MPEP § 313 — Recording of Licenses, Security Interests, and Documents Other Than Assignments (Annotated Rules)
§313 Recording of Licenses, Security Interests, and Documents Other Than Assignments
This page consolidates and annotates all enforceable requirements under MPEP § 313, 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.
Recording of Licenses, Security Interests, and Documents Other Than Assignments
This section addresses Recording of Licenses, Security Interests, and Documents Other Than Assignments. Primary authority: 35 U.S.C. 261, 37 CFR 3.11, and 37 CFR 3.11(a). Contains: 1 requirement, 1 permission, and 2 other statements.
Key Rules
Assignment and Ownership (MPEP Chapter 300)
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 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).
Assignability of Patents (35 U.S.C. 261)
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).
Petition to Supervisory Authority (37 CFR 1.181)
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.
Citations
| Primary topic | Citation |
|---|---|
| Assignability of Patents (35 U.S.C. 261) Assignment and Ownership (MPEP Chapter 300) | 35 U.S.C. § 261 |
| Petition to Supervisory Authority (37 CFR 1.181) | 37 CFR § 1.181 |
| Assignability of Patents (35 U.S.C. 261) Assignment and Ownership (MPEP Chapter 300) | 37 CFR § 3.11 |
| Assignability of Patents (35 U.S.C. 261) Assignment and Ownership (MPEP Chapter 300) | 37 CFR § 3.11(a) |
| – | MPEP § 324 |
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 § 313 — Recording of Licenses, Security Interests, and Documents Other Than Assignments
Source: USPTO313 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.