USPTO开始调查专利实体的欺诈申请

A small entity is generally defined as a business which, including affiliates, has fewer than 500 employees, a qualifying nonprofit organization, or an individual who has not assigned, licensed or otherwise conveyed or promised to convey an interest in the invention to a non-small entity. To be a small entity applicant, it is required that all parties holding rights in the invention qualify for small entity status.

小型实体通常被定义为包括附属公司在内的员工少于 500 人的企业、符合条件的非营利组织，或未将发明的权益转让、许可或以其他方式转让或承诺转让给非小型实体的企业。要成为小实体申请人，要求所有拥有发明权利的各方都符合小实体身份。

A micro entity must meet the criteria of a small entity, but also qualify for micro entity status, either on a gross income basis or on a basis of higher education, where the applicant must be obtaining the majority of their income from a United States institution of higher education.

微型实体必须符合小型实体的标准，但也有资格获得微型实体资质，无论是基于总收入还是基于高等教育申请微型实体资质，申请人必须从美国高等教育机构获得大部分收入。

An additional requirement when filing for micro entity status based on gross income is that neither the applicant nor the inventor has been named as an inventor on more than four previously filed applications.

根据总收入申请微型实体资质时的另一项要求是，申请人和发明人没有在之前提交的四份以上申请中被指定为发明人。

In recent years, we have seen a significant increase in applications by inventors claiming micro entity status, especially in the field of design patents. For example, from fiscal year 2019 to fiscal year 2020, applications for design patents filed with micro entity certifications increased by 44%, and that percentage continues to rise. In addition, requests to expedite the examination of a design application (referred to as “rocket docket” filings) with micro entity certifications increased by almost 400% during that same one-year period.

近年来，我们看到声称具有微实体资质的发明人的申请显着著增加，特别是在外观设计专利领域。例如，从 2019 财年到 2020 财年，微实体认证的外观设计专利申请量增加了 44%，而且这一比例还在继续上升。此外，在同一年期间，具有微型实体认证的外观设计申请加快审查（即加速审查）的请求增加了近 400%。

We love to see inventors utilize the micro entity discount to protect and grow their businesses – that’s why it exists. However, this uptick in micro entity filings has been accompanied by a significant increase in the number of erroneous micro entity certifications filed by inventors who do not qualify as micro entities. Many of the erroneous micro entity certifications we have seen are from applicants that are disqualified from claiming micro entity status because they have already been named on more than four previously filed applications and/or patents. The problem is particularly acute among rocket docket applications, and we are looking into whether similar issues exist in utility applications. These erroneous micro entity certifications, and the heavy use of the rocket docket by these applicants, unfortunately mean longer wait times for all applicants seeking design patents, including legitimate micro entity applicants.

我们乐于见到发明家利用微观实体费用减免来保护和发展他们的业务——这就是它存在的原因。然而，微型实体申请数量增加的同时，不符合微型实体资格的发明人提交的错误微型实体认证的数量也在显著增加。我们所看到的许多错误的微型实体认证来自于申请人，这些申请人因在之前已经提交的四个以上的申请和/或专利中被指定为发明人而被取消了申请微型实体的资质。这个问题在加速审查申请中尤为突出，我们正在研究公用事业申请程序中是否存在类似的问题。不幸的是，这些错误的微型实体认证，以及这些申请人大量使用加速审查，意味着所有申请外观设计专利的申请人，包括合法的微型实体申请人，等待授权的时间将更长。

We are proactively taking steps to address the issue of erroneous filings. We recently sent notices to applicants with questionable micro entity certifications requiring additional information to support their micro entity claim (if you received a notice and have questions, please call the Patents Ombudsman at 571-272-5555). Applicants who mistakenly claimed micro entity status will be able to make a fee deficiency payment and proceed through the application process in a non-micro entity status. Those who cannot provide information to support their micro entity status, and who do not make a fee deficiency payment, run the risk of their application being abandoned. We will continue to communicate with our customers and the public to ensure the requirements on how to file a patent application as a small and micro entity are clear.

我们正在积极采取措施解决错误申报的问题。我们最近向存在问题的微型实体认证的申请人发送了通知，要求提供更多信息以支持其微型实体的资质（如果您收到通知并有疑问，请致电571-272-5555与专利监察员联系）。那些错误声称为“微型实体”的申请人 ，可缴付费用不足的款项，并以“非微型实体”的身份继续办理申请手续。那些无法提供信息以支持其微型实体资质的人，以及那些没有支付不足款项的人，其申请有被放弃的风险。我们将继续与我们的客户和公众沟通，以确保关于小型和微型实体明确提交专利申请的要求。

We are always grateful for the opportunity to serve our dynamic innovation community. By taking these important steps to reduce current wait times and flush out erroneous certifications, we aim to protect all patent applicants, including legitimate micro entity applicants and small businesses, and prevent abuse of our world-class patent system.

我们始终感谢有机会能为我们充满活力的创新社区服务。通过采取这些重要措施来减少当前的审查等待时间并清除错误的认证，我们旨在保护所有专利申请人，包括合法的微型实体申请人和小企业，并防止不法分子滥用我们世界一流的专利制度。

For more information and assistance with filing an application, please visit the newly revamped inventor and entrepreneur resources page of the USPTO website.

有关提交申请的更多信息和帮助，请访问美国专利商标局网站新近改版的发明人和企业家资源页面。