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CERTIFICATION OF MICRO ENTITY STATUS (GROSS INCOME BASIS) (USPTO)

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Doc Code: MES.GIB
Document Description: Certification of Micro Entity Status (Gross Income Basis)
PTO/SB/15A (07-14)
CERTIFICATION OF MICRO ENTITY STATUS
(GROSS INCOME BASIS)
Application Number or Control Number (if applicable): Patent Number (if applicable):
First Named Inventor: Title of Invention:
The applicant hereby certifies the following—
(1) SMALL ENTITY REQUIREMENT – The applicant qualifies as a small entity as defined in
37 CFR 1.27.
(2) APPLICATION FILING LIMIT – 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 U.S. patent
applications, excluding provisional applications and international applications under the Patent
Cooperation Treaty (PCT) for which the basic national fee under 37 CFR 1.492(a) was not paid,
and also excluding patent applications for which the applicant has assigned all ownership rights,
or is obligated to assign all ownership rights, as a result of the applicant’s previous employment.
(3) GROSS INCOME LIMIT ON APPLICANTS AND INVENTORS – 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 the “Maximum Qualifying Gross Income”
reported on the USPTO Web site at http://www.uspto.gov/patents/law/micro_entity.jsp which is
equal to three times the median household income for that preceding calendar year, as most
recently reported by the Bureau of the Census.
(4) GROSS INCOME LIMIT ON PARTIES WITH AN “OWNERSHIP INTEREST” – 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 the “Maximum Qualifying Gross Income” reported on
the USPTO Web site at http://www.uspto.gov/patents/law/micro_entity.jsp which is equal to three
times the median household income for that preceding calendar year, as most recently reported
by the Bureau of the Census.
SIGNATURE by an authorized party set forth in 37 CFR 1.33(b)
Signature
Name
Date Telephone Registration No.
There is more than one inventor and I am one of the inventors who are jointly identified as the applicant. The required
additional certification form(s) signed by the other joint inventor(s) are included with this form.
Privacy Act Statement
The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
submission of the attached form related to a patent application or patent. Accordingly, pursuant to the requirements of
the Act, please be advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2)
furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the
U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or
patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
process and/or examine your submission, which may result in termination of proceedings or abandonment of the
application or expiration of the patent.
The information provided by you in this form will be subject to the following routine uses:
1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records may
be disclosed to the Department of Justice to determine whether disclosure of these records is required by the
Freedom of Information Act.
2. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence
to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of
settlement negotiations.
3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
request involving an individual, to whom the record pertains, when the individual has requested assistance from
the Member with respect to the subject matter of the record.
4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having
need for the information in order to perform a contract. Recipients of information shall be required to comply
with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of
records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
Organization, pursuant to the Patent Cooperation Treaty.
6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes
of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C.
218(c)).
7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General
Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency’s
responsibility to recommend improvements in records management practices and programs, under authority of
44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing
inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such
disclosure shall not be used to make determinations about individuals.
8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of
the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a
record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record
was filed in an application which became abandoned or in which the proceedings were terminated and which
application is referenced by either a published application, an application open to public inspection or an issued
patent.
9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.
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CERTIFICATION OF MICRO ENTITY STATUS (GROSS INCOME BASIS) (USPTO)

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Completed 9 November 2020

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