Prosecution Insights
Last updated: July 17, 2026
Application No. 18/734,931

STATE MACHINE OPERATION FOR NON-DISRUPTIVE UPDATE OF A DATA MANAGEMENT SYSTEM

Non-Final OA §101§102
Filed
Jun 05, 2024
Priority
Sep 19, 2022 — continuation of 12/032,944
Examiner
NAHAR, QAMRUN
Art Unit
2199
Tech Center
2100 — Computer Architecture & Software
Assignee
Rubrik Inc.
OA Round
1 (Non-Final)
88%
Grant Probability
Favorable
1-2
OA Rounds
1y 0m
Est. Remaining
98%
With Interview

Examiner Intelligence

Grants 88% — above average
88%
Career Allowance Rate
621 granted / 705 resolved
+33.1% vs TC avg
Moderate +10% lift
Without
With
+9.8%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
13 currently pending
Career history
724
Total Applications
across all art units

Statute-Specific Performance

§101
5.9%
-34.1% vs TC avg
§103
47.4%
+7.4% vs TC avg
§102
34.4%
-5.6% vs TC avg
§112
7.4%
-32.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 705 resolved cases

Office Action

§101 §102
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 . Claims 1-20 have been examined. 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 19-20 are rejected under 35 U.S.C. 101 because the claimed invention is directed to non-statutory subject matter. Claim 19 reciting a “non-transitory, computer-readable medium”, is not limited to tangible storage devices in view of par. 0124, in the instant specification, which suggests that such a medium may be a carrier wave or transmission medium (intangible). Accordingly, claim 19 does not recite tangible manufactures, and are non-statutory subject matter. As per claim 20, this claim is rejected for failing to cure the deficiencies of the above rejected base claim 19. Claim Rejections - 35 USC § 102 The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – (a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention. Claim(s) 1-3, 14-15 and 19-20 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Butt (US 7,827,544). Per Claim 1: Butt teaches: - instantiating a first state machine that is associated with updating a cluster of a plurality of nodes and is configured to monitor an update procedure at a cluster level that spans the plurality of nodes; instantiating one or more second state machines that are associated with updating the cluster of the plurality of nodes and are configured to monitor the update procedure at a node level (“… FIG. 4 illustrates an update flow process. The flow process of FIG. 4 provides a summary of the information presented in FIG. 3, but with reference to the physical updateable elements rather than the code packages. As mentioned, states S-1 to S-8 can be considered package states, relating to distribution of a code package, and states S-9 to S-17 can be considered activate states, relating to the activation of a distributed code package. The power component is the first element that is updated. The package states are traversed for the power component, and then the activate states. The service processor groups are processed next. The package states are traversed, and then the activate states. The HDDs are processed next. The package states are traversed, and then the activate states. Further details regarding the activate states for the HDD are provided in FIG. 5. …” in column 7, line 55 to column 8, line 3) - and performing, based at least in part on instantiating the first state machine and the one or more second state machines, the update procedure for the cluster of the plurality of nodes, wherein: a state of the first state machine reflects a state of the cluster of the plurality of nodes, and one or more states of the one or more second state machines reflect respective one or more states of respective one or more nodes of the plurality of nodes (“… FIG. 5 illustrates activation states for the update flow process of FIG. 5, for servers S0 and S1. In particular, FIG. 5 provides further details regarding the activate states for the HDDs. The process shown represents the details of the actions referred to by the notation "Activate states S-9 to S-17" in FIG. 4. Recalling that states S-9 to S-17 are considered activate states, the actions of the first of these states (S-9) is carried out to activate the code package for AIX for S0, then the code package for AIX PTF for S0, then the code package for AIX EFIX for S0, then the code package for AIX for S1, then the code package for AIX PTF for S1, then the code package for AIX EFIX for S1, then the code package for the SFI for S0, and finally the code package for the SFI for S1. The process is repeated accordingly until the last activate state (S-17) is reached. Again, the actions of the state S-17 are carried out, thereby completing the activation of the HDDs on S0 and S1. The process of FIG. 5 can be modified to include additional severs accordingly. …” in column 8, lines 21-38). Per Claim 2: Butt teaches: - wherein the update procedure comprises serially updating subsets of the plurality of nodes from a first version to a second version (column 8, lines 21-38). Per Claim 3: Butt teaches: - designating one or more synchronization points in the update procedure (column 8, lines 21-38). Per Claims 14-15: These are system versions of the claimed method discussed above (claims 1 and 3, respectively), wherein all claim limitations also have been addressed and/or covered in cited areas as set forth above. Thus, accordingly, these claims are also anticipated by Butt. Per Claims 19-20: These are medium versions of the claimed method discussed above (claims 1 and 3, respectively), wherein all claim limitations also have been addressed and/or covered in cited areas as set forth above. Thus, accordingly, these claims are also anticipated by Butt. Allowable Subject Matter Claims 4-13 and 16-18 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Excoffier (US 2012/0222026) teaches a method for updating elements in a data storage using predefined state machine. Any inquiry concerning this communication or earlier communications from the examiner should be directed to QAMRUN NAHAR whose telephone number is (571)272-3730. The examiner can normally be reached Monday - Friday 8-4pm. 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) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Lewis Bullock can be reached on (571)272-3759. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /QAMRUN NAHAR/Primary Examiner, Art Unit 2199
Read full office action

Prosecution Timeline

Jun 05, 2024
Application Filed
Jun 10, 2026
Non-Final Rejection mailed — §101, §102 (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

1-2
Expected OA Rounds
88%
Grant Probability
98%
With Interview (+9.8%)
3y 2m (~1y 0m remaining)
Median Time to Grant
Low
PTA Risk
Based on 705 resolved cases by this examiner. Grant probability derived from career allowance rate.

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