USPTO hits hard, false small entity statements will face triple fines, how can companies avoid compliance risks?

On June 12, 2025, the United States Patent and Trademark Office (USPTO) issued new regulations, imposing a minimum penalty of three times the amount of unpaid official fees on patent applications that falsely declare small/micro entity qualifications! This policy upgrade marks the beginning of a "strict regulatory era" for the compliance review of patent applications in the United States. Zhifan Vision will interpret the policy core for you in the first time and provide practical response plans. 1. Policy Core: False Declaration=Triple Penalty+Lifetime Accountability 1 Unprecedented punishment intensity: 1 As long as the official fees are underpaid due to false statements, the minimum fine is three times the underpaid amount, and the nature of the fine is "US government debt". Even if the patent becomes invalid or the application is abandoned, it still needs to be paid. 2. Extension of retroactive period: Official fees paid after December 29, 2022 are included in the scope of review and are not related to the application date. 2. Upgrade the execution process: 1 After USPTO issues the Combined Notice and Order, the case review will be suspended directly until the outstanding fees and fines are settled. 2. The number of patent term adjustment (PTA) days caused by the delay in examination will be reduced, directly affecting the patent protection period. 2. Risk Warning: The red line for small and micro entity declaration must not be touched. In recent years, USPTO's crackdown on false declarations has continued to escalate: 1. Last year, more than 3100 patents were terminated due to forged signatures, causing industry shock; 2. This year's trend: From forged signatures to false entity statements, the regulatory scope has been comprehensively expanded. Zhifan Reminder: With the decrease in the proportion of official fees for small and micro entities and the surge in application volume, compliance risks are exponentially increasing! 3. Response strategy: Three steps to strengthen compliance defense line 1 Qualification self inspection: Dynamically manage entity qualifications, strictly compare the standards of small entities (37CFR 1.27) and micro entities (37CFR 1.29), and re evaluate qualifications before each payment; ·Personnel changes, income fluctuations, and other factors that may affect qualifications should be reported to the agency in a timely manner. 2. Evidence retention: Build a complete defense chain and prepare qualification documents such as enterprise insurance records, tax certificates, and university cooperation agreements in advance; ·Maintain communication records with the agency to ensure traceability of the declaration process. 3. Choose the right partner: Professional agents to avoid risks. Entrust institutions with US patent agency qualifications to avoid illegal operations such as "black agents" forging signatures; ·Utilize a professional team to interpret regulations and develop personalized declaration strategies. 4. Analysis of USPTO Punishment Process: If an enterprise unfortunately receives a Combined Notice and Order from USPTO, it needs to respond according to the following process: 1. Initiate an investigation: After USPTO preliminarily determines the existence of false statements, it issues a notice requiring the applicant to submit a response within 2 months (extendable). 2. Response path: 1) Declaration of non falsehood: Sufficient evidence (such as insurance records of enterprise personnel, financial audit reports) must be provided to prove one's innocence. 2) False but not malicious statement: It is necessary to make up for the underpaid official fees and provide an explanation of the reasons for the misreporting (such as statistical omissions). 3) Malicious false statement: requires payment of additional fees and clear acceptance of fines, which may be up to three times the amount of underpaid fees. 3. Final ruling: USPTO will issue a decision based on evidence evaluation, specifying whether to impose a penalty and the specific amount. Important reminder: Even if the patent has been abandoned or invalidated, fines still need to be paid, and delays in examination will directly affect the patent protection period. 5. Zhifan Yuanjing: To safeguard your US patent layout. As a professional organization deeply involved in US patent affairs, Zhifan Yuanjing provides: 1. Qualification pre-approval: Review the qualifications of small/micro entities before application to eliminate the risk of false statements; 2. Compliance guidance: customized payment reminders and dynamic qualification management plans; 3. Emergency response: If you receive an inquiry from USPTO, provide defense strategy support within 72 hours. Against the backdrop of stricter regulation by USPTO, compliance filing has become the "lifeline" of companies' US patent layout. Zhifan Vision will use professional strength to help you achieve stability and success, ensuring that every innovation receives the protection it deserves!