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<p class="MsoNormal"><font size="2" face="Arial"><span style="font-size:11.0pt;font-family:"Arial",sans-serif;mso-fareast-font-family:"Malgun Gothic";mso-bidi-font-family:"Times New Roman"">This was provided for in one of the past rulemaking notices, but they
have never implemented it.<o:p></o:p></span></font></p>
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<p class="MsoNormal"><b><font size="2" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman";font-weight:bold">From:</span></font></b><span style="mso-fareast-font-family:"Times New Roman""> Patentpractice <patentpractice-bounces@oppedahl-lists.com>
<b><span style="font-weight:bold">On Behalf Of </span></b>Carl Oppedahl via Patentpractice<br>
<b><span style="font-weight:bold">Sent:</span></b> Thursday, June 12, 2025 10:25 AM<br>
<b><span style="font-weight:bold">To:</span></b> For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice@oppedahl-lists.com><br>
<b><span style="font-weight:bold">Cc:</span></b> Carl Oppedahl <carl@oppedahl.com><br>
<b><span style="font-weight:bold">Subject:</span></b> Re: [Patentpractice] Fwd: USPTO to assess statutory penalties for false assertions or certifications of small and micro entity status<o:p></o:p></span></p>
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<p class="MsoNormal"><font size="2" face="Calibri"><span style="font-size:11.0pt"><o:p> </o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">I imagine that part of what will go on here is a consequence of an applicant self-reporting.<o:p></o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">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.<o:p></o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">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.<o:p></o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">I imagine that this will lead to less self-reporting of deficiencies.<o:p></o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt"><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><font size="2" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman"">On 6/12/2025 7:59 AM, Michael Brown via Patentpractice wrote:<o:p></o:p></span></font></p>
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<p class="MsoNormal"><font size="2" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman"">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?<o:p></o:p></span></font></p>
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<p class="MsoNormal"><font size="2" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman"">Michael Brown<br>
Michael J Brown Law Office <o:p></o:p></span></font></p>
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<p class="MsoNormal" style="margin-bottom:12.0pt"><font size="2" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman""><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><font size="2" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman"">---------- Forwarded message ---------<br>
From: <strong><b><font face="Calibri"><span style="font-family:"Calibri",sans-serif">U.S. Patent and Trademark Office</span></font></b></strong> <<a href="mailto:subscriptioncenter@subscriptions.uspto.gov">subscriptioncenter@subscriptions.uspto.gov</a>><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: <<a href="mailto:michaeljbrownlaw@gmail.com">michaeljbrownlaw@gmail.com</a>><o:p></o:p></span></font></p>
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<p class="MsoNormal"><font size="2" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman"">The USPTO will begin implementing statutory penalties for falsely made assertions or certifications of small and micro entity status.
<o:p></o:p></span></font></p>
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<h2><b><font size="5" face="Calibri"><span style="font-size:18.0pt;mso-fareast-font-family:"Times New Roman"">USPTO to assess statutory penalties for false assertions or certifications of small and micro entity status<o:p></o:p></span></font></b></h2>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">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.<o:p></o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">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. <o:p></o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">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.<o:p></o:p></span></font></p>
<p><font size="2" face="Calibri"><span style="font-size:11.0pt">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">Patent
Related Notices webpage</a>.<o:p></o:p></span></font></p>
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