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 Amendment
Claims 1-6, 8-16 and 18-20 are currently pending and have been considered below. Claims 7 and 17 have been canceled. Claims 1, 11 and 20 are independent claims.
Response to Arguments
Claims 1, 3-4, 6, 8-11, 13-14, 16 and 18-20 have been amended and therefore the rejections under 35 U.S.C. 112b have been withdrawn.
Applicant’s arguments with respect to claims 1, 3-4, 6, 8-11, 13-14, 16 and 18-20 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.
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, 3-4, 6, 8-11, 13-14, 16 and 18-20 are rejected under 35 U.S.C. 103 as being unpatentable over Rakowicz(US Patent No. 9547879 B1) in view of Hirson(US Publication No. 2022/0058278 A1).
Regarding Claim 1:
Rakowicz discloses:
A system, comprising: one or more processors coupled with memory, the one or more processors configured to: determine, based on a first model, a constraint to electronically sign an electronic document associated with an entity(Rakowicz, Claim 7, a memory that stores instructions that, when executed by the processor… a display comprising a view of the electronic document in a user interface… comprising a user interface option that is selectable to cause a computing device to digitally sign the electronic document);
identify a plurality of candidate electronic signatures linked in a data structure associated with the entity that satisfy the constraint(Rakowicz, Col. 20-21, lines 65-66 and lines 1-11, The Electronic document Manager 350 is shown in FIG. 4B. The signer box 359 lists all signer names with a box 351 next to each name… the preparer will configure in advance of signing who will sign each electronic document… many electronic documents are pre-set and are signed only by certain parties all the time as is the case of many electronic documents from the library of electronic documents. However, new electronic documents that are added are configurable as to who signs them);
generate, based on a second model established for the entity, a ranking of the plurality of candidate electronic signatures that satisfy the constraint(Rakowicz, Col. 28, lines 21-25, The future applicability of the concepts and technologies disclosed herein has no limits or bounds except for the limits imposed in the legal standards of electronic signatures which may also change in the future. );
display, based on the ranking, one or more electronic signatures of the plurality of candidate electronic signatures(Rakowicz, Col. 11, lines 14-26, The administrator of the transaction identifies the parties to the transaction, the electronic documents to be signed, the time and date of the signing, the sequence in which the parties will sign the electronic documents, and other such settings relevant to the execution of the signing, thereby creating an electronic signing space (3). At this point, the other parties to the transaction, (i.e., borrowers, sellers, notaries, closing agents, and other electronic document signers) are prompted (via email, fax, phone, or any other notification means) to log onto the system to obtain a digital certificate and private key, if not done so already, which will be used to compute digital signatures during the electronic signing process (4) );
construct, responsive to a selection of an electronic signature of the one or more electronic signatures, a modified electronic document by including the electronic signature within the electronic document(Rakowicz, Col. 12, lines 9-13, …When all parties to the transaction have completed the signing of one electronic document, the system selects the next electronic document to be signed (7), based on the electronic document signing sequence established at (3). Col. 13, lines 40-45, … The administrator can add, delete, and modify parties to a transaction, select which electronic documents are to be signed during a given signing process, and modify the sequencing of the electronic documents to be signed and the parties to sign them)
Rakowicz does not disclose:
wherein the constraint is based on at least one of a geographic constraint, a security constraint, an authorization constraint, or a role-based constraint, wherein the first model is trained using first training data that includes electronic documents and labels corresponding to the constraint of each electronic document
wherein the second model is trained using second training data that includes metadata associated with the electronic documents and electronic signatures that satisfy the constraint of each electronic document
an provide, responsive to the construction of the modified electronic document, a notification to a source of the electronic signature
Hirson discloses:
wherein the constraint is based on at least one of a geographic constraint, a security constraint, an authorization constraint, or a role-based constraint, wherein the first model is trained using first training data that includes electronic documents and labels corresponding to the constraint of each electronic document(Hirson, [0003], a secure document service receives a request for a user to perform a plurality of activities with respect to a secure document, and determines requirements for performing each respective activity of the plurality of activities… , the requirements may include completing a particular identity verification protocol. The secure document service retrieves profile data for the user, and determines, based on the profile data, a subset of the activities directed to achieving a result that is reflected in the profile data).
wherein the second model is trained using second training data that includes metadata associated with the electronic documents and electronic signatures that satisfy the constraint of each electronic document(Hirson, [0035], content of document (e.g., certain keywords within certain portions of the document or within the document as a whole, weights applied depending on keyword location, etc., and/or a keyword-agnostic look at the content of the document), attributes of the document (e.g., metadata attributes showing creator, access privileges, date of creation, place of creation, and any other attribute [0030], Profile analysis module 223 may additionally or alternatively determine whether profile data of a user satisfies any activities corresponding to a request. For example, where there is a requirement that a user's identity be verified in a particular manner, and where profile data 231 reflects that the user has previously been verified in that manner. [0036], … The profile data may include data associated with the user that was not expressly input by the users (e.g., successful document completion rate, frequency of use, milestones met, common requirements that were successfully completed, trust scores, and so on).)
an provide, responsive to the construction of the modified electronic document, a notification to a source of the electronic signature(Hirson, [0003-0005], …The secure document service transmits a modified version of the request to the user… The secure document service determines a replacement activity based on the requirements (e.g., a replacement identity verification protocol), and transmits a new request to the user… …These activities omit activities that are part of a requirement for satisfying the request (e.g., identity verification protocol) where the user has previously satisfied that requirement (e.g., as shown in the user's profile information). The secure document service transmits a workflow comprising the plurality of activities to the user…)
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure compliant, secure and efficient execution of electronic document across varying jurisdictions and authorization requirements. .
The motivation is to enhance secure and compliant execution of electronic documents by enforcing jurisdiction-specific and authorization-based constraints within the security system.
Regarding Claim 3:
Rakowicz in view of Hirson disclose:
The system of claim 1, wherein the constraint comprises at least one of a geographic region or an authorization level(Rakowicz, [0014], each signer willingly consents to the electronic disclosure and application of electronic signatures to electronic records… all signers 903, 907 and 911 are required to read the legal notice 920 and 921 to confirm that the process has been acceptable.).
Regarding Claim 4:
The system of claim 1, Rakowicz in view of Hirson disclose wherein to identify the plurality of candidate electronic signatures linked in the data structure associated with the entity that satisfy the constraint, the one or more processors are further configured to: access a data repository that stores profiles linked to a plurality of electronic signatures established by the entity within the data structure(Rakowicz, Col. 11, lines 51-55, the system then updates the audit trail information stored on the server (8), recording that the present electronic document has now begun the signing process. The system generates a PDF view (9) based on the electronic document stored on the server);
and filter, based on the constraint, the profiles to identify the plurality of candidate electronic signatures(Rakowicz, Col. 11, lines 15-20, The administrator of the transaction identifies the parties to the transaction, the electronic documents to be signed, the time and date of the signing, the sequence in which the parties will sign the electronic documents,).
Regarding Claim 6:
The system of claim 1, Rakowicz in view of Hirson disclose wherein to generate the ranking based on the second model, the one or more processors are further configured to: identify profile data associated with the plurality of candidate electronic signatures(Rakowicz, Col. 20, lines 40-47, The Signer Manager is used to add signers for loans or other electronic document signing. Reference numeral 301 shows the box where data entry is done on signers to be added. The signing window has two tabs 302 for electronic documents as chosen in FIG. 4B and 303 for Signers as chosen in this electronic document as can be seen as the tab 303 is darker than the tab 302 in FIG. 4A. );
and input the profile data into the second model to generate the ranking.(Rakowicz, Col. 10, lines 48-52, The system then saves all inputted information (electronic documents, signatures, etc.) as well as information relating to the electronic document signing process (which could include the date, time, location, and identity of the parties to the transaction) on a central server.)
Regarding Claim 8:
The system of claim 1, Rakowicz in view of Hirson disclose wherein the one or more processors are further configured to: receive, responsive to the display of the one or more electronic signatures based on the ranking, a selection of the electronic signature(Hirson, [0023], Activity request module 221 detects a request from requester device 115 to have recipient device 110 perform a plurality of activities with respect to a secure document. [0043], Process 400 begins with secure document service 120 receiving 402 a request (e.g., using activity request module 221) for a user to perform a plurality of activities with respect to a secure document. As a non-limiting example, an administrator operating requester device 115 may request that recipient device 110 sign a contract that transfers assets from the recipient to the administrator.);
transmit a request for authorization to a source of the electronic signature(Hirson, [0003], The secure document service transmits a modified version of the request to the user, the modified version eliminating the subset from the plurality of activities. For example, the secure document service omits the identity verification protocol from the workflow);
and construct the modified electronic document with the electronic signature responsive to receipt of the authorization(Hirson,[0050], FIG. 6 illustrates one embodiment of an exemplary data flow of a process for using machine learning to automatically output workflow. Process 600 begins with secure document service 130 receiving 602 a request for a user to perform a task with respect to a secure document (e.g., using activity request module 221)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure secure and properly authorized execution of electronic documents
The motivation is to enhance integrity and compliance of electronic signing workflows where role-based constraints govern whether a signature may be applied into an electronic signature workflow.
Regarding Claim 9:
The system of claim 1, Rakowicz in view of Hirson disclose wherein the one or more processors are further configured to: receive, responsive to the display of the one or more electronic signatures based on the ranking, a selection of a second electronic signature(Hirson, [0023], Activity request module 221 detects a request from requester device 115 to have recipient device 110 perform a plurality of activities with respect to a secure document. [0043], Process 400 begins with secure document service 120 receiving 402 a request (e.g., using activity request module 221) for a user to perform a plurality of activities with respect to a secure document. As a non-limiting example, an administrator operating requester device 115 may request that recipient device 110 sign a contract that transfers assets from the recipient to the administrator.);
transmit, based on the selection, a request for authorization to a source of the second electronic signature(Hirson, [0034], Identity verification module 225 initiates verification protocols based on the determined requirements. Identity verification module 225 may also determine, based on output from profile analysis module 223, whether some or all of verification protocols are necessary based on past user activity, and may omit some or all elements of verification protocols accordingly…);
receive a bounce message in response to the transmission(Hirson, [0004], The secure document service transmits the request to the user, and, responsive to detecting an interaction by the user with the request, determines that the known parameter has changed. For example, the secure document service determines that the user is in fact in a different location than the known location. Responsive to determining that the known parameter has changed, the secure document service determines requirements for performing the plurality of activities based on a replacement parameter of the user.);
and provide, for display responsive to the bounce message, an indication of the electronic signature of the plurality of candidate electronic signatures based on the ranking(Hirson, [0049], Secure document service 130 then determines 508 a replacement activity based on the requirements (e.g., a different identity verification protocol that satisfies the requirements for Mexico). Secure document service 130 transmits 510 a new request to the user (e.g., using activity request module 221), the new request replacing the given activity with the replacement activit. [0051], Secure document service 130 receives 608 as output from the machine learning model a plurality of activities for performing the task (e.g., based on the training data used by training module 226). Secure document service 130 transmits 610 a workflow comprising the plurality of activities to the user.)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure compliant and continuous execution of electronic document signing workflows
The motivation is to enhance reliability and robustness of electronic signature workflows particularly in environments where authorization, identity or jurisdictional constraints may prevent a selected signer from completing the signing process.
Regarding Claim 10:
The system of claim 9, Rakowicz in view of Hirson disclose wherein the one or more processors are further configured to: update, subsequent to the bounce message, a status of the second electronic signature to prevent the second electronic signature from inclusion in a subsequent plurality of candidate electronic signatures for the entity(Hirson, [0036], Profile data 231 includes profile data of users (e.g., recipients, administrators, and any other participants) of secure document service 130. The profile data may include data expressly input by the users (e.g., demographic and biographical information). The profile data may include data associated with the user that was not expressly input by the users (e.g., successful document completion rate, frequency of use, milestones met, common requirements that were successfully completed, trust scores, and so on). As part of the profile data 231, or as a separate database, secure document service 130 may include an identity evidence database.[0051], …secure document service 130 is able to, where both profile information and document information are input into the machine learning model, directly output activities that still need to be performed, while omitting activities that correspond to requirements that are already satisfied based on user's historical activity (e.g., prior-complete identity verification).).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure accurate and complaint enforcement of authorization requirements in electronic document signing workflows.
The motivation is to enhance efficiency of electronic signing workflows by avoiding repeated authorization failures and enforcing signer eligibility status within the system.
Regarding Claim 11:
Rakowicz discloses:
A method, comprising: Rakowicz in view of Hirson disclose receiving, by one or more processors coupled with memory, from a device of an entity, an instruction to electronically sign an electronic document(Rakowicz, Col 13, lines 54-60, The menu bar further reflects the steps of the signing process (i.e., login, read instructions, sign electronic documents, etc.), and indicates the current state of the signing process, as well as which electronic documents have been signed);
determining, by the one or more processors based on a first model, a constraint to electronically sign the electronic document(Rakowicz, Claim 7, a memory that stores instructions that, when executed by the processor… a display comprising a view of the electronic document in a user interface… comprising a user interface option that is selectable to cause a computing device to digitally sign the electronic document);
identifying, by the one or more processors, a plurality of candidate electronic signatures linked in a data structure with the entity that satisfy the constraint(Rakowicz, Col. 20-21, lines 65-66 and lines 1-11, The Electronic document Manager 350 is shown in FIG. 4B. The signer box 359 lists all signer names with a box 351 next to each name… the preparer will configure in advance of signing who will sign each electronic document… many electronic documents are pre-set and are signed only by certain parties all the time as is the case of many electronic documents from the library of electronic documents. However, new electronic documents that are added are configurable as to who signs them);
generating, by the one or more processors based on a second model established for the entity, a ranking of the plurality of candidate electronic signatures that satisfy the constraint(Rakowicz, Col. 28, lines 21-25, The future applicability of the concepts and technologies disclosed herein has no limits or bounds except for the limits imposed in the legal standards of electronic signatures which may also change in the future. );
providing, by the one or more processors based on the ranking, an indication of one or more electronic signatures of the plurality of candidate electronic signatures(Rakowicz, Col. 11, lines 14-26, The administrator of the transaction identifies the parties to the transaction, the electronic documents to be signed, the time and date of the signing, the sequence in which the parties will sign the electronic documents, and other such settings relevant to the execution of the signing, thereby creating an electronic signing space (3). At this point, the other parties to the transaction, (i.e., borrowers, sellers, notaries, closing agents, and other electronic document signers) are prompted (via email, fax, phone, or any other notification means) to log onto the system to obtain a digital certificate and private key, if not done so already, which will be used to compute digital signatures during the electronic signing process (4) );
constructing, by the one or more processors responsive to a selection of an electronic signature of the one or more electronic signatures, a modified electronic document by including the electronic signature within the electronic document(Rakowicz, Col. 12, lines 9-13, …When all parties to the transaction have completed the signing of one electronic document, the system selects the next electronic document to be signed (7), based on the electronic document signing sequence established at (3). Col. 13, lines 40-45, … The administrator can add, delete, and modify parties to a transaction, select which electronic documents are to be signed during a given signing process, and modify the sequencing of the electronic documents to be signed and the parties to sign them).
Rakowicz does not disclose:
wherein the constraint is based on at least one of a geographic constraint, a security constraint, an authorization constraint, or a role-based constraint, wherein the first model is trained using first training data that includes electronic documents and labels corresponding to the constraint of each electronic document
wherein the second model is trained using second training data that includes metadata associated with the electronic documents and electronic signatures that satisfy the constraint of each electronic document
an provide, responsive to the construction of the modified electronic document, a notification to a source of the electronic signature
Hirson discloses:
wherein the constraint is based on at least one of a geographic constraint, a security constraint, an authorization constraint, or a role-based constraint, wherein the first model is trained using first training data that includes electronic documents and labels corresponding to the constraint of each electronic document(Hirson, [0003], a secure document service receives a request for a user to perform a plurality of activities with respect to a secure document, and determines requirements for performing each respective activity of the plurality of activities… , the requirements may include completing a particular identity verification protocol. The secure document service retrieves profile data for the user, and determines, based on the profile data, a subset of the activities directed to achieving a result that is reflected in the profile data).
wherein the second model is trained using second training data that includes metadata associated with the electronic documents and electronic signatures that satisfy the constraint of each electronic document(Hirson, [0035], content of document (e.g., certain keywords within certain portions of the document or within the document as a whole, weights applied depending on keyword location, etc., and/or a keyword-agnostic look at the content of the document), attributes of the document (e.g., metadata attributes showing creator, access privileges, date of creation, place of creation, and any other attribute [0030], Profile analysis module 223 may additionally or alternatively determine whether profile data of a user satisfies any activities corresponding to a request. For example, where there is a requirement that a user's identity be verified in a particular manner, and where profile data 231 reflects that the user has previously been verified in that manner. [0036], … The profile data may include data associated with the user that was not expressly input by the users (e.g., successful document completion rate, frequency of use, milestones met, common requirements that were successfully completed, trust scores, and so on).)
an provide, responsive to the construction of the modified electronic document, a notification to a source of the electronic signature(Hirson, [0003-0005], …The secure document service transmits a modified version of the request to the user… The secure document service determines a replacement activity based on the requirements (e.g., a replacement identity verification protocol), and transmits a new request to the user… …These activities omit activities that are part of a requirement for satisfying the request (e.g., identity verification protocol) where the user has previously satisfied that requirement (e.g., as shown in the user's profile information). The secure document service transmits a workflow comprising the plurality of activities to the user…)
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure compliant, secure and efficient execution of electronic document across varying jurisdictions and authorization requirements.
The motivation is to enhance secure and compliant execution of electronic documents by enforcing jurisdiction-specific and authorization-based constraints within the security system.
Regarding Claim 13:
The method of claim 11, Rakowicz in view of Hirson disclose wherein the constraint comprises at least one of a geographic region or an authorization level(Rakowicz, [0014], each signer willingly consents to the electronic disclosure and application of electronic signatures to electronic records… all signers 903, 907 and 911 are required to read the legal notice 920 and 921 to confirm that the process has been acceptable.)
Regarding Claim 14:
The method of claim 11, Rakowicz in view of Hirson disclose wherein identifying the plurality of candidate electronic signatures linked in the data structure associated with the entity that satisfy the constraint further comprises: accessing, by the one or more processors, a data repository that stores profiles linked to a plurality of electronic signatures established by the entity within the data structure(Rakowicz, Col. 11, lines 51-55, the system then updates the audit trail information stored on the server (8), recording that the present electronic document has now begun the signing process. The system generates a PDF view (9) based on the electronic document stored on the server);
and filtering, by the one or more processors based on the constraint, the profiles to identify the plurality of candidate electronic signatures(Rakowicz, Col. 11, lines 15-20, The administrator of the transaction identifies the parties to the transaction, the electronic documents to be signed, the time and date of the signing, the sequence in which the parties will sign the electronic documents,).
Regarding Claim 16:
The method of claim 11, Rakowicz in view of Hirson disclose wherein generating the ranking based on the second model further comprises: identifying, by the one or more processors, profile data associated with the plurality of candidate electronic signatures(Rakowicz, Col. 20, lines 40-47, The Signer Manager is used to add signers for loans or other electronic document signing. Reference numeral 301 shows the box where data entry is done on signers to be added. The signing window has two tabs 302 for electronic documents as chosen in FIG. 4B and 303 for Signers as chosen in this electronic document as can be seen as the tab 303 is darker than the tab 302 in FIG. 4A. );
and inputting, by the one or more processors, the profile data into the second model to generate the ranking(Rakowicz, Col. 10, lines 48-52, The system then saves all inputted information (electronic documents, signatures, etc.) as well as information relating to the electronic document signing process (which could include the date, time, location, and identity of the parties to the transaction) on a central server.) .
Regarding Claim 18:
The method of claim 11, Rakowicz in view of Hirson disclose comprising: receiving, by the one or more processors, responsive to the provision of the indication of the one or more electronic signatures based on the ranking, a selection of the electronic signature(Hirson, [0023], Activity request module 221 detects a request from requester device 115 to have recipient device 110 perform a plurality of activities with respect to a secure document. Activities may include any interaction with a secure document, such as opening, reviewing, editing, signing, forwarding, and so on.);
transmitting, by the one or more processors, a request for authorization to a source of the electronic signature(Hirson, [0023], Activities may include any interaction with a secure document, such as opening, reviewing, editing, signing, forwarding, and so on. Activities may also include interactions associated with the secure document, such as performing identity verification before being authorized to perform an interaction with the secure document. Activities may be expressly requested by the administrator (e.g., in configuring a signature block for signature by a user of recipient device 110),);
and constructing, by the one or more processors, the modified electronic document with the electronic signature responsive to receipt of the authorization(Hirson,[0050], FIG. 6 illustrates one embodiment of an exemplary data flow of a process for using machine learning to automatically output workflow. Process 600 begins with secure document service 130 receiving 602 a request for a user to perform a task with respect to a secure document (e.g., using activity request module 221)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure secure and properly authorized execution of electronic documents
The motivation is to enhance integrity and compliance of electronic signing workflows where role-based constraints govern whether a signature may be applied into an electronic signature workflow.
Regarding Claim 19:
The method of claim 11, Rakowicz in view of Hirson disclose comprising: receiving, by the one or more processors, responsive to the provision of the indication of the one or more electronic signatures based on the ranking, a selection of a second electronic signature(Hirson, [0023], Activity request module 221 detects a request from requester device 115 to have recipient device 110 perform a plurality of activities with respect to a secure document. Activities may include any interaction with a secure document, such as opening, reviewing, editing, signing, forwarding, and so on.);
transmitting, by the one or more processors based on the selection, a request for authorization to a source of the second electronic signature(Hirson, [0023], Activities may include any interaction with a secure document, such as opening, reviewing, editing, signing, forwarding, and so on. Activities may also include interactions associated with the secure document, such as performing identity verification before being authorized to perform an interaction with the secure document. Activities may be expressly requested by the administrator (e.g., in configuring a signature block for signature by a user of recipient device 110),);
receiving, by the one or more processors, a bounce message in response to the transmission(Hirson, [0004], The secure document service transmits the request to the user, and, responsive to detecting an interaction by the user with the request, determines that the known parameter has changed. For example, the secure document service determines that the user is in fact in a different location than the known location. Responsive to determining that the known parameter has changed, the secure document service determines requirements for performing the plurality of activities based on a replacement parameter of the user.);
and providing, by the one or more processors for display responsive to the bounce message, an indication of the electronic signature of the plurality of candidate electronic signatures based on the ranking(Hirson, [0049], Secure document service 130 then determines 508 a replacement activity based on the requirements (e.g., a different identity verification protocol that satisfies the requirements for Mexico). Secure document service 130 transmits 510 a new request to the user (e.g., using activity request module 221), the new request replacing the given activity with the replacement activity. [0051], Secure document service 130 receives 608 as output from the machine learning model a plurality of activities for performing the task (e.g., based on the training data used by training module 226). Secure document service 130 transmits 610 a workflow comprising the plurality of activities to the user.)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure compliant and continuous execution of electronic document signing workflows
The motivation is to enhance reliability and robustness of electronic signature workflows particularly in environments where authorization, identity or jurisdictional constraints may prevent a selected signer from completing the signing process.
Regarding Claim 20:
Rakowicz discloses:
A non-transitory computer-readable medium that stores processor-executable instructions, wherein execution of the processor-executable instructions by one or more processors cause the one or more processors to: determine, based on a first model, a constraint to electronically sign an electronic document associated with an entity(Rakowicz, Claim 7, a memory that stores instructions that, when executed by the processor… a display comprising a view of the electronic document in a user interface… comprising a user interface option that is selectable to cause a computing device to digitally sign the electronic document);
identify a plurality of candidate electronic signatures linked in a data structure associated with the entity that satisfy the constraint(Rakowicz, Col. 20-21, lines 65-66 and lines 1-11, The Electronic document Manager 350 is shown in FIG. 4B. The signer box 359 lists all signer names with a box 351 next to each name… the preparer will configure in advance of signing who will sign each electronic document… many electronic documents are pre-set and are signed only by certain parties all the time as is the case of many electronic documents from the library of electronic documents. However, new electronic documents that are added are configurable as to who signs them);
generate, based on a second model established for the entity, a ranking of the plurality of candidate electronic signatures that satisfy the constraint(Rakowicz, Col. 28, lines 21-25, The future applicability of the concepts and technologies disclosed herein has no limits or bounds except for the limits imposed in the legal standards of electronic signatures which may also change in the future. );
display, based on the ranking, one or more electronic signatures of the plurality of candidate electronic signatures(Rakowicz, Col. 11, lines 14-26, The administrator of the transaction identifies the parties to the transaction, the electronic documents to be signed, the time and date of the signing, the sequence in which the parties will sign the electronic documents, and other such settings relevant to the execution of the signing, thereby creating an electronic signing space (3). At this point, the other parties to the transaction, (i.e., borrowers, sellers, notaries, closing agents, and other electronic document signers) are prompted (via email, fax, phone, or any other notification means) to log onto the system to obtain a digital certificate and private key, if not done so already, which will be used to compute digital signatures during the electronic signing process (4) );
and construct, responsive to a selection of an electronic signature of the one or more electronic signatures, a modified electronic document by including the electronic signature within the electronic document(Rakowicz, Col. 12, lines 9-13, …When all parties to the transaction have completed the signing of one electronic document, the system selects the next electronic document to be signed (7), based on the electronic document signing sequence established at (3). Col. 13, lines 40-45, … The administrator can add, delete, and modify parties to a transaction, select which electronic documents are to be signed during a given signing process, and modify the sequencing of the electronic documents to be signed and the parties to sign them).
Rakowicz does not explicitly disclose:
wherein the constraint is based on at least one of a geographic constraint, a security constraint, an authorization constraint, or a role-based constraint, wherein the first model is trained using first training data that includes electronic documents and labels corresponding to the constraint of each electronic document
wherein the second model is trained using second training data that includes metadata associated with the electronic documents and electronic signatures that satisfy the constraint of each electronic document
an provide, responsive to the construction of the modified electronic document, a notification to a source of the electronic signature
Hirson discloses:
wherein the constraint is based on at least one of a geographic constraint, a security constraint, an authorization constraint, or a role-based constraint, wherein the first model is trained using first training data that includes electronic documents and labels corresponding to the constraint of each electronic document(Hirson, [0003], a secure document service receives a request for a user to perform a plurality of activities with respect to a secure document, and determines requirements for performing each respective activity of the plurality of activities… , the requirements may include completing a particular identity verification protocol. The secure document service retrieves profile data for the user, and determines, based on the profile data, a subset of the activities directed to achieving a result that is reflected in the profile data).
wherein the second model is trained using second training data that includes metadata associated with the electronic documents and electronic signatures that satisfy the constraint of each electronic document(Hirson, [0035], content of document (e.g., certain keywords within certain portions of the document or within the document as a whole, weights applied depending on keyword location, etc., and/or a keyword-agnostic look at the content of the document), attributes of the document (e.g., metadata attributes showing creator, access privileges, date of creation, place of creation, and any other attribute [0030], Profile analysis module 223 may additionally or alternatively determine whether profile data of a user satisfies any activities corresponding to a request. For example, where there is a requirement that a user's identity be verified in a particular manner, and where profile data 231 reflects that the user has previously been verified in that manner. [0036], … The profile data may include data associated with the user that was not expressly input by the users (e.g., successful document completion rate, frequency of use, milestones met, common requirements that were successfully completed, trust scores, and so on).)
an provide, responsive to the construction of the modified electronic document, a notification to a source of the electronic signature(Hirson, [0003-0005], …The secure document service transmits a modified version of the request to the user… The secure document service determines a replacement activity based on the requirements (e.g., a replacement identity verification protocol), and transmits a new request to the user… …These activities omit activities that are part of a requirement for satisfying the request (e.g., identity verification protocol) where the user has previously satisfied that requirement (e.g., as shown in the user's profile information). The secure document service transmits a workflow comprising the plurality of activities to the user…)
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz’s digitally signing electronic documents using a digital signature Rakowicz’s electronic document processing system, an electronic document generation mechanism to determine constraints governing secure document interaction as taught by Hirson in order ensure compliant, secure and efficient execution of electronic document across varying jurisdictions and authorization requirements. .
The motivation is to enhance secure and compliant execution of electronic documents by enforcing jurisdiction-specific and authorization-based constraints within the security system.
Claims 2, 5, 12 and 15 are rejected under 35 U.S.C. 103 as being unpatentable over Rakowicz(US Patent No. 9547879 B1) in view of Hirson(US Publication No. 2022/0058278 A1)in further view of Hegardh(US Publication No. 20230385966 A1)
Regarding Claim 2:
Rakowicz in view of Hirson disclose:
The system of claim 1…
wherein to determine the constraint based on the first model, the one or more processors are further configured to: determine a type of the electronic document(Rakowicz, Col 23, lines 5-6, …the watermark 801 represents that a digital signature has been made, thus indicating that the electronic document is a type 3 or 4 SMART electronic document…);
Rakowicz in view of Hirson does not disclose:
and select, based on the type of the electronic document, the first model from a plurality of models, wherein the first model is trained with machine learning on training data related to constraints to electronically sign the type of the electronic document
Hegardh discloses:
and select, based on the type of the electronic document, the first model from a plurality of models, wherein the first model is trained with machine learning on training data related to constraints to electronically sign the type of the electronic document(Hegardh, [0014], A document management system enables a party (e.g., individuals, organizations, etc.) to create and send documents to one or more receiving parties for negotiation, collaborative editing, electronic execution (e.g., via electronic signatures), [0016], The methods described herein use machine learning to improve the document generation experience for users of the document management system. A user provides initial text input into a contract document. The document management system uses a machine learned model to rank a set of predictive text suggestions based on a likelihood that each suggestion will be selected to complete the initial text input)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz in view of Hirson’s digitally signing electronic documents using a digital signature Rakowicz in view of Hirson’s electronic document processing system, an electronic document generation mechanism to A document management system trains a machine learned model to rank text suggestions as taught by Reimer in order to ensure that security policies and authorizations constraints specific to the documents sensitivity.
The motivation is to reduce the risk of unauthorized or improper signing actions mitigates fraud and ensures adherence to organizational regulatory standards.
Regarding Claim 5:
Rakowicz in view of Hirson disclose:
The system of claim 1…
Rakowiz in view of Hirson do not disclose:
wherein to determine the ranking based on the second model, the one or more processors are further configured to: identify the second model trained with machine learning on training data related to historical performance data of each of the plurality of candidate electronic signatures
Hirson discloses:
wherein to determine the ranking based on the second model, the one or more processors are further configured to: identify the second model trained with machine learning on training data related to historical performance data of each of the plurality of candidate electronic signatures(Hegardh, [0014], A document management system enables a party (e.g., individuals, organizations, etc.) to create and send documents to one or more receiving parties for negotiation, collaborative editing, electronic execution (e.g., via electronic signatures), [0016], The methods described herein use machine learning to improve the document generation experience for users of the document management system. A user provides initial text input into a contract document. The document management system uses a machine learned model to rank a set of predictive text suggestions based on a likelihood that each suggestion will be selected to complete the initial text input. [0017], the system environment 100 includes a document management system 110, which has a target contract document 120 and historical contract documents 125, users 130A-B, and corresponding client devices 140A-B)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz in view of Hirson’s digitally signing electronic documents using a digital signature Rakowicz in view of Hirson’s electronic document processing system, an electronic document generation mechanism to A document management system trains a machine learned model to rank text suggestions as taught by Hegardh in order to incorporate past authorization outcomes, geographic anomalies or misuse patterns that are historically less prone to fraud or unauthorized use.
The motivation is to enhance the security posture of the system by favoring electronic signature that demonstrate consistent adherence to access policies and behavioral norms, thereby reducing the likelihood of signature, spoofing or policy violations within the system.
Regarding Claim 12:
Rakowicz in view of Hirson disclose:
The method of claim 11…
wherein determining the constraint based on the first model further comprises: determining, by the one or more processors, a type of the electronic document(Rakowicz, Col 23, lines 5-6, …the watermark 801 represents that a digital signature has been made, thus indicating that the electronic document is a type 3 or 4 SMART electronic document…);
Rakowicz in view of Hirson does not disclose:
and selecting, by the one or more processors, based on the type of the electronic document, the first model from a plurality of models, wherein the first model is trained with machine learning on training data related to constraints to electronically sign the type of the electronic document.
Hegardh discloses:
and selecting, by the one or more processors, based on the type of the electronic document, the first model from a plurality of models, wherein the first model is trained with machine learning on training data related to constraints to electronically sign the type of the electronic document.
(Hegardh, [0014], A document management system enables a party (e.g., individuals, organizations, etc.) to create and send documents to one or more receiving parties for negotiation, collaborative editing, electronic execution (e.g., via electronic signatures), [0016], The methods described herein use machine learning to improve the document generation experience for users of the document management system. A user provides initial text input into a contract document. The document management system uses a machine learned model to rank a set of predictive text suggestions based on a likelihood that each suggestion will be selected to complete the initial text input)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz in view of Hirson’s digitally signing electronic documents using a digital signature Rakowicz in view of Hirson’s electronic document processing system, an electronic document generation mechanism to A document management system trains a machine learned model to rank text suggestions as taught by Hegardh in order to ensure that security policies and authorizations constraints specific to the documents sensitivity.
The motivation is to reduce the risk of unauthorized or improper signing actions mitigates fraud and ensures adherence to organizational regulatory standards.
Regarding Claim 15:
Rakowicz discloses:
The method of claim 11…
Rakowicz does not disclose:
wherein determining the ranking based on the second model further comprises: identifying, by the one or more processors, the second model trained with machine learning on training data related to historical performance data of each of the plurality of candidate electronic signatures
Hegardh discloses:
wherein determining the ranking based on the second model further comprises: identifying, by the one or more processors, the second model trained with machine learning on training data related to historical performance of the plurality of candidate electronic signatures(Hegardh, [0014], A document management system enables a party (e.g., individuals, organizations, etc.) to create and send documents to one or more receiving parties for negotiation, collaborative editing, electronic execution (e.g., via electronic signatures), [0016], The methods described herein use machine learning to improve the document generation experience for users of the document management system. A user provides initial text input into a contract document. The document management system uses a machine learned model to rank a set of predictive text suggestions based on a likelihood that each suggestion will be selected to complete the initial text input. [0017], the system environment 100 includes a document management system 110, which has a target contract document 120 and historical contract documents 125, users 130A-B, and corresponding client devices 140A-B)).
Before the effective filing date of the claimed invention, it would have been obvious to one with ordinary skill in the art to modify Rakowicz in view of Hirson’s digitally signing electronic documents using a digital signature Rakowicz in view of Hirson’s electronic document processing system, an electronic document generation mechanism to A document management system trains a machine learned model to rank text suggestions as taught by Hegardh in order to incorporate past authorization outcomes, geographic anomalies or misuse patterns that are historically less prone to fraud or unauthorized use.
The motivation is to enhance the security posture of the system by favoring electronic signature that demonstrate consistent adherence to access policies and behavioral norms, thereby reducing the likelihood of signature, spoofing or policy violations within the system.
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Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. 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 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.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to MAYASA SHAAWAT whose telephone number is (571)272-3939. The examiner can normally be reached on M-F, 8 AM TO 5 PM.
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/MAYASA A. SHAAWAT/Examiner, Art Unit 2433
/JEFFREY C PWU/Supervisory Patent Examiner, Art Unit 2433
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