DETAILED ACTION
1. This is a Non-Final Office Action Correspondence in response to RCE amendments/arguments for U.S. Application No. 18/787022 filed on February 24, 2026.
Continued Examination Under 37 CFR 1.114
2. A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.
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 .
Applicant
3. Applicant is encouraged to contact the Examiner in hopes of reaching a resolution in light of compact prosecution.
On Pgs. 13-15 of remarks in regards to 35 U.S.C. 103, relating to claim 1, Applicant argues the amended claims.
Examiner replies that a new reference was introduced to teach the amended limitations. 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.
Claim Rejections - 35 USC § 103
4. 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.
5. 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.
6. Claim(s) 1-20 is/are rejected under 35 U.S.C. 103 as being unpatentable by Dudani et al. U.S. Patent Application Publication No. 2019/0266256 (herein as ‘Dudani’) and further in view of Williams et al. U.S. Patent Application Publication No. 2003/0108054 (herein as ‘Williams’) and Fridrich U.S. Patent Application Publication No. 2009/0228525 (herein ‘Fridrich’).
As to claim 1 Dudani teaches a computer-implemented method for electronic document management in a computing environment, the computer-implemented method comprising:
receiving, at an electronic document management system (EDMS) repository, a request to store a first electronic document (Par. 0037 and Fig. 3 Dudani discloses receiving a document to store);
determining, by a software module executed by a processor coupled to a memory of the computing environment, a business unit corresponding to the first electronic document (Par. 0037 Dudani discloses receiving a document to store, the document can be generated within the document portal. Fig. 4 Dudani discloses different document attributes. The created by Admin portal is seen as the business unit);
determining, by the software module, a first document type for the first electronic document (Par. 0038 Dudani discloses determining the document type using the metadata);
wherein the first document type is associated with an event-based retention policy of a plurality of different retention policies (Par. 0059 Dudani discloses a variety of retention policies);
Dudani teaches generating a mapping entry in a mapping data structure for the first electronic document, wherein the mapping entry includes at least the business unit, first document type, the attribute identifier, the system of record identifier, and a first duration value corresponding to the event-based retention policy (Par. 0045, 0046 and Fig. 4, and Fig. 5 Dudani discloses the different attributes and identifiers and the retention polices);
identifying, based on a match of the comparison, one or more selected mapping entries from the plurality of mapping entries; (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired. Par. 0062 Dudani discloses after documents are deleted the documents remaining are given an updated retention policy. Fig. 8 and Fig. 9 Dudani discloses a retention date and of 5+ years or hold date. These dates are seen as the retention expiration date);
Dudani does not teach but Williams teaches determining, by the software module, a system of record identifier, and an attribute identifier for the first electronic document (Par. 0036 Williams discloses the document is associated with a last updated time stamp, and there is rule that all records with a predetermined timestamps must be deleted. The timestamp associated with the record is seen as the record identifier. The predetermined delete time is seen as the attribute identifier);
Williams teaches receiving an event-based tracking entry of an event tracking data structure, wherein the event-based tracking entry corresponds to a particular event occurring and correspond to a particular system of record of a plurality of different system of records; comparing a tracking system of record identifier and a tracking attribute identifier, from the event-based tracking entry, with a plurality of mapping entries in the mapping data structure (Par. 0036 Williams discloses the document is associated with a last updated time stamp, and there is rule that all records with a predetermined timestamps must be deleted. The timestamp associated with the record is seen as the record identifier. The predetermined delete time is seen as the attribute identifier);
Dudani and Williams are analogous art because they are in the same field of endeavor, record processing. It would have been obvious to one of ordinary skill in the art, before the effective filing date, to modify the document processing of Dudani to include the timestamp deletion of Williams, to allow for more effective data performance (Par. 0002-0005 Williams).
Dudani in combination with Williams does not teach but Fridrich teaches and a first duration value corresponding to the event-based retention policy that has an associated first retention clock, wherein the first retention clock is triggered to start on a first event date when an first event or first action associated with the first electronic document occurs, and wherein the first event date is a first future date in relation to when the first electronic document is stored at the EDMS repository (Par. 0049-0050 Fridrich discloses the retention schedule scheduling a first trigger event that has a global retention rule and an associated exception rule. The first retention clock is seen as the global retention rule. The first event is seen as the first event);
and updating each of the selected mapping entry , corresponding to a particular electronic document to include a first retention expiration date that is determined based on a particular event-based retention policy and a particular duration value stored in selected mapping entry, wherein the particular event-based retention policy has an associated particular retention clock that is (1) triggered to start when a second event or second action occurs at a second future date in relation to the particular electronic document being stored and (2) ends on the first retention expiration date (Par. 0049-0050 Fridrich discloses the retention schedule scheduling a second event. The second event has an associated exception rule. The global retention rule is 10 years. The first retention expiration date is seen as the global retention rule. The exception rule states a document should be retained for 4 years after 8 years has elapsed of a 10-year global retention rule period. Examiner states based upon MPEP 2144.05 it is obvious that the system can select an exception rule that states a document should be retained for only 2 years after 8 years to coincide with retention ending in 10-year period global period. Selecting a 2-year period is seen as the document having a retention expiration date that ends on the first retention expiration date).
Dudani and Fridrich are analogous art because they are in the same field of endeavor, record processing. It would have been obvious to one of ordinary skill in the art, before the effective filing date, to modify the document processing of Dudani to include the retention policy of Fridrich, to allow for more effective data performance (Par. 0002-0006 Fridrich).
As to claim 2 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 1.
In addition Dudani teaches further comprising: determining the retention expiration date based on a summation of the particular duration value, (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired).
As to claim 3 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 1.
In addition Dudani teaches further comprising: deleting a selected document, corresponding to each of the one or more selected mapping entries, from the EDMS repository on or after the first retention expiration date, or anonymizing the selected document, corresponding to each of the one or more selected mapping entries, in the EDMS repository on or after the first retention expiration date (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired. Par. 0062 Dudani discloses after documents are deleted the documents remaining are given an updated retention policy).
As to claim 4 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 1.
In addition Dudani teaches wherein the plurality of different retention policies includes event-based types of retention policies and time-based types of retention policies, (Par. 0043 Dudani discloses time based purging of the documents); and the event-based retention policy is one of the event-based types of retention policies, and wherein the event-based types of retention policies have different requirements for retaining and/or destroying stored electronic documents (Par. 0059 Dudani discloses retention policies are based upon the location of the document, such as North American and Europe, time and metadata).
As to claim 5 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 1.
In addition Dudani teaches and wherein the particular retention clock expires on the first retention expiration date that is a summation of an event date on which the particular event occurred and the particular duration value (Par. 0038 Dudani discloses date of creation is associated with the document. The date of creation is seen as the event date triggers).
As to claim 6 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 1.
In addition Dudani teaches further comprising:
determining, by the software module, a second document type for a second electronic document stored at the EDMS repository (Par. 0049 Dudani discloses document types);
determining, by the software module, that the second document type is associated with a time-based retention policy of the plurality of different retention policies (Par. 0059 Dudani discloses retention policies are based upon the location of the different document, such as North American and Europe, time and metadata).
and generating a time-based entry in the mapping data structure for the second electronic document, wherein the time-based entry includes at least the second document type and a second retention expiration date that is based on a second duration value that is derived from the time-based retention policy, wherein the second retention expiration date is derived based on a store date on which the second electronic document is stored at the EDMS repository (Par. 0059 Dudani discloses retention policies are based upon the location of the document, such as North American and Europe, time and metadata).
As to claim 7 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 1.
In addition Dudani teaches further comprising: determining, by the software module, a label that corresponds to the first document type; and utilizing the label to identify the system of record, for the first document, in a record management system that stores a mapping between a plurality of labels and a plurality of system of records (Par. 0059 Dudani discloses different retention policies are based upon the location of the document, such as North American and Europe, time and metadata of different document types).
As to claim 8 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 1.
In addition Dudani teaches determining, by the software module, a label that corresponds to the first document type; and utilizing the label to identify the first duration value, for the first document, in a record management system that stores a mapping between a plurality of labels and a plurality of different duration values for the plurality of different retention policies (Par. 0059 Dudani discloses different retention policies are based upon the location of the document, such as North American and Europe, time and metadata of different document types).
As to claim 9 Dudani teaches a system for electronic document management in a computing environment, the system comprising: a memory (Par. 0042 Dudani discloses a memory); ; a processor coupled to a memory, the processor executing a software module configured to: (Par. 0047 Dudani discloses a processor);
receive a request to store a first electronic document at an electronic document management system (EDMS) repository (Par. 0037 and Fig. 3 Dudani discloses receiving a document to store);
determine a business unit corresponding to the first electronic document (Par. 0037 Dudani discloses receiving a document to store, the document can be generated within the document portal. Fig. 4 Dudani discloses different document attributes. The created by Admin portal is seen as the business unit);
determine a first document type for the first electronic document (Par. 0038 Dudani discloses determining the document type using the metadata);
wherein the first document type is associated with an event-based retention policy of a plurality of different retention policies (Par. 0059 Dudani discloses a variety of retention policies);
Dudani teaches generate a mapping entry in a mapping data structure for the first electronic document, wherein the mapping entry includes at least the business unit, the first document type, the attribute identifier, the system of record identifier, and a first duration value corresponding to the event-based retention policy (Par. 0045, 0046 and Fig. 4, and Fig. 5 Dudani discloses the different attributes and identifiers and the retention polices);
Dudani teaches identify, based on a match of the comparison, selected mapping entry from the plurality of mapping entries; (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired. Par. 0062 Dudani discloses after documents are deleted the documents remaining are given an updated retention policy).
Dudani does not teach but Williams teaches determine a system of record identifier and an attribute identifier for the first electronic document (Par. 0036 Williams discloses the document is associated with a last updated time stamp, and there is rule that all records with a predetermined timestamps must be deleted. The timestamp associated with the record is seen as the record identifier. The predetermined delete time is seen as the attribute identifier);
Williams teaches receive an event-based tracking entry of an event tracking data structure, wherein the event-based tracking entry corresponds to a particular event occurring and corresponds to at a particular system of record of a plurality of different system of records; compare a tracking system of record identifier and a tracking attribute identifier, from the event-based tracking entry, with a plurality of mapping entries in the mapping data structure (Par. 0036 Williams discloses the document is associated with a last updated time stamp, and there is rule that all records with a predetermined timestamps must be deleted. The timestamp associated with the record is seen as the record identifier. The predetermined delete time is seen as the attribute identifier);
Dudani and Williams are analogous art because they are in the same field of endeavor, record processing. It would have been obvious to one of ordinary skill in the art, before the effective filing date, to modify the document processing of Dudani to include the timestamp deletion of Williams, to allow for more effective data performance (Par. 0002-0005 Williams).
Dudani in combination with Williams does not teach but Fridrich teaches and a first duration value corresponding to the event-based retention policy that has an associated first retention clock, wherein the first retention clock is (1) triggered to start on a first event date when an first event or first action associated with the first electronic document occurs, and wherein the first event date is a first future date in relation to when the first electronic document is stored at the EDMS repository (Par. 0049-0050 Fridrich discloses the retention schedule scheduling a first trigger event that has a global retention rule and an associated exception rule. The first retention clock is seen as the global retention rule. The first event is seen as the first event);
and update selected mapping entry corresponding to a particular electronic document, to include a first retention expiration date that is determined based on a particular even based retention policy and a particular duration value stored in selected mapping entry wherein the particular event-based retention policy has an associated particular retention clock that is (1) triggered to start when a second event or second action occurs at a second future date in relation to the particular electronic document being stored and (2) ends on the first retention expiration date (Par. 0049-0050 Fridrich discloses the retention schedule scheduling a second event. The second event has an associated exception rule. The global retention rule is 10 years. The first retention expiration date is seen as the global retention rule. The exception rule states a document should be retained for 4 years after 8 years has elapsed of a 10-year global retention rule period. Examiner states based upon MPEP 2144.05 it is obvious that the system can select an exception rule that states a document should be retained for only 2 years after 8 years to coincide with retention ending in 10-year period global period. Selecting a 2-year period is seen as the document having a retention expiration date that ends on the first retention expiration date).
Dudani and Fridrich are analogous art because they are in the same field of endeavor, record processing. It would have been obvious to one of ordinary skill in the art, before the effective filing date, to modify the document processing of Dudani to include the retention policy of Fridrich, to allow for more effective data performance (Par. 0002-0006 Fridrich).
As to claim 10 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 9.
In Dudani teaches wherein the software module further configured to: determine the first retention expiration date based on a summation of the particular duration value, and an event date on which the particular event occurred causing the generation of the event-based tracking entry for the event tracking data structure (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired).
As to claim 11 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 9.
In addition Dudani teaches wherein the software module further configured to: delete a selected document, corresponding to each of the one or more selected mapping entries, from the EDMS repository on or after the retention expiration date, or anonymize the selected document, corresponding to each of the one or more selected mapping entries, in the EDMS repository on or after the first retention expiration date (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired. Par. 0062 Dudani discloses after documents are deleted the documents remaining are given an updated retention policy).
As to claim 12 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 9.
In addition Dudani teaches wherein the plurality of different retention policies includes event-based types of retention policies and time-based types of retention policies (Par. 0043 Dudani discloses time based purging of the documents);
and the event-based retention policy is one of the event-based types of retention policies, and wherein the event-based types of retention policies have different requirements for retaining and/or destroying stored electronic documents (Par. 0059 Dudani discloses retention policies are based upon the location of the document, such as North American and Europe, time and metadata).
As to claim 13 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 9.
In addition Dudani teaches and wherein the particular retention clock expires on the first retention expiration date that is a summation of an event date on which the particular even occurred and the particular duration value (Par. 0038 Dudani discloses date of creation is associated with the document. The date of creation is seen as the event date triggers).
As to claim 14 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 9.
In addition Dudani teaches wherein the software module further configured to: determine a second document type for a second electronic document stored at the EDMS repository (Par. 0049 Dudani discloses document types);
determine that the second document type is associated with a time-based retention policy of the plurality of different retention policies (Par. 0059 Dudani discloses retention policies are based upon the location of the different document, such as North American and Europe, time and metadata);
and generate a time-based entry in the mapping data structure for the second electronic document, wherein the time-based entry includes at least the second document type and a second retention expiration date that is based on a second duration value that is derived from the time-based retention policy, wherein the second retention expiration date is derived based on a store date on which the second electronic document is stored at the EDMS repository (Par. 0059 Dudani discloses retention policies are based upon the location of the document, such as North American and Europe, time and metadata).
As to claim 15 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 9.
In addition Dudani teaches wherein the software module further configured to: determine a label that corresponds to the first document type; and utilize the label to identify the system of record, for the first document, in a record management system that stores a mapping between a plurality of labels and a plurality of system of records (Par. 0059 Dudani discloses different retention policies are based upon the location of the document, such as North American and Europe, time and metadata of different document types).
As to claim 16 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 9.
In addition Dudani teaches wherein the software module further configured to: determine a label that corresponds to the first document type; and utilize the label to identify the first duration value, for the first document, in a record management system that stores a mapping between a plurality of labels and a plurality of different duration values for the plurality of different retention policies (Par. 0059 Dudani discloses different retention policies are based upon the location of the document, such as North American and Europe, time and metadata of different document types).
As to claim 17 Dudani teaches a computer-implemented method for electronic document management in a computing environment, the computer-implemented method comprising:
receiving, by a software module executed by a processor, an event based tracking entry from an event tracking data structure (Par. 0037 and Fig. 3 Dudani discloses receiving a document to store);
Dudani teaches identifying, by the software module and based on the comparison, selected event-based entries from the plurality of event-based entry, wherein selected event-based entries includes event-based information that substantially matches the system of record identifier and the attribute identifier; (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired. Par. 0062 Dudani discloses after documents are deleted the documents remaining are given an updated retention policy);
Dudani does not teach but Williams teaches wherein the event based tracking entry is generated for storage in the event tracking data structure in response to a particular event occurring and corresponding to a particular system of record of a plurality of different system of records, wherein the event-based tracking entry includes a system of record identifier for a system of record where the event occurred, an attribute identifier, and an event date indicating a date on when the event occurred (Par. 0036 Williams discloses the document is associated with a last updated time stamp, and there is rule that all records with a predetermined timestamps must be deleted. The timestamp associated with the record is seen as the record identifier. The predetermined delete time is seen as the attribute identifier);
Williams teaches comparing, by the software module, the system of record identifier and the attribute identifier, from the event-based tracking entry, to a plurality of different event-based entries of an event-based mapping data structure stored at an electronic document management system (EDMS) repository, wherein the EDMS repository stores a plurality of different electronic documents associated with a plurality of different system of records (Par. 0036 Williams discloses the document is associated with a last updated time stamp, and there is rule that all records with a predetermined timestamps must be deleted. The timestamp associated with the record is seen as the record identifier. The predetermined delete time is seen as the attribute identifier);
Dudani and Williams are analogous art because they are in the same field of endeavor, record processing. It would have been obvious to one of ordinary skill in the art, before the effective filing date, to modify the document processing of Dudani to include the timestamp deletion of Williams, to allow for more effective data performance (Par. 0002-0005 Williams).
Dudani in combination with Williams does not teach but Fridrich teaches and updating, by the software module, selected event-based entry to include a retention expiration date that is based on an event-based retention policy that includes an associated retention clock that is (1) triggered to start on an event date that indicates when the particular event occurred and the event date is a future date in relation to when the particular document is stored at the EDMS repository and (2) ends on the retention expiration date, and wherein the retention expiration date is derived from a duration value that is included in the event-based information of the selected entry and the event date (Par. 0049-0050 Fridrich discloses the retention schedule scheduling a second event. The second event has an associated exception rule. The global retention rule is 10 years. The first retention expiration date is seen as the global retention rule. The exception rule states a document should be retained for 4 years after 8 years has elapsed of a 10-year global retention rule period. Examiner states based upon MPEP 2144.05 it is obvious that the system can select an exception rule that states a document should be retained for only 2 years after 8 years to coincide with retention ending in 10-year period global period. Selecting a 2-year period is seen as the document having a retention expiration date that ends on the first retention expiration date).
Dudani and Fridrich are analogous art because they are in the same field of endeavor, record processing. It would have been obvious to one of ordinary skill in the art, before the effective filing date, to modify the document processing of Dudani to include the retention policy of Fridrich, to allow for more effective data performance (Par. 0002-0006 Fridrich).
As to claim 18 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 17.
In addition Dudani teaches further comprising: determining, by the software module, the retention expiration date based on a summation of the duration value, and the event date (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired).
As to claim 19 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 17.
In addition Dudani teaches further comprising: deleting a selected document, corresponding to each of the one or more selected event-based entries, from the EDMS repository on or after the retention expiration date, or anonymizing the selected document, corresponding to each of the one or more selected event-based entries, in the EDMS repository on or after the retention expiration date (Par. 0055 and 0056 Dudani discloses receiving notification that the document expired. Par. 0062 Dudani discloses after documents are deleted the documents remaining are given an updated retention policy).
As to claim 20 Dudani in combination with Williams and Fridrich teaches each and every limitation of claim 17.
In addition Dudani teaches further comprising: determining, by the software module, a label that corresponds to a business unit and document type, included in the event-based information; and utilizing the label to identify the duration value in a record management system that stores a mapping between a plurality of labels and a plurality of different duration values for a plurality of different retention policies (Par. 0059 Dudani discloses different retention policies are based upon the location of the document, such as North American and Europe, time and metadata of different document types).
Conclusion
8. Any inquiry concerning this communication or earlier communications from the examiner should be directed to JERMAINE A MINCEY whose telephone number is (571)270-5010. The examiner can normally be reached 8am EST until 5pm EST.
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/J.A.M/ March 10, 2026Examiner, Art Unit 2159
/ALBERT M PHILLIPS, III/Primary Examiner, Art Unit 2159