[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR3.73]

[Page 202-203]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
  CHAPTER I--UNITED STATES PATENT AND TRADEMARK OFFICE, DEPARTMENT OF 
                                COMMERCE
 
PART 3_ASSIGNMENT, RECORDING AND RIGHTS OF ASSIGNEE--Table of Contents
 
Sec. 3.73  Establishing right of assignee to take action.

    (a) The inventor is presumed to be the owner of a patent 
application, and any patent that may issue therefrom, unless there is an 
assignment. The original applicant is presumed to be the owner of a 
trademark application or registration, unless there is an assignment.
    (b)(1) In order to request or take action in a patent or trademark 
matter, the assignee must establish its ownership of the patent or 
trademark property of paragraph (a) of this section to

[[Page 203]]

the satisfaction of the Director. The establishment of ownership by the 
assignee may be combined with the paper that requests or takes the 
action. Ownership is established by submitting to the Office a signed 
statement identifying the assignee, accompanied by either:
    (i) Documentary evidence of a chain of title from the original owner 
to the assignee (e.g., copy of an executed assignment). For trademark 
matters only, the documents submitted to establish ownership may be 
required to be recorded pursuant to Sec. 3.11 in the assignment records 
of the Office as a condition to permitting the assignee to take action 
in a matter pending before the Office. For patent matters only, the 
submission of the documentary evidence must be accompanied by a 
statement affirming that the documentary evidence of the chain of title 
from the original owner to the assignee was or concurrently is being 
submitted for recordation pursuant to Sec. 3.11; or
    (ii) A statement specifying where documentary evidence of a chain of 
title from the original owner to the assignee is recorded in the 
assignment records of the Office (e.g., reel and frame number).
    (2) The submission establishing ownership must show that the person 
signing the submission is a person authorized to act on behalf of the 
assignee by:
    (i) Including a statement that the person signing the submission is 
authorized to act on behalf of the assignee; or
    (ii) Being signed by a person having apparent authority to sign on 
behalf of the assignee, e.g., an officer of the assignee.
    (c) For patent matters only:
    (1) Establishment of ownership by the assignee must be submitted 
prior to, or at the same time as, the paper requesting or taking action 
is submitted.
    (2) If the submission under this section is by an assignee of less 
than the entire right, title and interest, such assignee must indicate 
the extent (by percentage) of its ownership interest, or the Office may 
refuse to accept the submission as an establishment of ownership.

[65 FR 54682, Sept. 8, 2000, as amended at 70 FR 56128, Sept. 26, 2005]

                          Issuance to Assignee