How should a joint research agreement be recorded with the USPTO?

This page is an FAQ based on guidance from the Manual of Patent Examining Procedure. It is provided as guidance, with links to the ground truth sources. This is information only: it is not legal advice.

To record a joint research agreement with the USPTO, follow these steps based on 37 CFR 3.11(c) and 37 CFR 3.31(g):

1. Prepare either a copy of the joint research agreement or an excerpt of it.
2. Complete a cover sheet that includes:
   • Identification of the document as a “joint research agreement” in the space for describing the interest conveyed
   • The name of the owner of the application or patent
   • The name of each other party to the joint research agreement
   • The date the joint research agreement was executed
3. Submit the document and cover sheet to the USPTO for recordation.

As stated in MPEP 302.07: “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).”