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1-15428 



Certificate of Mailing (37 CFR 1.8a) 
I hereby certify that this correspondence is being 
deposited with the United States Postal Service as 
first class mail in an envelope addressed to: 
Commissioner for Patents, Washington, D.C. 20231, 

(signature) 
Michelle Fais 



IN THE UNITED STATES PATENT AND TRADEMARK OFF 



In re Application of: Goodman, et al. 


] Group Art Unit: 2161 i 


Serial No. 09/876,311 


] ** 


Filed: June 7, 2001 


] Examiner: . 


For: Method of Incentivising Members of 


] Attorney Docket 1-15428 


a Disease Management Programme 




to Comply with the Programme 






June 20, 2002 



Commissioner of Patents 
Washington, D.C. 20231 



RECEIVED 

JUN 2 7 2002 

GROUP 3600 



INFORMATION DISCLOSURE STATEMENT 



Honorably Sir: 

Pursuant to Section 1 .97 of Title 37 of the Code of Federal Regulations, and prior 
to the issuance of a first office action, record is hereby made of published prior art the 
United States Patent and Trademark Office may wish to consider during examination of the 
above-entitled application. No representation is made or intended that a prior art search 
was conducted, or that no better art than that listed is available. 



1 



1-15428 



U.S. Patent 
5,937,387 
5,542,420 
5,692,501 



Date of Issuance 
August 10, 1999 
August 6, 1996 
December 2, 1997 



Inventor 

Summerell, et al. 
Goldman, et al. 
Minturn 



Other Prior Art 

"Choice and cost-savings" 

"Stay healthy for real fun - and profit" 

"New plan cuts health care costs in half 



Date of Publication 
July 1996 
January 1996 
October 1993 



Copies of the above-cited U.S. patent documents and other prior art are enclosed, 
along with IDS Form PTO/SB/08A. 

It is requested that these references be fully considered and made of record in this 

case. 



ATTORNEYS 
Marshall & Melhorn, LLC 
Four SeaGate - 8th Floor 
Toledo, Ohio 43604 
Phone: (419) 249-7149 
Fax: (419) 249-7151 




Phillip S. Oberlin 
Registration No. 19,066 




PTO/SB/08A (10-01) 
Approved for use through 10/31/2002. 0M3 0651-0031 
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 OMB 
control number • 



-+ 



Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 

(use as many sheets as necessary) 



Sheet 



of 



Complete if Known ^ 


Application Number 


09/876,311 


Filinq Date 


June 7, 2001 


First Named Inventor 


Goodman, et al. 


Art Unit 


2161 


Examiner Name 




Attorney Docket Number 


1 T 15A28 j 



examiner 
Initials* 



Cite 
No. 1 



U.S. PATENT DOCUMENTS 



Dnraimont Number 



Number- Kind Code 2 (if knowr, 



us-5,937,387 

US- 



ys- 
us- 

us" 



uj>- 
us- 
us- 
us- 
us- 
us- 

US- 

us- 

US- 

us- 

US- 
US- 
US- 



Publication Date 
MM-DD-YYYY 



08-10-1999 



™Q8 r 06^1996 
12-02-1997 



Name of Patentee or 
Applicant of Cited Document 



Minturn . 



Pages, Columns, Lines, Where 
Relevant Passages or Relevant 
Figures Appear 



REGBVEB- 



JUN 2 7 



-3-0-00 — 



Examiner 
Initials" 



Cite 
No. 1 



FOREIGN PATENT DOCUMENTS 



Foreign Patent Document 



Oxirwy.Cocte3..-Nu m ber^. Kind Code 5 {fftoiown) 



Publication Date 
MM-DD-YYYY 



Name of Patentee or 
Applicant of Cited Document 



Pages, Columns, Lines, 
Where Relevant Passages 
.or Relevant Figures Appear 



T6 





Examiner 
Signature 




Date 

Considered 





'EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in 
conformance and not considered. Include copy of this form with next communication to applicant. 

1 Applicant's unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.qoy or MPEP 
901.04. 3 Enter Office that issued the document, by the two-letter code (WiPO Standard ST. 3).*" 4 For Japanese patent documents, the 
indication of the year of the reign of the Emperor must precede the serial number of the patent document. 5 Kind of document by the 
appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 6 Applicant is to place a check mark here if 
English language Translation is attached. 

Burden Hour Statement: This form is estimated to take 2.0 hours to complete. Time will vary depending upon the needs of the individual case. 
Any comments on the amount of time you are required to complete this form should be sent to the Chief Information Officer, U.S. Patent and 
Trademark Office, Washington, DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant 
Commissioner for Patents, Washington, DC 20231 . 



Under the Paperwork Reductii 
control number. 




PTO/SB/08B. (10-01) 
Approved for use through 10/31/2002. OMB 0651-0031 
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE 
lersons are required to respond to a collection of information unless it contains a valid OMB 



+ 



Substitute for form 1449B/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 

(use as many sheets as necessary) 



V Sheet 



of 



Complete if Known 



Application Number 



Filing Date 



First Named Inventor 



Group Art Unit 



Examiner Name 



Attorney Docket Number 



097876.311 



■Time 7.~?0m 



(TonrlTnan , ■ et al 



1-15428 



OTHER PRIOR ART - NON PATENT LITERATURE DOCUMENTS 



Examiner 
Initials* 



Cite 
No. 1 



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, page(s), volume-issue 
nnrohprff;> nnhlishpr ritv anri/nr country wh^rQ nuhlfchpri 



Rintelman, Mary Jane, "Choice and cost-savings 11 , Credit Union 
Management, Vol. 19, No. 77, pp. 48, 50. July 1996 



Woodard, Kathy, "Stay healthy for real fun - and profit", 
Business First-Columbus, Vol. 12, No. 19, S.l, p. 13. Jan. 1996 



Spencer, Peter L. , "New plan cuts health care costs in half 
(advantage of health care, plan with high deductible)", ; 
Consumers ■ Research- Magaziney- --Vol— -?6-y"No-. 10 * pp . 16 . Oct .- IS 



RECEIVED 



JUN 



GROUP 



93 



7 I 



002 

3600 





Examiner 
Sianature 




Date 

Considered 





'EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance 
and not considered. Include copy of this form with next communication to applicant. 

1 Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language Translation is attached. 

Burden Hour Statement: This form is estimated to take 2.0 hours to complete. Time will vary depending upon the needs of the individual case. Any 
comments on the amount of time you are required to complete this form should be sent to the Chief Information Officer, U.S. Patent and Trademark 
Office, Washington. DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents. 
Washington. DC 20231.