DETAILED ACTION
This Final Office Action is in response to the argument and amendment filed November 24, 2025.
Claims 1 and 11 are amended.
Claims 2-10 and 12 – 20 are originals.
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 .
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 therefor, subject to the conditions and requirements of this title.
Claims 1-20 are rejected under 35 U.S.C. 101 because the claimed invention is directed to a judicial exception without significantly more.
Step 1 (The Statutory Categories): Is the claim to a process, machine, manufacture, or composition of matter? MPEP 2106.03.
Per Step 1, claims 1-10 is to a method (i.e., a process), claim 11-20 to a system (i.e., a machine). Thus, the claims are directed to statutory categories of invention. However, the claims are rejected under 35 U.S.C. 101 because they are directed to an abstract idea, a judicial exception, without reciting additional elements that integrate the judicial exception into a practical application.
The analysis proceeds to Step 2A Prong One.
Step 2A Prong One: Does the claim recite an abstract idea, law of nature, or natural phenomenon? MPEP 2106.04.
The abstract idea of claim 1;
A method for reporting diversity compliance for participants in a blockchain network, comprising:
receiving, by a receiver of a blockchain node in the blockchain network, diversity data associated with a registered participant in a blockchain associated with the blockchain network, wherein the blockchain includes a blockchain data entry including a smart contract;
generating, by a processor of the blockchain node, a new block, wherein the new block includes at least one blockchain data entry and the at least one blockchain data entry includes at least the diversity data and identification data associated with the registered participant; and
transmitting, by a transmitter of the blockchain node, the generated new block to a plurality of additional nodes in the blockchain network, wherein the plurality of additional nodes confirms the generated new block for addition to a sidechain to the blockchain,
publishing, by the blockchain node, the generated new block to the sidechain; and
detecting, by the smart contract included in the blockchain data entry on the blockchain, the publishing of the new block to the sidechain,
wherein in response to detecting the publishing of the new block to the sidechain, the smart contract self-executes, and
wherein self-execution of the smart contract includes:
analyzing, by the smart contract, additional diversity data included in each of one or more blockchain data entries stored in the sidechain that include the identification data associated with the registered participant,
generating, by the smart contract, a reporting message based on the analyzed additional diversity data, and
initiating, by the smart contract, transmission of the generated reporting message to one or more external computing systems.
The abstract idea of claim 11;
A system for reporting diversity compliance for participants in a blockchain network, comprising:
the blockchain network;
a blockchain node in the blockchain network;
a plurality of additional nodes in the blockchain network; and
one or more external computing systems, wherein the blockchain node includes a
receiver receiving diversity data associated with a registered participant in a blockchain associated with the blockchain network, wherein the blockchain includes a blockchain data entry including a smart contract,
a processor generating a new block, wherein the new block includes at least one blockchain data entry and the at least one blockchain data entry includes at least the diversity data and identification data associated with the registered participant, and
a transmitter transmitting the generated new block to the plurality of additional nodes in the blockchain network, wherein the plurality of additional nodes confirm the generated new block for addition to a sidechain to the blockchain,
wherein the processor is further configured to publish the generated new block to the sidechain, wherein the smart contract included in the blockchain data entry on the blockchain detects the publishing of the new blockchain to the sidechain and, in response to detecting the publishing of the new block to the sidechain, the smart contract self-executes, and
wherein self-execution of the smart contract includes:
analyzing, by the smart contract, additional diversity data included in each of one or more blockchain data entries stored in the sidechain that include the identification data associated with the registered participant,
generating, by the smart contract, a reporting message based on the analyzed additional diversity data, and
initiating, by the smart contract, transmission of transmitting the generated reporting message to the one or more external computing systems.
The abstract idea steps italicized above are those which could be performed mentally, including with pen and paper. The steps describe, at a high level, reporting diversity compliance for participants in a blockchain network. If a claim limitation, under its broadest reasonable interpretation, covers performance of the limitation in the mind, including transmitting, generating, evaluations, judgements, and/or opinions, then it falls within the Mental Processes – Concepts Performed in the Human Mind grouping of abstract ideas. Accordingly, the claim recites an abstract idea in a computer environment.
Additionally, and alternatively, the abstract idea steps italicized above relate to the rules or instructions pertaining to reporting diversity compliance for participants in a blockchain network, which constitutes a process that, under its broadest reasonable interpretation, covers managing personal behavior relationships, interactions between people. This is further supported by [0021 - 0022] of applicant’s specification as filed. If a claim limitation, under its broadest reasonable interpretation, covers managing personal behavior relationships, interactions between people, including social activities, teaching, and/or following rules or instructions, then it falls within the Certain Methods of Organizing Human Activity – Managing Personal Behavior Relationships, Interactions Between People grouping of abstract ideas. Accordingly, the claim recites an abstract idea.
Step 2A Prong Two: Does the claim recite additional elements that integrate the judicial exception into a practical application? MPEP 2106.04.
This judicial exception is not integrated into a practical application because the additional elements are merely instructions to apply the abstract idea to a computer, as described in MPEP 2106.05(f).
Claim 1 recites the following additional elements: a blockchain network, a blockchain node, diversity data, a registered participant, a smart contract, a processor, a new block, new block, blockchain data, identification data, a transmitter, a sidechain, computing systems.
Claim 11 recites the following additional elements: A blockchain network, a blockchain node, computing systems, diversity data, a registered participant in a blockchain, smart contract, a processor, a new block, blockchain data, identification data, a transmitter, computing systems.
These elements are merely instructions to apply the abstract idea to a computer, per MPEP 2106.05(f). Applicant has only described generic computing elements in their specification, as seen in [0055- 0058] of applicant’s specification as filed, for example.
Further, the combination of these elements is nothing more than a generic computing system applied to the tasks of the abstract idea. Because the additional elements are merely instructions to apply the abstract idea to a generic computing system, they do not integrate the abstract idea into a practical application, when viewed in combination. See MPEP 2106.05(f).
Therefore, per Step 2A Prong Two, the additional elements, alone and in combination, do not integrate the judicial exception into a practical application. The claim is directed to an abstract idea.
Step 2B (The Inventive Concept): Does the claim recite additional elements that amount to significantly more than the judicial exception? MPEP 2106.05.
Step 2B involves evaluating the additional elements to determine whether they amount to significantly more than the judicial exception itself.
The examination process involves carrying over identification of the additional element(s) in the claim from Step 2A Prong Two and carrying over conclusions from Step 2A Prong Two pertaining to MPEP 2106.05(f).
The additional elements and their analysis are therefore carried over: applicant has merely recited elements that facilitate the tasks of the abstract idea, as described in MPEP 2106.05(f).
Further, the combination of these elements is nothing more than a generic computing system. When the claim elements above are considered, alone and in combination, they do not amount to significantly more.
Therefore, per Step 2B, the additional elements, alone and in combination, are not significantly more. The claims are not patent eligible.
The analysis takes into consideration all dependent claims as well:
Dependent claim 2-10 and 12 -20 contain additional steps that further narrow the abstract idea above.
Claim 2 recites the following additional elements: public key. Applicant has only described generic computing elements in their specification, as seen in {[0019]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 3 recites the following additional elements: diversity data. Applicant has only described generic computing elements in their specification, as seen in {[0028]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 4 further describes the abstract idea. Claim 4 and 14 are based on the claims describing a mental process of reporting diversity compliance for participants in a blockchain network. See applicants’ specification, as seen in {[0007]} for further details. The processor is merely a generic technology to generate a new block. The apparatus is not a technical improvement and merely implementing the abstract idea using generic technology. As such additional elements are not significantly more or transformative into a practical application. MPEP 2106.05(F). Therefore, the claims are covered under certain methods of mental process groupings of abstract ideas.
Claim 5 recites the following additional elements: Sidechains. Applicant has only described generic computing elements in their specification, as seen in {[0027- 0028]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 7, 8 recites the following additional elements: Computing systems, blockchain network. Applicant has only described generic computing elements in their specification, as seen in {[0054]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 9, 10, 19 and 20 recites the following additional elements: smart contracts, new block, sidechains. Applicant has only described generic computing elements in their specification, as seen in {[0027-0028]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 12 recites the following additional elements: blockchain wallet, data, public key. Applicant has only described generic computing elements in their specification, as seen in {[0019]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 13 recites the following additional elements: public key, blockchain node, data. Applicant has only described generic computing elements in their specification, as seen in {[0005]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 14, 15, 16 recites the following additional elements: processor, blockchain node, sidechains. Applicant has only described generic computing elements in their specification, as seen in {[0005]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
Claim 17, 18 recites the following additional elements: computing systems, nodes, blockchain. Applicant has only described generic computing elements in their specification, as seen in {[0022]} of applicant’s specification as filed. This does not integrate the abstract idea into practical application and/or add significantly more. The claim is ineligible. Refer to MPEP 2106.05(F).
In conclusion the claims do not provide an inventive concept, because the claims do not recite additional elements or a combination of elements that amount to significantly more than the judicial exception of the claims. Therefore, whether taken individually or as an order combination, the claims are nonetheless rejected under 35 U.S.C. 101 as being directed to non - statutory subject matter.
Claim Rejections - 35 USC § 103
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claim(s) 1-3, 6-13, 16-20 are rejected under 35 U.S.C. 103 as being unpatentable over Tran et al [US2020/0117690A1], hereafter Tran, in view of Garg et al [US2020/0211054A1], hereafter Garg.
As per claim 1;
Tran discloses;
A method for reporting diversity compliance for participants in a blockchain network, comprising:
receiving, by a receiver of a blockchain node in the blockchain network,
{[0177] Blockchain stock ownership is transferred via one or more transaction messages. A transaction message includes a transaction and a digital signature. The transaction includes, for example, the Blockchain token, the receiver's (i.e., the new owner's) electronic address, and, in some embodiments, ownership history (i.e., a record of previous Blockchain token ownership used by the network to verify proper chain of title). Addresses are based, in various embodiments, on one or more cryptographic protocols (e.g., public-key cryptography).}
Tran discloses;
publishing, by the blockchain node, the generated new block to the sidechain; and
{[0175] As described above, in various embodiments, the system generates Blockchain token transactions based on the wallet's content……Trader A enters his order into his wallet, and Trader B enters her order into her wallet. Based on the orders, the described technology generates the appropriate transaction messages, which are broadcast to the network.
[0356] In other embodiments, the block chain ecosystem data structure may incorporate a side chain. In some embodiments, a side chain is a block chain that is operated parallel to a main block chain, using transactions or transaction outputs extracted from and later merged back into the main block chain via two-way pegging. The transactions or transaction outputs may be merged back into the main block chain by performing a combined hash of the latest link in the side chain with the latest link in the block chain. The combined hash may use a merkle tree as described above to reduce the computational difficulty associated with a combined hash of two entire blocks.}
Tran discloses;
detecting, by the smart contract included in the blockchain data entry on the blockchain, the publishing of the new block to the sidechain,
{[0077] If there are other contracts that are incorporated by reference, the other contracts are formed in a nested hierarchy similar to program language procedures/subroutines and then embedded inside the contract. At 8, the smart contract is assigned a unique block chain number and inserted into block chain. At 10, the smart contract is sent to one or more recipients, which open the payload and execute the terms of the contract and if specified contractual conditions are met, the smart contract can authorize payment. At 12, if dispute arise, the CMS can graphically decode the contract terms in the smart contract for a judge, jury, or lawyer to apply legal analysis and determine the parties' obligations.
[0356] In other embodiments, the block chain ecosystem data structure may incorporate a side chain. In some embodiments, a side chain is a block chain that is operated parallel to a main block chain, using transactions or transaction outputs extracted from and later merged back into the main block chain via two-way pegging. The transactions or transaction outputs may be merged back into the main block chain by performing a combined hash of the latest link in the side chain with the latest link in the block chain. The combined hash may use a merkle tree as described above to reduce the computational difficulty associated with a combined hash of two entire blocks.}
Tran discloses;
wherein in response to detecting the publishing of the new block to the sidechain, the smart contract self-executes, and wherein self-execution of the smart contract includes:
{[0077] At 10, the smart contract is sent to one or more recipients, which open the payload and execute the terms of the contract and if specified contractual conditions are met, the smart contract can authorize payment.}
Tran discloses;
generating, by the smart contract, a reporting message based on the analyzed additional diversity data, and
{[0120] FIG. 3D shows another exemplary process executed by the smart contract system. In (20) Buyer requests to obtain the service or item from the service or item provider. In (24) Item provider utilizes the blockchain system described above and generates a cryptographic key pair and in (26) the service or item provider embeds the key data in the service or item. In (28) the service or service or item provider stores the private key in association with an entity credential in the database. In (30) a third party validates the terms of the smart contract with the private key. In (32) the blockchain or shared ledger is analyzed to determine if key data was used and if contractual terms are satisfied according to contract law expert system and if so mark the satisfaction of the contract terms. In (34) the seller/provider is paid based on smart contract and service or item is then made available to the buyer.}
Tran does not explicitly disclose the diversity data, generation of the new block, electronic transmitter, database query, storing and transmitting of data signals and report, however; Garg discloses;
diversity data associated with a registered participant in a blockchain associated with the blockchain network,
{[0005] where a plurality of the one or more blockchain data values each includes an advertiser identifier, advertisement value, and one of a plurality of recipient identifiers; receiver, by the receiver of the processing server, a plurality of spam reports, each spam report being associated with one of the plurality of the one or more blockchain data values and including at least one of: the advertisement value included in the respective blockchain data value or a reference value generated by hashing the respective blockchain data value; determining, by a processing device of the processing server, a ratio of a number of spam reports included in the plurality of spam reports and a number of the plurality of one or more blockchain data values that includes the advertisement value; and adjusting, by the processing device of the processing server, the index value included in the advertiser profile according to the determined ratio.}
Garg discloses the new blockchain data entry;
wherein the blockchain includes a blockchain data entry including a smart contract;
{[0044] In step 310, the advertising entity 106 may generate a new blockchain data entry that includes an advertisement. The blockchain data entry may include one or more input addresses associated with the advertising entity's blockchain wallet, a recipient address for the user 104 generated using the user's public key, a mining fee, and an advertisement. The advertisement may be included in place of a currency value paired with the user's recipient address, or may be included in a separate data field in the data value where the currency value may be zero. In some embodiments, the blockchain data entry may also include a digital signature generated by the private key of the advertising entity's blockchain wallet. In step 312, the advertising entity 106 may transmit the blockchain data entry with the advertisement to the processing server 102 or other node in the blockchain network 108.}
Garg discloses generating the new block;
generating, by a processor of the blockchain node, a new block, wherein the new block includes at least one blockchain data entry and the at least one blockchain data entry includes at least the diversity data and identification data associated with the registered participant; and
{[0005] A method for adjusting a spam index for a blockchain advertiser based on user consensus that affects mining fees charged to the blockchain advertiser includes: storing, in a memory of a processing server, an advertiser profile related to an advertising entity including at least an index value and an identification value; receiving, by a receiver of the processing server, one or more new blocks in a blockchain, each new block including a block header and one or more blockchain data values, where a plurality of the one or more blockchain data values each includes an advertiser identifier, advertisement value, and one of a plurality of recipient identifiers; receiver, by the receiver of the processing server, a plurality of spam reports, each spam report being associated with one of the plurality of the one or more blockchain data values and including at least one of: the advertisement value included in the respective blockchain data value or a reference value generated by hashing the respective blockchain data value; determining, by a processing device of the processing server, a ratio of a number of spam reports included in the plurality of spam reports and a number of the plurality of one or more blockchain data values that includes the advertisement value; and adjusting, by the processing device of the processing server, the index value included in the advertiser profile according to the determined ratio.
Garg discloses the electronic transmitter,
transmitting, by a transmitter of the blockchain node, the generated new block to a plurality of additional nodes in the blockchain network, wherein the plurality of additional nodes confirms the generated new block for addition to a sidechain to the blockchain,
{[0033] The receiving device 202 may be configured to receive data signals electronically transmitted by advertising entities 106 that are superimposed or otherwise encoded with new blockchain data values or data for inclusion therein for posting to the blockchain, which may include recipient addresses, sender addresses, digital signatures, currency amounts, and advertisements. The receiving device 202 may be configured to receive data signals electronically transmitted by nodes in blockchain networks 108 that may be superimposed or otherwise encoded with blockchain data values and new blocks for validation and/or inclusion in the blockchain, or from miners that may include nonces or other data for use in confirming and adding blockchain data values to the blockchain. The receiving device 202 may also be configured to receive data signals electronically transmitted by computing devices 110, which may be superimposed or otherwise encoded with spam reports, which may include information identifying an advertisement, and any other data for reporting, such as a reason code for why the user 104 is reporting an advertisement for spam.}
Garg discloses querying and database storage,
analyzing, by the smart contract, additional diversity data included in each of one or more blockchain data entries stored in the sidechain that include the identification data associated with the registered participant,
{[0035] The processing server 102 may include an advertiser database 206. The advertiser database 206 may be configured to store a plurality of advertiser profiles 208 using a suitable data storage format and schema. The advertiser database 206 may be a relational database that utilizes structured query language for the storage, identification, modifying, updating, accessing, etc. of structured data sets stored therein. Each advertiser profile 208 may be a structured data set configured to store data related to an advertising entity 106. An advertiser profile 208 may include at least a spam index value identified for the associated advertising entity 106. In some case, the advertiser profile 208 may include information identifying the advertising entity 106 and/or for communicating with the advertising entity 106, information (e.g., the spam ratio, advertisement hash, etc.) for each advertisement delivered by the associated advertising entity 106, the mining fee currently charged to the associated advertising entity 106 for their advertisements, etc.
Garg discloses the transmission of data signals and report,
initiating, by the smart contract, transmission of the generated reporting message to one or more external computing systems.
{[0040] The transmitting device 224 may be configured to electronically transmit data signals to advertising entities 106 that are superimposed or otherwise encoded with mining fee updates, spam report information, transaction identifiers, data requests, etc. The transmitting device 224 may be configured to electronically transmit data signals to nodes in blockchain networks 108, which may be superimposed or otherwise encoded with new blockchain data values, new blocks, requests for blockchain data, etc. The transmitting device 224 may also be configured to electronically transmit data signals that are superimposed or otherwise encoded with advertisement notifications, information regarding spam reports, etc.}
Motivation: Tran consisted of references teaching the receiving a blockchain, broadcasting the blockchain, detecting and generating by the smart contract in a blockchain.
Garg also included the generation of digital keys or signatures, analyzing the plurality of recipient identities, creating a new block and electronically transmitting data signals and report to enable compliance for participants
As per claim 2 and 12 (Similar scope and language);
Tran discloses;
The method of claim 1, wherein the identification data is a public key of a blockchain wallet associated with the registered participant.
{[0123] In this embodiment, the blockchain address (132) is represented by or derived from a blockchain public key corresponding to a blockchain private key. The public key is used and/or derived to obtain the blockchain address (132), the address (132) having a specific balance of blockchain held therein. At a next stage (204), the item provider (110) utilizes the blockchain system described above and generates a cryptographic key pair, in other words, a private key and a public key associated with a blockchain address (132). In this embodiment, the service or item provider (110) generates the key pair and transfers funds to the blockchain address (132). The private key represents a direct monetary value which can be traded in the blockchain system. In the case where the blockchain is, for example, Bitcoin or another blockchain system using a similar key and address scheme, the blockchain address (132) has a particular balance associated therewith, indicated, for example, as 3.5 BTC or 0.0001 BTC in the case of Bitcoin.}
As per claim 3 and 13 (Similar scope and language);
Tran discloses;
The method of claim 2, wherein the public key is received by the receiver of the blockchain node with the diversity data.
{[0123] In the embodiment of FIG. 3F, the key data (134) is the private key associated with the blockchain address (132). The service or item receiving module (114) typically receives the media item (112) before the private key (134) is embedded therein, from where it is transferred to the embedding module (116). In this embodiment, the private key (134) is embedded in the media item (112), which is an e-book, as a one-dimensional barcode (113). At a next stage (208), the service or service or item provider (110) stores the private key (134) in association with an entity credential in the database (118), as described above.}
As per claim 6 and 16 (Similar scope and language);
Tran discloses;
The method of claim 1, wherein the reporting message indicates compliance or non-compliance with one or more diversity requirements based on the analyzed additional diversity data.
{[0370] The method may further include generating a first transfer record for recording a transfer of the asset to a new owner, wherein the transfer record comprises a double hash of a complete issue record for the asset and a public key of the new owner, wherein the transfer record is digitally signed by the owner signature; using a blockchain algorithm to generate a distributed consensus of ownership of the asset associated with the owner signature to validate the first transfer record; and if the first transfer record is validated, displaying the transfer record on the public ledger; and if the first transfer record is not validated, rejecting the transfer record. In some embodiments, the method may further include, after the step of generating the first transfer record: displaying at the user interface a payment request; and determining whether a user payment has been remitted before proceeding with the step of executing.}
As per claim 7 and 17 (Similar scope and language);
Garg discloses:
The method of claim 6, wherein the one or more external computing systems includes the plurality of additional nodes in the blockchain network.
{[0033] The receiving device 202 may be configured to receive data signals electronically transmitted by advertising entities 106 that are superimposed or otherwise encoded with new blockchain data values or data for inclusion therein for posting to the blockchain, which may include recipient addresses, sender addresses, digital signatures, currency amounts, and advertisements. The receiving device 202 may be configured to receive data signals electronically transmitted by nodes in blockchain networks 108 that may be superimposed or otherwise encoded with blockchain data values and new blocks for validation and/or inclusion in the blockchain, or from miners that may include nonces or other data for use in confirming and adding blockchain data values to the blockchain. The receiving device 202 may also be configured to receive data signals electronically transmitted by computing devices 110, which may be superimposed or otherwise encoded with spam reports, which may include information identifying an advertisement, and any other data for reporting, such as a reason code for why the user 104 is reporting an advertisement for spam. }
Motivation: Tran consisted of references teaching the receiving a blockchain, broadcasting the blockchain, detecting and generating by the smart contract in a blockchain.
Garg also included electronically receiving of data signals transmitted by nodes in blockchain networks enable validation or inclusion.
As per claim 8 and 18 (Similar scope and language);
Tran discloses;
The method of claim 7, wherein each of the plurality of additional nodes are configured to reject new blockchain transactions associated with the registered participant if the reporting message indicates non-compliance with the one or more diversity requirements.
{[0391] The method of claim 1, further comprising: generating a first transfer record for recording a transfer of the IOT device to a new owner, wherein the transfer record comprises a hash of a complete issue record for the IOT device and a public key of the new owner, wherein the transfer record is digitally signed by an existing owner signature; executing within the one or more nodes a blockchain contract to generate a distributed consensus of ownership of the IOT device associated with the owner signature to validate the first transfer record; and if the first transfer record is validated, displaying the transfer record on the public ledger; and if the first transfer record is not validated, rejecting the transfer record.
[0392] The method of claim 14, further comprising: generating a subsequent transfer record for recording a transfer from a prior owner to a subsequent new owner, wherein the subsequent transfer record comprises a hash of a prior transfer record, and a public key of the subsequent new owner, wherein the transfer record is digitally signed by an existing owner signature; executing within the one or more nodes a blockchain contract to generate a distributed consensus of ownership of the IOT device associated with the owner signature to validate the first transfer record; and if the first transfer record is validated, displaying the transfer record on the public ledger; and if the first transfer record is not validated, rejecting the transfer record.}
As per claim 9 and 19 (Similar scope and language);
Tran discloses;
The method of claim 1, wherein the smart contract detects addition of the generated new block to the sidechain, and the smart contract self-executes in response to detecting the addition of the generated new block
{[0120] FIG. 3D shows another exemplary process executed by the smart contract system. In (20) Buyer requests to obtain the service or item from the service or item provider. In (24) Item provider utilizes the blockchain system described above and generates a cryptographic key pair and in (26) the service or item provider embeds the key data in the service or item. In (28) the service or service or item provider stores the private key in association with an entity credential in the database. In (30) a third party validates the terms of the smart contract with the private key. In (32) the blockchain or shared ledger is analyzed to determine if key data was used and if contractual terms are satisfied according to contract law expert system and if so mark the satisfaction of the contract terms. In (34) the seller/provider is paid based on smart contract and service or item is then made available to the buyer.
[0126] Upon verification, the payment for the completion of the contract term is automatically processed by the smart contract.}
[0356] In other embodiments, the block chain ecosystem data structure may incorporate a side chain. In some embodiments, a side chain is a block chain that is operated parallel to a main block chain, using transactions or transaction outputs extracted from and later merged back into the main block chain via two-way pegging. The transactions or transaction outputs may be merged back into the main block chain by performing a combined hash of the latest link in the side chain with the latest link in the block chain. The combined hash may use a merkle tree as described above to reduce the computational difficulty associated with a combined hash of two entire blocks.}
As per claim 10 and 20 (Similar scope and language);
Tran discloses;
The method of claim 1, wherein the smart contract self-executes periodically.
{[0104] While Ethereum mentions smart contract, it is actually mentioning the use of executable codes on the blockchain. For example, the Ethereum Solidity is a javascript like a language used to code smart contracts on the Ethereum platform. It compiles into a bytecode format that is understood by the Ethereum Virtual machine (EVM). It's a strongly typed language with the ability to define custom data structures. By smart contract, the present system is referring to contracts and agreements that are automatically executed, with conditions and terms similar to a legal contract.}
As per Claim 11;
Tran discloses;
A system for reporting diversity compliance for participants in a blockchain network, comprising: the blockchain network; a blockchain node in the blockchain network;
{[0177] Blockchain stock ownership is transferred via one or more transaction messages. A transaction message includes a transaction and a digital signature. The transaction includes, for example, the Blockchain token, the receiver's (i.e., the new owner's) electronic address, and, in some embodiments, ownership history (i.e., a record of previous Blockchain token ownership used by the network to verify proper chain of title). Addresses are based, in various embodiments, on one or more cryptographic protocols (e.g., public-key cryptography).}
Tran discloses;
wherein the processor is further configured to publish the generated new block to the sidechain,
{[0175] As described above, in various embodiments, the system generates Blockchain token transactions based on the wallet's content. For example, Trader A decides to exchange 5 IBM-S Blockchain tokens to Trader B in exchange for Trader B's 100 tokens. Trader A enters his order into his wallet, and Trader B enters her order into her wallet. Based on the orders, the described technology generates the appropriate transaction messages, which are broadcast to the network
Tran discloses;
wherein the smart contract included in the blockchain data entry on the blockchain detects the publishing of the new blockchain to the sidechain and,
{[0077] If there are other contracts that are incorporated by reference, the other contracts are formed in a nested hierarchy similar to program language procedures/subroutines and then embedded inside the contract. At 8, the smart contract is assigned a unique block chain number and inserted into block chain. At 10, the smart contract is sent to one or more recipients, which open the payload and execute the terms of the contract and if specified contractual conditions are met, the smart contract can authorize payment. At 12, if dispute arise, the CMS can graphically decode the contract terms in the smart contract for a judge, jury, or lawyer to apply legal analysis and determine the parties' obligations.}
Tran discloses;
in response to detecting the publishing of the new block to the sidechain, the smart contract self-executes, and
{[0077] At 10, the smart contract is sent to one or more recipients, which open the payload and execute the terms of the contract and if specified contractual conditions are met, the smart contract can authorize payment.}
Tran discloses;
generating, by the smart contract, a reporting message based on the analyzed additional diversity data, and
{[0120] FIG. 3D shows another exemplary process executed by the smart contract system. In (20) Buyer requests to obtain the service or item from the service or item provider. In (24) Item provider utilizes the blockchain system described above and generates a cryptographic key pair and in (26) the service or item provider embeds the key data in the service or item. In (28) the service or service or item provider stores the private key in association with an entity credential in the database. In (30) a third party validates the terms of the smart contract with the private key. In (32) the blockchain or shared ledger is analyzed to determine if key data was used and if contractual terms are satisfied according to contract law expert system and if so mark the satisfaction of the contract terms. In (34) the seller/provider is paid based on smart contract and service or item is then made available to the buyer.}
Tran does not explicitly disclose the diversity data, generation of the new block, electronic transmitter, database query, storing and transmitting of data signals and report, however; Garg discloses;
a plurality of additional nodes in the blockchain network; and one or more external computing systems, wherein the blockchain node includes a receiver receiving diversity data associated with a registered participant in a blockchain associated with the blockchain network, wherein the blockchain includes a blockchain data entry including a smart contract,
{[0005] where a plurality of the one or more blockchain data values each includes an advertiser identifier, advertisement value, and one of a plurality of recipient identifiers; receiver, by the receiver of the processing server, a plurality of spam reports, each spam report being associated with one of the plurality of the one or more blockchain data values and including at least one of: the advertisement value included in the respective blockchain data value or a reference value generated by hashing the respective blockchain data value; determining, by a processing device of the processing server, a ratio of a number of spam reports included in the plurality of spam reports and a number of the plurality of one or more blockchain data values that includes the advertisement value; and adjusting, by the processing device of the processing server, the index value included in the advertiser profile according to the determined ratio.}
Garg discloses the new blockchain data entry;
a processor generating a new block, wherein the new block includes at least one blockchain data entry and the at least one blockchain data entry includes at least the diversity data and identification data associated with the registered participant, and
{[0005] A method for adjusting a spam index for a blockchain advertiser based on user consensus that affects mining fees charged to the blockchain advertiser includes: storing, in a memory of a processing server, an advertiser profile related to an advertising entity including at least an index value and an identification value; receiving, by a receiver of the processing server, one or more new blocks in a blockchain, each new block including a block header and one or more blockchain data values, where a plurality of the one or more blockchain data values each includes an advertiser identifier, advertisement value, and one of a plurality of recipient identifiers; receiver, by the receiver of the processing server, a plurality of spam reports, each spam report being associated with one of the plurality of the one or more blockchain data values and including at least one of: the advertisement value included in the respective blockchain data value or a reference value generated by hashing the respective blockchain data value; determining, by a processing device of the processing server, a ratio of a number of spam reports included in the plurality of spam reports and a number of the plurality of one or more blockchain data values that includes the advertisement value; and adjusting, by the processing device of the processing server, the index value included in the advertiser profile according to the determined ratio.}
Garg discloses electronic transmitter;
a transmitter transmitting the generated new block to the plurality of additional nodes in the blockchain network, wherein the plurality of additional nodes confirm the generated new block for addition to a sidechain to the blockchain,
{[0033] The receiving device 202 may be configured to receive data signals electronically transmitted by advertising entities 106 that are superimposed or otherwise encoded with new blockchain data values or data for inclusion therein for posting to the blockchain, which may include recipient addresses, sender addresses, digital signatures, currency amounts, and advertisements. The receiving device 202 may be configured to receive data signals electronically transmitted by nodes in blockchain networks 108 that may be superimposed or otherwise encoded with blockchain data values and new blocks for validation and/or inclusion in the blockchain, or from miners that may include nonces or other data for use in confirming and adding blockchain data values to the blockchain. The receiving device 202 may also be configured to receive data signals electronically transmitted by computing devices 110, which may be superimposed or otherwise encoded with spam reports, which may include information identifying an advertisement, and any other data for reporting, such as a reason code for why the user 104 is reporting an advertisement for spam.}
Garg discloses querying and database storage,
wherein self-execution of the smart contract includes: analyzing, by the smart contract, additional diversity data included in each of one or more blockchain data entries stored in the sidechain that include the identification data associated with the registered participant,
{[0035] The processing server 102 may include an advertiser database 206. The advertiser database 206 may be configured to store a plurality of advertiser profiles 208 using a suitable data storage format and schema. The advertiser database 206 may be a relational database that utilizes structured query language for the storage, identification, modifying, updating, accessing, etc. of structured data sets stored therein. Each advertiser profile 208 may be a structured data set configured to store data related to an advertising entity 106. An advertiser profile 208 may include at least a spam index value identified for the associated advertising entity 106. In some case, the advertiser profile 208 may include information identifying the advertising entity 106 and/or for communicating with the advertising entity 106, information (e.g., the spam ratio, advertisement hash, etc.) for each advertisement delivered by the associated advertising entity 106, the mining fee currently charged to the associated advertising entity 106 for their advertisements, etc.
[0051] In step 502, an advertiser profile (e.g., advertiser profile 208) related to an advertising entity (e.g., the advertising entity 106) may be stored in a memory (e.g., advertiser database 206, memory 226, etc.) of a processing server (e.g., the processing server 102), the advertiser profile including at least an index value and an identification value. In step 504, one or more new blocks in a blockchain may be received by a receiver (e.g., the receiving device 202) of the processing server, each new block including a block header and one or more blockchain data values, where a plurality of the one or more blockchain data values each includes an advertiser identifier, advertisement value, and one of a plurality of recipient identifiers. In step 506, a plurality of spam reports may be received by the receiver of the processing server, each spam report being associated with one of the plurality of the one or more blockchain data values and including at least one of: the advertisement value included in the respective blockchain data value or a reference value generated by hashing the respective blockchain data value.}
Garg discloses the transmission of data signals and report,
initiating, by the smart contract, transmission of transmitting the generated reporting message to the one or more external computing systems.
{[0040] The transmitting device 224 may be configured to electronically transmit data signals to advertising entities 106 that are superimposed or otherwise encoded with mining fee updates, spam report information, transaction identifiers, data requests, etc. The transmitting device 224 may be configured to electronically transmit data signals to nodes in blockchain networks 108, which may be superimposed or otherwise encoded with new blockchain data values, new blocks, requests for blockchain data, etc. The transmitting device 224 may also be configured to electronically transmit data signals that are superimposed or otherwise encoded with advertisement notifications, information regarding spam reports, etc.}
Motivation: Tran consisted of references teaching the receiving a blockchain, broadcasting the blockchain, detecting and generating by the smart contract in a blockchain. Garg also included the generation of digital keys or signatures, analyzing the plurality of recipient identities, creating a new block and electronically transmitting data signals and report to enable compliance for participants
Claim(s) 4, 5, 14 and 15 are rejected under 35 U.S.C. 103 as being unpatentable over Tran et al, in view Garg et al, in further view of Moss et al [US2022/0374823A1] hereafter Moss.
As per claim 4 and 14 (Similar scope and language);
Tran discloses;
The method of claim 1, further comprising: identifying, by the processor of the blockchain node, the sidechain from a plurality of sidechains based on the diversity data.
{[0356] In other embodiments, the block chain ecosystem data structure may incorporate a side chain. In some embodiments, a side chain is a block chain that is operated parallel to a main block chain, using transactions or transaction outputs extracted from and later merged back into the main block chain via two-way pegging. The transactions or transaction outputs may be merged back into the main block chain by performing a combined hash of the latest link in the side chain with the latest link in the block chain. The combined hash may use a merkle tree as described above to reduce the computational difficulty associated with a combined hash of two entire blocks.}
The combination of Tran and Garg does not disclose the set of ethical issues; however, Moss discloses:
identifying, by the processor of the blockchain node, the diversity data.
{[0038] In some embodiments, a node 102 of the blockchain system 104 may be configured to determine (e.g., identify, ascertain), in view of the set of parameters, a first set of ethical issues associated with the supply chain of the product. For example, the one or more parameters may indicate the ages for the workers who manufactured a product. In this instance, the node 102 may determine, in view of the one or more parameters, that a majority of the workers had an average age that corresponds to that of a minor, according to a particular jurisdiction (e.g., per country or per state); thereby causing the node 102 to determine that the ethical issue associated with the manufacture of the product involves the use of child labor.
Motivation: The combination of Tran and Garg consisted of references teaching the compliance for participants in a blockchain network. Moss also included parameters to identify ages of workers, age, and child labor to determine ethical issues in the blockchain network.
As per claim 5 and 15 (Similar scope and language);
Tran discloses;
The method of claim 4, wherein each sidechain of the plurality of sidechains is associated with a diversity category.
{[0356] In other embodiments, the block chain ecosystem data structure may incorporate a side chain. In some embodiments, a side chain is a block chain that is operated parallel to a main block chain, using transactions or transaction outputs extracted from and later merged back into the main block chain via two-way pegging. The transactions or transaction outputs may be merged back into the main block chain by performing a combined hash of the latest link in the side chain with the latest link in the block chain. The combined hash may use a merkle tree as described above to reduce the computational difficulty associated with a combined hash of two entire blocks.}
The combination of Tran and Garg does not disclose a diversity data; however, Moss discloses:
{[0038] In some embodiments, a node 102 of the blockchain system 104 may be configured to determine (e.g., identify, ascertain), in view of the set of parameters, a first set of ethical issues associated with the supply chain of the product. For example, the one or more parameters may indicate the ages for the workers who manufactured a product. In this instance, the node 102 may determine, in view of the one or more parameters, that a majority of the workers had an average age that corresponds to that of a minor, according to a particular jurisdiction (e.g., per country or per state); thereby causing the node 102 to determine that the ethical issue associated with the manufacture of the product involves the use of child labor. As a further example, the one or more parameters may indicate the salaries for the workers who manufactured a product. In this instance, the node 102 may determine, in view of the one or more parameters, that the average salary for the workers is below a predetermined threshold (e.g., a minimum income necessary for a worker to meet their basic needs in a particular jurisdiction); thereby causing the node 102 to determine that the ethical issue associated with the manufacture of the product involves the use of child labor.}
Motivation: The combination of Tran and Garg consisted of references teaching the compliance for participants in a blockchain network. Moss also included parameters to identify ages of workers, age, and child labor to determine ethical issues in the blockchain network.
Response to Arguments
In response to the argument filled November 24, 2025, regarding the 101 rejections, the Examiner Respectfully disagrees.
Applicant argues that the claims do not recite a mental process and an abstract idea, and as amended provide an improvement to a technical field. Applicant further states that the claims are technical improvements related to blockchain network, node, sidechain, public key, new block, diversity data, processor and smart contract.
Applicant also argues that the claims recite a specific distributed-ledger technical architecture in which diversity data is received by a blockchain node, stored as blockchain data entries embedded in newly generated blocks, and propagated to additional blockchain nodes for consensus confirmation and addition to a sidechain.
The Examiner respectfully disagrees.
Examiner notes that the system is directed to a mental process and a method of organizing human activity.
Examiner notes that the system is directed to a mental process. The courts consider a mental process (thinking) that "can be performed in the human mind, or by a human using a pen and paper" to be an abstract idea. CyberSource Corp. v. Retail Decisions, Inc., 654 F.3d 1366, 1372, 99 USPQ2d 1690, 1695 (Fed. Cir. 2011). As the Federal Circuit explained, "methods which can be performed mentally, or which are the equivalent of human mental work, are unpatentable abstract ideas the ‘basic tools of scientific and technological work’ that are open to all.’" 654 F.3d at 1371, 99 USPQ2d at 1694 (citing Gottschalk v. Benson, 409 U.S. 63, 175 USPQ 673 (1972)). See also Mayo Collaborative Servs. v. Prometheus Labs. Inc., 566 U.S. 66, 71, 101 USPQ2d 1961, 1965 (2012) Mental processes [] and abstract intellectual concepts are not patentable, as they are the basic tools of scientific and technological work’" (quoting Benson, 409 U.S. at 67, 175 USPQ at 675)); Parker v. Flook, 437 U.S. 584, 589, 198 USPQ 19 3, 197 (1978).
Applicant also argues that the claimed invention introduces sidechains for diversity data, reducing main-chain load and improving responsiveness; uses block-anchored immutable data to prevent tampering; and deploys smart contracts to perform real-time, automatic analysis and reporting without human oversight
The Examiner respectfully disagrees. The blockchain network, node, sidechain, public key, new block, diversity data, processor, smart contract are generic tools. These are merely generic technology with no technical improvement rather an improvement to the abstract idea using generic technology. See specification {[0028 - 0030]}.
The Examiner maintains these claims recite an abstract idea.
Therefore, for the foregoing reasons the Examiner has maintained the 35 USC 101 rejection.
Regarding the prior art rejections, the Examiner respectfully disagrees.
Applicant argues that the prior art of record fails to teach the claims specifically that the amended claim limitations recite: “publishing, by the blockchain node, the generated new block to the sidechain; and detecting, by the smart contract included in the blockchain data entry on the blockchain, the publishing of the new block to the sidechain, wherein in response to detecting the publishing of the new block to the sidechain, the smart contract self-executes, and wherein self-execution of the smart contract includes: analyzing, by the smart contract, additional diversity data included in each of one or more blockchain data entries stored in the sidechain that include the identification data associated with the registered participant..."
The Examiner respectfully disagrees.
In response to the amended claims, Examiner also includes Tran does disclose the side chain, See Tran {[0356]}. Tran discloses the broadcast of the blockchain, see {[0175]} and detection by the smart contract and self-execution, see Tran {[0077]}, analyzing the additional diversity; see Tran {[0120]}.
In terms of the arguments Tran, Garg and Moss does teach specific limitations such as amended.
Based on the considered amendments cited, 35 USC 103 references have been utilized to
teach the claimed invention (claim 1 and 11). Lacking any further argument, claims 1-20 are maintaining the 35 USC 103 rejection, as considered above in light of the amended claim limitation above.
Conclusion
THIS ACTION IS MADE FINAL. 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 nonprovisional extension fee (37 CFR 1.17(a)) 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 mailing date of this final action.
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/VICTOR CHIGOZIRIM ESONU/
Examiner, Art Unit 3629
/SARAH M MONFELDT/Supervisory Patent Examiner, Art Unit 3629
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