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United States Patent and Trademark Office 



UNITED STATES DEPARTMENT OF COMMERCE 
United States Patent and Trademark Office 
Address: COMMISSIONER FOR PATENTS 
P.O. Box 14S0 

Alexandria, Virginia 223 1 3- 1 450 
www.uspto.gov 



APPLICATION NO. 


FILING DATE 


FIRST NAMED INVENTOR 


ATTORNEY DOCKET NO. 


CONFIRMATION NO. 


09/998,152 


11/30/2001 


Donald P. Coleman 


010520 


5007 



26285 7590 01/09/2006 

KIRKPATRICK & LOCKHART NICHOLSON GRAHAM LLP 
535 SMITHFIELD STREET 
PITTSBURGH, PA 15222 



EXAMINER 



ROBINSON, GRETA LEE 



ART UNIT 



PAPER NUMBER 



2168 

DATE MAILED: 01/09/2006 



Please find below and/or attached an Office communication concerning this application or proceeding. 



PTO-90C (Rev. 10/03) 



Application No. 



Applicant(s) 



Interview Summary 



09/998,152 



COLEMAN, DONALD P. 



Examiner 



Art Unit 



Greta L. Robinson 



2168 



All participants (applicant, applicant's representative, PTO personnel): 



(1) Michael D. Lazzara. applicant's representative . 



(3) Greta L. Robinson, primary examiner . 



(2) Donald Coleman. Inventor . 



(4). 



Date of Interview: 05 January 2006 . 

Type: a)S Telephonic b)D Video Conference _ 

c)D Personal [copy given to: 1)D applicant 2)D applicant's representative] 

Exhibit shown or demonstration conducted: d)D Yes e)D No. 
If Yes, brief description: . 

Claim(s) discussed: 1 and 8 . 

Identification of prior art discussed: McDonald et al. US Patent Application Publication No. 2004/0019558 A1 . 
Agreement with respect to the claims f)D was reached, g)^ was not reached. h)D N/A. 



Substance of Interview including description of the general nature of what was agreed to if an agreement was 
reached, or any other comments: See Continuation Sheet . 

(A fuller description, if necessary, and a copy of the amendments which the examiner agreed would render the claims 
allowable, if available, must be attached. Also, where no copy of the amendments that would render the claims 
allowable is available, a summary thereof must be attached.) 

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. See Summary of Record of Interview 
requirements on reverse side or on attached sheet. 




Examiner Note: You must sign this form unless it is an 
Attachment to a signed Office action. 



Examiner's signature, if required 



U.S. Patent and Trademark Office 
PTOL-413 (Rev. 04-03) 



Interview Summary 



Paper No. 01052006 



Summary of Record of Interview Requirements 

Manual of Patent Examining Procedure (MPEP), Section 713.04, Substance of 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 made of record in the 
application whether or not an agreement with the examiner was reached at the interview. 

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 be filed by the applicant An interview does not remove the necessity for reply to Office action as specified in §§ 1.111, 1.135. (35U.S.C. 132) 

37 CFR §1.2 Business to be transacted in 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 record is itself 
incomplete through the failure to record the substance of interviews. 

It is the responsibility of the applicant or the attorney or agent to make the substance of 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 each interview 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 Record is required. 

The Interview Summary Form shall be given an appropriate Paper No., placed in the right hand portion of the file, and listed on the 
"Contents" section of the file wrapper. In a personal interview, 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-conference interview, 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 not likely before an allowance or 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 of applicant 

- Name of examiner 

- Date of interview 

- Type of interview (telephonic, video-conference, or personal) 

- Name of participant(s) (applicant, attorney or agent, examiner, other PTO personnel, etc.) 

- An indication whether or not an exhibit was shown or a demonstration conducted 

- An identification of the specific prior art discussed 

- An indication whether an agreement was reached and if so, a description of the general nature of the agreement (may be by 
attachment of a copy of amendments or claims agreed as being allowable). Note: Agreement as to allowability is tentative and does 
not restrict further action by the examiner to the contrary. 

- The signature of the examiner who conducted the interview (if Form is not an attachment to a signed Office action) 

It is desirable that the examiner orally 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 
unless it includes, or is supplemented by the applicant or the examiner to include, all of the applicable items required below concerning the 
substance of the 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, 

3) an identification of the specific prior art discussed, 

4) an identification of the principal proposed amendments of 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 arguments is not 
required. The identification of the arguments is sufficient if the general nature or thrust of the principal arguments made to 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 he or 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 outcome of the 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 substance of an interview. If the record is not complete and 
accurate, the examiner will give the applicant an extendable one month time period to correct the record. 

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 
statement attributed to him or her. If the record is complete and accurate, the examiner should place the indication, "Interview Record OK" on the 
paper recording the substance of the interview along with the date and the examiner's initials. 



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Continuation Sheet (PTOL-413) 



Application No. 09/998,152 



Continuation of Substance of Interview including description of the general nature of what was agreed to if an 
agreement was reached, or any other comments: The general nature of the telephone call was to review the novel 
aspects of the present invention, review office action mailed September 23, 2005, and discuss McDonald reference. 
Applicant explained the present invention with resect to enhancements in securitization and the limitation securitization 
of multiple assets. Also, the limitation flow basis was discussed with respect to the ability to scrub and/or rescrub data. 
Applicant stated that McDonald is not directed to commercial mortgages. A formal response to the office action will be 
submitted. . 



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