Key Takeaways:

  • Form PTO/SB/15A is used to claim micro entity status based on gross income under 35 U.S.C. § 123.
  • Micro entity status offers a 75% discount on most USPTO patent-related fees.
  • Only specific individuals are authorized to sign PTO/SB/15A; these include each named inventor or an authorized representative.
  • Eligibility for micro entity status includes limits on previous patent filings, gross income, and lack of assignment to large entities.
  • The status must be certified and re-certified with each payment unless a blanket certification is allowed.
  • Errors in filing or improper signing can result in fee deficiencies or delays in application processing.

A Micro Entity Patent, also known as form PTO/SB/15A, must be completed by patent applicants. This type of patent is given to an individual or company that has micro entity status. You will need to determine for yourself whether the Micro Entity Patent application is the most appropriate application for your client for their invention and/or patent.

What Is a Micro Entity?

A patent applicant who applies as a micro entity, as clearly described in 35 U.S.C. § 123, is one who qualifies under the definition of “small entity.” In addition to meeting the qualification criteria, they must also meet the following two definitions:

  • Is not named on more than 4 U.S. non-provisional applications that have been previously filed.
  • Does not have a gross income that exceeds the U.S. median household income for the prior year in which the required fees are paid.

Micro Entity Status

In order to receive a 75 percent discount, the patent applicant claiming to possess the Micro Entity Status needs to file a Certification of Micro Entity Status, form PTO/SB/15A.

Without the “micro entity” or “small entity” status met, the patent applicant will be deemed a “large entity” and will then be required to pay the standard 100 percent fee. Possession of the micro entity status provides the applicant with a large discount on patent applications for government fees.

How to Apply for Micro Entity Status

To obtain micro entity status, the applicant must do the following:

  • Submit a signed copy of the USPTO form SBB 50, available for download on the USPTO forum page.
  • Complete form 35 U.S.C 123, which requires certification for the applicant to be thought of as a micro entity.
  • File for the certification in writing before or at the time the first payment toward the micro entity application or patent is applied for.
  • Your status in one application or patent as a micro entity will not affect any other status on applications or patents.

Micro Entity Status Definitions

To apply as a Micro Entity based on gross income:

  • Each inventor must complete and then file USPTO Form PTO/SB/15A, the Certification of Micro Entity Status – Gross Income Basis.

To apply based on employment of the inventor with an institution of higher learning:

  • Each inventor completes and then file USPTO Form PTO/SB/15B, the Certification of Micro Entity Status – Institution of Higher Education Basis.

Maintaining Micro Entity Status

Once granted, micro entity status is not permanent and must be maintained. Applicants must:

  • Re-certify their micro entity status each time a fee is paid to the USPTO, unless:
    • The payment is made at the time of filing and accompanied by an original certification.
  • Immediately notify the USPTO if the applicant ceases to qualify—for instance, due to an increase in income or additional prior patent applications.
  • Submit the correct fee amount corresponding to their current entity status. If micro entity status is lost and not corrected, the USPTO may treat the fee as underpaid, resulting in a delay or abandonment of the application.

Applicants should maintain clear and accurate records supporting their micro entity eligibility to defend their status if ever challenged.

Who May Sign Form PTO/SB/15A

To properly certify micro entity status under the gross income basis, the PTO/SB/15A form must be signed by an individual authorized by the USPTO. According to official guidelines:

  • Each named inventor must sign their own certification. The USPTO does not allow one inventor to sign on behalf of others unless legally authorized.
  • If the application is being filed by an assignee, the form must be signed by a person legally permitted to act on behalf of the assignee, such as a:
    • Registered patent attorney or agent of record
    • Legal representative with explicit authorization
  • The signer must have sufficient legal authority or power of attorney to make representations on behalf of the applicant.

It is essential to follow these signature rules strictly. Improper certification—such as a missing or unauthorized signature—may result in the denial of micro entity status and loss of the associated fee discount.

Understanding the Leahy-smith America Invents Act (AIA)

On September 16, 2011, President Obama signed The Leahy-Smith America Invents Act (“AIA”). This happened after the act garnered significant bi-partisan support and passed both the House 304-117 and the Senate 89-9.

The AIA or The Leahy-Smith America Invents Act is the first significant change to the patent system in nearly 60 years. With the creation of the AIA, the USPTO now has a three-tier pricing structure for most patent fees.

Before the AIA, the USPTO did provide a 50 percent cost reduction in fees (including filing, issuing, appealing, maintenance fees, etc.) to those small entity applicants. Remember, as defined by the Small Business Administration (SBA), these are individuals or corporations with fewer than 500 employees including affiliates. Today with the AIA, the USPTO can now offer “micro entity” applicants fee reductions of 75 percent.

Savings on Micro Entity Fees

There are advantages to paying the fees associated with a client's micro entity application that result in excellent cost savings.

The list of fees, which can be reduced by 75 percent for micro entities, may include:

  • Filing fees, both provisional and non-provisional
  • Search fees
  • Examination fees
  • Issue fees
  • Appeal fees for
    • Utility, design, plant, and even to reissue patent applications
  • Maintenance fees
    • This includes the fee grace period surcharges for the maintenance fees
    • Surcharges for a petition
      • Should the need arise to reinstate an expired patent and the client needs to submit a delayed payment, a petition may be submitted.

Common Issues and Best Practices for Form PTO/SB/15A

To ensure successful use of the PTO/SB/15A form and avoid USPTO rejections:

Common Issues:

  • Submitting the form without a signature or signed by an unauthorized party
  • Filing after payment instead of before or concurrently
  • Failing to update the USPTO when the applicant no longer qualifies

Best Practices:

  • Always use the latest version of the PTO/SB/15A form available on the USPTO website
  • Carefully check that all named inventors meet the income and filing limits before certifying
  • Submit the form at the same time as the fee payment to ensure correct processing
  • Maintain copies of all certifications and documentation used to support eligibility

Timely and accurate submission of the PTO/SB/15A form helps applicants benefit from the full extent of USPTO fee reductions while avoiding delays or application rejections.

Frequently Asked Questions

1. What is form PTO/SB/15A used for? PTO/SB/15A is used to certify that an applicant qualifies for micro entity status based on gross income under 35 U.S.C. § 123.

2. Who is allowed to sign the PTO/SB/15A form? Each named inventor must sign the form unless represented by a legally authorized agent or attorney of record.

3. Do I need to submit PTO/SB/15A with every fee payment? Yes, unless a blanket certification applies. Certification must generally accompany each fee payment to retain micro entity status.

4. What happens if I no longer qualify for micro entity status? You must notify the USPTO and pay the appropriate higher fees. Failing to do so may lead to application delays or abandonment.

5. Can a business qualify for micro entity status? Yes, if all applicants meet the criteria and the business has not assigned rights to a large entity. The business must still file the certification via an authorized signer.

If you need help with filing your micro entity patent, you can post your legal need on UpCounsel's marketplace. UpCounsel accepts only the top 5 percent of lawyers to its site. Lawyers on UpCounsel come from law schools such as Harvard Law and Yale Law and average 14 years of legal experience, including work with or on behalf of companies like Google, Menlo Ventures, and Airbnb.