Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Detailed Action
Response to Arguments
Applicant’s arguments filed December 29, 2025 have been fully considered. After further consideration, a new ground(s) of rejection is presented due to Applicant’s amended claim language.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claims 1 – 23 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor, or for pre-AIA the applicant regards as the invention.
Claim 1 line 20 recites “…a network system…”; however, it is unclear if this refers to the “…a network system…” of claim 1 line 1, or to some other network system not recited. It is unclear whether the line 20 recitation of a “network system” refers to (1) the same network system introduced in the preamble, which would appear to render the claim circular and internally inconsistent, or (2) a different/second network system, which would lack proper antecedent basis distinction. In addition, Claim 11 page 6 line 1 recites “…a network system coupled to the artificial intelligence compliance system…” and page 5 line 1 recites an “artificial intelligence compliance system comprising…”; however, the structural relationship between the network system and the artificial intelligence compliance system is internally contradictory. The transitional phrase “comprising” establishes that the network system is a component of the artificial intelligence compliance system – i.e., the network system is contained within or forms part of the claimed AI compliance system. However, the claim simultaneously recites that this same network system is coupled to the artificial intelligence compliance system which implies that the network system is a separate entity having an external connective relationship with the AI compliance system. In addition, Claim 21 page 9 recites “…a company database…”; however, it is unclear to The Examiner if the preceding ending sentence punctuation is correct and all further limitations of claim 21 should be cancelled, or if the ending sentence punctuation is incorrect and the remaining limitations are necessary. As a result, the metes and bounds of the claims are unclear. Appropriate correction is required.
Double Patenting
The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory obviousness-type double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); and In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).
A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on a nonstatutory double patenting ground provided the conflicting application or patent either is shown to be commonly owned with this application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement.
Effective January 1, 1994, a registered attorney or agent of record may sign a terminal disclaimer. A terminal disclaimer signed by the assignee must fully comply with 37 CFR 3.73(b).
Claims 1, 11 and 21 of the instant application are rejected on the ground of nonstatutory obviousness-type double patenting as being unpatentable over claim 1of U.S. Patent No. 11601455, by the same assignee, known henceforth as Patent.
Although the conflicting claims are not identical, Patent’s claim is within the scope of those of the instant application’s.
Moreover, the doctrine of double patenting seeks to prevent the unjustified extension of patent exclusivity beyond the term of a patent.
Instant Application
Patent No. 11601455
1. (Currently Amended) A network system comprising: an artificial intelligence compliance system comprising: a data source coupled to a network, the network comprising a world wide network of computers; an Al based engine module coupled to the data source, the data source comprising policies, evidences, controls, artifacts, customized standards results, incidents, threats, vulnerabilities, remedies, corrective actions, feedback, notifications, and other information from both a customer and outside information; an input handler coupled to the Al based engine module, the input handler configured to receive information from the data source and configured with the Al based engine module to parse the information and input into a knowledge database to build the Al based engine module; a query handler coupled to the Al based engine module and configured to receive a query from a user, the query from the user being processed using the Al based engine module including the knowledge database; an output handler coupled with the Al based engine to output a first result based upon the processing of the query using the Al based engine module; and whereupon the result is processed using the Al based engine module using a generative Al process to output a second result; and a network system coupled to the artificial intelligence compliance system, the network system comprising: a router coupled to the data source; a switch device coupled to the router; a discovery module coupled to the switch device, the discovery module configured to monitor traffic to the switch device to detect all of a plurality of client devices coupled to the switch device, detect all of a plurality of sensor devices coupled to the switch device, and detect all of a plurality input device coupled to the switch device, the discovery module comprising a catalog of each of the plurality of client devices, the input devices, the sensing devices, or other network devices a monitoring module coupled to the switch device, the monitoring module configured to monitor traffic to the switch device an Al based monitoring and detection module coupled to the switch device, the Al based monitoring and detection module configured through the switch device to detect one or more anomalies from a flow of data from each of the plurality of client devices and the Al based monitoring and detection module configured through the switch device to process the flow of data through a process selected out of a plurality of processes, the plurality of processes being numbered individually from one through N,where N is greater than 5, the plurality of processes include a clustering process, a classification process, a regression process, an association process, a plurality of probabilistic processes comprising a Bayesian Network, or a graph based model, alone or in combination with any of the other aforementioned processes and a remediation module coupled to the switch device, the remediation module configured to initiate a remediation process based upon the detection of at least one of the anomalies from the flow of data
1. An enterprise network system comprising: a data source coupled to a network; a router coupled to the data source; a switch device coupled to the router; a discovery module coupled to the switch device, the discovery module configured to monitor traffic to the switch device to detect all of a plurality of client devices coupled to the switch device, detect all of a plurality of sensor devices coupled to the switch device, and detect all of a plurality input device coupled to the switch device,
the discovery module comprising a catalog of each of the plurality of client devices, the input devices, the sensing devices, or other network devices;
a monitoring module coupled to the switch device, the monitoring module configured to monitor traffic to the switch device; an Al based monitoring and detection module coupled to the switch device, the Al based monitoring and detection module configured through the switch device to detect one or more anomalies from a flow of data from each of the plurality of client devices
and the Al based monitoring and detection module configured through the switch device to process the flow of information through a process selected out of one of a plurality of processes, the one of the plurality of processes being numbered individually from one through N, where N is greater than 5, the plurality of processes include being categorized into a clustering process, a classification process, a regression process, an association process, a plurality of probabilistic processes comprising a Bayesian Network, or a graph based model, alone or in combination with any of the other aforementioned processes;
and a remediation module coupled to the switch device, the remediation module configured to initiate a remediation process based upon the detection of at least one of the anomalies from the flow of data.
Claim Rejections - 35 USC § 101
35 U.S.C. 101 reads as follows:
Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefore, subject to the conditions and requirements of this title.
1. Claims 1 – 21 are rejected under 35 U.S.C. 101 because the claimed invention is directed to non-statutory subject matter.
The independent claims recite certain methods of organizing human activity (compliance management, risk assessment, task assignment) and mental processes (information gathering, analysis, evaluation, judgement about compliance posture) and mathematical concepts (mathematical/statistical calculations). The additional elements in the claims represent generic computer components (routers, switches, handlers, modules) and generic AI/ML processes (clustering, classification, regression, Bayesian networks) recited at a high level of generality without claiming specific technical improvements to how they operate.
The Examiner further asserts Applicant does not have other limitations in the claim that are more than known in the art ways of updating and estimating values – accordingly, the claim is not statutory. The Examiner’s analysis for representative claim 1 is as follows. Claims 11 and 21 are similarly rejected.
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(Pertaining to claim 1) A network system comprising: [generic recitation of conventional computing infrastructure without any specific technical implementation]
an artificial intelligence compliance system comprising: [Certain methods of organizing human activity – compliance system describes a business/organizational function recited without technical specificity]
a data source coupled to a network, the network comprising a world wide network of computers; [generic technology – generic data storage connected to the Internet; standard network architecture well-known since the 1990s]
an AI based engine module coupled to the data source, [generic technology – a black-box functional recitation without specifying architecture, algorithms, or implementation details]
the data source comprising policies, evidences, controls, artifacts, customized standards results, incidents, threats, vulnerabilities, remedies, corrective actions, feedback, notifications, and other information from both a customer and outside information; [certain methods of organizing human activity/mental process – description of compliance data to be stored rather than technical implementation]
an input handler coupled to the AI based engine module, [generic technology – generic software component for receiving data; conventional in any software system]
the input handler configured to receive information from the data source and [generic technology – data retrieval is a basic, well- understood computer function]
configured with the AI based engine module to parse the information and input into a knowledge database to build the AI based engine module; [mental process technology – parsing and organizing information into a database describes data organization; generic storage technology – knowledge database]
a query handler coupled to the AI based engine module and configured to receive a query from a user, [generic technology – query handlers are standard software components; receiving queries is conventional database/search functionality]
the query from the user being processed using the AI based engine module including the knowledge database; [mental process – processing a query to find relevant information is a mental process; the AI and knowledge database are recited generically]
an output handler coupled with the AI based engine to output a first result based upon the processing of the query using the AI based engine module; and [generic technology + mental process – output handlers are generic; outputting a result from query processing describes the mental process of formulating an answer]
whereupon the result is processed using the AI based engine module using a generative AI process to output a second result; and [generative AI process – black-box functional recitation; mental process – refining/improving a result]
a network system coupled to the artificial intelligence compliance system, the network system comprising: [generic technology – generic statement of network connectivity]
a router coupled to the data source;[generic technology – routers are standard/well-known network infrastructure components]
a switch device coupled to the router; [generic technology – network switches are standard/well-known network infrastructure components]
a discovery module coupled to the switch device, [generic technology – generic functional label for device detection capability]
the discovery module configured to monitor traffic to the switch device to detect all of a plurality of client devices coupled to the switch device, detect all of a plurality of sensor devices coupled to the switch device, and detect all of a plurality input device coupled to the switch device, [mental process/data gathering – monitoring traffic and detecting/identifying connected devices describes observation and categorization; network discovery protocols are conventional]
the discovery module comprising a catalog of each of the plurality of client devices, the input devices, the sensing devices, or other network devices; [mental process – creating and maintaining a catalog/inventory of devices is a mental process of observation and record keeping]
a monitoring module coupled to the switch device, the monitoring module configured to monitor traffic to the switch device; [generic technology – network monitoring is well-understood, routine and conventional; “monitoring module” is a generic functional label]
an Al based monitoring and detection module coupled to the switch device, [generic technology – AI based monitoring and detection is a black-box functional recitation without technical specificity]
the Al based monitoring and detection module configured through the switch device to detect one or more anomalies from a flow of data from each of the plurality of client devices and [anomaly detection – identifying deviations from expected patterns is a mental process of observation and evaluation]
the Al based monitoring and detection module configured through the switch device to process the flow of data through a process selected out of a plurality of processes, the plurality of processes being numbered individually from one through N, where N is greater than 5, [generic technology – generic recitation of multiple processing options without specifying implementation; N is an arbitrary numerical limitation]
the plurality of processes include a clustering process, a classification process, a regression process, an association process, [mathematical concept – clustering, classification, regression, and association are mathematical/statistical processes expressly enumerated in USPTO’s abstract idea groupings]
a plurality of probabilistic processes comprising a Bayesian Network, or a graph based model, alone or in combination with any of the other aforementioned processes; and [mathematical concept – mathematical/statistical frameworks recited generically without specific implementation]
a remediation module coupled to the switch device, [generic technology – high level of generality]
the remediation module configured to initiate a remediation process based upon the detection of at least one of the anomalies from the flow of data. [mental process/organizing human activity – deciding to take corrective action upon detecting a problem is a mental process/judgement and method of organizing human activity]
What is claimed?
Generic computer/network components and generic AI/ML techniques applied to compliance management without specific technical improvements.
STEP 1: YES.
STEP 2A Prong One: YES, a mental process, methods of organizing human activity and mathematical concepts. The abstract idea are limitations (i), (iv), (vii), (ix), (x), (xi), (xii d), (xii e), (xii h), (xii j), (xii k), and (xii m).
STEP 2A Prong Two: No
STEP 2B: NO
When viewed either as individual limitations or as an ordered combination, the claim as a whole is not directed to specific improvements to computer technology; but on certain independently abstract ideas that use computers as tools.
Conclusion:
There are no meaningful limitations in the claim that transform the exception into a patent-eligible application, such that the claim does not amount to significantly more than the exception itself,
the claim is not patent-eligible (Step 2B: NO) and should be rejected under 35 U.S.C. 101.
Claims 11 and 21 are similarly analyzed.
Any amendment to the claims should be commensurate with its corresponding disclosure.
Conclusion
Applicant’s amendment necessitates a new ground(s) of rejection. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any extension fee pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the date of this final action.
Contact
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Brian Shaw whose telephone number is (571)270-5191. The examiner can normally be reached on Mon-Thurs from 6:00 AM-3:30 PM.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Jeff Nickerson can be reached on (469) 295-9235. The fax phone number for the organization where this application or proceeding is assigned is 703-872-9306.
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/BRIAN F SHAW/
Primary Examiner, Art Unit 2432