MPEP § 302.10 — Electronic Submission of Assignment Documents (Annotated Rules)
§302.10 Electronic Submission of Assignment Documents
This page consolidates and annotates all enforceable requirements under MPEP § 302.10, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.
Electronic Submission of Assignment Documents
This section addresses Electronic Submission of Assignment Documents. Primary authority: 37 CFR 1.4, 37 CFR 1.21(h)(1), and 37 CFR 3.31(a)(7). Contains: 2 requirements, 1 guidance statement, 2 permissions, and 5 other statements.
Key Rules
Signature Requirements
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.
Any assignment related document submitted by EPAS must include:
…
(B) one cover sheet to record a single transaction which cover sheet is to be completed on-line.
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.
Assignment and Ownership (MPEP Chapter 300)
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.
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.
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.
Maintenance Fee Amounts
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.
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.
Miscellaneous Fees
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.
Cover Sheet Requirements (37 CFR 3.31)
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).
Citations
| Primary topic | Citation |
|---|---|
| Maintenance Fee Amounts Miscellaneous Fees | 37 CFR § 1.21(h)(1) |
| Cover Sheet Requirements (37 CFR 3.31) | 37 CFR § 1.4(d)(2) |
| Assignment and Ownership (MPEP Chapter 300) Signature Requirements | 37 CFR § 3.27 |
| Cover Sheet Requirements (37 CFR 3.31) | 37 CFR § 3.31(a)(7) |
| Assignment and Ownership (MPEP Chapter 300) Signature Requirements | 37 CFR § 3.51 |
| Maintenance Fee Amounts Miscellaneous Fees | MPEP § 509 |
Source Text from USPTO’s MPEP
This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.
Official MPEP § 302.10 — Electronic Submission of Assignment Documents
Source: USPTO302.10 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.
- (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:
- *****
*****
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.
- (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.
- *****
*****
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.