Ex Parte IsomDownload PDFPatent Trials and Appeals BoardMar 29, 201911923291 - (D) (P.T.A.B. Mar. 29, 2019) Copy Citation UNITED STA TES p A TENT AND TRADEMARK OFFICE APPLICATION NO. FILING DATE FIRST NAMED INVENTOR 11/923,291 10/24/2007 Pamela K. Isom 30449 7590 04/02/2019 SCHMEISER, OLSEN & WATTS 22 CENTURY HILL DRIVE SUITE 302 LATHAM, NY 12110 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. END920070340US 1 9331 EXAMINER MEINECKE DIAZ, SUSANNA M ART UNIT PAPER NUMBER 3683 NOTIFICATION DATE DELIVERY MODE 04/02/2019 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): 30449@IPLA WUSA.COM PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Exparte PAMELA K. ISOM 1 Appeal2017-003420 Application 11/923,291 Technology Center 3600 Before MEREDITH C. PETRA VICK, MICHAEL W. KIM, and WILLIAM V. SAINDON, Administrative Patent Judges. PETRA VICK, Administrative Patent Judge. DECISION ON APPEAL STATEMENT OF THE CASE Pamela K. Isom (Appellant) seeks our review under 35 U.S.C. § 134(a) of the final rejection of claims 1 and 27--43. Claims 2-26 have been canceled. We have jurisdiction under 35 U.S.C. § 6(b ). U.S. Patent Application No. 11/923,291 was the subject of previous Appeal No. 2011-006520. In the previous appeal, the claims were rejected under 35 U.S.C. § 103. That rejection is no longer at issue, and the claims have been substantially amended. 1 The real party in interest is International Business Machines Corporation. App. Br. 1. Appeal2017-003420 Application 11/923,291 SUMMARY OF DECISION2 We REVERSE and enter NEW GROUNDS of rejection under 37 C.F.R. § 41.50(b). THE INVENTION "Service Oriented Architecture (SOA) describes the practice of utilizing autonomous or semi-autonomous services that communicate with one another by passing data and/or direction among themselves." Spec. ,r 2. The invention is the creation of a graphical representation of activities of an enterprise to aid in the implementation of a SOA. Id. ,r 4. Figure 2 is reproduced below. 1NYE6TMENT Pt1lFIJP.MANCE (l-1) ---- ~-~----------~--~---- FUr© CCIIP'\HISG~-& EN.AEilllS iMi --~~-~~-------------~-------~-] l-°H"d/i~offu.L> --1°::NCTIO/lAL/ ~== .----BUS-INE-SS-----, .---~. KE~i"r~ r--AC.-TOR-.S......, ~-PRl-()RIT_Y....., ~/ ; -DOMAl'IS) fiJ'ICTIQNS PROGESSf:S !~~ HIGH ~~= l ACTORS OUT : U~) - MrnlL!~ [ OfSCOP"E_j iLJ-LOW FIG. 2 2 Our Decision will make reference to the Appellant's Appeal Brief ("App. Br.," filed Aug. 29, 2016), the Appellant's Reply Brief ("Reply Br." filed Dec. 19, 2016), the Final Office Action ("Final Act.," mailed Mar. 31, 2016), and the Examiner's Answer ("Ans.," mailed Oct. 26, 2016). 2 Appeal2017-003420 Application 11/923,291 Figure 2 is an example of a graphical representation of a financial services enterprise. Id. ,r,r 9, 3 21. Graphical representation 200 has a left vertical axis having functional domains, such as account management 202, advice 204, and investment reporting 206. Id. ,r 21. "Each functional domain is a consolidation of business functions and key processes that are performed in the enterprise by the actors 208." Id. Along a top horizontal axis are job titles of actors 208, such as financial advisor. Id. The enterprise's existing business functions and existing key processes, are shown along the horizontal axis. A business function is a base process, that "is a group of logically connected tasks that are performed together to accomplish a business objective of the enterprise." Id. In Figure 2, "Account View," "Account Transact," "Account Maintain," and "Billing" are business functions. Id. ,r 25. A "key process is a mission critical activity of a particular functional domain." Id. In Figure 2, "Enrollment," "Remit," and "Account Opening" are key processes. Id. ,r 22. Graphical representation 200 gives a single view of an enterprise's business function, and an enterprise or evaluator can use it "to rapidly determine which functional domains, utility functions, business functions, and key processes are the best candidates for early conversion from an existing ... non-SOA activity to a SOA activity." Id. ,r 28. "[R]ather than actors in an enterprise performing tasks without consideration of what other actors and/or departments are doing, the holistic approach for evaluating 3 Paragraph 9 of the Specification contains a typographical error. Paragraph 9 refers to Fig. 3 but describes Fig. 2. See Spec. ,r 21 ( describing Fig. 2 as the graphical representation of an enterprise). Paragraph 8 contains a corresponding typographical error. 3 Appeal2017-003420 Application 11/923,291 functions and processes of an enterprise ... leads to a seamless transition into an SOA environment." Id. ,r 31. THE CLAIMS Claims 1, 32, and 38 are independent and recite a corresponding method, system, and computer-readable hardware storage device storing computer program code. Claim 1, reproduced below, is illustrative of the subject matter on appeal. 1. A method for implementing a Service Oriented Architecture (SOA) in an enterprise through the use of a graphical representation of activities of the enterprise, the method compnsmg: receiving input data, by a data processing system via an Input/Output (I/0) interface in communication with I/0 devices used to provide the input data, wherein the input data comprises a plurality of descriptive job titles of actors associated with the enterprise, a plurality of functional domains of the enterprise, a plurality of utility functions of the enterprise, key processes of the enterprise, and business functions of the enterprise; displaying, by the data processing system on a video display coupled to the I/0 interface, a graph pertaining to non- SOA system, wherein said displaying the graph comprising displaying, in the graph, the received input data and relationships pertaining to the input data, wherein the input data received via the I/0 interface controls display of the relationships in the graph, wherein the graph comprises (i) a left axis oriented in a vertical direction and encompassing a left bounding side of the graph, (ii) a right axis oriented in the vertical direction and encompassing a right bounding side of the graph, (iii) a top axis oriented in a horizontal direction orthogonal to the vertical direction and encompassing a top bounding side of the graph, and (iv) a bottom axis oriented in the horizontal direction and encompassing a bottom bounding side of the graph, and wherein said displaying the graph comprises: 4 Appeal2017-003420 Application 11/923,291 determining and displaying the plurality of descriptive job titles of actors associated with the enterprise along the top axis, determining and displaying the plurality of functional domains of the enterprise along the left axis, determining and displaying the plurality of utility functions of the enterprise along the right axis, and determining and displaying the key processes of the enterprise and the business functions of the enterprise within the graph between the top axis and the bottom axis and oriented in the horizontal direction, wherein the displayed functional domains consolidate the displayed business functions and the displayed key processes performed in the enterprise by the actors, wherein each business function is a group of logically connected tasks performed together to accomplish a business objective of the enterprise, wherein each key process is a mission critical activity of a particularized functional domain, wherein each key function comprises multiple business functions of the displayed business functions, wherein each business function is a base process that cannot be decomposed, and wherein each key process can be decomposed into the multiple business functions, wherein the displayed graph depicts the relationships comprising: (i) each utility function provides utility functionality for at least one functional domain displayed along the left axis, wherein a first utility function of the displayed utility functions provides utility functionality for all functional domains displayed along the left axis, (ii) each functional domain along the left axis encompasses all key processes and business functions displayed between the left axis and the right axis and within the total extent of the functional domain along the left axis, (iii) each key process and each business function displayed between the left axis and the right axis is comprised by one and only one displayed functional domain displayed along the left axis, (iv) each actor displayed along the top axis independently performs a process selected from the group consisting of at least one displayed key process of the displayed key processes displayed between the left axis and the right axis and directly below the actor displayed along the top axis, at least on displayed business function of the displayed business functions displayed between the left axis and 5 Appeal2017-003420 Application 11/923,291 the right axis and directly below the actor displayed along the top axis, and combinations thereof, wherein a first actor of the displayed actors displayed along the top axis performs a functionality of all of said displayed key processes displayed between the left axis and the right axis and directly below the first actor displayed along the top axis and all of said displayed business functions displayed between the left axis and the right axis and directly below the first actor displayed along the top axis, and ( v) each key process and each business function displayed between the left axis and the right axis is performed by at least one actor of the displayed actors displayed along the top axis, wherein a first business function of the displayed business functions displayed between the left axis and the right axis is performed by all actors of the displayed actors displayed along the top axis; receiving, by the data processing system via the I/0 interface, relative priorities comprising a relative priority of each functional domain, a relative priority of each utility function, a relative priority of each key process, and a relative priority of each business function, wherein each said relative priority is independently selected from the group consisting of L, M, and H, wherein H and M denote a higher relative priority than M and L, respectively; after said displaying the graph and said receiving the relative priorities, replacing, by the data processing system, said business functions, said key processes, said functional domains, and said utility functions to respective reusable business functions, key processes, functional domains, and utility functions in a SOA system, wherein said replacing is performed in conformity with said relationships depicted in the graph and in conformity with at least one relative priority of the receive[ d] relative priorities which determines an order in which the functional domains are replaced; and seamlessly transitioning, by the data processing system, to a SOA environment, 6 Appeal2017-003420 Application 11/923,291 wherein the data processing system performs said receiving input data, said displaying the graph, said receiving relative priorities, and said replacing with special purpose hardware particularized to said method. THE REJECTI0N4 The Examiner rejected claims 1 and 27--43 under 35 U.S.C. § 101 as being directed to non-statutory subject matter. ANALYSIS Patent Eligibility The Examiner and Appellant dispute whether claims 1 and 27--43 under 35 U.S.C. § 101 are being directed to a patent ineligible abstract idea. The rejection under § 101 must fall, proforma, because, for the reasons set forth below in the new ground of rejection, it is necessarily based upon a speculative assumption as to the meaning of the claims. See In re Steele, 305 F.2d 859, 862-63 (CCPA 1962) (addressing an obviousness rejection). Although "claim construction is not an inviolable prerequisite" to an analysis under § 101, "a full understanding of the basic character of the claimed subject matter" is, nevertheless, needed to evaluate questions of subject-matter eligibility. Bancorp Servs., LLC v. Sun Life Assur. Co. of Canada (US.), 687 F.3d 1266, 1273-74 (Fed. Cir. 2012). See also McRO, Inc. v. Bandai Namco Games Am. Inc., 837 F.3d 1299, 1311 (Fed. Cir. 2016) 4 The Examiner has withdrawn the rejection based upon 35 U.S.C. § 102 set forth in the Final Office Action. See June 23, 2016 Advisory Action Before the Filing of an Appeal Brief; App. Br. 34. 7 Appeal2017-003420 Application 11/923,291 ("As an initial matter, we note that, in this case, claim construction is helpful to resolve the question of patentability under § 101.") As explained below, the limitation "seamlessly transitioning, by the data processing system, to a SOA environment" is unclear and not adequately supported by the Specification. This limitation is at the heart of the patent eligibility dispute between the Examiner and Appellant. See, e.g., App. Br. 19--20; Reply Br. 2-3; Ans. 3--4, 6-7. Notwithstanding the merits of the rejection based upon§ 101, we pro forma reverse the rejection of claims 1 and 27--43 under 35 U.S.C. § 101. NEW GROUNDS OF REJECTION Written Description We enter a new ground of rejection of claims 1 and 27--43 under 35 U.S.C. § 112, first paragraph, 5 for failing to satisfy the written description requirement. To satisfy the written description requirement, the specification must describe the claimed invention in sufficient detail that one skilled in the art can reasonably conclude that the inventor had possession of the claimed invention. Vas-Cath, Inc. v. Mahurkar, 935 F.2d 1555, 1562---63 (Fed. Cir. 1991 ). Specifically, to have "possession," the specification must describe the claimed invention in a manner understandable to a person of ordinary skill in the art and show that the inventor actually invented the claimed 5 The Leahy-Smith America Invents Act, Pub. L. No. 112-29, 125 Stat. 284 (2011) ("AIA"), amended 35 U.S.C. § 112. Because the application has an effective filing date before the effective date of the applicable AIA amendments, we refer to the pre-AIA version of § 112. 8 Appeal2017-003420 Application 11/923,291 invention. Vas-Cath, 935 F.2d at 1562-63; Ariad Pharms., Inc. v. Eli Lilly & Co., 598 F.3d 1336, 1351 (Fed. Cir. 2010) (en bane). Further, claims may fail to satisfy the written description requirement when the invention is claimed and described in functional language but the specification does not sufficiently identify how the invention achieves the claimed function. Ariad, 598 F.3d 1349. For software, this can occur when the algorithm or steps for performing the computer function are not explained at all or are not explained in sufficient detail. It is not enough that one skilled in the art could write a program to achieve the claimed function because the specification must explain how the inventor intends to achieve the claimed function to satisfy the written description requirement. See, e.g., Vasudevan Software, Inc. v. MicroStrategy, Inc., 782 F.3d 671, 681-83 (Fed. Cir. 2015); Examining Computer-Implemented Functional Claim Limitations for Compliance with 35 U.S.C. 112, 84 Fed. Reg. 57 (Jan. 7, 2019). Independent claim 1 recites "[a] method for implementing a Service Oriented Architecture (SOA) in an enterprise through the use of a graphical representation of activities of the enterprise." Independent claim 32 recites "[a] data processing system" that stores computer program codes, which when executed, cause the data processing system to perform the method of claim 1. Independent claim 38 recites "[a] computer-readable hardware storage device storing computer program codes, which when executed, cause a data processing system to perform the method of claim 1." The method of claim 1 includes the step of "seamlessly transitioning, by the data processing system, to a SOA environment" ( emphasis added). 9 Appeal2017-003420 Application 11/923,291 The Specification discloses a data processing system. See, e.g., Spec. ,r 13. The data processing system includes Business Transformation Analysis and Modeling Method Logic ("BT AMML") program 148 that is used to create the graphical representation depicted in Figure 2. Id. pg. 7, ,r 1. 6 Figure 3 is reproduced below. CREATE A GRfoPH Wm, A VERTIGAl AXIS AND A HCR!ZONT.AL AXIS r~XJ4 pmcu~.ENT OESCRIPTWE JOS TITLES Cf ACTORS ALCNG TflE l·IOR!ZC~TiP~XIS r30El DOC1.M:.NT n!STlNG &JSlr{SS FUNCTlONS MD EXISTING _,..310 KEY PROCESSES ALO~ Tit 1-lORiZONT.~ AXiS ~------·--------"'""""""""""""""""""""""""""" PRlffilTIZE fU<'CTION,Dl DOMft.lNS FOR IMPLEMENTING SOA ·· 312 -----------------·· t !MPLEMENT SOA IN PRKJRITY FlliCTIONAL DOMAIN BY REPLACING EXISTING BUSlNESS FUf\'CTlDNS, KEY PROCESSES AND UTILITY fl.\"'lCTIONS WJH REUSABLE r 314 BUSINESS FllNCTiONS, ;{[Y PROCESSES AND UTILITY fU!\tTIONS FROM THE SOA (. EM) . }···316 F!G.3 Figure 3 depicts a flow-chart of the steps taken by BT AMML program 148. Id. ,r 8, 29. Steps 304--310 are used to create and document elements of the graphical representations, and step 312 to prioritize those elements. Id. ,r,r 29-30. Step 314, the last step, replaces existing elements with elements from the SOA. Id. ,r 30. The Specification discloses that the flow-chart 6 The Specification contains two paragraphs numbered 1. We refer to paragraph 1 that is between paragraphs 19 and 21 on page 7. 10 Appeal2017-003420 Application 11/923,291 illustrates the systems and computer programs of the invention. Id. ,r 33. Figure 3 's steps 304--314 correspond to the claimed steps of displaying, receiving relative priorities, and replacing. Figure 3 's flow chart does not include a step corresponding to the claimed seamlessly transitioning to an SOA environment. Appellant points to the Specification's paragraph 31 as providing written description support for this limitation. See App. Br. 5; Reply Br. 7. There, the Specification states: As described herein, the process described ( and particularly as associated with [the] BTAMML 148) turns vertical thinking and communications into horizontal solutions. That is, rather than actors in an enterprise performing tasks without consideration of what other actors and/ or departments are doing, the holistic approach for evaluating functions and processes of an enterprise described herein leads to a seamless transition into an SOA environment. Thus, instead of the enterprise evaluating what individual actors are doing, the enterprise evaluates what functional domains are doing. The presently described methodology and model allows enterprises to see where they conduct similar processes, thus identifying high level business processes that may require further decomposition. Spec. ,r 31 ( emphasis added). As can be seen from the above, paragraph 31 broadly discloses an enterprise seamlessly transitioning to an SOA environment, but does not disclose the data processing system doing the seamless transition. The Specification does not mention such a seamless transition elsewhere. It discloses using the graphical representation "in conversion to an SOA environment," but not that the graphical representation is used by the data processing system for the conversion. Id. 11 Appeal2017-003420 Application 11/923,291 ,r 29. Indeed, by its express terms, the Specification does not explicitly identify any system that implements the seamless transition. In any event, even if we were to assume that the Specification discloses that a data processing system does the seamless transition, seamlessly transitioning to an SOA environment is merely a desired result. "The written description requirement is not met if the specification merely describes a 'desired result."' Vasudevan, 782 F .3d at 682 ( quoting Ari ad, 598 F.3d at 1349). "The more telling question is whether the specification shows possession by the inventor of how [the claimed function] is achieved." Vasudevan, 782 F.3d at 683. The Specification does not disclose how the data processing system seamlessly transitions the enterprise to a SOA environment. While this is not applicable to every functional result, we find that how the data processing system seamlessly transitions the enterprise to a SOA environment is one that squarely falls within the four comers of Vasudevan. Given the above and the remainder of the Specification, we find that the Specification discloses a data processing system that is used to create a graphical representation of an enterprise in an SOA environment, but does not disclose the data processing system using the graphical representation or any other method to seamlessly transition the enterprise to an SOA environment. Finally, we note that, for example, the preamble of claim 1 recites "[a] method for implementing a Service Oriented Architecture (SOA) in an enterprise through the use of a graphical representation of activities of the enterprise." The word "implementing" in the preamble is given a special meaning in the Specification. The Specification states, "the term 12 Appeal2017-003420 Application 11/923,291 'implementing' is understood to encompass the process of identifying likely methods and processes for conversion to SOA, as well as establishing a plan for such an SOA conversion." Spec. ,r 32. Thus, the preamble does not require putting into effect a SOA environment in the enterprise. Claims 1 and 27--43 are rejected under 35 U.S.C. § 112, first paragraph, for failing to satisfy the written description requirement. Independent claims 1, 32, and 3 8 for the reasons above, and the dependent claims on account of their dependency therefrom. Enablement We enter a new ground of rejection of claims 1 and 27--43 under 35 U.S.C. § 112, first paragraph, for failing to enable one of ordinary skill in the art to make or use the claimed invention. "The written description requirement is separate and distinct from the enablement requirement." MPEP § 2161(II) (citingAriad 598 F.3d at 1341). A specification must "enable" a person of skill in the art to make and use the claimed invention. Enablement is a legal question based on underlying factual determinations. A claim is sufficiently enabled even if "a considerable amount of experimentation" is necessary, so long as the experimentation "is merely routine, or if the specification in question provides a reasonable amount of guidance with respect to the direction in which the experimentation should proceed." On the other hand, if "undue experimentation" is needed, the claims are invalid. Id. In detennining whether experimentation is undue, "Wands lists a number of factors to consider: "They include (1) the quantity of experimentation necessary, (2) the arnount of direction or guidance presented, (3) the presence or absence of working examples, (4) the nature of the invention, (5) the state of the prior art, (6) the relative skill of those in the art, (7) the predictability or unpredictability of the art, and (8) the breadth of the claims." 13 Appeal2017-003420 Application 11/923,291 Vasudevan, 782 F.3d at 684 (emphasis added; citations omitted; quoting In re Wands, 858 F.2d 731, 737 (Fed. Cir. 1988)). Factors 2 and 3 weigh greatly here, as the Specification provides no direction, guidance, or working examples of seamlessly transitioning, by the data processing system, to a SOA environment. As explained above, the Specification does not disclose the data processing system that seamlessly transitions the enterprise to a SOA environment, much less how to make or use the data processing system to do such. Regardless of the level of ordinary skiU in the art, the breadth of the claims combined with the lack of any meaningful description means that the person of ordinary skill in the art would have to raise to the level of an inventor herself in order to make or use the claimed invention. Claims 1 and 27--43 are rejected under 35 U.S.C. § 112, first paragraph for failing to satisfy the written description requirement. Independent claims 1, 32, and 3 8 for the reasons above, and the dependent claims on account of their dependency therefrom. Indefiniteness We enter a new ground of rejection of claims 1 and 27--43 under 35 U.S.C. § 112, second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which Appellant regards as the invention. These claims contain subject matter that is unclear. Ex parte McAward, No. 2015-006416, 2017 WL 3669566, at *5 (PTAB Aug. 25, 2017) (precedential) (citing In re Packard, 751 F.3d 1307, 1310, 1314 (Fed. Cir. 2014)). In light of the inconsistency between the claims and the Specification as to whether and how an enterprise environment is seamlessly transitioned to an SOA environment by the data processing 14 Appeal2017-003420 Application 11/923,291 system, the scope of claims 1 and 27--43 is unclear. See, e.g., In re Cohn, 438 F.2d 989, 993 (Fed. Cir. 1971) (sustaining a rejection of claims under 35 U.S.C. § 112, second paragraph, where the claims are inherently inconsistent with the specification). Consequently, claims 1 and 27--43 are indefinite and rejected under 35 U.S.C. § 112, second paragraph. Independent claims 1, 32, and 38 for the reasons above, and the dependent claims on account of their dependency therefrom. Dependent Claims Fail to Further Limit We enter a new ground of rejection of claims 27, 28, 33, 34, 39, and 40 under 35 U.S.C. § 112, fourth paragraph, as being of improper dependent form for failing to further limit the subject matter of the claim upon which it depends. Dependent claims 27, 28, 33, 34, 39, and 40 recite verbatim a limitation recited by independent claims 1, 32, and 38, from which they depend. For example, claim 27 depends from claim 1 and recites "wherein the data processing system performs said receiving input data, said displaying the graph, said receiving relative priorities, and said replacing, with the special purpose hardware particularized to said method." Claim 1 recites this limitation verbatim. Claims 27, 28, 33, 34, 39, and 40 are rejected under 35 U.S.C. § 112, fourth paragraph, as being of improper dependent form for failing to further limit the subject matter of the claim upon which it depends. DECISION We proforma REVERSE the rejection of claims 1 and 27--43 under 35 U.S.C. § 101 and enter NEW GROUNDS of rejection. 15 Appeal2017-003420 Application 11/923,291 This Decision contains NEW GROUNDS of rejection pursuant to 37 C.F.R. § 4I.50(b) (2008). 37 C.F.R. § 4I.50(b) provides "[a] new ground of rejection pursuant to this paragraph shall not be considered final for judicial review." 37 C.F.R. § 4I.50(b) also provides that the Appellant, WITHIN TWO MONTHS FROM THE DATE OF THE DECISION, must exercise one of the following two options with respect to the new ground of rejection to avoid termination of the appeal as to the rejected claims: (1) Reopen prosecution. Submit an appropriate amendment of the claims so rejected or new Evidence relating to the claims so rejected, or both, and have the matter reconsidered by the examiner, in which event the prosecution will be remanded to the examiner .... (2) Request rehearing. Request that the proceeding be reheard under § 41.52 by the Board upon the same Record .... 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). 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). REVERSED 37 C.F.R. § 4I.50(b) 16 Copy with citationCopy as parenthetical citation