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<p class="MsoNormal"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#0E2841;mso-ligatures:standardcontextual"><o:p> </o:p></span></p>
<p class="MsoNormal"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#0E2841;mso-ligatures:standardcontextual">Another trap for the unwary is that the auxiliary pdf file must be uploaded in a special spot in Patent Center and not in the same
place where you upload all of the other files and the document description must be “Auxiliary PDF of application,” and the corresponding document code is AUX.PDF.<o:p></o:p></span></p>
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<p class="MsoNormal"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#0E2841;mso-ligatures:standardcontextual">Failure to do this and you may get a notification from the USPTO asking for their $400.<o:p></o:p></span></p>
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<p class="MsoNormal"><b><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">From:</span></b><span style="font-size:11.0pt;font-family:"Calibri",sans-serif"> Patentpractice <patentpractice-bounces@oppedahl-lists.com>
<b>On Behalf Of </b>Scott Nielson via Patentpractice<br>
<b>Sent:</b> Thursday, February 22, 2024 3:56 PM<br>
<b>To:</b> For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice@oppedahl-lists.com><br>
<b>Cc:</b> Scott Nielson <scnielson@outlook.com><br>
<b>Subject:</b> Re: [Patentpractice] Preliminary Amendments in Docx?<o:p></o:p></span></p>
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<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Aptos Serif",serif;color:black">This is the USPTO's explanation from the link:<o:p></o:p></span></p>
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<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Aptos Serif",serif;color:black">37 CFR 1.16(u) applies to applications not filed in DOCX. In accordance with 37 CFR 1.115(a), a preliminary amendment that is present on the filing date of an application
is part of the original disclosure of the application. Thus, if a preliminary amendment is filed on the same day as the application, the amendment must be in DOCX format to avoid the surcharge. A preliminary amendment filed after the filing date of the application
will not incur the surcharge because it is not part of the original disclosure of the application and thus is not required to be in DOCX format.</span><o:p></o:p></p>
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<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Aptos Serif",serif;color:black">A preliminary amendment to the specification, claims, and/or abstract cannot be filed in DOCX format as part of the initial submission of a new application. If you
want to submit a preliminary amendment that is considered part of the original disclosure of the application (37 CFR 1.115(a)) and avoid the non-DOCX surcharge, you should file the preliminary amendment in DOCX format on the same day, as a follow-on submission
in the application.</span><o:p></o:p></p>
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<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Aptos Serif",serif;color:black">My understanding is: (1) a preliminary amendment filed on the same day as the application must be in DOCX format or you will need to pay the non-DOCX fee, (2) it
is not possible to file a preliminary amendment in DOCX format with the initial application, and (3) to file a preliminary amendment on the same day as the application, the application must be filed first, and then the preliminary amendment can be filed with
any sections of the spec, claims, and abstract in DOCX format.<o:p></o:p></span></p>
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<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Aptos Serif",serif;color:black">Thanks to those who identified this issue. It's a bit of trap for the unwary.<o:p></o:p></span></p>
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<p><b><span style="font-size:11.0pt;font-family:"Aptos Serif",serif;color:#1F3864">Scott Nielson</span></b><span style="font-size:11.0pt;font-family:"Calibri",sans-serif"><o:p></o:p></span></p>
<p><span style="font-size:11.0pt;font-family:"Aptos Serif",serif;color:black">801-660-4400</span><span style="font-size:11.0pt;font-family:"Calibri",sans-serif"><o:p></o:p></span></p>
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<p class="MsoNormal"><b><span style="font-size:11.0pt;font-family:"Calibri",sans-serif;color:black">From:</span></b><span style="font-size:11.0pt;font-family:"Calibri",sans-serif;color:black"> Patentpractice <<a href="mailto:patentpractice-bounces@oppedahl-lists.com">patentpractice-bounces@oppedahl-lists.com</a>>
on behalf of Catherine Van Houten via Patentpractice <<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b>Sent:</b> Thursday, February 22, 2024 1:44 PM<br>
<b>To:</b> For patent practitioners. This is not for laypersons to seek legal advice. <<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b>Cc:</b> Catherine Van Houten <<a href="mailto:catherine.vanhouten@mcneillbaur.com">catherine.vanhouten@mcneillbaur.com</a>><br>
<b>Subject:</b> Re: [Patentpractice] Preliminary Amendments in Docx?</span> <o:p>
</o:p></p>
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<p class="xmsonormal">We haven’t seen this in any of our cases, but when searching for an answer to a different DocX question and found this is on Ideascale.<o:p></o:p></p>
<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal"><span style="font-family:"Aptos",sans-serif"><a href="https://link.edgepilot.com/s/3a940693/W7Fwj4keQEusQeXJrIgCZg?u=https://uspto-emod.ideascalegov.com/c/idea/69920?utm_source=notifciation%26utm_medium=email%26utm_campaign=761%26utm_term=digest-v2%26utm_content=c108.m80222.rgov.w61">https://link.edgepilot.com/s/3a940693/W7Fwj4keQEusQeXJrIgCZg?u=https://uspto-emod.ideascalegov.com/c/idea/69920?utm_source=notifciation%26utm_medium=email%26utm_campaign=761%26utm_term=digest-v2%26utm_content=c108.m80222.rgov.w61</a></span><o:p></o:p></p>
<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal"> <o:p></o:p></p>
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<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal"><b><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#8E515A">Catherine A. Van Houten</span></b><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#8E515A">
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</span><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#8E515A">she/her/hers</span><o:p></o:p></p>
<p class="xmsonormal"><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#8E515A">Director of Intellectual Property Administration</span><o:p></o:p></p>
<p class="xmsonormal"><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#797979">McNeill Baur PLLC</span><o:p></o:p></p>
<p class="xmsonormal"><b><i><u><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#797979">Mailing address for physical documents</span></u></i></b><o:p></o:p></p>
<p class="xmsonormal"><b><i><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#797979">125 Cambridge Park Dr., Ste 301, Cambridge, MA 02140</span></i></b><o:p></o:p></p>
<p class="xmsonormal"><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#797979">t: 617.430.4740 x802 </span><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#B95835;background:white">| </span><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#797979">m:
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617.812.1277</span><o:p></o:p></p>
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<p class="xmsonormal"><span style="font-size:9.0pt;font-family:"Helvetica",sans-serif;color:#7F7F7F">This email and any attachments may contain privileged, confidential, or proprietary information. If you received this email in error, please notify the sender
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<p class="xmsonormal"><b>From:</b> Patentpractice <<a href="mailto:patentpractice-bounces@oppedahl-lists.com">patentpractice-bounces@oppedahl-lists.com</a>>
<b>On Behalf Of </b>Hill, Jason via Patentpractice<br>
<b>Sent:</b> Thursday, February 22, 2024 2:32 PM<br>
<b>To:</b> <a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a><br>
<b>Cc:</b> Hill, Jason <<a href="mailto:jhill@harnessip.com">jhill@harnessip.com</a>><br>
<b>Subject:</b> [Patentpractice] Preliminary Amendments in Docx?<o:p></o:p></p>
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<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal">Out of curiosity has anyone else received a Notice to file Missing Parts regarding a non-DOCX fee as it relates to a preliminary amendment that was filed in pdf format along with the original submission? Does anyone know where in the docx
regulations where it states that any preliminary amendment filed along with the original submission must be in docx format? Below is a snip of the NTFMP that we received
<u>and to be clear the specification as filed was uploaded as docx</u>. <o:p></o:p></p>
<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal"><img border="0" width="574" height="370" style="width:5.9791in;height:3.8541in" id="x__x005f_x0000_i1029" src="cid:image001.png@01DA65A8.3C43FA50"><o:p></o:p></p>
<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal">We have received a couple of these and the only place we can find any information about it is in a FAQ here:
<a href="https://link.edgepilot.com/s/85d72f37/07O9Wtb79Eux0QvxWZQ4JA?u=https://www.uspto.gov/patents/docx">
File patent application documents in DOCX | USPTO</a><o:p></o:p></p>
<p class="xmsonormal"> <o:p></o:p></p>
<p class="xmsonormal">Thanks!<o:p></o:p></p>
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<p class="xmsonormal" style="line-height:9.75pt"><b><span style="font-size:8.0pt;font-family:"Arial",sans-serif;color:#1A395C">Jason L. Hill</span></b><o:p></o:p></p>
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<p class="xmsonormal" style="line-height:7.0pt"><b><span style="font-size:7.0pt;font-family:"Arial",sans-serif;color:black">O:
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