EXHIBIT 1020 - PAGE 1
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`APPLE INC.
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`APPLE INC.
`EXHIBIT 1020 - PAGE 1
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`

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`Manual of Patent
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`Examining Procedure
`
`Seventh Edition
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`i
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`\J
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`APPLE INC.
`EXHIBIT 1020 - PAGE 2
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`

`
`MANUAL OF PATENT
`EXAMINING PROCEDURE
`
`Seventh Edition
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`
`
`APPLE INC.
`EXHIBIT 1020 - PAGE 3
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`

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`Cover design © 1998
`
`West Group
`ISBN : O-8366-1820-1
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`
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`APPLE INC.
`EXHIBIT 1020 - PAGE 4
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`

`
` Manual of
`
`PATE T
`
`EXAMINING
`
`PR C DU E
`
`Original Seventh Edition, July 1998
`
`
`
`U.S. DEPARTMENT OF COMMERCE
`
`Patent and Trademark Office
`
`APPLE INC.
`EXHIBIT 1020 - PAGE 5
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`

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`
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`The Patent and Trademark Office does not handle the sale of the Manual, distribution of notices and revisions, or change of
`address of those on the subscription list. Correspondence relating to existing subscriptions should be sent to the Superinten-
`dent of Documents at the following address:
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`Superintendent of Documents
`Mail List Section
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`Inquiries relating to purchasing the Manual should be directed to:
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`Orders for reproduced copies of individual replacement pages or of previous revisions of the Manual should be sent to the
`following address:
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`Attention: Certification Branch
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`Telephone:
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`Previous editions and revisions of the Manual are available on microfilm in the Public Search Room.
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`The Manual is available on CD—ROM and on diskette from:
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`U.S. Patent and Trademark Office
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`Employees of the Patent and Trademark Office should direct their requests for the Manual, replacement pages, notices, and
`revisions to the Patent Academy.
`Telephone:
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`Additions to the text of the Manual are indicated by arrows ( > <) inserted in the text. Deletions are indicated bya single asterisk (*) where a
`singleword was deleted and by two asterisks (* *) where more than one word was deleted. The use of three or five asterisks in the body of the laws
`and rules indicates a portion of the law or rule which was not reproduced.
`
`First Edition, November 1949
`Second Edition, November 1953
`Third Edition, November 1961
`
`Fourth Edition, June 1979
`Fifth Edition, August 1983
`Sixth Edition, January 1995
`Seventh Edition, July 1998
`
`;
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`3
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`July 1998
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`APPLE INC.
`EXHIBIT 1020 - PAGE 6
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`

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` t
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`Apenix
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`
`
`Patent Cooperation Treaty
`
`Done at Washington on June 19, 1970,
`amended on October 2, 1979,
`and modified on February 3, 1984
`(as in force on January 1, 1998)
`
`TABLE OF CONTENTS‘
`
`
`
`“Prat eat
`Article 26
`Opportunity to Correct Before
`Designated Offices
`National Requirements
`Amendment of the Claims, the
`Description, and the Drawings,
`Before Designated Offices
`EffectsoftheInternationalPublication
`Confidential Nature of the
`
`Article 27
`Article 28
`
`Article 29
`Article 30
`
`Preamble
`
`International Application
`
`Introductory Provisions
`Article 1:
`Article 2:
`
`Establishment of a Union
`Definitions
`
`Chapter II: Intemational Preliminary Examination
`Article 31
`Demand for International Preliminary
`Examination
`
`Chapter I: International Application and Intemational Search
`Article 3:
`The International Application
`Article 4
`The Request
`Article 5
`The Description
`Article 6
`The Claims
`Article 7
`Article 8
`Article 9:
`Article 10
`Article 1 1
`
`The Drawings
`Claiming Priority
`The Applicant
`The Receiving Office
`Filing Date and Effects of the
`International Application
`Transmittal of the International
`
`Article 12
`
`Article 13
`
`Article 14
`
`Article 15
`
`Article 16
`Article 17
`
`Article 18
`Article 19
`
`Article 20
`Article 21
`Article 22
`
`Article 23
`Article 24
`
`Application to the International
`Bureau and the International
`
`Searching Authority
`Availability of Copy of the
`International Application
`to the Designated Offices
`Certain Defects in the International
`
`Application
`The International Search
`
`The International Searching Authority
`Procedure Before the International
`
`Searching Authority
`The International Search Report
`Amendment of the Claims Before the
`International Bureau
`Communication to Designated Offices
`International Publication
`
`Copy, Translation, and Fee, to
`Designated Offices
`Delaying of National Procedure
`Possible Loss of Effect in Designated
`States
`
`1
`
`Article 25
`
`Review by Designated Offices
`
`Article 32
`
`Article 33
`
`Article 34
`
`Article 35
`
`Article 36
`
`Article 37
`Article 38
`
`Article 39
`
`Article 40
`
`Article 41
`
`Article 42
`
`The International Preliminary
`Examining Authority
`The International Preliminary
`Examination
`Procedure Before the International
`
`Preliminary Examining Authority
`The International Preliminary
`Examination Report
`Transmittal, Translation, and
`Communication of the International
`
`Preliminary Examination Report
`Withdrawal of Demand or Election ~
`Confidential Nature of the
`
`International Preliminary
`Examination
`
`Copy, Translation, and Fee to Elected
`Offices
`
`Delaying of National Examination and
`Other Processing
`Amendment of the Claims, the
`Description, and the Drawings,
`before Elected Offices
`Results of National Examination in
`Elected Offices
`
`Chapter III: Common Provisions
`Article 43
`Seeking Certain Kinds of Protection
`Article 44
`Seeking 'Rivo Kinds of Protection
`Article 45
`Regional Patent Treaties
`Article 46
`Incorrect Translation of the
`
`Article 47
`Article 48
`Article 49
`
`International Application
`Time Limits
`
`Delay in Meeting Certain Time Limits
`Right to Practice Before International
`Authorities
`
`s l
`
`lI
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`
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`*
`
`1.
`
`This Table of Contents is added for the convenience of the reader. It does not appear in the signed text of the Treaty.
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`Article 18
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`MANUAL OF PATENT EXAMINING PROCEDURE
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`the said report shall be established as
`other claims,
`provided in Article 18.
`(3)(a)
`If the International Searching Authority
`considers that the international application does not
`comply with the requirement of unity of invention as set
`forth in the Regulations, it shall invite the applicant to
`pay additional fees. The International Searching Au-
`thority shall establish the international search report on
`those parts of the international application which relate
`to the invention first mentioned in the claims (“main
`invention”) and, provided the required additional fees
`have been paid within the prescribed time limit, on those
`parts of the international application which relate to
`inventions in respect of which the said fees were paid.
`(b) The national law of any designated State
`may provide that, where the national Office of the State
`finds the invitation, referred to in subparagraph (a), of
`the International Searching Authority justified and
`where the applicant has not paid all additional fees,
`those parts of the international application which
`consequently have not been searched shall, as far as
`effects in the State are concerned, be considered
`withdrawn unless a special fee is paid by the applicant to
`the national Office of that State.
`
`Article 18
`
`The International Search Report
`
`(1) The international search report shall be estab-
`lished within the prescribed time limit and in the
`prescribed form.
`(2) The international search report shall, as soon
`as it has been established, be transmitted by the
`International Searching Authority to the applicant and
`the International Bureau.
`
`(3) The international search report or the decla-
`ration referred to in Article 17(2)(a) shall be translated
`as provided in the Regulations. The translations shall be
`prepared by or under the responsibility of the Interna-
`tional Bureau.
`
`Article 19
`
`Amendment of the Claims Before
`the International Bureau
`
`(1) The applicant shall, after having received the
`international search report, be entitled to one opportu-
`nity to amend the claims of the international application
`
`by filing amendments with the International Bureau
`within the prescribed time limit. He may, at the same
`time, file a brief statement, as provided in the Regula-
`tions, explaining the amendments and indicating any
`impact
`that such amendments might have on the
`description and the drawings.
`(2) The amendments shall not go beyond the
`disclosure in the international application as filed.
`(3)
`If the national law of any designated State
`permits amendments to go beyond the said disclosure,
`failure to comply with paragraph (2) shall have no
`consequence in that State.
`Article 20
`
`Communication to Designated Offices
`
`together
`-(1)(a) The international application,
`with the international search report
`(including any
`indication referred to in Article 17(2)(b)) or
`the
`declaration referred to in Article 17(2)(a), shall be
`communicated to each designated Office, as provided in
`the Regulations, unless the designated Office waives
`such requirement in its entirety or in part.
`the
`include
`(b) The
`communication shall
`translation (as prescribed) of the said report or declara-
`tion.
`
`If the claims have been amended by Virtue of
`(2)
`Article 19(1), the communication shall either‘ contain
`the full text of the claims both as filed and as amended or
`
`shall contain the full text of the claims as filed and specify
`the amendments, and shall include the statement, if any,
`referred to in Article 19(1).
`(3) At the request of the designated Office or the
`applicant, the International Searching Authority shall
`send to the said Office or the applicant, respectively,
`copies of the documents cited in the international search
`report, as provided in the Regulations.
`Article 21
`
`International Publication
`
`(1) The International Bureau shall publish inter-
`national applications.
`(2)(a) Subject to the exceptions provided for in
`subparagraph (b) and in Article 64(3), the international
`publication of the international application shall be
`effected promptly after the expiration of 18 months from
`the priority date of that application.
`(b) The applicant may ask the International
`Bureau to publish his international application any time
`
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`PATENT COOPERATION TREATY
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`Article 25
`
`before the expiration of the time limit referred to in
`subparagraph (a). The International Bureau shall pro-
`ceed accordingly, as provided in the Regulations.
`(3) The international search report or the decla-
`ration referred to in Article 17(2)(a) shall be published
`as prescribed in the Regulations.
`(4) The language and form of the international
`publication and other details are governed by the
`Regulations.
`_
`(5) There shall be no international publication
`if the international application is withdrawn or is
`considered withdrawn before the technical preparations
`for publication have been completed.
`(6)
`If the international application contains ex-
`pressions or drawings which,
`in the opinion of the
`International Bureau, are contrary to morality or public
`order, or if, in its opinion, the international application
`contains disparaging statements as defined in the
`Regulations, it may omit such expressions drawings, and
`statements, from its publications, indicating the place
`and number of words or drawings omitted, and furnish-
`ing, upon request,
`individual copies of the passages
`omitted.
`
`Article 22
`
`Copy, Translation, and Fee, to Designated Offices
`
`(1) The applicant shall furnish a copy of the
`international application (unless the communication
`provided for in Article 20 has already taken place) and a
`translation thereof (as prescribed), and pay the national
`fee (if any), to each designated Office not later than at
`the expiration of 20 months from the priority date.
`Where the national law of the designated State requires
`the indication of the name of and other prescribed data
`concerning the inventor but allows that these indications
`be furnished at a time later than that of the filing of a
`national application,
`the applicant shall, unless they
`were contained in the request, furnish the said indica-
`tions to the national Office of or acting for that State not
`later than at
`the expiration of 20 months from the
`priority date.
`(2) Where the International Searching Authority
`makes a declaration, under Article 17(2)(a), that no
`international search report will be established, the time
`limit for performing the acts referred to in paragraph (1)
`of this Article shall be the same as that provided for in
`paragraph (i).
`
`(3) Any national law may, for performing the acts
`referred to in paragraphs (1) or (2), fix time limits which
`expire later than the time limit provided for in those
`paragraphs.
`
`Article 23
`
`Delaying of National Procedure
`
`(1) No designated Office shall process or examine
`the international application prior to the expiration of
`the applicable time limit under Article 22.
`
`(2) Notwithstanding the provisions of paragraph
`(1), any designated Office may, on the express request of
`the applicant, process or examine the international
`application at any time.
`
`Article 24
`
`Possible Loss of Effect in Designated States
`
`(1) Subject, in case (ii) below, to the provisions of
`Article 25,
`the effect of the international application
`provided for in Article 11(3) shall cease in any desig-
`nated State with the same consequences as the with-
`drawal of any national application in that State:
`(i)
`if the applicant withdraws his interna-
`tional application or the designation of that State;
`(ii)
`if the international application is consid-
`ered withdrawn by virtue of Articles 12(3), 14(1)(b),
`14(3)(a), or 14(4), or if the designation of that State is
`considered withdrawn by virtue of Article 14(3)(b);
`(iii) if the applicant fails to perform the acts
`referred to in Article 22 within the applicable time limit.
`(2) Notwithstanding the provisions of paragraph
`(1), any designated Office may maintain the effect
`provided for in Article 11(3) even where such effect is
`not required to be maintained by virtue of Article 25(2).
`Article 25
`
`Review by Designated Offices
`
`(1)(a) Where the receiving Office has refused to
`accord an international filing date or has declared that
`the international application is considered withdrawn,
`or where the International Bureau has made a finding
`under Article 12(3),
`the International Bureau shall
`promptly send, at the request of the applicant, copies of
`any document in the file to any of the designated Offices
`named by the applicant.
`(b) Where the receiving Office has declared
`that the designation of any given State is considered
`
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`July 1998
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`EXHIBIT 1020 - PAGE 9
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`PATENT COOPERATION TREATY
`
`TABLE OF CONTENTS1
`
`Rule 6
`
`Regulations Under the
`
`Patent Cooperation Treaty
`
`(as in force from July 1, 1998)
`
`Adopted on June 19, 1970, and amended on April 14, 1978,
`October 3, 1978, May1, 1979, June 16, 1980, September26, 1980,
`July 3, 1981, September 10, 1982, October 4, 19837, February 3,
`1984, September 28, 1984, October 1, 1985, July 12, 1991,
`October 2, 1991, September 29, 1992, September 29, 1993,
`October 3, 1995, and October 1, 1997.
`
`Part A: Introductory Rules
`
`Rule 1
`
`Abbreviated Expressions
`
`1.1
`
`Meaning of Abbreviated Expressions
`
`Rule 2
`
`Interpretation of Certain Words
`
`2.1
`2.2
`2.25"‘
`2.3
`
`“Applicant”
`“Agent”
`“Common Representative”
`“Signature”
`
`Part B: Rides Concerning Chapter I ofthe Treaty
`
`Rule 3
`
`The Request (Form)
`
`3.1
`3.2
`3.3
`3.4
`
`Form of Request
`Availability of Forms
`Check List
`Particulars
`
`Rule 4
`
`The Request (Contents)
`
`4.1
`
`4.2
`4.3
`4.4
`
`4.5
`4.6
`
`4.7
`4.8
`4.9
`4.10
`4.11
`4.12
`
`4.13
`
`4.14
`
`Mandatory and Optional Contents;
`Signature
`The Petition
`Title of the Invention
`Names and Addresses
`
`The Applicant
`The Inventor
`
`The Agent
`Common Representative
`Designation of States
`Priority Claim
`Reference to Earlier Search
`Choice of Certain Kinds of Protection
`
`Identification of Parent Application
`or Parent Grant
`‘
`Continuation or Continuation—in—
`Part
`
`4.15
`4.16
`
`4.149“ Choice of International Searching
`Authority
`Signature
`Transliteration or Translation of
`Certain Words
`Additional Matter
`
`4.17
`
`Rule 5
`
`The Description
`
`5.1
`5.2
`
`Manner of the Description
`Nucleotide and/or Amino Acid
`Sequence Disclosure
`The Claims
`
`6.1
`6.2
`
`6.3
`6.4
`6.5
`
`Number and Numbering of Claims
`References to Other Parts of the
`International Application
`Manner of Claiming
`Dependent Claims
`Utility Models
`
`Rule 7
`
`The Drawings
`
`7.1
`7.2
`
`Flow Sheets and Diagrams
`Time Limit
`
`Rule 8
`
`The Abstract
`
`Rule 9
`
`8.1
`8.2
`8.3
`
`Contents and Form of the Abstract '
`Figure
`Guiding Principles in Drafting
`
`Expressions, Etc., Not To Be Used
`9.1
`Definition
`
`9.2
`9.3
`
`Noting of Lack of Compliance
`Reference to Article 21(6)
`
`Rule 10
`
`Terminology and Signs
`
`10.1
`10.2
`
`Terminology and Signs
`Consistency
`
`Rule 11
`
`Physical Requirements of the International
`Application
`
`11.1
`11.2
`11.3
`
`11.4
`11.5
`
`11.6
`11.7
`11.8
`11.9
`11.10
`
`Number of Copies
`Fitness for Reproduction
`Material to Be Used
`
`Separate Sheets, Etc.
`Size of Sheets
`
`Margins
`Numbering of Sheets
`Numbering of Lines
`Writing of Text Matter
`Drawings, Formulae, and Tables, in
`Text Matter
`
`1.
`
`Table of Contents is added for the convenience of the reader, it does not appear in the original.
`
`July 1998
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`Rule 16"“
`
`MANUAL OF PATENT EXAMINING PROCEDURE
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`Rule 16"“
`
`Extension of Time Limits for Payment of Fees
`
`Invitation by the Receiving Ofiice
`16bi5.1
`(a) Where, by the time they are due under Rules
`14.1(c), 15.4(a) and 16.1(f), the receiving Office finds
`that no fees were paid to it, or that the amount paid to it
`is insufficient to cover the transmittal fee, the basic fee
`and the search fee, the receiving Office shall invite the
`applicant to pay to it the amount required to cover those
`fees, together with, where applicable, the late payment
`fee under Rule 16bi5.2, within a time limit of one month
`from the date of the invitation.
`
`(b) Where, by the time they are due under Rule
`15.4(b),‘the receiving Office finds that no fees were paid
`to it, or that the amount paid to it is insufficient to cover
`the designation fees necessary to cover all the designa-
`tions under Rule 4.9(a), the receiving Office shall invite
`the applicant to pay to it the amount required to cover
`those fees,
`together with, where applicable,
`the late
`payment fee under Rule 16bi5.2, Within a time limit of one
`month from the date of the invitation. The amount
`
`payable in respect of any designation fee shall be the
`amount applicable on the last day of the one—year
`period from the priority date if the time limit under Rule
`15.4(b)(i) applies or the amount applicable on the date
`I of receipt of the international. application if the time
`limit under Rule 15.4(b)(ii) applies.
`(c) Where the receiving Office has sent to the
`applicant an invitation under paragraph (a) or (b) and
`the applicant has not, within the time limit referred to in
`that paragraph, paid in full the amount due, including,
`where applicable,
`the late payment fee under Rule
`16blS.2, the receiving Office shall, subject to paragraph
`(d):
`
`allocate any moneys paid as specified by the
`(i)
`applicant or, in the absence of such specification, as
`prescribed by the Administrative Instructions,
`(ii) make the applicable declaration under Ar—
`ticle 14(3), and
`(iii) proceed as provided in Rule 29.
`(d) Any payment received by the receiving Office
`before that Office sends the invitation under paragraph
`(a) or (b) shall be considered to have been received
`before the expiration of the time limit under Rule
`14.1(c), 15.4(a) or (b) or 16.1(f), as the case may be.
`(e) Any payment received by the receiving Office
`before that Office makes the applicable declaration
`
`under Article 14(3) shall be considered to have been
`received before the expiration of the time limit referred
`to in paragraph (a) or (b).
`
`16bl5.2 Late Payment Fee
`fees in response to an
`(a) The payment of
`invitation under Rule 16biS.1(a) or (b) may be subjected
`by the receiving Office to the payment to it, for its own
`benefit, of a late payment fee. The amount of that fee
`shall be:
`
`(i) 50% of the amount of unpaid fees which is
`specified in the invitation, or,
`(ii)
`if the amount calculated under item (i) is
`less than the transmittal fee, an amount equal to the
`transmittal fee.
`
`(b) The amount of the late payment fee shall not,
`however, exceed the amount of the basic fee referred to
`in item 1 (a) of the Schedule of Fees.
`
`Rule 17
`
`The Priority Document
`
`17.1 Obligation to Submit Copy ofEarlier National
`or Interna tional Application
`(a) Where the priority of an earlier national or
`international application is claimed under Article 8, a
`copy of that earlier application, certified by the authority
`with which it was filed (“the priority document”), shall,
`unless already filed with the receiving Office together
`with the international application in which the priority
`claim is made, and subject to paragraph (b), be submitted
`by the applicant to the International Bureau or to the
`receiving Office not later than 16 months after the
`priority date, provided that any copy of the said earlier
`application which is
`received by the International
`Bureau after the expiration of that time limit shall be
`considered to have been received by that Bureau on the
`last day of that time limit if it reaches it before the date of
`international publication of the international applica—
`tion.
`v
`
`(b) Where the priority document is issued by the
`receiving Office, the applicant may, instead of submit-
`ting the priority document, request the receiving Office
`to prepare and transmit the priority document to the
`International Bureau. Such request shall be made not
`later than 16 months after the priority date and may be
`subjected by the receiving Office to the payment of a fee.
`(c)
`If the requirements of neither of the two
`preceding paragraphs are complied with, any designated
`
`July 1998
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`PATENT COOPERATION TREATY
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`Rule 19
`
`State may disregard the priority claim, provided that no
`designated Office shall disregard the priority claim
`before giving the applicant an opportunity to furnish the
`priority document within a time limit which shall be
`reasonable under the circumstances.
`
`17.2 Availability of Copies
`(a) Where the applicant has complied with Rule
`17.1(a) or (b),
`the International Bureau shall, at the
`specific request of the designated Office, promptly but
`not prior to the international publication of the interna-
`tional application, furnish a copy of the priority docu-
`ment to that Office. No such Office shall ask the
`
`applicant himself to furnish it with a copy. The applicant
`shall not be required to furnish a translation to the
`designated Office before the expiration of the applicable
`time limit under Article 22. Where the applicant makes
`an express request
`to the designated Office under
`Article 23(2) prior to the international publication of the
`international application,
`the International Bureau
`shall, at the specific request of the designated Office,
`furnish a copy of the priority document to that Office
`promptly after receiving it.
`(b) The International Bureau shall not make
`copies of the priority document available to the public
`prior to the international publication of the internation-
`al application.
`(c) Where the international application has been
`published under Article 21,
`the International Bureau
`shall furnish a copy of the priority document to any
`person upon request and subject to reimbursement of
`the cost unless, prior to that publication:
`(i)
`the international application was with-
`‘
`
`drawn,
`
`the relevant priority claim was withdrawn or
`(ii)
`considered, under Rule 26bl5.2(b), not to have been
`made.
`
`(iii) [Deleted]
`(d)
`[Deleted]
`
`Rule 18
`
`The Applicant
`
`18.1 Residence and Nationality
`
`(a) Subject to the provisions of paragraphs (b) and
`(c), the question whether an I applicant is a resident or
`national of the Contracting State of which he claims to be
`a resident or national shall depend on the national law of
`that State and shall be decided by the receiving Office.
`
`In any case,
`(b)
`(i) possession of a real and effective industrial
`
`or commercial establishment in a Contracting State shall
`be considered residence in that State, and
`(ii) a legal entity constituted according to the
`national law of a Contracting State shall be considered a
`national of that State.
`
`(c) Where the international application is filed
`with the International Bureau as receiving Office, the
`International Bureau shall, in the circumstances speci-
`fied in the Administrative Instructions, request
`the
`national Office of, or acting for, the Contracting State
`concerned to decide the question referred to in para-
`graph (a). The International Bureau shall inform the
`applicant of any such request. The applicant shall have
`an opportunity to submit arguments directly to the
`national Office. The national Office shall decide the said
`
`question promptly.
`
`1 8.2 [Deleted]
`
`18.3 Two or MoreApplicants
`If there are two or more applicants, the right to file an
`international application shall exist if at least one of
`them is entitled to file an international application ac-
`cording to Article 9.
`
`18.4 Information on Requirements UnderNational
`Law as to Applicants
`(a) and (b) [Deleted]
`(c) The International Bureau shall, from time to
`time, publish information on the various national laws in
`respect of the question who is qualified (inventor,
`successor in title of the inventor, owner of the invention,
`or other)
`to file a national application and shall
`accompany such information by a warning that the effect
`of the international application in any designated State
`may depend on whether the person designated in the
`international application as applicant for the purposes
`of that State is a person who, under the national law of
`that State, is qualified to file a national application.
`
`Rule 19
`
`The Competent Receiving Office
`
`19.1 Where to File
`
`(a) Subject to the provisions of paragraph (b), the
`international application shall be filed, at the option of
`the applicant,
`
`T — 51
`
`July 1998
`
`
`
`APPLE INC.
`EXHIBIT 1020 - PAGE 12