PCT/US2006/003393 29.05.2007
`PATENT COOPERATION TREATY
`PCT /US2006/003393
`
`PCT
`
`To:
`
`us (37)
`
`From the INTERNATIONAL BUREAU
`
`NOTIFICATION OF DEFECTS IN
`THE INTERNATIONAL APPLICATION
`
`(PCT Articles 3(4)(i) and 14(1) and Rule 28.J)
`
`UNITED STATES PATENT AND TRADEMARK
`OFFICE
`Attention: Box PCT
`Room 3A01, South Tower
`2900 Crystal Drive
`Arlington, VA 22202
`ETATS-UNIS D'AMERIQUE
`
`in ib capacitJ· as receiving Office
`
`lntemational filing date 1dayi11onthj,ear)
`31 January 2006 (31.01.2006)
`
`Date of mailing (day1111on1hl,vew:J
`29 May 2007 (29.05.2007)
`
`lntcmalional application No.
`PCT /US2006/003393
`
`Applicant
`
`NEISTER, S. Edward
`
`I. ~ TI1e International Bureau hereby calls the attention of the receiving Office to the detects in the international application as
`filed, which are specified on the attached:
`D Almex A
`~ Annex BI (texl matter of the in1ema1io11al applicatfon as filed)
`D Annex CI (drawings of the illfemational applica1io11 as Ji led}
`
`2. D TI1e International Bureau hereby calls the attention of the receiving Office to the defects in the translation of the international
`application furnished under Rule 12.3 or 12.4, which an: specified on the attached:
`D Annex A
`D Almex B2 (texl malt er of the 1rcmslario11 of the in1enwrio1wl application)
`D Annex C2 (drawings C!_( the tra11slatio11 of the in1e11wtional applica1ion)
`
`Additional observations ({(necessary):
`
`NOT AN ERROR. THERE'S NO WAY \VE CAN
`
`IvIEASURE THE MARGINS.
`
`SIGHOSTAD
`02 JULY07
`
`TI1e International Bureau of W1PO
`34, chemin des Colombettes
`1211 Geneva 20, Switzerland
`
`Facsimile No. +41 22 338 82 70
`Fonn PCT/IB/313 (October 2005)
`
`Authorized officer
`
`Park Kwang Woon
`Facsimile No. +41 22 338 70 90
`T dephone No. +41 22 338 74 12
`
`l/C9OBSTE50
`
`1
`
`EXHIBIT 1009
`
`

`

`ANNEX Bl TO FORM PCT/IB/313
`
`PCT/US2006/003393 29.05.2007
`
`I h1temational applicalion No.
`
`PCT /US2006/003393
`
`TI1e mtemational Bureau has found thal, with regard to the presentation or the text matter of the international application as filed, the
`physical requirements are not complied with to the extent that compliance therewith is necessary for:
`
`~
`
`•\
`
`I. ~ reasonably unifonn international publication (Rules 11 and 26.3(aXi)) (defects to be spec{fied):
`Request Description Claims Abstract
`□
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`::,·
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`a. □ the sheets do not admit of direct reproduction
`b. □ the element does not commence on a new sheet
`C. □ sheets are not free from creases, cracks, folds
`d. □ sheets are not used in the upright position
`e. □ one side of the sheets is not left unused
`f □ the paper of the sheets is not flexible/strong/white/smooth/non-shiny/durable
`0 □ the sheets are not connected as prescribed (Rule I l.4(b))
`h. □ sheets are not A4 size (29. 7cm x 2 lcm)
`I. ~ the minimum margins on the sheets are not as prescribed (top: 2cm: left side:
`2.5cm; right side: 2cm; bottom: 2cm)
`j. □ the file reference number indicated on the sheets does not appear in the
`left-hand corner of the sheets, within l .5 cm of the top of the sheets
`k. □ the file reference number exceeds the maximum of 12 characters
`I. □ the sheets of the desc1iption, clain1s and abstract an:: not numbered in
`consecutive Arabic munerals
`m.D the sheet numbers are not centered at the top or bottom of the sheets
`n. □ the sheet numbers are in the margin (see i. above for the size of the margins)
`0. □ the text matter is not typed or printed
`p. □ the typing on the sheets is not 1 ½-spaced
`q. □ the characters in the text matter on the sheets are Jess than 0.21 cm high in
`capital letters
`r. □ the text matter on the sheets is not in dark, indelible color
`S. □ the element contains drawings
`t. □ the sheets contain alterations/ovenuitings/interlineations/toomany erasures
`u. □ the sheets contain photocopy marks
`2. □ satisfactory reproduction (Rules 11 and 26.3(b)(i))
`
`□
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`
`Further observations (tf necessar.v):
`
`Fonn PCT/IB/313 (Annex Bl) (October 2005)
`
`2/C90BSTE50
`
`2
`
`

`

`PATENT COOPERATION TREATY
`
`From the IN1ERNATIONAL SEARCHING AUTHORITY
`
`To:
`PHILLIP DECKER
`MESMER & DELEAULT, PLLC
`ONE NEW HAMPSHIRE AVENUE SUITE 125
`PORTSMOUTH, NEW HAMPSHIRE 03801
`
`PCT
`
`NOTIFICATION OF RECEIPT
`OF SEARCH COPY
`
`(PCT Rule 25.1)
`
`PALM Tracking Number= 51603393
`
`Applicant's or agent's file reference
`NEI.PCT.2
`
`Date of mailing
`( daylmonthlyeari
`
`18 May 2007
`
`IMPORTANT NOTIFICATION
`
`International application No.
`PCT/US2006/003393
`
`International filing date (day/month/year)
`31 Jan 2006
`
`Priority date (daylmonthlyeari
`31 Jan 2005
`
`Applicant
`
`NEISTER, s. EDWARD
`
`1.
`
`\Vhere the International Searching Authority and the receiving Office are not the same Office:
`The applicant is hereby notified that the search copy of the international application was received by this International Searching
`Authority on the date indicated below.
`
`Where the International Searching Authority and the receiving Office are the same Office:
`The applicant is hereby notified that the search copy of the international application was received on the date indicated below.
`
`18 May 2007
`
`( date of receipt).
`
`2. □ The search copy was accompanied by a nucleotide and/or amino acid sequence listing or tables related thereto in computer
`
`readable form.
`
`3.
`
`Time limit for establishment of international search report and written opinion of the International Searching Authority
`The applicant is informed that the time limit for establishing the international search report and the written opinion of the
`International Searching Authority is three months from the date of receipt indicated above or nine months from the priority date,
`whichever time limit expires later (Rules 42.1 and 43bis.l(a)).
`
`4.
`
`A copy of this notification has been sent to the International Bureau and, where the first sentence of paragraph 1 applies, to the
`receiving Office.
`
`Name and mailing address of the ISA/
`Mail Stop PCT, Commissioner for Patents
`P.O. Box 1450, Alexandria, VA 22313-1450
`
`Facsimile No. 571-273-3201
`
`Form PCT/ISA/202 (January 2004)
`
`Authorized officer
`
`Sigfried Hostad
`
`Telephone No. 703-308-9290 EX 126
`
`3
`
`

`

`PATENT COOPERATION TREATY
`
`From the RECEIVING OFFICE
`
`To:
`
`PHILLIP DECKER
`MESMER & DELEAULT, PLLC
`ONE NEW HAMPSHIRE AVENUE SUITE 125
`PORTSMOUTH, NEW HAMPSHIRE 03801
`
`Applicant's or agent's file reference
`NEI.PCT.2
`
`PCT
`
`NOTIFICATION CONCERNING PAYMENT
`OF PRESCRIBED FEES
`
`(PCT Rules 14, 15 and 16 and Administrative
`Instructions, Sections 102bis( c ), 304,
`323(b), 707(b) and 803)
`
`Date of mailing
`( daylmonthlvear)
`
`PAYMENT DUE
`
`18 May 2007
`
`see item 3 for time limits
`
`International application No.
`PCT /US2006/003393
`
`International filing date/Date of receipt
`(day/month/year)
`
`31 Jan 2006
`
`Priority date (day/month/year)
`31 Jan 2005
`
`Applicant
`NEISTER, S. EDWARD
`
`1. The applicant is hereby notified that this receiving Office has received:
`
`the payment of all the prescribed fees, and □ an overpayment, which will be refunded in due course.
`
`no or insufficient payment of the prescribed fees and the applicant is hereby invited to pay the balance due, as
`summarized under item 2, within the time limit(s) indicated under item 3.
`
`2. Fees and payment calculation:
`
`2,340.00
`Total fees payable
`
`D The details of the calculation are given in the Annex.
`
`2,340.00
`Amount paid
`
`0.00
`
`Balance
`
`3. Time limit(s) for payment and amount(s) payable (Rules 14.1, 15.4 and 16.l(f)):
`
`fee and the international filing fee). The amount payable for each fee is the amount applicable on the date of receipt of the
`international application.
`
`□ within ONE MONTH from the date of receipt of the international application (for the transmittal fee (if any), the search
`□ within 16 MONTHS from the priority date (only for the fee for priority document). The applicant's attention is drawn to the
`
`fact that the request made by the applicant under Rule 17 .1 (b) will be considered not to have been made unless the fee is paid
`within that time limit.
`
`4. Additional observations (if necessary):
`
`□ The search copy will not be transmitted to the International Searching Authority until the search fee is paid (therefore the
`
`start of the international search will be delayed) (Rule 23.l(a) and (b )).
`
`Name and mailing address of the receiving Office
`
`Mail Stop PCT, Commissioner for Patents
`P.O. Box 1450, Alexandria, VA 22313-1450
`
`Facsimile No. 571-273-3201
`
`Form PCT/RO/102 (January 2004)
`
`Authorized officer
`Sigflied Hostad
`
`Telephone No. 703-308-9290 EX 126
`
`4
`
`

`

`ANNEX TO FORM PCT/RO/102
`CALCULATION OF THE PRESCRIBED FEES
`
`International application No.
`
`PCT/US2006/003393
`
`[TI TransmittalFee
`Prescribed amount:
`
`Amount paid:
`.
`.
`Balance: . . . . . . . . . . . . . . . . . . . . . . . . . . =
`
`[I) SearchFee
`Prescribed amount:
`
`Amount paid:
`.
`.
`Balance: . . . . . . . . . . . . . . . . . . . . . . . . . . =
`
`DJ International Filing Fee
`
`Fixed amount for first 30 sheets:
`
`Number of sheets
`in excess of 30
`
`x _ _ _ _ 12_._oo_
`Fee per sheet
`
`Additional
`component: .
`
`.
`
`. 400 x
`
`0.00
`Fee per sheet
`
`1,008.00 ITT]
`12.00 [2J
`
`0.00 [TI
`
`Reduction where the international application is filed
`(See PCT Applicant's Guide, Volume I, General Part,
`for details on the availability of this reduction):
`using the PCT-EASY software: .
`.
`.
`.
`or
`in electronic form where the text of the
`description, claims and abstract is not in
`character coded format: .
`.
`.
`.
`.
`.
`.
`.
`.
`or
`in electronic form where the text of the
`description, claims and abstract is in character
`coded format: .
`.
`.
`.
`.
`.
`.
`.
`.
`.
`.
`.
`.
`
`0.00 [1J
`
`0.00 [1J
`
`0.00 [1J
`
`Sub-total:
`
`.
`
`.
`
`.
`
`.
`
`.
`
`1,020.00 li1+i2+i3-rl
`
`Prescribed total amount (The amount to be entered at I is the sub-total
`entered at (il+i2+i3-rJ, except where the applicant is (or all applicants
`are) entitled to a reduction of 75%, in which case the amount to be
`entered at I is 25% of the sub-total (il+i2+i3-r); certain applicants from
`certain States are entitled to a reduction of 75% of the international
`filing fee; see Notes to the Fee Calculation Sheet as annexed to the
`Request Form, PCT/RO/101,fordetails): ..
`
`Amount paid:
`
`.
`
`Balance:.
`
`.
`
`.
`
`.
`
`[El Fee for Priority Document
`Prescribed amount: .
`
`Amount paid:
`
`Balance: . .
`
`Form PCT/RO/102 (Annex) (January 2004)
`
`300.00 [r]
`300.00
`0.00
`
`1,000.00 [sJ
`1,000.00
`0.00
`
`~ correct amount
`D overpayment
`D balance due
`
`lvl
`i.::::::i correct amount
`D overpayment
`D balance due
`
`1,020.00 [TI
`1,020.00
`0.00
`
`lgj correct amount
`D overpayment
`D balance due
`
`20.00 [Pl
`20.00
`0.00
`
`(gJ correct amount
`D overpayment
`D balance due
`
`5
`
`

`

`PATENT COOPERATION TREATY
`
`From the RECEIVING OFFICE
`
`To:
`PHILLIP DECKER
`MESMER & DELEAULT, PLLC
`ONE NEW HAMPSHIRE AVENUE SUITE 125
`PORTSMOUTH, NEW HAMPSHIRE 03801
`
`Confirmation No: 3809
`
`Applicant's or agent· s file reference
`NEI.PCT.2
`
`PCT
`
`NOTIFICATION OF THE INTERNATIONAL
`APPLICATION NUMBER AND OF THE
`INTERNATIONAL FILING DATE
`
`(PCT Rule 20.5(c))
`
`Date of mailing
`( day/month/year)
`
`18 May 2007
`
`IMPORTANT NOTIFICATION
`
`International application No.
`PCT/US2006/003393
`
`International filing date (day/month/year)
`31 Jan 2006
`
`Priority date (day/month/year)
`31 Jan 2005
`
`Applicant
`
`Title of the invention
`
`NEISTER, S. EDWARD
`
`METHOD AND APPARATUS FOR STERILIZING AND DISINFECTING AIR AND SURFACES AND
`PROTECTING A ZONE FROM EXTERNAL MICROBIAL CONTAMINATION
`
`1.
`
`The applicant is hereby notified that the international application has been accorded the international application number and the
`international filing date indicated above.
`
`2.
`
`The applicant is further notified thatthe record copy of the international application:
`18 May 2007
`
`~
`was transmitted to the International Bureau on
`□
`has not yet been transmitted to the International Bureau for the reason indicated below and a copy of this notification
`has been sent to the International Bureau*:
`
`D because the necessary national security clearance has not yet been obtained.
`D because (reason to be specified):
`
`* The International Bureau monitors the transmittal ofthe record copy by the receiving Office and will notify the applicant ( with
`Farm PCT/IB/3 0 l) ofits receipt. Should the record copy not have been received by the expiration ofl 4 months from the priority
`date, the International Bureau will notify the applicant (Rule 22. l ( c )).
`
`3.
`
`FOREIGN 1RANSMITTAL LICENSE INFORMATION
`
`Completed by: _s_H _______ _
`
`the equivalent U.S. national application. Refer to that license for information concerning its scope.
`
`□ Additional license for foreign transmittal not required. This subject matter is covered by a license already granted or
`□ License for foreign transmittal not required. 37 CFR. 5.1 l(e)(l) or 37 CFR 5. l l(e)(2). However, a license may be
`IXI Foreign transmittal license granted. 35 U.S.C. 184; 37 CFR 5.11 on
`(X]
`□ 37 CFR 5.15(a)
`
`required for additional subject matter. See 37 CFR 5.15(b).
`
`14 May 2007
`
`(date)
`
`37 CFR 5.15(b)
`
`Name and mailing address of the receiving Office
`Mail Stop PCT, Commissioner for Patents
`P.O. Box 1450, Alexandria, VA 22313-1450
`
`Authorized officer
`Sigfried Hostad
`
`Facsimile No. 571-273-3201
`
`Form PCT/RO/105 (July 1992)
`
`Telephone No. 703-308-9290 EX 126
`
`6
`
`

`

`NEI.PCT.2
`
`PCT R JQ;LJE!T· ,. 11..J! :;:::ii ii.Ji il:::11 ...- . l!:. !I :::::!: :::::\'.
`
`1/6
`
`Original (for SUBMISSION )
`
`CORRECTED COPY
`
`0
`
`0-1
`
`0-2
`
`0-3
`
`For receiving Office use only
`
`International Application No.
`
`International Filing Date
`
`Name of receiving Office and "PCT
`International Application"
`
`0-4
`
`Form PCT/RO/101 PCT Request
`
`0-4-1
`
`Prepared Using
`
`0-5
`
`Petition
`
`PCT/US 06/0j393
`06
`06
`3 1 1 AN£ 6'1-Jc 3 1. o 1 frt•n J
`
`PCT INTERNATIONAL APPLICATION RO/US
`
`PCT-SAFE [EASY mode]
`Version 3.51.002.177 MT/FOP
`20060101/0.20.4rc.2.7
`
`The undersigned requests that the
`present international application be
`processed according to the Patent
`Cooperation Treaty
`Receiving Office (specified by the United States Patent and Trademark
`applicant)
`(RO/US)
`Office (USPTO)
`Applicant's or agent's file reference NEI.PCT.2
`METHOD AND APPARATUS FOR STERILIZING AND
`Title of Invention
`DISINFECTING AIR AND SURFACES AND
`PROTECTING A ZONE FROM EXTERNAL
`MICROBIAL CONTAMINATION
`
`applicant and inventor
`al.1 designated States
`NEISTER, s. Edward
`152 Brackett Road
`New Durham, New Hampshire 03855
`United States of America
`us
`us
`603-859-8600
`603-859-4033
`eneister@wor1dpath.net
`
`0-6
`
`0-7
`
`I
`
`II
`11-1
`
`11-2
`
`11-4
`
`11-5
`
`11-6
`
`11-7
`
`11-8
`
`ll-9
`
`Applicant
`This person is
`
`Applicant for
`
`Name (LAST, First)
`
`Address
`
`State of nationality
`
`State of residence
`
`Telephone No
`
`Facsimile No.
`
`11-10
`
`e-mail
`
`7
`
`

`

`NEI.PCT.2
`
`PCT RIQUE'St/ If Ji '.!:::1i [II i!:::i1 .. / ilJ :::J; :::::1: it,::ii :.::;i;
`Original {for SUBMISSION )
`
`2/6
`
`JV-1
`
`Agent or common representative; or
`address for correspondence
`The person 1dentif1ed below is hereby/ agent
`has been appointed to act on behalf of
`the applicant{s) before the competent
`International Authont1es as·
`
`IV-1-1
`
`Name {LAST, First)
`
`IV-1-2
`
`Address
`
`IV-1-3
`
`Telephone No.
`
`IV-1-4
`
`Facsimile No.
`
`IV-1-5
`
`e-mail
`
`V
`V-1
`
`Vl-1
`
`Vl-1-1
`
`DESIGNATIONS
`The filing of this request constitutes
`under Rule 4.9(a), the designation of
`all Contracting States,bound by the
`PCT on the international filing date,
`for the grant of every kind of
`protection available and, where
`applicable, for the grant of both
`regional and national patents.
`Priority claim of earlier national
`application
`Filing date
`
`Vl-1-2 Number
`
`Vl-1-3 Country
`
`Vl-2
`
`Priority document request
`
`The receiving Office is requested to
`prepare and transmit to the International
`Bureau a certified copy of the earlier
`apphcation(s) identified above as
`1tem(s}:
`International Searching Authority
`Chosen
`
`Vll-1
`
`DECKER, Phillip
`Mesmer & Deleault, PLLC
`One New Hampshire Avenue Suite 125
`Portsmouth, New Hampshire 03801
`United States of America
`603-766-1910
`603-766-1901
`phil@biz-patlaw.com
`
`31 January 2005 (31.01.2005)
`60/593,626
`us
`
`VI -1
`
`United States Patent and Trademark
`Office (USPTO)
`(ISA/US)
`
`8
`
`

`

`NEI.PCT.2
`
`PCT Rij(:JH!lESi .. •··· !I. Ii :::::i; i[!l lEi1 .... · iiJ .:•J; :::;1;
`
`3/6
`
`:.:·:Ii
`Original (for SUBMISSION )
`
`Number of declarations
`
`VIII
`Vlll-1
`
`Vlll-2
`
`Vlll-3
`
`Vlll-4
`
`Vlll-5
`
`Declarations
`Declaration as to the identity of the
`inventor
`Declaration as to the applicant's
`entitlement, as at the international filing
`date, to apply for and be granted a
`patent
`Declaration as to the applicant's
`entitlement, as at the international filing
`date, to claim the pnonty of the earlier
`application
`Declaration of inventorsh1p (only for the
`purposes of the designation of the
`United States of Amenca)
`Declaration as to non-prejudicial
`disclosures or exceptions to lack of
`novelty
`
`-
`-
`
`-
`
`l.
`
`-
`
`9
`
`

`

`NEI.PCT.2
`
`4/6
`
`Original (for SUBMISSION )
`
`Vlll-4-1 Declaration: lnventorship (only for
`the purposes of the designation of
`the United States of America)
`Declaration of lnventorshrp (Rules
`4.17(rv) and 51 bis.1 (a)(1v)) for the
`purposes of the designation of the
`United States of America.
`
`Vlll-4-1- Pnor applications.
`
`I hereby dec1are that I believe I am the
`original, first and sole (if on1y one
`inventor is 1isted below) or joint (if
`more than one inventor is listed below)
`inventor of the subject matter which is
`claimed and for which a patent is
`sought.
`This declaration is directed to the
`international application of which it
`forms a part (if filing declaration with
`application).
`This declaration is directed to
`.
`international application No. PCT/
`(if furnishing
`declaration pursuant to Rule 26ter).
`I hereby declare that my residence,
`mailing address, and citizenship are as
`stated next to my name.
`I hereby state that I have reviewed and
`understand the contents of the above(cid:173)
`identified international application,
`including the claims of said
`application. I have identified in the
`request of said application, in
`compliance with PCT Rule 4.10, any claim
`to foreign priority, and I have
`identified below, under the heading
`"Prior Applications", by application
`nwnber, country or Member of the World
`Trade Organization, day, month, and year
`of filing, any application for a patent
`or inventor's certificate filed in a
`country other than the United States of
`America, including any PCT international
`application designating at least one
`country other than the United States of
`America, having a filing date before
`that of the application on which foreign
`priority is claimed.
`
`10
`
`

`

`NEI.PCT.2
`
`PCT RJ-©OE'!li't>'' l!J :!:::ii IUl lb1 .... ilJ .. :::\; :::::1: il:_j; .:::\\
`Original (for SUBMISSION }
`
`5/6
`
`I hereby acknowledge the duty to
`disclose information that is known by me
`to be material to patentability as
`defined by 37 C.F.R. § 1.56, including
`for continuation-in-part applications,
`material information which became
`available between the filing date of the
`prior application and the PCT
`international filing date of the
`continuation-in-part application.
`I hereby declare that all statements
`made herein of my own knowledge are true
`and that all statements made on
`information and belief are believed to
`be true; and further that these
`statements were made with the knowledge
`that willful false statements and the
`like so made are punishable by fine or
`imprisonment, or both, under Section
`1001 of Title 18 of the United States
`Code and that such willful false
`statements may jeopardize the validity
`of the application or any patent issued
`thereon.
`NEISTER, -S. Edward
`
`New Durham, New Hampshire
`
`152 Brackett Road New Durham, NH 03855
`United States of America
`us
`
`Vlll-4-1- Name (LAST, First)
`1-1
`Vlll-4-1- Residence:
`(city and either US State, 1f applicable,
`1-2
`or country)
`Vlll-4-1- Mailing address:
`1-3
`
`Vlll-4-1- C11izenship
`1-4
`Vlll-4-1-
`1-5
`
`Inventor's Signature:
`(The signature must be that of the
`inventor, not that of the agent)
`Vlll-4-1- Date.
`1-6
`
`11
`
`

`

`NEI.PCT.2
`PCT RS-~1u1=·st/ tu:!::;;; iLH n:::i1 . ...-· r.;i .::::1; .::::1; w::11 ·::]:
`Original (for SUBMISSION )
`
`6/6
`
`Check list
`Request (including declaration sheets)
`
`Descnpt1on
`
`Claims
`
`Abstract
`
`Drawings
`
`TOTAL
`
`Accompanying Items
`Fee calculation sheet
`
`Original general power of attorney
`
`PCT-SAFE physical media
`
`other
`
`number of sheets
`6
`13
`3
`1
`8
`31
`paper document{s) attached
`
`✓
`
`✓
`
`-
`PTO 2038 Credit
`card paYJUent form
`Figure of the drawings which should 5
`accompany the abstract
`Language of filing of the international English
`application
`
`electronic ftle(s} attached
`
`✓
`
`-
`-
`✓
`-
`
`electronic file(s) attached
`-
`-
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`✓
`
`IX
`IX-1
`
`IX-2
`
`IX-3
`IX-4
`IX-5
`IX-7
`
`IX-8
`
`IX-10
`IX-17
`
`IX-18
`
`IX-19
`
`IX-20
`
`X-1
`
`X-1-1
`
`X-1-2
`X-1-3
`
`Signature of applicant, agent or ~/~
`y - V 7
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`NEISTER, s. Edward
`/N vFJVyb ,,2_.
`
`common representative
`
`Name (LAST, First)
`
`Name of signatory
`Capacity
`
`-
`
`-
`
`FOR RECEIVING OFFICE USE ONLY
`
`(31.01.06)
`
`10-1
`
`10-2
`
`Date of actual receipt of the
`purported international application
`Drawings:
`
`10-2-1 Received
`
`IAPi R&e' J PCT /PTO 31
`
`-
`JAN tUUD
`
`10-2·2 Not received
`Corrected date of actual receipt due
`10-3
`to later but timely received papers or
`drawings completing the purported
`international application
`Date of timely receipt of the required
`corrections under PCT Article 11(2)
`International Searching Authority
`
`10-4
`
`10-5
`
`ISA/US
`
`10-6
`
`Transmittal of search copy delayed
`until search fee is paid
`
`FOR INTERNATIONAL BUREAU USE ONL V
`
`11-1
`
`Date of receipt of the record copy by
`the International Bureau
`
`12
`
`

`

`NEI.PCT.2
`
`PCT (Pi\Nfli[E:Xll'=.Fe\EII C~LOOL:AtioN sl-ftlE:f.)
`Original (for SUBMISSION )
`(This sheet 1s not part of and does not count as a sheet of the international application}
`
`1/1
`
`0
`
`0-1
`0-2
`
`For receiving Office use only
`
`International Apphcat1on No.
`Date stamp of the receiving Office
`
`31-01-20
`
`0-4
`
`0-4-1
`
`Form PCT/RO/101 {Annex)
`PCT Fee Calculation Sheet
`Prepared Using
`
`0-9
`2
`
`Applicant's or agent's file reference
`Applicant
`
`12
`12-1
`
`Calculation of prescribed fees
`Transmittal fee
`
`12-2-1
`
`Search fee
`
`T
`s
`
`12-2-2
`
`International search to be earned out by
`
`12-3
`
`12-4
`
`12-5
`
`12-6
`
`12-7
`
`12-12
`
`12-13
`
`International filing fee
`(first 30 sheets)
`
`Remaining sheets
`
`Additional amount
`
`Total additional amount
`
`i1 + 12 =
`
`EASY Filing reduction
`
`Total International filing fee (i-R)
`
`12-14
`
`Fee for priority document
`
`Number of priority documents
`requested
`Fee per document
`
`Total priority document fee:
`
`TOTAL FEES PAYABLE (T+S+l+P)
`
`12-15
`
`12-16
`
`12-17
`
`12-19
`
`Mode of payment
`
`i1
`
`(X)
`
`i2
`
`i
`R
`I
`
`(X}
`p
`
`PCT-SAFE [EASY mode]
`Version 3.51.002.177 MT/FOP
`20060101/0.20.4rc.2.7
`NEI.PCT.2
`NEISTER, s. Edward
`fee amount/multiplier
`Total amounts (USO)
`300
`1000
`
`◊
`
`◊
`
`l.086
`
`12
`1098
`-78
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`
`13
`
`

`

`IAP7Roo'dPCT/PTO 31 JAN 2006
`
`PTO-1382 (Rev 07-2004)
`
`I! 11::: • i!' 'll jl:::: /' !', "1
`w:,;. 'i'"'• "':;'
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`US Patent and Trademark Office, US DEPARTMENT Of COMMERCE
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`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collectJOn of mformatJOn unless 11 displays a valid 0MB control number
`TRANSMITTAL LETTER TO THE UNITED STA TES RECEIVING OFFICE
`I Date of deposit: 31 J~N 2QO_§_
`Express Mail mailing number: ED868788319US
`,3
`I International application no. (ifkh~~}[LJS tJ6/U"-'~
`File reference no.: NEI.PCT.2
`Title of the invention: METHOD AND APPARATUS FOR STERILIZING AND DISINFECTING ..
`Earliest priority date claimed (Day/Month/Year): 31/01/2005
`
`~ This is a new International Application
`SCREENING DISCLOSURE INFORMATION:
`
`In order to assist in screening the accompanying international application for purposes of determining whether a
`license for foreign transmittal should and could be granted and for other purposes, the following information is
`supplied. (check as many boxes as apply):
`
`□ The invention disclosed was not made in the United States of America.
`□ There is no prior U.S. application relatmg to this invention.
`~ The following prior U.S. application(s) contain subject matter which is related to the invention disclosed in the
`attached international application. (NOTE: priority to these applications may or may not be claimed on the
`Request (form PCT/ROil 01) and this listing does not constitute a claim for priority.)
`
`application no.
`applicat10n no.
`
`60/593,626
`
`filed on
`
`filed on
`
`31/01/2005
`
`□ The present international application contains additional subject matter not found in the prior U.S. application(s)
`identified above. The additional subject matter is found on pages
`and 0 DOES NOT ALTER
`□ MIGHT BE CONSIDERED TO ALTER
`the general nature of the
`invention in a manner which would require the U.S. application to have been made-available for inspection by the
`appropriate defense agencies under 35 U.S.C. 181 and 37 C.F.R. 5.15.
`Itemized list of contents
`Sheets of Request form:
`Sheets of description
`(excluding sequence listing):
`
`Return receipt postcard:
`
`l
`
`6
`
`13
`
`Check no.:
`
`Sheets of claims:
`
`Sheets of abstract:
`
`Sheets of drawings:
`
`Shee1 s of sequence listing:
`
`Sequence listing diskette/CD:
`
`Tables related to sequence listing CD:
`
`3
`
`l
`
`Power of attorney:
`Certified copy of priority
`document (specify):
`
`l
`
`Other (specify): PTO 2038 credit card prnt.
`Declaration
`Floppy disk
`
`The person
`signing this
`form 1s·
`
`□ Applicant
`~ Attorney/ Agent (Reg. No.)
`39,163
`□ Common Representative
`
`Phillip E. Decker
`Name of person signing
`
`s,;Wl;<"fAl--
`
`This collcct,011 of 111!o1ma11on ,s required by J7 CFR I IO and I 412 The mfo1mat10n is required to obtarn or retam a benefit by the pub!IL, \\h,d1 is to file (and by the
`USPTO to p10Le") an dpphcat,on Confidenuahty ,s governed by 35 USC 122 and 37 C!-R I 11 and I 14 This co!lect1on is esl11mtcd to lake 15 minutes to complete,
`includmg gathering rnfornMtion, piepanng, an<l t--ubm1ttmg the compieted frnm to the L'SPTO Tune will vaiy depernJ111g upon the md1v1dual ca\t! Any cmnmcnts on the
`arrmunt ot tune you rcqunc to con1plete this form and/or suggestions fot 1educmg th1s hu1dcn. ~huu1d be sent to the Ch1eflntormatmn Officer.US Patent and T1ademmk
`Office. U.S. Depart,ne,11 ofCu,nmer~e, P.O. Bux 1450, Alcxandlla, VA 22313-1450. DO J\IOT SEND FEES OR COMPLETED FORl'v!S TO THIS ADDRESS SEND
`Tn• ~,foil _<;tnn PrT rnmmis<imwr for PatPnts. P.O. Rox l4'ill. Alexandria. VA 22313-1450.
`
`14
`
`

`

`Docket: NEI.PCT.2
`r,::J· iC '"Ir",,/ ii.J!~i:i1 [Ii l!:::i1 ,,/ li:::U .:]: :::::!: 11]
`:.:::i:
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`RO/US
`
`NEISTER, S. Edward
`
`In re Application of:
`Serial No.:
`31 January 2006
`lnt'I Filing Date:
`For: METHOD AND APPARATUS FOR STERILIZING
`AND DISINFECTING AIR AND SURFACES AND
`PROTECTING A ZONE FROM EXTERNAL
`MICROBIAL CONTAMINATION
`
`]
`]
`]
`]
`]
`]
`]
`
`Mail Stop PCT
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`CERTIFICATION UNDER 37 CFR § 1.1 O
`
`The following correspondence is attached hereto:
`• Transmittal Letter to the RO/US
`• PCT Request with Declaration - 6 pages
`• Power of Attorney - 1 page
`• Description - 13 pages
`• Claims - 3 pages
`• Abstract - 1 page
`• Drawings - 8 sheets
`• Fee Calculation Sheet - 1 page
`• PTO 2038 for $2,340.00 filing fee
`• Return receipt post card
`• Floppy disk
`
`I hereby certify that the correspondence attached hereto is being deposited
`with the United States Postal Service "Express Mail Post Office to Addressee"
`service, label number ED868788319US, under 37 CFR § 1.1 O on the date indicated
`below and is addressed to Mail Stop PCT, Commissioner for Patents, P.O. Box 1450,
`Alexandria, VA 22313-1450.
`
`1/ I ~1, {/1L_
`
`Date
`
`P~ ke r
`
`15
`
`

`

`Ttp:i:s1t~Vlf!'l)ti<Jt.!J :f::~l1f.!l~~ ,to lf.!i!IT:!~Jmca:gj;_::IJ>rocess and apparatus for disinfecting and sterilizing all
`types of surfaces contaminated with microorganisms and toxic substances to render both
`inactive. Furthermore, this invention relates to both a method and apparatus for disinfecting
`and/or sterilizing breathable air and then using this air to protect a confined space from external
`contamination. The apparatus consists of a new ultra-violet (NUV) source that is more effective
`than mercury based 254 nm light for destroying DNA of virus, bacteria, spores and cists. It is
`most effective in breaking chemical bonds in toxic gases that are useful to terrorists. It is
`combined with other apparatus that remove particulates and byproducts sometimes produced
`by the NUV source and maintains positive pressure of the confined space so as to prevent the
`influx of air from outside the protected zone.
`
`16
`
`

`

`PCT
`
`W',, •t'", lj'
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`
`13-2-1
`
`Validation messages
`Request
`
`Green?
`The title of the invention shall be
`short and precise. Please verify.
`
`17
`
`

`

`NEI.PCT.2
`
`PCT Pdwif:R .. bi'iW~~r!J~iv-,.,. n:11 ::::=11 :.]: 11·:;li :::::i:
`
`1 /1
`
`0-1
`
`0-1-1
`
`PCT Power of Attorney (for an
`international application filed under
`the Patent Cooperation Treaty) (PCT
`Rule 90.4)
`Prepared Using
`
`1
`
`1-1-1
`
`The undersigned applicant(s)
`
`hereby appoints (appoint) the
`following person
`
`1-2
`
`1-3
`
`1-4
`
`1-4-1
`
`1-4-2
`
`1-4-3
`
`1-4-4
`
`1-5
`
`2-1
`
`as
`
`to represent the undersigned before
`
`in connection with the international
`application identified below:
`Title of Invention
`
`Applicant's or agent's file
`reference
`International application number
`(if already available)
`filed with the following Office as
`receiving Office
`
`and to make or receive payments on
`behalf of the undersigned
`
`Signature of applicant, agent or
`common representative
`
`PCT-SAFE [EASY mode]
`Version 3.51.002.177 MT/FOP
`20060101/0.20.4rc.2.7
`
`NEISTER, s. Edward
`DECKER, Phillip
`Mesmer & Deleault, PLLC
`One New Hampshire Avenue Suite
`125
`Portsmouth, New Hampshire 03801
`United States of America
`agent
`all the competent International
`Authorities
`
`METHOD AND APPARATUS FOR STERILIZING
`DISINFECTING AIR AND SURFACES AND
`PROTECTING A ZONE FROM EXTERNAL
`MICROBIAL CONTAMINATION
`NEI.PCT.2
`
`AND
`
`United States Patent and Trademark
`Office (USPTO) {RO/US)
`
`2-1-1
`
`2-1-2
`2-1-3
`3
`
`Name (LAST. First)
`
`Name of signatory
`Capacity
`Date
`
`NEISTER, S. Edward
`/ rl Ve Al V-c,,<:..
`31 January 2006 (31.01.2006)
`
`18
`
`

`

`UNrTED STATES RECEIVJNG OFFICE(RO/US) FEE CODING AND RECORDING SHEET·~□Add1
`/
`--
`~~
`~ -·- -----------ID:::::E;::N:--:1=1FI==c::-A:--:T=1:-:o:::=-:N:--O::--::F-::l=HE==-=IN==TE=-RN--A-T_I_O_N_AL __ AP_P_L_I_C_A_TI_O_N ____ __!_.__ _ _ _/
`I intematronal filmg date (day/month/year/
`
`fnCernatronal apphcahon No
`
`Apphcant (Name)
`
`- - - - - - - -
`
`-
`
`PAYMENTS
`REFUNDS
`----i-;:--~:---;-----:----,-;;:----;----:-------i---------,-----------1
`1Deposit Account
`/Deposit Account
`To Deposit Acco11nt To Deoosit AccoUDt
`
`----P-~~~eot_o~F-i-li_o_g ____ / _____ J __ _____ j_ ______ l__ ____ -+ ____ L_
`
`Deposit Account
`--- --- -
`□CASH/CHECK
`
`;___
`
`Date
`
`Dale
`
`Dale
`
`Dare
`
`--- -------t-------------f---------------------l
`□ CASH/CHECK □ CASH/CHECK □ BYCHECK □ RYCHECK
`----~- - - -- ------ -~r---------4-------,------l'------~,----- I
`
`151
`11_5_3_ --- - ~-------+------
`- - - - -
`> - - - - -- --~- - - --------------+--- ---- f----...-----------1--- -------+------!
`800
`
`801
`
`802
`
`899
`
`566
`
`Total Paid:
`
`Total Paid:
`
`Total Paid:
`
`Total Refunded:
`
`Total Refunded:
`
`159
`States Included for 892:
`
`States Included for 893:
`
`892:
`
`893:
`
`892:
`
`893:
`
`CALCULATED FEE AMOUNT==
`02/03 2006 ATRANl
`00000126 PCT/US06/0339J
`01 FC:l 601
`.
`02 FC:1602
`300.00 OP
`03 FC: 701
`1000.00 OP
`04 FC: 703
`1008.00 OP
`05 FC:8107
`' 12.00 OP
`20.0