[Patentpractice] Fwd: USPTO to assess statutory penalties for false assertions or certifications of small and micro entity status
Carl Oppedahl
carl at oppedahl.com
Thu Jun 12 19:15:10 UTC 2025
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.
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letter be withdrawn".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.
On 6/12/2025 1:01 PM, Suzannah K. Sundby via Patentpractice wrote:
>
> From now on when a case changes from small entity to large bc 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.
>
> Suzannah K. Sundby <http://www.linkedin.com/in/ssundby/>*|* Partner
>
> _canady + lortz__LLP_ <http://www.canadylortz.com/>
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> *From:*Patentpractice <patentpractice-bounces at oppedahl-lists.com> *On
> Behalf Of *Doreen Trujillo via Patentpractice
> *Sent:* Thursday, June 12, 2025 10:41 AM
> *To:* For patent practitioners. This is not for laypersons to seek
> legal advice. <patentpractice at oppedahl-lists.com>
> *Cc:* Doreen Trujillo <DTrujillo at vlplawgroup.com>
> *Subject:* Re: [Patentpractice] Fwd: USPTO to assess statutory
> penalties for false assertions or certifications of small and micro
> entity status
>
> Per the OG Notice:
>
> “Division 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.”
>
> Regards,
>
> Doreen
>
> *Doreen Y. Trujillo***
>
> Partner | VLP Law Group LLP
>
> Southeastern Pennsylvania| Blue Bell, PA
>
> Office: +1 (267) 358-6839
>
> Email: dtrujillo at VLPLawGroup.com
>
> *From:* Patentpractice <patentpractice-bounces at oppedahl-lists.com> *On
> Behalf Of *Randall Svihla via Patentpractice
> *Sent:* Thursday, June 12, 2025 10:30 AM
> *To:* For patent practitioners. This is not for laypersons to seek
> legal advice. <patentpractice at oppedahl-lists.com>
> *Cc:* Randall Svihla <rsvihla at nsiplaw.com>
> *Subject:* Re: [Patentpractice] Fwd: USPTO to assess statutory
> penalties for false assertions or certifications of small and micro
> entity status
>
> 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
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> michael at mjbrownlaw.com
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> 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>
> 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.
>
>
>
>
> Having trouble viewing this email? View it as a Web page
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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
> <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>.
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