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    <p>Of course what one imagines is that the USPTO clerk who pounces
      on entity-size filings to try to collect the penalties might fail
      to notice the cover letter.</p>
    <p>I guess though if the clerk pounces, mailing out whatever the
      clerk mails out, it would be very satisfying to be able to deal
      with it in a better way.  Instead of filing a document styled as a
      "response", one would be able to file a document entitled "request
      that the clerk's letter be withdrawn".  The basis being that the
      cover letter already addressed the issue.<br>
    </p>
    <div class="moz-cite-prefix">On 6/12/2025 1:01 PM, Suzannah K.
      Sundby via Patentpractice wrote:<br>
    </div>
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cite="mid:DM6PR20MB22980624622B79AFF7E6E897CE74A@DM6PR20MB2298.namprd20.prod.outlook.com">
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        <p class="MsoNormal"><span>From now on when a case changes from
            small entity to large
            <span class="SpellE">bc</span> of, e.g., licensing or a
            change in the size of the applicant, I think I am going to
            submit a cover letter explaining the effective date the
            small entity status was lost to preempt having to respond to
            the USPTO asking me to explain the change in entity status.</span></p>
        <p class="MsoNormal"><span> </span></p>
        <div>
          <p class="MsoNormal"><span><a
                href="http://www.linkedin.com/in/ssundby/"
                moz-do-not-send="true"><span>Suzannah K. Sundby</span></a></span><span>
              <b><span>|</span></b> Partner</span></p>
          <p class="MsoNormal"><span><a
                href="http://www.canadylortz.com/"
                moz-do-not-send="true"><u><span>canady + lortz</span></u><u><span>
                    <span>LLP</span></span></u></a></span><span></span></p>
          <p class="MsoNormal"><span>1050 30th Street, NW</span></p>
          <p class="MsoNormal"><span>Washington, DC 20007</span></p>
          <p class="MsoNormal"><span>T: 202.486.8020</span></p>
          <p class="MsoNormal"><span>F: 202.540.8020</span></p>
          <p class="MsoNormal"><span><a
                href="mailto:suzannah@canadylortz.com"
                moz-do-not-send="true"><span>suzannah@canadylortz.com</span></a></span><span></span></p>
          <div>
            <p class="MsoNormal">
              <span><a href="http://www.canadylortz.com/"
                  moz-do-not-send="true"><span>www.canadylortz.com</span></a></span><span></span></p>
          </div>
          <p class="MsoNormal"><span>Confidentiality Notice:
              <span> </span>This message is being sent by or on behalf
              of a lawyer.
              <span> </span>It is intended exclusively for the
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              <span> </span>This communication may contain information
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              <span> </span>If you are not the named addressee, you may
              not read, print, retain, copy, or disseminate this message
              or any part.
              <span> </span>If you have received this message in error,
              please notify the sender immediately by e-mail and delete
              all copies of the message.</span></p>
        </div>
        <p class="MsoNormal"><span> </span></p>
        <div>
          <div>
            <p class="MsoNormal"><b><span>From:</span></b><span>
                Patentpractice
                <a class="moz-txt-link-rfc2396E" href="mailto:patentpractice-bounces@oppedahl-lists.com">&lt;patentpractice-bounces@oppedahl-lists.com&gt;</a>
                <b>On Behalf Of </b>Doreen Trujillo via Patentpractice<br>
                <b>Sent:</b> Thursday, June 12, 2025 10:41 AM<br>
                <b>To:</b> For patent practitioners. This is not for
                laypersons to seek legal advice.
                <a class="moz-txt-link-rfc2396E" href="mailto:patentpractice@oppedahl-lists.com">&lt;patentpractice@oppedahl-lists.com&gt;</a><br>
                <b>Cc:</b> Doreen Trujillo
                <a class="moz-txt-link-rfc2396E" href="mailto:DTrujillo@vlplawgroup.com">&lt;DTrujillo@vlplawgroup.com&gt;</a><br>
                <b>Subject:</b> Re: [Patentpractice] Fwd: USPTO to
                assess statutory penalties for false assertions or
                certifications of small and micro entity status</span></p>
          </div>
        </div>
        <p class="MsoNormal"> </p>
        <p class="MsoNormal"><span>Per the OG Notice:</span></p>
        <p class="MsoNormal"><span> </span></p>
        <p class="MsoNormal"><span>\u201cDivision W of the Consolidated
            Appropriations Act of 2023 enacted the Unleashing American
            Innovators Act of 2022 and amended Title 35 of the United
            States Code to provide for penalties for false assertions
            and certifications under 35 U.S.C. 41G) and 123(t),
            respectively. See Public Law 117-328. In December 2024,
            Public Law 118-151 further amended Title 35 to provide good
            faith exceptions to the statutory penalty system of 35
            U.S.C. 41G) and 123(t). Consequently, 35 U.S.C. 41G) and
            123(t) require the USPTO to assess a fine of not less than
            three times the amount an entity failed to appropriately pay
            the USPTO, when the entity is found by the USPTO to have
            falsely made an assertion or certification of small or micro
            entity status that resulted in the payment of a fee in an
            unentitled reduced amount, unless the entity establishes
            that the assertion or certification was made in good faith.\u201d</span></p>
        <p class="MsoNormal"><span> </span></p>
        <p class="MsoNormal"><span>Regards, </span></p>
        <p class="MsoNormal"><span>Doreen</span></p>
        <p class="MsoNormal"><span> </span></p>
        <div>
          <p class="MsoNormal"><span><img width="71" height="26"
                id="Picture_x0020_3"
                src="cid:part1.e46pAh3G.d1TPdgJT@oppedahl.com" class=""></span><span></span></p>
          <p class="MsoNormal"><b><span>Doreen Y. Trujillo</span></b><b><span></span></b></p>
          <p class="MsoNormal"><span>Partner | VLP Law Group LLP</span></p>
          <p class="MsoNormal"><span>Southeastern Pennsylvania| Blue
              Bell, PA</span></p>
          <p class="MsoNormal"><span>Office: +1 (267) 358-6839</span><span></span></p>
          <p class="MsoNormal"><span lang="EN-GB">Email:
              <a href="mailto:dtrujillo@VLPLawGroup.com"
                moz-do-not-send="true" class="moz-txt-link-freetext">dtrujillo@VLPLawGroup.com</a></span></p>
          <p class="MsoNormal"><span> </span><span lang="EN-GB"></span></p>
        </div>
        <p class="MsoNormal"><span> </span></p>
        <div>
          <div>
            <p class="MsoNormal"><b>From:</b> Patentpractice &lt;<a
                href="mailto:patentpractice-bounces@oppedahl-lists.com"
                moz-do-not-send="true" class="moz-txt-link-freetext">patentpractice-bounces@oppedahl-lists.com</a>&gt;
              <b>On Behalf Of </b>Randall Svihla via Patentpractice<br>
              <b>Sent:</b> Thursday, June 12, 2025 10:30 AM<br>
              <b>To:</b> For patent practitioners. This is not for
              laypersons to seek legal advice. &lt;<a
                href="mailto:patentpractice@oppedahl-lists.com"
                moz-do-not-send="true" class="moz-txt-link-freetext">patentpractice@oppedahl-lists.com</a>&gt;<br>
              <b>Cc:</b> Randall Svihla &lt;<a
                href="mailto:rsvihla@nsiplaw.com" moz-do-not-send="true"
                class="moz-txt-link-freetext">rsvihla@nsiplaw.com</a>&gt;<br>
              <b>Subject:</b> Re: [Patentpractice] Fwd: USPTO to assess
              statutory penalties for false assertions or certifications
              of small and micro entity status</p>
          </div>
        </div>
        <p class="MsoNormal"> </p>
        <p class="MsoNormal"><span>This was provided for in one of the
            past rulemaking notices, but they have never implemented it.</span></p>
        <p class="MsoNormal"><span> </span></p>
        <p class="MsoNormal"><span> </span></p>
        <div>
          <div>
            <p class="MsoNormal"><b>From:</b> Patentpractice &lt;<a
                href="mailto:patentpractice-bounces@oppedahl-lists.com"
                moz-do-not-send="true" class="moz-txt-link-freetext">patentpractice-bounces@oppedahl-lists.com</a>&gt;
              <b>On Behalf Of </b>Carl Oppedahl via Patentpractice<br>
              <b>Sent:</b> Thursday, June 12, 2025 10:25 AM<br>
              <b>To:</b> For patent practitioners. This is not for
              laypersons to seek legal advice. &lt;<a
                href="mailto:patentpractice@oppedahl-lists.com"
                moz-do-not-send="true" class="moz-txt-link-freetext">patentpractice@oppedahl-lists.com</a>&gt;<br>
              <b>Cc:</b> Carl Oppedahl &lt;<a
                href="mailto:carl@oppedahl.com" moz-do-not-send="true"
                class="moz-txt-link-freetext">carl@oppedahl.com</a>&gt;<br>
              <b>Subject:</b> Re: [Patentpractice] Fwd: USPTO to assess
              statutory penalties for false assertions or certifications
              of small and micro entity status</p>
          </div>
        </div>
        <p class="MsoNormal"> </p>
        <p><span>I imagine that part of what will go on here is a
            consequence of an applicant self-reporting.</span></p>
        <p><span>In the past, if an applicant were to self-report that
            it paid (say) a small fee when it should have paid a
            non-small fee, the consequence was that the applicant topped
            up the deficiency.  And everybody moved forward.</span></p>
        <p><span>Now I guess the applicant that self-reports and tops up
            will receive a notice demanding that the applicant pay a
            times-three for the deficiency.</span></p>
        <p><span>I imagine that this will lead to less self-reporting of
            deficiencies.</span></p>
        <p><span> </span></p>
        <div>
          <p class="MsoNormal">On 6/12/2025 7:59 AM, Michael Brown via
            Patentpractice wrote:</p>
        </div>
        <blockquote>
          <div>
            <div>
              <p class="MsoNormal">This is an interesting development. I
                am curious as to the mechanism to be used when "the
                USPTO makes a preliminary determination" about the
                improper payment. I suppose for micro entity, a cross
                check of an inventor's name could be done, but what
                would they do for small entities?</p>
            </div>
            <div>
              <p class="MsoNormal"> </p>
            </div>
            <div>
              <div>
                <div>
                  <div>
                    <div>
                      <div>
                        <div>
                          <p class="MsoNormal">Michael Brown<br>
                            Michael J Brown Law Office </p>
                          <div>
                            <p class="MsoNormal">354 Eisenhower Parkway</p>
                          </div>
                          <div>
                            <p class="MsoNormal">Plaza I, 2nd Floor,
                              Suite 2025 </p>
                            <div>
                              <p class="MsoNormal">Livingston, NJ  07039</p>
                              <div>
                                <p class="MsoNormal"><a
href="mailto:michaeljbrownlaw@gmail.com" target="_blank"
                                    moz-do-not-send="true"
                                    class="moz-txt-link-freetext">michaeljbrownlaw@gmail.com</a></p>
                              </div>
                              <div>
                                <p class="MsoNormal"><a
                                    href="mailto:michael@mjbrownlaw.com"
                                    target="_blank"
                                    moz-do-not-send="true"
                                    class="moz-txt-link-freetext">michael@mjbrownlaw.com</a></p>
                              </div>
                              <div>
                                <p class="MsoNormal"><a
                                    href="http://www.mjbrownlaw.com"
                                    target="_blank"
                                    moz-do-not-send="true">www.mjbrownlaw.com</a> <br>
                                  +1 973-577-6300  fax +1 973-577-6301</p>
                              </div>
                              <div>
                                <p class="MsoNormal">Google Voice +1
                                  973-637-0358</p>
                              </div>
                            </div>
                          </div>
                        </div>
                      </div>
                    </div>
                  </div>
                </div>
              </div>
            </div>
            <p class="MsoNormal"> </p>
            <div>
              <div>
                <p class="MsoNormal">---------- Forwarded message
                  ---------<br>
                  From: <strong><span>U.S. Patent and Trademark Office</span></strong>
                  &lt;<a
href="mailto:subscriptioncenter@subscriptions.uspto.gov"
                    moz-do-not-send="true" class="moz-txt-link-freetext">subscriptioncenter@subscriptions.uspto.gov</a>&gt;<br>
                  Date: Thu, Jun 12, 2025 at 9:39\u202fAM<br>
                  Subject: USPTO to assess statutory penalties for false
                  assertions or certifications of small and micro entity
                  status<br>
                  To: &lt;<a href="mailto:michaeljbrownlaw@gmail.com"
                    moz-do-not-send="true" class="moz-txt-link-freetext">michaeljbrownlaw@gmail.com</a>&gt;</p>
              </div>
              <p class="MsoNormal"> </p>
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                          <p class="MsoNormal">The USPTO will begin
                            implementing statutory penalties for falsely
                            made assertions or certifications of small
                            and micro entity status.
                          </p>
                        </td>
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                                                      <p><span>Having
                                                          trouble
                                                          viewing this
                                                          email?
                                                          <a
href="https://links-1.govdelivery.com/CL0/https:%2F%2Fcontent.govdelivery.com%2Faccounts%2FUSPTO%2Fbulletins%2F3e4a893/1/01000197645db5f0-695cf16f-916f-4ca8-9406-1420fdd1b79b-000000/srheDddH2oZ87uw7EYF_r401-taSqAFOhcA4jms1SFo=409"
target="_blank" moz-do-not-send="true">
                                                          View it as a
                                                          Web page</a>.</span></p>
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                                                      <h1><span>News
                                                          Brief</span></h1>
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                                                    <h2><span>USPTO to
                                                        assess statutory
                                                        penalties for
                                                        false assertions
                                                        or
                                                        certifications
                                                        of small and
                                                        micro entity
                                                        status</span></h2>
                                                    <p><span>The U.S.
                                                        Patent and
                                                        Trademark Office
                                                        (USPTO) will
                                                        begin
                                                        implementing
                                                        statutory
                                                        penalties for
                                                        falsely made
                                                        assertions or
                                                        certifications
                                                        of small and
                                                        micro entity
                                                        status, as part
                                                        of the USPTO\u2019s
                                                        continuing
                                                        efforts to
                                                        mitigate threats
                                                        to the U.S.
                                                        patent system
                                                        and to protect
                                                        that system\u2019s
                                                        integrity.</span></p>
                                                    <p><span>As required
                                                        by statute, the
                                                        USPTO will
                                                        assess a fine of
                                                        not less than
                                                        three times the
                                                        amount an entity
                                                        failed to
                                                        appropriately
                                                        pay the USPTO
                                                        when the entity
                                                        is found to have
                                                        falsely made an
                                                        assertion or
                                                        certification of
                                                        small or micro
                                                        entity status,
                                                        unless the
                                                        entity shows
                                                        that the
                                                        assertion or
                                                        certification
                                                        was made in good
                                                        faith. </span></p>
                                                    <p><span>The USPTO
                                                        will begin
                                                        issuing a
                                                        combined notice
                                                        of payment
                                                        deficiency and
                                                        order to show
                                                        cause as to why
                                                        a fine should
                                                        not be assessed
                                                        when the USPTO
                                                        makes a
                                                        preliminary
                                                        determination
                                                        that a pending
                                                        patent
                                                        application or
                                                        patent contains
                                                        a false
                                                        assertion or
                                                        certification
                                                        that resulted in
                                                        the payment of
                                                        at least one fee
                                                        in an unentitled
                                                        reduced amount.
                                                        The agency will
                                                        issue a
                                                        subsequent
                                                        notice to
                                                        provide a final
                                                        determination of
                                                        whether a fine
                                                        is being
                                                        assessed, and
                                                        the fine amount,
                                                        based on any
                                                        timely response
                                                        to the combined
                                                        notice and order
                                                        to show cause,
                                                        and the record
                                                        as a whole.</span></p>
                                                    <p><span>You can
                                                        find more
                                                        information in
                                                        the Official
                                                        Gazette Notice
                                                        available on the
                                                        USPTO\u2019s <a
href="https://links-1.govdelivery.com/CL0/https:%2F%2Fwww.uspto.gov%2Fpatents%2Flaws%2Fpatent-related-notices%2Fpatent-related-notices-2025%3Futm_campaign=subscriptioncenter%26utm_content=%26utm_medium=email%26utm_name=%26utm_source=govdelivery%26utm_term=/1/01000197645db5f0-695cf16f-916f-4ca8-9406-1420fdd1b79b-000000/M-L6thTvvv2hm256mkaRy7x3drJYnkPFHOumsY2jZ5g=409"
target="_blank" moz-do-not-send="true">Patent Related Notices webpage</a>.</span></p>
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