Original Sixth Edition, Ja1i1uary*199 i5 i
`Latest Revision September 1995
`
`
`
`U.S. DEPARTMENT OF COMMERCE
`
`Patent and Trademark Office
`
`FUJIFILM Corp., et a1me,_1,mme
`}Ex.1oo%s,p.1or5 e
`T
`
`
`Ex. 1008, p. 1 of 5
`
`FUJIFILM Corp., et al.
`
`

`
`V MANUAL OF PATENT BXAMINING PROCEDURE
`
`V
`I
`p
`608.04(a)
`NOTE-—New matter in reissue applimtion,’ MPEP
`§ 1411.02. New matter in substitute specification, MPEP
`§ a 714.20.‘
`7
`“
`V
`V
`>NOTE-V—tNo amendment is permitted in a provi-
`sional application after it receives a filing date.<
`608.04(a). lMatte_r Not in Original
`$pecification, Claims, or Drawings
`
`Matter not in the original specification, claims, or
`drawings is usually new matter. Depending on circum-
`stances such as the adequacy of the original disclosure,
`the addition of inherent characteristics such as chemical
`
`or physical properties, a new structural formula or a new
`use may be new matter. See Ex parte Vander WaI,jet al.,
`1956 C.D. 11; 705 O.G. 5 (physical properties), Exparre
`Fox, 1960 C.D. 28; 761 O.G. 906.(new formula) and Er
`pane Ayers,
`er al., 108 USPQ 444 (new use).
`For rejection of claim involving new matter, see MPEP '
`§706.03(o).
`disclosure, MPEP
`of
`NOTE—Completeness
`§ 608.01(p); Trademarks and tradenames, MPEP
`§ 608.01(v).
`
`608.04(b) New Matter by Preliminary
`Amendment
`
`An amendment is sometimes filed along with the fil-
`ing of the application. Such amendment does not enjoy
`the status as part of the original disclosure in an applica-
`tion filed under 37 CFR 1.53 unless it is referred to in the
`
`oath or declaration filedtherewith. Once an oath or dec-
`
`laration is submitted in an application filed under
`37 CFR 1.53 identifying the papers which the inventor(s)
`has “reviewed and understands” as required by 37 CFR
`1.63, the original disclosure of the application is defined
`and cannot be altered merely by filing of a subsequent
`oath or declaration referring to different papers. If the
`application is filed without an executed oath or declara-
`tion pursuant to 37 CFR 1.53(b), the original oath or
`declaration submitted later than the filing date must re-
`fer to the preliminary amendment filed along with the
`application in order to comply with 37 CFR 1.63.
`An amendment which adds additional disclosure
`
`filed with a request for a continuation—in—part applica-
`tion under 37 CFR 1.62 is automatically considered a
`part of the original disclosure of the application by virtue
`of the rule. Therefore, the oath or declaration filed in
`
`such an appliwticn mint identifythe wdrncnt swing
`additionaldisclosureasoneoftlrepaperswhich thein-
`ventor(s)i has “reviewed and undersmnds” in ormr to
`complywith 37 CFR 1.63. name original oath or declara-
`tion submitted in a continuation-in-part application
`filed under 37 CFR ‘1.62 does not contain a reference to
`
`the amendment filed with the request for an application
`under 37 CFR 1.62, the examiner must require a supple-
`mental oatlr or declaration referring to the amendment.
`
`608.04(c) Review ofExaminefs Holding of
`New Matter
`‘
`
`Where the new matter is confined to amendments to
`the specification, review of the examiner’s requirement
`for cancelation is by way of petition. But where the al-
`leged new matter is introduced into or affects the claims,
`. thus necessitating their rejection on this ground, the
`question becomes an appealable one, and should not be
`considered on petition even though that new matter has
`been introduced into the specification also. 37 CFR
`1.181 and 1.191 afford the explanation of this seemingly
`inconsistent practice as affecting new matter in the spec-
`ification.
`
`608.05 Deposit of Computer Program Listings
`
`37 CFR 1.96. Submission ofcomputerprogram listings.
`Descriptions of the operation and general content of computer
`program listings should appear in the description portion of the
`specification. Acomputerprogram listing for thepurpose of these rules
`is defined asaprinout that listsin appropriate sequence the instructions,
`routines, and other contents ofa program for a computer. The program
`listing may be either in machine or machine-independent (object or
`source) language which will cause a computer to perform a desired
`procedure or task such as solve a problem, regulate the flow ofworkin a
`computer, orcontrol or monitorevents. Computerprograrnlistingsmay
`be submitted in patent applications in the following fomrs:
`(a) Material which will be printed in the patent. If the computer
`program listing is contained on 10 printout pages or less, it must be
`submitted either as drawings or as part of the specification.
`(1) Drawings. The listing may be submitted in the manner and
`complying with the requirements for drawings as provided in § 1.84. At
`least one figure numeral is required on each sheet of drawing.
`(2) Specification. (i) The listing maybe submitted as part of the
`specification in accordancewith theprovisionsof§ 1.52, attheend ofthe
`description but before the claims.
`(ii) The listing may be submitted as part of the specification in
`the form ofeomputerprintout sheets (commonly 14by 11 inchesinsize)
`foruseascamera readyeopywhenapatentissubsequentlyp/rinted.Such
`computer printout sheets must be original copies from the computer
`with dark solid black letters not less than 0.21 cm high, on white,
`unshadedandunlined paper, theprintingoneachsheet mustbelirnited
`
`Rev. 1. Sept. 1995
`
`600-82
`
`FUJIFILM Corp., et al.
`Ex. 1008, p. 2 of 5
`
`Ex. 1008, p. 2 of 5
`
`FUJIFILM Corp., et al.
`
`

`
`
`
`mars; FORM, AND cowrmrr on APPLICATION
`
`toanarea9incheshighby13lnchesMde,andthesheetsshouldbe
`submitted_in_. a, protective cover. When printed in patents, such
`computer printout
`appear at the end of the description but
`beforethe claims andwillfusuallybe reduced about lI2i_n sizewithtwo
`printout sheets printed as one patent
`mge. Any
`amendmentsrnust be made bywayofsubmission ofa substitute sheet if
`thecopyistobeusedpforeamerareadycopy.
`s
`.
`(b).AsanoppeudirwhichtvilIrwtbepn)rtet1lfacomptrterpmgram
`listing printout is 11 or more pages long, applicants may submit such
`listing in the form of
`referred to in thespecification (see §
`l.77(c)(2)). Such
`‘filed witha patent application is to be
`referred toasamicroficheappendix.'I‘hemicroficheappendixwill notbe
`partoftheprintedpatent. Referenceintheapplicationtothemicrofiche
`appendix should be ‘made at the beginning of the specification at the
`location
`in»§‘1.77(c)(2). Any amendments thereto must be
`made by way of revised ‘microfiche. All computer program listings
`submitted on paper will be printed as part of the patent.
`(1) Availability ofappendir. Such computer program listings on -
`microfiche will be available to the public for inspection, and microfiche ~
`copies thereof will be available for purchase with the file wrapper and
`contents, aftera patent based on such an application is granted or the
`application is otherwise made publicly available.
`(2) Submission requirements. Computer-generated informa-'
`tion submitted asanappendixtoan application for patent shall beinthe
`form of microfiche in accordance with the standards set forth in the
`followingAmericanNational (ANSI) orNationalMicrographicsAssoci-
`ation (NMA) Standards (Note: As new editions of these standards are
`published, the latest shall apply):
`ANSI PH 1.28-"1976-Specifications for Photographic Fihn for
`Archival records, Silver-Gelatin 'lype, on Cellulo_se Ester Base.
`ANSI PH 1.41-1976 Specifications for Photographic Film for
`Archival Records, Silver-Gelatin 'lype, on Polyester Base.
`NMA-MSI (1971) Quality Standards for Computer Output
`Microfilm.
`
`ANSI/NMA MS2 (1978) Format and Coding Standards for
`Computer Output Microfilm.
`NMA MS5 (ANSI PH 5.9—l975) Microfiche of Documents.
`ANSI PH 2.19 (1959) -Diffuse Tiansmission Density.
`except as modified or clarified below:
`(i) Either Computer—0utput-Microfilm (COM) output or
`copies of photographed paper copy may be submitted. In the former
`case, NMA standards MS1 and MS2 apply; in the latter case, standard
`MS5 applies.
`(ii) Film submitted shall be first generation (camera film)
`negative appearing microfiche (withemulsion on thebaclcsideofthefilm
`when viewed with the images right reading).
`(iii) Reduction ratio ofmicrofiche submitted should be 24:1 or a
`similar ratiowherevariation from said ratio is required in ordertofitthe
`documents into the image area of the microfiche format used.
`(iv0 Fihn submitted shall have a thickness of at least .005 inches
`(0.13 mm) and not more than .009 inches (0.23 mm) for either cellulose
`acetate base or polyester base type.
`(v) Both microfiche formats Al (98 frames, 14 columns 1:
`7 rows) and A3 (63 frames, 9 columns x 7 rows) which are described in
`NMAstandard MS2 (Al is also described in M85) are acceptable foruse
`in preparation of microfiche submitted.
`(vi) At least the left—most 1/3 (50 mm x 12 mm) ofthe header or
`title area of each microfiche submitted shall be clear or positive
`appearing so that the Patent and Ttademark Office can apply serial
`
`‘
`
`6:93-05
`nuatbesandfilingdstetheretoinencye—readablcfiet'm.1heatid&e _
`postionofd1ehcadershallbemedbyapplicmt5toapplyancyc-read-
`ableapplicadonidarfificatioasuclrutbetitleandlm-thefistiaventofs
`; name. 'I‘heAattorney’sdoeltetnambernraybeincMed.'l‘lreAma|
`ri
`t—handportionof.themieroficheshailcoataiusequenceiu£orma-
`tionforthenricrofichegsnchas1‘of4,‘2of4,etc.
`A .
`5 “ (vii) Addifionalrcs‘,-airementswhichapplyspecificallytomi-‘
`croficheoffilrnedpapercopy:
`“
`.
`(A) Ihefirstframeofeachrnictofichesubrnittedshallcontairr
`astandardtesttargetwhichcontainsfiveNBSMicro-copykesolutron
`'lestCharts (No. 10l0A),onein thecenterandone.inea'chcorner.‘See B
`illustrationonpage2ofNMA_RecommendedPracticeMS10.4,Inspec-
`tion and Quality Control of First Generation Silver Halide Microfilm.
`See also paragraph 7 of NMA—MS5. ‘
`7
`—
`A
`1 (B) The second frame of each microfiche submitted‘ must
`contain a fully descriptive title and the inventor’s name as filed.
`j
`—.
`(C) The pages or lines appearing on
`should be consecutively numbered.
`(D) Pagination ofthe microfiche frames shall be from left to
`rightandfromtoptobottom.
`*
`.
`~
`(E) At a reduction of2-1:1 resolution of the original microfilm
`shallbeat least 120 lines permm (5.0 target)so that reproduction copies
`may be expected to complywith provisions of
`aph 7.1.4 of NMA
`‘
`B
`Standard MS5.
`A
`(F) Background density of negative appearing camera master
`microfiche offilmed paper documents shall bewithin the range of0.9 to
`1.2 and line density shouldbe no greater than 0.08. The density shall be
`visual diffuse density as measured using the method described in ANSI
`Standard PH 2.19.
`
`i
`
`(G) An index, when included, should appear in the last frame
`(lowerrighthandcomerwhen dataisright-reading) ofeachmicrofiche.
`See NMA-MS5. paragraph 6.6.
`(viii) Microfiche generated by Computer Output Microfilm
`(COM).
`
`(A) Background density of negative—appearing COM—gen-
`erated camera master microfiche shall be within the range of 1.5 to 2.0
`and line densityshouldbeno greaterthan0.2. The density shallbevisual
`diffuse density as described in ANSI PH2.l9.
`(B) The first frame of each microfiche submitted should
`contain aresolution testframeinconformancewith NMAstandard MSI.
`(C) The second frame of each microfiche submitted must
`contain a fully descriptive title and the inventor’s name as filed.
`(D) The pages or lines appearing on the microfiche frames
`should be consecutively numbered.
`(E)
`It is preferred that pagination ofthe microfiche frames be
`from left to right and top to bottom but the alternative, i.e., from top to
`bottom and from left to right, is also acceptable.
`(F) An index, when included,should appear on the lastframe
`(lower right hand cornerwhen data is right reading) ofeach microfiche.
`(G) Amendment of microfiche must be made by way of
`replacement microfiche.
`
`Special procedures for presentation of computer
`program listings in the form of microfiche in U.S. nation-
`al patent applications are set forth in 37 CFR 1.96. Use
`of microfiche is desirable in view of the number of com-
`
`puter program listings being submitted as part of the dis-
`
`600-83
`
`FUJIFILM cor‘.5".",“e?%I'."""
`Ex. 1008, p. 3 of 5
`
`Ex. 1008, p. 3 of 5
`
`FUJIFILM Corp., et al.
`
`

`
`MA.NU’ALoF PATENT‘ EXAMINING PROCEDURE
`
`603.05
`closure in patent 1applicat-ions. Such listings’ are often"
`several hundredpages in length; By filing and publishing
`such computer-program listings on microfiche rather —'
`than on paper, substantial costsavingsgcan result "to _the
`applicants, the public, and the Patent and"Il'adem'ark
`Office.
`I
`'
`j-_
`'
`‘
`
`I
`
`BACKGROUND
`
`A computer program listing, as used in these rules,
`means the printout that lists, in proper sequence, the in-
`structions,» routines, and other contents of a program for
`a computer. The listing may be either in machine or ma-
`chine-independent (object or source) programming
`language which will cause a computer to performa de-
`sired task, such as solving a problem, regulating the flow
`of work in computer, or controlling or monitoring
`events. The general description of the computer pro-
`gram listing will appear in the specification while com-
`puter program listing may appear either directly or as a
`microfiche as appendix to the specification and be incor-
`porated into the specification by reference.
`
`DISCUSSION OF THE BACKGROUND AND
`
`MAJOR ISSUES INVOLVED
`
`The provisions of 37 CFR 1.52 and 1.84 for submit-
`ting specifications and drawings on paper have been
`found suitable for most patent applications. However,
`when lengthy computer program listings must be dis-
`closed in a patent application in order to provide a com-
`plete disclosure, use of paper copies can become burden-
`some.
`
`The cost of printing long computer programs in pat-
`ent documents is also very expensive to the Patent and
`Trademark Office.
`
`In the past, all disclosures forming part of a patent ap-
`plication were presented on paper with the exception of
`microorganisms. Under 37 CFR 1.96, several different
`methods for submitting computer program listings, in-
`cluding the use of microfiche, are set forth.
`Relatively short computer program listings (10 pages
`or less) must be submitted on paper and will be printed as
`part of the patent. If the computer program listing is 11
`or more pages in length, it may be submitted on either
`paper or microfiche, although microfiche is preferred.
`Copies of publicly available computer proyam list-
`ings are available from the Patent and 'll'ademark Office
`
`onpaperandonmicro£icheatthecomse_tforthin37
`CFR1.19(a)(5)a'nd(6).'
`I
`W
`s
`-
`omnn INFORMATION
`The micrographic standards-referred to in 37 CFR
`l.96(b)(2) may be
`from -either the National
`Micrographic Association, 8719-Colesville Road, Silver
`. Spring, Maryland, 20910 or the American National Stan-
`e dards Institute, 1430 Broadway, New York, New‘ _York
`10013.
`'_
`The effect of 37 CFR 1.96 is that ifa "computer pro- .
`gram listing (printout) is 11 or more pages long,
`ap-
`plicant may submit such listing in the form ofmicrofiche.
`' Relatively short computer program listings (10 pages or
`fewer) must be submitted on paper and will be_ printed as
`part of the patent, as in the past. When the computer ,
`program listing is 11 or more pages“ in length, it may be
`submitted on either paper or microfiche, although mi-
`crofiche is preferred. A microfiche filed with a patent ap-
`plication will be referred to as a “Microfiche Appendix,”
`and will be identified as such on the front page of the pat-
`tent but will not be part of the printed patent. “Microfiche
`Appendix,” denotes the total microfiche, whether only
`one or two or more. One microfiche is equivalent to a
`maximum of either 63 (9x7) or 93 (l4x7) frames (pages),
`or less.
`.
`
`'
`
`The face of the file jacket will bear a label to denote
`that a Microfiche Appendix is included in the applica-
`tion. A statement must be included in the specification to
`the effect that a microfiche appendix is included in the
`application. The specification entry must appear at the
`beginning of the specification immediately following any
`cross-reference to related applications, 37 CFR
`l.77(c)(2). The patent front page and the Ojficial Gazette
`entry will both contain information as to the number of
`microfiche and frames of computer program listings ap-
`pearing in the microfiche appendix.
`When an application containing microfiche is re-
`ceived in the Correspondence and Mail Division, a spe-
`cial pocket will be afifixed to the center section of the in-
`side of the file wrapper underneath all papers, and the
`microfiche inserted therein. The application file will
`then proceed on its normal course, and when it reaches
`the Application Branch, a label which sticks up above the
`file wrapper will be placed at the center section of the
`face of the wrapper. When the application file reaches
`the Micrographics Division, the Microfiche Appendix
`
`Rev. 1, Sept. 1995
`
`600-84
`
`FUJIFILM Corp., et al.
`Ex. 1008, p. 4 of 5
`
`Ex. 1008, p. 4 of 5
`
`FUJIFILM Corp., et al.
`
`

`
`
`
`'-
`
`,'coN'rar~'rr_oFAPr$r.tCAnoNi t
`
`file.utr_apper. When
`of
`18591
`the Allowed Files*,'and'Assembly Branch or the Office of =
`Publications" receives‘ the application ‘rue, the person _
`Places the:iia*si1titmmh¢t whet fess oflthsfiles upon)
`seeing
`la_bel,_will givethe file to
`the Supervisor who
`Micrographics Division and '
`give the serialtriumber and p‘a':em“ number, and request
`copies of
`-microfiche. Micrographics Division per-
`sonnel
`pu_'tjI._'the':patentrnumberon the micro-.'
`fiche(s), malcing.ce'"rtaii_i"each microfiche is the most re-
`cent, and numbering each correctly; e.g., 1 of 1, 1 of 2, etc
`Upon completion, _t_wo_copies
`beproduced and pro-
`vided to Allowed As_sembly;Branch Files — one for
`the grant head and onefor.thefile wrapper".
`At the timexlof assembly, the-Microfiche Appendix
`will be placed inside the grant head behind the patent
`grant for eyeletting, ribboning, and mailing to‘ the paten-
`tee/attorney. During the signing ofthe grant heads by the
`Attesting Officer, the patent will be checked to assure
`proper assembly prior to-mailing.
`
`609 Information Disclosure Statement [R—1]
`
`37 CFR 1.97. Filing ofinformation disclosure statement.
`(a) In order to have information considered by the Office during
`the pendency of a patent application, an information disclosure state-
`ment in compliance with § 1.93 should be filed in accordance with this
`section.
`
`(b) An information disclosure statement shall be considered by
`the Office if filed:
`
`(1) Within three months of the filing date of a national applica-
`
`tion;
`
`(2) Within three months ofthe date ofentry ofthe national stage
`as set forth in § 1.491 in an international application; or
`(3) Before the mailing date ofa first Office action on the merits,
`whichever event occurs last.
`
`(c) An information disclosure statement shall be considered by
`the Office if filed after the period specified in paragraph (b) of this
`section, but before the mailing date of either:
`(1) A final action under § 1.113 or
`(2) A notice of allowance under § 1.311,
`whicheveroccursfirsgprovidedthestaternentisaccompaniedbyeithera
`certification as specified in paragraph (c) of this section or the fee set
`forth in
`§ 1.17(p).
`(d) An information disclosure statement shall be considered by
`the Office if filed after the nmiling date of either:
`(1) A final action under § 1.113 or
`(2) A notice of allowance under § 1.311,
`whichever occurs first, but before payment ofthe issue fee, provided the
`statement is accompanied by:
`(i) A certification as specified in paragraph (c) of this section,
`(ii) A petition requesting consideration of the information
`disclosure smtement, and
`
`(iii)'I'hepctiticofcesctfcrt.‘lni::§l.17(i)(l)._V 7 '
`L -(e)
`(1)_"I‘hateach'itemofinfonuatroo'i" contwted,
`
`_
`
`I
`
`_
`
`,
`
`in‘
`
`'
`
`-,
`
`officeinacounterpartforeignapplicationnotntore
`' priortothe_filingofthestaten_1ent,or
`.,
`.-
`_—
`_
`_
`.(2)TItatnoitemofinforn_1ation.containcdintheinfornration
`disclosurestatementwnscitedinacommunicationfromafoceignmtent
`-office in a ccunterpartfforeign
`or, tothe
`of the
`
`I
`
`lrnowntaoanyindividualdesignatedin§1.56(c)morethantl1reemonm -
`=.p'riortothefilingofthestatement,
`-.
`'
`t
`'if__
`-~‘
`.-
`‘
`(f) Noextensionsaof
`for filing an
`statementarepermittedunder§1.136.Ifabonafidcatternptismadeto _
`comply with
`§ 1.98, but part of the required content is
`‘
`omitted, additional time may be given to enable full
`with-. .
`(g) An information disclosure statementfiled in
`this section shall not be construed as a" representation that a search has
`been made.
`-
`(h) Thefilingofan inforrnation"disclosure_state’ment shall notbe '
`consttuedtobeanadrnissionthattheinformationcitedintbestatement '
`is,oris considered tobe,materialto patentabilityas definedin §i1.‘S6(b).
`(i)
`Information disclosure statements, filed beforethe grantofa
`patent, which do notcomplywith this section and § 1.98willbe placed in
`the file, but will not be considered
`the Office.
`'
`
`t
`
`"
`
`-
`
`.
`
`_
`
`_
`
`p
`
`.
`
`.
`
`37 CFR 1. 98. Content ofinformation disclosure statement
`(a) Any information disclosure statement filed under § 1.97 shall
`include:
`'
`
`(1) A list of all patents, publications or other information
`submitted for consideration by the Office;
`(2) A legible copy of :
`(i) Each U.S. and foreign patent;
`(ii) Each publication or thatportionwhich caused itto belisted;
`
`and
`
`(iii) All other information or that portion which caused it to be
`listed, except that nocopyofa U.S. patent application need be included;
`and
`
`(3) A concise explanation of the relevance, as it is presently
`understood by the individual desigtated in § l.56(c) most knowledge-
`able aboutthecontentofthe information, ofeach patent,publication,or
`other information listed that is notin the English language. Theconcise
`explanation may be either separate from the specification or incorpo-
`rated therein.
`
`(b) Each U.S. patent listed in an information disclosure statement
`shall be identified by patentee, patent number and issue date. Each
`foreignpatentorpublished foreign patentapplication shallbeidentified
`bythe countryorpatentofficewhich issued the patentorpublished the
`application, an appropriate document numbenandthepubliwtion date
`indicated on the patentor published application. Each publication shall
`be identified by author (if any), title, relevant pages of the publication,
`date and place of publication.
`(c) When the disclosures of two or more patets or publimtions
`listed in an infomation disclosure statement are substantively cumula-
`tive, a copy of one of the patents or publications may be sulmtitted
`without copies of the other patents or publications provided that a
`statement is made that thwe other patents or publications are cumula-
`tive. If a written English—language translation of a non—En§’mh
`languagedocument,orportionfl:ereof,iswifliinthepossession,aistody
`
`600-85
`
`FUJIFILM Corp‘.‘;’'e‘t5&‘f: 1995
`Ex. 1008, p. 5 of 5
`
`Ex. 1008, p. 5 of 5
`
`FUJIFILM Corp., et al.