§509.04(e) Notification of Loss of Entitlement to Micro Entity Status
This page consolidates and annotates all enforceable requirements under MPEP § 509.04(e), including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.
Notification of Loss of Entitlement to Micro Entity Status
This section addresses Notification of Loss of Entitlement to Micro Entity Status. Primary authority: 37 CFR 1.29(i), 37 CFR 1.27(g)(2), and 37 CFR 1.29(a). Contains: 3 requirements, 2 permissions, and 2 other statements.
Pending USPTO Updates
USPTO lists the following post-January 31, 2024 publications as updates not yet incorporated into the current MPEP revision. BlueIron has reviewed the linked USPTO source documents and cross-referenced these updates by affected topic, citation, and identified MPEP target when stated by USPTO. USPTO Subsequent Publications
- Supersedes Revised and New Form Paragraphs in View of Setting and Adjusting Patent Fees During Fiscal Year 2025 (Final Rule)Identified USPTO change targets:
- form paragraph: 2.14 – USPTO memorandum identifies this as a new form paragraph implementing Fiscal Year 2025 patent fee changes.
- form paragraph: 6.49.11 – USPTO memorandum identifies this as a new form paragraph implementing Fiscal Year 2025 patent fee changes.
- form paragraph: 6.49.12 – USPTO memorandum identifies this as a new form paragraph implementing Fiscal Year 2025 patent fee changes.
- form paragraph group: 2.01, 2.05, 2.06, 2.09, 2.11.01, 2.15, 2.21.01, 2.22, 2.23, 2.39 – USPTO memorandum identifies these application-processing form paragraphs as revised.
- form paragraph group: 6.49.01, 6.49.02, 6.49.03, 6.49.05, 6.55 – USPTO memorandum identifies these examination form paragraphs as revised.
- form paragraph group: 7.39, 7.40, 7.40.01, 7.40.02.aia, 7.40.02.fti, 7.41, 7.41.03, 7.42.03.fti, 7.42.031.fti, 7.42.09, 7.54, 7.91, 7.98.01, 7.98.02, 7.123, 7.204, 7.205, 7.207 – USPTO memorandum identifies these rejection-response form paragraphs as revised.
- 1 additional target(s) listed in the JSON artifact.
- Supersedes Advance notice of change to the MPEP with respect to false assertions or certifications of entity statusIdentified USPTO change targets:
- MPEP section: 410 – Revise guidance on certifications and signature responsibilities when asserting small or micro entity status.
- MPEP section: 509.03(b) – Revise subsection II concerning USPTO determinations of false assertions or certifications of small entity status.
- MPEP section: 509.04 – Revise subsection I concerning USPTO determinations of false assertions or certifications of micro entity status.
- MPEP section: 1002.02(b) – Revise delegated-authority guidance for decisions involving false entity-status assertions or certifications.
- Setting and Adjusting Patent Fees During Fiscal Year 2025
- Statutory Penalties for False Assertions or Certifications of Small and Micro Entity Status
Key Rules
Loss of Entity Status Entitlement
37 CFR 1.29(i) contains provisions for a micro entity that correspond to the provisions of 37 CFR 1.27(g)(2) for a small entity. 37 CFR 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 37 CFR 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 37 CFR 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. An applicant can make a simple statement that the applicant is no longer eligible for micro entity status without identifying the particular reason(s) for loss of entitlement to micro entity status.
37 CFR 1.29(i) contains provisions for a micro entity that correspond to the provisions of 37 CFR 1.27(g)(2) for a small entity. 37 CFR 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 37 CFR 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 37 CFR 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. An applicant can make a simple statement that the applicant is no longer eligible for micro entity status without identifying the particular reason(s) for loss of entitlement to micro entity status.
37 CFR 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 provides notification of loss of entitlement to small entity status under 37 CFR 1.27(g)(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. For applications under micro entity status, regular unreduced fee status will result from: (1) a notification of loss of entitlement to micro entity status accompanied by regular unreduced fees or some other indication of loss of entitlement to small entity status; or (2) a notification of loss of entitlement to small entity status by itself.
37 CFR 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 provides notification of loss of entitlement to small entity status under 37 CFR 1.27(g)(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. For applications under micro entity status, regular unreduced fee status will result from: (1) a notification of loss of entitlement to micro entity status accompanied by regular unreduced fees or some other indication of loss of entitlement to small entity status; or (2) a notification of loss of entitlement to small entity status by itself.
37 CFR 1.29(i) 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. Form SB/460 “Notification of Loss of Micro Entity Status” may be used to notify the Office of a loss of entitlement to micro entity status and make payment of any deficiencies in payment associated with the loss of entitlement to micro entity status.
37 CFR 1.29(i) 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. Form SB/460 “Notification of Loss of Micro Entity Status” may be used to notify the Office of a loss of entitlement to micro entity status and make payment of any deficiencies in payment associated with the loss of entitlement to micro entity status.
Entity Status (Small and Micro)
37 CFR 1.29(i) contains provisions for a micro entity that correspond to the provisions of 37 CFR 1.27(g)(2) for a small entity. 37 CFR 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 37 CFR 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 37 CFR 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. An applicant can make a simple statement that the applicant is no longer eligible for micro entity status without identifying the particular reason(s) for loss of entitlement to micro entity status.
Correspondence Address Requirements
37 CFR 1.29(i) contains provisions for a micro entity that correspond to the provisions of 37 CFR 1.27(g)(2) for a small entity. 37 CFR 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 37 CFR 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 37 CFR 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. An applicant can make a simple statement that the applicant is no longer eligible for micro entity status without identifying the particular reason(s) for loss of entitlement to micro entity status.
Entity Status Changes and Corrections
37 CFR 1.29(i) contains provisions for a micro entity that correspond to the provisions of 37 CFR 1.27(g)(2) for a small entity. 37 CFR 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 37 CFR 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 37 CFR 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. An applicant can make a simple statement that the applicant is no longer eligible for micro entity status without identifying the particular reason(s) for loss of entitlement to micro entity status.
Citations
| Primary topic | Citation |
|---|---|
| Correspondence Address Requirements Entity Status (Small and Micro) Entity Status Changes and Corrections Loss of Entity Status Entitlement | 37 CFR § 1.27(g)(2) |
| Correspondence Address Requirements Entity Status (Small and Micro) Entity Status Changes and Corrections Loss of Entity Status Entitlement | 37 CFR § 1.29(a) |
| Correspondence Address Requirements Entity Status (Small and Micro) Entity Status Changes and Corrections Loss of Entity Status Entitlement | 37 CFR § 1.29(i) |
| Correspondence Address Requirements Entity Status (Small and Micro) Entity Status Changes and Corrections Loss of Entity Status Entitlement | 37 CFR § 1.33(b) |
Source Text from USPTO’s MPEP
This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.
Official MPEP § 509.04(e) — Notification of Loss of Entitlement to Micro Entity Status
Source: USPTO509.04(e) Notification of Loss of Entitlement to Micro Entity Status [R-01.2024]
37 CFR 1.29 Micro entity status.
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- (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) [§ 1.27(g)(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.
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37 CFR 1.29(i) contains provisions for a micro entity that correspond to the provisions of 37 CFR 1.27(g)(2) for a small entity. 37 CFR 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 37 CFR 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 37 CFR 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. An applicant can make a simple statement that the applicant is no longer eligible for micro entity status without identifying the particular reason(s) for loss of entitlement to micro entity status.
37 CFR 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 provides notification of loss of entitlement to small entity status under 37 CFR 1.27(g)(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. For applications under micro entity status, regular unreduced fee status will result from: (1) a notification of loss of entitlement to micro entity status accompanied by regular unreduced fees or some other indication of loss of entitlement to small entity status; or (2) a notification of loss of entitlement to small entity status by itself.
37 CFR 1.29(i) 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. Form SB/460 “Notification of Loss of Micro Entity Status” may be used to notify the Office of a loss of entitlement to micro entity status and make payment of any deficiencies in payment associated with the loss of entitlement to micro entity status.
