Washington, D.C. 20231 APPLICATION NUMBER
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`UNITED STy.“<S DEPARTMENT OF COMMERCE
`Patent and Trademark Office
`Address: COMMISSIONER OF PATENTS AND TRADEMARKS
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`FILING DATE
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`FIRST NAMEO APPLICANT
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`ATTORNEY OOCKET NO.
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`Y. Lee
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`2-6/3
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`INTERVIEW SUMMARY
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`DATE MAILED:
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`U/13 /o¢
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`All participants (applicant, applicant's representative, PTO personnel):
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`w_Mr.R.Jean
`@Ex.Yfer ew
`Date of inoviow___s/y2fo%
`Type: O) Telephonic personal (copy is given to applicant CJ applicant's representative).
`Exhibit shown or demonstration conducted: [Yes CXNo it yes, brief description:
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`wasnot reached.
`Agreement (J was reached.
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`Claim(s) discussed:
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`Identification of prior art discussed:
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`(A fuller description, if necessary, and a copyof the amendments,if available, which the examiner agreed would render the claims allowable
`must be attached. Also, where no copy of the amendments which would renderthe claimsallowableis available, a summary thereof must be
`attached.)
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`1.
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`It is not necessary for applicant to provide a separate record of the substance oftheinterview.
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`Unless the paragraph above has been checkedto indicate to the contrary. AFORMAL WRITTEN RESPONSETO THE LAST OFFICE ACTION
`IS NOT WAIVED AND MUST INCLUDE THE SUBSTANCE OF THE INTERVIEW. (See MPEPSection 713.04). If a response to thelast Office
`action has are ready beenfiled, APPLICANT IS GIVEN ONE MONTH FROMTHIS INTERVIEW DATE TO FILE A STATEMENT OF THE
`SUBSTANCEOF THE INTERVIEW.
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`2. C Since the Examiner's interview summary above(including any attachments) reflects a complete response to each of the objections,
`rejections and requirements that may be presentin the last Office action, and since the claims are now allowable, this completed form
`is considered to fulfill the response requirements ofthe last Office action. Applicantis not relieved from providing a separate record of
`the interview unless box 1 aboveis also checked.
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`Examiner Note: You mustsign this form unless itis an attachmentto anotherform.
`FORM PTOL-413 (AEV.1-96)
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`fa
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`Manualof Patent Examining Procedure, Section 713.04 Substance of Interview must Be Made of Record
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`A complete written statementas to the substance of anyface-to-face or telephone interview with regard to an applicationmustbemadeofrecordInthe
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`application,whether or not an agreementwith the examiner wasreachedat theinterview.
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`§1.133 Interviews
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`(b) In every instance where reconsideration is requested in view of an interview with an examiner, a complete written statement of the reasons presentedat the
`interview as warranting favorable action mustbefiled by the applicant. An interview does not remove the necessity for response to Office action as specified in §§
`1,.111,1.135. (35 U.S.C. 132)
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`§ 1.2. Business to be transacted in writing. All business with the Patent or Trademark Office should be transacted in writing. The persona! attendance of
`applicants ortheir attorneys or agentsat the Patent and Trademark Office is unnecessary. The-action of the Patent and Trademark Office will be based exclusively
`~ on the written record in the Office. No attention will be paid to any alleged oral promise,stipulation, or understandingin relation to which there is disagreement or
`doubt.
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`The action of the Patent and Trademark Office cannot be based exclusively on the written record in the Officeif that record is itself incomplete throughthefailure
`to record the substanceofinterviews.
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`Itis the responsibility of the applicant or the attorney or agent to makethe substance of aninterview of recordin the applicationfile, unless the examinerindicates
`he or she will do so.It is the examiner's responsibility to see that such a record is made andto correct material inaccuracies which bear directly on the question of
`patentability.
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`Examiners must complete a two-sheet carboninterleaf Interview Summary Form for each interview held after January 1, 1978 where a matter of substance has
`been discussedduringthe interview by checking the appropriate boxes andfilling in the blanksin neat handwritten form using a ball point pen. Discussions regarding
`only procedural matters, directed solely to restriction requirementsfor which interview recordation is otherwise provided for in Section 812.01 of the Manualof Patent
`Examining Procedure, or pointing out typographical errors or unreadable script in Office actions orthelike, are excluded from the interview recordation procedures
`below.
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`The Interview Summary Form shall be given an appropriate paper number, placed in the right hand portion ofthefile, and listed on the “Contents”list on thefile
`wrapper. The docketandserial register cards need not be updatedtoreflectinterviews.In a personalinterview,the duplicate copy of the Form is removed and given
`to the applicant(or attorney or agent) at the conclusion of the interview. in the case of a telephonic interview, the copy is mailed to the applicant's correspondence
`addresseitherwith or prior to the next official communication.If additional correspondence from the examineris not likely before an allowanceorif other circumstances
`dictate, the Form should be mailed promptly after the telephonic interview rather than with the nextofficial communication,
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`The Form provides for recordation ofthe following information:
`- Serial Numberof the application
`~Nameof applicant
`—-Nameof examiner
`- Date of interview
`- Type of interview (personalor telephonic)
`-Nameof participant(s)) (applicant, attorney or agent, etc.)
`~Anindication whetheror not an exhibit was shown or a demonstration conducted
`-Anidentification of the claims discussed
`~ Anidentification of the specific prior art discussed
`An indication whether an agreement wasreachedandif so, a description of the general nature of the agreement (maybeby attachmentof a copy
`of amendmentsor claims agreed as being allowable). (Agreements asto allowability are tentative and do notrestrict further action by the examinerto the
`contrary.)
`~Thesignature of the examiner who conducted the interview
`~ Namesof other Patent and Trademark Office personnei present.
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`The Form also contains a statement reminding the applicantof his responsibility to record the substanceof the interview.
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`lt is desireable that the examinerorally remind the applicant of his obligation to record the substanceof the interview in each case unless both applicant and
`examiner agreethat the examinerwill record same. Where the examiner agreesto record the substanceof the interview, or whenit is adequately recorded on the
`Form orin an attachmentto the Form,the examiner should check a box at the bottom of the Form informing the applicant that he need not supplement the Form by
`submitting a separate record of the substanceofthe interview.
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`It should be noted, however,that the Interview Summary Form wit! not normally be considered a complete and properrecordation of the interview unlessit includes,
`or is supptemented bv the applicant or the examinerto include,all of the applicable items required below concerning the substanceof the interview:
`A complete and properrecordation of the substanceof any interview should includeat least the following applicable items:
`1) A brief description of the nature of any exhibit shown or any demonstration conducted,
`2) an identification of the claims discussed,
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`3) an identification of specific prior art discussed,
`4) an identification of the principal proposed amendmentsof a substantive nature discussed, unless these are already described on the interview Summary
`Form completed by the examiner,
`5) a brief identification of the general thrust of the principal arguments presented to the examiner. The identification of arguments neednot be lengthy or
`elaborate. A verbatim orhighly detailed description of the arguments is not requited. The identification of the argumentsis sufficientif the general nature
`or thrustof the principal arguments made to the examiner can be understood In the contextof the applicationfile. Of course, the applicant may desire to
`emphasizeandfully describe those arguments which he feels were or might be persuasiveto the examiner,
`6) a generalindication of any other pertinent matters discussed, and
`7) if appropriate, the general results or outcome ofthe interview unless already describedIn the Interview Stimmary Form completed by the examiner.
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`Examiners are expectedto carefully review the applicant's record of the substanceof aninterview.If the record is not completeor accurate, the examinerwill give the
`applicant one month from the date ofthe notifyingletter or the remainderof any period for response, whicheveris longer, to complete the response and thereby avoid
`abandonmentof the application (37 CFR 1.135(c) ).
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`Examiner to Check for Accuracy
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`Applicant's summary of whattook place at the interview should be carefully checked to determine the accuracy of any argumentor statementattributed to the
`examiner during the interview.If there is an inaccuracy andit bears directly on the question of patentability, it should be pointed outin the next Office letter. If the
`claimsare allowablefor other reasonsof record, the examiner should sendaletter setting forth his or her version of the statementattributed to him.If the record is
`complete and accurate, the examiner should place the Indication ‘interview record OK" on the paper recording the substance ofthe interview along with the date and
`the examiner'sinitials.
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