MPEP § 313 — MPEP § 313
Current through: 2022-07-01

313-Recording of Licenses, Security Interests, and Documents Other Than Assignments 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Chapter 0300 

 Section 313 
 

 
 
 
 
 
 313 Recording of Licenses, Security Interests, and Documents Other Than
 Assignments [R-07.2015]
 

 In addition to assignments and documents required to be recorded by
 Executive Order 9424, upon request, assignments of applications, patents, and
 registrations, and other documents relating to interests in patent applications and patents
 will be recorded in the Office. See 35 U.S.C. 261 and 37 CFR 3.11 . Other
 documents affecting title to applications, patents, and registrations will be recorded as
 provided in 37 CFR Part
 3 or at the discretion of the Director. 37 CFR 3.11(a) .
 

 In addition to documents that constitute a transfer or change of title,
 other documents relating to interests in patents or applications will generally be
 recorded. Typical of these documents which are accepted for recording are license
 agreements and agreements which convey a security interest. Such documents are recorded in
 the public interest in order to give third parties notification of equitable interests or
 other matters relevant to the ownership of a patent or application. Documents that are not
 accepted for recording include attorney's liens against patents or patent applications. See
 In re Refusal of Assignment Branch to Record Attorney's Lien, 8
 USPQ2d 1446 (Comm'r Pat. 1988).
 

 Any document returned unrecorded, which the sender nevertheless believes
 represents an unusual case which justifies recordation, may be submitted to the Office of
 Petitions with a petition under 37 CFR 1.181 requesting recordation of
 the document.
 

 The recordation of a document is not a determination of the effect of the
 document on the chain of title. The determination of what, if any, effect a document has on
 title will be made by the Office at such times as ownership must be established to permit
 action to be taken by the purported assignee in connection with a patent or an application.
 See MPEP
 §§ 324 and 325 .
 

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 301-Ownership/Assignability of Patents and Applications 
 301.01-Accessibility of Assignment Records 

 
 

 302-Recording of Assignment Documents 
 302.01-Assignment Document Must Be Copy for Recording 

 302.02-Translation of Assignment Document 

 302.03-Identifying Patent or Application 

 302.04-Foreign Assignee May Designate Domestic Representative 

 302.05-Address of Assignee 

 302.06-Fee for Recording 

 302.07-Assignment Document Must Be Accompanied by a Cover Sheet 

 302.08-Mailing Address for Submitting Assignment Documents 

 302.09-Facsimile Submission of Assignment Documents 

 302.10-Electronic Submission of Assignment Documents 

 
 

 303-Assignment Documents Not Endorsed on Pending Applications 

 304‑305-[Reserved] 

 306-Assignment of Division, Continuation, Substitute, and Continuation-in-Part in Relation to Parent Application 
 306.01-Assignment of an Application Claiming the Benefits of a Provisional Application 

 
 

 307-Issue to Non-Applicant Assignee 

 308-Issue to Applicant 

 309-Restrictions Upon Employees of U.S. Patent and Trademark Office 

 310-Government License Rights to Contractor-Owned Inventions Made Under Federally Sponsored Research and Development 

 311-Filing of Notice of Arbitration Awards 

 312-[Reserved] 

 313-Recording of Licenses, Security Interests, and Documents Other Than Assignments 

 314-Certificates of Change of Name or of Merger 

 315-Indexing Against a Recorded Certificate 

 316-[Reserved] 

 317-Handling of Documents in the Assignment Recordation Branch 
 317.01-Recording Date 

 317.02-Correction of Unrecorded Returned Documents and Cover Sheets 

 317.03-Effect of Recording 

 
 

 318-Documents Not to be Placed in Files 

 319-[Reserved] 

 320-Title Reports 

 321‑322-[Reserved] 

 323-Procedures for Correcting Errors in Recorded Assignment Document 
 323.01-Correction of Error in Recorded Cover Sheet 
 323.01(a)-Typographical Errors in Cover Sheet 

 323.01(b)-Typographical Errors in Recorded Assignment Document 

 323.01(c)-Assignment or Change of Name Improperly Filed and Recorded by Another Person Against Owner’s Application or Patent 

 323.01(d)-Expungement of Assignment Records 

 
 

 
 

 324-Establishing Right of Assignee To Take Action in Application Filed Before September 16, 2012 

 325-Establishing Right of Assignee To Take Action in Application Filed On or After September 16, 2012 

 

 

 
 

 
 
 

 
 

 

 
 
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 Last Modified: 
 
 03/09/2026 20:49:43