在全球乃至美国范围内都需要考虑其他因素，因为此类授权的有效性通常是根据适用的法律（可能是州法）来解释的。没有通用的规则表明在法庭上哪种类型的电子签名就足够了。2000 年的《全球和国家商业电子签名法》（ESIGN）使得电子签名在美国每个州以及适用联邦法律的美国领地合法化。所有的州和华盛顿特区都制定了某种形式的电子签名法，大部分采用了《统⼀电子交易法》（UETA）。尚未制定 UETA，但已制定自己的电子签名法的著名州包括伊利诺伊、纽约和华盛顿。因此，为了确定电子签名在给定辖区中是否足够，检查本地规则仍然很重要。
It is possible that an electronic signature may be contested years after the relevant document was signed. Therefore, it may be prudent to bolster the validity of an assignment or license signature with additional evidence. The evidence needed to do this varies from jurisdiction to jurisdiction, but options include remote notarization, electronic signature software, video evidence of the signing, or bolstering the S-Signature with a traditional ink signature once in person signings become feasible.
在相关文件签署后的几年内，电子签名都可能会被质疑。因此，最好以其他证据来增强转让或许可签名的有效性。这样的证据随司法管辖区的不同而不同， 但选项包括远程公证、电子签名软件、视频证据，或当个人亲自签名成为可能时，用传统的墨水签名确认 S-Signature。
In the United States, notarization greatly bolsters the validity of an assignment signature. 35 U.S.C. § 261 states that a notarization “shall be prima facie evidence of the execution of an assignment, grant or conveyance of a patent or application for patent.” In other words, a notarized signature shifts the burden to the challenger to prove that the signature is not authentic. Notarization can be done remotely so long as the signer is willing to verify his or her identity by sending the notary copies of his or her ID and other identifying information. A notarized signature is preferable to a witnessed signature, as the notarization does not require the notary to testify to the authenticity.
在美国，公证大大增强了转让签名的有效性。35 U.S.C.§261指出，公证“应是执行专利或专利申请的转让、授权或交付的初步证据。” 换句话说，经过公证的签名将举证责任转移给了挑战者由其来证明签名不是真实的。只要签名者愿意通过发送其ID 和其他身份信息的公证副本来验证其身份，就可以远程进行公证。公证签名比目击签名更可取，因为公证不需要公证人证明其真实性。
If neither a notary nor a witness is available, the authenticity of an electronic signature can be bolstered by electronic signature software. These tools add authenticity and anti-tampering features to an electronic signature and may retain records on the signing that can be recalled later. However, the acceptability of these types of software is not always consistent among international jurisdictions. It may also be beneficial to have video evidence of the signature being applied.
如果公证人和证人都不可用，则可以通过电子签名软件来增强电子签名的真实性。这些工具为电子签名增加了真实性和防篡改功能，并且可以保留签名上的记录，以便以后调用。但是，这些类型的软件的可接受性在国际司法管辖区之间并不总是⼀致的。使用具有签名的视频证据可能是有用的。
In foreign countries, the acceptability of electronic signatures varies from country to country. In Europe for instance electronic signatures made with anti-tampering software may qualify as “advanced signatures,” which may be very likely to be considered authentic. Other countries may only accept traditional signatures and notaries. To cope with the realities of the pandemic, it may be necessary to use an electronic signature at first and establish procedures for bolstering those signatures with traditional signatures and notarization later affirming their validity.
在国外，电子签名的可接受性因不同国家⽽异。例如在欧洲，使用防篡改软件制作的电子签名可能被称为“高级签名”，很有可能被认为是真实的。其他国家可能只会更熟悉传统签名和公证。为了应对疫情⼤流行的现实，可能有必要首先尝试使用电子签名，并建立程序以用传统签名和公证来等随后再确认这些签名有效性的方法来支持这些签名。
With a remote workforce and social distancing practices, it is important to consider the efficiencies of electronic signatures for your patent procedures. If you have any questions about whether electronic signatures are appropriate for your specific needs, please contact a Maier & Maier attorney today.
在远程工作和社会隔离的情况下，考虑电子签名在专利程序中的效率很重要。如果您对电子签名是否适合您的特定需求有任何疑问，请立即联系 Maier＆Maier 律所的律师。
