MPEP § 302 — MPEP § 302
Current through: 2022-07-01

302-Recording of Assignment Documents 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Chapter 0300 

 Section 302 
 

 
 
 
 
 
 302 Recording of Assignment Documents [R-07.2015]

 
 37 CFR 3.11 Documents which will be recorded. 

 
 (a) Assignments of applications, patents, and registrations, and other
 documents relating to interests in patent applications and patents, accompanied by
 completed cover sheets as specified in § 3.28 and § 3.31 ,
 will be recorded in the Office. Other documents, accompanied by completed cover
 sheets as specified in § 3.28 and § 3.31 ,
 affecting title to applications, patents, or registrations, will be recorded as
 provided in this part or at the discretion of the Director.
 

 (b) Executive Order 9424 of February 18, 1944 (9 FR 1959, 3 CFR
 1943-1948 Comp., p. 303) requires the several departments and other executive
 agencies of the Government, including Government-owned or Government-controlled
 corporations, to forward promptly to the Director for recording all licenses,
 assignments, or other interests of the Government in or under patents or patent
 applications. Assignments and other documents affecting title to patents or patent
 applications and documents not affecting title to patents or patent applications
 required by Executive Order 9424 to be filed will be recorded as provided in this
 part.
 

 (c) A joint research agreement or an excerpt of a joint research
 agreement will also be recorded as provided in this part.
 

 
 

 

 
 37 CFR 3.58 Governmental registers. 

 
 (a) The Office will maintain a Departmental Register to record
 governmental interests required to be recorded by Executive Order 9424. This
 Departmental Register will not be open to public inspection but will be available
 for examination and inspection by duly authorized representatives of the
 Government. Governmental interests recorded on the Departmental Register will be
 available for public inspection as provided in § 1.12 .
 

 (b) The Office will maintain a Secret Register to record governmental
 interests required to be recorded by Executive Order 9424. Any instrument to be
 recorded will be placed on this Secret Register at the request of the department
 or agency submitting the same. No information will be given concerning any
 instrument in such record or register, and no examination or inspection thereof or
 of the index thereto will be permitted, except on the written authority of the
 head of the department or agency which submitted the instrument and requested
 secrecy, and the approval of such authority by the Director. No instrument or
 record other than the one specified may be examined, and the examination must take
 place in the presence of a designated official of the Patent and Trademark Office.
 When the department or agency which submitted an instrument no longer requires
 secrecy with respect to that instrument, it must be recorded anew in the
 Departmental Register.
 

 
 

 

 37 CFR Part
 3 sets forth Office rules on recording assignments and other
 documents relating to interests in patent applications and patents and the rights of an
 assignee.
 

 37 CFR
 3.11(c) provides that the Office will record a joint research
 agreement or an excerpt of a joint research agreement. 
 

 
 302.01 Assignment Document Must Be Copy for Recording [R-08.2012]

 
 37 CFR 3.24 Requirements for documents and cover sheets relating to patents and patent
 applications. 

 
 (a) For electronic submissions: Either a copy of the original
 document or an extract of the original document may be submitted for recording.
 All documents must be submitted as digitized images in Tagged Image File Format
 (TIFF) or another form as prescribed by the Director. When printed to a paper
 size of either 21.6 by 27.9 cm (8 1/2 inches by 11 inches) or 21.0 by 29.7 cm
 (DIN size A4), the document must be legible and a 2.5 cm (one-inch) margin must
 be present on all sides.
 

 (b) For paper or facsimile submissions: Either a copy of the
 original document or an extract of the original document must be submitted for
 recording. Only one side of each page may be used. The paper size must be
 either 21.6 by 27.9 cm (8 1/2 inches by 11 inches) or 21.0 by 29.7 cm (DIN size
 A4), and in either case, a 2.5 cm (one-inch) margin must be present on all
 sides. For paper submissions, the paper used should be flexible, strong white,
 non-shiny, and durable. The Office will not return recorded documents, so
 original documents must not be submitted for recording.
 

 
 

 

 The United States Patent and Trademark Office will accept and record
 only a copy of an original assignment or other document. See MPEP § 317 . The
 document submitted for recordation will not be returned to the submitter. If the copy
 submitted for recordation is illegible, the recorded document will be illegible.
 Accordingly, applicants and patent owners should ensure that only a legible copy is
 submitted for recordation.
 

 

 
 302.02 Translation of Assignment Document [R-08.2012]

 
 37 CFR 3.26 English language requirement. 

 The Office will accept and record non-English language documents only
 if accompanied by an English translation signed by the individual making the
 translation.
 

 

 

 The assignment document, if not in the English language, will not be
 recorded unless accompanied by an English translation signed by the translator.
 

 

 
 302.03 Identifying Patent or Application [R-07.2015]

 
 37 CFR 3.21 Identification of patents and patent applications. 

 An assignment relating to a patent must identify the patent by the
 patent number. An assignment relating to a national patent application must identify
 the national patent application by the application number (consisting of the series
 code and the serial number; e.g., 07/123,456). An assignment relating to an
 international patent application which designates the United States of America must
 identify the international application by the international application number; e.g.,
 PCT/US2012/012345. An assignment relating to an international design application
 which designates the United States of America must identify the international design
 application by the international registration number or by the U.S. application
 number assigned to the international design application. If an assignment of a patent
 application filed under § 1.53(b) of this chapter is
 executed concurrently with, or subsequent to, the execution of the patent
 application, but before the patent application is filed, it must identify the patent
 application by the name of each inventor and the title of the invention so that there
 can be no mistake as to the patent application intended. If an assignment of a
 provisional application under § 1.53(c) of this chapter is
 executed before the provisional application is filed, it must identify the
 provisional application by the name of each inventor and the title of the invention
 so that there can be no mistake as to the provisional application intended. 
 

 

 

 The patent or patent application to which an assignment relates must be
 identified by patent number or application number unless the assignment is executed
 concurrently with or subsequent to the execution of the application but before the
 application is filed. Then, the application must be identified by the name(s) of the
 inventors, and the title of the invention. If an assignment of a provisional application
 is executed before the provisional application is filed, it must identify the
 provisional application by name(s) of the inventors and the title of the invention.
 

 The Office makes every effort to provide applicants with the application
 numbers for newly filed patent applications as soon as possible. It is suggested,
 however, that an assignment be written to allow entry of the identifying number after
 the execution of the assignment. An example of acceptable wording is:
 

 “I hereby authorize and request my attorney, (Insert name), of (Insert
 address), to insert here in parentheses (Application number , filed ) the filing date
 and application number of said application when known.” 
 

 

 
 302.04 Foreign Assignee May Designate Domestic
 Representative [R-10.2019]
 

 
 35 U.S.C. 293 
 Nonresident patentee; service and notice. 

 Every patentee not residing in the United States may file in the
 Patent and Trademark Office a written designation stating the name and address of a
 person residing within the United States on whom may be served process or notice of
 proceedings affecting the patent or rights thereunder. If the person designated
 cannot be found at the address given in the last designation, or if no person has
 been designated, the United States District Court for the Eastern District of
 Virginia shall have jurisdiction and summons shall be served by publication or
 otherwise as the court directs. The court shall have the same jurisdiction to take
 any action respecting the patent or rights thereunder that it would have if the
 patentee were personally within the jurisdiction of the court.
 

 

 

 
 37 CFR 3.61 Domestic representative. 

 If the assignee of a patent, patent application, trademark
 application or trademark registration is not domiciled in the United States, the
 assignee may designate a domestic representative in a document filed in the United
 States Patent and Trademark Office. The designation should state the name and address
 of a person residing within the United States on whom may be served process or notice
 of proceedings affecting the application, patent or registration or rights
 thereunder.
 

 

 

 An assignee of a patent or patent application who is not domiciled in
 the United States may, by written document signed by such assignee, designate a domestic
 representative. The designation of domestic representative should always be submitted to
 the Office as a paper separate from any assignment document. The designation of a
 domestic representative should be clearly labeled “Designation of Domestic
 Representative” and it will be entered into the record of the appropriate application or
 patent file. The designation must be signed in accordance with 37 CFR
 1.33(b) .
 

 

 
 302.05 Address of Assignee [R-08.2012]

 The address of the assignee may be recited in the assignment document
 and must be given in the required cover sheet. See MPEP § 302.07 .
 

 

 
 302.06 Fee for Recording [R-10.2019]

 
 37 CFR 3.41 Recording fees. 

 
 (a) All requests to record documents must be accompanied by the
 appropriate fee. Except as provided in paragraph (b) of this section, a fee is
 required for each application, patent and registration against which the
 document is recorded as identified in the cover sheet. The recording fee is set
 in § 1.21(h) of this chapter for patents and in § 2.6(b)(6) of this chapter for
 trademarks.
 

 (b) No fee is required for each patent application and patent
 against which a document required by Executive Order 9424 is to be filed
 if:
 
 (1) The document does not affect title and is so identified
 in the cover sheet (see § 3.31(c)(2)); and
 

 (2) The document and cover sheet are either: Faxed or
 electronically submitted as prescribed by the Director, or mailed to the
 Office in compliance with § 3.27 .
 

 
 

 
 

 

 The recording fee set in 37 CFR 1.21(h) is charged for each
 patent application and patent identified in the required cover sheet except as provided
 in 37 CFR
 3.41(b) . If the request to record a document is submitted
 electronically, the fee is set forth in 37 CFR 1.21(h)(1) , currently at $0.
 If the request to record a document is not submitted electronically (i.e., is submitted
 on paper or via facsimile), the applicable fee is set forth in 37 CFR
 1.21(h)(2) . Customers should check the current fee schedule on the
 Office website before submitting documents for recordation. See MPEP §§ 302.08 -
 302.10 for additional information regarding the acceptable
 ways to submit documents for recordation. 
 

 

 
 302.07 Assignment Document Must Be Accompanied by a Cover
 Sheet [R-10.2019]
 

 
 37 CFR 3.28 Requests for recording. 

 Each document submitted to the Office for recording must include a
 single cover sheet (as specified in § 3.31 ) referring either to those
 patent applications and patents, or to those trademark applications and
 registrations, against which the document is to be recorded. If a document to be
 recorded includes interests in, or transactions involving, both patents and
 trademarks, then separate patent and trademark cover sheets, each accompanied by a
 copy of the document to be recorded, must be submitted. If a document to be recorded
 is not accompanied by a completed cover sheet, the document and the incomplete cover
 sheet will be returned pursuant to § 3.51 for proper completion, in
 which case the document and a completed cover sheet should be resubmitted.
 

 

 

 
 37 CFR 3.31 Cover sheet content. 

 
 (a) Each patent or trademark cover sheet required by § 3.28 must
 contain:
 
 (1) The name of the party conveying the interest;

 (2) The name and address of the party receiving the
 interest;
 

 (3) A description of the interest conveyed or transaction to
 be recorded;
 

 (4) Identification of the interests involved:
 
 (i) For trademark assignments and trademark name
 changes: Each trademark registration number and each trademark
 application number, if known, against which the Office is to record
 the document. If the trademark application number is not known, a
 copy of the application or a reproduction of the trademark must be
 submitted, along with an estimate of the date that the Office
 received the application; or
 

 (ii) For any other document affecting title to a
 trademark or patent application, registration or patent: Each
 trademark or patent application number or each trademark
 registration number or patent against which the document is to be
 recorded, or an indication that the document is filed together with
 a patent application;
 

 
 

 (5) The name and address of the party to whom correspondence
 concerning the request to record the document should be mailed;
 

 (6) The date the document was executed;

 (7) The signature of the party submitting the document. For
 an assignment document or name change filed electronically, the person
 who signs the cover sheet must either:
 
 (i) Place a symbol comprised of letters, numbers,
 and/or punctuation marks between forward slash marks
 ( e.g., /Thomas O’Malley III/) in the
 signature block on the electronic submission; or
 

 (ii) Sign the cover sheet using some other form of
 electronic signature specified by the Director.
 

 
 

 (8) For trademark assignments, the entity and citizenship of
 the party receiving the interest. In addition, if the party receiving the
 interest is a domestic partnership or domestic joint venture, the cover
 sheet must set forth the names, legal entities, and national citizenship
 (or the state or country of organization) of all general partners or
 active members that compose the partnership or joint venture.
 

 
 

 (b) A cover sheet should not refer to both patents and trademarks,
 since any information, including information about pending patent applications,
 submitted with a request for recordation of a document against a trademark
 application or trademark registration will become public record upon
 recordation.
 

 (c) Each patent cover sheet required by § 3.28 
 seeking to record a governmental interest as provided by § 3.11(b) 
 must: 
 
 (1) Indicate that the document relates to a Government
 interest; and
 

 (2) Indicate, if applicable, that the document to be recorded
 is not a document affecting title (see §
 3.41(b) ).
 

 
 

 (d) Each trademark cover sheet required by § 3.28 
 seeking to record a document against a trademark application or registration
 should include, in addition to the serial number or registration number of the
 trademark, identification of the trademark or a description of the trademark,
 against which the Office is to record the document.
 

 (e) Each patent or trademark cover sheet required by
 §
 3.28 should contain the number of applications, patents
 or registrations identified in the cover sheet and the total fee.
 

 (f) Each trademark cover sheet should include the citizenship of
 the party conveying the interest.
 

 (g) The cover sheet required by § 3.28 seeking to record a
 joint research agreement or an excerpt of a joint research agreement as
 provided by §
 3.11(c) must:
 
 (1) Identify the document as a “joint research agreement” (in
 the space provided for the description of the interest conveyed or
 transaction to be recorded if using an Office-provided form);
 

 (2) Indicate the name of the owner of the application or
 patent (in the space provided for the name and address of the party
 receiving the interest if using an Office-provided form);
 

 (3) Indicate the name of each other party to the joint
 research agreement party (in the space provided for the name of the party
 conveying the interest if using an Office-provided form); and
 

 (4) Indicate the date the joint research agreement was
 executed. 
 

 
 

 (h) The assignment cover sheet required by
 §
 3.28 for a patent application or patent will be satisfied
 by the Patent Law Treaty Model International Request for Recordation of Change
 in Applicant or Owner Form, Patent Law Treaty Model International Request for
 Recordation of a License/ Cancellation of the Recordation of a License Form,
 Patent Law Treaty Model Certificate of Transfer Form or Patent Law Treaty Model
 International Request for Recordation of a Security Interest/ Cancellation of
 the Recordation of a Security Interest Form, as applicable, except where the
 assignment is also an oath or declaration under §
 1.63 of this chapter. An assignment cover sheet required
 by §
 3.28 must contain a conspicuous indication of an intent
 to utilize the assignment as an oath or declaration under §
 1.63 of this chapter.
 

 
 

 

 Each assignment document submitted to the Office for recording must be
 accompanied by a cover sheet as required by 37 CFR 3.28 . The cover sheet for
 patents or patent applications must contain:
 

 
 (A) The name of the party conveying the interest;

 (B) The name and address of the party receiving the interest;

 (C) A description of the interest conveyed or transaction to be
 recorded;
 

 (D) Each patent application number or patent number against which the
 document is to be recorded, or an indication that the document is filed together
 with a patent application;
 

 (E) The name and address of the party to whom correspondence
 concerning the request to record the document should be mailed;
 

 (F) The date the document was executed; and

 (G) The signature of the party submitting the document.

 
 For applications filed on or after September 16, 2012, if
 the assignment document is also intended to serve as the required oath or declaration,
 the cover sheet must also contain a conspicuous indication of an intent to utilize the
 assignment as the required oath or declaration under 37 CFR 1.63 .
 See 37 CFR
 3.31(h) .
 

 If the document submitted for recordation is a joint research agreement
 or an excerpt of a joint research agreement, the cover sheet must clearly identify the
 document as a "joint research agreement" (in the space provided for the description of
 the interest conveyed if using Form PTO-1595). The date the joint research agreement was
 executed must also be identified. The cover sheet must also identify the name(s) of the
 owner(s) of the application or patent (in the space provided for the name and address of
 the party receiving the interest if using Form PTO-1595). The name(s) of every other
 party(ies) to the joint research agreement must also be identified (in the space
 provided for the name of the party conveying the interest if using Form PTO-1595).
 

 Each patent cover sheet should contain the number of patent applications
 or patents identified in the cover sheet and the total fee.
 

 Examples of the type of descriptions of the interest conveyed or
 transaction to be recorded that can be identified are: 
 

 
 (A) assignment; 

 (B) security agreement;

 (C) merger;

 (D) change of name; 

 (E) license; 

 (F) foreclosure; 

 (G) lien; 

 (H) contract; and

 (I) joint research agreement.

 
 Cover sheets required by 37 CFR 3.28 seeking to record a
 governmental interest must also (1) indicate that the document relates to a governmental
 interest and (2) indicate, if applicable, that the document to be recorded is not a
 document affecting title.
 

 A patent cover sheet may not refer to trademark applications or
 registrations. 
 

 Form PTO-1595, Recordation Form Cover Sheet, may be used as the cover
 sheet for recording documents relating to patent(s) and/or patent application(s) in the
 Office.
 

 

 

 

 

 
 302.08 Mailing Address for Submitting Assignment Documents [R-08.2012]

 
 37 CFR 3.27 Mailing address for submitting documents to be recorded. 

 Documents and cover sheets submitted by mail for recordation should
 be addressed to Mail Stop Assignment Recordation Services, Director of the United
 States Patent and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450,
 unless they are filed together with new applications.
 

 

 

 37 CFR
 3.27 sets out how documents submitted for recording should be
 addressed to the Office. In order to ensure prompt and proper processing, documents and
 their cover sheets should be addressed to the Mail Stop Assignment Recordation Services,
 Director of the U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA
 22313-1450, unless they are filed together with new applications. Requests for recording
 documents which accompany new applications should be addressed to the Commissioner for
 Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
 

 

 
 302.09 Facsimile Submission of Assignment Documents [R-11.2013]

 Assignments and other documents affecting title may be submitted to the
 Office via facsimile (fax). See the USPTO website or MPEP § 1730 for the
 facsimile number. This process allows customers to submit their documents directly into
 the automated Patent and Trademark Assignment System and receive the resulting
 recordation notice at their fax machine. The customer’s fax machine should be connected
 to a dedicated line because recordation notices will be returned automatically to the
 sending fax number through the Patent and Trademark Assignment System. If the Office
 system is unable to complete transmission of the recordation notice, the notice will be
 printed and mailed to the sender by U.S. Postal Service first class mail. Recorded
 documents will not be returned with the “Notice of Recordation.”
 

 Any assignment-related document for patent matters submitted by
 facsimile must include: 
 

 
 (A) an identified application or patent number;

 (B) one cover sheet to record a single transaction; and 

 (C) payment of the recordation fee by a credit card (use of the Credit
 Card form, PTO-2038 (see MPEP § 509 ), is required for the
 credit card information to be kept separate from the assignment records) or a
 USPTO Deposit Account.
 

 
 The following documents cannot be submitted via
 facsimile:
 

 
 (A) Assignments submitted concurrently with newly filed patent
 applications;
 

 (B) Documents with two or more cover sheets (e.g., a single document
 with one cover sheet to record an assignment, and a separate cover sheet to record
 separately a license relating to the same property); and 
 

 (C) Requests for “at cost” recordation services.

 
 The date of receipt accorded to an assignment document sent to the
 Office by facsimile transmission is the date the complete transmission is received in
 the Office. See MPEP §
 502.01 . The benefits of a certificate of transmission under
 37 CFR
 1.8 are available.
 

 If a document submitted by fax is determined not to be recordable, the
 entire document, with its associated cover sheet, and the Office “Notice of
 Non-Recordation” will be transmitted via fax back to the sender. Once corrections are
 made, the initial submission, amended, may then be resubmitted by mailing the corrected
 submission to the address set forth in 37 CFR 3.27 . Timely resubmission
 will provide the sender with the benefit of the initial receipt date as the recordation
 date in accordance with 37 CFR 3.51 .
 

 The Patent and Trademark Assignment System assigns reel and frame
 numbers and superimposes recordation stampings on the processed and stored electronic
 images. Accordingly, copies of all recorded documents will have the reel and frame
 numbers and recordation stampings.
 

 

 
 302.10 Electronic Submission of Assignment Documents [R-01.2024]

 
 37 CFR 3.31 Cover sheet content. 

 
 (a)
 
 *****
 
 (7) The signature of the party submitting the
 document. For an assignment document or name change filed
 electronically, the person who signs the cover sheet must
 either:
 
 (i) Place a symbol comprised of letters, numbers,
 and/or punctuation marks between forward slash marks
 ( e.g., /Thomas O’ Malley III/) in the
 signature block on the electronic submission; or
 

 (ii) Sign the cover sheet using some other form
 of electronic signature specified by the Director.
 

 
 

 
 

 
 

 
 *****

 

 

 
 37 CFR 1.4 Nature of correspondence and signature requirements. 

 *****

 
 (d)
 
 *****
 
 (2) S-signature. An S-signature is a signature
 inserted between forward slash marks, but not a handwritten
 signature as defined by paragraph (d)(1) of this section. An
 S-signature includes any signature made by electronic or mechanical
 means, and any other mode of making or applying a signature other
 than a handwritten signature as provided for in paragraph (d)(1) of
 this section. Correspondence being filed in the Office in paper, by
 facsimile transmission as provided in §
 1.6(d) , or via the USPTO patent electronic
 filing system as an attachment as provided in §
 1.6(a)(4) , for a patent application, patent,
 or a reexamination or supplemental examination proceeding may be
 S-signature signed instead of being personally signed
 ( i.e., with a handwritten signature) as
 provided for in paragraph (d)(1) of this section. The requirements
 for an S-signature under this paragraph (d)(2) of this section are
 as follows.
 
 (i) The S-signature must consist only of
 letters, or Arabic numerals, or both, with appropriate spaces
 and commas, periods, apostrophes, or hyphens for punctuation,
 and the person signing the correspondence must insert his or
 her own S-signature with a first single forward slash mark
 before, and a second single forward slash mark after, the
 S-signature ( e.g., /Dr. James T. Jones,
 Jr./); and
 

 (ii) A patent practitioner ( §
 1.32(a)(1) ), signing pursuant to
 §
 1.33(b)(1) or (2) , must supply their registration
 number either as part of the S-signature or immediately below
 or adjacent to the S-signature. The hash (#) character may
 only be used as part of the S-signature when appearing before
 a practitioner’s registration number; otherwise, the hash
 character may not be used in an S-signature. A design patent
 practitioner must additionally indicate their design patent
 practitioner status by placing the word “design” (in any
 format) adjacent to the last forward slash of their
 S-signature.
 

 (iii) The signer’s name must be:
 
 (A) Presented in printed or typed form
 preferably immediately below or adjacent the
 S-signature, and
 

 (B) Reasonably specific enough so that the
 identity of the signer can be readily recognized.
 

 
 

 
 

 (3) Electronically submitted correspondence. 
 Correspondence permitted via the USPTO patent electronic filing
 system may be signed by a graphic representation of a handwritten
 signature as provided for in paragraph (d)(1) of this section or a
 graphic representation of an S-signature as provided for in
 paragraph (d)(2) of this section when it is submitted via the USPTO
 patent electronic filing system.
 

 (4) Certifications— 
 (i) Certification as to the paper
 presented. The presentation to the Office (whether by
 signing, filing, submitting, or later advocating) of any
 paper by a party, whether a practitioner or non-practitioner,
 constitutes a certification under §
 11.18(b) of this subchapter. Violations
 of §
 11.18(b)(2) of this subchapter by a
 party, whether a practitioner or non-practitioner, may result
 in the imposition of sanctions under 
 11.18(c) of this subchapter. Any
 practitioner violating §
 11.18(b) of this subchapter may also be
 subject to disciplinary action. See §
 11.18(d) of this subchapter. 
 

 (ii) Certification as to the signature. The
 person inserting a signature under paragraph (d)(2) or (d)(3)
 of this section in a document submitted to the Office
 certifies that the inserted signature appearing in the
 document is his or her own signature. A person submitting a
 document signed by another under paragraph (d)(2) or (d)(3)
 of this section is obligated to have a reasonable basis to
 believe that the person whose signature is present on the
 document was actually inserted by that person, and should
 retain evidence of authenticity of the signature. Violations
 of the certification as to the signature of another or a
 person’s own signature as set forth in this paragraph may
 result in the imposition of sanctions under §
 11.18(c) and (d) of this chapter. 
 

 
 

 (5) Forms. The Office provides forms for the public
 to use in certain situations to assist in the filing of
 correspondence for a certain purpose and to meet certain
 requirements for patent applications and proceedings. Use of the
 forms for purposes for which they were not designed is prohibited.
 No changes to certification statements on the Office forms
 ( e.g., oath or declaration forms, terminal
 disclaimer forms, petition forms, and nonpublication request forms)
 may be made. The existing text of a form, other than a
 certification statement, may be modified, deleted, or added to, if
 all text identifying the form as an Office form is removed. The
 presentation to the Office (whether by signing, filing, submitting,
 or later advocating) of any Office form with text identifying the
 form as an Office form by a party, whether a practitioner or
 non-practitioner, constitutes a certification under
 § 11.18(b) of
 this chapter that the existing text and any certification
 statements on the form have not been altered other than permitted
 by EFS-Web customization.
 

 
 

 
 

 
 *****

 

 

 Assignments and other documents affecting title may be submitted to the
 Office via the Office’s Electronic Patent Assignment System (EPAS). See the USPTO
 website at http://epas.uspto.gov for additional information regarding EPAS. 
 

 Any assignment related document submitted by EPAS must include:

 
 (A) an identified application or patent number; and

 (B) one cover sheet to record a single transaction which cover sheet
 is to be completed on-line.
 

 
 The fee set in 37 CFR
 1.21(h)(1) for recording an electronically submitted document is
 currently $0. Customers should check the current fee schedule on the Office website
 before submitting documents for recordation. If a recordation fee is required, see
 MPEP §
 509 for detailed information pertaining to the payment of
 fees.
 

 For an assignment document filed electronically, the signature of the
 person who signs the cover sheet must comply with 37 CFR 3.31(a)(7) or
 37 CFR
 1.4(d)(2) .
 

 The date of receipt accorded to an assignment document sent to the
 Office by EPAS is the date the complete transmission is received in the Office.
 

 If a document submitted by EPAS is determined not to be recordable, the
 entire document, with its associated cover sheet, and the Office "Notice of
 Non-Recordation" will be transmitted via fax back to the sender if possible. Once
 corrections are made, the initial submission, as amended, may then be resubmitted by
 mailing the corrected submission to the address set forth in 37 CFR 3.27 .
 Timely submission will provide the sender with the benefit of the initial receipt date
 as the recordation date in accordance with 37 CFR 3.51 .
 

 The Patent and Trademark Assignment System assigns reel and frame
 numbers and superimposes recordation stampings on the processed and stored electronic
 images. Accordingly, copies of all recorded documents will have the reel and frame
 numbers and recordation stampings.
 

 

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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