Key Takeaways

  • A corrective assignment corrects errors in USPTO assignment records without erasing the original history.
  • Common issues include typos, missing signatures, incorrect entity names, or chain-of-title mistakes.
  • The USPTO requires a new Recordation Form Cover Sheet (PTO-1595) and references to reel and frame numbers.
  • Filing can be done by mail, fax, or electronically through EPAS, though inconsistencies exist in processing.
  • Corrective assignments differ from Certificates of Correction and reissue applications, which address errors in the patent itself rather than ownership records.

A corrective assignment is a way to rectify an error in a recorded document. The Assignment Division will make the changes if an acceptable corrective document is turned in. Policies related to the recording of assignment documents are designed to maintain the history of any claimed interests in property.

For that reason, recorded assignment documents are not expunged, even if they are later determined to be invalid. See In re Ratny, 24 USPQ2d 1713 (Comm'r Pat. 1992) for more information. Once a document is recorded, the Assignment Services Division will not remove information from the record. See MPEP § 323.01(d) for specifics.

What Are the Components of a Corrective Assignment?

  • The corrective document needs to include a copy of the original assignment paperwork with the requested changes noted.
  • The party who wishes to convey the interest needs to initial the corrections and date them.
  • A Recordation Form Cover Sheet (form PTO-1595) must accompany the corrective document. Refer to MPEP § 302.07 for more information. The new cover sheet should be clearly marked as a corrective document submission and refer to the reel and frame number of the recorded document that needs correcting.
  • When the corrective document is recorded, it gets a new reel and frame number along with the date of recording.
  • The original cover sheet should be included in the packet.
  • The fee for this service is listed in 37 CFR 1.21(h). This recording fee must be paid for each application and each patent being corrected. Refer to MPEP § 302.06 for more information.
  • You can make corrections to the original by marking out an application or patent number if you are completing a name change or merger. See MPEP § 314 for more information.

Common Reasons for Filing a Corrective Assignment

Corrective assignments are often needed to resolve errors that could cloud ownership rights or affect future enforcement. The most common reasons include:

  • Clerical mistakes such as misspelled names, incorrect addresses, or typographical errors.
  • Omissions, such as failing to include all inventors or all patent/application numbers.
  • Entity changes, like mergers, acquisitions, or corporate name changes not properly reflected.
  • Chain of title gaps, when an assignment inadvertently skips a link in ownership transfer.
  • Incorrect execution, such as missing signatures or dates.

Correcting these errors helps ensure the chain of title is clear for due diligence, licensing, enforcement, or sale.

Correcting Assignment Cover Sheets at the United States Patent and Trademark Office

Sometimes the United States Patent and Trademark Office (USPTO) makes mistakes. Practitioners also make errors occasionally. While both sides strive for perfection, in reality, mistakes will happen. The USPTO recognizes this and provides processes and policies to fix issues like typographical errors and other clerical errors at different points in the process.

For some examples, refer to 37 CFR 1.76(c) Correction of ADS, PCT Rule 91.1 Rectification of Obvious Mistakes, 37 CFR 1.121(b) Amendments to Specification, 37 CFR 1.323 Certificate of Correction of Applicant's Mistake, and 37 CFR 3.34 Correction of Cover Sheet Errors.

Usually, these processes are sufficient. However, if a correction needs to be made on an assignment cover page, the MPEP instructions on how the USPTO should handle them appear to conflict with the way the Assignment Branch processes them. The MPEP 323.01(a); 37 CFR 3.34 lists the requirements to correct a cover sheet as:

  • A copy of the original recorded document.
  • A cover sheet that reflects the corrections.
  • Payment for the fees.

You can file such a request by mail as described in MPEP 302.08 or by fax as described in MPEP 302.09. To use EPAS to file electronically, the MPEP instructions say to mark the box labeled "Other" under "Nature of Conveyance" and then fill in the reel and frame information and describe the correction.

Though this seems simple enough, what actually happens in practice is quite different. The USPTO Assignment Branch sometime rejects requests to correct Notices of Recordation of Assignment (NORA) without explanation. This happens whether the request was submitted via mail, fax, or electronically.

One possible explanation is an EPAS-centered process that makes the MPEP process impractical. The only way to fix a NORA cover page is by filing an application for a corrective assignment. This is different than choosing "Other."

This happens even though the EPAS is made just for requests such as this. Despite that, it cannot process a task so routine that it has a dedicated section in the MPEP. A simple solution would be a separate selection under "Nature of Conveyance" labeled "Correction to Cover Sheet." A text box could hold the necessary information.

This could help users see the option immediately and remove any vagueness in the rules or the processing of the requests. Also, the Assignment Branch should allow requests via mail and fax since these are specifically offered in the MPEP.

Risks of Not Correcting Assignment Errors

Leaving assignment errors uncorrected can have serious consequences:

  • Breaks in chain of title may weaken the enforceability of a patent or trademark.
  • Complications in transactions, such as acquisitions or licensing, where due diligence reveals inconsistencies.
  • Delays in enforcement, since courts require clear ownership records to establish standing.
  • Risk of disputes, as unclear records may allow competing claims over rights.

Timely filing of a corrective assignment is a proactive measure to avoid these issues.

Corrective Assignment vs. Certificate of Correction

It is important to distinguish between corrective assignments and other USPTO correction tools:

  • Corrective Assignment – Fixes ownership or assignment errors in the USPTO Assignment Recordation Branch.
  • Certificate of Correction – Used to correct errors in the issued patent itself, such as typographical mistakes in claims or specifications.
  • Reissue Application – Required when an error is substantive, such as improperly claimed subject matter, and cannot be addressed by a simple correction.

Understanding these distinctions prevents parties from using the wrong process, which could delay enforcement or licensing.

How to File a Corrective Assignment with the USPTO

To file a corrective assignment with the USPTO, the submitting party must:

  1. Prepare the corrective document – include the corrected assignment or amendment clearly marked as “Corrective.”
  2. Attach a new cover sheet (PTO-1595) – it must reference the reel and frame number of the original assignment.
  3. Provide a copy of the original document – ensuring the USPTO can compare the record with the correction.
  4. Pay the recording fee – required for each application or patent affected.
  5. Submit through EPAS, mail, or fax – though practice shows EPAS is often required despite MPEP language allowing all three.

The Assignment Branch may reject corrections if forms are incomplete or improperly marked. Therefore, parties should be precise in identifying what is being corrected.

Frequently Asked Questions

  1. What is a corrective assignment USPTO filing?
    It is a document submitted to fix errors in previously recorded assignment records, such as names, dates, or patent numbers.
  2. How do I know if I need a corrective assignment or a Certificate of Correction?
    A corrective assignment fixes ownership record errors, while a Certificate of Correction fixes errors in the issued patent itself.
  3. Can I file a corrective assignment electronically?
    Yes. The USPTO’s EPAS system allows electronic filing, though mail and fax are also permitted under MPEP.
  4. What happens if I don’t correct an assignment error?
    Uncorrected errors can create breaks in chain of title, delay enforcement, and complicate licensing or due diligence.
  5. Is there a fee for corrective assignments?
    Yes. A recording fee under 37 CFR 1.21(h) must be paid for each application or patent corrected.

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