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`Approved for use through 09/30/2000. OMB 0651-0032
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`Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`IISBTB
`- uired to res - d to a collection of information unless it disla
`a valid OMB control number.
`Underthe Pa rk Reduction Aclof1995 no --
`
`
`PATENT APPLICATION
`
`34533-51
`Attorney Docket No.
`First Innzorormivafion Ider
`
`
`
`UTILITY
`
`
`
`11/09/98
`
`
`
`6. D Microfiche Computer Program (Appendix)
`7. Nucleotide andIorAmii-lo Acid Sequence Submission
`(if applicable, all necessary)
`a.
`Computer Readable Copy
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`4.E|
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`c. [1 Statement verifying identity of above copies
`ACCOMPANYING APPLICATION PARTS
`8.
`Assignment Papers (cover sheet 8. document(s))
`37 C.F.R.
`.730: Statement
`9'I:I (whenmegisenIessignee) I: "°"’°'°““‘°"‘°V
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`1 E] Information Disclosure
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`DELETION OF INVENTOR§§)
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`IF ONE FILED IN I PRIOR APPUCATTON I3 EUED UPON (37 CFR.
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`If a CONTINUING APPLICATION, check appropriate box, and supply the requisite inlonnefiorl below and in a prelirnihary amendment
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`
`D continuation D Divisional D Continuation-in-part (Cl?)
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`Prior application information:
`GroupIArt Unlt
`1
` 8. CORRESPONDENCE ADDRESS
`
`TRANSMITTAL
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`- Reference to Microfiche Appendix
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`- Brief Summary of the Invention
`- Brief Description of the Drawings (if filed)
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`Todd M . BeckerE Davis Wright Tremaine LLP
`
`2600 Century Square
`1 501 Fourth Avenue
`
`1 98101-1688
`206-628-7670 £ 206-628-7699
`R99l8l7'ati0nN0.lMA9tn0
`P43,487
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`to take 0 rs complete. Time will vary depending upon the needs of the individual case. Any
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`comrnents on the amount of time you are required to complete this form should be sent 8: the Ohio! Information Otlioor, Patent and Trademark Office,
`Washington, DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Corrmlssloner tor Paunh,
`Box Pawn! Appliation, lhlashirlgton, DC 20231.
`
`Todd M. Becke
`
`
`
`
`Petitioner Askeladden - Exhibit 1009 - Page 1
`
`Petitioner Askeladden - Exhibit 1009 - Page 1
`
`

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`Petitioner Askeladden - Exhibit 1009 - Page 2
`
`Petitioner Askeladden - Exhibit 1009 - Page 2
`
`

`
`APPARATUS AND PROCESS FOR FACILITATING CUSTOMER-DRIVEN SALES OF
`
`PRODUCTS HAVING MULTIPLE CONFIGURATIONS
`
`EXPRESS MAIL NO. EI494582538US
`
`FIELD OF THE INVENTION
`
`5
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`The invention provides an apparatus and a process for facilitating customer-driven sales of
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`products having multiple configurations over an electronic network, and more particularly a
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`process for facilitating customer-driven sales of automobiles over the Internet.
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`
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`BACKGROUND OF THE INVENTION
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`10
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`The Internet has developed as an important vehicle for information exchange, as well as a
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`
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`forum for conducting, or at least facilitating, commerce. Systems using the Internet as a
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`The
`commercial forum fall broadly into two categories: seller-driven or customer-driven.
`
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`difference between customer and seller driven systems lies in which party takes the initiative to
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`find the other. In a seller-driven system, the seller finds the customer; in a customer-driven
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`system the customer finds the seller.
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`
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`Most Internet commerce systems in use today are seller-driven and are either passive sites
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`or active sites. A typical seller's Internet site is a passive advertising site that provides
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`information about the product and directs potential customers to places they can obtain the
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`product. Automobile manufacturers are a typical example: their sites provide information about
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`�5,20 the manufacturer's
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`line of cars, available options, and locations of authorized dealers.
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`A smaller number of sellers have active selling sites that not only provide product
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`information but allow potential customers to conduct a transaction over the Internet and purchase
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`the product. The seller prices and packages the product and then holds it out for sale to potential
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`customers via the Internet. The seller specifies, through their web site, the terms of the sale, and
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`25 potential customers must either accept the seller's terms or find another seller whose terms are
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`acceptable. Products sold on these sites are typically lower-priced standardized goods such as
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`books, compact disks, and videos.
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`In a customer-driven system, the customer specifies the product they want and the terms
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`under which they will buy it, and then sends this specification to sellers. Some attempts have been
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`30 made to implement customer-driven systems on the Internet. Examples are news groups and
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`bulletin boards where any potential customer can post "wanted" ads at little or no cost.
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`-1-
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`Petitioner Askeladden - Exhibit 1009 - Page 3
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`

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`Customer driven systems have certain benefits that other systems do not. Where a large
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`number of potential sellers exist, but those sellers do not have the resources to advertise globally,
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`it makes sense for customers, if they can, to take the initiative in communicating their needs to a
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`seller. The Internet is ideal in this situation because Internet postings are global, and the customer
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`5 theoretically can communicate his offer to a large number of potential sellers. Moreover,
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`customers can usually exercise more control over the terms and conditions of their purchases.
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`Despite their advantages, existing customer-driven systems have some drawbacks. Sellers
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`are deterred from using customer-driven systems because sellers do not want to be inundated with
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`numerous requests from potential customers, many of whom may be marginal or unqualified.
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`10 Moreover,
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`if each customer has a different set of purchasing specifications and communicates his
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`terms, and language conditions, format with different or her needs to sellers using a non-standard
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`styles, the specification may require too much time for the seller to interpret. Furthermore, sellers
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`are deterred from using customer-driven systems because there is no guarantee of the authenticity
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`In is uncertain. of the request, and the financial ability of the customer to enter into the transaction
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`addition, news groups scattered across the Internet make it difficult, if not impossible, for sellers to
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`find customer requests. In practice, these customer-driven systems are ineffective because
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`potential sellers do not frequent all the various newsgroups or bulletin boards or respond to
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`posting in those places. Customers are deterred from using customer-driven systems for many of
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`�2:20 inundated
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`does not want to be the same reasons sellers are deterred. For example, a potential seller
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`with offers from many marginal or unqualified customers.
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`The problems inherent in existing customer-driven systems are compounded where the
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`product being sold is available in multiple configurations, for example motor vehicles such as an
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`automobile or a truck. These products cause problems because for any given product there are
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`25 example, automobile
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`thousands of possible option configurations, and not all combinations of options are feasible. For
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`manufacturers usually do not make vehicles having every possible
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`combination of options, but rather make the most popular ones. Thus, for example, if a potential
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`customer wants a purple Ford truck with a yellow interior and a V-12 engine, that engine and
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`combination of colors may not be available from the manufacturer (Ford). The customer,
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`however, has no way of knowing this before sending the request to potential sellers.
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`30 Attempts have been made to implement
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`customer-driven systems that address some of the
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`above problems. U.S. Patent No. 5,794,207 to Walker et. al. ("Walker") is illustrative. Walker
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`-2-
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`Petitioner Askeladden - Exhibit 1009 - Page 4
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`does not, however, solve all the foregoing problems. Among other things, Walker does not direct
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`the customer's request to a target set of sellers who are likely, if not certain, to have the desired
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`product. Instead, Walker merely places the customer's request where it can be accessed by
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`interested sellers.
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`Walker, although it provides for guaranteeing payment by the customer, does
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`5 not guarantee that the sellers will be credible and able to deliver. Walker does not provide means
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`for checking whether a complex product the customer wants is feasible, that is, whether it exists or
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`can be manufactured. Finally, Walker provides a system where the customer must send a binding
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`purchase offer which can be accepted by any seller, thereby binding the customer to a contract.
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`This opens up the possibility that the offer could be accepted by an unscrupulous seller. There is
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`1 o thus a need in the art for an apparatus and method that solves the above problems.
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`SUMMARY OF THE INVENTION
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`The present invention comprises an apparatus and process for facilitating customer-driven
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`The apparatus of the present invention
`sales of products having multiple configurations.
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`comprises a computer network apparatus to facilitate the purchase of a product having multiple
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`configurations, the product being sold by manufacturer-licensed sellers and each product
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`configuration being described by a set of product attributes. The computer network apparatus
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`comprises a server, an intermediary subsystem, and a seller subsystem.
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`The server comprises a processor with a storage device connected
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`to the processor. The
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`storage device has stored thereon a product database, the product database including information
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`regarding existing combinations of product attributes; a seller database stored on the storage
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`device, the seller database including seller information such as geographic location; and a program
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`stored on the storage device for controlling the processor. The program is operative with the
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`processor to receive a customer's selected set of product attributes, query the product database
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`25 using the customer's desired set of product attributes to confirm the feasibility of the customer's
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`selected configuration, query the seller database using a set of seller attributes to select a target set
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`of sellers in the customer's geographic area, transmit a request for quote (RFQ) to the target set of
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`sellers, the RFQ including the customer's desired set of product attributes, receive a quote from at
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`least one seller from the target set of sellers, receive an acceptance of one of the quotes, and
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`30 transmit the acceptance to the seller whose quote was accepted .
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`. 3.
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`Petitioner Askeladden - Exhibit 1009 - Page 5
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`The intermediary subsystem is connected to the server, and comprises a computer
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`operative with a program stored thereon to receive from an intermediary input of a customer's
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`selected set of product attributes, transmit to the server the customer's selected set of product
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`attributes, receive from the server a quote from a seller, receive from the intermediary input of an
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`5 acceptance of a quote, and transmit to the server an acceptance of one of the quotes.
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`The seller subsystem is connected to the server, and comprises a computer operative with a
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`program stored thereon to receive from the server an RFQ, receive from a seller input of a quote in
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`response to the RFQ, and transmit the quote to the server.
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`The process uses a computer network to facilitate the purchase of a product having
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`10 multiple configurations, the product being sold by manufacturer-licensed sellers and each product
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`configuration being described by a set of product attributes. The process includes configuring a
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`customer's desired product by selecting the customer's desired set of product attributes; selecting
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`a target set of sellers in the customer's geographical area, the target set comprising at least one
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`and transmitting
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`a request for quote (RFQ) to the target set of sellers, the RFQ including the
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`customer's desired set of product attributes and the RFQ being transmitted to a seller subsystem
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`using the computer network. When sellers receive an RFQ, at least one seller from the target set
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`and of sellers responds to the RFQ with a quote, the quote being input through a seller subsystem
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`transmitted using the computer network. The quotes received are transmitted to the customer.
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`�:::;;
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`The customer selects for acceptance a quote that matches their desired attributes and transmits
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`�i:fo their acceptance
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`BRIEF DESCRIPTION OF THE DRAWINGS
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`Figure 1 illustrates the apparatus and process of a first embodiment of the invention.
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`Figure 2 illustrates details of a server used in the first embodiment of the apparatus and
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`Figure 3 illustrates details of an intermediary subsystem or a seller subsystem usable with
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`the first embodiment of the apparatus and process.
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`Figure 4 is a flowchart illustrating an intermediary's portion of the process of the first
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`embodiment.
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`Figure 5 is a flowchart illustrating the portion of the process of the first embodiment
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`carried out by a target seller.
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`Petitioner Askeladden - Exhibit 1009 - Page 6
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`Figure 6 is a flowchart illustrating the portion of the process used by the intermediary to
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`reply to a quote received from a seller, the seller having responded using the process of Figure 5.
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`Figure 7 illustrates the apparatus and process of a second embodiment of the invention.
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`Figure 8 is a flowchart illustrating the portion of the process of the second embodiment
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`5 that is carried out by a customer.
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`Figure 9 illustrates the apparatus of an intermediary subsystem which, when combined
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`with the apparatus and process shown in Figures 1 or 7, forms a third embodiment apparatus and
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`method.
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`Figure 10 is a flowchart illustrating
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`the process used by an intermediary in a third
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`10 embodiment of the invention.
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`Figure 11 is a flowchart illustrating the process used by a seller in a fourth embodiment of
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`DETAILED DESCRIPTION OF THE INVENTION
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`Described below are several embodiments of the present invention. The embodiments
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`illustrate several ways in which the present invention may be implemented. Although the
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`embodiments are described in the context of automobile purchases, they could easily be used for
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`other products with multiple configurations and manufacturer-authorized sellers, as well. In the
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`description that follows, like numerals represent like elements or steps in all figures. For example,
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`if the numeral 10 is used in one figure to refer to a specific element or step, the numeral 1 0
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`appearing in any other figure refers to the same element.
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`First Embodiment
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`Figures 1 through 3 together illustrate a first embodiment of the inventive apparatus and
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`process. The apparatus and process of the first embodiment are used to facilitate the purchase of a
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`25 product having multiple possible configurations, such as an automobile, and are intended to be
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`used by an intermediary and one or more sellers to facilitate a product purchase on behalf of a
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`customer. An intermediary is a professional customer, such as a bank, credit union, auto broker or
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`other automobile-buying professional, and in some cases the intermediary and the customer may
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`be the same entity, for example when the intermediary is a corporate fleet auto customer buying
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`30 automobiles on behalf of a corporation. The involvement of an intermediary, such as a bank or
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`credit union, provides assurance to both customers and to sellers that the other party to the
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`Petitioner Askeladden - Exhibit 1009 - Page 7
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`The inventive process is
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`transaction is "credible", that is, able to complete the transaction.
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`customer-driven, meaning that the customer initiates a transaction over a network and controls the
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`transaction throughout the process of the transaction. The inventive process allows an
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`intermediary to send a request for quote (RFQ) to multiple sellers, and allows multiple sellers to
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`5 submit quotes in response to the RFQ. Using this quoteding process the customer is assured of
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`getting the specified goods at a competitive price. Figure 1 illustrates the transaction process.
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`As shown in Figure 1, the apparatus is a computer network comprising a server 22; at least
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`one intermediary subsystem 24 connected to the server via an intermediary network connecting
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`means (e.g., intermediary modem 26); and at least one seller subsystem 28 connected to the server
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`10 via a seller network connecting means (e.g., seller modem 30). Although referred to as modems,
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`the intermediary modem 26 and seller modem 30 could be any other communication means that
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`enables network communication, for example, ethemet links. The intermediary modem 26 and
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`seller modems 30 can be connected to the server by a variety of connecting means, including
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`public telephone land lines, dedicated data lines, cellular links, microwave links, or satellite
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`communication.
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`Figure 2 illustrates details of the server 22. The server 22 is essentially a high-capacity,
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`high-speed computer that includes a processing unit 32 connected to four databases: a product
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`database 34, a seller database 36, a customer database 38, and a request-for-quote (RFQ) database
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`40. Additional databases are optionally added to the server, for example databases to track market
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`research information for later sale to manufacturers, such as customer demographics, marketing
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`information, etc. Also connected to the processing unit 32 is sufficient memory (shown as part of
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`the processing unit, but the memory could be a separate component) and appropriate intermediary
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`communication hardware 42 and seller communication hardware 44. Like the intermediary
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`modem 26 and the seller modem 28, the intermediary communication hardware 42 and seller
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`25 communication hardware 44 may be modems, ethemet connections, or any other suitable
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`communication hardware. In addition, although shown as separate units the intermediary
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`communication hardware 42, the seller communication hardware 44 may be a single unit.
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`Although the server 22 has been shown as a single computer having a single processing unit 32, it
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`is also possible that the server could be spread over several networked computers, each having its
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`30 processor and having one or more databases resident thereon.
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`Petitioner Askeladden - Exhibit 1009 - Page 8
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`In addition to the elements described above, the server 22 further comprises an operating
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`system and communication software allowing the server to communicate with other computers.
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`The preferred operating system is Microsoft Windows NT, while the preferred communication
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`software is a Microsoft liS (Internet Information Server) server with associated programs.
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`5
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`The databases on the server 22 contain the information necessary to make the apparatus
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`and process work. The product database 34 contains a variety of information about the product,
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`including product attributes, available combinations of product attributes, and product pricing.
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`The seller database 36 contains information about authorized sellers of the product, including their
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`name, address, relevant geographical areas served, and manufacturer-authorized product lines.
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`10 The customer database 38 includes a variety of information about the customers, including names,
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`addresses, and product preferences.
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`The customer database is structured so that it maintains a
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`customer list for each intermediary that uses the apparatus and process. Finally, the request-for­
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`quote database 40 stores information about RFQ's sent by the server 22, if any, including the
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`status (i.e., whether the RFQ is pending, abandoned, expired, whether a quote has been received
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`for the RFQ, etc.). The databases are assembled and accessed using any commercially available
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`database software, such as Microsoft Access, Oracle, etc. Microsoft SQL Version 6.5 is the
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`preferred database for this application.
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`Figure 3 illustrates details of the intermediary subsystem 26 and seller subsystem 28. Both
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`subsystems 26 and 28 generally include a processor 46 attached to storage unit 48, a
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`communication controller 50, and a display controller 52. The display controller runs a display
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`unit through which the intermediary and seller interact with the subsystems 26 or 28. In essence,
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`the subsystems 26 and 28 are computers able to run software providing a means for
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`communicating with the server 22. This software, for example, is an Internet web browser such as
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`Microsoft Internet Explorer, Netscape Navigator, or other suitable internet web browsers.
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`25
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`In addition to showing the apparatus of the first embodiment, Figure 1 outlines the basic
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`steps and information transfer of the process. The details of the process are further discussed
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`below in connection
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`with Figures 4, 5 and 6. Having put together a request for quote (RFQ)
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`configuring the automobile the customer wants, at step 56 the intermediary transmits the RFQ
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`from the intermediary subsystem 24 through the modem 26 to the server 22. At step 58, the RFQ
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`30 is transmitted from the server 22 to a target set of seller modems 30 and corresponding seller
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`subsystems 28. The target set of sellers is chosen by the intermediary according to the criteria of
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`-7-
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`Petitioner Askeladden - Exhibit 1009 - Page 9
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`geographic region and authorized dealers using the seller database. If one or more sellers within
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`the target set of sellers decide they wish to submit a quote responsive to the RFQ, then at step 60
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`each sellers transmits a "quote" from the seller subsystem 28 to the server 22. At step 62, the
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`quotes are transmitted from the server 22 to the intermediary subsystem 24. The intermediary
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`5 communicates the quotes to the customer (this step not shown). If the customer decides to accept
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`one of the quotes, the customer notifies the intermediary and at step 64 the intermediary transmits
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`an "acceptance response" to the server 22, wherein the acceptance response contains information
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`about the customer from the customer database and identifies a "selected seller." At step 66, the
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`acceptance response is transmitted from the server 22 to the selected seller's subsystem.
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`10
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`While Figure 1 illustrates the outline and information flow of the overall process, Figures
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`4, 5 and 6, illustrate details of the process steps of the first embodiment. Figure 4 illustrates the
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`first part of the process, which is carried out by the intermediary. Optionally, a first intermediary
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`may also transmit the request to a second intermediary at step 85 to act on behalf of the first
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`intermediary. The process begins when a customer seeking to purchase appropriate goods (i.e., an
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`automobile) contacts the intermediary. At step 68, the intermediary collects personal information
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`from the customer such as their name, address, and financing information (i.e., ability to purchase
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`up to a certain maximum price) and optionally collects demographic information concerning
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`reasons for selecting a particular automobile and other demographic information helpful for
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`market research studies (e.g., age, household income, education, occupation, hobbies/interests, and
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`the like).
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`Once the customer's personal and demographic information has been gathered, the
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`intermediary gathers information regarding the customer's desired product attributes (i.e., the
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`configuration the customer wants). At step 70 the customer describes to the intermediary the
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`general automobile (GA) they want and optionally also describes the exact automobile (EA) they
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`25 want. For example, a customer may want a Ford Taurus; this would be the GA. The customer
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`may also want the GA to have an additional set of attributes, for example a 1999 Ford Taurus,
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`white in color, automatic transmission, sun roof, CD changer, black leather interior, and alloy
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`wheels; this would be the EA.
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`When the customer's GA and EA information has been gathered, the intermediary obtains
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`30 information
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`from the customer at step 72 regarding their flexibility on the desired attribute set of
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`the EA. Flexibility is determined by assigning a rank between 1 and 5 to each attribute, 5 being
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`-8
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`Petitioner Askeladden - Exhibit 1009 - Page 10
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`high priority and 1 being low priority. Thus, if the customer does not particularly care whether the
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`transmission is manual or automatic, a low rank is assigned to that attribute. If, however, the
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`customer absolutely must have the black leather interior, that attribute is assigned a high rank.
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`In this step, the
`Step 74 is the last information gathering step for the intermediary.
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`5 intermediary
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`may want to put on the GA or EA
`gathers any additional constraints the customer
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`they want. Additiomil constraints may include such items as the customer's desired price range or
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`a date by which the customer must purchase the car.
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`Having gathered necessary information from the customer, the intermediary establishes a
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`connection between the intermediary subsystem 24 and the server 22 and begins using the
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`10 inventive process. At step 76, the intermediary checks whether the apparatus and process have
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`previously been used to buy a product for this specific customer. If the apparatus and process
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`have not previously been used on behalf of this customer, the intermediary goes to step 78, where
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`the customer's personal and demographic information is entered into the intermediary subsystem
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`24 and transmitted to the customer database 38. If the apparatus and process have previously been
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`used on this customer's behalf, the intermediary proceeds to step 80, where the customer
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`information is looked up in the customer database 38. Whether or not the customer has used the
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`process before, the intermediary may optionally perform step 82, where any additional information
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`about the customer may be entered into the intermediary subsystem 24, transmitted to the server
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`22 and, at step 84, written to the intermediary's customer l