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PATENT 
010520 



IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 



Art Unit: 2168 



Examiner: Greta Lee Robinson 



In re Application of: Donald P. Coleman 
Serial No. 09/998,152 
Filed: November 30, 2001 



METHODS AND SYSTEMS 
FOR AUTOMATED DATA 
COLLECTION AND ANALYSIS 
FOR USE IN ASSOCIATION WITH 
ASSET SECURITIZATION 



SUPPLEMENTAL INFORMATION DISCLOSURE STATEMENT 



June 12, 2007 

Mail Stop: Amendment 
Commissioner for Patents 
P.O. Box 1450 
Alexandria, VA 22313-1450 

Dear Sir: 

Applicant, in accordance with the duty of disclosure pursuant to 37 C.F.R. 
§ 1 .56, hereby advises the United States Patent and Trademark Office of the references listed 
on the accompanying form PTO/SB/08A Information Disclosure Statement by Applicant 
(Substitute for Form-1449A/PTO). With the exception of the United States patents and 



B6/14/B0B7 ftflDOFOl 
01 FC:1806 



09998152 

180.60 OP 



PI-1 773292 



Atty. Docket No. 010520 
Serial No. 09/998,152 

published application, copies of the references cited on the Information Disclosure Statement 
by Applicant are enclosed. 

Applicant notes that although the cited references may be relevant to the 
examination of the above-referenced patent application, under 37 C.F.R. § 1.97(h), the filing 
of this Information Disclosure Statement by Applicant "shall not be construed to be an 
admission that the information cited in the statement is, or is considered to be, material to 
patentability as defined in § 1.56(b)." 



Respectfully submitted, 




Attorney for Applicant 

KIRKPATRICK & LOCKHART PRESTON GATES ELLIS LLP 

Henry W. Oliver Building 

535 Smithfield Street 

Pittsburgh, Pennsylvania 15222-2312 

Telephone: (412)355-6423 
Fax: (412) 355-6501 

E-Mail: roberto.capriotti@klgates.com 

Customer No. 26285 



2 




PTO/SB/08A (08-03) 
Approved for use through 07/31/2006. OMB 0651-0031 
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE 



Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 

(use as many sheets as necessary) 


Complete if Known 


Application Number 


09/998,152 i 


Filing Date 


November 30, 2001 


First Named Inventor 


Donald P. Coleman 


Art Unit 


2168 


Examiner Name 


Greta L. Robinson 


Sheet 1 of 2 


Attorney Docket Number 


010520 



U.S. PATENT DOCUMENTS 


Examiner 
Initials* 


Cite 
No.' 


Document Number 


Publication Date 
MM-DD-YYYY 


Name of Patentee or 
Applicant of Cited Document 


Pages, Columns, Lines, Where 
Relevant Passages or Relevant 
Figures Appear 


Number - Kind Code 2 (if known) 






US-2003/0050884 A1 


03-13-2003 


Barnett 








US-5,893,079 


04-06-1999 


Cwenar 








US-5,983,206 


11-09-1999 


Oppenheimer 








US-6,01 2,047 


01-04-2000 


Mazonas 








US-6,01 6,482 


01-18-2000 


Molinari et al. 








US-6,070,151 


05-30-2000 


Frankel 








US-6,226,623 


05-01-2001 


Schein 








US-6,249,775 


06-19-2001 


Freeman 








US-6,275,824 


08-14-2001 


O'Flaherty 








US-6,292,788 


09-18-2001 


Roberts 








US-6,389,588 


05-14-2002 


Wadhwa 








US-6,460,021 


10-01-2002 


Kirksey 













































































FOREIGN PATENT DOCUMENTS 


Examiner 
Initials* 


Cite 
No. 1 


Foreign Patent Document 

Country Code 3 -Number 4 -Kind Code 5 
(if known) 


Publication Date 
MM-DD-YYYY 


Name of Patentee or 
Applicant of Cited 
Document 


Pages, Columns, Lines, 

Where Relevant 
Passages or Relevant 
Figures Appear 


T 6 





































































































Examiner 




Date 




Signature 




Considered 





•EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance 
and not considered. Include copy of this form with next communication to applicant. ' Applicant's unique citation designation number (optional). See 
Kinds Codes of USPTO Patent Documents at www.usoto.aov or MPEP 901.04. 3 Enter Office that issued the document, by the two-letter code (WIPO 
Standard ST.3). ' For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent 
document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 8 Applicant is to 
place a check mark here if English language Translation is attached. 

This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file 
(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 
hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the 
individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to 
the Chief Information Officer, U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR 
COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450. 

If you need assistance in completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2. 

PI-1773320 




PTO/SB/08B (08-03) 
Approved for use through 07/31/2006. OMB 0651-0031 
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE 



Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 

(use as many sheets as necessary) 


Complete if Known 


Application Number 


09/998,152 


Filing Date 


November 30, 2001 


First Named Inventor 


Donald P. Coleman 


Art Unit 


2168 


Examiner Name 


Greta L. Robinson 


I Sheet 2 of 


2 


Attorney Docket Number 


010520 



NON PATENT LITERATURE DOCUMENTS 



Examiner 
Initials* 



Cite 
No. 1 



Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the 
item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue 
number(s), publisher, city and/or country where published 



"Defining Business Rules ~ What Are They Really?" printed from 
http://web.archieve.org/web/20010304205239/http;//businessrulesqroup.orq/first 
paper/bro01cl.htm , Internet site, accessed on 6/1 1/03, 33 pages. 



Search Report on word mark "Enterprise," printed from 

http://tess.uspto.qov/bin/showfield?f=doc&state=rm36rm.5.1 , Internet site, accessed 
on 9/10/02, 2 pages. 



"ZENetics company & product information," brochure, April, 2001. 



ZENetics, dual-sized, tri-fold brochure, Arlington, Texas, 2 pages. 



"Business rules and mortgage banking," printed from 

http://www.astera.com/CentMortqWP.html , Internet site, accessed on 9/10/02, 4 
pages. 

Astera, "centerprise™ business rules primer," printed from www.astera.com , Internet 
site, March 2000, 5 pages. 

"Enterprise Loan Management System" (CD-ROM) December, 2001 



United States Patent Application No. 10/336,501, filed January 3, 2003. 
(Attorney Docket No. 010642) 



inventorying, (n.d.). The American Heritage® Dictionary of the English Language, Fourth 
Edition. Retrieved June 12, 2007, from Dictionary.com website: 
http://dictionarv.reference.com/browse/inventorvina 



Examiner 



Date 



•EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if 
not in conformance and not considered. Include copy of this form with next communication to applicant. 

1 Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language 
Translation is attached. 

This collection of information is required by 37 CFR 1 .98. The information is required to obtain or retain a benefit by the public 
which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This 
collection is estimated to take 2 hours to complete, including gathering, preparing, and submitting the completed application form to 
the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete this 
form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, 
P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: 
Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450. 

If you need assistance in completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2.