[Patentpractice] Preliminary Amendments in Docx? (AND Auxiliary PDF version of Application)

Fri Feb 23 12:32:46 EST 2024

Has anyone been charged for a non-DOCX filing after filing the auxiliary PDF as a non-BW drawing?

Roger M. Masson
Senior Counsel
Hinshaw & Culbertson LLP
151 North Franklin Street, Suite 2500, Chicago, IL 60606

O: 312-704-3516 | F: 312-704-3001
RMasson at hinshawlaw.com<mailto:RMasson at hinshawlaw.com>
My Bio<https://www.hinshawlaw.com/professionals-Roger-Masson.html> | hinshawlaw.com<http://www.hinshawlaw.com>

Follow us on

[Hinshaw LinkedIn Page]<https://www.linkedin.com/company/17618/>  [Hinshaw Facebook Page] <https://www.facebook.com/hinshawlaw/>   [Hinshaw Twitter Page] <https://twitter.com/hinshaw>

[Hinshaw & Culbertson LLP]<http://www.hinshawlaw.com/>

[Link to Hinshaw website]<https://www.hinshawlaw.com/newsroom-news-hinshaw-mansfield-rule-five-certified.html>

From: Alan Taboada <ataboada at mtiplaw.com>
Sent: Thursday, February 22, 2024 4:11 PM
To: For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice at oppedahl-lists.com>
Subject: Re: [Patentpractice] Preliminary Amendments in Docx? (AND Auxiliary PDF version of Application)

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.

Failure to do this and you may get a notification from the USPTO asking for their $400.

From: Patentpractice <patentpractice-bounces at oppedahl-lists.com<mailto:patentpractice-bounces at oppedahl-lists.com>> On Behalf Of Scott Nielson via Patentpractice
Sent: Thursday, February 22, 2024 3:56 PM
To: For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice at oppedahl-lists.com<mailto:patentpractice at oppedahl-lists.com>>
Cc: Scott Nielson <scnielson at outlook.com<mailto:scnielson at outlook.com>>
Subject: Re: [Patentpractice] Preliminary Amendments in Docx?

This is the USPTO's explanation from the link:
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.

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.
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.

Thanks to those who identified this issue. It's a bit of trap for the unwary.

Scott Nielson

801-660-4400

________________________________
From: Patentpractice <patentpractice-bounces at oppedahl-lists.com<mailto:patentpractice-bounces at oppedahl-lists.com>> on behalf of Catherine Van Houten via Patentpractice <patentpractice at oppedahl-lists.com<mailto:patentpractice at oppedahl-lists.com>>
Sent: Thursday, February 22, 2024 1:44 PM
To: For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice at oppedahl-lists.com<mailto:patentpractice at oppedahl-lists.com>>
Cc: Catherine Van Houten <catherine.vanhouten at mcneillbaur.com<mailto:catherine.vanhouten at mcneillbaur.com>>
Subject: Re: [Patentpractice] Preliminary Amendments in Docx?

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.

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://urldefense.com/v3/__https:/link.edgepilot.com/s/3a940693/W7Fwj4keQEusQeXJrIgCZg?u=https:**Auspto-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__;Ly8vLy8_JSUlJQ!!DSW8GXjB_AIhxt_iwsTS!WYRLz7DJT3pq1Ll93iwtla7HVrE4Ux5lyw8k12T-zwIKCP-8GjGCt-XJaFjGwsFwFr3zJPs6lxWPV1El7DaFCjbTURI7Qqs17_E$>

Catherine A. Van Houten | she/her/hers

Director of Intellectual Property Administration

McNeill Baur PLLC

Mailing address for physical documents

125 Cambridge Park Dr., Ste 301, Cambridge, MA 02140

t: 617.430.4740 x802 | m: 301.848.5729 | fax: 617.812.1277

email<mailto:catherine.vanhouten at mcneillbaur.com> | website<https://urldefense.com/v3/__https:/link.edgepilot.com/s/dadaa759/v2atXu0HyEGVVLcaSYXcdw?u=http:**Awww.mcneillbaur.com*__;Ly8v!!DSW8GXjB_AIhxt_iwsTS!WYRLz7DJT3pq1Ll93iwtla7HVrE4Ux5lyw8k12T-zwIKCP-8GjGCt-XJaFjGwsFwFr3zJPs6lxWPV1El7DaFCjbTURI7LzATeyI$> | bio<https://urldefense.com/v3/__https:/link.edgepilot.com/s/4fbad36f/cUdrLpTfm0_wfZjDxC-dWg?u=http:**Awww.mcneillbaur.com*professionals*professionals-catherine-a-van-houten.php__;Ly8vLw!!DSW8GXjB_AIhxt_iwsTS!WYRLz7DJT3pq1Ll93iwtla7HVrE4Ux5lyw8k12T-zwIKCP-8GjGCt-XJaFjGwsFwFr3zJPs6lxWPV1El7DaFCjbTURI74Y0hOFc$> | LinkedIn<https://urldefense.com/v3/__https:/link.edgepilot.com/s/02c9594a/Fs0Lr355PkGd7VSKQsZQag?u=https:**Awww.linkedin.com*in*catherine-van-houten-8727b14a*__;Ly8vLy8!!DSW8GXjB_AIhxt_iwsTS!WYRLz7DJT3pq1Ll93iwtla7HVrE4Ux5lyw8k12T-zwIKCP-8GjGCt-XJaFjGwsFwFr3zJPs6lxWPV1El7DaFCjbTURI7CaJmByM$>

This email and any attachments may contain privileged, confidential, or proprietary information. If you received this email in error, please notify the sender by reply and delete the email and any attachments.

From: Patentpractice <patentpractice-bounces at oppedahl-lists.com<mailto:patentpractice-bounces at oppedahl-lists.com>> On Behalf Of Hill, Jason via Patentpractice
Sent: Thursday, February 22, 2024 2:32 PM
To: patentpractice at oppedahl-lists.com<mailto:patentpractice at oppedahl-lists.com>
Cc: Hill, Jason <jhill at harnessip.com<mailto:jhill at harnessip.com>>
Subject: [Patentpractice] Preliminary Amendments in Docx?

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 and to be clear the specification as filed was uploaded as docx.

[cid:image008.png at 01DA664C.04572AA0]

We have received a couple of these and the only place we can find any information about it is in a FAQ here: File patent application documents in DOCX | USPTO<https://urldefense.com/v3/__https:/link.edgepilot.com/s/85d72f37/07O9Wtb79Eux0QvxWZQ4JA?u=https:**Awww.uspto.gov*patents*docx__;Ly8vLw!!DSW8GXjB_AIhxt_iwsTS!WYRLz7DJT3pq1Ll93iwtla7HVrE4Ux5lyw8k12T-zwIKCP-8GjGCt-XJaFjGwsFwFr3zJPs6lxWPV1El7DaFCjbTURI7mVAX0VQ$>

Thanks!

Jason L. Hill

Clerical Supervisor

O: 703-668-8083<tel:703-668-8083>

12950 Worldgate Dr. Suite 750
Herndon, VA 20170

[Harness Intellectual Property Law Since 1921]<https://urldefense.com/v3/__https:/link.edgepilot.com/s/7476c86c/i0wXlti6lE6LSQF-dG1EWA?u=https:**Alinkprotect.cudasvc.com*url*a=https*253a*252f*252fwww.harnessip.com*252f*26c=E*2C1*2C7hCPNbPX4Y-vedGjw_G6Ra3tRvf887cbsBemtTKQSqu3R-YfLgELEGN5GcHCyvAGXZyWEyIxrb7MpdmdqSOvGpXKNBVCrewOTAe9Om4R-YBF*26typo=1__;Ly8vPyUlJSUlJSUl!!DSW8GXjB_AIhxt_iwsTS!WYRLz7DJT3pq1Ll93iwtla7HVrE4Ux5lyw8k12T-zwIKCP-8GjGCt-XJaFjGwsFwFr3zJPs6lxWPV1El7DaFCjbTURI7pCvbqC0$>

________________________________

HARNESS, DICKEY & PIERCE, PLC LEGAL NOTICE: The information contained in this transmission is intended only for the individual(s) or entity(ies) to whom it is addressed. It may contain information protected from use and/or disclosure by law, including information that is protected as confidential, attorney-client privileged, attorney work product and/or trade secrets. If the reader of this message is not the intended recipient, or an employee or agent responsible for delivering this message to the addressee, the reader is hereby notified that any use, distribution or copying of this communication is strictly prohibited. If you believe you have received this facsimile or message in error, please immediately notify us at our expense by return mail or e-mail and permanently delete or destroy all copies of the message.
To comply with U.S. Treasury regulations, we advise you that any discussion of Federal tax issues in this communication was not intended to be used, and cannot be used, by any person (i) to avoid penalties that may be imposed by the Internal Revenue Service, or (ii) to promote, market or recommend to another party any matter addressed herein. Any portions of this transmission containing controlled technical data are restricted by U.S. export laws and regulations, and may not be distributed or retransmitted to non-U.S. persons without appropriate licensing or a licensing exemption. Neither this information block, nor the signature block, nor the typed name of the sender, nor anything else in this message is intended to constitute an electronic signature unless a specific statement to the contrary is included.

Links contained in this email have been replaced. If you click on a link in the email above, the link will be analyzed for known threats. If a known threat is found, you will not be able to proceed to the destination. If suspicious content is detected, you will see a warning.

Hinshaw & Culbertson LLP is an Illinois registered limited liability partnership that has elected to be governed by the Illinois Uniform Partnership Act (1997).

The contents of this e-mail message and any attachments are intended solely for the addressee(s) named in this message. This communication is intended to be and to remain confidential and may be subject to applicable attorney/client and/or work product privileges. If you are not the intended recipient of this message, or if this message has been addressed to you in error, please immediately alert the sender by reply e-mail and then delete this message and its attachments. Do not deliver, distribute or copy this message and/or any attachments and if you are not the intended recipient, do not disclose the contents or take any action in reliance upon the information contained in this communication or any attachments.
-------------- next part --------------
An HTML attachment was scrubbed...
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment.htm>
-------------- next part --------------
A non-text attachment was scrubbed...
Name: image003.jpg
Type: image/jpeg
Size: 1162 bytes
Desc: image003.jpg
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment.jpg>
-------------- next part --------------
A non-text attachment was scrubbed...
Name: image004.jpg
Type: image/jpeg
Size: 1169 bytes
Desc: image004.jpg
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment-0001.jpg>
-------------- next part --------------
A non-text attachment was scrubbed...
Name: image005.jpg
Type: image/jpeg
Size: 1153 bytes
Desc: image005.jpg
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment-0002.jpg>
-------------- next part --------------
A non-text attachment was scrubbed...
Name: image006.jpg
Type: image/jpeg
Size: 10182 bytes
Desc: image006.jpg
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment-0003.jpg>
-------------- next part --------------
A non-text attachment was scrubbed...
Name: image007.jpg
Type: image/jpeg
Size: 18721 bytes
Desc: image007.jpg
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment-0004.jpg>
-------------- next part --------------
A non-text attachment was scrubbed...
Name: image008.png
Type: image/png
Size: 60741 bytes
Desc: image008.png
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment.png>
-------------- next part --------------
A non-text attachment was scrubbed...
Name: image009.png
Type: image/png
Size: 6193 bytes
Desc: image009.png
URL: <http://oppedahl-lists.com/pipermail/patentpractice_oppedahl-lists.com/attachments/20240223/c0ba8c02/attachment-0001.png>