`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`WASHINGTON, D. C. 20231
`
`dig/c
`
`LESS,
`
`3-1147
`jpgp~ué.
`
`In re application of:
`
`LAWRENCE B. LOCKWOOD
`
`) Examiner: Xuong M. Chung-Trans
`)
`) Art Unit: 2305
`)
`)
`)
`)
`)
`For: AUTOMATED MULTIMEDIA DATA)
`PROCESSING NETWORK
`)
`)
`
`Serial No: 08/418,772
`I
`I
`Filed: April 7, 1995
`
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`
`AMENDMENT
`
`Box Non-Fee Amendments (Pats)
`The Honorable Commissioner
`of Patents and Trademarks
`
`Washington, D. C. 20231
`
`Dear Sir:
`
`In response to the Office Action mailed February 3, 1997,
`
`please amend this application as indicated below:
`
`In The Specification
`
`On
`
`On
`
`On
`
`page 1,
`
`c/’/
`in the title, delete the comma after "Automated".
`
`page 2,
`
`line 5, add --of-- after "continuation".
`/
`
`page 6,
`
`line 13, replace the second "and" with --an--.
`
`In The Claims
`
`Amend Claims 1, 8, 16 and 17 as follows:
`.
`u
`f -
`.
`In Claim 1,
`line 1,
`add --mult1med1a-- after "automated",
`L///’
`and replace "network" with —-system--.
`
`In
`
`In
`
`0
`Claim 1,
`
`I
`‘/
`l
`line 50, replace "network" With --system--.
`
`Claim 1,
`
`line 21, replace "sequence" with --sequences--.
`
`In
`
`Claim 2,
`I
`In Claim 7,
`
`line 1, repifice "network" with —-system--.
`a /
`I
`lines 4-5,
`add a: hyphen between "audio" and
`
`"visual".
`
`..
`Lockwood Exh1b1t 2007
`
`GSIV.L0dflNOOd
`
`IPR2014-00025
`
`Lockwood Exhibit 2007
`GSI v. Lockwood
`IPR2014-00025
`
`
`
`0
`
`'
`
`76
`
`In Claim 8,
`
`/
`line 1,
`
`replace
`
`"A" with --An
`
`automated
`
`multimedia--.
`'m 8
`
`v//
`add - and outputting said query to said
`
`line 10
`
`7
`
`\
`
`t’
`
`used-- after "query".
`
`v/
`
`In Claim 8,
`
`line 4, delete "terminal".
`
`”I//
`1
`13.
`(Once Amended) The system of Claim 10, which further
`
`2
`
`comprises;
`
`/Mé
`C/ 4
`
`a storage means;
`means for addressing sgig [a] storage means with said
`
`5
`
`request message;_§pg
`
`6
`computer programs for controlling said various means.
`
`
`1
`
`2
`
`3
`
`4
`
`5
`
`{3’6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16.
`
`(Once Amended)
`
`An automated multimedia data processing
`
`[network] system which comprises:
`
`at least two computerized stations, each including:
`
`[a computerized installation;
`
`and] at least one [remote] access means;
`
`[said installation including:]
`
`a mass memory and a database stored in said mass
`
`memory;
`
`means
`
`for
`
`storing,
`
`processing,
`
`updating,
`
`and
`
`retrieving data [in response to coded requests from said remote
`
`access means];
`
`re ram means
`
`for
`
`controllin
`
`said
`
`storin
`
`processingl updating and retrieving data means
`
`in response to
`
`coded regpests entered on said access means;
`
`means,
`
`associated with said mass memory,
`
`for
`
`
`
`-16
`
`storing and retrieving textual and graphical data;
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`25
`
`26
`
`27
`
`28
`
`3O
`
`31
`
`32
`
`33
`
`34
`
`means
`
`for processing interrelated textual
`
`and
`
`graphical data describing a plurality of transaction options, and
`
`for selectively retrieving data from said mass memory;
`
`[a logical hierarchy of]
`
`interrelated textual and
`
`graphical data stored in said mass memory, and accessible through
`
`interrelated textual and graphical access path means;
`means for accepting and processing said requests
`
`according to backward—chaining and forward-chaining sequences;
`
`means
`
`responsive
`
`to said coded
`
`requests
`
`for
`
`automatically [answering and transmitting] displaying selected
`
`data [to said access means];
`
`means for interactively directing the operation of
`
`said various means [installation, data receiving and transmitting
`
`means],
`
`and of
`
`said mass memoryy
`
`said means
`
`for directing
`
`comprising means for holding an operational sequencing list and
`
`means
`
`responsive to the status of
`
`said [installation,] mass
`
`memory, and said various [data receiving and transmitting] meansy
`
`for controlling their operations[;]y
`
`17.
`
`(Once Amended)
`
`The [network]
`
`system of Claim 16 which
`
`further comprises:
`
`a computerized installation;
`
`wherein each of said stations
`
`[remote access means]
`
`comprises:
`
`means for entering and transmitting [said] requests to
`
`said installation;
`
`means for receiving [textual and graphical] data from
`
`
`
`. 9
`a,
`t“v10
`
`said installation; and
`
`means for dis la ing said [textual and graphical] data.
`
`REMARKS
`
`Claims 1-17 remain pending in this application.
`
`Rejection Under 35 use 112
`
`Explanation of the wording in Claims 1 and 16 specifically
`
`cited by the Examiner as
`
`lacking proper
`
`support
`
`and of
`
`the
`
`wording of Claim 8 is given below:
`
`CLAIM 1,
`
`lines 3-6:
`
`a computerized installation including a database, means for
`entering data into said database, and a program means for
`storing, processing, updating, and retrieving data items in
`response to coded requests from remote stations;
`
`p05, 1. 7-9:
`Fig.1: r 101, 104
`
`"The financial
`
`institution 101 is provided with a central
`
`processor 104
`
`(the "computerized installation") which is used
`
`primarily to process loan applications..." ("program means
`
`for
`
`processing").
`
`p.6, 1. 1-3:
`
`"The ‘memory 108 of
`
`the central processor
`
`104 holds some
`
`files 109 in which are stored information about the various loans
`
`available to customers..." (the "database").
`
`p.7, 1. 19-22:
`
`"Accepted loan information is transmitted to the central
`
`processor of the financial
`
`institution and stored in the active
`
`case file" ("program means for storing").
`
`p.5, 1. 10-p.6, 1.1:
`
`"The central processor 104 has a communication interface
`
`which allows it to access the various terminals 105 at the remote
`
`
`
`sites and be accessed by them at
`
`any time of
`
`the day.
`
`A
`
`communication control unit
`
`106 associated with the central
`
`processor
`
`104
`
`assures
`
`an orderly sending and
`
`receiving of
`
`information between the terminals and the central processor
`
`(the
`
`"means for entering data").
`
`The communication control unit 106
`
`provides for a quick transfer of batches of
`
`information to and
`
`from the terminals 105 under direct access memory mode. Direct
`
`access memory modes are achieved by means of high speed data
`
`exchange units such as those manufactured by Metacomp,
`
`Inc. of
`
`San Diego, California and sold. under
`
`the mark METAPAKS"
`
`(the
`
`"means for storing").
`
`p.6, 1.12-14:
`
`"Once a loan has been approved and accepted it is processed
`
`and monitored through an active case file 111"
`
`("program means
`
`for processing").
`
`p.10, 1.4-7:
`
`"The terminal
`
`then addresses the financial
`
`institution and
`
`requests 132 the prior loan quotation stored in the quoted case
`
`file 110 of the central processor 104."
`
`p.10, 1.16-17:
`
`"In the case where a previous quotation is found to be on
`
`file,
`
`that quotation is transferred..."
`
`("program means
`
`for
`
`retrieving data items in response to coded requests from remote
`
`stations").
`
`p.5, 1.22-p.6, 1.1:
`
`"The central processor 104 is also provided with a terminal
`
`monitor and update unit 107 which is programmed for periodically
`
`polling the various terminals 105 in order to verify their status
`
`
`
`and proper operation and to update the data stored in those
`
`terminals as may be required" ("program means for updating").
`
`CLAIM 1,
`
`lines 45-48:
`
`received from one of said
`responsive to an order
`means
`stations for updating data in said database including means
`for correlating to a particular person sets of data received
`from one of said stations;
`
`p.7, 1.19-25:
`
`"Accepted loan information is transmitted to the central
`
`processor of the financial
`
`institution and stored in the active
`
`case file 111.
`
`Information about
`
`loans which have not been
`
`accepted on the spot,
`
`are also transmitted to the financial
`
`institution and stored for a period of time in the quoted case
`
`file 110" ("new data correlated to a particular person").
`
`CLAIM 16,
`
`lines 9-11:
`
`means
`data;
`
`for
`
`storing, processing, updating,
`
`and retrieving
`
`The "access means" may
`
`include;
`
`the keyboard,
`
`the video
`
`screen, or the strip reader, and the overall (fictitious officer)
`
`graphical question and answer scheme.'
`
`The "means for storing" comprises the RAM memory 117.
`
`The "means for processing" comprises the data processor 113
`
`and its various peripherals.
`
`The "means for updating" is met by the storing in the RAM of
`
`data requested by means of
`
`the station keyboard such as
`
`a
`
`previously
`
`prepared
`
`loan
`
`quotation
`
`as
`
`explained
`
`in
`
`the
`
`specification (p.9, 1.26-p.10, 1.18).
`
`The "means for updating" refers, also to the maintenance of
`
`the active case file 111 which is updated with the entry of a new
`
`or modified quotation (see CLAIM 1 - LINES 45-48 above). All
`
`
`
`this is done in response to requests typed on the keyboard of one
`
`of the remote terminals.
`
`The
`
`"means
`
`for
`
`retrieving"
`
`refers to the hardware
`
`and
`
`software components that allows the addressing and outputting of
`
`information
`
`from the
`
`videodisc
`
`114,
`
`the
`
`RAM
`
`117
`
`or
`
`the
`
`installation mass storage 108 in response to a user's entry on
`
`the touch pad 119 as shown, for example,
`
`in the sequence 126-135
`
`of Figure 3.
`
`CLAIM 16,
`
`lines 12-13:
`
`for controlling said storing, processing,
`program means
`updating and retrieving data means
`in response to coded
`requests entered on said access means.
`
`"Progranl means"
`
`refers to the computer program operating
`
`routines, and the program processing hardware in each terminal.
`
`p.8, 1.2-3:
`
`"The operation of
`
`the terminal
`
`is controlled by a data
`
`processor 113".
`
`p.8, 1.19-21:
`
`"The RAM memory can also be used to store some of
`
`the
`
`operating routines necessary for the operation of the terminal."
`
`The program reacts to requests entered via the touch pad, as
`
`when a previous quotation is requested and retrieved once the
`
`user has entered an affirmative answer on the touch pad when
`
`asked whether a previous quotation has been prepared (p.9, 1.26 -
`
`p.10, 1.7) .
`
`CLAIM 16,
`
`lines 19-21:
`
`interrelated textual and graphical data stored in said mass
`memory,
`and accessible through interrelated textual
`and
`graphical access path means;
`
`Each station comprises a videodisc 114 and a RAM memory 117
`
`
`
`O
`
`0
`
`into which data can be stored.
`
`These data include graphical
`
`information in the form of the "fictitious officer" and textual
`
`data such as those that are "periodically sent to the terminals"
`
`p.7, 1.3-4:
`
`These data are "interrelated"
`
`since the graphical path
`
`(fictitious officer)
`
`is used to dispense the textual data (loan
`
`information) and textual paths lead to graphical data.
`
`The display of graphical
`
`information such
`
`as
`
`a video
`
`presentation of a particular loan by the "fictitious officer",
`
`and various
`
`types of
`
`textual data lead to the retrieval of
`
`textual presentations of alternate options.
`
`"The applicant
`
`is
`
`first
`
`asked (by the audio-visual display of
`
`the "fictitious
`
`officer")
`
`to select 136 the type loan (words and numbers)
`
`in
`
`which he is interested" (p.10, 1.21-22).
`
`The system presents a search path that can be characterized
`
`as graphical or based on graphics.
`
`First,
`
`the terminal
`
`is
`
`programmed
`
`to audio-visually elicit
`
`from the
`
`customer
`
`the
`
`information necessary to provide a loan quotation.
`
`Thus,
`
`the
`
`search and selection of the appropriate loans'
`
`textual quotations
`
`are performed through an audio-visual means,
`
`i.e., a graphical
`
`means.
`
`The entire presentation originates from multiple graphical
`
`entry paths,
`
`i.e., English or Spanish.
`
`"Once
`
`the system is
`
`activated 125 the recording of an image and sound of a fictitious
`
`loan officer... appears on the video screen 118.
`
`The fictitious
`
`loan officer takes the applicant
`
`through a language selection
`
`routine 126—129.
`
`In this case,
`
`the applicant is asked in both
`
`English and Spanish in what
`
`language the loan transaction is to
`
`
`
`be conducted" (p.9, 1.5-22).
`
`CLAIM 16,
`
`lines 22-23:
`
`means for accepting and processing said requests according
`to backward-chaining and forward-chaining sequences;
`
`This wording refers to the complex search and retrieval
`
`routines more specifically discussed below.
`
`CLAIM 16,
`
`lines 24-26:
`
`responsive to said coded requests for automatically
`means
`displaying selected data;
`
`The entry on the keyboard of answers to the questions of the
`
`"fictitious officer" cause,
`
`for
`
`instance, display of
`
`a
`
`loan
`
`quotation.
`
`CLAIM 16,
`
`lines 27-33:
`
`said
`interactively directing the operation of
`for
`means
`for
`various means,
`and of
`said mass memory,
`said means
`directing comprising means
`for holding an operational
`sequencing list and means responsive to the status of said
`mass memory, and said various means, for controlling their
`operations.
`
`P08, 101-21:
`
`"Turning now to Figure 2,
`
`there is shown a block diagram of
`
`the various components of a terminal 105.
`
`The operation of the
`
`terminal
`
`is controlled by a data processor 113.
`
`To the left of
`
`the processor, various blocks represent the peripheral equipment
`
`which interfaces with the applicant.
`
`To
`
`the right of
`
`the
`
`processor there is shown a videodisc 114 on which are stored all
`
`the permanent data necessary for the operation of the terminal
`
`including the data necessary to effectuate the interactive and
`
`automatic
`
`request
`
`of
`
`information by
`
`the terminal
`
`from the
`
`applicant.
`
`A modem 115 provides a two-way communication channel
`
`with the financial institution 101 and the credit rating service
`
`103.
`
`The modem is controlled by the data processor 113
`
`and
`
`
`
`handles a hatch of
`
`information through a direct memory access
`
`unit 116,
`
`to and from a RAM memory 117. Thus,
`
`the RAM memory can
`
`be used to hold data obtained from the loan rate files 109 at the
`
`financial
`
`institution as well as applicant's financial profiles
`
`obtained from the credit rating service 103.
`
`The RAM memory can
`
`also be used to store some of the operating routines necessary
`
`for the operation of the terminal" ("control of memory").
`
`p.8, 1.3:
`
`"...the terminal is controlled by a data processor 113."
`
`p.8, 1.6-10:
`
`"...a videodisc 114 on which are stored all the permanent
`
`data necessary for the operation of the terminal
`
`including the
`
`data necessary to effectuate the
`
`interactive and
`
`automatic
`
`request of
`
`information by
`
`the terminal
`
`from the applicant"
`
`("holding operational sequences").
`
`p.9, 1.16-18:
`
`"...an image and sound of a fictitious loan officer is read
`
`from the videodisc 114
`
`and appears on the video screen 118"
`
`("control of displaying means").
`
`p.8, 1.19-21:
`
`"The RAM memory can also be used to store some of
`
`the
`
`operating routines necessary for the operation of the terminal."
`
`Drawing Figure 2
`
`(117) and Figure 5
`
`(148-161).
`
`CLAIM 8,
`
`lines 1-4:
`
`data
`automated multimedia
`An
`delivering information on request
`which comprises:
`
`system for
`processing
`to at
`least one user,
`
`at least one computerized station;
`
`The station corresponds to one of the computerized terminals
`
`10
`
`
`
`105 for delivering information on request.
`
`line 5:
`
`means for accepting a user's entry;
`
`The touch pad 119,
`
`the strip reader 122, and other hardware
`
`components, any of which allows the inputting of the user's data
`
`in conjunction with the software into the processor 113.
`
`lines 6-7:
`
`means
`data;
`
`for combining a user's entry with a set of stored
`
`There are many
`
`instances described in the specification
`
`where the terminal combines the user's entry with already stored
`
`data before moving to the next step.
`
`For
`
`instance, after the
`
`loan application is rejected because the amount exceeds
`
`the
`
`qualifications of the applicant, he.is asked to enter a lesser
`
`amount.
`
`The new amount entered by the applicant is then combined
`
`and analyzed with the applicant's eligibility data already in
`
`storage before going to the next query.
`
`That next query may be
`
`either "Select a lesser amount" or "Do you want to proceed with
`
`the loan", depending upon whether the newly entered amount meets
`
`the user's borrowing eligibility criteria (p.13,
`
`l.22-p.14, 1.3).
`
`line 8:
`
`means for delivering information to said user;
`
`The videoscreen 118, voice synthesizer 120,
`
`loudspeaker 121,
`
`printer
`
`123
`
`and associated controls may be used to deliver
`
`information to the user.
`
`lines 9-10:
`
`for
`combining,
`for
`said means
`to
`responsive
`means,
`formulating a query and outputting said query to said user.
`
`As explained above in connection with lines 6-7,
`
`a query
`
`11
`
`
`
`O
`
`O '
`
`e.g., "Select a lesser amount" is formulated in response to the
`
`combination of the last user's entry and stored eligibility data.
`
`The above demonstrates that the specification and drawings
`
`fully support the wording of the claims.
`
`ENABLEMENT
`
`The Examiner has
`
`rejected all
`
`the claims
`
`for
`
`lack of
`
`enablement under 35 USC 112 first paragraph, arguing that
`
`the
`
`disclosure is enabling only for claims limited to a: system or
`
`method for processing a loan and not to:
`
`A) an inventory exchange as claimed in Claims 1-7;
`
`B) an information searching system as claimed in Claims
`
`8—15; or
`
`C) an automated multimedia network as per Claims 16-17.
`
`A.
`
`In the first place,
`
`the specification discloses an
`
`apparatus or
`
`system comprising a plurality of
`
`computerized
`
`terminals 102,
`
`a computerized. central
`
`installation 101,
`
`and. a
`
`computerized credit rating service station 103.
`
`One computerized terminal coupled with either the central
`
`installation or
`
`the
`
`credit
`
`service
`
`station constitutes
`
`a
`
`"system".
`
`Furthermore, data sent
`
`from a terminal for storage in the
`
`central
`
`installation can be requested and retrieved by another
`
`terminal.
`
`For instance, an insurance policy quotation generated
`
`in response to data entered by a user on terminal A,
`
`then stored
`
`in the quoted case file 110 of the installation can be retrieved
`
`by the same or another user operating terminal B. Thus, data can
`
`be exchanged between terminals through the central installation.
`
`The preferred embodiment of
`
`the
`
`invention was properly
`
`12
`
`
`
`limited to a single application,
`
`i.e.,
`
`a loan system.
`
`The law
`
`does not require that all possible applications and uses of the
`
`instrument be disclosed.
`
`So long as the disclosure is enabling
`
`for one application,
`
`the applicant
`
`is not required to disclose
`
`other applications,
`
`as
`
`long as the elements of
`
`the apparatus
`
`claims are properly disclosed in the framework of the described
`
`preferred embodiment.
`
`The Examiner characterizes the structure of Claims 1-7 as an
`
`"inventory exchange"
`
`(e.g.,
`
`stock exchange and/or
`
`exchanging
`
`purchase orders).
`
`Indeed,
`
`this is one of
`
`the applications
`
`contemplated by the inventor, as reflected in the specification
`
`of
`
`the earliest parent
`
`application serial
`
`number
`
`822,115.
`
`"...a central processor 4 which is used primarily to process loan
`
`applications and handle other
`
`financial
`
`transactions."
`
`p.3,
`
`1.25-26 (p.5, 1.8-10 in the instant application).
`
`"other applications of the system include the selection and
`
`purchase of
`
`stocks
`
`and other securities,
`
`the selection and
`
`opening
`
`of
`
`so-called
`
`"self-directed
`
`investments"
`
`such
`
`as
`
`Individual
`
`Retirement
`
`Accounts,
`
`and
`
`other
`
`complex
`
`transactions..."
`
`p.12, 1.19-22 (P.14, 1.14-18 in 'the instant
`
`application).
`
`The invention is of the type mentioned in MPEP 706.03 (z)
`
`where results are predictable and broad claims may be properly
`
`supported by the disclosure of a single species.
`
`It must be noted that the claims are not even addressed to a
`
`species not disclosed, but
`
`instead recite computerized stations
`
`and systems for storing,
`
`requesting, processing, and retrieving
`
`data.
`
`Whether
`
`the data
`
`are
`
`information about
`
`a
`
`loan,
`
`an
`
`13
`
`
`
`insurance policy, animal husbandry, or the craters of the moon is
`
`irrelevant so long as the preferred embodiment of the invention,
`
`applied to one examplary purpose is disclosed.
`
`The disclosure adequately teaches;
`
`a) means for storing data in one central station;
`
`b) means
`
`for
`
`requesting some of
`
`that data from a
`
`terminal and transferring that data to that terminal;
`
`c) means for sending data processed in one terminal to
`
`the central station for
`
`storage and later
`
`retrieval
`
`(a
`
`personalized quotation); and
`
`d) means
`
`for
`
`requesting the processed data from the
`
`same or another station.
`
`All
`
`the elements of an inventory exchange system are thus
`
`disclosed and duly claimed.
`
`B.
`
`The Examiner‘ has also rejected. Claims 8-15 as being
`
`addressed to an information searching system.
`
`Such a system is indeed a major component of the invention.
`
`Since
`
`one purpose of
`
`the preferred embodiment of
`
`the
`
`invention is to present a variety of available loans from which a
`
`selection can be made, it is necessary that the user be able to
`
`call
`
`for
`
`(search) all
`
`the loan options available so he can
`
`examine
`
`those options
`
`and make
`
`a choice.
`
`The mass
`
`storage
`
`memories are there to be searched.
`
`The searching is facilitated
`
`by a powerful search engine built into each terminal, namely the
`
`screening and qualifying process
`
`expressed
`
`and
`
`exemplified
`
`through the fictitious officer.
`
`Accordingly,
`
`the Examiner's
`
`objection is not well
`
`taken.
`
`The disclosed invention does
`
`include an information searching system, and a powerful one at
`
`14
`
`
`
`that, that can be properly claimed.
`
`C.
`
`Finally,
`
`the Examiner rejected Claims 16-17 as being
`
`addressed to an automated multimedia network.
`
`Sound recordings, video recordings and textual data storage,
`
`and output devices are present and used in every user's station.
`
`The specification discloses how data can be transmitted in any
`
`direction between some of the stations.
`
`Sound recordings,
`
`video
`
`signals and textual data can be transmitted through the same
`
`analog or' digital channel.
`
`All.
`
`the elements of an automated
`
`multimedia data processing system are part of the invention.
`
`While making
`
`a
`
`rejection for
`
`lack of
`
`enablement,
`
`the
`
`Examiner has also found the claimed structure anticipated by
`
`Lockwood et a1.
`
`Considering the fact
`
`that Lockwood et a1.
`
`constitutes
`
`an
`
`integral part
`
`of
`
`the disclosure,
`
`the
`
`two
`
`rejections
`
`are
`
`somewhat
`
`inconsistent.
`
`In
`
`analyzing
`
`the
`
`disclosure for proper enablement,
`
`the Examiner must
`
`take into
`
`account Lockwood et a1.
`
`Indeed, Lockwood et a1.
`
`is mentioned on
`
`page 3,
`
`line 8 of the Specification.
`
`Under the ruling of In Re Voss, 557 F.2d. 812, 816-17 (CCPA
`
`1977),
`
`this reference constitutes a bona fide incorporation of
`
`those two patents in the specification.
`
`Furthermore, as stated
`
`in In Re Howarth, 654 F.2d. 103; 210 USPQ 689,
`
`(CCPA 1981), "U.S.
`
`Patents are considered pertinent evidence of what is likely to be
`
`known by persons of ordinary skill in the art." However,
`
`in view
`
`of
`
`the material outlined at
`
`the beginning of
`
`this section,
`
`applicant submits that one with ordinary skill in the art would
`
`not have to search from the extrinsic cited references for the
`
`knowledge necessary to practice the invention as claimed herein,
`
`15
`
`
`
`the application as originally filed, was clearly enabling.
`
`REJECTION UNDER 35 USC 103
`
`The Examiner's rejection of
`
`the claims under
`
`35 USC 103
`
`overlooks the substantial differences between Lockwood et a1. and
`
`the structures now claimed.
`
`In
`
`Lockwood
`
`et al.,
`
`the most
`
`sophisticated form of
`
`communication between an automated machine and its user was by
`
`menu selection.
`
`The procedure followed a rigid, pre-ordained
`
`sequence as follows:
`
`The machine would present
`
`to its user a
`
`list of available options.
`
`For
`
`instance,
`
`in an automatic bank
`
`teller machine,
`
`the first menu presented to the user might be a
`
`list of available services, e.g., "Account Balance", "Deposit of
`
`Money", and "Cash Withdrawal".
`
`Each selection of one of those
`
`three options would progressively call
`
`for
`
`the display of
`
`a
`
`standard sub—menu.
`
`For
`
`instance,
`
`if
`
`the user has
`
`selected
`
`"Account Balance",
`
`the next menu display might consist of
`
`"Savings Account" and "Checking Account".
`
`The process would continue following a fixed menu tree until
`
`all
`
`the information necessary to perform the transaction was
`
`entered.
`
`In this primitive type of
`
`interactive process,
`
`the machine
`
`need
`
`not
`
`analyze
`
`the
`
`answer
`
`because
`
`each
`
`answer
`
`leads
`
`progressively to the next predetermined step in accordance with
`
`the sequence
`
`imposed by the
`
`menu
`
`tree.
`
`There,
`
`the most
`
`sophisticated form of
`
`interactive operation,
`
`to wit,
`
`the
`
`reservation process
`
`illustrated in Re.
`
`32,115, Figure 10 as
`
`described at column 7,
`
`line 52 through column 8,
`
`line 17.
`
`The
`
`terminal simply obtains flight schedules and booking options in
`
`16
`
`
`
`fl
`
`0
`
`the form of masks,
`
`that are menus and forms to be completed.
`
`These masks are retrieved from the central reservation system and
`
`displayed immediately on the video 'monitor.
`
`The answers are
`
`slavishly transmitted to the central reservation computer.
`
`Claim 1 includes the following limitations:
`
`An automated multimedia data processing system:
`
`inquiring messages on
`for programming sequences of
`means
`said video display in accordance with preset routines and in
`response to said information;
`
`means for selectively and interactively presenting to said
`operator interrelated textual and graphical data describing
`a plurality of
`transaction options,
`and for selectively
`retrieving data from said mass memory;
`
`said
`interactively directing the operation of
`for
`means
`computer, video display, data receiving and transmitting
`means,
`and mass memory comprising means
`for holding an
`operational
`sequencing list and means
`responsive to the
`status of said computer, display, mass memory,
`and data
`receiving and
`transmitting means
`for controlling their
`operation;
`
`The above-cited portions of Claim 1 refer to a far more
`
`complex process by which information is elicited from the user
`
`and processed by the terminal than Lockwood et a1.
`
`As discussed in the specification on page 11,
`
`lines 14-20, a
`
`selection made by the user or an answer
`
`to a question may be
`
`analyzed.
`
`As
`
`a
`
`result of
`
`said analysis,
`
`the user may be
`
`automatically disqualified, or more questions may be presented to
`
`him in order
`
`to refine the data necessary for
`
`a
`
`thorough
`
`assessment of his qualifications.
`
`The claimed system has the ability of interpreting an answer
`
`before moving to the next step.
`
`An answer does not progressively
`
`call for a preformatted and unique type of new menu display as in.
`
`the prior art, but opens the gate for a choice between different
`
`types of subsequent displays or actions. That choice is made by
`
`17
`
`
`
`the system.
`
`Most significant
`
`is the fact
`
`that
`
`in its processing of a
`
`user's entry,
`
`the system uses not only that entry but also
`
`previously acquired data. That previously acquired data may have
`
`been elicited from the same user through an earlier inquiry or
`
`may have been obtained from another source.
`
`For
`
`instance, as
`
`discussed on page 13,
`
`line 22-page 14,
`
`line 3,
`
`the system can ask
`
`the user
`
`to enter a
`
`lesser
`
`amount of
`
`loan application after
`
`having determined that the user did not qualify for the amount
`
`requested earlier.
`
`Moreover,
`
`any amount
`
`requested could be
`
`checked against an earlier quotation retrieved from a
`
`remote
`
`central storage.
`
`That part of Claim 1 that recites:
`
`inquiring' messages on
`for programming sequences of
`means
`said video display in accordance with preset routines and in
`response to said information;
`
`refers to the hardware and software that allows the system to
`
`process the data entered by the user in order to determine what
`
`kind of
`
`information or new inquiry should be displayed on the
`
`video screen.
`
`That part of Claim 1 that recites:
`
`means for selectively retrieving data from said mass memory;
`
`refers to the hardware and software that has
`
`the capability,
`
`among others,
`
`to analyze or
`
`take into account not only data
`
`entered by the user, but also information received from the
`
`central processor before fetching additional inquiry sequences.
`
`That part of Claim 1 that recites:
`
`said
`interactively directing the operation of
`for
`means
`computer, video display, data receiving and transmitting
`means,
`and mass memory comprising means
`for holding an
`operational
`sequencing list
`and means
`responsive to the
`
`18
`
`
`
`and data
`status of said computer, display, mass memory,
`receiving and
`transmitting means
`for controlling their
`operation;
`
`refers to the software that not only directs the operation of the
`
`video screen and transmitting hardware, but also allows, not a
`
`slavish, but selective retrieval of the data received through and
`
`from the central processor.
`
`The phrase "interactively directing"
`
`(also found in Claim
`
`16)
`
`refers to the ability of
`
`the various cited elements
`
`to
`
`"interact", that is to exchange information and act in accordance
`
`with received data.
`
`This last described feature stands out
`
`from the prior art
`
`where
`
`the operation of
`
`the information and goods dispensing
`
`machines was guided by rigid search and retrieval routines, and
`
`through which the user could be provided only with the exact
`
`thing that he had entered on the keyboard.
`
`The
`
`claimed structure has
`
`the capability of,
`
`not only
`
`processing
`
`a
`
`user
`
`entry
`
`in
`
`combination with
`
`extrinsic
`
`information, but
`
`to make suggestions, or
`
`independently provide
`
`something different than what was requested but more responsive
`
`to the user's needs, e.g., a smaller loan.
`
`The above-described structure, when combined with the other
`
`elements recited in Claim 1, define a very powerful,
`
`intelligent
`
`information search-and-retrieval engine,
`
`that was not disclosed
`
`in the prior art.
`
`A fundamental distinguishing aspect of
`
`the claimed system
`
`becomes more evident
`
`through further comparison with the one
`
`disclosed in Lockwood et al., hereinafter referred to as P '115.
`
`As
`
`illustrated in Figure
`
`4,
`
`references
`
`142-146,
`
`and
`
`19
`
`
`
`explained at page
`
`10,
`
`line 19
`
`- page
`
`11,
`
`line 20 of
`
`the
`
`specification,
`
`the
`
`system proceeds
`
`to an
`
`analysis
`
`of
`
`the
`
`information entered by the operator
`
`in combination with other
`
`data before providing an answer.
`
`In
`
`the
`
`instant
`
`application,
`
`the
`
`terminal
`
`acquires
`
`a
`
`financial profile of
`
`the customer,
`
`then computes
`
`the credit
`
`worthiness of
`
`the applicant
`
`(page 12,
`
`line 13
`
`- page 13,
`
`line
`
`12).
`
`Thus,
`
`the "set of answers" provided by the operator
`
`is
`
`processed as
`
`a
`
`function: of other data
`
`such as eligibility
`
`standards.
`
`In other words,
`
`the claimed system has the novel capability of
`
`processing the answer given by the operator in combination with
`
`prior answers and/or other data to formulate or compose a: new
`
`.inquiry,
`
`to request other information from a central processor,
`
`or
`
`a
`
`response,
`
`and to make on-site decisions about
`
`the next
`
`operational step.
`
`The net effect and result being the operator's
`
`responses create a highly individualized, unique, "one-of-a-kind"
`
`question and answer presentation.
`
`Therefore,
`
`the claimed search and retrieval
`
`tool has
`
`a
`
`fundamentally different approach to conducting the search as
`
`compared to prior
`
`search systems.
`
`Typically, prior
`
`search,
`
`systems provided a directory of categorized lists from which the
`
`user
`
`selected a category,
`
`then a
`
`subcategory,
`
`then another
`
`subcategory,
`
`and so on until he finds the desired information,
`
`i.e., airline schedules. This method is typically referred to as
`
`scrolling.
`
`The instant application teaches a program with which
`
`a
`
`local
`
`and/or
`
`remote database can be
`
`searched based upon
`
`specific criteria,
`
`and in which specific multimedia information
`
`20
`
`
`
`is automatically retrieved.
`
`The
`
`search engine uses various
`
`methods to formulate and process the search criteria.
`
`The phrase "automatic data processing" in Claims 1, 8 and 16
`
`is a term of the art for a system that performs user-designated
`
`logic operations and that can execute programs that can modify
`
`data sets during their execution.
`
`The claimed "automatic data
`
`processing"
`
`system can alter
`
`the
`
`sequential
`
`execution
`
`of
`
`instructions in a program and perform a statement other than the
`
`next one in sequence based on conditions or status other than the
`
`last user
`
`entry.
`
`P
`
`'115
`
`does not
`
`teach automated data
`
`processing.
`
`The
`
`term of
`
`the art
`
`"multimedia"
`
`relates
`
`to material
`
`presented in a combination of textual and graphical elements such
`
`as; video, animation or sound.
`
`The combination is a given number
`
`of different elements selected from a set without regard to the
`
`order
`
`in which the selected elements are arranged.
`
`Therefore,
`
`the "automated data processing" is associated with textual and
`
`graphical material.
`
`P '115 does not
`
`teach automated multimedia
`
`data processing.
`
`The system described in P '115 employs a type of problem
`
`solving technique
`
`known
`
`in the art
`
`as
`
`"backward-chaining".
`
`Backward-chaining is a way to emulate human inductive reasoning
`
`or goal-directed reasoning.
`
`It starts with a selection option
`
`and works backward to prove
`
`its accuracy.
`
`The strategy of
`
`backward-chaining is for the user to assume a particular event
`
`outcome and search for evidence that supports the assumption.
`
`The user
`
`is charged with selecting one of several options and
`
`attempts to reach an appropriate match to validate the selection
`
`21
`
`
`
`option.
`
`If