Doc Code: TRACK1.REQ
`Document Description: TrackOne Request
`
`PTO/SB/424 (12-11)
`
`CERTIFICATION AND REQUEST FOR PRIORITIZED EXAMINATION
`UNDER 37 CFR 1.102(e) (Page 1 of 1)
`
`Minh Quang Hoang
`
`I ~iii~~~isional Application Number (if I
`
`PATIENT FLUID LINE ACCESS VALVE ANTIMICROBIAL CAP/CLEANER
`
`First Named
`Inventor:
`Title of
`Invention:
`
`APPLICANT HEREBY CERTIFIES THE FOLLOWING AND REQUESTS PRIORITIZED EXAMINATION FOR
`THE ABOVE-IDENTIFIED APPLICATION.
`
`1. The processing fee set forth in 37 CFR 1.17(i), the prioritized examination fee set forth in 37
`CFR 1.17(c), and if not already paid, the publication fee set forth in 37 CFR 1.1 S(d) have been
`filed with the request. The basic filing fee, search fee, examination fee, and any required
`excess claims and application size fees are filed with the request or have been already been
`paid.
`
`2. The application contains or is amended to contain no more than four independent claims and
`no more than thirty total claims, and no multiple dependent claims.
`
`3. The applicable box is checked below:
`F1 Original Application {Track One) - Prioritized Examination under§ 1.102{e){1)
`
`I.
`
`i.
`
`(a) The application is an original nonprovisional utility application filed under 35 U.S.C. 111 (a).
`This certification and request is being filed with the utility application via EFS-Web.
`---OR---
`(b) The application is an original nonprovisional plant application filed under 35 U.S.C. 111 (a).
`This certification and request is being filed with the plant application in paper.
`
`ii. An executed oath or declaration under 37 CFR 1.63 is filed with the application.
`
`II.
`
`[] Request for Continued Examination - Prioritized Examination under§ 1.102{e){2)
`
`i. A request for continued examination has been filed with, or prior to, this form.
`ii.
`If the application is a utility application, this certification and request is being filed via EFS-Web.
`iii. The application is an original nonprovisional utility application filed under 35 U.S.C. 111 (a), or is
`a national stage entry under 35 U.S.C. 371.
`iv. This certification and request is being filed prior to the mailing of a first Office action responsive
`to the request for continued examination.
`v. No prior request for continued examination has been granted prioritized examination status
`under 37 CFR 1.102(e)(2).
`
`Signature /Stanislav Torgovitsky/
`~p~~~Typed) Stanislav Torgovitsky
`
`Date September 6, 2017
`43958
`
`Practitioner
`Registration Number
`
`Note: Signatures of all the inventors or assignees of record of the entire interest or their representative(s) are required in accordance with
`37 CFR 1.33 and 11. 18. Please see 37 CFR 1.4(d) for the form of the signature. If necessarY, submit multiple forms for more than one
`signature, see below*.
`
`(cid:143) *Total of
`
`forms are submitted.
`
`BAXTER EXHIBIT 1003
`Page 1 of 390
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
`submission of the attached form related to a patent application or patent. Accordingly, pursuant to the requirements of
`the Act, please be advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2)
`furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the
`U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or
`patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
`process and/or examine your submission, which may result in termination of proceedings or abandonment of the
`application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
`Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records may
`be disclosed to the Department of Justice to determine whether disclosure of these records is required by the
`Freedom of Information Act.
`2. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence
`to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of
`settlement negotiations.
`3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
`request involving an individual, to whom the record pertains, when the individual has requested assistance from
`the Member with respect to the subject matter of the record.
`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having
`need for the information in order to perform a contract. Recipients of information shall be required to comply
`with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of
`records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
`Organization, pursuant to the Patent Cooperation Treaty.
`6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes
`of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C.
`218(c)).
`7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency's
`responsibility to recommend improvements in records management practices and programs, under authority of
`44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing
`inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such
`disclosure shall not be used to make determinations about individuals.
`8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of
`the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a
`record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record
`was filed in an application which became abandoned or in which the proceedings were terminated and which
`application is referenced by either a published application, an application open to public inspection or an issued
`patent.
`9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.
`
`Page 2
`
`BAXTER EXHIBIT 1003
`Page 2 of 390
`
`

`

`PTO/SB/0Ba (01-10)
`Doc code: IDS
`Approved for use through 07/31/2012. 0MB 0651-0031
`Doc description: Information Disclosure Statement (IDS) Filed
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`R017-09-06
`11 Minh Quang Hoang
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`Examiner Cite
`Initial*
`No
`
`Patent Number
`
`Kind
`Code1 Issue Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S.PATENTS
`
`I Remove I
`
`1
`
`6227391
`
`B1
`
`)001-05-08
`
`King
`
`2
`
`6116468
`
`A
`
`J000-09-12
`
`Nilson
`
`3
`
`p954957
`
`A
`
`999-09-21
`
`Chin-Loy et al.
`
`4
`
`~991629
`
`A
`
`991-02-12
`
`Ernesto et al.
`
`5
`
`~671306
`
`A
`
`987-06-09
`
`Spector
`
`6
`
`~280632
`
`A
`
`981-07-28
`
`Yuhara
`
`7
`
`6117114
`
`A
`
`J000-09-12
`
`Paradis, Joseph R.
`
`8
`
`p242425
`
`A
`
`993-09-07
`
`White et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 3 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`9
`
`~440207
`
`A
`
`984-04-03
`
`Genatempo et al.
`
`10
`
`~778447
`
`A
`
`988-10-18
`
`Velde et al.
`
`11
`
`5706944
`
`A
`
`998-01-13
`
`Hoang et al.
`
`12
`
`~547662
`
`A
`
`996-08-20
`
`Khan et al.
`
`13
`
`~444310
`
`A
`
`984-04-24
`
`Odell
`
`14
`
`~554135
`
`A
`
`996-09-10
`
`Menyhay, Steve Z.
`
`15
`
`~639310
`
`A
`
`997-06-17
`
`Giampaolo, Jr., Joseph L.
`
`16
`
`5817344
`
`A
`
`998-10-06
`
`Hoang et al.
`
`17
`
`$065773
`
`B2
`
`)011-11-29
`
`Vaillancourt et al.
`
`18
`
`~922701
`
`B2
`
`)011-04-12
`
`Buchman, Alan L.
`
`19
`
`$113731
`
`B2
`
`)012-02-14
`
`Cable et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 4 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`20
`
`~704935
`
`B1
`
`)010-04-27
`
`Davis et al.
`
`21
`
`~961682
`
`A
`
`960-11-29
`
`GABRIELE WURMBOCK et al.
`
`22
`
`~282891
`
`A
`
`981-08-11
`
`Duceppe, Antoine
`
`23
`
`~432764
`
`A
`
`984-02-21
`
`~opez, Georges
`
`24
`
`~624664
`
`A
`
`986-11-25
`
`Peluso et al.
`
`25
`
`~671306
`
`A
`
`987-06-09
`
`Spector, Donald
`
`26
`
`~778447
`
`A
`
`988-10-18
`
`Velde et al.
`
`27
`
`5195957
`
`A
`
`993-03-23
`
`Tollini, Dennis R.
`
`28
`
`5242425
`
`A
`
`993-09-07
`
`White et al.
`
`29
`
`5694978
`
`A
`
`997-12-09
`
`Heilmann et al.
`
`30
`
`t,108363
`
`B2
`
`)004-03-23
`
`~arsen, L. Chris
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 5 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`31
`
`6911025
`
`B2
`
`)005-06-28
`
`Miyahara, Hideyasu
`
`32
`
`6994315
`
`B2
`
`)006-02-07
`
`Ryan et al.
`
`33
`
`~083605
`
`B2
`
`)006-08-01
`
`Miyahara, Hideyasu
`
`34
`
`~198611
`
`B2
`
`)007-04-03
`
`Connell et al.
`
`35
`
`~452349
`
`B2
`
`2008-11-18
`
`Miyahara, Hiseyasu
`
`36
`
`~682561
`
`B2
`
`)010-03-23
`
`Davis et al.
`
`37
`
`~354490
`
`A
`
`982-10-19
`
`Rogers, Phillip P.
`
`38
`
`~655762
`
`A
`
`987-04-07
`
`Rogers, Phillip P.
`
`39
`
`5334388
`
`A
`
`994-08-02
`
`Hoang et al.
`
`40
`
`5554135
`
`A
`
`996-09-10
`
`Menyhay, Steve Z.
`
`41
`
`5792120
`
`A
`
`)015-10-07
`
`Menyhay, Steve Z.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 6 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`42
`
`6045539
`
`A
`
`J000-04-04
`
`Menyhay, Steve Z.
`
`43
`
`~828186
`
`B1
`
`)010-11-09
`
`Wales
`
`44
`
`~282186
`
`B2
`
`)007-10-16
`
`"ake, Jr. et al.
`
`45
`
`p722537
`
`A
`
`998-03-03
`
`Sigler
`
`46
`
`p641464
`
`A
`
`997-06-24
`
`Brigs, 111 et al.
`
`47
`
`a14o864
`
`B2
`
`)014-06-03
`
`Hoang et al.
`
`48
`
`a491546
`
`B2
`
`)013-07-23
`
`Hoang et al.
`
`49
`
`8491546
`
`B2
`
`)013-07-23
`
`Hoang et al.
`
`50
`
`a167847
`
`B2
`
`)012-05-01
`
`l\nderson et al.
`
`51
`
`8162899
`
`B2
`
`)012-04-24
`
`Tennican
`
`52
`
`~268165
`
`B2
`
`)007-09-11
`
`Greten et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 7 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`53
`
`~198800
`
`B1
`
`)007-04-03
`
`Ko
`
`54
`
`6861060
`
`B1
`
`)005-03-01
`
`_uriya et al.
`
`55
`
`6846846
`
`B2
`
`)005-01-25
`
`Medak et al.
`
`56
`
`RE38145
`
`E
`
`)003-06-17
`
`.... ynn
`
`57
`
`6488942
`
`B1
`
`2002-12-03
`
`ngemann
`
`58
`
`6413539
`
`B1
`
`)002-07-02
`
`Shalaby
`
`59
`
`6337357
`
`B1
`
`)002-01-08
`
`Fukunishi et al.
`
`60
`
`6116468
`
`A
`
`J000-09-12
`
`Nilson
`
`61
`
`6051609
`
`A
`
`J000-04-18
`
`Yu et al.
`
`62
`
`5861440
`
`A
`
`999-01-19
`
`Gohla et al.
`
`63
`
`~686096
`
`A
`
`997-11-11
`
`Khan et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 8 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`64
`
`5641464
`
`A
`
`997-06-24
`
`Briggs, Ill et al.
`
`65
`
`5620424
`
`A
`
`997-04-15
`
`l\bramson
`
`66
`
`5616338
`
`A
`
`997-04-01
`
`"ox, Jr. et al.
`
`67
`
`5569207
`
`A
`
`996-10-29
`
`Gisselberg et al.
`
`68
`
`5554106
`
`A
`
`996-09-10
`
`cayman-Sipllar et al.
`
`69
`
`5547662
`
`A
`
`996-08-20
`
`Khan et al.
`
`70
`
`5512199
`
`A
`
`996-04-30
`
`Khan et al.
`
`71
`
`5335373
`
`A
`
`994-08-09
`
`Dangman et al.
`
`72
`
`5023082
`
`A
`
`991-06-11
`
`<'riedman et al.
`
`73
`
`~989733
`
`A
`
`991-02-05
`
`Patry
`
`74
`
`~925668
`
`A
`
`990-05-15
`
`Khan et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 9 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`75
`
`~915934
`
`A
`
`990-04-10
`
`Tomlinson
`
`76
`
`~716032
`
`A
`
`987-12-29
`
`Westfall et al.
`
`77
`
`~626664
`
`A
`
`986-12-02
`
`Grise
`
`78
`
`~584192
`
`A
`
`986-04-22
`
`Dell et al.
`
`79
`
`~417890
`
`A
`
`983-11-29
`
`Dennehey et al.
`
`80
`
`~961682
`
`A
`
`960-11-29
`
`Wurmbock et al.
`
`81
`
`6523686
`
`B1
`
`)003-02-25
`
`Bae
`
`82
`
`6196998
`
`B1
`
`)001-03-06
`
`Jansen et al.
`
`83
`
`5989229
`
`A
`
`999-11-23
`
`Chiappetta
`
`84
`
`5702017
`
`A
`
`997-12-30
`
`Goncalves
`
`85
`
`5743884
`
`A
`
`998-04-28
`
`Hasson et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 10 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`If you wish to add additional U.S. Patent citation information please click the Add button.
`
`U.S.PATENT APPLICATION PUBLICATIONS
`
`I
`I Add
`I Remove I
`
`Examiner
`Initial*
`
`Cite No
`
`Publication
`Number
`
`Kind Publication
`Code1 Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`1
`
`20050147524
`
`A1
`
`)005-07-07
`
`Bousquet
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`20040004019
`
`A1
`
`2004-01-08
`
`Busch, L.John
`
`20120039765
`
`A1
`
`)012-02-16
`
`Solomon et al.
`
`20100049170
`
`A1
`
`2010-02-25
`
`Solomon et al.
`
`20100047123
`
`A1
`
`)010-02-25
`
`Solomon et al.
`
`20090062766
`
`A1
`
`)009-03-05
`
`Howlett et al.
`
`20090028750
`
`A1
`
`)009-01-29
`
`Ryan, Dana Wm.
`
`20080147047
`
`A1
`
`J008-06-19
`
`Davis et al.
`
`20030153865
`
`A1
`
`2003-08-14
`
`Connell et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 11 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`10
`
`20050124970
`
`A1
`
`)005-06-09
`
`Kunin et al.
`
`11
`
`20060030827
`
`A1
`
`)006-02-09
`
`Raulerson et al.
`
`12
`
`20070225660
`
`A1
`
`)007-09-27
`
`"ynn, Lawrence Allan
`
`13
`
`20070202177
`
`A1
`
`)007-08-30
`
`Hoang, Minh Quang
`
`14
`
`20080027399
`
`A1
`
`2008-01-31
`
`Harding et al.
`
`15
`
`20080177250
`
`A1
`
`J008-07-24
`
`Howlett et al.
`
`16
`
`20090149819
`
`A1
`
`)009-06-11
`
`Chelak, Todd M.
`
`17
`
`20070112333
`
`A1
`
`)007-05-17
`
`Hoang et al.
`
`18
`
`20090175759
`
`A1
`
`)009-07-09
`
`Davis et al.
`
`19
`
`20080086091
`
`A1
`
`J008-04-10
`
`l\nderson et al.
`
`20
`
`20090028756
`
`A1
`
`)009-01-29
`
`Shahriari, Mahmoud R.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 12 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`21
`
`20030109853
`
`A1
`
`)003-06-12
`
`Harding et al
`
`22
`
`20120283693
`
`A1
`
`)012-11-08
`
`l\nderson et al.
`
`23
`
`20120216360
`
`A1
`
`)012-08-30
`
`Rogers et al.
`
`24
`
`20120039765
`
`A1
`
`)012-02-16
`
`Solomon et al.
`
`25
`
`20120016318
`
`A1
`
`2012-01-19
`
`Hoang et al.
`
`26
`
`20110290799
`
`A1
`
`)011-12-01
`
`l\nderson et al.
`
`27
`
`20110150958
`
`A1
`
`)011-06-23
`
`Davis et al.
`
`28
`
`20100050351
`
`A1
`
`)010-03-04
`
`Colantonio et al
`
`29
`
`20100000040
`
`A1
`
`)010-01-07
`
`Shaw et al.
`
`30
`
`20090008393
`
`A1
`
`)009-01-08
`
`Howlett et al.
`
`31
`
`20080182921
`
`A1
`
`J008-07-31
`
`Suh et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 13 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`32
`
`20080095680
`
`A1
`
`J008-04-24
`
`Steffens et al.
`
`33
`
`20080075761
`
`A1
`
`J008-03-27
`
`Medak et al.
`
`34
`
`20080033371
`
`A1
`
`J008-02-07
`
`Updegraff et al.
`
`35
`
`20060239954
`
`A1
`
`)006-10-26
`
`Sancho
`
`36
`
`20060165751
`
`A1
`
`2006-07-27
`
`Chudzik et al
`
`37
`
`20050147525
`
`A1
`
`)005-07-07
`
`Bousquet
`
`38
`
`20040039349
`
`A1
`
`)004-02-26
`
`Medak et al.
`
`39
`
`20030162839
`
`A1
`
`)003-08-28
`
`Symington et al.
`
`40
`
`20030072781
`
`A1
`
`)003-04-17
`
`Pelerin
`
`41
`
`20020144705
`
`A1
`
`)002-10-10
`
`Brattesani et al.
`
`42
`
`20010016589
`
`A1
`
`)001-08-23
`
`Medak et al.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 14 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`43
`
`20100292673
`
`A1
`
`)010-11-18
`
`Korogi et al.
`
`44
`
`20100172794
`
`A1
`
`)010-07-08
`
`Ferlic et al.
`
`45
`
`20070282280
`
`A1
`
`)007-12-06
`
`Tennican
`
`46
`
`20040258560
`
`A1
`
`)004-12-23
`
`~ake, Jr. et al.
`
`47
`
`20100204648
`
`A1
`
`2010-08-12
`
`Stout et al.
`
`If you wish to add additional U.S. Published Application citation information please click the Add button.I Add
`IRemovel
`FOREIGN PATENT DOCUMENTS
`
`I
`
`Examiner Cite Foreign Document
`Initial*
`No Number3
`
`Country
`Code2j
`
`Kind Publication
`Code4 Date
`
`Name of Patentee or
`Applicant of cited
`Document
`
`Pages,Columns,Lines
`where Relevant
`Passages or Relevant
`Figures Appear
`
`T5
`
`1
`
`)010/143693
`
`NO
`
`A1
`
`2010-12-16
`
`~MS Co., Lid.
`
`2
`
`JO 10/039171
`
`NO
`
`A1
`
`2010-04-08
`
`3
`
`J008/157092
`
`NO
`
`A1
`
`2008-12-24
`
`Bard Access Systems,
`nc.
`
`lfrustees of Columbia
`University City in New
`t'(ork
`
`4
`
`2007/137056
`
`NO
`
`A2
`
`2007-11-29
`
`Hyprotek, Inc.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 15 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`5
`
`1649890
`
`EP
`
`A1
`
`2006-04-26
`
`UMS Co. Ltd.
`
`6
`
`JQQ6/019782
`
`7
`
`~9/29173
`
`8
`
`gJ/QQ441
`
`9
`
`2007/044760
`
`10
`
`S-58-501359
`
`11
`
`)001-258713
`
`12
`
`JQQ9-511181
`
`13
`
`JO 10-516342
`
`14
`
`5867703
`
`NO
`
`NO
`
`NO
`
`NO
`
`JP
`
`JP
`
`JP
`
`JP
`
`JP
`
`A2
`
`2006-02-23
`
`Medical Components, Inc
`
`1999-06-17
`
`"'AN, Ming
`
`1987-01-29
`
`13axter T ravenol
`~aboratories, Inc.
`
`A2
`
`2007-04-19
`
`psu Medical Corporation
`
`A
`
`1983-08-18
`
`13AXTER TRAVENOL
`~ABORATORIES, INC
`
`A
`
`2001-09-25
`
`FUKIYA KOUICHI
`
`A
`
`2009-03-19
`
`PSU MEDICAL
`CORPORATION
`
`A
`
`2010-05-20
`
`µNIVERSITY OF UTAH
`RESEARCH
`FOUNDATION
`
`B2
`
`2016-02-24
`
`UFE STEEL CORP
`
`15
`
`JQQ8/100950
`
`NO
`
`A2
`
`2008-08-21
`
`h22 CORPORATION
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 16 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`16
`
`JQ11/053924
`
`NO
`
`A1
`
`2011-05-05
`
`17
`
`JO 11 /066586
`
`NO
`
`A1
`
`2011-06-03
`
`CATHETER
`CONNECTIONS, INC
`
`CATHETER
`CONNECTIONS, INC
`
`18
`
`)606930
`
`EP
`
`A1
`
`2013-06-26
`
`HADDEN, GORDON
`
`If you wish to add additional Foreign Patent Document citation information please click the Add button I Add
`IRemovel
`NON-PATENT LITERATURE DOCUMENTS
`
`I
`
`Examiner Cite
`Initials* No
`
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item
`(book, magazine, journal, serial, symposium, catalog, etc), date, pages(s), volume-issue number(s),
`publisher, city and/or country where published.
`
`T5
`
`1
`
`2
`
`3
`
`'Corrected Petition for Inter Partes Review Under 35 U.S.C. §§ 311-319 and 37 C.F.R. § 42,100 et seq.," USPTO,
`Patent Trial and Appeal Board, Excelsior Medical Corporation v. Becton, Dickinson and Company, Case
`PR2014-00880, Patent No. 8,740,864, pp. 1-48, June 23, 2014.
`
`'Patent Owner's Preliminary Response Under 37 C.F.R. § 42, 10," USPTO, Patent Trial and Appeal Board, Excelsior
`Medical Corporation v. Becton, Dickinson and Company, Case IPR2014-00880, Patent No. 8,740,864, pp. 1-30,
`September 16, 2014.
`
`'Decision, Institution of Inter Partes Review, 37 C.F.R. § 42, 108," USPTO, Patent Trial and Appeal Board, Excelsior
`Medical Corporation v. Becton, Dickinson and Company, Case IPR2014-00880, Patent No. 8,740,864, pp. 1-21,
`November 25, 2014.
`
`If you wish to add additional non-patent literature document citation information please click the Add button I Add
`EXAMINER SIGNATURE
`
`I
`
`Examiner Signature 11
`
`11
`
`I Date Considered
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through a
`citation if not in conformance and not considered. Include copy of this form with next communication to applicant.
`
`1 See Kind Codes of USPTO Patent Documents at www.USPTO.GOV or MPEP 901.04. 2 Enter office that issued the document, by the two-letter code (WIPO
`Standard ST.3). 3 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document.
`4 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 5 Applicant is to place a check mark here i1
`English language translation is attached.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 17 of 390
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`2017-09-06
`Filing Date
`First Named Inventor I Minh Quang Hoang
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`P-06836C1C1C1
`
`Please see 37 CFR 1.97 and 1.98 to make the appropriate selection(s):
`
`CERTIFICATION STATEMENT
`
`That each item of information contained in the information disclosure statement was first cited in any communication
`from a foreign patent office in a counterpart foreign application not more than three months prior to the filing of the
`information disclosure statement. See 37 CFR 1.97(e)(1 ).
`
`OR
`
`That no item of information contained in the information disclosure statement was cited in a communication from a
`foreign patent office in a counterpart foreign application, and, to the knowledge of the person signing the certification
`after making reasonable inquiry, no item of information contained in the information disclosure statement was known to
`D any individual designated in 37 CFR 1.56(c) more than three months prior to the filing of the information disclosure
`statement. See 37 CFR 1.97(e)(2).
`
`See attached certification statement.
`
`The fee set forth in 37 CFR 1.17 (p) has been submitted herewith.
`X A certification statement is not submitted herewith.
`
`SIGNATURE
`A signature of the applicant or representative is required in accordance with CFR 1.33, 10.18. Please see CFR 1.4(d) for the
`form of the signature.
`
`Signature
`
`Name/Print
`
`/Slanislav Torgovilsky/
`
`Stanislav Torgovitsky
`
`Date (YYYY-MM-DD)
`
`2017-09-06
`
`Registration Number
`
`~3958
`
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the
`public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR
`1.14. This collection is estimated to take 1 hour to complete, including gathering, preparing and submitting the completed
`application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you
`require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S.
`Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND
`FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria,
`VA 22313-1450.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 18 of 390
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the
`attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised
`that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited
`is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark Office is to
`process and/or examine your submission related to a patent application or patent. If you do not furnish the requested
`information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may
`result in termination of proceedings or abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act
`(5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). Records from this system of records may be disclosed to the
`Department of Justice to determine whether the Freedom of Information Act requires disclosure of these records.
`
`A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a
`court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement
`negotiations.
`
`A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
`request involving an individual, to whom the record pertains, when the individual has requested assistance from the
`Member with respect to the subject matter of the record.
`
`A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for
`the information in order to perform a contract. Recipients of information shall be required to comply with the
`requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`
`A record related to an International Application filed under the Patent Cooperation Treaty in this system of records
`may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant
`to the Patent Cooperation Treaty.
`
`A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of
`National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).
`
`A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or
`his/her designee, during an inspection of records conducted by GSA as part of that agency's responsibility to
`recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and
`2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this
`purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make
`determinations about individuals.
`
`8.
`
`A record from this system of records may be disclosed, as a routine use, to the public after either publication of
`the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record
`may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in
`an application which became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspections or an issued patent.
`
`9.
`
`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.
`
`EFSWeb2.1.17
`
`BAXTER EXHIBIT 1003
`Page 19 of 390
`
`

`

`PTOIAIAIO'I (08-12)
`Approved for .-1hmu!lfl 01/31/2014. 0MB 0651-G032
`U.S. Patent and Tra!emmk Ollic:o; U.S. DEPARTMENT OF COMMERCE
`Undlr l!le Paperwolk Redudion Ad cf 1995. no l)CIISClll$8fll requited to raspond ID• coleclicl1 cf lnformatiOn unless i2 displays a valid 0M8 C0111R11 number.
`DECLARATION (37 CFR 1.63) FOR UTILITY OR DESIGN APPLICATION USING AN
`APPLICATION DATA SHEET (37 CFR 1.76)
`
`PATIENT FLUID LINE ACCESS VALVE ANTIMICROBIAL CAP/CLEANER
`
`As the below named Inventor, I hereby dedare that:
`
`Thi& declaratio, I r(cid:127) 1
`D United States application or PCT international application number _______ _
`filed on ____________ _
`
`is ditedecl to:
`
`l!!!I
`
`The attached application, or
`
`The above-identified application was made or authorized to be made by me.
`
`I belleve that I am the original inventor or an original Jornt Inventor of a claimed invention in the application.
`
`I hereby acknowledge that any willful false statement made in this declaration is punishable under 18 U.S.C. 1001
`by fine or Imprisonment of not more than five (5) years, or both.
`
`WARNING:
`Petitioner/applicant Is cautioned to avoid submitting personal information In documents filed in a patent application that may
`contribute to identity theft Personal Information such as social security numbers, bank account numbers, or credit card numbers
`(other than a check or credit card authorization form PT0-2038 submitted for payment purposes) is never required by the USPTO
`to support a petition or an application. If this type of personal information is included in documents submitted to the USPTO,
`petitioners/applicants should consider redacting such personal information from the documents before submitting them to the
`USPTO. Petitioner/applicant is advised that the record of a patent appflcation is available to the public after publication of the
`application (unless a non-publication request in compliance with 37 CFR 1.213(a) Is made in the application) or issuance of a
`patent Furthermore, the record from an abandoned appUcation may also be available to the pubfic if the application is
`referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization fonns
`PT0-2038 submitted for payment purposes are not retained in the application file and therefore are not publicly available.
`
`LEGAL NAME OF INVENTOR
`
`Date (Optional):. ________ _
`
`n data sheet (PTO/SB/14 or equivalent). fncludlng naming the entire inventive entity, must accompany this fonn or must have
`Note: An appli
`been previously filed. Use an additional PTO/AlA/01 form for each addlllonal Inventor.
`
`Thlsco!lactionof information is required by 35 U.S.C. 115 and 37 CFR 1.63. The lnfoonatlon ls,equlred to obtain or retain a benefit by the public which lsto lile (and
`by the IJSPTO to process) an ap1)lication. Confidentiality Is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This eolleclion Is estimated to take 1 minute to
`cornplele, lncludlng gathering. pro paring, and submitting the completad application Conn to Iha USPTO. Tune will VBtY depencfmg upon Ille indivic!ual case. Any
`co111111811ts on the amount of time you ruquln! to complete this fom1 and/or suggestions ror r