DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Status of Claims
This action is in response to amendment filed on 10 December 2025. Claims 1, 22 and 23 have been amended. Claims 1-23 are currently pending and 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.
Step 1: The claims 1-21, are an apparatus, claims 22 is a method and claim 23 is a media. Thus, each independent claim, on its face, is directed to one of the statutory categories of 35 U.S.C. §101. However, the claims 1-23 are rejected under 35 U.S.C. 101 because the claimed invention is directed to an abstract idea without significantly more.
Step 2A-Prong 1: Independent claims (1, 22 and 23) recite parsing one or more utility reliability standards to identify compliance requirements associated with a utility; creating a compliance model based on the compliance requirements for each of the one or more utility reliability standards; determining utility data for a utility organization, the utility data associated with the compliance requirements; and generating one or more compliance tasks for the utility organization based on the compliance model and the utility data. These limitations fall within “Certain Methods Of Organizing Human Activity” for commercial or legal interactions (including agreements in the form of contracts; legal obligations; advertising, marketing or sales activities or behaviors; business relations). Simply put, these limitation merely describe keeping tracking of compliance tasks, inventories requirements and deadlines whin compliance task need to be performed and completed, which is clearly a business arrangement in its purest form. Claims 2-21 merely provide additional abstract concepts and narrow the abstract idea of claims 1, 22 and 23 . Further, claims 1-23 are recited at such a high level that the claimed steps amount to no more than a mental processes, such as concepts performed in the human mind
(including an observation, evaluation, judgment, opinion) because a human can select content
that meets a specified criteria, acknowledge an agreement to promote content and authorize
compensation.
Step 2A-Prong 2: Claims recites additional elements of a computer components. Theses computer components are recited at high level of generality (i.e. as a generic processor preforming a generic computer functions of processing data a generic memory for storing information or data) such that it amounts no more adding the words “apply it” (or an equivalent) with the judicial exception, or mere instructions to implement an abstract idea on a computer, or merely uses a computer as a tool to perform an abstract idea - see MPEP 2106.05(f).
Independent claims futher include a “parsing” to identify compliance requirement associated with utility. Thus, this “parsing” offer no more that identifying and presenting the compliance requirement as a result from meeting the reliably standard and any third party, and merely adds insignificant extra-solution activity to the judicial exception - see MPEP 2106.05(g)
Step 2B: The claim does not include additional elements that are sufficient to amount to
significantly more than the judicial exception. As discussed above with respect to integration of
the abstract idea into a practical application, the additional element of using the claimed
computer systems amount to no more than “apply” identifying compliance requirement assocted with utility.
Further, the courts have consistently recognized that merely presenting the results of
abstract processes of collecting and analyzing information, without more (such as identifying a
particular tool for presentation), is abstract as an ancillary part of such collection and analysis.
See, e.g., Content Extraction, 776 F.3d at 1347; Ultramercial, Inc. v. Hulu, LLC, 772 F.3d 709,
715 (Fed. Cir. 2014). Examiner asserts that “filtered personalized social news feed” is not
particular tool, thus it offers no more than presenting anything that includes the content that
resulted from the agreement between the social network service and any third party.
In sum, the combination of steps that parse data, create compliance model, determine and generating compliance task are at best is doing no more than generally linking the claims to network environment that sends and receives communications– see MPEP 2106.05(h). See also, OIP Techs., Inc., v. Amazon.com, Inc., 788 F.3d 1359, 1363, 115 USPQ2d 1090, 1093 (Fed. Cir.
2015) (sending messages over a network).
TLI Communications provides an example of a claim invoking computers and other
machinery merely as a tool to perform an existing process. The court stated that the claims
describe steps of recording, administration and archiving of digital images, and found them to be
directed to the abstract idea of classifying and storing digital images in an organized manner. 823
F.3d at 612, 118 USPQ2d at 1747. The court then turned to the additional elements of performing these functions using a telephone unit and a server and noted that these elements were being used in their ordinary capacity (i.e., the telephone unit is used to make calls and
operate as a digital camera including compressing images and transmitting those images, and the
server simply receives data, extracts classification information from the received data, and stores
the digital images based on the extracted information). 823 F.3d at 612-13, 118 USPQ2d at
1747-48.
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.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claim(s) 1-6 and 14-23 is/are rejected under 35 U.S.C. 103 as being unpatentable over Gajendragadkar et al (US Pub., No., 2015/0106279 A1) in view of Gwozdz et al (US Pub., 2022/0019624 A1)
With respect to claim 1, Gajendragadkar teaches an apparatus (paragraph [0007], discloses system and methods for determining compliance of an information technology organization ), comprising:
at least one memory; and at least one processor coupled with the at least one memory (Fig. 3, and paragraph [0027], discloses the compliance auditing system 202 may include at least one processor 302, an input/output (I/O) interface 304 and a memory 306, the at least one processor 302 may be implemented as one or more microprocessor. .memory.. ) and configured to cause the apparatus to:
parse one or more utility reliability standards to identify machine-readable compliance elements, wherein the compliance elements corresponds to compliance requirements associated with a utility (Fig. 4, 402 discloses parsing the compliance document to identify a set of clauses, Fig. 5, 502 discloses parsing the compliance document using natural language processing to identify the clause, 504 parsing the clauses to identify attributes associated with each clause , and paragraph [0008], discloses each clause from the compliance document are identified and paragraph [0009], discloses a set of rules and regulations stored in a compliance document .., the compliance document is parsed to determine a set of clauses … );
create a compliance model based on that associates the compliance requirements for each of the one or more utility reliability standards with the structured representations of the utility equipment (paragraphs [0008]-[0009], discloses attributes assocted with each clause from the compliance documents are identified, based on these attributes, a first set of controls [compliance model] is generated , each control is stored in the form of a standard template [utility reliability standard with the structured representations of the utility equipment] …, and paragraph [0020], discloses the attributes are stored in a standard template referred as controls.., checking the compliance of the target system ..);
determine utility data for a utility organization, the utility data associated with the compliance requirements structured representations of the utility equipment (Fig. 2, paragraph [0013], discloses determining compliance level of a target system, paragraph [0019], discloses determining whether a target system is compliant with the applicable rules and regulation and paragraph [0023], discloses a compliance auditing system 202 to determine compliance of the target system to the set of rules and regulations); and
generate one or more compliance tasks for the utility organization based on the compliance model and the utility data (Fig. 5, discloses parsing the compliance document using natural language processing to identify the clauses, paring the clause to identify attributes assocted with each clause and generating a first set of controls form the plurality of attributes assocted with the clauses ).
Gajendragadkar teaches the above elements including process utility documentation, the utility documentation comprising at least one of textual documentation or engineering diagrams(paragraphs [0009]-[0010], discloses determine a compliance of target system with respect to a set of rules and regulation stored in a compliance documents is .., attributes associated with each clause from the compliance document are identified. Based on these attributes, a first set of controls is generated from the set of clauses and paragraph [0019], discloses effective and efficient compliance auditing system and method for determining whether a target system is compliant with the applicable rules and regulation. The compliance auditing system also determines whether the target system is compliant to a set of internal policies associated with the target system.., rules and regulation in text format). Gajendragadkar failed to teach transform unstructured engineering diagrams into structured representations of utility equipment and to identify the utility equipment relevant to the compliance requirements.
However, Gwozdz teaches transform unstructured engineering diagrams into structured representations of utility equipment and to identify the utility equipment relevant to the compliance requirements(Fig. 1, paragraph [0010], discloses applying an artificial intelligence process to the corresponding set to documents, the artificial a set of documents , the artificial intelligence process to the corresponding step of: generating, for the at least one input file, a converted file in a data format that is standardized for a plurality of input file types and that includes at least one element, paragraph [0049], discloses manual review of the contracts to assess compliance with new regulation is one…, extract information and capture the information into structed files assess the information in the context of the amended regulation and/or business objective and answer question, product insight and identify patters and anomalies in the contracts ). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with analyzing and standardizing various types of input data such as structured data, semi-structured data, unstructured data, and images of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
With respect to claim 2, Gajendragadkar in view of Gwozdz teaches elements of claim 1, furthermore, Gajendragadkar teaches wherein the at least one processor is configured to cause the apparatus to generate a best fit model between the utility data for the utility organization and the compliance requirements(paragraphs [0008]-[0009], discloses attributes assocted with each clause from the compliance documents are identified, based on these attributes, a first set of controls [compliance model] is generated , each control is stored in the form of a standard template [utility reliability standard with the structured representations of the utility equipment] …, and paragraph [0020], discloses the attributes are stored in a standard template referred as controls[best fit].., checking the compliance of the target system ..).
With respect to claim 3, Gajendragadkar in view of Gwozdz teaches elements of claim 1, furthermore, Gajendragadkar teaches the apparatus wherein the utility data comprises equipment data, inventory data, or a combination thereof(paragraph [0031], discloses the data among other things servers as repository for storing data processes, received and generated by one or more model).
With respect to claim 4, Gajendragadkar in view of Gwozdz teaches elements of claim 1, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to generate compliance reports based on the one or more compliance tasks(paragraph [0056], discloses compliance report generator, compliance report generates details compliance report summarizing the details of the elements that are compliant and non-compliant to the rule and regulation specified by the compliance documents ).
With respect to claim 5, Gajendragadkar in view of Gwozdz teaches elements of claim 1, but failed to teach the apparatus wherein the at least one processor is configured to cause the apparatus to calculate a confidence score for the compliance reports
However. Gwozdz teaches the apparatus wherein the at least one processor is configured to cause the apparatus to calculate a confidence score for the compliance reports(Fig. 9, discloses the resulting determination and score are stored as annotations as Lume Elements of type key_ person_ notification and Fig. 10, discloses confidence score)) . Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with confidence score of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
With respect to claim 6, Gajendragadkar in view of Gwozdz teaches elements of claim 1, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to perform documentation gap analysis to determine whether the generated compliance reports comply with documentation requirements for the utility reliability standards(paragraph [0056], discloses compliance report generator, compliance report generates details compliance report summarizing the details of the elements that are compliant and non-compliant to the rule and regulation specified by the compliance documents).
With respect to claim 12, Gajendragadkar in view of Gwozdz teaches elements of claim 1, but failed to teach the apparatus wherein the at least one processor is configured to cause the apparatus to reconcile missing utility data associated with the compliance requirements.
However, Gwozdz wherein the at least one processor is configured to cause the apparatus to reconcile missing utility data associated with the compliance requirements (paragraph [0130], discloses If a governing law provision is missing, it may contribute to a high-risk determination). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with confidence score of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
With respect to claim 13, Gajendragadkar in view of Gwozdz teaches elements of claim 1, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to generate a compliance audit response in response to an audit request(paragraph [0025], discloses compliance auding system is implemented on a server .., paragraph [0043], discloses the compliance auditing system 202 for converting the clauses into first set of controls is illustrated, in accordance with an embodiment of the present subject matter and paragraph [0053], discloses the compliance auditing system ).
With respect to claim 14, Gajendragadkar in view of Gwozdz teaches elements of claim 1, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to parse engineering diagrams as part of the one or more compliance tasks to identify utility equipment associated with the one or more compliance tasks ((Fig. 4, 402 discloses parsing the compliance document to identify a set of clauses, Fig. 5, 502 discloses parsing the compliance document using natural language processing to identify the clause, 504 parsing the clauses to identify attributes associated with each clause , and paragraph [0008], discloses each clause from the compliance document are identified and paragraph [0009], discloses a set of rules and regulations stored in a compliance document .., the compliance document is parsed to determine a set of clauses … ).
With respect to claim 15, Gajendragadkar in view of Gwozdz teaches elements of claim 1, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to verify an accuracy of the parsed engineering diagrams and request additional information if the accuracy does not satisfy a threshold accuracy((Fig. 4, 402 discloses parsing the compliance document to identify a set of clauses, Fig. 5, 502 discloses parsing the compliance document using natural language processing to identify the clause, 504 parsing the clauses to identify attributes associated with each clause , and paragraph [0008], discloses each clause from the compliance document are identified paragraph [0009], discloses a set of rules and regulations stored in a compliance document .., the compliance document is parsed to determine a set of clauses … and paragraph [0049], discloses compliance level checking ).
With respect to claim 16, Gajendragadkar in view of Gwozdz teaches elements of claim 15, but failed to teach the apparatus wherein the at least one processor is configured to cause the apparatus to incorporate custom classification data for the parsed engineering diagrams.
However, Gwozdz teaches wherein the at least one processor is configured to cause the apparatus to incorporate custom classification data for the parsed engineering diagrams(paragraph [0061], discloses parsing the data structure can be done via the operation on the elements..). therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with analyzing and standardizing various types of input data such as structured data, semi-structured data, unstructured data, and images of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
With respect to claim 17, Gajendragadkar in view of Gwozdz teaches elements of claim 14, but filed to teach the apparatus wherein the at least one processor is configured to cause the apparatus to convert utility equipment information from the parsed engineering diagrams to match local utility equipment information.
However, Gwozdz teaches wherein the at least one processor is configured to cause the apparatus to convert utility equipment information from the parsed engineering diagrams to match local utility equipment information(Fig. 1, paragraph [0010], discloses applying an artificial intelligence process to the corresponding set to documents, the artificial a set of documents , the artificial intelligence process to the corresponding step of: generating, for the at least one input file, a converted file in a data format that is standardized for a plurality of input file types and that includes at least one element, paragraph [0049], discloses manual review of the contracts to assess compliance with new regulation is one…, extract information and capture the information into structed files assess the information in the context of the amended regulation and/or business objective and answer question, product insight and identify patters and anomalies in the contracts ). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with analyzing and standardizing various types of input data such as structured data, semi-structured data, unstructured data, and images of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
With respect to claim 18, Gajendragadkar in view of Gwozdz teaches elements of claim 14, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to generate a catalog of utility equipment associated with each of the one or more compliance tasks based on one or more inputs(paragraph [0050], discloses the determination strategy 22 consists of business rules applied to the related semantics 21 to answer specific questions. This includes document-level assessments (such as compliant vs
non-compliant), feature-level extraction (termination dates, key entities)).
With respect to claim 19, Gajendragadkar in view of Gwozdz teaches elements of claim 18, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to dynamically adjust a compliance cycle for a compliance task based on the catalog of utility equipment associated with each of the one or more compliance tasks(paragraph [0005], discloses service life cycle such).
With respect to claim 20, Gajendragadkar in view of Gwozdz teaches elements of claim 18, but filed to teach the apparatus wherein the at least one processor is configured to cause the apparatus to generate an interactive engineering diagram based on the compliance model and the parsed engineering diagrams
However, Gwozdz teaches he apparatus wherein the at least one processor is configured to cause the apparatus to generate an interactive engineering diagram based on the compliance model and the parsed engineering diagrams(Fig. 1, paragraph [0010], discloses applying an artificial intelligence process to the corresponding set to documents, the artificial a set of documents , the artificial intelligence process to the corresponding step of: generating, for the at least one input file, a converted file in a data format that is standardized for a plurality of input file types and that includes at least one element, paragraph [0049], discloses manual review of the contracts to assess compliance with new regulation is one…, extract information and capture the information into structed files assess the information in the context of the amended regulation and/or business objective and answer question, product insight and identify patters and anomalies in the contracts ). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with analyzing and standardizing various types of input data such as structured data, semi-structured data, unstructured data, and images of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
With respect to claim 21, Gajendragadkar in view of Gwozdz teaches elements of claim 11, furthermore, Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to generate one or more executable rules for the one or more compliance tasks, each of the one or more executable rules comprising one or more steps that trigger one or more actions for maintaining compliance with the one or more utility reliability standards(paragraph [0009], discloses a set of rules and regulations stored in a compliance document .., the compliance document is parsed to determine a set of clauses … and paragraph [0049], discloses compliance level checking ).
With respect to claim 22, Gajendragadkar teaches a method (paragraph [0022], discloses system and method ), comprising:
parsing one or more utility reliability standards to identify machine-readable compliance elements, wherein the compliance elements corresponds to compliance requirements associated with a utility (Fig. 4, 402 discloses parsing the compliance document to identify a set of clauses, Fig. 5, 502 discloses parsing the compliance document using natural language processing to identify the clause, 504 parsing the clauses to identify attributes associated with each clause , and paragraph [0008], discloses each clause from the compliance document are identified and paragraph [0009], discloses a set of rules and regulations stored in a compliance document .., the compliance document is parsed to determine a set of clauses … );
creating a compliance model based on that associates the compliance requirements for each of the one or more utility reliability standards with the structured representations of the utility equipment (paragraphs [0008]-[0009], discloses attributes assocted with each clause from the compliance documents are identified, based on these attributes, a first set of controls [compliance model] is generated , each control is stored in the form of a standard template [utility reliability standard with the structured representations of the utility equipment] …, and paragraph [0020], discloses the attributes are stored in a standard template referred as controls.., checking the compliance of the target system ..);
determining utility data for a utility organization, the utility data associated with the compliance requirements structured representations of the utility equipment (Fig. 2, paragraph [0013], discloses determining compliance level of a target system, paragraph [0019], discloses determining whether a target system is compliant with the applicable rules and regulation and paragraph [0023], discloses a compliance auditing system 202 to determine compliance of the target system to the set of rules and regulations); and
generating one or more compliance tasks for the utility organization based on the compliance model and the utility data (Fig. 5, discloses parsing the compliance document using natural language processing to identify the clauses, paring the clause to identify attributes assocted with each clause and generating a first set of controls form the plurality of attributes assocted with the clauses ).
Gajendragadkar teaches the above elements including process utility documentation, the utility documentation comprising at least one of textual documentation or engineering diagrams(paragraphs [0009]-[0010], discloses determine a compliance of target system with respect to a set of rules and regulation stored in a compliance documents is .., attributes associated with each clause from the compliance document are identified. Based on these attributes, a first set of controls is generated from the set of clauses and paragraph [0019], discloses effective and efficient compliance auditing system and method for determining whether a target system is compliant with the applicable rules and regulation. The compliance auditing system also determines whether the target system is compliant to a set of internal policies associated with the target system.., rules and regulation in text format). Gajendragadkar failed to teach transform unstructured engineering diagrams into structured representations of utility equipment and to identify the utility equipment relevant to the compliance requirements.
However, Gwozdz teaches transform unstructured engineering diagrams into structured representations of utility equipment and to identify the utility equipment relevant to the compliance requirements(Fig. 1, paragraph [0010], discloses applying an artificial intelligence process to the corresponding set to documents, the artificial a set of documents , the artificial intelligence process to the corresponding step of: generating, for the at least one input file, a converted file in a data format that is standardized for a plurality of input file types and that includes at least one element, paragraph [0049], discloses manual review of the contracts to assess compliance with new regulation is one…, extract information and capture the information into structed files assess the information in the context of the amended regulation and/or business objective and answer question, product insight and identify patters and anomalies in the contracts ). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with analyzing and standardizing various types of input data such as structured data, semi-structured data, unstructured data, and images of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
With respect to claim 23, Gajendragadkar teaches a computer program product, comprising a computer readable storge medium storing code, the code being configured to be executable by process to perform operation (paragraph [0007], discloses system and methods for determining compliance of an information technology organization ), comprising:
at least one memory; and at least one processor coupled with the at least one memory (Fig. 3, and paragraph [0027], discloses the compliance auditing system 202 may include at least one processor 302, an input/output (I/O) interface 304 and a memory 306, the at least one processor 302 may be implemented as one or more microprocessor. .memory.. ) and configured to cause the apparatus to:
parse one or more utility reliability standards to identify machine-readable compliance elements, wherein the compliance elements corresponds to compliance requirements associated with a utility (Fig. 4, 402 discloses parsing the compliance document to identify a set of clauses, Fig. 5, 502 discloses parsing the compliance document using natural language processing to identify the clause, 504 parsing the clauses to identify attributes associated with each clause , and paragraph [0008], discloses each clause from the compliance document are identified and paragraph [0009], discloses a set of rules and regulations stored in a compliance document .., the compliance document is parsed to determine a set of clauses … );
create a compliance model based on that associates the compliance requirements for each of the one or more utility reliability standards with the structured representations of the utility equipment (paragraphs [0008]-[0009], discloses attributes assocted with each clause from the compliance documents are identified, based on these attributes, a first set of controls [compliance model] is generated , each control is stored in the form of a standard template [utility reliability standard with the structured representations of the utility equipment] …, and paragraph [0020], discloses the attributes are stored in a standard template referred as controls.., checking the compliance of the target system ..);
determine utility data for a utility organization, the utility data associated with the compliance requirements structured representations of the utility equipment (Fig. 2, paragraph [0013], discloses determining compliance level of a target system, paragraph [0019], discloses determining whether a target system is compliant with the applicable rules and regulation and paragraph [0023], discloses a compliance auditing system 202 to determine compliance of the target system to the set of rules and regulations); and
generate one or more compliance tasks for the utility organization based on the compliance model and the utility data (Fig. 5, discloses parsing the compliance document using natural language processing to identify the clauses, paring the clause to identify attributes assocted with each clause and generating a first set of controls form the plurality of attributes assocted with the clauses ).
Gajendragadkar teaches the above elements including process utility documentation, the utility documentation comprising at least one of textual documentation or engineering diagrams(paragraphs [0009]-[0010], discloses determine a compliance of target system with respect to a set of rules and regulation stored in a compliance documents is .., attributes associated with each clause from the compliance document are identified. Based on these attributes, a first set of controls is generated from the set of clauses and paragraph [0019], discloses effective and efficient compliance auditing system and method for determining whether a target system is compliant with the applicable rules and regulation. The compliance auditing system also determines whether the target system is compliant to a set of internal policies associated with the target system.., rules and regulation in text format). Gajendragadkar failed to teach transform unstructured engineering diagrams into structured representations of utility equipment and to identify the utility equipment relevant to the compliance requirements.
However, Gwozdz teaches transform unstructured engineering diagrams into structured representations of utility equipment and to identify the utility equipment relevant to the compliance requirements(Fig. 1, paragraph [0010], discloses applying an artificial intelligence process to the corresponding set to documents, the artificial a set of documents , the artificial intelligence process to the corresponding step of: generating, for the at least one input file, a converted file in a data format that is standardized for a plurality of input file types and that includes at least one element, paragraph [0049], discloses manual review of the contracts to assess compliance with new regulation is one…, extract information and capture the information into structed files assess the information in the context of the amended regulation and/or business objective and answer question, product insight and identify patters and anomalies in the contracts ). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls of Gajendragadkar with analyzing and standardizing various types of input data such as structured data, semi-structured data, unstructured data, and images of Gwozdz in order to applying the engineering features applying machine learning , and reviewing results may be repeated to improve accuracy (see Gwozdz ,paragraph [0080]).
Claim(s) 7-11 are rejected under 35 U.S.C. 103 as being unpatentable over Gajendragadkar et al (US Pub., No., 2015/0106279 A1) in view of Gwozdz et al (US Pub., 2022/0019624 A1) and futher view of Barcelo et al (US Pub., No., 2011/0307957 A1)
With respect to claim 7, Gajendragadkar in view of Gwozdz teaches elements of claim 1, except wherein the at least one processor is configured to cause the apparatus to generate a compliance schedule for the one or more compliance tasks.
However, Barcelo teaches herein the at least one processor is configured to cause the apparatus to generate a compliance schedule for the one or more compliance tasks (Fig. 7, risk-based reconciliation schedule, paragraph [0046], discloses create a certification scheduled for revalidating entitlements and paragraph [0052], discloses risk score module comprise risk data , risk profiles , risk heuristics, risk score, reconciliation schedule and historical compliance failure data ). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for compliance auditing system of Gajendragadkar and review the contract to assess compliance of Gwozdz with a reconciliation schedule of Barcelo in order to specifies the frequency in which the reconciliation process is performed for a set of identity accounts based on the calculated risk score for each account(See, Barcelo, paragraph [0063]).
With respect to claim 8, Gajendragadkar in view of Gwozdz teaches elements of claim 7, furthermore Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to initiate a compliance cycle (paragraph [0065], discloses initially the compliance auditing system identifies a server as the elements assocted with the target system..). Gajendragadkar failed to teach the corrosinding compliance cycle is based on the compliance schedule.
However, Barcelo teaches wherein the at least one processor is configured to cause the apparatus to initiate a compliance cycle based on the compliance schedule(paragraph [0045], discloses they simply reprocess the same account data in the same manner for each audit cycle, and paragraph [0050], discloses platform the a centralizes and automates the lifecycle management of user’s access right on various end system). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for compliance auditing system of Gajendragadkar and review the contract to assess compliance of Gwozdz with a reconciliation schedule of Barcelo in order to specifies the frequency in which the reconciliation process is performed for a set of identity accounts based on the calculated risk score for each account(See, Barcelo, paragraph [0063]).
With respect to claim 9 , Gajendragadkar in view of Gwozdz teaches elements of claim 8, furthermore, Gajendragadkar teaches the apparatus wherein the compliance cycle has an associated tolerance level associated with completion of the compliance cycle(paragraph [0005], discloses meet standard compliance at each stage of a service life cycle such as design, build migrate, operate improve and govern.).
With respect to claim 10, Gajendragadkar in view of Gwozdz teaches elements of claim 8, furthermore Gajendragadkar teaches the apparatus wherein the at least one processor is configured to cause the apparatus to query personnel associated with the utility organization during the compliance cycle((paragraph [0005], discloses meet standard compliance at each stage of a service life cycle such as design, build migrate, operate improve and govern.).
With respect to claim 11, Gajendragadkar in view of Gwozdz teaches elements of claim 7, furthermore Gajendragadkar teaches the apparatus, wherein the at least one processor is configured to cause the apparatus to dynamically compliance cycle and extrinsic compliance data(paragraph [0005], discloses meet standard compliance at each stage of a service life cycle such as design, build migrate, operate improve and govern.). Tedeschi failed to teach the corrosinding dynamically analyze stored data adjust the compliance schedule based on output from a previous compliance cycle and extrinsic compliance data.
However, Barcelo adjust the compliance schedule based on output from a previous compliance cycle and extrinsic compliance data(paragraph [0046], discloses run on different reconciliation schedules). Therefore, it would have been obvious to the one ordinary skill in the art before the effective filing date of the claimed invention for compliance auditing system of Gajendragadkar and review the contract to assess compliance of Gwozdz with a reconciliation schedule of Barcelo in order to specifies the frequency in which the reconciliation process is performed for a set of identity accounts based on the calculated risk score for each account(See, Barcelo, paragraph [0063]).
Prior arts
Tedeschi (US Pub., No., 2018/0322292 A1) discloses systems and methods of the present invention provide for executing a first database query selecting a project objective data record storing a forecast maturity score and a forecast date earlier in time than a current date. The forecast maturity score defines a level of compliance with a cybersecurity framework and the forecast date identifies a date by which an organization will achieve the level of compliance.
Barcelo et al (US Pub., No., 2011/0307957 A1) disclose a computer implemented method, data processing system, and computer program product is provided for using compliance violation risk data about an entity to enable an identity management system to dynamically adjust the frequency in which the identity management system performs a reconciliation and compliance check of an identity account associated with the entity.
Response to Arguments
Applicant's arguments of 35 U.S.C 101 rejections with respect to claims 1-23 filed 10 December 2025 have been fully considered but they are not persuasive. Applicants’ arguments of the amened claims recite a patent-eligible technological improvement and are not directed to an abstract idea under frame work set for in the 2019 PEG, the October 2019 update, and the USPTO’s 2025 SME memorandum is not persuasive. The process designed to automate utility compliance—specifically transforming unstructured engineering diagrams into structured data and generating compliance tasks, the claim is "directed to" an abstract idea. The claims recites a mental process because the conversion of textual documentation and diagrams into "structured representations" can be characterized as a mental process (a human doing analysis) or a mathematical algorithm, which are ineligible exceptions. Futher, the claims also recite methods of organizing human activity because associating utility standards with equipment and generating compliance task is viewed as a business method (e.g., managing compliance) which is a common target for 101 rejection unless linked to a concrete technical improvement. Gathering data (transforming diagram) simply to put it into a computer program for analysis is deemed insignificant extra solution activity that does not make business patentable. Thus, the 35 U.S.C 101 rejections with respect claims 1-23 is maintained.
Applicant's arguments of 35 U.S.C 103 rejections with respect to claims 1-23 filed 10 December 2025 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Conclusion
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.
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/SABA DAGNEW/Primary Examiner, Art Unit 3621