MPEP § 311 — MPEP § 311
Current through: 2022-07-01

311-Filing of Notice of Arbitration Awards 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 0300 

 Section 311 
 

 
 
 
 
 
 311 Filing of Notice of Arbitration Awards [R-11.2013]

 
 35 U.S.C. 294 
 Voluntary arbitration. 

 
 (a) A contract involving a patent or any right under a patent may
 contain a provision requiring arbitration of any dispute relating to patent
 validity or infringement arising under the contract. In the absence of such a
 provision, the parties to an existing patent validity or infringement dispute may
 agree in writing to settle such dispute by arbitration. Any such provision or
 agreement shall be valid, irrevocable, and enforceable, except for any grounds
 that exist at law or in equity for revocation of a contract.
 

 (b) Arbitration of such disputes, awards by arbitrators, and
 confirmation of awards shall be governed by title 9, to the extent such title is
 not inconsistent with this section. In any such arbitration proceeding, the
 defenses provided for under section 282 shall be
 considered by the arbitrator if raised by any party to the proceeding.
 

 (c) An award by an arbitrator shall be final and binding between the
 parties to the arbitration but shall have no force or effect on any other person.
 The parties to an arbitration may agree that in the event a patent which is the
 subject matter of an award is subsequently determined to be invalid or
 unenforceable in a judgment rendered by a court of competent jurisdiction from
 which no appeal can or has been taken, such award may be modified by any court of
 competent jurisdiction upon application by any party to the arbitration. Any such
 modification shall govern the rights and obligations between such parties from the
 date of such modification.
 

 (d) When an award is made by an arbitrator, the patentee, his assignee
 or licensee shall give notice thereof in writing to the Director. There shall be a
 separate notice prepared for each patent involved in such proceeding. Such notice
 shall set forth the names and addresses of the parties, the name of the inventor,
 and the name of the patent owner, shall designate the number of the patent, and
 shall contain a copy of the award. If an award is modified by a court, the party
 requesting such modification shall give notice of such modification to the
 Director. The Director shall, upon receipt of either notice, enter the same in the
 record of the prosecution of such patent. If the required notice is not filed with
 the Director, any party to the proceeding may provide such notice to the
 Director.
 

 (e) The award shall be unenforceable until the notice required by
 subsection (d) is received by the Director.
 

 
 

 

 
 37 CFR 1.335 Filing of notice of arbitration awards. 

 
 (a) Written notice of any award by an arbitrator pursuant to
 35 U.S.C.
 294 must be filed in the Patent and Trademark Office by the
 patentee, or the patentee’s assignee or licensee. If the award involves more than
 one patent a separate notice must be filed for placement in the file of each
 patent. The notice must set forth the patent number, the names of the inventor and
 patent owner, and the names and addresses of the parties to the arbitration. The
 notice must also include a copy of the award.
 

 (b) If an award by an arbitrator pursuant to 35 U.S.C.
 294 is modified by a court, the party requesting the
 modification must file in the Patent and Trademark Office, a notice of the
 modification for placement in the file of each patent to which the modification
 applies. The notice must set forth the patent number, the names of the inventor
 and patent owner, and the names and addresses of the parties to the arbitration.
 The notice must also include a copy of the court’s order modifying the award.
 

 (c) Any award by an arbitrator pursuant to 35 U.S.C.
 294 shall be unenforceable until any notices required by
 paragraph (a) or (b) of this section are filed in the Patent and Trademark Office.
 If any required notice is not filed by the party designated in paragraph (a) or
 (b) of this section, any party to the arbitration proceeding may file such a
 notice.
 

 
 

 

 The written notices required by this section should be directed to the
 attention of the Office of the Solicitor. The Office of the Solicitor will be responsible
 for processing such notices.
 

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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 20:50:51