`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO Box 1450
`Alexandria. Virginia 223 I 3-l450
`www.usplo.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`27975
`
`7590
`
`.
`
`02/20/2008
`
`ALLEN, DYER, DOPPELT, MILBRATH & GILCHRIST P.A.
`1401 CITRUS CENTER 255 SOUTH ORANGE AVENUE
`13.0. BOX 3791
`
`ORLANDO’ FL 32802-3791
`
`EXAMINER
`
`WASSUM. LUKE S
`
`2167
`
`DATE MAILED: 02/20/2008
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`Karol Doktor
`06/14/2005
`1 “152,835
`TITLE OF INVENTION: EASILY EXPANDABLE DATA PROCESSING SYSTEM AND METHOD
`
`83 I45
`
`6448
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`YES
`
`$720
`
`$0
`
`$0
`
`$720
`
`05/20/2008
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON ’
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`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
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`IF AN ISSUE FEE HAS
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`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
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` PTOL-85 (Rev. 08/07
`
`IBM EX. 1020
`
`001
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`
`
`PART B - FEE(S) TRANSMITTAL
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`Complete and send this form, together with applicable fee(s), to: MLil Mail Stop ISSUE FEE
`Commissioner for Patents
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`
`through 5 should be completed where
`INSTRUCTIONS: This form should be. used for transmitting the ISSUE FEE and PUBLICATION FEE (if required); Blocks I
`in
`apgropnate. All further correspondence including the Patent, advance orders and notification of maintenance fees will
`e mailed to the current corres ondence address as
`icated unless corrected below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate " EE ADDRESS" for
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any change ofaddress)
`
`02/20/2008
`7590
`27975
`ALLEN, DYER, DOPPELT, MILBRATH & GILCHRIST RA.
`140] CITRUS CENTER 255 SOUTH ORANGE AVENUE
`P.O. BOX 3791
`.
`ORLANDO, FL 32802—3791
`.
`
`Now: A certificate OI mallln can CHI)’ 56 USCa for aomCSIIC mailings CI [“0
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`Eapers. Each additional paper, such as an asSignment or formal drawmg, must
`ave its own certificate of mailing or transmissmn.
`C
`I"
`[M l
`T
`ransmission '
`erti ieate o
`ai ing or
`that this lFee s Transmittal iébefi'ng depositedlwith the Unlited
`[Shereb cerltif
`erVice Wit
`su ic1ent osta e or irst c ass mai
`in an enveo e
`tates osta
`addressed to the Mail Stop ISSUEpFEEgaddress above, or bein
`facsimile
`transmitted to the USPTO ( 71) 2732885, on the date indicated be ow.
`_
`,
`(Deposnor 5 name)
`
`
`
`(Signature)
`
`(Date)
`
`Karol Doktor
`06/ I 4/2005
`I I/ I 52,835
`TITLE OF INVENTION: EASILY EXPANDABLE DATA PROCESSING SYSTEM AND METHOD
`
`83145
`
`6448
`
`APPLN. TYPE
`
`.
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`nonprovisional
`
`_
`
`YES
`
`WASSUM, LUKE S
`
`$720
`
`2167
`
`$0
`
`$0
`
`$720
`
`707-004000
`
`DATE DUE
`
`05/20/2008
`
`2. For printing on the patent front page, list
`1. Chan e of correspondence address or indication of "Fee Address" (37
`
`
`CFR l. 63).
`
`(I) the names of up to 3 registered patent attorneys
`1
`or agents OR, alternatively,
`D Chan e of cones ondence address (or Change of Correspondence
`
`Address orm PTO/ B/ 122) attached.
`(2) the name ofa single firm (having as a member a
`registered attomey or agent) and the names of up to
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`
`PTO/SB/47; Rev 03—02 or more recent) attached. Use of a Customer
`2 registered patent attorneys or agents. If no name is
`Number is required.
`listed, no name will be printed.
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`
`2
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`3
`
`If an assignec is identified below, the document has been filed for
`PLEASE NOTE: Unless an assilgnee is identified below, no assignec data will appear on the patent.
`recordation as set forth in 37 CF 3.] I. Completion ofthis form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : D Individual '3 Corporation or other private group entity El Government
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`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`4a. The following fee(s) are submitted:
`CI A check is enclosed.
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`D Advance Order - # of Copies
`CI The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`_‘—_‘—— enclose an extra copy of this form). overpayment, to Deposn Account Number
`
`5. Change in Entity Status (from status indicated above)
`
`D a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27,
`C] b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR l.27(g)(2).
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
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`interest as shown by the records of the United States Patent and Trademark Office.
`
`Authorized Signature
`
`Date
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`
`Registration No.
`Typed or printed name
`
`
`This collection ofinformation is required by 37 CFR L3] 1. The information is reflluired to obtain or retain a benefit b the public which is to file (and by the USPTO to process)
`an application. Confidentiality is governed by 35 U.S.C. I22.and 37 CFR l.l4.
`is collection is estimated to take I minutes to complete, including gathering, preparing, and
`submitting the completed application form to the USPTO. Time will va
`de ending upon the individual case. Any comments on the amount of time you require to com lete
`this form and/or Si‘ifilgestions for reducmg this burden, should be sent to t e C ief In ormation Officer, US. Patent and Trademark Office, US. Department of Commerce,
`.0.
`BCI)X I430, A\I/exan . 3,81} ilii‘iaggz3I3-I450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, Po. Box I450,
`A exan na,
`irginia
`-
`.
`Under the Papenvork Reduction Act of I995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`PTOL-SS (Rev. 08/07
`
`002
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria, Virginia 2238-1450
`www.uspl0.gov
`
`APPLICATION NO.
`
`-
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`| I/152,835
`
`06/l4/2005
`
`'
`
`Karol Doktor
`
`83145
`
`6448
`
`ALLEN, DYER, DOPPELT, MILBRATH & GILCHRIST P.A.
`1401 CITRUS CENTER 255 SOUTH ORANGE AVENUE
`PO. BOX 3791
`
`ORLANDO’ FL 32802-3791
`
`WASSUMv LUKE S
`
`2|67
`
`DATE MAILED: 02/20/2008
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 251. Accordingly, the
`above-identified reissue application is not eligible for Patent Term Extension or Adjustment under 35 U.S.C. 154(b).
`
`Any qUestions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments Should be
`directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0101
`or
`(571)—272-4200.
`
`
`
`003
`
`003
`
`
`
`Application No.
`
`Applicant(s)
`
`11/152,835 + 40 a) 7 707—
`Examiner
`
`DOKTOR, KAROL
`Art Unit
`
`Luke 8. Wassum
`
`2167
`
`
`
`Notice of Allowability
`
`
`
`- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this applicatiOn.
`If not included
`
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1. E This communication is responsive to amendment filed 17 October 2007.
` 2. IX The allowed claim(s) is/are 1-18.
` 3. E] Acknowledgment is made of a claim for foreign priority under 35 U.S.C._§ 119(a)—(d) or (f).
`'
`a) [:1 All ml] Some"
`c) [1 None
`of the:
`
`.
`
`
`
`1. E] Certified copies of the priority documents have been received. .
`
`2. E] Certified copies of the priority documents have been received In Application No.
`
`
`
`3. [:l Copies of the certified copies of the priority documents have been received in this national stage application from the
`lntemational Bureau (PCT Rule 17.2(a)).
`
`
`
`
`
`
`
`* Certified copies not received: _
`
` Applicant has THREE MONTHS FROM THE “MAILINGDATE” of this communication to file a reply complying with the requirements
`
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD is NOT EXTENDABLE.
` 4. D A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF
`
`
`
`
`
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`5. D CORRECTED DRAWINGS ( as “replacement sheets") must be submitted.
`(a) El including changes required by the Notice of Draftsperson's Patent Drawing Review( PTO-948) attached
`1) I] hereto or 2) [I to Paper No./MaiI Date
`
`(b) E] including changes required by the attached Examiner's Amendment / Comment or in the Office action of
`Paper No./Mai| Date
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121 (d).
`
`
`
`
`6. E] DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Attachment(s)
`1. E Notice of References Cited (PTO-892)
`
`_
`
`2. [:1 Notice of Draftperson's Patent Drawing Review (PTO-948)
`
`3. E Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date 20070917
`4. El Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`’
`5. I] Notice of Informal Patent Application
`
`6. El Interview Summary (PTO-413),
`Paper NoIMaiI Date
`.
`7. [j Examiner's Amendment/Comment
`
`‘
`
`8. IX] Examiner's Statement of Reasons for Allowance
`
`
`
`
`9. C] Other—
`
` MamS.Wassum
`
`
`
`
`
`
`Primary Examiner
`Art Unit 2167
` U.S. Patenl and Trademark Office
`PTOL-37 (Rev. 08-06)
`Notice of Allowability
`Part of Paper No./Mail Date 20080206
`
`
`
`004
`
`
`
`
`
`UNITED STATES PATENT AND‘TRADEMARK OFFICE
`UNITED STATES DEPARTMENT OF COMMERCE
`Uniied States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria, Virginia 223134450
`www.usplo.gov
`‘
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NOI
`
`90/007,707
`
`09/01/2005
`
`5826259
`
`83 l45_REXl
`
`9155
`
`27975
`
`7590
`
`02/20/2008
`
`EXAMINER
`
`ALLEN, DYER, DOPPELT, MILBRATH & GILCHRIST RA.
`1401 CITRUS CENTER 255 SOUTH ORANGE AVENUE
`PO. BOX 3791
`-
`ORLANDO, FL 32802-3791
`
`ART UN”
`
`PAPER NUMBER
`
`DATE MAILED: 02/20/2008
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTO-90C (Rev.
`005
`
`005
`
`
`
` flfl UNITEDSIM-mPATENTAND132mmonto:
`0%u
`
`ii:o
`
`,
`
`
`
`,
`
`.
`-
`.v
`
`n
`5..
`I
`
`
`Omissions: for Pawns
`'
`United Slates Patent and Trademark Oflice
`P.0. Boxtaso
`Alexandria, VA 2731 3—1450
`“wow
`
`THIRD PARTY REQUESTER'S CORRESPONDENCE ADDllESS
`
`9/30/2005
`
`Donald E. Daybell
`
`ORRICK HERRINGTON & SUTCLIFFE LLP
`
`4 Park Plaza, Suite 1600
`
`Irvine, CA. 92614
`
`EX PARTE REEXAMINATION COMMUNICATION TRANSMITI'AL FORM
`
`REEXAMINATION CONTROL" NO 90/007707
`
`PATENT N0.
`
`5,826,259
`
`'
`
`ART UNI
`
`3900‘
`
`Enclosed is a copy of the latest communication from the United States Patent
`and Trademark Office in the above identified ex parte reexamination
`'
`proceeding (37 CFR 1.550(f)).
`
`Where this copy is supplied after the reply by requester, 37 CFR 1.535, or the
`time for filing a replly has passed, no submission on behalf of the ex parte
`reexamination requester will be acknowledged or considered (37 CFR 1.550(9)).
`
`
`006
`
`006
`
`
`
`Application/Control Number: 11/152,835 and 90/007,707
`Art Unit: 2167
`
`Page 2
`'
`
`DETAILED ACTION
`
`Merged Reissue/Reexamination
`
`1.
`
`p This Office action continues prosecution of the merged reissue/reexamination of
`
`US. Patent 5,826,259, issued on 20 October 1998 to inventor Karol Doktor, assigned to
`
`Financial Systems Technology (Intellectual Property) Pty. Ltd" of South Melbourne,
`
`Australia. The patent is based upon application 08/862,176,‘ filed 22 May 1997, and. is a
`
`continuation of application 08/439,207, filed 11 May 1995 (now US. Patent 5,675,779,
`
`currently undergoing reissue as serial number 11/152,839), which was a division of
`
`application 08/083,861, filed 28 June 1993 (now US. Patent 5,604,899), which is a
`
`continuation of application 07/526,424, filed 21 May 1990 (now abandoned).
`
`2.
`
`The serial number of the instant reexamination is 90/007,707; the serial number of
`
`the instant reissue is 11/152,835.
`
`_
`
`3.
`
`In accordance with the Decision to Merge Reissue and Reexamination
`
`Proceedings, mailed 5 December 2005, this proceeding is being conducted on the basis
`
`of the rules relating to the broader, reissue-related examination, and consistent with
`
`applicable reissue statute, rules and case law (see section 111.3, page 4 of the Decision to
`
`Merge). However, the Applicant should note that periods for response will be set at -
`
`
`007
`
`007
`
`
`
`Application/Control Number: 11/152,835 and 90/007,707
`
`Page 3
`
`Art Unit: 2167
`
`TWO 12! months to comply with the statutory requirement for special dispatch in ex
`
`parte reexamination (35 U.S.C. § 335).
`
`Response to Request for Reconsideration
`
`4.
`
`The Applicant's request for reconsideration, filed 17 October 2007 has been
`
`received, entered into the record, and considered.
`
`5.
`
`There were no additional amendments to the claims in the current submissions.
`
`Claims 4, 9, 10, 12 and 16-18 have been previously amended. Claims 1-18 remain
`
`pending in the application.
`
`Priority
`
`6.
`
`The instant patent depends ultimately from application 07/526,424, filed 21 May
`
`1990.
`
`Information Disclosure Statement
`
`7.
`
`The Applicants’ Information Disclosure Statement, filed 17 September 2007, has
`
`been received and entered into the record.
`
`
`008
`
`008
`
`
`
`Application/Control Number: 11/152,835 and 90/007,707
`
`Page 4
`
`Art Unit: 2167
`
`8.
`
`Reference BB has not been considered, since it is a German language document.
`
`Since the remainder of the Information Disclosure Statement complies with the
`
`provisions of MPEP § 609, the references cited therein have been considered by the
`
`examiner. See attached form PTO-1449.
`
`Response to Arguments
`
`9.
`
`The Applicant's arguments, filed 17 October 2007, have been fully considered
`
`and are persuasive' The rejections of record have been withdrawn the by the examiner.
`
`10.
`
`In particular, with regard to the Munz references, in View of the Applicant's
`
`arguments and evidence submitted, the examiner finds that the disclosed database
`
`would not qualify as a relational database as is disclosed and claimed in the instant
`
`application.
`
`Allowdble Subject Matter
`
`11.
`
`Claims 1-18 are allowed.
`
`
`009
`
`009
`
`
`
`Application/Control Number: 11/152,835 and 90/007,707
`Art'Unit: 2167
`
`Page 5
`
`12.
`
`The following is an examiner’s statement of reasons for allowance:
`
`The disclosed invention is directed to a data processing system and method for
`
`retrieving a desired entity from a relational database. It includes the retrieval of a
`
`specific relation type record from a relation definition table, the retrieval of a specific
`
`relation instance record from a relation instance table, the retrieval of a desired entity
`
`type record from an entity definition table, and the retrieval of the desired entity record
`
`from the desired entity instance table.
`
`The closest prior art of record is disclosed by the Munz references ("Design of the
`
`WELL System") and ("The WELL System: A Multi-User Database System Based on
`
`Binary Relationships and Graph-Pattern-Matching“) which teach a database system
`
`based upon entities and binary relationships. It discloses functionality for performing
`
`data retrieval similar to that provided for in the claimed invention (see page 104,
`
`drawing Figure 13, example 3, et seq.).
`
`Additionally, the newly submitted Munz reference ("Das WEB_Modell")
`
`discloses an implementation that utilizes a table of node-edge-node triples.
`
`However, Munz fails to anticipate or render obvious the recited feature of a
`
`
`relational database as in independent claims 1 and 10, and as such, does not include the
`
`
`
`010
`
`
`
`Application/Control Number: 11/152,835 and 90/007,707
`Art Unit: 2167
`~
`
`'
`
`.
`
`Page 6
`
`claimed entity instance tables, but only what could be mOre properly characterized as _
`attribute instance tables.
`I
`
`Likewise, it is apparent that the newly submitted Munz reference also fails to
`
`disclose the claimed entity instance tables, since the example displayed in Figure 10.2 is
`
`not consistent with such an implementation. If the disclosed 'Node' is interpreted as
`
`referring to an analogue of the claimed entity instance, this would be consistent with
`
`entries such as 'Hans' and 'Max', but would be inconsistent with entries such as 'cat' and
`
`'mouse‘. On the other hand, if the disclosed 'Node' is interpreted as referring toan
`
`analogue of the claimed entity type, this would be consistent with entries such as 'cat'
`
`and 'mouse', but inconsistent with entries such as 'Hans' and ‘Max'.
`
`Clearly, the table structure disclosed in Figure 10.2 is inconsistent with that
`
`disclosed and claimed in the instant application.
`
`These features, together with the other limitations of the independent and
`
`dependent claims are novel and non—obvious over the prior art of record.
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`
`
`011
`
`
`
`Application/Control Number: 11/152,835 and 90/007,707
`Art Unit: 2167
`‘
`
`Page 7
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`Any comments considered necessary by’applicant must be submitted no later
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`than the payment of the issue fee and, to avoid processing delays, should preferably
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`accompany the issue fee. Such submissions should be clearly labeled ”Comments on
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`Statement of Reasons for Allowance.”
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`
`
`012
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`
`
`Application/Control Number: 11/152,835 and 90/007,707
`Art Unit: 2167
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`Page 8
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`Conclusion
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`- Any inquiry concerningthis communication or earlier communications from the
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`examiner should be directed to Luke 5. Wassum whose telephone number is 571-272-
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`4119. The examiner can normally be reached on Monday-Friday 8:30-5:30, alternate
`Fridays off.
`A
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`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
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`supervisor, John R. Cottingham can be reached on 571-272-7079. The fax phone number
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`for the organization where this application or proceeding is assigned is 571-273-8300.
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`In addition, INFORMAL or DRAFT communications may be faxed directlyto the
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`examiner at 571-273-4119, or sent via email at luke.wassum@uspto.gov, with a previous
`
`
`written authorization in accordance with the provisions of MPEP § 502.03. Such
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`communications must be clearly marked as INFORMAL, DRAFT or UNOFFICIAL.
`
`Customer Service for Tech Center 2100 can be reached during regular business
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`hours at (571) 272-2100, or fax (571) 273-2100.
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`
`
`013
`
`
`
`Application/Control Number: 11/152,835 and 90/007,707
`Art Unit: 2167
`
`_
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`Page 9
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`Information regarding the status of an application may be obtained from the
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`Patent Application Information Retrieval (PAIR) system. Status information for '
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`published applications may be obtained from either Private PAIR or Public PAIR. .
`
`Status information for unpublished applications is available through Private PAIR only.
`For more information about the PAIR system,- see http://pair-direct.uspto.gov. Should
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`you have questions on access to the Private PAIR system, contact the Electronic
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`Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a
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`
`WM/MM
`
`‘Luke S. Wassum
`
`Primary Examiner
`Art Unit 2167
`
`lsw
`
`8 February 2008
`
`
`
`014
`
`