Prosecution Insights
Last updated: October 02, 2026
Application No. 18/440,303

SYSTEMS AND METHODS FOR GENERATING TRACEABLE DOCUMENTS

Non-Final OA §103
Filed
Feb 13, 2024
Examiner
DEBROW, JAMES J
Art Unit
2174
Tech Center
2100 — Computer Architecture & Software
Assignee
Capital One Services LLC
OA Round
2 (Non-Final)
70%
Grant Probability
Favorable
2-3
OA Rounds
7m
Est. Remaining
96%
With Interview

Examiner Intelligence

Grants 70% — above average
70%
Career Allowance Rate
364 granted / 520 resolved
+15.0% vs TC avg
Strong +26% interview lift
Without
With
+25.7%
Interview Lift
resolved cases with interview
Typical timeline
3y 3m
Avg Prosecution
23 currently pending
Career history
537
Total Applications
across all art units

Statute-Specific Performance

§101
10.5%
-29.5% vs TC avg
§103
59.5%
+19.5% vs TC avg
§102
22.3%
-17.7% vs TC avg
§112
4.5%
-35.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 520 resolved cases

Office Action

§103
DETAILED ACTION 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 . This Office Action is responsive to: Amendment filed 07 Apr. 2026 Claims 1, 2 and 5-20 are pending in this case. Claims 1, 11 and 20 are independent claims Applicant’s Response In Applicant’s Response dated 07 Apr. 2026, Applicant amended claims 1, 11 and 20; cancelled claims 3 and 4; argued against all rejections previously set forth in the Office Action dated 09 Jan. 2026. Claim Rejections - 35 USC § 103 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. Claims 1, 2, 5-16 and 18-20 are rejected under 35 U.S.C. 103 as being unpatentable over Anderson et al. (US 2019/0018983 A1; Filed: Jul. 17, 2017)(hereinafter “Anderson”) in view of Cyman, Jr. et al. (US 8,564,808 B2; Date: Oct. 22, 2013)(hereinafter “Cyman”). Regarding independent claims 1 and 11, Anderson disclose a system for identifying a source of document leaks, the system comprising: a processor configured to (0094): receive a document (0024-0025; 0037); identify one or more changeable areas in the document (0028-0029); generate, by a predictive model, one or more document variables wherein the document variable comprise at least one or more changes in the document in the changeable areas (0064; 0075; 0081; 0104); apply the document variables to the document (0064; 0075; 0081; 0104). Anderson does not expressly disclose generate one or more new documents, wherein the new documents each contain at least one of the document variables, wherein each of the new documents do not share the same document variables; and transmit, upon applying the document variables to the document, each of the new documents to a respective one of a plurality of recipients, wherein each of the plurality of recipients receives only one of the new documents. Cyman teach generate one or more new documents, wherein the new documents each contain at least one of the document variables, wherein each of the new documents do not share the same document variables (col 3 lines 9-28; col 12 lines 16-41); and transmit, upon applying the document variables to the document, each of the new documents to a respective one of a plurality of recipients, wherein each of the plurality of recipients receives only one of the new documents (col 3 lines 9-28; col 12 lines 16-41). Therefore, prior to the effective filing date of the claimed invention, it would have been obvious to one of ordinary skill in the art to combine Cyman with Anderson for the benefit of optimizing production time and use of the equipment at the printing facility (col 2 lines 22-28). Regarding dependent claim 2, Anderson disclose the system of claim 1, wherein the processor is further to store, upon applying the document variables to the document, the document in a data storage unit (0049). Regarding dependent claim 5, Anderson disclose the system of claim 1, wherein the processor is further configured to generate a map of the document, wherein the map describes form and content associated with the new document and document variables (0063; 0065; 0067). Regarding dependent claim 6, Anderson disclose the system of claim 5, wherein the map further comprises the recipients who received the new document (0040-0041; 0049-0050; 0091). Regarding dependent claim 7, Anderson disclose the system of claim 1, wherein the one or more document variables comprise a new word replacing an original word in the document (0064; 0075;0081; 0104). Regarding dependent claim 8, Anderson disclose the system of claim 1, wherein the one or more document variables comprise a new phrase replacing an original phrase in the document (0067; 0077). Regarding dependent claim 9, Anderson disclose the system of claim 1, wherein the one or more document variables comprise a new numerical or alphanumeric symbol replacing an original numerical or alphanumerical symbol in the document (0025-0026; 0064; 0075; 0108; 0116). Regarding dependent claim 10, Anderson disclose the system of claim 1, wherein the one or more document variables comprise a new form or style of the document replacing an original form or style of the document (0054; 0070; 0077). Regarding dependent claim 12, Anderson disclose the method of claim 11, wherein the steps further comprise generating a map of the document, wherein the map describes form and content associated with the new document (0063; 0065; 0067). Regarding dependent claim 13, Anderson disclose the method of claim 12, wherein the steps further comprise: receiving, by the processor, one or more changes to the document (0064; 0075; 0081; 0104); updating, by the processor, the map of the document (0063; 0065; 0067); and storing, by the processor, the map of the document in a data storage unit (0049). Regarding dependent claim 14, Anderson disclose the method of claims 12, wherein the steps further comprise tracking, by the processor, one or more metadata of the new document (0065-0066; 0073; 0075; 0082; 0106). Regarding dependent claim 15, Anderson disclose the method of claim 11, wherein the steps further comprise identifying, by the processor, one or more non-changeable areas in the document (0077; 0080). Regarding dependent claim 16, Anderson disclose the method of claim 11, wherein the steps further comprise applying, by the processor, a document variable created manually by a user (0050). Regarding dependent claim 18, Anderson disclose the method of claim 11, wherein the steps further comprise: receiving, by the processor, one or more changes to the document (0064; 0075; 0081; 0104); updating, by the processor, the predictive model with the changes (0054); and monitoring the new document for further changes (0050). Regarding dependent claim 19, Anderson disclose the method of claim 11, wherein the steps further comprise identifying, by the processor, which of the one or more changeable areas in the document would be, if given a change, the least likely to be noticed by a user (0064; 0075; 0081; 0104). Regarding independent claim 20, Anderson disclose a non-transitory computer readable medium containing computer executable instructions that, when executed by a computer hardware arrangement comprising a processor, configure the computer hardware arrangement to perform procedures comprising: receiving a document (0024-0025; 0037); identifying one or more changeable areas in the document (0028-0029); generating one or more document variables wherein the document variables comprise at least one or more changes in the document in the changeable areas, wherein the one or more document variables do not change significantly a meaning of the document (0064; 0072; 0075; 0081; 0104); applying the document variables to the document (0064; 0075; 0081; 0104); Anderson does not expressly disclose generating plurality of new documents, wherein each of the plurality of new documents contains the document variables, and wherein each of the plurality of new documents do not share the same document variables; and transmitting upon applying the document variables to the document, each of the plurality of new documents to a respective one of a plurality of recipients, wherein each of the plurality of recipients receives only one of the plurality of new documents. Cyman teach generating plurality of new documents, wherein each of the plurality of new documents contains the document variables, and wherein each of the plurality of new documents do not share the same document variables (col 3 lines 9-28; col 12 lines 16-41); and transmitting upon applying the document variables to the document, each of the plurality of new documents to a respective one of a plurality of recipients, wherein each of the plurality of recipients receives only one of the plurality of new documents (col 3 lines 9-28; col 12 lines 16-41). Therefore, prior to the effective filing date of the claimed invention, it would have been obvious to one of ordinary skill in the art to combine Cyman with Anderson for the benefit of optimizing production time and use of the equipment at the printing facility (col 2 lines 22-28). Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Anderson in view of Cyman in view of Ford et al. (US 2017/0041296 A1; Filed: Dec. 19, 2015)(hereinafter “Ford”). Regarding dependent claim 17, Anderson disclose the method of claim 11, wherein the steps further comprise: encrypting the new document (0001). Anderson in view of Cyman does not expressly disclose storing the encrypted new document in a data storage unit. Ford teach storing the encrypted new document in a data storage unit (0158; 0179-0180). Therefore, before the effective filing date of the claimed invention, it would have been obvious to one of ordinary skill in the art to combine Ford with Anderson in view of Cyman for the benefit of users to utilize the systems in such a way that does not force them to adopt new infrastructure, software, and business and personal processes in their daily workflow in order to achieve a shared and potentially secure extended work environment (0003). NOTE It is noted that any citations to specific, pages, columns, lines, or figures in the prior art references and any interpretation of the reference should not be considered to be limiting in any way. A reference is relevant for all it contains and may be relied upon for all that it would have reasonably suggested to one having ordinary skill in the art. See MPEP 2123. Response to Arguments Applicant’s arguments have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to JAMES J DEBROW whose telephone number is (571)272-5768. The examiner can normally be reached on 09:00 - 06:00. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, William Bashore can be reached on 571-272-4088. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of an application may be obtained from Patent Center and the Private Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from Patent Center or Private PAIR. Status information for unpublished applications is available through Patent Center or Private PAIR to authorized users only. Should you have questions about access to Patent Center or the Private PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) Form at https://www.uspto.gov/patents/uspto-automated- interview-request-air-form. /James J Debrow/ Primary Patent Examiner Art Unit 2174 571-272-5768
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Prosecution Timeline

Feb 13, 2024
Application Filed
Jan 09, 2026
Non-Final Rejection mailed — §103
Apr 07, 2026
Response Filed
Sep 10, 2026
Non-Final Rejection mailed — §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

2-3
Expected OA Rounds
70%
Grant Probability
96%
With Interview (+25.7%)
3y 3m (~7m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 520 resolved cases by this examiner. Grant probability derived from career allowance rate.

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