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<p class="MsoNormal"><span style="font-size:12.0pt;mso-bidi-font-size:11.0pt;font-family:"Times New Roman",serif">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.<o:p></o:p></span></p>
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<p class="MsoNormal"><b><span style="mso-fareast-font-family:"Times New Roman"">From:</span></b><span style="mso-fareast-font-family:"Times New Roman""> Patentpractice <patentpractice-bounces@oppedahl-lists.com>
<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. <patentpractice@oppedahl-lists.com><br>
<b>Cc:</b> Doreen Trujillo <DTrujillo@vlplawgroup.com><br>
<b>Subject:</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"><o:p> </o:p></p>
<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif">Per the OG Notice:<o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif"><o:p> </o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif">\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<o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif"><o:p> </o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif">Regards, <o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif">Doreen<o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif"><o:p> </o:p></span></p>
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<p class="MsoNormal"><b><span style="font-size:12.0pt;font-family:"Times New Roman",serif;mso-ligatures:standardcontextual">Doreen Y. Trujillo</span></b><b><span style="font-family:"Times New Roman",serif;mso-ligatures:standardcontextual"><o:p></o:p></span></b></p>
<p class="MsoNormal"><span style="font-size:12.0pt;font-family:"Times New Roman",serif;mso-ligatures:standardcontextual">Partner | VLP Law Group LLP<o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-size:12.0pt;font-family:"Times New Roman",serif;mso-ligatures:standardcontextual">Southeastern Pennsylvania| Blue Bell, PA<o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-size:12.0pt;font-family:"Times New Roman",serif;mso-ligatures:standardcontextual">Office: +1 (267) 358-6839</span><span style="font-size:12.0pt;font-family:"Times New Roman",serif"><o:p></o:p></span></p>
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<a href="mailto:dtrujillo@VLPLawGroup.com">dtrujillo@VLPLawGroup.com</a><o:p></o:p></span></p>
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<p class="MsoNormal"><span style="font-family:"Aptos",sans-serif"><o:p> </o:p></span></p>
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<p class="MsoNormal" style="mso-outline-level:1"><b>From:</b> Patentpractice <<a href="mailto:patentpractice-bounces@oppedahl-lists.com">patentpractice-bounces@oppedahl-lists.com</a>>
<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. <<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b>Cc:</b> Randall Svihla <<a href="mailto:rsvihla@nsiplaw.com">rsvihla@nsiplaw.com</a>><br>
<b>Subject:</b> Re: [Patentpractice] Fwd: USPTO to assess statutory penalties for false assertions or certifications of small and micro entity status<o:p></o:p></p>
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<p class="MsoNormal"><o:p> </o:p></p>
<p class="MsoNormal"><span style="font-family:"Arial",sans-serif">This was provided for in one of the past rulemaking notices, but they have never implemented it.<o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Arial",sans-serif"><o:p> </o:p></span></p>
<p class="MsoNormal"><span style="font-family:"Arial",sans-serif"><o:p> </o:p></span></p>
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<p class="MsoNormal" style="mso-outline-level:1"><b>From:</b> Patentpractice <<a href="mailto:patentpractice-bounces@oppedahl-lists.com">patentpractice-bounces@oppedahl-lists.com</a>>
<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. <<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b>Cc:</b> Carl Oppedahl <<a href="mailto:carl@oppedahl.com">carl@oppedahl.com</a>><br>
<b>Subject:</b> Re: [Patentpractice] Fwd: USPTO to assess statutory penalties for false assertions or certifications of small and micro entity status<o:p></o:p></p>
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<p class="MsoNormal"><o:p> </o:p></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">I imagine that part of what will go on here is a consequence of an applicant self-reporting.<o:p></o:p></span></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">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></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">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></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">I imagine that this will lead to less self-reporting of deficiencies.<o:p></o:p></span></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif"><o:p> </o:p></span></p>
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<p class="MsoNormal">On 6/12/2025 7:59 AM, Michael Brown via Patentpractice wrote:<o:p></o:p></p>
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<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?<o:p></o:p></p>
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<p class="MsoNormal">Michael Brown<br>
Michael J Brown Law Office <o:p></o:p></p>
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<p class="MsoNormal"><a href="mailto:michael@mjbrownlaw.com" target="_blank">michael@mjbrownlaw.com</a><o:p></o:p></p>
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<p class="MsoNormal"><a href="http://www.mjbrownlaw.com" target="_blank">www.mjbrownlaw.com</a> <br>
+1 973-577-6300 fax +1 973-577-6301<o:p></o:p></p>
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<p class="MsoNormal" style="margin-bottom:12.0pt"><o:p> </o:p></p>
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<p class="MsoNormal" style="mso-outline-level:1">---------- Forwarded message ---------<br>
From: <strong><span style="font-family:"Calibri",sans-serif">U.S. Patent and Trademark Office</span></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></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.
<o:p></o:p></p>
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<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">Having trouble viewing this email?
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<h1><span style="mso-fareast-font-family:"Times New Roman"">News Brief<o:p></o:p></span></h1>
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<h2><span style="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></h2>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">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></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">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></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">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></p>
<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">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></p>
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<p><span style="font-size:11.0pt;font-family:"Calibri",sans-serif"><a href="https://links-1.govdelivery.com/CL0/https:%2F%2Fwww.facebook.com%2Fuspto.gov%3Futm_campaign=subscriptioncenter%26utm_content=%26utm_medium=email%26utm_name=%26utm_source=govdelivery%26utm_term=/1/01000197645db5f0-695cf16f-916f-4ca8-9406-1420fdd1b79b-000000/jRdRzKxajzVlwzOQF9v7MH_X16SX_SFhyk1PMiiFvT8=409" target="_blank"><span style="color:windowtext;text-decoration:none;text-underline:none">
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