[Patentpractice] Fwd: USPTO to assess statutory penalties for false assertions or certifications of small and micro entity status

Thu Jun 12 14:24:43 UTC 2025

I imagine that part of what will go on here is a consequence of an 
applicant self-reporting.

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.

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.

I imagine that this will lead to less self-reporting of deficiencies.

On 6/12/2025 7:59 AM, Michael Brown via Patentpractice wrote:
> 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?
>
> Michael Brown
> Michael J Brown Law Office
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> ---------- Forwarded message ---------
> From: *U.S. Patent and Trademark Office* 
> <subscriptioncenter at subscriptions.uspto.gov>
> Date: Thu, Jun 12, 2025 at 9:39 AM
> Subject: USPTO to assess statutory penalties for false assertions or 
> certifications of small and micro entity status
> To: <michaeljbrownlaw at gmail.com>
>
>
> The USPTO will begin implementing statutory penalties for falsely made 
> assertions or certifications of small and micro entity status.
>
>
> 	
>
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>
>   News Brief
>
>
>     USPTO to assess statutory penalties for false assertions or
>     certifications of small and micro entity status
>
> 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’s continuing 
> efforts to mitigate threats to the U.S. patent system and to protect 
> that system’s integrity.
>
> 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.
>
> 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.
>
> You can find more information in the Official Gazette Notice available 
> on the USPTO’s Patent Related Notices webpage 
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