`
`Original Sixth Edition, January=~1~995 '
`Latest Revision September 1995
`
`
`
`US. DEPARTMENT OF COMMERCE '
`
`Patent and Trademark Office
`
`,ml,wms'
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.1
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.1
`
`

`

`' MANUAL 0F Imam EXAMINING PROCEDURE
`
`608.04(a)
`
`NOTE—New matter in reissue application; MPEP
`§ 1411.02. New matter in substitute specification, MPEP
`(3.71420; g
`,_
`,
`i
`,
`>NOTB+No amendment is permitted in a provi-
`sional application after it receives a filing date.<
`
`608.04(a) . LMatter Not in Original
`SpecificatiOn, 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 WaLet at,
`1956 CD. 11; 705 0.6. 5 (physical properties), Ex pane
`Fox, 1960 CD. 28; 761 0.6. 906(new formula) and Ex
`parte Ayers,
`et 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 filed'therewith. 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 application must identifythe amendment adding
`additionaldisclosureasoneofthepaperswhidr their:-
`ventor(s) has “reviewed and understands” in order to
`complywith 37 CFR 1.63. Ifthe original bath 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 oath or declaration referring to the amendment.
`
`608.04(c) Review of Examiner’s 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 the purpose of these rules
`is defined as a prinout that lists in 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
`procedureor task such as solve a problem, regulate theflowofwork in a
`computer, or control or monitor events. Computerprogramlistiugsmay
`be submitted in patent applications in the following forms:
`(a) Material which will be printed in the parent. If the computer
`proyam 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) Speajficatien. (i) The listing may be submitted as partof the
`specification in accordancewith theprovisionsof§ 1.52, attheendofthe
`description but before the claims.
`(ii) The listing may be submitted as part ofthe specification in
`the formofcomputerprintoutsheets (commonly “by 11 inchesinsize)
`foruseascamera readycopywhenapatentissubsequentlyprinted.$uch
`computer printout sheets must be original copies from the computer
`with dark solid black letters not less than 0.21 cm high, on white,
`unshaded and unlined paper, the printingon each sheet mustbe limited
`
`Rev. l, Sept. 1995
`
`600—82
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.2
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.2
`
`

`

`PARIS, mm, AND com OF APPLICATION
`
`ionharea9ihcheshighby13hrchesfidemndtheswetsshoaldbe
`suhmitied in a protective cover. When printed in patents, such
`computerp'rintout sheetswill appear at the end of the descripdon but
`beforetheclaims andwillusuallyhe reduced about ll2in sizewithtwo
`printout sheetsbemg printed as one patent specification page. Any
`amendmentsmust be made bywayofsubmission ofa substitute sheet if
`the copyistobeusedforcamrareadycopy.
`(b) AsanoppeudirwhichMllmtbcpn‘nkd Ifaeomputerprogram
`listing printout is 11 Or more pages lbng, applicants may submit such
`listing'In the form of micrbfiche, referred to'in the specification (see §
`177(c)(2)) Such microfiche filed with a patent application'rs to be
`referred toasamicroficheappendh'lhemicroficheappendixwill notbc
`partoftheprintedpatent. Referenceinthe application to the microfiche
`appendix should be ‘made at the beginning of the specification at the
`location indicated in § l.77(c)(2). Any amendments thereto must be
`made by way of revisedkrnicrofiche. ‘All computer program listings
`submitted on paper will be printed as part of the patent.
`(l) Availabilityofappendir. 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) Submissrbn requirements. Computer—generated informa-'
`tion submitted asan appendixto an application for patent shall be in the
`form of microfiche in accordance with the standards set forth in the
`followingAmericanNational (ANS!)orNationalMicrographicsAssoci—
`ation (NMA) Standards (Note: As new editions of these standards are
`published, the latest shall apply):
`ANSI PH 1.2841976—Specifications for Photographic Fihn for
`Archival records, Silver—Gelatin Type, on Cellulose Ester Base.
`ANSI PH 1.41-1976 Specifications for Photographic Film for
`Archival Records, Silver-Gelatin Type, on Polyester Base.
`NMA-MS] (1971) Quality Standards for Computer Output
`Microfilm.
`ANSI/NMA M82 (1978) Format and Coding Standards for
`Computer Output Microfilm.
`NMA MSS (ANSI PH 5.9—1975) Microfiche of Documents.
`ANSI PH 2.19 (1959)—Diffuse Transmission Density.
`except as modified or clarified below:
`(i) Either Computer—Output-Microfilm (COM) output or
`copies of photographed paper copy may he submitted. In the former
`case, NMA standards M81 and M82 apply; in the latter case, standard
`M85 applies.
`(ii) Film submitted shall be first generation (camera film)
`negative appearing microfiche(withemulsion on thebacksideofthefilm
`when viewed with the images right reading).
`(iii) Reduction ratio ofmicrofiche submitted should be 24:1 or a
`similar ratiowhere variation from said ratio is required in ordertofit the
`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 x
`7 rows) and A3 (63 frames, 9columns x 7 rows) which are described in
`NMAstandard M82 (Al isalsodescribed in M85) areacceptable foruse
`in preparation of microfiche submitted.
`(vi) At least theleft—most 1/3 (50mm: 12mm) oftheheaderor
`title area of each microfiche submitted shall be clear or positive
`appearing so that the Patent and 'Il'ademarlr Office can apply serial
`
`.
`
`608.05
`mmbuaMflingdeemhmew—Wiorm. 'lheaddthc .
`Woofmeheadershallbemedbyappliesnttoapplyaneyc—read-
`ablespplieafionflenfifiéadonnadrudretifleandforthefirstmvenmr’a
`(name'lheattorney’sdocketnumbermaybeincmded'lhefinal
`right—handporfiooofdremhoficbeshallcontainsequenceiniorma—
`tiont‘orthemicrofiche,mcbaslof4,20“, etc.
`(vii) Additional resniremenm which appw specifically to mi- ‘
`crofiche of am paper copy'
`.
`(A) 'lhefirstflameofeachuricmfichesubmittedshallconmin
`a standardtesttargetwhichcontainsfiveNBSMicro—copyResolution
`'lbstChnrtsmo. 1010A),oneinthecenterandoneineachcorncr.See ‘
`illustrationon page2ofNMARecommendedPracficeMSlMJnspec-
`tion and Quality Control of First Generation Silver Halide Microfilm.
`See also paragraph 7 of NMA—M35.
`(B) The second flame of each microfiche submitted must
`contain a fully descriptive title and the inventor's name as filed.
`(C) The pages or lines appearing on themicroficheflames
`should be consecutivelynumbered.
`(D) Pagination ofthe microfiche frames shall be from left to
`right and from top to bottom.
`(B) At a reduction of24:1 resolution oftheoriginalmicrofilm
`shallbeat least 120 lines permm (5.0target)so that reproduction comes
`maybe expected to complywith provisions ofparagraph 7.1.4 of NMA
`Standard MSS.
`(F) Mekground density of negative appearing camera master
`microfiche offilmed paperdocuments shallbewithin the range of0.9to
`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.
`
`,
`
`(G) An index, when included, should appear in the last flame
`(lowerrighthandcornerwhen dataisright-reading) ofeachmicrofiche.
`See NMA—M85. paragraph 6.6.
`(viii) Microfiche generated by Computer Output Microfilm
`(COM).
`
`(A) Background density of negative—appearlng COM—gen-
`erated camera master microfiche shall be within the range of 1.5 to 2.0
`and linedensityshouldbeno greaterthano.2. 'I‘hedensity shallbevisual
`diffuse density as described in ANSI PH2.19.
`(B)
`'Ihe first frame of each microfiche submitted should
`contain aresolutiontestframeinconformancewith NMAstandard MSl.
`(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 flames
`should be consecutively numbered.
`(E) It is preferred that pagination ofthe microfiche framesbe
`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,shouldappear on the lastframe
`(lower right hand cornerwhen data isright 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 US. 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—33
`
`Rev. new. 1995
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.3
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.3
`
`

`

`MANUAL OF PATENT EXAMINING PROCEDURE
`
`608.05
`closure'In patentapplications. Such listings are often
`several hundredpages in length. By filing and publishing
`such computer program listings on microfiche rather .-
`than on paper, substantial cost savings can msultto the
`applicants, the public, and the Patent and Trademark
`Office.
`-
`
`BACKGROUND
`A computer program listing, as usedIn these rules,
`means the printout that Iists,‘m proper sequence, the'm-
`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 perform a 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 program list-
`ings are available from the Patent and Trademark Office
`
`-
`
`onpaperarrdonmicroficbeatthecostsetforthinS?
`
`CFR 1.19(a)(5) and (6).
`OTHER INFORMATION
`The micrographic staridardsreferred to in 37 CFR
`136(b)(2) may be obtained from either the National
`Micrographic Association, 8719 Colesville Road, Silver
`. Spring, Maryland, 20910 or the American National Stan-
`dards Institute, 1430 Broadway, New York, New York
`10018.
`.
`The effect of 37 CFR 1.961s that ifa computer pro-
`gram listing (printout) is 11 or more pages Iong,the 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-
`ent butwill 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 98 (14x7) 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
`1.77(c)(2). The patent front page and the Oflicial 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 affixed 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
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.4
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.4
`
`

`

`. PARrsFonMANDCONrsN'rorAPrLtCAHON'
`
`‘
`
`labdwill beplaced on thefaceofthefilewrapper.When
`the Allowed Filesand Assembly Branch of. the Office of '
`Publications receives the application file, the person. 3'
`placing thepatentnumber on the false of thefile, upon
`seeing theMicroficheAppendixlabel,will give the file to
`the supervisor Who wtllcall Micrographics Division and
`give the serial number and patentnumber, and request
`copies of the microfiche. Micrographtcs Division per-
`some] will then put.thepatent number on the micro-'
`fiche(s), making certain each microfichets the most re-
`cent, and numbering each correctly; e.gg., 1 of 1,1 of 2, etc
`Upon completion,_two copies will be produced and pro-
`vided to Allowedand AssemblyBranch Files — one for
`the grant head and one for. thefile wrapper;
`At the: time. of 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-ntailing.
`
`609 Information Disclosure Statement [R- l]
`
`37 CFR 1.97. Filing ofinfonnation 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 § 1.98 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 monthsofthe date ofentryofthe 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,
`whicheveroccursfirsgprovided thestatementisaccompaniedbyeithera
`certification as specified in paragraph (c) of this section or the fee set
`forth in § 1.17(p).
`(d) An information disclosure statement shall he considered by
`the Office if filed after the mailing date of either:
`(1) A final action under § 1.113 or
`(2) A notice of allowance under § 1.311,
`whicheveroccurs first, but before paymentofthe issue fee, provided the
`statement is accompanied by:
`(i) A certification as specified in paragraph (c) of this section,
`(ii) A petition requesting comideration of the information
`disclosure statement, and
`
`.
`
`,
`
`.
`(iii)'11tepctimnfcesetfortltin§l._17(i)(l).v 7
`;
`(e) Acertificafionunderthhaectionnmststateeithen
`(1)1hetmhiwmofmfonwmncomined-them
`I dtsclomreatatementwascrtedmacommtmtcmfiomaforempatcnt
`officemacounterpartforctgnammonnotmorethanthreenmnma
`priortothefihngofthestatemenhor
`--:
`..
`(2)1hatnottemofmformauoncontamedmthemformatton '
`disclosurestatementwascitedinacommunicationfromaforeignpatent
`-officeinacountetpanforeigttapplicatiooor,ustheknowtedgeofthe
`' personagntngthecerttficattonafccrmahogreasonshkmqmrywas
`‘ knowntunymdmdualdwgnatedm§15fle)morethantbreemonths -
`A
`.p'riortothefilingofthestatemenr.
`-.
`_
`(f) No ertenstonstofttmeforfiltrtganinformationt'ltaelomrc1 "
`statementarepennittedunder § 1.136.1fabonafideattenmtismadeto
`complywith
`§ 1.98, butpartoftherequiredcontentisinadvertently
`.
`omitted, additional time may be givento enable full contpliance.
`(3) An infortnation disclosure statement film!to accordancewith- .
`thissectionshallnotbecortstruedasarepresentationthatasearchhas
`been made.
`(h) Thefiling ofan informationdisclosure statement shall not be '
`corntruedtobeanadmission thattheinformationcitedinthestatement '
`is,oris considered tobe,materialtopatentabilityas definedin §‘1..56(b).
`(i)
`information disclosurestatements, filedbeforethegrantofa
`patent, which do notcomplywith thissection and § 1.98willbe placed in
`the file, but will not be considered by the Office.
`'
`
`-'
`
`.
`
`7
`
`-
`
`_
`
`7
`
`37 CFR 1.98. Content ofinfonnanbn 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 foreiyt patent;
`(ii) Eachpublication or thatportionwhichcaused ittobelisted;
`
`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 § 156(c) most knowledge-
`able aboutthecontentofthe information,ofeachpatent,publication,or
`other information listed that is notin the English language. 'l'lteconcise
`explanation may be either separate from the specification or incorpo-
`rated therein.
`(b) Each U.S. patent listed in aninforrnation disclosurestatement
`shall be identified by patentee, patent number and issue date. Each
`foreignpatcntorpublisbed foreign patcntapplication shallbeidentified
`bythe countryorpatentofficewhich issued the patentorpublislted the
`application,an appropriate document number,attdthepublication date
`indicatedonthe patentorpublished application.Eachpublicationshall
`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 parents or publications
`listed in an information disclosure statement are substantively cumula-
`tive, a copy of one of the patents or publicatiom may be submitted
`without copies of the other patents or publications provided that a
`statement is made that them other patents or publications are cumula-
`tive. If a written English—language translation of a non—English
`languagedocumentorporfiondtereoffiswiflinthepossessiomwsmdy
`
`600-85
`
`Rev. 1, Sept. 1995
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.5
`
`Papst Licensing GmbH & Co. KG - Exhibit 2003, p.5
`
`