`
`(1) Yelena G. Gakh, Ph.D.. . (3)
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`
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` U.S. Patent and Trademark Office
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`Application No.
`Applicant(s)
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`
`
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` . we . 12/810,391 TANIDA ET AL.
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`Applicant-initiated Interview Summary
`_
`_
`Examiner
`Art Unit
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`Yelena G. Gakh, Ph.D.
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`1777
`
`All participants (applicant, applicant's representative, PTO personnel):
`
`(2) James A. Larson.
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`Date of Interview: 09 October 2012.
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`Type:
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`[] Video Conference
`[XJ Telephonic
`[-] Personal[copy given to: [J applicant
`
`(4)
`
`.
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`[J applicant’s representative]
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`Exhibit shown or demonstration conducted:
`If Yes, brief description:
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`[] Yes
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`[X] No.
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`[J101 [1112 [102 (103 (XoOthers
`Issues Discussed
`(For each of the checked box(es) above, please describe below the issue and detailed description of the discussion)
`
`Claim(s) discussed: pending.
`
`Identification of prior art discussed: N/A.
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`Substance of Interview
`(For each issue discussed, provide a detailed description and indicate if agreement was reached. Some topics may include: identification or clarification of a
`reference or a portion thereof, claim interpretation, proposed amendments, arguments of any applied referencesetc...)
`
`the Applicants' representative and the examiner discussed the possibility of amendmentto clarify the claimed subject
`matter and the disclosure for the English translation of Japanese application, which obviously has issues of unclarity
`and indefinitness. The Applicants' representaive indicated that he will do as amuch as possible to clarify the subject
`matter of the application. The examiner recognizes that the starting point, i.e. the translation itself, provides many
`difficulties on the way to achieve this goal..
`
`Applicant recordation instructions: The formal written reply to the last Office action must include the substance of the interview. (See MPEP
`section 713.04). If a reply to the last Office action has already been filed, applicant is given a non-extendable period of the longer of one month or
`thirty days from this interview date, or the mailing date of this interview summary form, whichever is later, to file a statement of the substance of the
`interview
`
`Examinerrecordation instructions: Examiners must summarize the substanceof any interview of record. A complete and proper recordation of
`the substance of an interview should include the itemslisted in MPEP 713.04 for complete and proper recordation including the identification of the
`general thrust of each argumentor issue discussed, a general indication of any other pertinent matters discussed regarding patentability and the
`general results or outcomeofthe interview, to include an indication as to whether or not agreement was reached on the issuesraised.
`
`[] Attachment
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`PTOL-413 (Rev. 8/11/2010)
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`Interview Summary
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`Paper No. 20130209
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`

`

`Manual of Patent Examining Procedure (MPEP), Section 713.04, Substanceof Interview Must be Made of Record
`A complete written statement as to the substance of any face-to-face, video conference, or telephone interview with regard to an application must be madeof record in the
`application whether or not an agreement with the examiner was reached atthe interview.
`
`Summary of Record of Interview Requirements
`
`Title 37 Code of Federal Regulations (CFR) § 1.133 Interviews
`Paragraph (b)
`
`In every instance where reconsideration is requested in view of an interview with an examiner, a complete written statement of the reasons presented at the interview as
`warranting favorable action must befiled by the applicant. An interview does not removethe necessity for reply to Office action as specified in §§ 1.111, 1.135. (35 U.S.C. 132)
`
`37 CFR §1.2 Businessto be transactedin writing.
`All business with the Patent or Trademark Office should be transacted in writing. The personal attendance of applicants or their attorneys or agents at 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 understanding in relation to which there is disagreement or doubt.
`
`The action of the Patent and Trademark Office cannot be based exclusively on the written record in the Office if that recordis itself
`incomplete through the failure to record the substanceof interviews.
`It is the responsibility of the applicant or the attorney or agent to make the substanceof an interview of record in the application file, unless
`the examiner indicates he or she will do so.
`It is the examiner's responsibility to see that such a record is made and to correct material inaccuracies
`which bear directly on the question of patentability.
`
`Examiners must complete an Interview Summary Form for eachinterview held where a matter of substance has been discussed during the
`interview by checking the appropriate boxes and filling in the blanks. Discussions regarding only procedural matters, directed solely to restriction
`requirements for which interview recordation is otherwise provided for in Section 812.01 of the Manual of Patent Examining Procedure, or pointing
`out typographical errors or unreadable script in Office actions or the like, are excluded from the interview recordation procedures below. Where the
`substance of an interview is completely recorded in an Examiners Amendment, no separate Interview Summary Recordis required.
`
`The Interview Summary Form shall be given an appropriate Paper No., placed in the right hand portion ofthe file, and listed on the
`“Contents” section ofthe file wrapper.
`In a personalinterview, a duplicate of the Form is given to the applicant (or attorney or agent) at the
`conclusion of the interview.
`In the case of a telephone or video-conferenceinterview, the copy is mailed to the applicant’s correspondence address
`either with or prior to the next official communication. If additional correspondence from the examiner is notlikely before an allowanceor if other
`circumstances dictate, the Form should be mailed promptly after the interview rather than with the next official communication.
`
`The Form provides for recordation of the following information:
`— Application Number (Series Code and Serial Number)
`—Name ofapplicant
`—Name of examiner
`— Date ofinterview
`— Type of interview (telephonic, video-conference, or personal)
`—Name of participant(s) (applicant, attorney or agent, examiner, other PTO personnel, etc.)
`—Anindication whether or not an exhibit was shownor a demonstration conducted
`—Anidentification of the specific prior art discussed
`— An indication whether an agreement was reachedandif so, a description of the general nature of the agreement (may be by
`attachmentof a copy of amendments or claims agreed as being allowable). Note: Agreementasto allowability is tentative and does
`not restrict further action by the examiner to the contrary.
`— The signature of the examiner who conductedthe interview (if Form is not an attachment to a signed Office action)
`
`It is desirable that the examinerorally remind the applicant of his or her obligation to record the substance of the interview of each case. It
`should be noted, however, that the Interview Summary Form will not normally be considered a complete and proper recordation of the interview
`unlessit includes, or is supplemented by the applicant or the examiner to include, all of the applicable items required below concerning the
`substanceofthe interview.
`A complete and proper recordation of the substance of any interview should include at 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,
`8) an identification of the 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 need not be lengthy or elaborate. A verbatim or highly detailed description of the argumentsis not
`required. The identification of the argumentsis sufficient if the general nature or thrust of the principal arguments madeto the
`examiner can be understood in the context of the application file. Of course, the applicant may desire to emphasize and fully
`describe those arguments which heor she feels were or might be persuasive to the examiner.)
`6) a general indication of any other pertinent matters discussed, and
`7) if appropriate, the general results or outcomeofthe interview unless already described in the Interview Summary Form completed by
`the examiner.
`Examiners are expected to carefully review the applicant’s record of the substanceofan interview.
`accurate, the examinerwill give the applicant an extendable one month time period to correct the record.
`
`If the record is not complete and
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`Examiner to Check for Accuracy
`
`If the claims are allowable for other reasons of record, the examiner should send a letter setting forth the examiner’s version of the
`statementattributed to him or her.
`If the record is complete and accurate, the examiner should placethe indication, “Interview Record OK” on the
`paper recording the substanceof the interview along with the date and the examiner'sinitials.
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