| Notice of Expiration of Patents Due to Failure to Pay Maintenance Fee |
Notice of Expiration of Patents
Due to Failure to Pay Maintenance Fee
35 U.S.C. 41 and 37 CFR 1.362(g) provide that if the required
maintenance fee and any applicable surcharge are not paid in a patent
requiring such payment, the patent will expire at the end of the 4th, 8th
or 12th anniversary of the grant of the patent depending on the first
maintenance fee which was not paid.
According to the records of the Office, the patents listed below have
expired due to failure to pay the required maintenance fee and any
applicable surcharge.
PATENTS WHICH EXPIRED ON November 28, 2012
DUE TO FAILURE TO PAY MAINTENANCE FEES
Patent Application Issue
Number Number Date
6,151,713 09/369,869 11/28/00
6,151,715 09/396,100 11/28/00
6,151,718 09/308,886 11/28/00
6,151,720 08/988,762 11/28/00
6,151,724 09/429,919 11/28/00
6,151,737 09/304,275 11/28/00
6,151,738 09/090,201 11/28/00
6,151,746 09/109,384 11/28/00
6,151,747 09/205,303 11/28/00
6,151,752 09/330,952 11/28/00
6,151,760 09/292,853 11/28/00
6,151,766 09/131,665 11/28/00
6,151,768 09/312,851 11/28/00
6,151,769 08/924,357 11/28/00
6,151,770 09/197,568 11/28/00
6,151,776 09/197,628 11/28/00
6,151,778 09/475,725 11/28/00
6,151,784 09/166,852 11/28/00
6,151,804 09/101,442 11/28/00
6,151,809 09/224,249 11/28/00
6,151,810 09/126,086 11/28/00
6,151,828 08/178,013 11/28/00
6,151,829 09/522,675 11/28/00
6,151,830 09/064,460 11/28/00
6,151,839 09/101,290 11/28/00
6,151,840 09/310,186 11/28/00
6,151,845 09/396,623 11/28/00
6,151,848 09/228,518 11/28/00
6,151,853 09/283,544 11/28/00
6,151,854 09/105,371 11/28/00
6,151,866 09/225,591 11/28/00
6,151,867 09/200,653 11/28/00
6,151,874 09/304,923 11/28/00
6,151,875 09/056,886 11/28/00
6,151,878 09/464,159 11/28/00
6,151,892 09/323,800 11/28/00
6,151,899 09/306,574 11/28/00
6,151,906 09/367,584 11/28/00
6,151,922 09/404,751 11/28/00
6,151,923 09/412,343 11/28/00
6,151,930 09/455,014 11/28/00
6,151,934 09/422,695 11/28/00
6,151,937 09/251,687 11/28/00
6,151,940 09/325,517 11/28/00
6,151,941 09/237,290 11/28/00
6,151,944 09/402,463 11/28/00
6,151,954 08/923,744 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 163 |
6,151,968 09/008,298 11/28/00
6,151,971 09/219,012 11/28/00
6,151,982 09/231,172 11/28/00
6,151,991 09/288,111 11/28/00
6,151,995 09/229,237 11/28/00
6,152,000 09/149,696 11/28/00
6,152,001 09/037,325 11/28/00
6,152,020 09/301,328 11/28/00
6,152,024 09/168,569 11/28/00
6,152,028 08/973,972 11/28/00
6,152,032 09/186,436 11/28/00
6,152,036 09/280,659 11/28/00
6,152,037 09/268,116 11/28/00
6,152,044 09/091,293 11/28/00
6,152,046 09/232,124 11/28/00
6,152,051 09/051,744 11/28/00
6,152,064 09/377,187 11/28/00
6,152,069 09/056,079 11/28/00
6,152,071 08/988,137 11/28/00
6,152,078 09/161,456 11/28/00
6,152,081 09/250,694 11/28/00
6,152,082 09/156,352 11/28/00
6,152,086 09/101,121 11/28/00
6,152,087 08/987,422 11/28/00
6,152,090 09/093,933 11/28/00
6,152,125 09/221,440 11/28/00
6,152,139 08/788,548 11/28/00
6,152,145 09/080,877 11/28/00
6,152,146 09/344,516 11/28/00
6,152,148 09/145,921 11/28/00
6,152,153 09/206,360 11/28/00
6,152,154 09/221,054 11/28/00
6,152,155 09/200,983 11/28/00
6,152,178 09/467,323 11/28/00
6,152,184 09/247,631 11/28/00
6,152,186 09/109,455 11/28/00
6,152,187 09/336,983 11/28/00
6,152,190 09/292,474 11/28/00
6,152,193 09/496,908 11/28/00
6,152,200 09/483,235 11/28/00
6,152,212 08/881,496 11/28/00
6,152,214 09/389,948 11/28/00
6,152,216 09/417,309 11/28/00
6,152,240 09/120,066 11/28/00
6,152,245 09/125,724 11/28/00
6,152,252 09/202,485 11/28/00
6,152,254 09/179,152 11/28/00
6,152,258 09/407,154 11/28/00
6,152,261 09/318,920 11/28/00
6,152,262 09/379,203 11/28/00
6,152,264 09/354,477 11/28/00
6,152,265 09/385,536 11/28/00
6,152,267 09/158,833 11/28/00
6,152,271 09/122,532 11/28/00
6,152,276 09/293,710 11/28/00
6,152,278 09/349,434 11/28/00
6,152,283 09/106,703 11/28/00
6,152,286 09/255,249 11/28/00
6,152,294 09/371,719 11/28/00
6,152,297 09/293,870 11/28/00
6,152,301 09/372,624 11/28/00
6,152,306 08/961,245 11/28/00
6,152,310 09/192,265 11/28/00
6,152,319 09/101,260 11/28/00
6,152,323 09/100,719 11/28/00
6,152,324 09/188,143 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 164 |
6,152,333 09/330,719 11/28/00
6,152,338 09/032,427 11/28/00
6,152,350 09/099,624 11/28/00
6,152,351 09/122,788 11/28/00
6,152,353 09/245,125 11/28/00
6,152,359 09/334,002 11/28/00
6,152,360 08/979,354 11/28/00
6,152,361 09/259,431 11/28/00
6,152,367 09/043,762 11/28/00
6,152,369 08/905,903 11/28/00
6,152,371 09/133,083 11/28/00
6,152,376 09/236,430 11/28/00
6,152,377 08/500,069 11/28/00
6,152,378 09/284,744 11/28/00
6,152,379 09/307,224 11/28/00
6,152,383 09/444,510 11/28/00
6,152,387 09/112,908 11/28/00
6,152,389 09/459,316 11/28/00
6,152,407 09/398,154 11/28/00
6,152,409 09/130,829 11/28/00
6,152,414 09/061,668 11/28/00
6,152,421 09/063,346 11/28/00
6,152,422 09/247,762 11/28/00
6,152,435 09/127,232 11/28/00
6,152,437 09/071,435 11/28/00
6,152,440 09/452,842 11/28/00
6,152,442 09/149,059 11/28/00
6,152,446 08/905,657 11/28/00
6,152,449 08/757,749 11/28/00
6,152,451 09/295,740 11/28/00
6,152,454 09/086,597 11/28/00
6,152,456 09/212,512 11/28/00
6,152,457 09/191,885 11/28/00
6,152,468 09/190,427 11/28/00
6,152,472 09/150,237 11/28/00
6,152,473 09/353,540 11/28/00
6,152,484 09/235,968 11/28/00
6,152,495 09/331,123 11/28/00
6,152,508 09/189,087 11/28/00
6,152,521 09/106,865 11/28/00
6,152,525 09/198,419 11/28/00
6,152,529 09/337,823 11/28/00
6,152,535 09/431,598 11/28/00
6,152,536 09/393,260 11/28/00
6,152,538 09/062,136 11/28/00
6,152,543 07/894,128 11/28/00
6,152,549 09/189,769 11/28/00
6,152,550 09/233,981 11/28/00
6,152,555 09/363,820 11/28/00
6,152,556 08/930,784 11/28/00
6,152,568 09/244,640 11/28/00
6,152,570 09/132,136 11/28/00
6,152,575 09/336,260 11/28/00
6,152,587 09/244,386 11/28/00
6,152,588 08/902,741 11/28/00
6,152,592 09/252,251 11/28/00
6,152,597 09/105,489 11/28/00
6,152,600 09/185,241 11/28/00
6,152,601 09/133,615 11/28/00
6,152,603 09/112,232 11/28/00
6,152,605 09/379,748 11/28/00
6,152,619 09/112,745 11/28/00
6,152,624 09/436,601 11/28/00
6,152,634 09/328,613 11/28/00
6,152,648 09/241,198 11/28/00
6,152,653 09/134,531 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 165 |
6,152,667 09/412,277 11/28/00
6,152,669 08/747,113 11/28/00
6,152,677 09/075,927 11/28/00
6,152,680 08/918,332 11/28/00
6,152,682 09/194,760 11/28/00
6,152,691 09/245,005 11/28/00
6,152,692 09/185,984 11/28/00
6,152,696 09/187,078 11/28/00
6,152,701 09/028,783 11/28/00
6,152,704 09/164,396 11/28/00
6,152,715 09/016,404 11/28/00
6,152,718 09/004,059 11/28/00
6,152,720 09/161,613 11/28/00
6,152,723 09/171,315 11/28/00
6,152,730 09/357,202 11/28/00
6,152,732 09/364,764 11/28/00
6,152,733 09/414,734 11/28/00
6,152,741 09/370,609 11/28/00
6,152,744 09/310,721 11/28/00
6,152,748 09/233,165 11/28/00
6,152,755 09/210,191 11/28/00
6,152,757 09/378,390 11/28/00
6,152,760 09/273,630 11/28/00
6,152,761 08/874,395 11/28/00
6,152,770 09/276,904 11/28/00
6,152,771 09/221,646 11/28/00
6,152,778 09/031,219 11/28/00
6,152,781 09/374,072 11/28/00
6,152,782 09/006,110 11/28/00
6,152,786 09/298,569 11/28/00
6,152,787 09/385,160 11/28/00
6,152,797 08/724,521 11/28/00
6,152,803 09/358,046 11/28/00
6,152,805 09/116,496 11/28/00
6,152,807 09/111,303 11/28/00
6,152,809 09/146,626 11/28/00
6,152,814 09/398,159 11/28/00
6,152,830 09/325,310 11/28/00
6,152,831 09/170,824 11/28/00
6,152,840 09/390,551 11/28/00
6,152,847 09/458,184 11/28/00
6,152,848 09/396,927 11/28/00
6,152,849 09/236,831 11/28/00
6,152,854 09/255,162 11/28/00
6,152,860 09/261,752 11/28/00
6,152,862 09/133,551 11/28/00
6,152,864 09/395,552 11/28/00
6,152,867 09/184,585 11/28/00
6,152,869 09/132,161 11/28/00
6,152,872 08/470,562 11/28/00
6,152,877 09/212,876 11/28/00
6,152,884 09/171,559 11/28/00
6,152,885 09/070,366 11/28/00
6,152,886 09/072,494 11/28/00
6,152,887 09/031,578 11/28/00
6,152,907 09/070,751 11/28/00
6,152,908 08/704,705 11/28/00
6,152,914 09/235,169 11/28/00
6,152,922 09/339,197 11/28/00
6,152,929 09/064,587 11/28/00
6,152,940 09/162,840 11/28/00
6,152,944 09/034,434 11/28/00
6,152,958 09/215,574 11/28/00
6,152,959 09/312,566 11/28/00
6,152,964 08/810,266 11/28/00
6,152,965 09/210,336 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 166 |
6,152,978 09/117,622 11/28/00
6,152,994 09/178,922 11/28/00
6,153,004 09/465,389 11/28/00
6,153,007 09/331,502 11/28/00
6,153,011 09/504,961 11/28/00
6,153,025 09/116,848 11/28/00
6,153,028 09/249,905 11/28/00
6,153,029 09/141,750 11/28/00
6,153,030 09/362,745 11/28/00
6,153,033 09/222,410 11/28/00
6,153,036 09/265,084 11/28/00
6,153,037 08/750,491 11/28/00
6,153,042 09/190,139 11/28/00
6,153,059 09/354,892 11/28/00
6,153,061 09/257,572 11/28/00
6,153,068 09/035,325 11/28/00
6,153,072 09/150,295 11/28/00
6,153,076 09/005,499 11/28/00
6,153,083 09/331,390 11/28/00
6,153,090 09/182,657 11/28/00
6,153,098 08/922,404 11/28/00
6,153,103 09/264,152 11/28/00
6,153,107 09/132,507 11/28/00
6,153,109 09/010,697 11/28/00
6,153,113 09/253,696 11/28/00
6,153,118 09/187,320 11/28/00
6,153,129 09/305,413 11/28/00
6,153,131 09/468,509 11/28/00
6,153,134 09/211,822 11/28/00
6,153,136 09/172,449 11/28/00
6,153,138 09/288,185 11/28/00
6,153,141 08/155,881 11/28/00
6,153,143 09/145,622 11/28/00
6,153,145 08/894,492 11/28/00
6,153,146 09/133,035 11/28/00
6,153,149 08/906,756 11/28/00
6,153,154 09/086,623 11/28/00
6,153,158 09/126,831 11/28/00
6,153,160 08/405,279 11/28/00
6,153,177 09/211,831 11/28/00
6,153,187 09/046,475 11/28/00
6,153,190 08/776,511 11/28/00
6,153,193 08/478,979 11/28/00
6,153,203 08/883,817 11/28/00
6,153,204 09/180,427 11/28/00
6,153,205 09/348,672 11/28/00
6,153,211 09/118,242 11/28/00
6,153,215 08/387,935 11/28/00
6,153,217 09/235,400 11/28/00
6,153,241 08/981,598 11/28/00
6,153,245 09/094,326 11/28/00
6,153,250 09/333,443 11/28/00
6,153,253 08/503,753 11/28/00
6,153,258 09/126,961 11/28/00
6,153,270 09/308,030 11/28/00
6,153,272 09/080,598 11/28/00
6,153,274 09/081,422 11/28/00
6,153,278 08/877,252 11/28/00
6,153,290 09/221,466 11/28/00
6,153,291 09/170,024 11/28/00
6,153,292 09/282,088 11/28/00
6,153,295 08/827,370 11/28/00
6,153,296 09/266,018 11/28/00
6,153,299 09/338,629 11/28/00
6,153,306 09/194,084 11/28/00
6,153,310 09/170,118 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 167 |
6,153,312 09/096,963 11/28/00
6,153,316 09/479,841 11/28/00
6,153,326 09/176,313 11/28/00
6,153,352 09/207,682 11/28/00
6,153,355 09/102,745 11/28/00
6,153,357 08/896,139 11/28/00
6,153,358 08/773,272 11/28/00
6,153,364 09/464,961 11/28/00
6,153,368 09/431,729 11/28/00
6,153,370 08/842,361 11/28/00
6,153,377 08/443,961 11/28/00
6,153,387 09/201,038 11/28/00
6,153,388 09/245,822 11/28/00
6,153,390 09/259,437 11/28/00
6,153,391 09/035,686 11/28/00
6,153,393 09/210,040 11/28/00
6,153,394 09/156,954 11/28/00
6,153,396 08/465,275 11/28/00
6,153,398 08/997,758 11/28/00
6,153,402 08/815,469 11/28/00
6,153,405 09/097,635 11/28/00
6,153,416 09/235,597 11/28/00
6,153,424 09/265,628 11/28/00
6,153,425 09/141,401 11/28/00
6,153,427 08/321,686 11/28/00
6,153,436 09/004,877 11/28/00
6,153,441 09/251,545 11/28/00
6,153,443 09/216,821 11/28/00
6,153,444 08/921,829 11/28/00
6,153,447 09/182,214 11/28/00
6,153,450 09/240,786 11/28/00
6,153,469 09/352,448 11/28/00
6,153,476 09/030,127 11/28/00
6,153,488 09/229,887 11/28/00
6,153,497 09/281,335 11/28/00
6,153,499 09/289,946 11/28/00
6,153,509 09/343,699 11/28/00
6,153,515 09/156,896 11/28/00
6,153,525 09/023,415 11/28/00
6,153,532 09/032,212 11/28/00
6,153,535 08/955,742 11/28/00
6,153,542 08/862,249 11/28/00
6,153,545 09/331,879 11/28/00
6,153,550 08/993,168 11/28/00
6,153,551 08/892,592 11/28/00
6,153,556 09/220,908 11/28/00
6,153,557 09/189,937 11/28/00
6,153,558 09/144,923 11/28/00
6,153,577 09/426,594 11/28/00
6,153,585 09/353,976 11/28/00
6,153,588 09/251,030 11/28/00
6,153,592 08/244,715 11/28/00
6,153,596 08/993,008 11/28/00
6,153,600 09/326,135 11/28/00
6,153,601 08/889,793 11/28/00
6,153,603 09/093,074 11/28/00
6,153,604 08/458,803 11/28/00
6,153,610 09/157,905 11/28/00
6,153,618 08/948,887 11/28/00
6,153,619 09/273,942 11/28/00
6,153,620 08/006,691 11/28/00
6,153,621 09/102,089 11/28/00
6,153,630 08/875,487 11/28/00
6,153,632 08/804,903 11/28/00
6,153,634 09/464,507 11/28/00
6,153,635 09/197,019 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 168 |
6,153,640 09/533,684 11/28/00
6,153,645 09/393,505 11/28/00
6,153,649 09/065,100 11/28/00
6,153,665 09/178,542 11/28/00
6,153,667 09/235,109 11/28/00
6,153,668 09/016,879 11/28/00
6,153,670 09/054,132 11/28/00
6,153,672 08/001,697 11/28/00
6,153,675 09/133,863 11/28/00
6,153,676 09/365,942 11/28/00
6,153,681 09/111,902 11/28/00
6,153,695 09/287,685 11/28/00
6,153,698 09/100,498 11/28/00
6,153,708 09/271,428 11/28/00
6,153,710 09/155,189 11/28/00
6,153,712 09/011,129 11/28/00
6,153,713 09/287,035 11/28/00
6,153,714 09/052,079 11/28/00
6,153,718 09/338,508 11/28/00
6,153,724 09/159,305 11/28/00
6,153,727 09/135,725 11/28/00
6,153,730 09/224,480 11/28/00
6,153,731 09/183,024 11/28/00
6,153,739 09/113,536 11/28/00
6,153,740 08/800,291 11/28/00
6,153,745 09/043,514 11/28/00
6,153,749 09/214,439 11/28/00
6,153,751 09/337,910 11/28/00
6,153,758 09/308,420 11/28/00
6,153,759 09/226,142 11/28/00
6,153,760 09/273,176 11/28/00
6,153,765 09/512,659 11/28/00
6,153,766 08/979,444 11/28/00
6,153,769 09/193,935 11/28/00
6,153,784 09/024,457 11/28/00
6,153,785 09/516,613 11/28/00
6,153,791 09/366,279 11/28/00
6,153,795 08/906,622 11/28/00
6,153,799 09/445,186 11/28/00
6,153,800 09/303,680 11/28/00
6,153,802 09/075,486 11/28/00
6,153,806 09/336,845 11/28/00
6,153,820 09/416,814 11/28/00
6,153,840 09/218,457 11/28/00
6,153,843 08/851,694 11/28/00
6,153,848 09/321,590 11/28/00
6,153,853 08/992,574 11/28/00
6,153,855 09/315,166 11/28/00
6,153,857 09/189,594 11/28/00
6,153,859 09/011,109 11/28/00
6,153,871 09/123,160 11/28/00
6,153,873 09/081,989 11/28/00
6,153,874 09/229,586 11/28/00
6,153,877 09/112,015 11/28/00
6,153,883 09/036,396 11/28/00
6,153,886 09/407,610 11/28/00
6,153,897 09/145,287 11/28/00
6,153,899 09/160,232 11/28/00
6,153,919 09/236,619 11/28/00
6,153,925 09/048,550 11/28/00
6,153,934 09/126,577 11/28/00
6,153,937 08/893,261 11/28/00
6,153,940 08/836,804 11/28/00
6,153,941 09/231,630 11/28/00
6,153,943 09/261,341 11/28/00
6,153,948 09/133,334 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 169 |
6,153,952 09/307,795 11/28/00
6,153,953 09/129,701 11/28/00
6,153,958 08/247,566 11/28/00
6,153,959 09/354,438 11/28/00
6,153,962 09/399,279 11/28/00
6,153,984 09/193,050 11/28/00
6,153,999 09/293,402 11/28/00
6,154,009 09/341,685 11/28/00
6,154,033 09/481,588 11/28/00
6,154,041 09/258,066 11/28/00
6,154,050 09/067,320 11/28/00
6,154,071 09/141,720 11/28/00
6,154,074 09/072,024 11/28/00
6,154,082 09/374,379 11/28/00
6,154,099 09/168,292 11/28/00
6,154,104 09/089,918 11/28/00
6,154,106 09/199,831 11/28/00
6,154,108 09/413,179 11/28/00
6,154,110 08/815,843 11/28/00
6,154,135 08/721,122 11/28/00
6,154,149 09/391,256 11/28/00
6,154,154 09/179,548 11/28/00
6,154,160 09/253,085 11/28/00
6,154,162 09/226,455 11/28/00
6,154,182 09/274,983 11/28/00
6,154,184 09/445,561 11/28/00
6,154,187 09/220,692 11/28/00
6,154,196 09/092,899 11/28/00
6,154,199 09/060,796 11/28/00
6,154,217 08/842,593 11/28/00
6,154,221 08/834,496 11/28/00
6,154,231 08/319,711 11/28/00
6,154,240 09/294,774 11/28/00
6,154,241 09/458,075 11/28/00
6,154,247 09/223,195 11/28/00
6,154,249 08/125,756 11/28/00
6,154,259 08/978,655 11/28/00
6,154,265 08/878,113 11/28/00
6,154,266 09/040,745 11/28/00
6,154,269 09/190,454 11/28/00
6,154,276 09/027,764 11/28/00
6,154,279 09/057,706 11/28/00
6,154,284 09/280,989 11/28/00
6,154,285 09/217,558 11/28/00
6,154,288 08/965,864 11/28/00
6,154,289 08/888,325 11/28/00
6,154,298 08/834,362 11/28/00
6,154,300 08/968,944 11/28/00
6,154,302 09/191,534 11/28/00
6,154,309 09/154,445 11/28/00
6,154,314 09/218,524 11/28/00
6,154,330 09/153,138 11/28/00
6,154,335 09/095,258 11/28/00
6,154,337 09/007,063 11/28/00
6,154,338 08/841,237 11/28/00
6,154,340 08/887,795 11/28/00
6,154,341 09/384,805 11/28/00
6,154,345 09/055,125 11/28/00
6,154,346 09/118,183 11/28/00
6,154,347 09/257,184 11/28/00
6,154,348 09/099,529 11/28/00
6,154,349 08/783,464 11/28/00
6,154,351 09/245,916 11/28/00
6,154,359 08/962,394 11/28/00
6,154,367 09/268,808 11/28/00
6,154,387 09/249,477 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 170 |
6,154,391 09/153,074 11/28/00
6,154,396 09/443,283 11/28/00
6,154,402 09/398,201 11/28/00
6,154,404 09/358,138 11/28/00
6,154,407 09/296,396 11/28/00
6,154,413 09/286,201 11/28/00
6,154,420 09/109,640 11/28/00
6,154,429 09/162,436 11/28/00
6,154,431 09/066,191 11/28/00
6,154,432 08/981,951 11/28/00
6,154,433 08/782,292 11/28/00
6,154,434 09/088,714 11/28/00
6,154,435 09/203,809 11/28/00
6,154,436 09/001,663 11/28/00
6,154,437 09/247,085 11/28/00
6,154,440 09/138,341 11/28/00
6,154,446 09/343,408 11/28/00
6,154,455 08/998,171 11/28/00
6,154,457 08/870,808 11/28/00
6,154,466 09/306,063 11/28/00
6,154,470 09/317,527 11/28/00
6,154,476 09/047,386 11/28/00
6,154,477 09/076,110 11/28/00
6,154,479 09/017,038 11/28/00
6,154,481 09/286,741 11/28/00
6,154,487 09/078,580 11/28/00
6,154,492 09/004,414 11/28/00
6,154,495 09/069,851 11/28/00
6,154,501 09/243,910 11/28/00
6,154,506 09/070,931 11/28/00
6,154,520 09/259,460 11/28/00
6,154,536 09/078,239 11/28/00
6,154,539 09/163,959 11/28/00
6,154,541 08/941,350 11/28/00
6,154,545 09/133,289 11/28/00
6,154,554 08/744,615 11/28/00
6,154,556 09/184,241 11/28/00
6,154,561 09/019,279 11/28/00
6,154,562 09/090,788 11/28/00
6,154,578 09/000,656 11/28/00
6,154,583 09/114,937 11/28/00
6,154,587 09/044,187 11/28/00
6,154,604 09/090,147 11/28/00
6,154,606 09/314,935 11/28/00
6,154,609 08/332,058 11/28/00
6,154,618 09/361,191 11/28/00
6,154,620 09/426,344 11/28/00
6,154,622 09/145,259 11/28/00
6,154,628 09/308,750 11/28/00
6,154,631 08/988,203 11/28/00
6,154,635 08/945,097 11/28/00
6,154,642 08/951,702 11/28/00
6,154,649 09/180,723 11/28/00
6,154,665 08/955,916 11/28/00
6,154,670 09/469,671 11/28/00
6,154,682 09/119,643 11/28/00
6,154,685 09/056,877 11/28/00
6,154,712 09/237,167 11/28/00
6,154,720 08/663,345 11/28/00
6,154,726 09/188,660 11/28/00
6,154,737 08/865,181 11/28/00
6,154,754 08/936,886 11/28/00
6,154,757 09/015,660 11/28/00
6,154,771 09/088,513 11/28/00
6,154,772 09/185,956 11/28/00
6,154,795 09/184,059 11/28/00
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 171 |
6,154,797 09/370,978 11/28/00
6,154,804 09/250,232 11/28/00
6,154,848 08/691,576 11/28/00
6,154,854 09/004,671 11/28/00
6,154,863 08/956,810 11/28/00
6,154,864 09/081,133 11/28/00
6,154,865 09/191,777 11/28/00
6,154,867 09/034,330 11/28/00
6,154,870 09/089,874 11/28/00
6,154,872 08/975,343 11/28/00
PATENTS WHICH EXPIRED ON November 23, 2012
DUE TO FAILURE TO PAY MAINTENANCE FEES
Patent Application Issue
Number Number Date
6,820,284 10/661,278 11/23/04
6,820,285 10/450,047 11/23/04
6,820,287 10/142,708 11/23/04
6,820,289 10/150,133 11/23/04
6,820,290 09/881,258 11/23/04
6,820,296 10/354,004 11/23/04
6,820,306 10/683,225 11/23/04
6,820,313 10/072,113 11/23/04
6,820,318 10/162,546 11/23/04
6,820,321 09/961,789 11/23/04
6,820,333 10/395,288 11/23/04
6,820,336 10/034,423 11/23/04
6,820,338 10/388,152 11/23/04
6,820,344 10/258,509 11/23/04
6,820,350 10/148,733 11/23/04
6,820,357 10/726,319 11/23/04
6,820,359 10/275,464 11/23/04
6,820,362 10/755,023 11/23/04
6,820,364 10/629,193 11/23/04
6,820,366 10/449,886 11/23/04
6,820,369 10/124,943 11/23/04
6,820,372 10/093,893 11/23/04
6,820,374 10/276,810 11/23/04
6,820,376 10/702,359 11/23/04
6,820,377 09/958,470 11/23/04
6,820,378 10/009,320 11/23/04
6,820,379 09/762,714 11/23/04
6,820,381 10/773,907 11/23/04
6,820,390 10/272,698 11/23/04
6,820,391 10/339,589 11/23/04
6,820,396 10/182,083 11/23/04
6,820,397 10/206,506 11/23/04
6,820,401 10/282,625 11/23/04
6,820,404 10/383,269 11/23/04
6,820,405 10/195,254 11/23/04
6,820,406 10/144,673 11/23/04
6,820,410 10/440,933 11/23/04
6,820,412 10/670,959 11/23/04
6,820,413 10/235,815 11/23/04
6,820,416 10/060,058 11/23/04
6,820,417 10/306,044 11/23/04
6,820,418 10/311,016 11/23/04
6,820,419 10/182,019 11/23/04
6,820,433 10/674,405 11/23/04
6,820,441 10/657,668 11/23/04
6,820,446 10/031,084 11/23/04
6,820,450 10/153,194 11/23/04
6,820,452 10/414,070 11/23/04
6,820,476 10/751,890 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 172 |
6,820,478 10/110,821 11/23/04
6,820,488 10/459,362 11/23/04
6,820,493 09/413,494 11/23/04
6,820,494 10/617,103 11/23/04
6,820,497 10/037,818 11/23/04
6,820,508 10/315,928 11/23/04
6,820,522 10/347,825 11/23/04
6,820,527 10/313,630 11/23/04
6,820,530 10/163,191 11/23/04
6,820,533 10/122,165 11/23/04
6,820,539 10/601,546 11/23/04
6,820,547 10/695,279 11/23/04
6,820,548 10/076,979 11/23/04
6,820,551 10/649,034 11/23/04
6,820,552 10/068,519 11/23/04
6,820,553 10/640,070 11/23/04
6,820,554 10/471,292 11/23/04
6,820,555 10/169,977 11/23/04
6,820,559 10/425,959 11/23/04
6,820,567 10/070,917 11/23/04
6,820,568 10/018,447 11/23/04
6,820,575 10/676,556 11/23/04
6,820,580 10/772,289 11/23/04
6,820,581 10/324,175 11/23/04
6,820,592 10/307,877 11/23/04
6,820,593 10/169,611 11/23/04
6,820,605 10/764,625 11/23/04
6,820,608 09/756,891 11/23/04
6,820,618 10/233,728 11/23/04
6,820,624 10/180,664 11/23/04
6,820,626 09/856,861 11/23/04
6,820,629 10/283,655 11/23/04
6,820,630 10/409,996 11/23/04
6,820,633 10/291,729 11/23/04
6,820,640 10/190,807 11/23/04
6,820,648 10/390,868 11/23/04
6,820,649 10/353,399 11/23/04
6,820,652 10/328,811 11/23/04
6,820,653 09/547,281 11/23/04
6,820,658 10/406,241 11/23/04
6,820,662 10/026,316 11/23/04
6,820,667 10/303,135 11/23/04
6,820,668 10/614,226 11/23/04
6,820,670 09/655,842 11/23/04
6,820,679 10/110,177 11/23/04
6,820,688 09/841,285 11/23/04
6,820,691 10/054,555 11/23/04
6,820,697 10/031,219 11/23/04
6,820,701 10/285,835 11/23/04
6,820,709 10/148,791 11/23/04
6,820,711 10/085,509 11/23/04
6,820,714 10/082,662 11/23/04
6,820,719 10/057,186 11/23/04
6,820,723 10/289,966 11/23/04
6,820,728 10/407,797 11/23/04
6,820,730 10/248,679 11/23/04
6,820,731 10/094,331 11/23/04
6,820,734 10/089,283 11/23/04
6,820,741 10/339,266 11/23/04
6,820,743 10/293,137 11/23/04
6,820,754 10/263,854 11/23/04
6,820,759 10/130,802 11/23/04
6,820,762 10/036,423 11/23/04
6,820,765 10/337,804 11/23/04
6,820,768 10/347,358 11/23/04
6,820,775 10/244,033 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 173 |
6,820,778 10/415,975 11/23/04
6,820,779 10/440,535 11/23/04
6,820,793 10/209,066 11/23/04
6,820,797 10/352,287 11/23/04
6,820,801 10/240,690 11/23/04
6,820,804 09/730,950 11/23/04
6,820,805 10/297,246 11/23/04
6,820,814 09/936,208 11/23/04
6,820,822 10/207,341 11/23/04
6,820,825 10/677,557 11/23/04
6,820,831 10/096,826 11/23/04
6,820,833 10/070,323 11/23/04
6,820,834 09/673,981 11/23/04
6,820,839 10/221,188 11/23/04
6,820,841 10/126,454 11/23/04
6,820,852 09/963,629 11/23/04
6,820,854 10/239,926 11/23/04
6,820,858 10/168,671 11/23/04
6,820,863 10/421,087 11/23/04
6,820,864 10/327,029 11/23/04
6,820,868 10/067,666 11/23/04
6,820,878 10/222,541 11/23/04
6,820,881 10/224,363 11/23/04
6,820,884 10/228,156 11/23/04
6,820,885 10/076,472 11/23/04
6,820,896 10/104,556 11/23/04
6,820,897 10/151,615 11/23/04
6,820,900 10/089,639 11/23/04
6,820,904 10/378,501 11/23/04
6,820,907 10/211,844 11/23/04
6,820,908 09/560,341 11/23/04
6,820,911 10/402,822 11/23/04
6,820,918 10/724,455 11/23/04
6,820,921 10/234,444 11/23/04
6,820,923 09/631,211 11/23/04
6,820,933 10/297,772 11/23/04
6,820,936 10/609,713 11/23/04
6,820,947 09/475,297 11/23/04
6,820,950 10/227,459 11/23/04
6,820,969 10/395,850 11/23/04
6,820,976 10/394,651 11/23/04
6,820,978 10/644,480 11/23/04
6,820,986 10/158,547 11/23/04
6,820,989 10/109,676 11/23/04
6,820,996 10/430,221 11/23/04
6,821,002 10/425,050 11/23/04
6,821,004 10/308,814 11/23/04
6,821,010 10/295,101 11/23/04
6,821,017 09/923,149 11/23/04
6,821,027 10/284,629 11/23/04
6,821,039 10/285,353 11/23/04
6,821,046 10/070,818 11/23/04
6,821,047 10/333,292 11/23/04
6,821,048 10/122,083 11/23/04
6,821,058 10/603,069 11/23/04
6,821,062 10/438,547 11/23/04
6,821,066 10/420,164 11/23/04
6,821,067 10/141,646 11/23/04
6,821,074 10/067,874 11/23/04
6,821,077 10/015,069 11/23/04
6,821,091 10/161,700 11/23/04
6,821,094 10/303,202 11/23/04
6,821,103 10/265,109 11/23/04
6,821,107 09/699,133 11/23/04
6,821,115 10/165,476 11/23/04
6,821,120 10/153,396 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 174 |
6,821,121 10/224,266 11/23/04
6,821,136 10/420,817 11/23/04
6,821,139 10/665,060 11/23/04
6,821,140 10/305,716 11/23/04
6,821,143 10/446,342 11/23/04
6,821,148 09/963,198 11/23/04
6,821,149 10/302,060 11/23/04
6,821,151 10/392,605 11/23/04
6,821,153 10/155,018 11/23/04
6,821,160 10/404,805 11/23/04
6,821,161 10/691,148 11/23/04
6,821,172 10/655,403 11/23/04
6,821,174 09/960,744 11/23/04
6,821,178 10/258,684 11/23/04
6,821,180 09/888,594 11/23/04
6,821,181 10/312,953 11/23/04
6,821,182 10/195,332 11/23/04
6,821,184 10/634,105 11/23/04
6,821,185 10/445,440 11/23/04
6,821,186 10/436,493 11/23/04
6,821,188 10/425,940 11/23/04
6,821,191 10/279,321 11/23/04
6,821,192 10/665,940 11/23/04
6,821,193 10/108,689 11/23/04
6,821,196 10/348,113 11/23/04
6,821,198 10/166,894 11/23/04
6,821,199 10/635,298 11/23/04
6,821,202 10/319,177 11/23/04
6,821,211 09/952,714 11/23/04
6,821,212 10/218,994 11/23/04
6,821,218 10/689,561 11/23/04
6,821,227 10/410,936 11/23/04
6,821,228 10/445,191 11/23/04
6,821,237 09/937,916 11/23/04
6,821,238 09/725,991 11/23/04
6,821,239 10/290,727 11/23/04
6,821,240 09/926,177 11/23/04
6,821,246 10/323,317 11/23/04
6,821,260 10/289,846 11/23/04
6,821,267 10/092,738 11/23/04
6,821,269 09/290,305 11/23/04
6,821,280 09/631,502 11/23/04
6,821,298 09/552,743 11/23/04
6,821,301 10/070,448 11/23/04
6,821,304 10/173,884 11/23/04
6,821,305 10/405,777 11/23/04
6,821,306 10/098,405 11/23/04
6,821,309 10/081,979 11/23/04
6,821,313 10/243,445 11/23/04
6,821,320 10/295,828 11/23/04
6,821,325 10/104,938 11/23/04
6,821,338 09/739,391 11/23/04
6,821,354 10/382,424 11/23/04
6,821,355 10/761,839 11/23/04
6,821,356 09/959,939 11/23/04
6,821,358 10/092,448 11/23/04
6,821,369 09/974,876 11/23/04
6,821,375 09/896,675 11/23/04
6,821,383 10/058,723 11/23/04
6,821,384 09/958,326 11/23/04
6,821,389 10/761,103 11/23/04
6,821,392 10/370,661 11/23/04
6,821,394 10/311,461 11/23/04
6,821,395 09/624,136 11/23/04
6,821,396 10/272,012 11/23/04
6,821,405 09/979,970 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 175 |
6,821,406 10/067,502 11/23/04
6,821,411 09/931,437 11/23/04
6,821,412 10/070,235 11/23/04
6,821,415 10/075,076 11/23/04
6,821,417 10/191,683 11/23/04
6,821,421 10/196,316 11/23/04
6,821,423 10/250,969 11/23/04
6,821,424 10/132,496 11/23/04
6,821,426 10/336,930 11/23/04
6,821,430 10/245,713 11/23/04
6,821,451 09/816,784 11/23/04
6,821,456 09/792,087 11/23/04
6,821,459 09/684,634 11/23/04
6,821,460 09/906,186 11/23/04
6,821,463 10/190,603 11/23/04
6,821,472 10/120,029 11/23/04
6,821,491 09/450,399 11/23/04
6,821,496 10/073,001 11/23/04
6,821,499 10/269,663 11/23/04
6,821,500 09/781,931 11/23/04
6,821,509 10/269,272 11/23/04
6,821,512 10/169,544 11/23/04
6,821,513 10/019,165 11/23/04
6,821,516 09/304,564 11/23/04
6,821,518 09/285,479 11/23/04
6,821,523 10/176,963 11/23/04
6,821,525 10/713,934 11/23/04
6,821,528 10/610,730 11/23/04
6,821,533 10/368,054 11/23/04
6,821,541 10/161,325 11/23/04
6,821,547 10/117,670 11/23/04
6,821,555 10/036,704 11/23/04
6,821,569 10/252,877 11/23/04
6,821,575 10/020,228 11/23/04
6,821,582 10/205,491 11/23/04
6,821,587 10/277,422 11/23/04
6,821,596 10/464,516 11/23/04
6,821,598 10/034,512 11/23/04
6,821,609 10/153,672 11/23/04
6,821,612 10/111,498 11/23/04
6,821,613 09/673,340 11/23/04
6,821,616 09/457,743 11/23/04
6,821,630 10/352,020 11/23/04
6,821,631 10/283,036 11/23/04
6,821,632 09/834,420 11/23/04
6,821,636 10/093,479 11/23/04
6,821,642 09/963,004 11/23/04
6,821,652 09/588,923 11/23/04
6,821,657 10/182,181 11/23/04
6,821,662 10/129,487 11/23/04
6,821,665 10/171,929 11/23/04
6,821,667 09/968,270 11/23/04
6,821,668 09/921,809 11/23/04
6,821,686 10/107,817 11/23/04
6,821,688 10/162,391 11/23/04
6,821,692 09/230,975 11/23/04
6,821,701 10/113,951 11/23/04
6,821,717 10/210,955 11/23/04
6,821,726 09/601,645 11/23/04
6,821,731 09/997,423 11/23/04
6,821,735 09/509,738 11/23/04
6,821,736 09/689,366 11/23/04
6,821,738 09/910,226 11/23/04
6,821,744 10/284,040 11/23/04
6,821,748 09/086,138 11/23/04
6,821,751 10/041,675 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 176 |
6,821,760 09/408,142 11/23/04
6,821,767 09/497,822 11/23/04
6,821,773 09/688,143 11/23/04
6,821,774 09/596,141 11/23/04
6,821,776 09/610,215 11/23/04
6,821,781 09/936,454 11/23/04
6,821,783 09/744,908 11/23/04
6,821,786 10/423,130 11/23/04
6,821,803 10/642,131 11/23/04
6,821,848 10/286,157 11/23/04
6,821,856 10/188,108 11/23/04
6,821,867 10/421,927 11/23/04
6,821,877 10/747,664 11/23/04
6,821,881 10/199,444 11/23/04
6,821,885 10/032,562 11/23/04
6,821,893 10/105,853 11/23/04
6,821,907 10/092,456 11/23/04
6,821,914 10/009,896 11/23/04
6,821,927 10/130,388 11/23/04
6,821,932 10/321,143 11/23/04
6,821,934 09/719,670 11/23/04
6,821,942 09/903,769 11/23/04
6,821,948 10/031,505 11/23/04
6,821,949 10/287,892 11/23/04
6,821,954 09/875,571 11/23/04
6,821,955 09/827,688 11/23/04
6,821,956 09/839,752 11/23/04
6,821,958 10/157,787 11/23/04
6,821,959 09/979,240 11/23/04
6,821,962 10/359,983 11/23/04
6,821,971 10/245,927 11/23/04
6,821,973 10/611,052 11/23/04
6,821,981 10/131,997 11/23/04
6,821,982 10/395,806 11/23/04
6,821,983 10/630,343 11/23/04
6,821,984 10/308,386 11/23/04
6,821,988 10/305,438 11/23/04
6,821,991 10/440,788 11/23/04
6,821,994 10/428,096 11/23/04
6,821,999 10/271,474 11/23/04
6,822,011 10/282,706 11/23/04
6,822,012 09/693,366 11/23/04
6,822,024 10/310,435 11/23/04
6,822,025 10/065,888 11/23/04
6,822,034 10/017,992 11/23/04
6,822,035 10/078,992 11/23/04
6,822,037 10/235,919 11/23/04
6,822,042 10/279,326 11/23/04
6,822,045 10/168,741 11/23/04
6,822,053 10/202,600 11/23/04
6,822,054 10/631,377 11/23/04
6,822,055 10/031,217 11/23/04
6,822,057 09/734,296 11/23/04
6,822,062 09/984,620 11/23/04
6,822,064 10/697,669 11/23/04
6,822,068 10/335,667 11/23/04
6,822,070 08/813,323 11/23/04
6,822,073 10/027,038 11/23/04
6,822,076 10/064,903 11/23/04
6,822,080 09/571,985 11/23/04
6,822,092 10/275,694 11/23/04
6,822,104 10/220,143 11/23/04
6,822,106 10/700,095 11/23/04
6,822,107 10/643,272 11/23/04
6,822,108 10/494,061 11/23/04
6,822,110 10/701,513 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 177 |
6,822,113 10/431,951 11/23/04
6,822,114 10/266,959 11/23/04
6,822,115 10/372,627 11/23/04
6,822,116 10/165,495 11/23/04
6,822,129 09/601,414 11/23/04
6,822,132 09/951,089 11/23/04
6,822,138 09/706,236 11/23/04
6,822,139 09/578,194 11/23/04
6,822,151 10/325,764 11/23/04
6,822,156 10/208,368 11/23/04
6,822,162 10/704,402 11/23/04
6,822,166 10/160,496 11/23/04
6,822,175 10/177,281 11/23/04
6,822,177 10/655,157 11/23/04
6,822,181 09/891,616 11/23/04
6,822,186 10/439,974 11/23/04
6,822,187 09/786,979 11/23/04
6,822,189 10/090,409 11/23/04
6,822,191 10/378,600 11/23/04
6,822,192 10/827,160 11/23/04
6,822,196 10/209,839 11/23/04
6,822,207 10/413,169 11/23/04
6,822,209 09/990,797 11/23/04
6,822,210 10/252,571 11/23/04
6,822,216 10/041,724 11/23/04
6,822,217 09/926,016 11/23/04
6,822,219 09/629,810 11/23/04
6,822,221 10/058,086 11/23/04
6,822,230 10/328,733 11/23/04
6,822,233 10/346,138 11/23/04
6,822,236 10/803,389 11/23/04
6,822,238 10/223,999 11/23/04
6,822,240 09/752,722 11/23/04
6,822,258 10/377,693 11/23/04
6,822,261 09/978,720 11/23/04
6,822,269 10/303,002 11/23/04
6,822,279 10/077,767 11/23/04
6,822,280 10/286,893 11/23/04
6,822,281 10/395,456 11/23/04
6,822,300 10/293,291 11/23/04
6,822,302 10/303,955 11/23/04
6,822,310 10/424,129 11/23/04
6,822,311 10/413,301 11/23/04
6,822,317 09/698,168 11/23/04
6,822,322 10/625,615 11/23/04
6,822,334 09/756,846 11/23/04
6,822,351 10/655,414 11/23/04
6,822,356 10/371,533 11/23/04
6,822,359 10/715,384 11/23/04
6,822,361 10/673,022 11/23/04
6,822,363 08/952,993 11/23/04
6,822,365 10/373,073 11/23/04
6,822,366 10/098,352 11/23/04
6,822,373 10/308,983 11/23/04
6,822,380 09/975,296 11/23/04
6,822,384 10/387,715 11/23/04
6,822,386 09/260,987 11/23/04
6,822,387 09/640,479 11/23/04
6,822,397 10/429,683 11/23/04
6,822,406 10/209,622 11/23/04
6,822,416 09/807,055 11/23/04
6,822,419 10/126,578 11/23/04
6,822,422 10/373,183 11/23/04
6,822,428 10/613,935 11/23/04
6,822,441 10/834,770 11/23/04
6,822,453 10/402,265 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 178 |
6,822,456 10/206,465 11/23/04
6,822,466 10/644,365 11/23/04
6,822,467 10/313,746 11/23/04
6,822,486 10/635,968 11/23/04
6,822,489 09/841,595 11/23/04
6,822,490 10/609,896 11/23/04
6,822,493 10/370,395 11/23/04
6,822,499 10/303,838 11/23/04
6,822,501 10/695,927 11/23/04
6,822,516 10/402,391 11/23/04
6,822,524 10/067,435 11/23/04
6,822,529 10/749,546 11/23/04
6,822,531 10/210,567 11/23/04
6,822,532 10/207,670 11/23/04
6,822,539 10/300,280 11/23/04
6,822,542 10/200,517 11/23/04
6,822,544 10/403,022 11/23/04
6,822,555 10/229,379 11/23/04
6,822,560 10/378,685 11/23/04
6,822,561 10/149,774 11/23/04
6,822,578 10/095,649 11/23/04
6,822,582 10/374,962 11/23/04
6,822,584 09/859,874 11/23/04
6,822,586 10/099,928 11/23/04
6,822,605 10/221,072 11/23/04
6,822,614 10/336,537 11/23/04
6,822,619 10/312,330 11/23/04
6,822,621 10/370,057 11/23/04
6,822,631 09/869,972 11/23/04
6,822,637 10/265,237 11/23/04
6,822,644 09/559,633 11/23/04
6,822,659 10/150,002 11/23/04
6,822,661 09/915,847 11/23/04
6,822,677 09/573,206 11/23/04
6,822,680 09/263,597 11/23/04
6,822,682 09/629,621 11/23/04
6,822,690 09/811,513 11/23/04
6,822,697 09/627,337 11/23/04
6,822,705 10/276,927 11/23/04
6,822,710 09/657,506 11/23/04
6,822,713 09/722,991 11/23/04
6,822,726 10/353,292 11/23/04
6,822,727 09/986,958 11/23/04
6,822,731 10/464,840 11/23/04
6,822,732 10/703,440 11/23/04
6,822,734 09/807,680 11/23/04
6,822,739 10/441,889 11/23/04
6,822,744 10/144,657 11/23/04
6,822,773 10/236,444 11/23/04
6,822,778 10/356,220 11/23/04
6,822,786 10/015,714 11/23/04
6,822,798 10/215,576 11/23/04
6,822,800 10/456,674 11/23/04
6,822,802 10/331,539 11/23/04
6,822,813 10/700,038 11/23/04
6,822,818 09/919,915 11/23/04
6,822,819 10/675,696 11/23/04
6,822,825 10/034,711 11/23/04
6,822,831 10/074,185 11/23/04
6,822,844 10/323,878 11/23/04
6,822,846 10/377,544 11/23/04
6,822,848 10/817,687 11/23/04
6,822,854 10/197,196 11/23/04
6,822,860 10/323,871 11/23/04
6,822,887 10/406,461 11/23/04
6,822,890 10/410,592 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 179 |
6,822,907 10/366,403 11/23/04
6,822,917 10/437,256 11/23/04
6,822,921 10/421,862 11/23/04
6,822,927 10/629,087 11/23/04
6,822,928 10/404,654 11/23/04
6,822,930 09/892,682 11/23/04
6,822,932 10/385,726 11/23/04
6,822,941 09/641,791 11/23/04
6,822,958 09/669,526 11/23/04
6,822,960 09/452,830 11/23/04
6,822,963 09/529,996 11/23/04
6,822,971 09/322,462 11/23/04
6,822,977 10/165,767 11/23/04
6,822,983 10/090,714 11/23/04
6,822,984 10/143,945 11/23/04
6,823,001 09/583,912 11/23/04
6,823,002 09/737,256 11/23/04
6,823,025 09/933,621 11/23/04
6,823,030 10/244,516 11/23/04
6,823,038 10/092,136 11/23/04
6,823,044 09/990,849 11/23/04
6,823,046 09/973,863 11/23/04
6,823,065 09/702,621 11/23/04
6,823,066 09/347,689 11/23/04
6,823,067 09/913,974 11/23/04
6,823,088 09/972,878 11/23/04
6,823,092 09/718,365 11/23/04
6,823,105 10/050,527 11/23/04
6,823,109 09/794,337 11/23/04
6,823,111 09/915,363 11/23/04
6,823,113 10/242,752 11/23/04
6,823,128 09/404,876 11/23/04
6,823,139 10/241,270 11/23/04
6,823,141 09/749,774 11/23/04
6,823,142 09/594,856 11/23/04
6,823,149 10/373,050 11/23/04
6,823,156 10/388,593 11/23/04
6,823,170 09/616,637 11/23/04
6,823,171 09/803,029 11/23/04
6,823,179 10/092,485 11/23/04
6,823,186 09/752,425 11/23/04
6,823,200 10/045,483 11/23/04
6,823,204 10/221,240 11/23/04
6,823,211 10/149,422 11/23/04
6,823,218 09/904,156 11/23/04
6,823,227 10/292,067 11/23/04
6,823,277 10/671,926 11/23/04
6,823,285 09/212,442 11/23/04
6,823,286 10/297,160 11/23/04
6,823,287 10/320,802 11/23/04
6,823,289 10/257,013 11/23/04
6,823,296 10/024,719 11/23/04
6,823,301 09/380,469 11/23/04
6,823,311 09/778,916 11/23/04
6,823,319 09/586,462 11/23/04
6,823,325 09/721,473 11/23/04
6,823,332 09/746,260 11/23/04
6,823,337 09/749,105 11/23/04
6,823,345 09/850,108 11/23/04
6,823,352 09/952,759 11/23/04
6,823,359 09/717,820 11/23/04
6,823,361 09/757,046 11/23/04
6,823,363 09/427,340 11/23/04
6,823,398 09/539,841 11/23/04
6,823,413 09/875,973 11/23/04
6,823,431 09/862,486 11/23/04
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 180 |
6,823,443 09/846,301 11/23/04
6,823,458 09/442,696 11/23/04
6,823,484 09/983,508 11/23/04
6,823,489 09/840,218 11/23/04
6,823,512 09/484,105 11/23/04
6,823,527 10/281,598 11/23/04
6,823,528 10/329,735 11/23/04
PATENTS WHICH EXPIRED ON November 25, 2012
DUE TO FAILURE TO PAY MAINTENANCE FEES
Patent Application Issue
Number Number Date
7,454,811 11/333,821 11/25/08
7,454,813 10/942,472 11/25/08
7,454,816 11/034,296 11/25/08
7,454,821 10/964,545 11/25/08
7,454,824 11/439,979 11/25/08
7,454,829 11/206,133 11/25/08
7,454,832 11/506,589 11/25/08
7,454,837 11/581,136 11/25/08
7,454,840 10/579,665 11/25/08
7,454,849 11/181,070 11/25/08
7,454,853 11/307,755 11/25/08
7,454,859 11/160,640 11/25/08
7,454,863 12/011,917 11/25/08
7,454,866 11/493,735 11/25/08
7,454,869 11/365,416 11/25/08
7,454,871 10/812,489 11/25/08
7,454,887 11/202,893 11/25/08
7,454,888 11/521,615 11/25/08
7,454,893 11/086,641 11/25/08
7,454,897 11/503,740 11/25/08
7,454,898 11/296,767 11/25/08
7,454,911 11/266,948 11/25/08
7,454,917 10/552,142 11/25/08
7,454,924 11/213,090 11/25/08
7,454,926 11/186,839 11/25/08
7,454,931 10/967,319 11/25/08
7,454,934 11/356,631 11/25/08
7,454,939 11/035,235 11/25/08
7,454,943 10/620,243 11/25/08
7,454,951 11/323,709 11/25/08
7,454,959 10/583,435 11/25/08
7,454,966 10/594,232 11/25/08
7,454,969 11/141,282 11/25/08
7,454,978 11/280,923 11/25/08
7,455,008 10/570,470 11/25/08
7,455,009 11/450,823 11/25/08
7,455,014 11/042,224 11/25/08
7,455,016 11/170,324 11/25/08
7,455,017 10/637,220 11/25/08
7,455,029 10/756,604 11/25/08
7,455,038 11/685,569 11/25/08
7,455,047 11/790,078 11/25/08
7,455,049 11/587,275 11/25/08
7,455,058 11/486,719 11/25/08
7,455,067 11/332,004 11/25/08
7,455,068 10/978,693 11/25/08
7,455,071 10/559,622 11/25/08
7,455,073 11/507,107 11/25/08
7,455,076 11/032,103 11/25/08
7,455,078 11/461,786 11/25/08
7,455,079 11/334,057 11/25/08
7,455,088 10/555,479 11/25/08
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 181 |
7,455,094 11/379,116 11/25/08
7,455,095 11/195,788 11/25/08
7,455,105 11/501,505 11/25/08
7,455,107 10/595,727 11/25/08
7,455,110 11/303,087 11/25/08
7,455,115 11/307,079 11/25/08
7,455,122 11/524,940 11/25/08
7,455,127 11/379,960 11/25/08
7,455,133 11/352,259 11/25/08
7,455,136 11/213,410 11/25/08
7,455,137 11/516,174 11/25/08
7,455,167 11/180,073 11/25/08
7,455,191 11/012,540 11/25/08
7,455,196 11/247,685 11/25/08
7,455,200 10/847,041 11/25/08
7,455,206 11/600,926 11/25/08
7,455,217 11/000,549 11/25/08
7,455,225 11/248,591 11/25/08
7,455,239 10/966,105 11/25/08
7,455,240 11/216,426 11/25/08
7,455,256 11/107,154 11/25/08
7,455,258 11/307,628 11/25/08
7,455,262 11/255,345 11/25/08
7,455,265 11/398,542 11/25/08
7,455,266 11/522,073 11/25/08
7,455,272 11/517,263 11/25/08
7,455,278 11/705,539 11/25/08
7,455,294 11/301,594 11/25/08
7,455,300 11/295,234 11/25/08
7,455,302 10/914,649 11/25/08
7,455,307 11/351,204 11/25/08
7,455,308 11/253,007 11/25/08
7,455,312 11/431,070 11/25/08
7,455,319 10/571,859 11/25/08
7,455,326 11/347,574 11/25/08
7,455,337 11/160,313 11/25/08
7,455,339 11/821,280 11/25/08
7,455,348 11/633,372 11/25/08
7,455,358 11/820,260 11/25/08
7,455,362 11/486,407 11/25/08
7,455,372 11/267,862 11/25/08
7,455,380 11/101,646 11/25/08
7,455,420 11/709,379 11/25/08
7,455,426 11/464,206 11/25/08
7,455,427 11/475,822 11/25/08
7,455,429 10/534,167 11/25/08
7,455,431 11/373,400 11/25/08
7,455,437 11/382,316 11/25/08
7,455,469 11/306,118 11/25/08
7,455,470 11/635,727 11/25/08
7,455,471 11/132,054 11/25/08
7,455,477 10/544,488 11/25/08
7,455,489 11/271,111 11/25/08
7,455,491 11/840,930 11/25/08
7,455,501 11/431,561 11/25/08
7,455,514 11/837,514 11/25/08
7,455,519 11/448,934 11/25/08
7,455,534 11/776,931 11/25/08
7,455,535 10/526,654 11/25/08
7,455,539 11/643,292 11/25/08
7,455,540 11/691,369 11/25/08
7,455,546 11/895,915 11/25/08
7,455,553 11/370,868 11/25/08
7,455,562 10/968,274 11/25/08
7,455,567 11/498,032 11/25/08
7,455,575 11/477,525 11/25/08
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 182 |
7,455,576 11/799,819 11/25/08
7,455,581 11/234,030 11/25/08
7,455,603 11/752,891 11/25/08
7,455,604 11/845,899 11/25/08
7,455,615 11/619,702 11/25/08
7,455,616 11/070,902 11/25/08
7,455,624 11/678,234 11/25/08
7,455,634 11/685,107 11/25/08
7,455,642 11/239,552 11/25/08
7,455,647 10/626,407 11/25/08
7,455,651 11/423,993 11/25/08
7,455,654 10/971,224 11/25/08
7,455,659 10/849,421 11/25/08
7,455,664 11/820,913 11/25/08
7,455,711 11/454,926 11/25/08
7,455,716 11/621,525 11/25/08
7,455,723 11/315,669 11/25/08
7,455,746 10/939,724 11/25/08
7,455,761 10/489,798 11/25/08
7,455,775 11/594,970 11/25/08
7,455,782 11/388,114 11/25/08
7,455,790 11/075,803 11/25/08
7,455,791 11/011,805 11/25/08
7,455,814 10/831,083 11/25/08
7,455,816 11/704,525 11/25/08
7,455,823 11/360,545 11/25/08
7,455,831 10/612,916 11/25/08
7,455,832 10/989,914 11/25/08
7,455,840 10/994,215 11/25/08
7,455,852 10/486,423 11/25/08
7,455,854 10/819,040 11/25/08
7,455,859 11/341,022 11/25/08
7,455,866 10/353,534 11/25/08
7,455,871 11/187,184 11/25/08
7,455,872 11/155,745 11/25/08
7,455,874 10/987,671 11/25/08
7,455,889 10/807,821 11/25/08
7,455,902 11/537,849 11/25/08
7,455,912 11/260,983 11/25/08
7,455,915 11/349,285 11/25/08
7,455,922 11/122,930 11/25/08
7,455,926 10/649,869 11/25/08
7,455,927 10/630,237 11/25/08
7,455,935 10/492,728 11/25/08
7,455,951 11/389,347 11/25/08
7,455,958 11/240,171 11/25/08
7,455,960 11/543,023 11/25/08
7,455,961 11/859,389 11/25/08
7,455,962 10/130,076 11/25/08
7,455,966 10/271,076 11/25/08
7,455,968 10/381,715 11/25/08
7,455,970 10/563,360 11/25/08
7,455,975 11/619,232 11/25/08
7,455,984 10/040,815 11/25/08
7,455,985 11/107,293 11/25/08
7,455,989 10/524,275 11/25/08
7,456,008 10/333,235 11/25/08
7,456,016 11/709,444 11/25/08
7,456,019 11/169,385 11/25/08
7,456,021 10/758,900 11/25/08
7,456,024 10/487,791 11/25/08
7,456,028 10/252,342 11/25/08
7,456,031 10/534,917 11/25/08
7,456,039 11/946,917 11/25/08
7,456,044 11/611,394 11/25/08
7,456,046 11/063,449 11/25/08
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 183 |
7,456,074 11/836,308 11/25/08
7,456,080 11/313,206 11/25/08
7,456,096 11/530,724 11/25/08
7,456,125 11/769,041 11/25/08
7,456,128 11/118,095 11/25/08
7,456,133 11/483,892 11/25/08
7,456,148 10/897,068 11/25/08
7,456,150 09/577,264 11/25/08
7,456,152 10/546,390 11/25/08
7,456,153 10/714,556 11/25/08
7,456,161 10/454,061 11/25/08
7,456,163 11/208,382 11/25/08
7,456,170 11/570,694 11/25/08
7,456,174 11/332,955 11/25/08
7,456,175 11/301,052 11/25/08
7,456,177 10/889,395 11/25/08
7,456,179 10/835,668 11/25/08
7,456,181 10/518,214 11/25/08
7,456,183 10/474,331 11/25/08
7,456,184 10/837,519 11/25/08
7,456,185 11/728,644 11/25/08
7,456,186 11/152,925 11/25/08
7,456,191 11/386,111 11/25/08
7,456,193 11/109,121 11/25/08
7,456,197 10/882,667 11/25/08
7,456,200 11/274,611 11/25/08
7,456,205 10/546,872 11/25/08
7,456,210 11/190,626 11/25/08
7,456,223 10/963,310 11/25/08
7,456,227 11/841,154 11/25/08
7,456,234 10/107,430 11/25/08
7,456,241 11/209,506 11/25/08
7,456,258 11/496,392 11/25/08
7,456,259 11/496,678 11/25/08
7,456,260 10/515,149 11/25/08
7,456,265 11/125,865 11/25/08
7,456,268 11/868,794 11/25/08
7,456,273 11/607,131 11/25/08
7,456,286 10/529,413 11/25/08
7,456,288 10/976,284 11/25/08
7,456,292 11/174,302 11/25/08
7,456,293 11/391,031 11/25/08
7,456,294 10/507,004 11/25/08
7,456,297 11/192,674 11/25/08
7,456,303 11/891,800 11/25/08
7,456,304 11/388,417 11/25/08
7,456,309 11/014,411 11/25/08
7,456,310 11/562,450 11/25/08
7,456,311 11/575,555 11/25/08
7,456,312 10/805,806 11/25/08
7,456,319 11/296,997 11/25/08
7,456,321 10/529,074 11/25/08
7,456,322 10/593,397 11/25/08
7,456,325 10/553,464 11/25/08
7,456,333 11/344,159 11/25/08
7,456,350 11/623,711 11/25/08
7,456,367 11/486,374 11/25/08
7,456,407 10/959,547 11/25/08
7,456,418 11/164,206 11/25/08
7,456,427 10/939,969 11/25/08
7,456,456 11/616,680 11/25/08
7,456,463 11/671,614 11/25/08
7,456,481 11/496,452 11/25/08
7,456,491 11/188,043 11/25/08
7,456,493 11/385,582 11/25/08
7,456,505 11/192,663 11/25/08
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 184 |
7,456,538 10/497,392 11/25/08
7,456,540 11/955,592 11/25/08
7,456,545 10/567,617 11/25/08
7,456,550 11/832,458 11/25/08
7,456,551 11/609,445 11/25/08
7,456,556 10/553,557 11/25/08
7,456,561 11/455,381 11/25/08
7,456,572 10/958,643 11/25/08
7,456,587 11/480,889 11/25/08
7,456,605 11/212,584 11/25/08
7,456,615 11/346,730 11/25/08
7,456,633 11/551,708 11/25/08
7,456,634 11/588,109 11/25/08
7,456,636 11/308,487 11/25/08
7,456,642 11/526,539 11/25/08
7,456,644 11/747,210 11/25/08
7,456,646 11/975,175 11/25/08
7,456,650 11/148,475 11/25/08
7,456,656 11/398,545 11/25/08
7,456,708 11/368,636 11/25/08
7,456,712 11/743,450 11/25/08
7,456,714 11/545,652 11/25/08
7,456,717 11/701,701 11/25/08
7,456,722 11/973,976 11/25/08
7,456,727 11/328,719 11/25/08
7,456,728 11/480,437 11/25/08
7,456,734 10/547,008 11/25/08
7,456,748 11/255,117 11/25/08
7,456,777 11/399,596 11/25/08
7,456,783 11/600,963 11/25/08
7,456,795 11/819,634 11/25/08
7,456,802 11/854,239 11/25/08
7,456,805 10/739,792 11/25/08
7,456,817 11/369,980 11/25/08
7,456,832 07/352,530 11/25/08
7,456,837 11/032,240 11/25/08
7,456,842 10/571,527 11/25/08
7,456,860 10/950,645 11/25/08
7,456,875 10/386,892 11/25/08
7,456,890 10/263,101 11/25/08
7,456,892 10/821,995 11/25/08
7,456,894 11/314,014 11/25/08
7,456,968 10/952,635 11/25/08
7,456,974 10/569,195 11/25/08
7,456,983 10/612,598 11/25/08
7,457,004 10/973,446 11/25/08
7,457,017 10/416,689 11/25/08
7,457,022 11/514,306 11/25/08
7,457,026 11/225,319 11/25/08
7,457,036 11/948,143 11/25/08
7,457,051 11/632,632 11/25/08
7,457,064 11/715,132 11/25/08
7,457,065 10/692,342 11/25/08
7,457,070 11/442,892 11/25/08
7,457,079 10/606,108 11/25/08
7,457,081 11/196,764 11/25/08
7,457,084 11/100,413 11/25/08
7,457,091 11/567,794 11/25/08
7,457,121 11/215,017 11/25/08
7,457,122 11/309,225 11/25/08
7,457,128 11/187,302 11/25/08
7,457,135 11/314,600 11/25/08
7,457,154 11/445,205 11/25/08
7,457,187 11/851,613 11/25/08
7,457,204 11/784,285 11/25/08
7,457,205 11/378,700 11/25/08
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 185 |
7,457,206 11/211,438 11/25/08
7,457,208 10/907,658 11/25/08
7,457,216 11/447,894 11/25/08
7,457,217 10/549,636 11/25/08
7,457,220 10/548,540 11/25/08
7,457,225 10/994,478 11/25/08
7,457,227 10/902,846 11/25/08
7,457,229 10/473,448 11/25/08
7,457,241 10/772,737 11/25/08
7,457,257 11/281,792 11/25/08
7,457,266 10/222,084 11/25/08
7,457,288 10/933,656 11/25/08
7,457,330 11/424,471 11/25/08
7,457,345 10/873,784 11/25/08
7,457,346 11/100,198 11/25/08
7,457,348 11/468,923 11/25/08
7,457,370 11/101,055 11/25/08
7,457,371 11/137,384 11/25/08
7,457,384 11/235,241 11/25/08
7,457,395 10/736,029 11/25/08
7,457,399 10/644,792 11/25/08
7,457,407 10/927,386 11/25/08
7,457,429 10/750,468 11/25/08
7,457,465 10/825,892 11/25/08
7,457,471 10/326,271 11/25/08
7,457,475 10/910,625 11/25/08
7,457,480 10/943,915 11/25/08
7,457,488 11/173,687 11/25/08
7,457,489 11/325,913 11/25/08
7,457,491 11/524,576 11/25/08
7,457,493 11/433,149 11/25/08
7,457,507 10/586,664 11/25/08
7,457,509 10/598,742 11/25/08
7,457,515 10/130,583 11/25/08
7,457,525 10/677,228 11/25/08
7,457,534 11/179,626 11/25/08
7,457,567 11/409,719 11/25/08
7,457,599 11/026,866 11/25/08
7,457,601 10/595,486 11/25/08
7,457,606 11/038,361 11/25/08
7,457,610 10/647,650 11/25/08
7,457,643 11/352,054 11/25/08
7,457,646 10/631,071 11/25/08
7,457,651 10/573,891 11/25/08
7,457,679 10/908,629 11/25/08
7,457,700 11/407,721 11/25/08
7,457,721 11/587,142 11/25/08
7,457,744 10/628,058 11/25/08
7,457,745 10/728,106 11/25/08
7,457,770 11/013,874 11/25/08
7,457,771 11/014,024 11/25/08
7,457,772 11/327,277 11/25/08
7,457,796 10/886,997 11/25/08
7,457,803 08/747,799 11/25/08
7,457,836 11/691,412 11/25/08
7,457,848 10/229,484 11/25/08
7,457,849 10/863,605 11/25/08
7,457,856 11/656,413 11/25/08
7,457,864 10/306,853 11/25/08
7,457,871 10/960,866 11/25/08
7,457,891 11/359,866 11/25/08
7,457,893 10/798,934 11/25/08
7,457,920 12/020,531 11/25/08
7,457,926 11/131,972 11/25/08
7,457,928 11/262,088 11/25/08
7,457,994 11/418,105 11/25/08
7,458,001 11/387,773 11/25/08
7,458,010 11/174,335 11/25/08
7,458,037 11/466,034 11/25/08
7,458,043 11/227,548 11/25/08
7,458,074 09/821,920 11/25/08
7,458,085 11/201,159 11/25/08
| Changes to Implement Micro Entity Status for Paying Patent Fees |
DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Part 1
[Docket No.: PTO-P-2011-0016]
RIN 0651-AC78
Changes to Implement Micro Entity
Status for Paying Patent Fees
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Final rule.
SUMMARY: The United States Patent and Trademark Office (Office) is
revising the rules of practice in patent cases to implement the micro
entity provision of the Leahy-Smith America Invents Act (AIA). Certain
patent fees set or adjusted under the fee setting authority in the AIA
will be reduced by seventy-five percent for micro entities. The Office
is revising the rules of practice to set out the procedures pertaining to
claiming micro entity status, paying patent fees as a micro entity,
notification of loss of micro entity status, and correction of payments
of patent fees paid erroneously in the micro entity amount. In a
separate rulemaking, the Office is in the process of proposing to set
or adjust patent fees under the Leahy-Smith America Invents Act,
including setting fees for micro entities with a seventy-five percent
reduction. The Office has sought to address the concerns of its
stakeholders as expressed in the public comment, and plans to seek
additional public comment on the micro entity provisions after the
Office and the public have gained experience with the micro entity
procedures in operation. The Office will pursue further improvements to
the micro entity procedures in light of the public comment and its
experience with the micro entity procedures.
DATES: Effective March 19, 2013.
FOR FURTHER INFORMATION CONTACT: James Engel, Senior Legal Advisor
((571) 272-7725), Office of Patent Legal Administration, Office of the
Deputy Commissioner for Patent Examination Policy.
SUPPLEMENTARY INFORMATION:
Executive Summary: Purpose: The AIA provides that: (1) The Office
may set or adjust any patent fee, provided that the aggregate revenue
generated by patent fees recovers only the aggregate estimated costs to
the Office for processing, activities, services, and materials relating
to patents (including administrative costs); and (2) most fees set or
adjusted under this authority are reduced by fifty percent for small
entities and by seventy-five percent for micro entities. The AIA also
adds a new section to Title 35 of the United States Code that defines a
"micro entity." The rules of practice currently have provisions
pertaining to small entity status, as the patent laws provided a small
entity discount prior to the Leahy-Smith America Invents Act. This
final rule revises the rules of practice to implement the "micro
entity" provisions added by the Leahy-Smith America Invents Act.
Summary of Major Provisions: The Office is adding a provision to
the rules of practice pertaining to micro entity status. The provision
sets out the requirements to qualify as a micro entity tracking the
statutory requirements for a micro entity set forth in section 10 of
the Leahy-Smith America Invents Act. The provision also sets out
procedures relating to micro entity status that largely track the
regulatory requirements and procedures in 37 CFR 1.27 for small entity
status. These new procedures pertain to claiming micro entity status,
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 204 |
paying patent fees as a micro entity, notifying the Office of loss of
micro entity status, and correcting payments of patent fees paid
erroneously in the micro entity amount. The procedures for claiming
micro entity status require the filing of a certification of
entitlement to micro entity status. The Office is developing forms
(paper and electronic) for use by members of the public to provide a
certification of micro entity status. The procedures for paying fees as
a micro entity provide that a micro entity certification need only be
filed once in an application or patent, but that a fee may be paid in
the micro entity amount only if the applicant or patentee is still
entitled to micro entity status on the date the fee is paid. The
procedures pertaining to notifying the Office of loss of micro entity
status and correcting payments of patent fees paid erroneously in the
micro entity amount track the corresponding small entity provisions for
notifying the Office of loss of small entity status and correcting
payments of patent fees paid erroneously in the small entity amount.
Costs and Benefits: This rulemaking is not economically significant
as that term is defined in Executive Order 12866 (Sept. 30, 1993).
Background: The AIA was enacted into law on September 16, 2011. See
Public Law 112-29, 125 Stat. 283 (2011). Section 10(a) of the AIA
provides that the Office may set or adjust by rule any patent fee
established, authorized, or charged under title 35, United States Code,
provided that aggregate patent fees recover only the aggregate
estimated costs to the Office for processing, activities, services, and
materials relating to patents (including administrative costs). See 125
Stat. at 316. Section 10(b) of the AIA provides that "the fees set or
adjusted under [section 10(a)] for filing, searching, examining,
issuing, appealing, and maintaining patent applications and patents
shall be reduced by 50 percent with respect to the application of such
fees to any small entity that qualifies for reduced fees under [35
U.S.C.] 41(h)(1) * * *, and shall be reduced by 75 percent with respect
to the application of such fees to any micro entity as defined in [35
U.S.C.] 123." See 125 Stat. at 316-17. The patent laws provided in 35
U.S.C. 41(h) for small entities prior to the Leahy-Smith America
Invents Act. Section 10(g) of the AIA adds a new 35 U.S.C. 123 to
define a "micro entity." See 125 Stat. at 318-19.
35 U.S.C. 123(a) provides one basis under which an applicant may
establish micro entity status. 35 U.S.C. 123(d) provides another basis
under which an applicant may establish micro entity status. Each will
be discussed in turn.
35 U.S.C. 123(a) provides that the term "micro entity" means an
applicant who makes a certification that the applicant: (1) Qualifies
as a small entity as defined in 37 CFR 1.27; (2) has not been named as
an inventor on more than four previously filed patent applications,
other than applications filed in another country, provisional
applications under 35 U.S.C. 111(b), or international applications for
which the basic national fee under 35 U.S.C. 41(a) was not paid; (3)
did not, in the calendar year preceding the calendar year in which the
applicable fee is being paid, have a gross income, as defined in
section 61(a) of the Internal Revenue Code of 1986 (26 U.S.C. 61(a)),
exceeding three times the median household income for that preceding
calendar year, as most recently reported by the Bureau of the Census;
and (4) has not assigned, granted, or conveyed, and is not under an
obligation by contract or law to assign, grant, or convey, a license or
other ownership interest in the application concerned to an entity
that, in the calendar year preceding the calendar year in which the
applicable fee is being paid, had a gross income, as defined in section
61(a) of the Internal Revenue Code of 1986, exceeding three times the
median household income for that preceding calendar year, as most
recently reported by the Bureau of the Census. See 125 Stat. at 318. 35
U.S.C. 123(a) provides one basis under which an applicant may establish
micro entity status.
The Office will indicate the income level that is three times the
median household income for the calendar year most recently reported by
the Bureau of the Census (the income threshold set forth in 35 U.S.C.
123(a)(3) and (a)(4)) on its Internet Web site, with its Independent
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 205 |
Inventor resource information, and on the Office's certification of
micro entity status (gross income basis) form (Form PTO/SB/15A). The
Office will also make available resources to micro entities to help
navigate the new micro entity procedures.
35 U.S.C. 123(b) provides that an applicant is not considered to be
named on a previously filed application for purposes of 35 U.S.C.
123(a)(2) if the applicant has assigned, or is under an obligation by
contract or law to assign, all ownership rights in the application as
the result of the applicant's previous employment. See id.
35 U.S.C. 123(c) provides that if an applicant's or entity's gross
income in the preceding calendar year is not in United States dollars,
the average currency exchange rate, as reported by the Internal Revenue
Service, during that calendar year shall be used to determine whether
the applicant's or entity's gross income exceeds the threshold
specified in 35 U.S.C. 123(a)(3) or (4). See 125 Stat. at 319.
35 U.S.C. 123(d) provides that a micro entity shall also include an
applicant who certifies that: (1) The applicant's employer, from which
the applicant obtains the majority of the applicant's income, is an
institution of higher education as defined in section 101(a) of the
Higher Education Act of 1965 (20 U.S.C. 1001(a)); or (2) the applicant
has assigned, granted, conveyed, or is under an obligation by contract
or law, to assign, grant, or convey, a license or other ownership
interest in the particular application to such an institution of higher
education. See id. As explained earlier, 35 U.S.C. 123(a) provides one
basis under which an applicant may establish micro entity status, and
35 U.S.C. 123(d) provides another basis under which an applicant may
establish micro entity status.
35 U.S.C. 123(e) provides that in addition to the limits imposed by
this section, the Director has the discretion to impose income limits,
annual filing limits, or other limits on who may qualify as a micro
entity pursuant to this section if the Director determines that such
additional limits are reasonably necessary to avoid an undue impact on
other patent applicants or owners or are otherwise reasonably necessary
and appropriate. 35 U.S.C. 123(e) also provides that at least three
months before any limits proposed to be implemented pursuant to 35
U.S.C. 123(e) take effect, the Director shall inform the Committee on
the Judiciary of the House of Representatives and the Committee on the
Judiciary of the Senate of any such proposed limits. See id.
The micro entity provisions of 35 U.S.C. 123 are currently in
effect. However, no patent fee is currently eligible for the seventy-
five percent micro entity reduction as no patent fee has yet been set
or adjusted under section 10 of the Leahy-Smith America Invents Act.
The Office is in the process of proposing to set or adjust patent fees
under section 10 of the AIA in a separate rulemaking. See Setting and
Adjusting Patent Fees, 77 FR 55028 (Sept. 6, 2012). The fees set or
adjusted by the Office under section 10 of the AIA for filing,
searching, examining, issuing, appealing, and maintaining a patent
application and patent will be reduced by: (1) Fifty percent for an
applicant or patentee who establishes small (but not micro) entity
status in the patent application or patent; and (2) seventy-five
percent for an applicant or patentee who establishes micro entity
status in the patent application or patent.
The Office plans to rely upon the applicant's certification of
micro entity status (except where it conflicts with the information
contained in the Office's records, such as where Office records
indicate that the applicant is named as an inventor on more than four
previously filed and unassigned nonprovisional patent applications) and
will not require any additional documents from the applicant concerning
the applicant's entitlement to claim micro entity status. This practice
is similar to small entity practice where the Office generally does not
question a claim of entitlement to small entity status. See 37 CFR
1.27(f); see also Manual of Patent Examining Procedure § 509.03
(8th ed. 2001) (Rev. 9, Aug. 2012) (MPEP).
The Office does not plan to provide advisory opinions on whether a
particular entity is entitled to claim micro entity status. See MPEP
§ 509.03. The Office, however, is providing the following
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 206 |
information concerning procedures for micro entity status under 35
U.S.C. 123:
35 U.S.C. 123 uses the term "applicant" throughout, which was
virtually synonymous with "inventor" on September 16, 2011 (the date
of enactment of the AIA as well as the effective date of 35 U.S.C.
123). 35 U.S.C. 118, however, as amended effective on September 16,
2012, by Section 4 of the AIA, now permits an application to be made by
a person to whom the inventor has assigned or is under an obligation to
assign the invention. In addition, a person who otherwise shows
sufficient proprietary interest in the matter may make an application
for patent on behalf of and as agent for the inventor. Thus, 35 U.S.C.
118 now allows a person other than the inventor to file an application
as the applicant if the inventor has assigned or is under an obligation
to assign the invention to the person or if the person shows sufficient
proprietary interest in the matter. Note also that as of March 16,
2013, 35 U.S.C. 100 will be amended to provide new and specific
definitions of the terms "inventor," "joint inventor," and
"coinventor."
35 U.S.C. 123 does not explicitly preclude an assignee-applicant
under 35 U.S.C. 118 from claiming micro entity status under 35 U.S.C.
123(a) or (d), although some provisions of 35 U.S.C. 123(a) and (d)
refer to an applicant who is a natural person inventor rather than a
juristic entity. See 35 U.S.C. 123(a)(2) (provides that a micro entity
applicant under 35 U.S.C. 123(a) must not have "been named as an
inventor on more than 4 previously filed patent applications") and
123(d)(1) (provides that the term micro entity includes an applicant
who certifies that "the applicant's employer, from which the applicant
obtains the majority of the applicant's income, is an institution of
higher education" as defined by section 101(a) of the Higher Education
Act of 1965). In addition, 35 U.S.C. 123(a), (b) and (d) specifically
refer to a situation in which the applicant has assigned rights in the
invention to an assignee. See 35 U.S.C. 123(a)(4) (provides that a
micro entity applicant under 35 U.S.C. 123(a) must not have "assigned,
granted, or conveyed, and is not under an obligation by contract or law
to assign, grant, or convey, a license or other ownership interest in
the application concerned to an entity" exceeding a specified gross
income); 35 U.S.C. 123(b) (provides that an applicant is not considered
to be named on a previously filed application for purposes of 35 U.S.C.
123(a)(2) if "the applicant has assigned, or is under an obligation by
contract or law to assign, all ownership rights in the application as
the result of the applicant's previous employment"); and 35 U.S.C.
123(d)(2) (provides that the term micro entity includes an "applicant
[who] has assigned, granted, conveyed, or is under an obligation by
contract or law, to assign, grant, or convey, a license or other
ownership interest in the particular applications" to an institution
of higher education as defined by section 101(a) of the Higher
Education Act of 1965). Finally, the legislative history of 35 U.S.C.
123 includes a reference to micro entities as inventors and not the
assignees of inventors. See H.R. Rep 112-98 at 50 (2011) (describing
micro entities as "a group of inventors" and "truly independent
inventors"). Nevertheless, 35 U.S.C. 123 does not explicitly preclude
an assignee-applicant under 35 U.S.C. 118 from claiming micro entity
status for an application under 35 U.S.C. 123(a) or 123(d), provided
there is compliance with the applicable micro entity criteria. Each
applicant must qualify for micro entity status, and any other party
holding rights in the application must qualify for small entity status.
See 37 CFR 1.29 (h). Note that a party who qualifies for micro entity
status necessarily qualifies for small entity status, as under 37 CFR
1.29 a micro entity must first qualify as a small entity under 37 CFR 1.27.
An "institution of higher education,"as that term is used in 35
U.S.C. 123(d), is defined in the Higher Education Act of 1965 (20
U.S.C. 1001(a)). Section 101(a) of the Higher Education Act of 1965 (20
U.S.C. 1001) provides that: "For purposes of this chapter, other than
subchapter IV, the term `institution of higher education' means an
educational institution in any State that-(1) Admits as regular
students only persons having a certificate of graduation from a school
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 207 |
providing secondary education, or the recognized equivalent of such a
certificate, or persons who meet the requirements of section 1091(d)(3)
of this title; (2) is legally authorized within such State to provide a
program of education beyond secondary education; (3) provides an
educational program for which the institution awards a bachelor's
degree or provides not less than a 2-year program that is acceptable
for full credit toward such a degree, or awards a degree that is
acceptable for admission to a graduate or professional degree program,
subject to review and approval by the Secretary; (4) is a public or
other nonprofit institution; and (5) is accredited by a nationally
recognized accrediting agency or association, or if not so accredited,
is an institution that has been granted pre-accreditation status by
such an agency or association that has been recognized by the Secretary
for the granting of pre-accreditation status, and the Secretary has
determined that there is satisfactory assurance that the institution
will meet the accreditation standards of such an agency or association
within a reasonable time." Section 103 of the Higher Education Act of
1965 (20 U.S.C. 1003) provides "the term `State' includes, in addition
to the several States of the United States, the Commonwealth of Puerto
Rico, the District of Columbia, Guam, American Samoa, the United States
Virgin Islands, the Commonwealth of the Northern Mariana Islands, and
the Freely Associated States" and that the Freely Associated States
means the "Republic of the Marshall Islands, the Federated States of
Micronesia, and the Republic of Palau."
The Office is setting out in the rules of practice the requirements
for micro entity status and procedures for claiming micro entity
status, paying patent fees as a micro entity, notifying the Office of
loss of micro entity status, and correcting payments of patent fees
paid erroneously in the micro entity amount. The Office is also
developing forms for use by members of the public to provide a
certification of micro entity status. The procedures track the
corresponding provisions in 37 CFR 1.27 and 1.28 for small entities,
except where the small entity procedure is not appropriate for micro
entity status under the provisions of 35 U.S.C. 123. For example, 35
U.S.C. 123 requires a certification as a condition for an applicant to
be considered a micro entity. Thus, the process in 37 CFR 1.27(c)(3)
for establishing small entity status by payment of certain fees in the
small entity amount cannot be made applicable to establishing micro
entity status, and the process in 37 CFR 1.28(a) for a refund based
upon subsequent establishment of small entity status is not applicable
where there is subsequent establishment of micro entity status. In
addition, 35 U.S.C. 123(a)(3) and (a)(4) require that the income level
be met for the calendar year preceding the calendar year in which the
applicable fee is paid. Thus, the provision in 37 CFR 1.27(g)(1) that
the applicant need only determine continued eligibility for small
entity status for issue and maintenance fee payments, but can pay
intervening fees at small entity rate without determining whether still
entitled to small entity status, cannot be made applicable to payment
of patent fees as a micro entity.
Discussion of Specific Rules
The following is a discussion of the amendments to Title 37 of the
Code of Federal Regulations, Part 1.
Section 1.29: Section 1.29 is added to implement procedures for
claiming micro entity status.
Since 35 U.S.C. 123(a) through (d) specify the requirements to
qualify as a micro entity, the provisions in §§ 1.29(a) through
(d) generally track the provisions of 35 U.S.C. 123(a) through (d).
Section 1.29(a) implements the provisions of 35 U.S.C. 123(a), and
includes reference to inventors or joint inventors where appropriate.
Section 1.29(a) provides that an applicant claiming micro entity status
under 35 U.S.C. 123(a) must certify that: (1) The applicant qualifies
as a small entity as defined in § 1.27; (2) neither the applicant
nor the inventor nor a joint inventor has been named as the inventor or
a joint inventor (see 35 U.S.C. 100) on more than four previously filed
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 208 |
patent applications, other than applications filed in another country,
provisional applications under 35 U.S.C. 111(b), or international
applications for which the basic national fee under 35 U.S.C. 41(a) was
not paid; (3) neither the applicant nor the inventor nor a joint
inventor, in the calendar year preceding the calendar year in which the
applicable fee is being paid, had a gross income, as defined in section
61(a) of the Internal Revenue Code of 1986 (26 U.S.C. 61(a)), exceeding
three times the median household income for that preceding calendar
year, as most recently reported by the Bureau of the Census; and (4)
neither the applicant nor the inventor nor a joint inventor has
assigned, granted, or conveyed, nor is under an obligation by contract
or law to assign, grant, or convey, a license or other ownership
interest in the application concerned to an entity that, in the
calendar year preceding the calendar year in which the applicable fee
is being paid, had a gross income, as defined in section 61(a) of the
Internal Revenue Code of 1986, exceeding three times the median
household income for that preceding calendar year, as most recently
reported by the Bureau of the Census. See also § 1.29(h) (each
applicant must qualify for micro entity status, and each other party
holding rights in the invention must qualify for small entity status).
Section 61(a) of the Internal Revenue Code of 1986 (26 U.S.C.
61(a)) provides that: "[e]xcept as otherwise provided in this
subtitle, gross income means all income from whatever source derived,
including (but not limited to) the following items: (1) Compensation
for services, including fees, commissions, fringe benefits, and similar
items; (2) Gross income derived from business; (3) Gains derived from
dealings in property; (4) Interest; (5) Rents; (6) Royalties; (7)
Dividends; (8) Alimony and separate maintenance payments; (9)
Annuities; (10) Income from life insurance and endowment contracts;
(11) Pensions; (12) Income from discharge of indebtedness; (13)
Distributive share of partnership gross income; (14) Income in respect
of a decedent; and (15) Income from an interest in an estate or
trust." The median household income for calendar year 2011 (the year
most recently reported by the Bureau of the Census) was $50,054. See
Income, Poverty, and Health Insurance Coverage in the United States in
2011 at pages 5 and 31 (Table A-1) (Sept. 2012). Thus, the income level
specified in §§ 1.29(a)(3) and (a)(4) (three times the median
household income) is $150,162 for calendar year 2011 (the year most
recently reported by the Bureau of the Census).
If an application names more than one applicant or inventor, each
applicant and each inventor must meet the requirements of § 1.29(a)
for the applicants to file a micro entity certification under
§ 1.29(a) in the application. It would not be appropriate to file a micro
entity certification under § 1.29(a) for the application if there were
more than one applicant or inventor and not all of the applicants and
inventors qualified as micro entities under 35 U.S.C. 123(a): e.g., (1) an
applicant or inventor exceeded the gross income levels; (2) an applicant or
inventor had more than four other nonprovisional applications; or (3) an
applicant or inventor had assigned, granted, or conveyed the application or
was under an obligation to do so, to an entity that exceeds the gross
income levels. Additionally, the income level requirement in 35 U.S.C.
123(a)(3) applies to each applicant's and inventor's income separately
(i.e., the combined gross income of all of the applicants and inventors
need not be below the income level in 35 U.S.C. 123(a)(3)). Further, the
assignment requirement in § 1.29(a)(4) applies to each applicant
and inventor (i.e., if an applicant or inventor assigns or is obligated
to assign the invention to more than one assignee (e.g., half interest
in the invention to two assignees), each of the assignees must meet the
income limit specified in § 1.29(a)(4)). Note also that in this
context an inventor ordinarily should qualify as a small entity under
§§ 1.29(a)(1) and 1.27(a)(1). Under § 1.27(a)(1), an inventor generally is
a small entity and retains such status even if the inventor assigns some
rights to another small entity. Similarly, to obtain micro entity status,
§ 1.29(h) requires that any non-applicant assignee be a small entity.
Section 1.29(b) implements the provisions of 35 U.S.C. 123(b).
Section 1.29(b) provides that an applicant, inventor, or joint inventor
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 209 |
is not considered to be named on a previously filed application for
purposes of § 1.29(a)(2) if the applicant, inventor, or joint
inventor has assigned, or is under an obligation by contract or law to
assign, all ownership rights in the application as the result of the
applicant's, inventor's, or joint inventors previous employment.
Section 1.29(c) implements the provisions of 35 U.S.C. 123(c).
Section 1.29(c) provides that if an applicant's, inventor's, joint
inventor's, or entity's gross income in the preceding calendar year is
not in United States dollars, the average currency exchange rate, as
reported by the Internal Revenue Service, during that calendar year
shall be used to determine whether the applicant's, inventor's, joint
inventor's, or entity's gross income exceeds the threshold specified in
§ 1.29(a)(3) or (a)(4). The Internal Revenue Service reports the
average currency exchange rate (Yearly Average Currency Exchange Rates)
on its Internet Web site (http://www.irs.gov/businesses/small/
international/article/0,,id=206089,00.html).
Section 1.29(d) implements the provisions of 35 U.S.C. 123(d).
Section 1.29(d) provides that an applicant claiming micro entity status
under 35 U.S.C. 123(d) must certify that: (1) The applicant qualifies
as a small entity as defined in § 1.27; and (2)(i) the applicant's
employer, from which the applicant obtains the majority of the
applicant's income, is an institution of higher education as defined in
section 101(a) of the Higher Education Act of 1965 (20 U.S.C. 1001(a));
or (ii) the applicant has assigned, granted, conveyed, or is under an
obligation by contract or law, to assign, grant, or convey, a license
or other ownership interest in the particular application to such an
institution of higher education. To the extent that 35 U.S.C. 123(d)
(unlike 35 U.S.C. 123(a)) does not expressly require that an applicant
qualify as a small entity under § 1.27, the Office is invoking its
authority under 35 U.S.C. 123(e) to expressly require that a party
claiming micro entity status via 35 U.S.C. 123(d) qualify as a small
entity under § 1.27. The legislative history of 35 U.S.C. 123
refers to micro entities as a subset of small entities, namely, "truly
independent inventors." See H.R. Rep 112-98 at 50 ("W[t]he Committee
was made aware, however, that there is likely a benefit to describing--
and then accommodating--a group of inventors who are even smaller [than
small entities], in order to ensure that the USPTO can tailor its
requirements, and its assistance, to the people with very little
capital, and just a few inventions, as they are starting out. This
section of the Act defines this even smaller group--the micro-entity--
that includes only truly independent inventors"). Thus, permitting an
applicant who does not qualify as a small entity to take advantage of
the benefits of micro entity status via 35 U.S.C. 123(d) would be
inconsistent with the purposes of micro entity provisions of 35 U.S.C.
123. The statute and its legislative history do not, for example,
contemplate a for-profit, large entity applicant becoming a "micro
entity" (and thus obtaining a 75 percent discount) merely by licensing
or assigning some interest (even merely a nominal or miniscule
interest) to an institution of higher education. Accordingly, the
Office has determined that requiring all micro entities to qualify as
small entities is reasonably necessary and appropriate to ensure that
applicants who do not qualify as a small entity do not inappropriately
attempt to take advantage of micro entity status. See also § 1.29(h)
(each applicant must qualify for micro entity status, and each
other party holding rights in the invention must qualify for small
entity status).
Section 1.29(e) provides that micro entity status must be
established in an application in by filing a certification in writing
that complies with either § 1.29(a) or § 1.29(d) and that is
signed in compliance with § 1.33(b). Section 1.29(e) also contains
provisions for a micro entity that correspond to the provisions of
§ 1.27(c)(4) for a small entity. Section 1.29(e) provides that: (1)
Status as a micro entity must be specifically established by an
assertion in each related, continuing, and reissue application in which
status is appropriate and desired; (2) status as a small or micro
entity in one application or patent does not affect the status of any
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 210 |
other application or patent, regardless of the relationship of the
applications or patents; and (3) the refiling of an application under
§ 1.53 as a continuation, divisional, or continuation-in-part
application (including a continued prosecution application under
§ 1.53(d)), or the filing of a reissue application, requires a new
certification of entitlement to micro entity status for the continuing
or reissue application.
Section 1.29(f) contains provisions for a micro entity that
correspond to the provisions of § 1.27(d) for a small entity.
Section 1.29(f) provides that a fee may be paid in the micro entity
amount only if it is submitted with, or subsequent to, the submission
of a certification of entitlement to micro entity status.
Section 1.29(g) contains provisions for a micro entity that
correspond to the provisions of § 1.27(e) for a small entity.
Section 1.29(g) provides that a certification of entitlement to micro
entity status need only be filed once in an application or patent, and
that micro entity status, once established, remains in effect until
changed pursuant to § 1.29(i). However, a fee may be paid in the
micro entity amount only if status as a micro entity as defined in
§ 1.29(a) or (d) is appropriate (which requires that status as a
small entity is also appropriate) on the date the fee is being paid.
Thus, while an applicant is not required to provide a certification of
entitlement to micro entity status with each fee payment once micro
entity status has been established in an application, the applicant
must still be entitled to micro entity status to pay a fee in the micro
entity amount at the time of all payments of fees in the micro entity
amount.
For micro entity status under 35 U.S.C. 123(a), the applicant must
determine that the applicant and each inventor or joint inventor still
meet the applicable conditions of 35 U.S.C. 123(a) and § 1.29(a) to
claim micro entity status. For example, the applicant must determine
that neither the applicant nor inventor nor joint inventor has had a
change in gross income that exceeds the gross income threshold in 35
U.S.C. 123(a)(3) (a new determination must be made each year because
gross income may change from year to year, and micro entity status is
based upon gross income in the calendar year preceding the calendar
year in which the applicable fee is being paid). In addition, the
applicant must determine that neither the applicant nor inventor nor
joint inventor has made, or is obligated by contract or law to make, an
assignment, grant, or conveyance to an entity not meeting the gross
income threshold in 35 U.S.C. 123(a)(4), and that no new inventor or
joint inventor has been named in the application who does not meet the
conditions specified in 35 U.S.C. 123(a) and § 1.29(a)). For micro
entity status under 35 U.S.C. 123(d), the applicant must determine that
each applicant and inventor still complies with 35 U.S.C. 123(d) and
§ 1.29(d) (e.g., still obtains the majority of his or her income
from an institution of higher education as defined in section 101(a) of
the Higher Education Act of 1965 (20 U.S.C. 1001(a)). Section 1.29(g)
also provides that where an assignment of rights or an obligation to
assign rights to other parties who are micro entities occurs subsequent
to the filing of a certification of entitlement to micro entity status,
a second certification of entitlement to micro entity status is not
required.
Section 1.29(h) contains provisions for a micro entity that
correspond to the provisions of § 1.27(f) for a small entity.
Section 1.29(h) provides that prior to submitting a certification of
entitlement to micro entity status in an application, including a
related, continuing, or reissue application, a determination of such
entitlement should be made pursuant to the requirements of §
1.29(a) or 1.29(d). Section 1.29(h) also indicates that each applicant
must qualify for micro entity status under § 1.29(a) or 1.29(d),
and that any other party holding rights in the application must qualify
for small entity status under § 1.27. As discussed previously, a
party who qualifies for micro entity status necessarily qualifies for
small entity status, as under § 1.29(a)(1) and (d)(1) a micro
entity must first qualify as a small entity under § 1.27. Section
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 211 |
1.29(h) also indicates that the Office will generally not question
certification of entitlement to micro entity status that is made in
accordance with the requirements of § 1.29.
Section 1.29(i) contains provisions for a micro entity that
correspond to the provisions of § 1.27(g)(2) for a small entity.
Section 1.29(i) provides that notification of a loss of entitlement to
micro entity status must be filed in the application or patent prior to
paying, or at the time of paying, any fee after the date on which
status as a micro entity as defined in § 1.29(a) or 1.29(d) is no
longer appropriate. The notification that micro entity status is no
longer appropriate must be signed by a party identified in § 1.33(b).
Payment of a fee in other than the micro entity amount is not
sufficient notification that micro entity status is no longer
appropriate.
Section 1.29(i) further provides that a notification that micro
entity status is no longer appropriate will not be treated as a
notification that small entity status is also no longer appropriate
unless it also contains a notification of loss of entitlement to small
entity status under § 1.27(f)(2). Thus, an applicant or patentee
who files a notification that micro entity status is no longer
appropriate will be treated as a small entity by default unless the
notification also contains a notification of loss of entitlement to
small entity status under § 1.27(f)(2).
Section 1.29 finally provides that once a notification of a loss of
entitlement to micro entity status is filed in the application or
patent, a new certification of entitlement to micro entity status is
required to again obtain micro entity status.
Section 1.29(j) contains provisions for a micro entity that
correspond to the provisions of § 1.27(h) for a small entity.
Section 1.29(j) provides that any attempt to fraudulently establish
status as a micro entity, or pay fees as a micro entity, shall be
considered as a fraud practiced or attempted on the Office, and that
establishing status as a micro entity, or paying fees as a micro
entity, improperly, and with intent to deceive, shall be considered as
a fraud practiced or attempted on the Office.
Section 1.29(k) contains provisions for a micro entity that
correspond to the provisions of § 1.28(c) for a small entity.
Section 1.28(c) permits an applicant or patentee to correct the
erroneous payment of a patent fee in the small entity amount if status
as a small entity was established in good faith, and fees as a small
entity were paid in good faith. See DH Tech. Inc. v. Synergystex Int'l
Inc., 154 F.3d 1333 (Fed. Cir. 1998).
Section 1.29(k) provides that if: (i) An applicant or patentee
establishes micro entity status in an application or patent in good faith;
(ii) the applicant or patentee pays fees as a micro entity in the
application or patent in good faith; and (iii) applicant or patentee later
discovers that such micro entity status either was established in error, or
that the Office was not notified of a loss of entitlement to micro entity
status as required by § 1.29(i) through error, the error will be excused
upon compliance with the separate submission and itemization requirements
of § 1.29(k)(1) and the deficiency payment requirement of § 1.29(k)(2).
Section 1.29(k)(1) provides that any paper submitted under § 1.29(k)
must be limited to the deficiency payment (all fees paid in
error) required for a single application or patent. Section 1.29(k)(1)
provides that where more than one application or patent is involved,
separate submissions of deficiency payments (e.g., checks) and
itemizations are required for each application or patent. Section
1.29(k)(1) also provides that the paper must contain an itemization of
the total deficiency payment and include the following information: (1)
Each particular type of fee that was erroneously paid as a micro
entity, (e.g., basic statutory filing fee, two-month extension of time
fee) along with the current fee amount for a small or non-small entity;
(2) the micro entity fee actually paid, and the date on which it was
paid; (3) the deficiency owed amount (for each fee erroneously paid);
and (4) the total deficiency payment owed, which is the sum or total of
the individual deficiency owed amounts as set forth in § 1.29(k)(2).
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 212 |
Section 1.29(k)(2) provides that the deficiency owed, resulting
from the previous erroneous payment of micro entity fees, must be paid.
The deficiency owed for each previous fee erroneously paid as a micro
entity is the difference between the current fee amount for a small
entity or non-small entity, as applicable, on the date the deficiency
is paid in full and the amount of the previous erroneous micro entity
fee payment. The total deficiency payment owed is the sum of the
individual deficiency owed amounts for each fee amount previously and
erroneously paid as a micro entity. This corresponds to the procedure
for fee deficiency payments based upon the previous erroneous payment
of patent fees in the small entity amount. See § 1.28(c)(2)(i)
("[t]he deficiency owed for each previous fee erroneously paid as a
small entity is the difference between the current full fee amount (for
non-small entity) on the date the deficiency is paid in full and the
amount of the previous erroneous (small entity) fee payment").
Section 1.29(k)(3) provides that if the requirements of §§
1.29(k)(1) and (k)(2) are not complied with, such failure will either
be treated at the option of the Office as an authorization for the
Office to process the deficiency payment and charge the processing fee
set forth in § 1.17(i), or result in a requirement for compliance
within a one-month non-extendable time period under § 1.136(a) to
avoid the return of the fee deficiency payment.
Section 1.29(k)(4) provides that any deficiency payment (based on a
previous erroneous payment of a micro entity fee) submitted under
§ 1.29(k) will be treated as a notification of a loss of entitlement to
micro entity status under § 1.29(i).
Comments and Responses to Comments: The Office published a notice
on May 30, 2012, proposing to change the rules of practice to implement
the micro entity provisions of the AIA. See Changes to Implement Micro
Entity Status for Paying Patent Fees, 77 FR 31806 (May 30, 2012). The
Office received twenty-seven written comments (from intellectual
property organizations, industry, law firms, individual patent
practitioners, and the general public) in response to this notice.
There were some comments received that related to practice before the
agency but not related to the proposed changes to the rules of practice
to implement the micro entity provisions of the AIA, and these comments
have been forwarded to the Office of Innovation Development for further
consideration. The Office is always interested to hear feedback from
the public concerning ways in which it can assist small and independent
inventors. The comments germane to the proposed changes to the rules of
practice to implement the micro entity provisions of the AIA and the
Office's responses to the comments follow:
Comment 1: One comment stated that there are several instances in
35 U.S.C. 123 and proposed § 1.29 where the term "applicant" is
inapplicable to an organization and must really be referring to the
inventor(s) (e.g., a certification that "applicant" has not been
named as an "inventor" in more than four previously filed
applications, references to applicant's previous employment or
employer). One comment indicated that the term "applicant" should be
used in an interchangeable manner so as to mean either the inventor(s)
or a company to which the patent application is assigned (i.e., the
rules should refer to "applicant or inventor") in view of the AIA's
change to 35 U.S.C. 118. That comment further indicated, however, that
the ability to vary from the statute "may be limited." One comment
similarly indicated that the final rules should replace all instances
of "applicant" and "applicant's" with "inventor" and
"inventor's" in § 1.29(a) (second instance), (b), (c), (d)(1),
(d)(2)(i), and (d)(2)(ii) in view of the AIA's change to 35 U.S.C. 118.
One comment stated that in the case of university inventions, the
university typically is the applicant and this creates anomalies in
proposed § 1.29(d), since the institution (university) logically
cannot make the certifications required under § 1.29(d)(2)(i) and
(d)(2)(ii) (that the employer from which the university obtains the
majority of its income is an institution of higher education as defined
by section 101(a) of the Higher Education Act of 1965, or that the
university itself has assigned, granted, conveyed, or is under an
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 213 |
obligation by contract or law, to assign, grant, or convey, a license
or other ownership interest in the particular application).
Response: The Office specifically invited public comment in the
notice of proposed rulemaking on the issue of whether the term
"inventor" should be used in place of "applicant" at any instance
in the proposed micro entity rules. See Changes to Implement Micro
Entity Status for Paying Patent Fees, 77 FR at 31808. The Office agrees
that some, though not all, provisions of 35 U.S.C. 123 refer to a
situation where an inventor is the applicant. The micro entity
provisions of 35 U.S.C. 123 were enacted as part of the AIA, which also
revised the patent laws to provide a specific definition of the term
"inventor" and to change who may be the applicant for a patent. See
125 Stat. at 285 (defining "inventor") and 293-97 (changing the
patent laws to distinguish between who may apply for a patent as the
applicant and who must be named as the inventor); see also 35 U.S.C.
100; 35 U.S.C. 118. The Office does not consider it appropriate either
to amend the language of 35 U.S.C. 123 as incorporated into the
corresponding provisions of § 1.29 or to somehow view the terms
"applicant" and "inventor" as interchangeable in all instances
under 35 U.S.C. 123. See Brown v. Gardner, 513 U.S. 115, 118 (1994)
(presumption that a given term is used to mean the same thing
throughout a statute). As discussed previously, while some of the
provisions in 35 U.S.C. 123(a) and (d) refer to an inventor-applicant,
35 U.S.C. 123 does not explicitly preclude an assignee-applicant under
35 U.S.C. 118 from claiming micro entity status under 35 U.S.C. 123(a)
or (d), provided there is compliance with the applicable micro entity
criteria by each applicant. However, each applicant must qualify for
micro entity status, and any other party holding rights in the
application must qualify for small entity status. See 37 CFR 1.29(h).
Comment 2: One comment stated that it is possible that the
legislative intent of 35 U.S.C. 123(a)(2) was that an applicant should
satisfy this criterion so long as the applicant has fewer than four
previously filed applications in which micro entity fees were paid. One
comment stated that the four application limit under 35 U.S.C.
123(a)(2) should apply only to applications filed within the past
twenty years or so. One comment stated that it would make sense for the
term "inventor" in § 1.29(a)(2) to refer to an applicant who has
had the opportunity to claim micro entity status in four previously
filed patent applications. One comment indicated that § 1.29(a)(2)
should be amended to provide that if an application is entitled to
micro entity status, then continuation and divisional applications of
that parent application should normally be entitled to micro entity
status without counting the parent application or any parallel filed
continuing or divisional patent applications in the same patent family
toward the four application limit.
Response: Section 1.29(a)(2) tracks the provisions of 35 U.S.C.
123(a)(2) with the clarification to reference non-applicant inventors
and joint inventors. 35 U.S.C. 123(a)(2) provides a certification that
the applicant, inter alia, "has not been named as an inventor on more
than 4 previously filed patent applications, other than applications
filed in another country, provisional applications under 35 U.S.C.
111(b), or international applications * * * for which the basic
national fee under 35 U.S.C. 41(a) was not paid." This provision
refers to when an inventor-applicant has been named as an inventor in a
previous application, including as one in a group of joint inventors.
See 35 U.S.C. 100. An applicant that is not an inventor would plainly
not violate this criteria. Moreover, this provision has been clarified
to refer to an inventor or joint inventor who is not the applicant. 35
U.S.C. 123(a)(2) by its express terms does not, however, provide for
exceptions to this four-application limit suggested by the comments. In
addition, while 35 U.S.C. 123(e) authorizes the Office to place
additional limits on who may qualify as a micro entity under 35 U.S.C.
123, it does not authorize the Office to remove limitations contained in
35 U.S.C. 123.
Comment 3: One comment suggested expanding the scope of the § 1.29(b)
exception to applications counted toward the four application
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 214 |
limit in § 1.29(a)(2) by including applications assigned to the
inventor's current employer when the invention is outside the current
employer's scope of employment with the inventor.
Response: Section 1.29(b) tracks the provisions of 35 U.S.C. 123(b)
with the clarification to reference non-applicant inventors and joint
inventors. 35 U.S.C. 123(b) provides that an applicant is not
considered to be named on a previously filed application for purposes
of 35 U.S.C. 123(a)(2) if the applicant has assigned, or is under an
obligation by contract or law to assign, all ownership rights in the
application "as the result of applicant's previous employment." Thus,
the exception in 35 U.S.C. 123(b) by its express terms does not apply
to applications assigned to a current employer. In addition, as
discussed previously, while 35 U.S.C. 123(e) authorizes the Office to
place additional limits on who may qualify as a micro entity under 35
U.S.C. 123, it does not authorize the Office to remove limitations
contained in 35 U.S.C. 123.
Comment 4: One comment noted that the Office has indicated that it
will publish the income level that is three times the median household
income for the calendar year most recently reported by the Bureau of
the Census, but that 35 U.S.C. 123(a) (and § 1.29(a)) require that
applicants use the median household income data for "the calendar year
preceding the calendar year in which the applicable fee is being
paid." The comment expressed concern that median household income data
for a given year is not reported by the Bureau of the Census until the
succeeding year. One comment suggested that § 1.29(a)(3) be amended
to provide that an applicant may rely on his or her most recently filed
income tax return regardless of whether the most recently filed tax
return accounted for the previous calendar year's gross income.
Response: Section 1.29(a)(3) tracks the provisions of 35 U.S.C.
123(a)(3) with the clarification to reference non-applicant inventors
and joint inventors. 35 U.S.C. 123(a)(3) provides that each inventor's
gross income "in the calendar year preceding the calendar year in
which the applicable fee is being paid" must not exceed "three times
the median household income for that preceding calendar year as most
recently reported by the Bureau of the Census." 35 U.S.C. 123(a)(3)
does not provide for an applicant to simply rely on his or her most
recently filed income tax return if the most recently filed tax return
does not pertain to the calendar year preceding the calendar year in
which the applicable fee is being paid. The Office will post on its
Internet Web site the U.S. dollar amount that equals three times the
median household income as most recently reported by the Bureau of the
Census. Thus, the Office's Internet Web site will contain the U.S.
dollar amount that equals three times the median household income as
most recently reported by the Bureau of the Census as provided for in
§ 1.29(a)(3) and 35 U.S.C. 123(a)(3).
Comment 5: One comment requested guidance as to what effect marital
status has on "gross income" in terms of § 1.29(a)(3), and
whether the inventor's tax return is filed jointly or separately
changes the amount of "gross income" for purposes of meeting the
requirement of proposed § 1.29(a)(3). The comment also indicated
that in community property states, the law may be construed such that
the inventor/applicant has assigned his or her rights in part to the
spouse, as a matter of law. Another comment stated that marital status
of an individual applicant may have an impact on the assignment or
ownership rights in an invention and the gross income of the applicant,
and that it may require an opinion from an accountant or tax attorney
with respect to the applicant's income.
Response: The Office reads the "gross income" requirement
contained in 35 U.S.C. 123(a)(3) and § 1.29(a)(3) with respect to a
married person as applying to the amount of income the person would
have reported as gross income if that person were filing a separate tax
return (which includes properly accounting for that person's portion of
interest, dividends, and capital gains from joint bank or brokerage
accounts), regardless of whether the person actually filed a joint
return or a separate return for the relevant calendar year.
Additionally, the Office does not consider a spouse's ownership
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 215 |
interest in a patent application or patent arising by operation of
residence in a community property state as falling within the ambit of
35 U.S.C. 123(a)(4) and § 1.29(a)(4) because the spouse's ownership
interest arises by operation of state law, rather than an assignment,
grant, conveyance, or obligation to assign, grant, or convey.
Comment 6: One comment questioned the situation where the
applicant's income is not in U.S. dollars and the applicable currency
exchange rate is applied to determine the applicant's gross income in
U.S. dollars in accordance with § 1.29(c), whether the applicant's
gross income in terms of U.S. dollars should be compared to three times
the median household income for the preceding calendar year in the
United States, or should be compared to the median household income for
the preceding calendar year in the country in which the applicant
obtained income.
Response: In all cases, the inventor's gross income in the previous
calendar year must be compared to the U.S. dollar amount equaling three
times the median household income as most recently reported by the
Bureau of the Census (which will be posted on the Office's Internet Web
site) at the time the applicable fee is being paid in order to meet the
gross income requirement of § 1.29(a)(3).
Comment 7: One comment suggested that the language "that calendar
year" in proposed § 1.29(c) should be changed to "the preceding
calendar year" to clarify that applicants whose income is not in U.S.
dollars must apply the currency exchange rate from the preceding
calendar year when calculating income in U.S. dollars in order to
determine whether the proposed § 1.29(a)(3) "gross income" requirement
is met.
Response: Section 1.29(c) tracks the provisions of 35 U.S.C. 123(c)
with the clarification to reference non-applicant inventors and joint
inventors. The phrase "that calendar year" in 35 U.S.C. 123(c) and
§ 1.29(c) means "the preceding calendar year" as previously recited in 35
U.S.C. 123(c) and § 1.29(c).
Comment 8: One comment indicated that foreign applicants should be
directed to make a "good faith attempt" to estimate their gross
income in terms of U.S. tax law.
Response: 35 U.S.C. 123(c) provides that if an applicant's or
entity's gross income in the preceding calendar year is not in United
States dollars, the average currency exchange rate, as reported by the
Internal Revenue Service, during that calendar year shall be used to
determine whether the applicant's or entity's gross income exceeds the
threshold specified in 35 U.S.C. 123(a)(3) or (4). 35 U.S.C. 123 does
not provide any alternative basis, such as a good faith estimation as
suggested by the comment, for determining whether an applicant or
entity meets the gross income requirement of 35 U.S.C. 123(a)(3). For
an applicant or entity whose previous calendar year's gross income was
received partially in U.S. dollars and partially in non-United States
currency, the gross income amount in non-United States currency must be
converted into U.S. dollars in accordance with § 1.29(c) and then
added to the gross income amount in U.S. dollars to determine whether the
applicant or entity meets the gross income requirement of § 1.29(a)(3).
Comment 9: One comment suggested that the definition of micro
entity status should be broadened to benefit even more small inventors
than those who meet the requirements of 35 U.S.C. 123(a).
Response: The legislative history includes a statement that
Congress developed the micro entity provision to benefit truly
independent inventors, people with very little capital and just a few
inventions, who are just starting out. See H.R. Rep 112-98 at 50. Small
entity inventors who do not meet the micro entity requirements of 35
U.S.C. 123 may still claim small entity status and receive the fifty
percent small entity fee reduction. In any event, as discussed
previously, while 35 U.S.C. 123(e) authorizes the Office to place
additional limits on who may qualify as a micro entity under 35 U.S.C.
123, it does not authorize the Office to remove limitations contained
in 35 U.S.C. 123 or expand the scope of 35 U.S.C. 123 to include more
small entities.
Comment 10: Several comments objected to the requirement under
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 216 |
§ 1.29(d)(1) that in order to qualify for micro entity status under
§ 1.29(d), the applicant must qualify as a small entity as defined
in § 1.27 in addition to meeting one of the requirements under
§ 1.29(d)(2)(i) or (d)(2)(ii).
Response: 35 U.S.C. 123(e) provides that in addition to the limits
imposed by 35 U.S.C. 123, the Director may, in the Director's
discretion, impose income limits, annual filing limits, or other limits
on who may qualify as a micro entity pursuant to this section if the
Director determines that such additional limits are reasonably
necessary to avoid an undue impact on other patent applicants or owners
or are otherwise reasonably necessary and appropriate. The Office has
determined that requiring all micro entities to qualify as small
entities (§ 1.29(d)(1)) is reasonably necessary and appropriate to
ensure that applicants who do not qualify as a small entity do not
inappropriately attempt to take advantage of micro entity status. As
discussed in the notice of proposed rulemaking, the legislative history
of 35 U.S.C. 123 includes a statement that micro entity status is
directed to a subset of small entities, namely, "truly independent
inventors." See H.R. Rep 112-98 at 50.
Comment 11: Several comments indicated that § 1.29(d)(2)(ii)
should provide that the rights transferred or owed to an institution of
higher education should be substantial. The comments indicated that
institutions of higher education are generally non-practicing entities
or that applicants could engage in sham transfers of a de minimus
interest to an institution of higher education, and suggested the
Office use its authority under 35 U.S.C. 123(e) to ensure the transfer
of rights is for a substantial purpose. One comment indicated that
micro entity status by a grant of rights to an institution of higher
education under § 1.29(d)(2)(ii) should not be available to an
institution of higher education and that without such a limitation,
institutions of higher education could simply grant rights to each
other and thereby qualify their patent for micro entity status.
Response: As discussed previously, the Office is requiring that all
micro entities qualify as small entities (§ 1.29(d)(1)) to ensure
that applicants who do not qualify as a small entity do not
inappropriately attempt to take advantage of micro entity status. This
requires that any person or entity claiming micro entity status not
have assigned, granted, conveyed, or licensed, and be under no
obligation under contract or law to assign, grant, convey, or license,
any rights in the invention to any person, concern, or organization
which would not qualify for small entity status as a person, small
business concern, or nonprofit organization. See § 1.27(a). The
Office plans to closely monitor the percentage of applicants claiming
small entity status under 35 U.S.C. 123(d) and will propose additional
limits under the authority provided in 35 U.S.C. 123(e) if it appears
that a substantial number of applicants are engaging in sham
transactions with institutions of higher education to obtain micro
entity status.
Comment 12: One comment indicated that 35 U.S.C. 123(d) is unclear
as to whether it was intended to cover a separate non-profit
corporation, research foundation, or other institution that is legally
separate from an institution of higher education but whose stated
mission is to represent that institution of higher education, to act on
its behalf, and/or commercialize the intellectual property of that
institution of higher education. The comment suggested that a research
foundation should be treated as a qualifying institution of higher
education for purposes of micro entity status if the research
foundation is acting on behalf of a university which is an institution
of higher education as defined in section 101(a) of the Higher
Education Act of 1965. Another comment suggested that the Office
consider expanding the scope of § 1.29(d) to include technology
transfer organizations whose primary purpose is to facilitate the
commercialization of technologies developed by one or more institutions
of higher education as defined by section 101(a) of the Higher
Education Act of 1965. Another comment suggested that micro entity
status be made available to applicants whose inventions are co-owned
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 217 |
with Federal Government research laboratories and that patent
applications on inventions made solely or jointly by Federal laboratory
personnel should be considered in the same manner as applications made
solely by personnel at academic research laboratories. Another comment
suggested amending § 1.29(d) to extend the definition of
"institution of higher education" to include certain nonprofit
scientific or educational organizations that are not institutions of
higher education "as defined in section 101(a) of the Higher Education
Act of 1965 (20 U.S.C. 1001(a))" as required by 35 U.S.C. 123(d).
Another comment suggested that the Office interpret "institution of
higher education as defined in section 101(a) of the Higher Education
Act of 1965 (20 U.S.C. 1001(a))" as it appears in 35 U.S.C. 123(d) to
include institutions of higher education set forth in subsection (b) of
20 U.S.C. 1001, thus making micro entity status available to
institutions that grant only graduate degrees if they otherwise qualify
as institutions of higher education under 20 U.S.C. 1001(a).
Response: 35 U.S.C. 123(d) provides that a micro entity shall also
include an applicant who certifies that: (1) The applicant's employer,
from which the applicant obtains the majority of the applicant's
income, is an institution of higher education as defined in section
101(a) of the Higher Education Act of 1965 (20 U.S.C. 1001(a)); or (2)
the applicant has assigned, granted, conveyed, or is under an
obligation by contract or law, to assign, grant, or convey, a license
or other ownership interest in the particular applications to such an
institution of higher education. Consistent with the discussion above
and in the notice of proposed rulemaking about the statutory terms
"applicant" and "inventor," note that the statutory criteria in 35
U.S.C. 123(d) ordinarily would not be met by an institution of higher
education that is itself an assignee-applicant. Also, while 35 U.S.C.
123(e) authorizes the Office to place additional limits on who may
qualify as a micro entity under 35 U.S.C. 123, it does not authorize
the Office to remove limitations contained in 35 U.S.C. 123 such as to
expand the scope of 35 U.S.C. 123(d) to include a separate, non-profit
corporation, research foundation, technology transfer organization, Federal
Government research laboratory, other non-profit scientific or educational
organization, institution of higher education as defined in section 101(b)
of the Higher Education Act of 1965, or other institution that is legally
separate from an institution of higher education as defined in section
101(a) of the Higher Education Act of 1965 as suggested by the comments. An
entity or institution must meet the definition of an institution of higher
education as defined in section 101(a) of the Higher Education Act of
1965 for an applicant employed by, or who has assigned or is under an
obligation to assignee to, the entity or institution, to be eligible
for micro entity status under 35 U.S.C. 123(d).
Comment 13: Several comments indicated that the proposed rules show
a bias in favor of institutions of higher education and against
independent inventors because an independent inventor has to meet
certain criteria to be entitled to micro entity status.
Response: Both independent inventors under 35 U.S.C. 123(a) and
those employed by or under a legal or contractual obligation to assign,
grant, or convey an interest in an application to an institution of
higher education as defined in section 101(a) of the Higher Education
Act of 1965 under 35 U.S.C. 123(d), must meet certain criteria to be
eligible for micro entity status. Specifically, the applicant must
qualify as a small entity as defined in § 1.27. In addition, as to
35 U.S.C. 123(d) either the applicant's employer, from which the
applicant obtains the majority of the applicant's income, must be an
institution of higher education as defined in section 101(a) of the
Higher Education Act of 1965 (20 U.S.C. 1001(a)), or the applicant must
have assigned, granted, conveyed, or be under an obligation by contract
or law, to assign, grant, or convey, a license or other ownership
interest in the particular application to such an institution of higher
education. The income and application filing criteria specified in
§ 1.29(a) tracks the criteria in 35 U.S.C. 123(a).
Comment 14: One comment questioned whether micro entity status will
be available to foreign applicants.
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 218 |
Response: Micro entity status is available to any applicant
(foreign or domestic alike) who meets the requirements of 35 U.S.C. 123
and § 1.29. Notably, 35 U.S.C. 123(d) provides that an institution
must meet the definition of an institution of higher education as
defined in section 101(a) of the Higher Education Act of 1965 for micro
entity status to be obtained based upon the applicant's employment at
or the applicant's assignment or obligation to the institution. One
criteria of the definition of "institution of higher education" set
forth in section 101(a) of the Higher Education Act of 1965 is that the
institution must be located in a "State." Section 103 of the Higher
Education Act of 1965 provides that the term "State" as used in
section 101(a) "includes the several States of the United States, the
Commonwealth of Puerto Rico, the District of Columbia, Guam, American
Samoa, the United States Virgin Islands, and the Freely Associated
States" and that the Freely Associated States means the "Republic of
the Marshall Islands, the Federated States of Micronesia, and the
Republic of Palau."
Comment 15: Several comments urged deletion of the requirement in
§ 1.29(e) that micro entity status be specifically established by a
new certification in each related continuing and reissue application.
One comment indicated that unless the Office removes the provision in
proposed § 1.29(g) that a fee may be paid in the micro entity
amount only if status as a micro entity is appropriate on the date the
fee is paid, the Office should remove the requirement in proposed
§ 1.29(e) that status as a micro entity must be specifically established
in each related, continuing and reissue application in which status is
appropriate and desired. One comment stated that § 1.29(e) contains
an error in that contrary to its language, status as a micro entity in
one application does affect the status of other applications. The
commenter, however, suggests retaining language in § 1.29(e)
stating that micro entity status must be specifically established in
each continuing and divisional application in which status is
appropriate and desired.
Response: The Office shares the concerns of the comments that the
small entity and micro entity regulations and procedures be as simple
as possible. For this reason, the Office is making the micro entity
provisions as consistent with the small entity provisions as possible,
including the provisions pertaining to claiming small entity status in
related continuing and reissue applications. See § 1.27(c)(4). In
addition, 35 U.S.C. 123 requires that the applicant make a
certification under 35 U.S.C. 123(a) or (d) to qualify for micro entity
status. An applicant's ability to meet the requirements in 35 U.S.C.
123(a) or (d) may change over time. For example, from a first
application to a related continuing or reissue application, an
applicant's gross income (35 U.S.C. 123(a)(3)) and employment (35
U.S.C. 123(d)(1)) may change, and the number of applications naming the
applicant as an inventor (35 U.S.C. 123(a)(2)) will change with the
filing of a related continuing or reissue application. Therefore, the
Office is concerned about permitting micro entity status to
automatically carry over into a related continuing or reissue
application without the certification required by 35 U.S.C. 123(a) or
(d). Finally, while being named as an inventor in other applications
may affect an applicant's ability to claim micro entity status in an
application, status as a micro entity in one application does not
affect the status of other applications. Finally, as discussed
previously, the Office plans to seek additional public comment on the
micro entity provisions after the Office and the public have gained
experience with the micro entity procedures in operation, and will
pursue further improvements to the micro entity procedures in light of
the public comment and its experience with the micro entity procedures.
Comment 16: One comment stated that § 1.29 is unclear as to who
must sign the micro entity certification in applications with more than
one applicant. The comment suggested that § 1.29 be amended to make
clear that each applicant must meet the requirements of 35 U.S.C.
123(a) or (d) for the applicants to file a micro entity certification
in the application. Further, the comment suggested that §§ 1.29(a)
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 219 |
and (d) be revised to state that "each applicant so establishing such
status must certify that that applicant" meets all the requirements in
order to establish micro entity status. One basis given for this
suggestion is that joint applicants will generally not be privy to each
other's private financial information, and should not be required to
submit a certification as to the qualification of their joint applicants.
Response: Section 1.29(e) provides that a micro entity status
certification must be signed in compliance with § 1.33(b). Section
1.33(b) requires that amendments and other papers filed in the
application be signed by: (1) A patent practitioner of record; (2) a
patent practitioner not of record who acts in a representative capacity
under the provisions of § 1.34; or (3) the applicant (§ 1.42).
Section 1.33(b) further provides that all papers submitted on behalf of
a juristic entity must be signed by a patent practitioner unless
otherwise specified. If the application names more than one inventor
and the joint inventors are the applicant under § 1.42(a), a micro
entity status certification must be signed by: (1) A patent
practitioner of record; (2) a patent practitioner not of record who acts
in a representative capacity under the provisions of § 1.34; or (3)
all of the inventors.
Comment 17: One comment suggested amending § 1.29(f) to include
language permitting the micro entity certification to be filed in
response to a notice of fee deficiency mailed by the Office.
Response: Certification of micro entity status can be made at any
stage of prosecution, or at any time before or with payment of a
maintenance fee after the patent issues. However, a fee may be paid in
the micro entity amount only if it is submitted with, or subsequent to,
the submission of a certification of entitlement to micro entity
status.
Comment 18: Several comments argued that there should be no need to
recertify small entity status if micro entity status is lost, because
the applicant had to certify small entity status to qualify as a micro
entity and the applicant should continue to qualify for small entity
status after losing micro entity status.
Response: Section 1.29(i) as adopted in this final rule provides
that a notification that micro entity status is no longer appropriate
will not be treated as a notification that small entity status is also
no longer appropriate unless it also contains a notification of loss of
entitlement to small entity status under § 1.27(f)(2). An applicant
or patentee who files a notification that micro entity status is no
longer appropriate will be treated as a small entity by default unless
the notification also contains a notification of loss of entitlement to
small entity status under § 1.27(f)(2), thus minimizing burdens on
small entity applicants and patentees. An applicant or patentee who is
no longer a micro entity or a small entity must provide both a
notification under § 1.29(i) of loss of entitlement to micro entity
status and a notification under of § 1.27(f)(2) of loss of
entitlement to small entity status.
Comment 19: A number of comments indicated that the proposed
requirement in § 1.29(g) to determine continued qualification for
micro entity status each time a fee is paid was overly burdensome. One
comment indicated that this proposed requirement would inevitably lead
to additional cost to applicants in prosecuting applications before the
Office. Several comments suggested that § 1.29(g) be revised to be
similar to small entity practice such that once micro entity status is
acquired, fees can continue to be paid in the micro entity amount until
the issue fee or any maintenance fee is due, or that micro entity
status be permitted to be maintained throughout the calendar year in
which micro entity status was established without regard to continued
qualification. The comments indicated that an entity that licenses
multiple patent applications will need to confirm that each licensee
does not have a gross income that exceeds three times the median
household income for the preceding calendar year, and that an entity
with a patent application naming multiple inventors will need to
confirm that each inventor for each application does not have a gross
income that exceeds three times the median household income for the
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 220 |
preceding calendar year. One comment alternatively suggested that micro
entity status be maintained by applicants through the end of a calendar
year, even if there has been a change in income status during the
calendar year that disqualifies the applicant from a continued claim to
micro entity status.
Response: 35 U.S.C. 123(a) does not allow for a provision similar
to small entity practice under which once micro entity status is
acquired, fees can continue to be paid in the micro entity amount until
the issue fee or any maintenance fee is due or that micro entity status
be maintained throughout the calendar year in which micro entity status
was established without regard to continued qualification. 35 U.S.C.
123(a) requires that a micro entity "not [have] been named as an
inventor on more than 4 previously filed patent applications, other
than applications filed in another country, provisional applications
under 35 U.S.C. 111(b), or international applications for which the
basic national fee under 35 U.S.C. 41(a) was not paid" and "not, in
the calendar year preceding the calendar year in which the applicable
fee is being paid, have a gross income, as defined in section 61(a) of
the Internal Revenue Code of 1986 (26 U.S.C. 61(a)), exceeding three
times the median household income for that preceding calendar year."
35 U.S.C. 123(a)(2) and (a)(3). Finally, while applicants with complex
licensing arrangements may consider confirming the status of each
licensee challenging, this is more a function of the complexity of the
licensing arrangement than any complexity in the requirement that a fee
may be paid in the micro entity amount only if status as a micro entity
as defined in § 1.29(a) or § 1.29(d) is appropriate on the date
the fee is being paid.
Comment 20: Several comments objected to the statement in proposed
§ 1.29(h) that "[i]t should be determined that all parties holding
rights in the invention qualify for micro entity status." One comment
stated that proposed § 1.29(h) appears to require an opinion that
all parties holding rights in the invention qualify for micro entity
status. One comment indicated that because "parties" could include an
applicant under 35 U.S.C. 118 not qualifying as a micro entity but
filing an application on behalf of an inventor qualifying as a micro
entity, the statement should be deleted. Another comment indicated that
the sentence cited from § 1.29(h) is redundant and/or inconsistent
with the statute as 35 U.S.C. 123(a)(4) expressly includes such a
limitation whereas 35 U.S.C. 123(d) does not. The comment also
indicated that the sentence cited from § 1.29(h) is inconsistent
with § 1.29(d) which would otherwise allow any entity that
qualifies for small entity status to obtain the benefits of micro
entity status by assigning, granting, or conveying, a license or other
ownership interest to a qualified institution of higher education. The
comment suggested amending the sentence cited from § 1.29(h) by
replacing "qualify for micro entity status" with "qualify for small
entity status," or alternatively, replacing the phrase "all parties
holding rights to the invention" with "all applicants." One comment
indicated that "invention" is not the equivalent of "application,"
and thus the word "invention" in the phrase "all parties holding
rights to the invention" should be changed to "application," or the
Office should provide guidance on the meaning of the expression
"rights in the invention."
Response: The Office is revising this provision to indicate that
each applicant must qualify for micro entity status under § 1.29(a)
or § 1.29(d), and that each other party holding rights in the
application must qualify for small entity status under § 1.27. Note
that § 1.27(a)(3) provides for small entity status with respect to
nonprofit organizations and is applicable to universities or other
institutions of higher education. See § 1.27(a)(3)(ii)(A). 35
U.S.C. 123(e) provides that in addition to the limits imposed by 35
U.S.C. 123, the Director may, in the Director's discretion, impose
income limits, annual filing limits, or other limits on who may qualify
as a micro entity pursuant to this section if the Director determines
that such additional limits are reasonably necessary to avoid an undue
impact on other patent applicants or owners or are otherwise reasonably
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 221 |
necessary and appropriate. As discussed previously, the Office has
determined that requiring all micro entities to qualify as small
entities and that all other parties holding rights in the invention qualify
for small entity status is reasonably necessary and appropriate to ensure
that applicants who do not qualify as a small entity do not inappropriately
attempt to take advantage of micro entity status.
Comment 21: One comment indicated that § 1.29(h) is an advisory
opinion, and not a statement of any requirement, and thus should be
deleted.
Response: Section 1.29(h) requires that each applicant qualify for
micro entity status under § 1.29(a) or § 1.29(d), and that each
other party holding rights in the application qualify for small entity
status under § 1.27, in order for the applicant to make a
certification of entitlement to micro entity status. With respect to
the small entity status requirement, § 1.27(a) requires that any
person or entity claiming small entity status not have assigned,
granted, conveyed, or licensed, and is under no obligation under
contract or law to assign, grant, convey, or license, any rights in the
invention to any person, concern, or organization which would not
qualify for small entity status as a person, small business concern, or
nonprofit organization.
Comment 22: Several comments indicated that proposed § 1.29(i)
is overly burdensome. One comment indicated that proposed § 1.29(i)
would require that possible loss of entitlement to micro entity status
be evaluated each time a fee is to be paid. One comment stated that the
cost of compliance defeats the Congressional purpose of providing for
micro entity status and thus proposed § 1.29(i) should be stricken.
Response: Section 1.29(i) requires only that a notification of a
loss of entitlement to micro entity status must be filed in the
application or patent prior to paying, or at the time of paying, any
fee after the date on which status as a micro entity as defined in
§ 1.29(a) or § 1.29(d) is no longer appropriate. As discussed
previously, § 1.29(g) provides that a fee may be paid in the micro
entity amount only if status as a micro entity as defined in § 1.29(a)
or § 1.29(d) is appropriate on the date the fee is being
paid. Section 1.29(i) provides a necessary step for documentation of
the cessation of micro entity status.
Comment 23: One comment suggested that § 1.29(i) be amended to
permit payments for entity status other than micro entity as sufficient
notification of loss of entitlement to micro entity status, without
additional correspondence to the Office.
Response: Office experience with small entity payments is that some
small entities will occasionally pay patent fees in the full (non-small
entity) amounts inadvertently. If mere payment of fees in the full or
small entity amount is treated as a notification of loss of entitlement
to micro entity status, a micro entity who inadvertently paid a patent
fee in the full or small entity amount will thereafter no longer be
treated as a micro entity. This could result in increased costs for
entities that are entitled to claim micro entity status, and there
would be a lack of clear documentation on whether micro entity status
has ceased.
Comment 24: Several comments indicated that proposed § 1.29(j)
is vague because the proposed rule does not define what constitutes
fraud. The comments indicated that the Office should amend the rule to
make clear what would constitute fraud. One comment stated that fraud
is a legal conclusion including proof of mental state. One comment
stated that some small entities not qualifying for micro entity status
under § 1.29(a) may be tempted to marginally align with a
university in order to take benefit under § 1.29(d), and requested
that the Office clarify whether such a strategy would be considered a
fraud, even if the letter of the rules is met. One comment requested
guidance on what penalties the Office anticipates enforcing in the
event that a fraudulent certification is made.
Response: Section 1.29(j) provides that "[a]ny attempt to
fraudulently establish status as a micro entity, or pay fees as a micro
entity, shall be considered as a fraud practiced or attempted on the
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 222 |
Office," and that "[i]mproperly, and with intent to deceive,
establishing status as a micro entity, or paying fees as a micro
entity, shall be considered as a fraud practiced or attempted on the
Office." The language in § 1.29(j) parallels the corresponding
small entity provision in § 1.27(h), and thus terms
"fraudulently" and "fraud" in § 1.29(j) have the same meaning
as the terms "fraudulently" and "fraud" in § 1.27(h). The
definition of common law fraud is based on the definition discussed by
the U.S. Court of Appeals for the Federal Circuit (Federal Circuit).
See Unitherm Food Systems, Inc. v. Swift-Ekrich, Inc., 375 F.3d 1341,
1358 (Fed. Cir. 2004); In re Spalding Sports Worldwide, Inc., 203 F.3d
800, 807 (Fed. Cir. 2000). Applicants questioning how to resolve close
situations or what penalties may result from a fraudulent certification
should consider that: (1) The Federal Circuit has noted that an
applicant would be "foolish" to claim small entity status if there is
the slightest doubt about an applicant's entitlement to claim small
entity (DH Tech., 154 F.3d at 1343); (2) depending on future
developments in the case law, it is possible that a patent could be
held unenforceable as a consequence of a fraud or inequitable conduct
relating to a micro entity or small entity certification (this was
clearly possible for small entity certifications prior to the Federal
Circuit's decision in Therasense, Inc. v. Becton, Dickinson and Co.,
649 F.3d 1276 (Fed. Cir. 2011) (see, e.g., Nilssen v. Osram Sylvania,
Inc., 504 F.3d 1223 (2007), and Ulead Systems, Inc. v. Lex Computer
Management Corp., 351 F.3d 1120 (Fed. Cir. 2003)), but the Federal
Circuit has not yet decided the question of whether a false declaration
of small entity status could constitute inequitable conduct under the
Therasense standard (see Outside the Box Innovations, LLC v. Travel
Caddy, Inc., 695 F.3d 1285, 1294 (Fed. Cir. 2012); see also Therasense,
649 F.3d at 1299, n.6 (O'Malley, J., concurring in part and dissenting
in part)); and (3) there can be further significant penalties for fraud
(e.g., 35 U.S.C. 257(e) (provides that the matter shall be referred to
the Attorney General if the Director becomes aware that a material
fraud on the Office may have been committed in connection with a patent
that is the subject of a supplemental examination).
Comment 25: One comment stated that with respect to the provisions
relating to fraudulent certification (§§ 1.29(g) through (k)),
it would be beneficial to clarify the depth of inquiry which is
considered acceptable (e.g., good faith attempt) for a representative
of an applicant to obtain in order to sign a certification. The comment
indicated that it would be too burdensome on a practitioner to expect
more than obtaining verbal affirmation from an applicant that the
applicant meets the guidelines for obtaining micro entity status.
Response: The depth of inquiry required for any paper presented to
the Office, including a micro entity status certification, is specified
in § 11.18. Specifically, § 11.18(b) provides that by
presenting to the Office or hearing officer in a disciplinary
proceeding (whether by signing, filing, submitting, or later
advocating) any paper, the party presenting such paper, whether a
practitioner or non-practitioner, is making two certifications. The
first certification is that all statements made therein of the party's
own knowledge are true, all statements made therein on information and
belief are believed to be true, and all statements made therein are
made with the knowledge that whoever, in any matter within the
jurisdiction of the Office, knowingly and willfully falsifies, conceals,
or covers up by any trick, scheme, or device a material fact, or knowingly
and willfully makes any false, fictitious, or fraudulent statements or
representations, or knowingly and willfully makes or uses any false writing
or document knowing the same to contain any false, fictitious, or
fraudulent statement or entry, shall be subject to the penalties set forth
under 18 U.S.C. 1001 and any other applicable criminal statute, and further
that violations of the provisions of this section may jeopardize the
probative value of the paper. See § 11.18(b)(1). The second certification
is that to the best of the party's knowledge, information and belief,
formed after an inquiry reasonable under the circumstances: (1) The paper
is not being presented for any improper purpose, such as to harass someone
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 223 |
or to cause unnecessary delay or needless increase in the cost of any
proceeding before the Office; (2) the other legal contentions therein
are warranted by existing law or by a nonfrivolous argument for the
extension, modification, or reversal of existing law or the
establishment of new law; (3) the allegations and other factual
contentions have evidentiary support or, if specifically so identified,
are likely to have evidentiary support after a reasonable opportunity
for further investigation or discovery; and (4) the denials of factual
contentions are warranted on the evidence, or if specifically so
identified, are reasonably based on a lack of information or belief.
See § 11.18(b)(2).
Comment 26: Several comments suggested eliminating the requirement
under proposed § 1.29(k) that any deficiency payment include an
itemization and an accounting of the total deficiency payment. One
comment indicated that proposed § 1.29(k) should be revised to
parallel the rule that applies to an error in paying a small entity fee
when the large entity fee should have been paid. The comment
alternatively proposed that the rules could be amended to require: (1)
One base fee for rectifying the failure to correct micro entity status,
and (2) an accounting of when the change of status occurred.
Response: The fee deficiency payment provisions of § 1.29(k)
track the small entity fee deficiency payment provisions of § 1.28(c).
The Office needs the itemization to properly apply the fee
deficiency payment so that the Office's records for the application or
patent will properly show which fees have been paid for the application
or patent and in what amount.
Comment 27: One comment suggested the Office establish a database
of the various certification types and permit annual updating of
applicant status, rather than individual application status. Another
comment suggested that § 1.29 be amended to provide for micro
entity status certifications contained in patent application
assignments recorded under part 3 of 37 CFR.
Response: The suggestions are not currently feasible as inventor or
assignee names are not always stated consistently from application to
application (either in application papers or in assignment cover
sheets). The suggestions will be considered if the Office moves to
adopt a system under which there are unique inventor and applicant-
assignee designations.
Comment 28: One comment indicated that many practitioners who have
participated in the LegalCORPS Inventor Assistance Program (a pilot
patent law pro bono program developed with the support of the Office)
have seen first-hand that many inventors qualifying for free legal
assistance through the program will not be able to file applications
electronically, due in part to being unable to make electronic payments
via deposit account or credit card. The comment suggested that the
final rule could address this issue by providing for electronic filing
of documents along with a written certification by the applicant that
any fees associated with that filing are being submitted by check
deposited in the U.S. mail on the date of application filing.
Response: Electronic filing remains a viable filing option for
micro entities, even if the applicant does not have a deposit account
at the Office and even if the applicant does not have sufficient access
to credit to enable payment by credit card. Fees may be paid by
electronic funds transfer (EFT), which requires nothing more than a
checking account. However, before making any payments by EFT, an EFT
profile must be created at the Office "Office of Finance On-Line
Shopping Page" at https://ramps.uspto.gov/eram/. To begin, click the
link titled "Create or Modify an EFT Profile" on the "Office of
Finance On-Line Shopping Page." It is important that micro entities
and other applicants file their applications electronically via EFS-Web
in order to avoid the non-electronic filing fee under § 1.10, which
is $400 (and $200 for small and micro entities). Additionally, a small
or micro entity that files an application in paper (versus
electronically via EFS-Web) will not receive the discount (currently
$97.00) available only to small entities that file a patent application
electronically.
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 224 |
Rulemaking Considerations
A. Regulatory Flexibility Act: For the reasons set forth herein,
the Deputy General Counsel for General Law of the United States Patent
and Trademark Office has certified to the Chief Counsel for Advocacy of
the Small Business Administration that changes in this final rule will
not have a significant economic impact on a substantial number of small
entities. See 5 U.S.C. 605(b). The Office did not receive public
comments on this certification.
This final rule revises the rules of practice to allow a subset of
small entities -i.e., micro entities- to pay further reduced fees,
namely, a seventy-five percent discount. This final rule sets out
procedures pertaining to claiming micro entity status, paying patent
fees as a micro entity, notification of loss of micro entity status,
and correction of payments of patent fees paid erroneously in the micro
entity amount. This final rule maintains the criteria in 35 U.S.C.
123(a) and (d) for entitlement to file a certification of micro entity
status (note also the requirement in 37 CFR 1.29(d)(1) that an
applicant claim small entity status in compliance with 37 CFR 1.27 in
order to claim micro entity status; see also 37 CFR 1.29(h), 35 U.S.C.
123(e)). This rule also includes clarifications under 37 CFR 1.29(a) to
refer to non-applicant inventors and joint inventors. The micro entity
procedures in this final rule track to the extent feasible the
corresponding small entity procedures under 37 CFR 1.27. Thus, the
burden to all entities, including small entities, imposed by this final
rule is no greater than those imposed by the pre-existing regulations
pertaining to claiming small entity status: paying patent fees as a
small entity, notification of loss of small entity status, and
correction of payments of patent fees paid erroneously in the small
entity amount.
Requiring that an applicant claim small entity status in compliance
with 37 CFR 1.27 in order to claim micro entity status under 37 CFR
1.29(d)(1) will not have a significant economic impact on a substantial
number of small entities. The Office uses the Small Business
Administration business size standard for the purpose of paying reduced
patent fees in 13 CFR 121.802 as the size standard when conducting an
analysis or making a certification under the Regulatory Flexibility Act
for patent-related regulations. See Business Size Standard for Purposes
of United States Patent and Trademark Office Regulatory Flexibility
Analysis for Patent-Related Regulations, 71 FR 67109, 67109 (Nov. 20,
2006). A small entity for purposes of the Regulatory Flexibility Act
analysis is a small entity for purposes of paying reduced patent fees.
Therefore, requiring in 37 CFR 1.29(d)(1) that an entity claim small
entity status in compliance with 37 CFR 1.27 in order to claim micro entity
status will preclude only an applicant or patentee who is a large entity
(i.e., not a small entity) from claiming micro entity status.
The Office estimates that a minority percentage of small entity
applications will be filed by paying micro entity fees under this final
rule. Based upon the data in the Office's Patent Application Locating
and Monitoring (PALM) system, of the approximately 2,498,000
nonprovisional patent applications (utility, plant, design, and
reissue) and requests for continued examination filed in total over the
last five fiscal years, small entity fees were paid in approximately
669,000 (26.8 percent). Thus, an average of approximately 500,000
nonprovisional patent applications and requests for continued
examination have been filed each year for the last five fiscal years,
with small entity fees being paid in approximately 134,000 of the
nonprovisional patent applications and requests for continued
examination filed each year.
As indicated above, this rule provides a procedure for small
entities to attain a 75 percent reduction in fees as a micro entity, as
provided by statute. The procedures for micro entity status track the
existing procedures for small entity status. While the rule impacts the
entire universe of small entity applications and patents, the rule is
necessary for implementing a further reduction in fees, which is
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 225 |
entirely beneficial, and no other provision has an economic impact on
the affected small entities.
B. Executive Order 12866 (Regulatory Planning and Review): This
rulemaking has been determined to be not significant for purposes of
Executive Order 12866 (Sept. 30, 1993).
C. Executive Order 13563 (Improving Regulation and Regulatory
Review): The Office has complied with Executive Order 13563.
Specifically, the Office has, to the extent feasible and applicable:
(1) Made a reasoned determination that the benefits justify the costs
of the rule; (2) tailored the rule to impose the least burden on
society consistent with obtaining the regulatory objectives; (3)
selected a regulatory approach that maximizes net benefits; (4)
specified performance objectives; (5) identified and assessed available
alternatives; (6) involved the public in an open exchange of
information and perspectives among experts in relevant disciplines,
affected stakeholders in the private sector, and the public as a whole,
and provided on-line access to the rulemaking docket; (7) attempted to
promote coordination, simplification, and harmonization across
government agencies and identified goals designed to promote
innovation; (8) considered approaches that reduce burdens and maintain
flexibility and freedom of choice for the public; and (9) ensured the
objectivity of scientific and technological information and processes.
One comment argued that the rulemaking fails to comply with
Executive Order 13563 on the grounds that: (1) The Office did not
conduct a burden/benefit analysis which includes realistic professional
services fees for patent practitioners, the time involved in
understanding and complying with the rule, and the sanctions imposed by
rule; (2) proposed 37 CFR 1.29 fails to consider the value to society
of university inventions, for which 35 U.S.C. 123(d) seeks to provide
specific benefits, and which imposes no limits on how a university
might seek to exploit its rights; and (3) proposed 37 CFR 1.29 imposes
significant burdens for the affected applicants, and is thus not
tailored to impose the least burden on society consistent with
obtaining the regulatory objectives.
The Office considered costs and benefits to applicants claiming
micro entity status (including universities), as well as to all other
applicants and the Office in this rulemaking. Executive Order 13563
reaffirms Executive Order 12866. This rulemaking was deemed by OMB as
not economically significant as that term is defined in Executive Order
12866 (Sept. 30, 1993). Therefore, the regulatory analysis provided in
section 6(a)(3)(C) of Executive Order 12866 and OMB Circular A-4 is
inapplicable to this rulemaking. The Office, however, did conduct the
regulatory analysis provided in section 6(a)(3)(C) and OMB Circular A-4
for the related rulemaking to set and adjust patent fees under section
10 of the Leahy-Smith America Invents Act. 37 CFR 1.29 does impose the
least burden on society consistent with obtaining the regulatory
objectives by permitting an applicant to self-certify entitlement to
micro entity status, and does not require any further information or
certification from the applicant provided that the applicant remains
entitled to micro entity status. In addition, having micro entity
procedures which track the pre-existing small entity procedures to the
extent practicable is less burdensome than fashioning new micro entity
procedures. Finally, while having no requirements would arguably impose
the least burden on an entity seeking the benefit of micro (or small)
entity status, it would not impose the least burden on society overall
and would not obtain the regulatory objectives of creating the
beneficial option of micro entity status with a seventy-five percent
fee reduction as provided by statute.
Revising the regulations as suggested by the comment would expand
the scope of micro entity status beyond what the statute allows. It
also would not meet the regulatory objectives of ensuring that a for-
profit, large entity applicant not become a "micro entity" (and thus
obtaining a seventy-five percent discount) merely by licensing or
assigning some interest (nominal or otherwise) to an institution of
higher education. The Office received comments (including in response
to the section 10 rulemaking) in support of the Office imposing
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 226 |
additional requirements under 35 U.S.C. 123(e) to avoid sham licensing
agreements for the purpose of improperly claiming micro entity status
(as improper micro entity claims would result in higher fees for other
applicants). Thus, the narrow requirements imposed by the Office under
35 U.S.C. 123(e) are necessary to avoid abuses of micro entity status,
and simply eliminating them in the name of reducing burden would not
impose the least burden on society overall and would not obtain the
regulatory objectives.
D. Executive Order 13132 (Federalism): This rulemaking does not
contain policies with federalism implications sufficient to warrant
preparation of a Federalism Assessment under Executive Order 13132
(Aug. 4, 1999).
E. Executive Order 13175 (Tribal Consultation): This rulemaking
will not: (1) Have substantial direct effects on one or more Indian
tribes; (2) impose substantial direct compliance costs on Indian tribal
governments; or (3) preempt tribal law. Therefore, a tribal summary
impact statement is not required under Executive Order 13175 (Nov. 6,
2000).
F. Executive Order 13211 (Energy Effects): This rulemaking is not a
significant energy action under Executive Order 13211 because this
rulemaking is not likely to have a significant adverse effect on the
supply, distribution, or use of energy. Therefore, a Statement of
Energy Effects is not required under Executive Order 13211 (May 18,
2001).
G. Executive Order 12988 (Civil Justice Reform): This rulemaking
meets applicable standards to minimize litigation, eliminate ambiguity,
and reduce burden as set forth in sections 3(a) and 3(b)(2) of Executive
Order 12988 (Feb. 5, 1996).
H. Executive Order 13045 (Protection of Children): This rulemaking
does not concern an environmental risk to health or safety that may
disproportionately affect children under Executive Order 13045 (Apr.
21, 1997).
I. Executive Order 12630 (Taking of Private Property): This
rulemaking will not effect a taking of private property or otherwise
have taking implications under Executive Order 12630 (Mar. 15, 1988).
J. Congressional Review Act: Under the Congressional Review Act
provisions of the Small Business Regulatory Enforcement Fairness Act of
1996 (5 U.S.C. 801 et seq.), the United States Patent and Trademark
Office will submit a report containing this final rule and other
required information to the United States Senate, the United States
House of Representatives, and the Comptroller General of the Government
Accountability Office. In addition, the United States Patent and
Trademark Office will inform the Committee on the Judiciary of the
House of Representatives and the Committee on the Judiciary of the
Senate of any proposed limits under 35 U.S.C. 123(e) at least three
months before any limits proposed to be implemented pursuant to 35
U.S.C. 123(e) take effect.
The changes in this final rule are not expected to result in an
annual effect on the economy of 100 million dollars or more, a major
increase in costs or prices, or significant adverse effects on
competition, employment, investment, productivity, innovation, or the
ability of United States-based enterprises to compete with foreign-
based enterprises in domestic and export markets. Therefore, this final
rule is not a "major rule" as defined in 5 U.S.C. 804(2).
K. Unfunded Mandates Reform Act of 1995: The changes set forth in
this rulemaking do not involve a Federal intergovernmental mandate that
will result in the expenditure by State, local, and tribal governments,
in the aggregate, of 100 million dollars (as adjusted) or more in any
one year, or a Federal private sector mandate that will result in the
expenditure by the private sector of 100 million dollars (as adjusted)
or more in any one year, and will not significantly or uniquely affect
small governments. Therefore, no actions are necessary under the
provisions of the Unfunded Mandates Reform Act of 1995. See 2 U.S.C.
1501 et seq.
L. National Environmental Policy Act: This rulemaking will not have
any effect on the quality of the environment and is thus categorically
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 227 |
excluded from review under the National Environmental Policy Act of
1969. See 42 U.S.C. 4321 et seq.
M. National Technology Transfer and Advancement Act: The
requirements of section 12(d) of the National Technology Transfer and
Advancement Act of 1995 (15 U.S.C. 272 note) are not applicable because
this rulemaking does not contain provisions which involve the use of
technical standards.
N. Paperwork Reduction Act: The Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.) requires that the USPTO consider the impact of
paperwork and other information collection burdens imposed on the
public. This final rule makes changes to the rules of practice that
would impose new information collection requirements involving fee
deficiency statements which are subject to review by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3549). Accordingly, the Office submitted a proposed
information collection to OMB for its review and approval when the
notice of proposed rulemaking was published. The Office also published
the title, description, and respondent description of the information
collection, with an estimate of the annual reporting burdens, in the
notice of proposed rulemaking (See Changes to Implement Micro Entity
Status for Paying Patent Fees, 77 FR 31812-13).
The Office received one comment on the proposed information
collection indicating that the estimate of 3,000 respondents per year
was a significant underestimate as every inventor employed outside of
large entities will likely be confronted with the various
certifications, and that there may be tens of thousands of university
professors or university students on work-study who qualify under 35
U.S.C. 123(d).
The information collection requirements discussed in the notice of
proposed rulemaking, however, narrowly pertain to the information
required for fee deficiency payments based upon the previous erroneous
payment of patent fees in the micro entity amount (See Changes to
Implement Micro Entity Status for Paying Patent Fees, 77 FR 31812).
Based upon the number of applicants and patentees who make fee
deficiency payments under existing 37 CFR 1.28(c) (about 2,250 per
year), the Office believes that 3,000 respondents per year is a
reasonable and conservative estimate of the number of applicants and
patentees who make fee deficiency payments under 37 CFR 1.28(c) or
1.29(k).
As discussed in the notice of proposed rulemaking, OMB has
determined under 5 CFR 1320.3(h) that the certification of micro entity
status (e.g., Form PTO/SB/15A (gross income basis) or Form PTO/SB/15B
(institution of higher education basis) does not collect
"information" within the meaning of the Paperwork Reduction Act of
1995 (See Changes to Implement Micro Entity Status for Paying Patent
Fees, 77 FR 31812). The changes adopted in this final rule do not
require any further change to the proposed information collection.
Accordingly, the Office has resubmitted the proposed information
collection to OMB. The proposed information collection is available at
the OMB's Information Collection Review Web site
(www.reginfo.gov/public/do/PRAMain).
Notwithstanding any other provision of law, no person is required
to respond to, nor shall a person be subject to a penalty for failure
to comply with, a collection of information subject to the requirements
of the Paperwork Reduction Act, unless that collection of information
displays a currently valid OMB control number.
List of Subjects in 37 CFR Part 1
Administrative practice and procedure, Courts, Freedom of
information, Inventions and patents, Reporting and recordkeeping
requirements, Small businesses.
For the reasons set forth in the preamble, 37 CFR part 1 is amended
as follows:
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 228 |
PART 1-RULES OF PRACTICE IN PATENT CASES
. 1. The authority citation for 37 CFR part 1 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2).
. 2. Section 1.29 is added to read as follows:
§ 1.29 Micro entity status.
(a) To establish micro entity status under this paragraph, the
applicant must certify that:
(1) The applicant qualifies as a small entity as defined in § 1.27;
(2) Neither the applicant nor the inventor nor a joint inventor has
been named as the inventor or a joint inventor on more than four
previously filed patent applications, other than applications filed in
another country, provisional applications under 35 U.S.C. 111(b), or
international applications for which the basic national fee under 35 U.S.C.
41(a) was not paid;
(3) Neither the applicant nor the inventor nor a joint inventor, in
the calendar year preceding the calendar year in which the applicable
fee is being paid, had a gross income, as defined in section 61(a) of
the Internal Revenue Code of 1986 (26 U.S.C. 61(a)), exceeding three
times the median household income for that preceding calendar year, as
most recently reported by the Bureau of the Census; and
(4) Neither the applicant nor the inventor nor a joint inventor has
assigned, granted, or conveyed, nor is under an obligation by contract
or law to assign, grant, or convey, a license or other ownership
interest in the application concerned to an entity that, in the
calendar year preceding the calendar year in which the applicable fee
is being paid, had a gross income, as defined in section 61(a) of the
Internal Revenue Code of 1986, exceeding three times the median
household income for that preceding calendar year, as most recently
reported by the Bureau of the Census.
(b) An applicant, inventor, or joint inventor is not considered to
be named on a previously filed application for purposes of paragraph
(a)(2) of this section if the applicant, inventor, or joint inventor
has assigned, or is under an obligation by contract or law to assign,
all ownership rights in the application as the result of the
applicant's, inventor's, or joint inventor's previous employment.
(c) If an applicant's, inventor's, joint inventor's, or entity's
gross income in the preceding calendar year is not in United States
dollars, the average currency exchange rate, as reported by the
Internal Revenue Service, during that calendar year shall be used to
determine whether the applicant's, inventor's, joint inventor's, or
entity's gross income exceeds the threshold specified in paragraph
(a)(3) or (4) of this section.
(d) To establish micro entity status under this paragraph, the
applicant must certify that:
(1) The applicant qualifies as a small entity as defined in § 1.27; and
(2)(i) The applicant's employer, from which the applicant obtains
the majority of the applicant's income, is an institution of higher
education as defined in section 101(a) of the Higher Education Act of
1965 (20 U.S.C. 1001(a)); or
(ii) The applicant has assigned, granted, conveyed, or is under an
obligation by contract or law, to assign, grant, or convey, a license
or other ownership interest in the particular application to such an
institution of higher education.
(e) Micro entity status is established in an application by filing
a micro entity certification in writing complying with the requirements
of either paragraph (a) or paragraph (d) of this section and signed in
compliance with § 1.33(b). Status as a micro entity must be
specifically established in each related, continuing and reissue
application in which status is appropriate and desired. Status as a
micro entity in one application or patent does not affect the status of
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 229 |
any other application or patent, regardless of the relationship of the
applications or patents. The refiling of an application under § 1.53
as a continuation, divisional, or continuation-in-part application
(including a continued prosecution application under § 1.53(d)), or
the filing of a reissue application, requires a new certification of
entitlement to micro entity status for the continuing or reissue
application.
(f) A fee may be paid in the micro entity amount only if it is
submitted with, or subsequent to, the submission of a certification of
entitlement to micro entity status.
(g) A certification of entitlement to micro entity status need only
be filed once in an application or patent. Micro entity status, once
established, remains in effect until changed pursuant to paragraph (i)
of this section. However, a fee may be paid in the micro entity amount
only if status as a micro entity as defined in paragraph (a) or (d) of
this section is appropriate on the date the fee is being paid. Where an
assignment of rights or an obligation to assign rights to other parties
who are micro entities occurs subsequent to the filing of a
certification of entitlement to micro entity status, a second
certification of entitlement to micro entity status is not required.
(h) Prior to submitting a certification of entitlement to micro
entity status in an application, including a related, continuing, or
reissue application, a determination of such entitlement should be made
pursuant to the requirements of this section. It should be determined
that each applicant qualifies for micro entity status under paragraph
(a) or (d) of this section, and that any other party holding rights in
the invention qualifies for small entity status under § 1.27. The
Office will generally not question certification of entitlement to
micro entity status that is made in accordance with the requirements of
this section.
(i) Notification of a loss of entitlement to micro entity status
must be filed in the application or patent prior to paying, or at the
time of paying, any fee after the date on which status as a micro
entity as defined in paragraph (a) or (d) of this section is no longer
appropriate. The notification that micro entity status is no longer
appropriate must be signed by a party identified in § 1.33(b).
Payment of a fee in other than the micro entity amount is not
sufficient notification that micro entity status is no longer
appropriate. A notification that micro entity status is no longer
appropriate will not be treated as a notification that small entity
status is also no longer appropriate unless it also contains a
notification of loss of entitlement to small entity status under
§ 1.27(f)(2). Once a notification of a loss of entitlement to micro
entity status is filed in the application or patent, a new
certification of entitlement to micro entity status is required to
again obtain micro entity status.
(j) Any attempt to fraudulently establish status as a micro entity,
or pay fees as a micro entity, shall be considered as a fraud practiced
or attempted on the Office. Improperly, and with intent to deceive,
establishing status as a micro entity, or paying fees as a micro
entity, shall be considered as a fraud practiced or attempted on the
Office.
(k) If status as a micro entity is established in good faith in an
application or patent, and fees as a micro entity are paid in good
faith in the application or patent, and it is later discovered that
such micro entity status either was established in error, or that the
Office was not notified of a loss of entitlement to micro entity status
as required by paragraph (i) of this section through error, the error
will be excused upon compliance with the separate submission and
itemization requirements of paragraph (k)(1) of this section and the
deficiency payment requirement of paragraph (k)(2) of this section.
(l) Any paper submitted under this paragraph must be limited to the
deficiency payment (all fees paid in error) required for a single
application or patent. Where more than one application or patent is
involved, separate submissions of deficiency payments are required for
each application or patent (see § 1.4(b)). The paper must contain
| January 15, 2013 |
US PATENT AND TRADEMARK OFFICE |
1386 OG 230 |
an itemization of the total deficiency payment for the single
application or patent and include the following information:
(i) Each particular type of fee that was erroneously paid as a
micro entity, (e.g., basic statutory filing fee, two-month extension of
time fee) along with the current fee amount for a small or non-small
entity, as applicable;
(ii) The micro entity fee actually paid, and the date on which it
was paid;
(iii) The deficiency owed amount (for each fee erroneously paid);
and
(iv) The total deficiency payment owed, which is the sum or total
of the individual deficiency owed amounts as set forth in paragraph
(k)(2) of this section.
(2) The deficiency owed, resulting from the previous erroneous
payment of micro entity fees, must be paid. The deficiency owed for
each previous fee erroneously paid as a micro entity is the difference
between the current fee amount for a small entity or non-small entity,
as applicable, on the date the deficiency is paid in full and the
amount of the previous erroneous micro entity fee payment. The total
deficiency payment owed is the sum of the individual deficiency owed
amounts for each fee amount previously and erroneously paid as a micro
entity.
(3) If the requirements of paragraphs (k)(1) and (2) of this
section are not complied with, such failure will either be treated at
the option of the Office as an authorization for the Office to process
the deficiency payment and charge the processing fee set forth in
§ 1.17(i), or result in a requirement for compliance within a one-month
time period that is not extendable under § 1.136(a) to avoid the
return of the fee deficiency payment.
(4) Any deficiency payment (based on a previous erroneous payment
of a micro entity fee) submitted under this paragraph will be treated
as a notification of a loss of entitlement to micro entity status under
paragraph (i) of this section, but payment of a deficiency based upon
the difference between the current fee amount for a small entity and
the amount of the previous erroneous micro entity fee payment will not
be treated as an assertion of small entity status under § 1.27(c).
Once a deficiency payment is submitted under this paragraph, a written
assertion of small entity status under § 1.27(c)(1) is required to
obtain small entity status.
December 14, 2012 DAVID J. KAPPOS
Under Secretary of Commerce for Intellectual Property and
Director of the United States Patent and Trademark Office
key to return to the previous page.
Top of Notices January 15, 2013
Top of Notices