Ex Parte Rose et al

Patent Trial and Appeal Board

Jul 12, 2016

12194844 (P.T.A.B. Jul. 12, 2016)

UNITED STA TES p A TENT AND TRADEMARK OFFICE
APPLICATION NO. FILING DATE
12/194,844 08/20/2008
23696 7590 07114/2016
QUALCOMM INCORPORATED
5775 MOREHOUSE DR.
SAN DIEGO, CA 92121
FIRST NAMED INVENTOR
Gregory Gordon Rose
UNITED STATES DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Address: COMMISSIONER FOR PATENTS
P.O. Box 1450
Alexandria, Virginia 22313-1450
www .uspto.gov
ATTORNEY DOCKET NO. CONFIRMATION NO.
071685 7378
EXAMINER
OBAID,FATEHM
ART UNIT PAPER NUMBER
3627
NOTIFICATION DATE DELIVERY MODE
07/14/2016 ELECTRONIC
Please find below and/or attached an Office communication concerning this application or proceeding.
The time period for reply, if any, is set in the attached communication.
Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
following e-mail address( es):
us-docketing@qualcomm.com
PTOL-90A (Rev. 04/07)
UNITED STATES PATENT AND TRADEMARK OFFICE
BEFORE THE PATENT TRIAL AND APPEAL BOARD
Ex parte GREGORY GORDON ROSE,
CRAIG LAUER,
ALEXANDER GANTMAN,
andJOANT. WALTMAN
Appeal2014--000088
Application 12/194,844
Technology Center 3600
Before ANTON W. PETTING, BRUCE T. WIEDER, and
BRADLEY B. BAY AT, Administrative Patent Judges.
PETTING, Administrative Patent Judge.
DECISION ON APPEAL
STATEMENT OF THE CASE1
Gregory Gordon Rose, Craig Lauer, Alexander Gantman, and
Joan T. Waltman (Appellants) seek review under 35 U.S.C. § 134 of a final
rejection of claims 7, 10-14, 16-25, 32--40, and 42, the only claims pending
1 Our decision will make reference to the Appellants' Appeal Brief ("Br.,"
filed February 28, 2013) and the Examiner's Answer ("Ans.," mailed June
20, 2013), and Final Action ("Final Act.," mailed October 1, 2012).
Appeal2014-000088
Application 12/194,844
in the application on appeal. We have jurisdiction over the appeal pursuant
to 35 U.S.C. § 6(b).
The Appellants invented a mobile commerce authentication and
authorization system. Specification para. 2.
An understanding of the invention can be derived from a reading of
exemplary claim 7, which is reproduced below (bracketed matter and some
paragraphing added).
7. A mobile commerce authentication and authorization system,
compnsmg:
[1] a mobile wireless communications instrument;
[2] a data processing system having logic operatively connected
to the mobile wireless communications instrument adapted to
receive, store, process, execute and transmit at least
a first set of location data
and
a payment sum
associated with a transaction
across a wireless communications network,
the first set of location data includes [sic, including] a
geographical location of the mobile wireless
communications instrument;
[3] a vendor point-of-sale device operatively connectable to the
mobile wireless communications instrument adapted to
receive, store, process, execute and transmit a second set
of location data across the wireless communications
network,
the second set of location data includes [sic, including] a
geographical location of the vendor point-of-sale device,
wherein the vendor point-of-sale device is further
adapted to transmit, store and receive the payment
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Application 12/194,844
and
sum associated with the transaction across the
wireless communications network;
[ 4] a transaction matching subsystem located in a wireless
customer server hub adapted
to process at least the first set of location data,
the second set of location data,
and
to automatically initiate the payment sum across the
wireless communications network,
wherein the transaction matching subsystem
authenticates and authorizes the transaction
based on matching a combination of a
relationship between the first set of location
data, the second set of location data, and the
payment sum associated with the
transaction,
the authentication and authorization by the
• 1 • 1 • transactwn matcl1ing suosystem occurnng
without any use of identification information
or features of the mobile wireless
communications instrument, or structural,
mechanical, or system modifications to the
mobile wireless communications instrument.
The Examiner relies upon the following prior art:
Williams US 2005/0137975 Al Jun.23,2005
Oshima US 2007/0109262 Al May 17, 2007
Tumminaro US 2007 /0244811 Al Oct. 18, 2007
Dutta US 7,337,229 B2 Feb.26,2008
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Appeal2014-000088
Application 12/194,844
Claims 7, 10-14, 16----25, 32----40, and 42 stand rejected under 35 U.S.C. §
103(a) as unpatentable over Tumminaro, Williams, Oshima, and Dutta.
ISSUES
The issues of obviousness tum primarily on whether the negative
limitation within the final limitation of all independent claims precludes the
use of user identification as contrasted with mobile device identification
information.
FACTS PERTINENT TO THE ISSUES
The following enumerated Findings of Fact (FF) are believed to be
supported by a preponderance of the evidence.
Facts Related to Claim Construction
01. The final limitation of claim 7 recites "wherein the transaction
matching subsystem authenticates and authorizes the transaction
based on ... , the authentication and authorization by the
transaction matching subsystem occurring without any use of
identification information or features of the mobile wireless
communications instrument, or structural, mechanical, or system
modifications to the mobile wireless communications instrument."
The first "or" is not preceded by a comma, whereas the second
and third instances of "or" are preceded by a comma. The
limitation therefore recites "authentication and authorization ...
occurring without any use of' two alternatives, viz. "identification
information or features of the mobile wireless communications
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Application 12/194,844
instrument" and "structural, mechanical, or system modifications
to the mobile wireless communications instrument." Because
"identification information" is part of the first alternative and not a
separate third alternative, both it and "features" are modified by
the phrase "of the mobile wireless communications instrument."
The remaining independent claims have similar phrasing.
Facts Related to the Prior Art
Tumminaro
02. Tumminaro is directed to effectuating financial transactions via
mobile devices, such as mobile or cellular phones, and more
particularly to a mobile, individualized payment transfer
infrastructure and method for transferring payment. Tumminaro
para. 3.
03. Tumminaro describes a mobile client application that executes
on a mobile phone and interfaces with a mobile payment platform.
Funds are accessed from an account holder's mobile device such
as a mobile phone or a personal digital assistant to make or
receive payments. Tumminaro para. 21.
04. Tumminaro describes a level of security provided by the use of
location technology, such as a geo-positioning system or GPS to
determine the physical location of the device. Thus, if the account
holder is using the payment service in an atypical location (such as
when they are on vacation), the account user may be authenticated
by asking for the PIN to be re-entered. Another advantage of the
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Application 12/194,844
location technology is that the services made available to the
account holder can be adjusted based on where they are located.
For example, discounts or special promotions may be sent along
with the confirmation for a transaction whenever the location of
the account holder matches that of the merchant. In other
embodiments, if the account holder is in the area of a merchant
that is offering a special discount, a promotional message could be
sent to the account holder if authorized by their profile maintained
by the payment server. Tumminaro para. 612.
Williams
05. Williams is directed to financial transactions. Williams
para. 2.
06. Williams describes assessing the risk of accepting proffered
promissory payments being made at merchants equipped with
point of sale devices that transmit information about the proffered
promissory payment wherein the point of sale devices further
determine their location and transmit the location information.
Williams para. 10.
Oshima
07. Oshima is directed to an Orthogonal Frequency Division
Multiplex (OFDM) signal transmission system used for digital
terrestrial broadcasting and electronic commerce using
communications. Oshima para. 3-5.
08. Oshima describes a portable terminal that includes a receiver,
a barcode former configured to form barcodes and a display. The
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Application 12/194,844
Dutta
barcode former forms a barcode from the data received by the
receiver and the display displays the formed barcode. Oshima
Abstract.
09. Dutta is directed to a way to associate or link a mobile terminal
to a transaction being made with an Internet access device such as
a PC, using the resources of the public land mobile network
(PLMN). Dutta 2:6-9.
10. Dutta describes a link or coupling between transaction
documents or information sets presented on the two devices being
created by a service provider or merchant sending a W AP push
message to the mobile terminal. Authentication and/or
authorization can be provided using the client-side public key
infrastructure (PK.I) capabilities of the wireless terminal, using a
user ID and/ or password. Dutta Abstract.
11. Dutta describes an Internet access device being a PC, a set-top
device, a network terminal in a public place, an appliance or home
automation device with Internet access, etc. Wireless application
protocol I wireless markup language (WAP/WML) messages to
and from the mobile terminal pass to and from the operator's
infrastructure through the Internet. The messages in this case
would normally pass through a WAP gateway. It is possible that
these messages could be passed to the public land mobile network
(PLMN) more directly, for example, if the merchant or owner of
the servers was also the wireless operator. A WAP-based personal
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Application 12/194,844
trusted device (PTu) is also, generically speaking, an Internet
access device, since it can access the "wireless Web." However,
the term "mobile terminal" or "wireless terminal" is used in the
context of this disclosure to distinguish it from the more
traditional devices. This term is also used in recognition of the
fact that the invention can work with mobile terminals that are not
Web-enabled. Dutta 5:25-59.
ANALYSIS
We are not persuaded by Appellants' argument that the art fails to
describe the claim 7 final limitation of
wherein the transaction matching subsystem authenticates and
authorizes the transaction based on matching a combination of
a relationship between the first set of location data, the second
set of location data, and the payment sum associated with the
transaction, the authentication and authorization by the
transaction matching subsystem occurring without any use of
identification information or features of the mobile wireless
communications instrument, or structural, mechanical, or
system modifications to the mobile wireless communications
instrument.
Claim 7. Appellants argue that Dutta requires a user ID and password. Br.
12-13. We agree, but a user ID is not identification information of the
mobile wireless communications instrument or features of the mobile
wireless communications instrument. As the prepositional phrase "of the
mobile wireless communications instrument" modifies both identification
information and features (FF 01 ), the claim does not recite authorizing and
authenticating without user identification information. The Examiner's
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analysis is based on this construction. Appellants' arguments as to the other
references are unpersuasive as the Examiner applied Dutta for this
limitation.
CONCLUSIONS OF LAW
The rejection of claims 7, 10-14, 16-25, 32--40, and 42 under 35 U.S.C.
§ 103(a) as unpatentable over Tumminaro, Williams, Oshima, and Dutta is
proper.
DECISION
The rejection of claims 7, 10-14, 16-25, 32--40, and 42 is affirmed.
No time period for taking any subsequent action in connection with this
appeal may be extended under 37 C.F.R. § 1.136(a). See 37 C.F.R.
§ 1.136(a)(l)(iv) (2011).
AFFIRMED
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