[Code of Federal Regulations] [Title 37, Volume 1] [Revised as of July 1, 1999] From the U.S. Government Printing Office via GPO Access [CITE: 37CFR1.27] [Page 27-28] TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS CHAPTER I--PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE PART 1--RULES OF PRACTICE IN PATENT CASES--Table of Contents Subpart A--General Provisions Sec. 1.27 Statement of status as small entity. (a) Any person seeking to establish status as a small entity (Sec. 1.9(f) of this part) for purposes of paying fees in an application or a patent must file a statement in the application or patent prior to or with the first fee paid as a small entity. Such a statement need only be filed once in an application or patent and remains in effect until changed. (b) When establishing status as a small entity pursuant to paragraph (a) of this section, any statement filed on behalf of an independent inventor must be signed by the independent inventor except as provided in Sec. 1.42, Sec. 1.43, or Sec. 1.47 of this part and must state that the inventor qualifies as an independent inventor in accordance with [[Page 28]] Sec. 1.9(c) of this part. Where there are joint inventors in an application, each inventor must file a statement establishing status as an independent inventor in order to qualify as a small entity. Where any rights have been assigned, granted, conveyed, or licensed, or there is an obligation to assign, grant, convey, or license, any rights to a small business concern, a nonprofit organization, or any other individual, a statement must be filed by the individual, the owner of the small business concern, or an official of the small business concern or nonprofit organization empowered to act on behalf of the small business concern or nonprofit organization identifying their status. For purposes of a statement under this paragraph, a license to a Federal agency resulting from a funding agreement with that agency pursuant to 35 U.S.C. 202(c)(4) does not constitute a license as set forth in Sec. 1.9 of this part. (c)(1) Any statement filed pursuant to paragraph (a) of this section on behalf of a small business concern must: (i) Be signed by the owner or an official of the small business concern empowered to act on behalf of the concern; (ii) State that the concern qualifies as a small business concern as defined in Sec. 1.9(d); and (iii) State that the exclusive rights to the invention have been conveyed to and remain with the small business concern or, if the rights are not exclusive, that all other rights belong to small entities as defined in Sec. 1.9. (2) Where the rights of the small business concern as a small entity are not exclusive, a statement must also be filed by the other small entities having rights stating their status as such. For purposes of a statement under this paragraph, a license to a Federal agency resulting from a funding agreement with that agency pursuant to 35 U.S.C. 202(c)(4) does not constitute a license as set forth in Sec. 1.9 of this part. (d)(1) Any statement filed pursuant to paragraph (a) of this section on behalf of a nonprofit organization must: (i) Be signed by an official of the nonprofit organization empowered to act on behalf of the organization; (ii) State that the organization qualifies as a nonprofit organization as defined in Sec. 1.9(e) of this part specifying under which one of Sec. 1.9(e) (1), (2), (3), or (4) of this part the organization qualifies; and (iii) State that exclusive rights to the invention have been conveyed to and remain with the organization or if the rights are not exclusive that all other rights belong to small entities as defined in Sec. 1.9 of this part. (2) Where the rights of the nonprofit organization as a small entity are not exclusive, a statement must also be filed by the other small entities having rights stating their status as such. For purposes of a statement under this paragraph, a license to a Federal agency pursuant to 35 U.S.C. 202(c)(4) does not constitute a conveyance of rights as set forth in this paragraph. [62 FR 53183, Oct. 10, 1997]