What documents should I include in my certification of micro entity status?

Under the America Invents Act (AIA), you may be entitled to reduced fees as a "micro-entity" if you meet certain requirements. To qualify as a micro-entity, an applicant must meet all four of the following criteria: * Qualify as a USPTO-defined small entity, i.e., less than 500 employees. * Not be named on more than four previously filed applications. The micro-entity definition states that applicants are not considered to be named on a previously filed application if he or she has assigned, or is obligated to assign, ownership rights as a result of previous employment. Applications filed in another country, provisional applications, or international applications for which the basic national fee was not paid do not count as previously filed application. The definition also includes applicants who are employed by an institute of higher education and have assigned, or are obligated to assign, ownership to that institute of higher education. * Not have a gross income more than three times the median household income in the previous year from when the fee(s) is paid. For 2011, the most recent year that data is available, the median income was $50,054. So, if your gross income is less than about $150,162, you should meet the Gross-Income basis threshold. * Not be under an obligation to assign, grant, or convey a license or other ownership to another entity that does not meet the same income requirements as the inventor. So, if you meet the above requirements, which based on the information you have provided appears to be the case, you would simply file the Form PTO SB 45 and pay according to the micro-entity fee schedule until you no longer qualify. However, you should consult with a patent attorney to explore your particular facts to confirm that you qualify for the micro-entity status.

My understanding of that document and the process for its use is that you just sign it and send it in without supporting documentation. However, if they find out later that you lied then you can lose your whole patent. Be sure you are accurate and truthful when signing it.

You simply use Form PTO/SB/15A and certify that each of the following statements is correct: (1) SMALL ENTITY REQUIREMENT -The applicant qualifies as a small entity as defined in 37 CFR 1.27. [Note - you certify that you qualify as a "small entity" under the SBA Regulations. This is typically fewer than 500 employees] (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. [Note - you certify that you have NEVER been an inventor on more than four US applications.] (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 website 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. [Note - you certify that your income for last year is below limit is stated at the link.] (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 website 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. [Note - you certify that there is no assignee or joint inventor with income above the current limit.] You do NOT need to supply any proof - just your signature. False statements can render the patent invalid.