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A copy of the Federal Register notice appears at the Office's Internet Web site www.uspto.gov at the Federal Register notices web page, presently located at http://www.uspto.gov/web/menu/current.html#register Prepared December 9, 2003 by: Electronic Signatures - 37 CFR § 1.4
For example:
E-Signature advantages: A. Permits applicants and third parties without access to scanners and facsimile machines to e-sign electronic documents (e.g., affidavits or declarations) and return them to a practitioner by e-mail. B. Saves time by allowing facsimile transmission to the Office directly from a computer without first printing on paper and then faxing the paper version. C. Permits practitioners to automate their records and electronically maintain signed documents. A. Software and hardware are constantly evolving, so that it may be difficult to access old electronic records (e.g., magnetic cards, 8.5 inch floppy discs). Similarly, replicating how the document appeared to the signer may be difficult because of track changes/notes embedded in the document, screen size, screen resolution, print driver and differences in software versions. B. Chain of custody, non-alteration of document and (in case of repudiation) authentication of signature more difficult to document as many practitioners don't log the electronic movement of messages and their modification. Requirements: A. Correspondence containing an e-signature must be sent to the Office by approved means for that type of correspondence:
Note:
*This would be a new requirement for 37 CFR 1.33(b)(1). E, For non-practitioner signers
Ratification of an e-signature may be required where there is reasonable doubt as to the authenticity of the e-signature; for example: A. Where there are variations in the e-signature from one document to another; or B. Where a document contains the name of the signer in its text without some indication of the family name, such as by all capital letters. 13 Examples Registered practitioners signing pursuant to 37 CFR 1.33(b)(1) or 1.33(b)(2) Any other signature (e.g., on: declarations, affidavits, assignment statements, or any paper by a pro se applicant) Electronic Signatures, 37 CFR § 1.4 Example 1 Option 1: /John T. PRACTITIONER, Reg. #123456/ These are the required e-signature options for a registered practitioner who is signing pursuant to § 1.33(b)(1) or (b)(2). Either option is a proper e-signature because:
The word (number), the abbreviation (No.) or the number character (#) for the registration number is acceptable. See Ex. 2. If the practitioner's registered name is "John Thomas Practitioner," then the e-signature must be either: Option 3: Option 4: Correspondence with an e-signature of a registered practitioner as set forth in options 1, 2, 3 or 4, depending on the person's name, as registered, of Ex. 1 will be accepted. Conversely, correspondence with an e-signature of a registered practitioner that does not follow the format of Ex. 1, or one of the acceptable variations in Ex. 2, 3, 4, and 6 will be treated as unsigned. Electronic Signatures, 37 CFR § 1.4 Example 2 Situation: The practitioner's registered name including a hyphenated family name and a title (e.g., Ph.D.) is presented. The e-signature on the correspondence is: Is this a proper e-signature? Answer: Yes This is a proper e-signature because:
Correspondence with an e-signature as set forth in Ex. 2 will be accepted. Situation: Ex. 3A and 3B address the situation of a practitioner who has changed her name since she registered with the Office. Registered Name: Julie Smith The e-signature on the correspondence is: /Julie SMITH, Reg. No. 99999/ Question: Is this a proper e-signature? Answer: Yes This is a proper e-signature because:
See Ex. 2 for additional reasons why this is a proper e-signature. Correspondence with an e-signature as set forth in Ex. 3A will be accepted. Situation: This is the same as in Ex. 3A except the attorney signs her current actual name instead of her registered name. /Julie SMITH-JONES/ - Signer's Legal Name Question: Is this a proper e-signature? Answer: No This is an improper e-signature because:
Correspondence with an e-signature as set forth in Ex. 3B will be treated as unsigned; see Ex. 3A for a correct e-signature. Electronic Signatures, 37 CFR § 1.4 Example 4A Situation: Ex. 4A, 4B and 4C address the situation of a registered practitioner attempting to sign for another registered practitioner. The e-signature on the correspondence is: /John T. PRACTITIONER/ Question: Is this a proper e-signature? Answer: No This is an improper e-signature because:
Correspondence with an e-signature as set forth in Ex. 4A will be treated as unsigned. See Ex. 6 for a practitioner signing for an inventor. Electronic Signatures, 37 CFR § 1.4 Example 4B Ex. 4B is the same as Ex. 4A but the e-signer provided his registration number. The e-signature on the correspondence is: /John T. PRACTITIONER, Reg. #123456/ Question 1: Can the e-signature be accepted under § 1.33(b)(1) or (b)(2) despite the indication that it is being signed "for" another? Question 2: If the answer to question 1 is yes, is this a proper e-signature? Answer for Question 1: Yes The e-signature can be accepted if it separately qualifies on the basis of John T. Practitioner signing for himself as a registered practitioner with a proper e-signature.
John T. Practitioner's signature for Julie B. Smith is acceptable.
Answer for QUESTION 2: Yes The e-signature is proper because:
Correspondence with an e-signature as set forth in Ex. 4B will be accepted. Electronic Signatures, 37 CFR § 1.4 Example 4C Ex. 4C is the same as Ex. 4B but the e-signer signs "by" instead of "for". The e-signature on the correspondence is: Julie B. Smith, Reg. #99999
Question 2: If the answer to question 1 is yes, is this a proper e-signature? Answer for Question 1: Yes The e-signature can be accepted if it separately qualifies on the basis of John T. Practitioner signing for himself as a registered practitioner with a proper e-signature.
John T. Practitioner's signature is acceptable as a signature for Julie B. Smith.
Answer for QUESTION 2: Yes The e-signature is proper because:
Correspondence with an e-signature as set forth in Ex. 4C will be accepted Electronic Signatures, 37 CFR § 1.4 Example 5 Situation: A customer number (CN) is used as the e-signature and the practitioners associated with the CN are of record in the application. /Customer no. 15123/ QUESTION: Is this a proper e-signature? Answer: No This is an improper e-signature because:
Correspondence with an e-signature as set forth in Ex. 5 will be treated as unsigned. Situation: The correspondence is expressly signed by an attorney of record on behalf of an inventor.
The e-signature on the correspondence is: /Able INVENTOR by John T. PRACTITIONER/ QUESTION: Is this a proper e-signature? This is an improper e-signature because:
Evaluation of Ex. 6 on the basis of just the practitioner's name:
Correspondence with an e-signature as set forth in Ex. 6 will be treated as unsigned. See Ex. 4A, 4B and 4C for signing "by" or "for" another attorney. Electronic Signatures, 37 CFR § 1.4 Example 6B Ex. 6B is the same as Ex. 6A, except that the signing practitioner separates his signature from the name of the inventor. The e-signature on the correspondence is: Respectfully submitted, Able Inventor QUESTION: Is this a proper e-signature? Answer: Yes This is a proper e-signature because:
Correspondence with an e-signature as set forth in Ex. 6B will be accepted. See Ex. 4A, 4B and 4C for signing "by" or "for" another attorney. Electronic Signatures, 37 CFR § 1.4 Example 6C Ex. 6C is the same as Ex. 6B, except that the signing attorney signs for another patent attorney. This is a combination of Ex. 6B and 4B. The e-signature on the correspondence is: QUESTION: Is this a proper e-signature? Answer: Yes This is a proper e-signature because:
Correspondence with an e-signature as set forth in Ex. 6C will be accepted. See Ex. 4A, 4B and 4C for signing "by" or "for" another attorney. /Able Quincy INVENTOR/ This is a preferred e-signature for someone who is not a registered practitioner. It is a proper e-signature because:
Below the signature: Nothing should be provided because anything that is provided is likely to cause confusion. Correspondence with an e-signature as set forth in Ex. 7A will be accepted. Electronic Signatures, 37 CFR § 1.4 Example 7B Situation: The inventor signed with an abbreviated middle name. The e-signature on the correspondence is: /Able Q. Inventor/
Answer for Example 7B: Yes It is a proper e-signature because:
Requirements for the actual name below the e-signature:
Correspondence with an e-signature as set forth in Ex. 7B will be accepted. Note 1: If a person has a single letter (which is an actual name and not an abbreviation) as part of their actual complete name, then an e-signature with the single letter (initial) as part of their name is acceptable and nothing has to be typed immediately below the e-signature. Electronic Signatures, 37 CFR § 1.4 Example 8 Situation: The e-signature includes script or italics. The e-signature on the correspondence is: Able Quincy Inventor Able Quincy INVENTOR [alternative text: signature is in a script font to imitate a pen and ink signature] QUESTION: Is this a proper e-signature? Answer: No This is an improper e-signature because:
If the script font e-signature were placed between 2 forward slashes, it might be acceptable. A script font is not recommended because it could be construed as a wet ink signature or it may not be legible. Correspondence with an e-signature as set forth in Ex. 8 will be treated as unsigned. Electronic Signatures, 37 CFR § 1.4 Example 9 Situation: The family name is presented first. The e-signature on the correspondence is: A: /INVENTOR Quincy Able/ or B: /INVENTOR, Quincy Able/ QUESTION: Is any of the e-signatures in A or B above a proper inventor's e-signature? Answer: Yes They are both proper inventor's e-signatures because:
Correspondence with an e-signature as set forth in Ex. 9 will be accepted. Electronic Signatures, 37 CFR § 1.4 Example 10 Situation: The e-signature includes symbols. The e-signature on the correspondence is: [alternative text, e-signature is a series of symbols placed between two forward slashes (/.../) ] Able Quincy INVENTOR - Signer's Actual Name QUESTION: Is this a proper e-signature? This is an improper e-signature because:
Correspondence with an e-signature as set forth in Ex. 10 will be treated as unsigned. Electronic Signatures, 37 CFR § 1.4 Example 11 Situation: A title (e.g., Professor) is presented after the e-signature. The e-signature on the correspondence is: /Able B INVENTOR/ Professor QUESTION: Is this a proper e-signature? Answer: Yes This is a proper (but not recommended) e-signature because:
While adding a title after the e-signature is acceptable, it is not recommended as it could cause confusion if the title is inaccurate, inconsistent or misleading. Note: Including a title (e.g., /Able B INVENTOR, Professor/), within the 2 forward slashes would also be acceptable, but is not recommended). Electronic Signatures, 37 CFR § 1.4 Example 12 Situation: The e-signature is presented within multiple pairs of slashes. The e-signature on the correspondence is: //Allen INVENTOR// QUESTION: Is this a proper e-signature? Answer: No This e-signature is improper because: It has more than a single slash mark before, and after, the e-signature resulting in four forward slash marks.
Note: if Allen Inventor has a middle name, it must be provided. Correspondence with an e-signature as set forth in Ex. 12 will be treated as unsigned. Electronic Signatures, 37 CFR § 1.4 Example 13 Situation: Inventor obtains a customer number (CN) for his correspondence address in a pro se application. The e-signature on the correspondence is: /Customer no. 15123/ QUESTION: Is this a proper e-signature? Answer: Yes This is a proper (but not recommended) e-signature for an inventor who is a pro se applicant because:
While an inventor can adopt an electronic signature that is something other than their name, such a signature is not recommended because it requires accurately identifying their complete actual name in the correspondence. Note that patent practitioners must use their registered name as their e-signatures. See Examples 1 - 6. Correspondence with an e-signature as set forth in Ex. 13 will be accepted. Drawings May Be Submitted by Facsimile |