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

Thu Jun 12 14:29:43 UTC 2025

This was provided for in one of the past rulemaking notices, but they have never implemented it.

From: Patentpractice <patentpractice-bounces at oppedahl-lists.com> On Behalf Of Carl Oppedahl via Patentpractice
Sent: Thursday, June 12, 2025 10:25 AM
To: For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice at oppedahl-lists.com>
Cc: Carl Oppedahl <carl at oppedahl.com>
Subject: Re: [Patentpractice] Fwd: USPTO to assess statutory penalties for false assertions or certifications of small and micro entity status

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
354 Eisenhower Parkway
Plaza I, 2nd Floor, Suite 2025
Livingston, NJ  07039
michaeljbrownlaw at gmail.com<mailto:michaeljbrownlaw at gmail.com>
michael at mjbrownlaw.com<mailto:michael at mjbrownlaw.com>
www.mjbrownlaw.com<http://www.mjbrownlaw.com>
+1 973-577-6300  fax +1 973-577-6301
Google Voice +1 973-637-0358

---------- Forwarded message ---------
From: U.S. Patent and Trademark Office <subscriptioncenter at subscriptions.uspto.gov<mailto: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<mailto:michaeljbrownlaw at gmail.com>>

The USPTO will begin implementing statutory penalties for falsely made assertions or certifications of small and micro entity status.

Having trouble viewing this email? View it as a Web page<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>.

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<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>.

               <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>
 <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>
<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>

Having trouble accessing links in this email? Your email server security software may be altering the links. Contact your IT or email administrator and ask them to "allow-list" links-1.govdelivery.com and links-2.govdelivery.com to ensure you can access all content in this communication.<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>

Stay connected with the USPTO by subscribing to regular email updates. Visit our subscription center at www.uspto.gov/subscribe to update or change your email preferences.<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>

This email was sent from an unmonitored mailbox. To contact us, please visit our website www.uspto.gov/about/contacts. To ensure that you continue to receive our news and notices, please modify your email filters to allow mail from subscriptioncenter at subscriptions.uspto.gov.<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>
 <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>
<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>
 <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>
<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>
________________________________
This email was sent to michaeljbrownlaw at gmail.com using GovDelivery Communications Cloud on behalf of: United States Patent and Trademark Office ·600 Dulany Street · Alexandria , VA 22314<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>
<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>
<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>

<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>
-------------- next part --------------
An HTML attachment was scrubbed...
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20250612/501fa700/attachment.html>