Ex Parte Zimmerman et alDownload PDFPatent Trial and Appeal BoardAug 9, 201712368028 (P.T.A.B. Aug. 9, 2017) Copy Citation United States Patent and Trademark Office 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 APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 12/368,028 02/09/2009 William Kelly Zimmerman 20187/438-US 1120 81905 7590 08/11/2017 Hanley, Flight & Zimmerman, LLC (Nielsen) 150 S. Wacker Dr. Suite 2200 Chicago, IL 60606 EXAMINER SCHEUNEMANN, RICHARD N ART UNIT PAPER NUMBER 3624 NOTIFICATION DATE DELIVERY MODE 08/11/2017 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): j flight @ hfzlaw. com mhanley@hfzlaw.com docketing@hfzlaw.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte WILLIAM KELLY ZIMMERMAN, BRIAN ROBERT SMITH II, JOHN P. FIX, and STEVEN S. NOBLE Appeal 2015-006569 Application 12/368,0281 Technology Center 3600 Before JOSEPH A. FISCHETTI, JAMES A. WORTH, and BRUCE T. WIEDER, Administrative Patent Judges. WIEDER, Administrative Patent Judge. DECISION ON APPEAL This is a decision on appeal under 35U.S.C. § 134 from the Examiner’s final rejection of claims 1—10, 12—14, 16, 18, 30, 48, 49, 51—58, 60-62, 64, 66, and 67.2 We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. 1 According to Appellants, the real party in interest is The Nielsen Company (US), LLC. (Appeal Br. 2.) 2 Claims 24—29 were cancelled by Appellants’ amendment. (See Advisory Action mailed Sept. 29, 2014.) Appeal 2015-006569 Application 12/368,028 CLAIMED SUBJECT MATTER Appellants’ claimed invention “relates generally to product market research and, more particularly, to methods and apparatus to model consumer awareness for changing products in a consumer purchase model.” (Spec. 11.) Claims 1 and 30 are the independent claims on appeal. Claim 30 is illustrative. It recites: 30. A computer readable storage device or storage disk comprising instructions that, when executed, cause a machine to, at least: identify an indication of an awareness state of a respondent the indication indicative of whether the restage product is one of (a) modified based on a corresponding original product, or (b) the original product; select a first or second type of utility value in response to a virtual purchase of the restage product by the respondent, the selection based on the indication of the awareness state of the respondent during the virtual purchase of the restage product to prevent choice probability estimation errors; based on the selection, calculate a choice probability based on the first type of utility value associated with only the original product when the indication of the awareness state indicates the respondent is unaware that the restage product is a modification of the original product, and calculate the choice probability based on the second type of utility value associated with both the restage product and the corresponding original product when the indication of the awareness state indicates the respondent is aware that the restage product is a modification of the original product; and simulate consumer purchases based on the calculated choice probability. 2 Appeal 2015-006569 Application 12/368,028 REJECTIONS Claims 1-10, 12-14, 16, 18, 30, 48, 49, 51-58, 60-62, 64, 66, and 67 are rejected under 35 U.S.C. § 101 as directed to non-statutory subject matter. Claims 1 and 30 are rejected under 35 U.S.C. § 112, first paragraph, for failing to comply with the written description requirement. Claims 1 and 30 are rejected under 35 U.S.C. § 112, second paragraph, as indefinite. Claims 1, 2, 4—6, 8, 9, 12—14, 16, 18, 30, and 49 are rejected under 35 U.S.C. § 103(a) as unpatentable in view of Ashish Sinha et al., Attribute Drivers: A Factor Analytic Choice Map Approach for Understanding Choices among SKUs, 24 Marketing Science 3 (Summer 2005) at 351—59 (hereinafter “Sinha”), Varghese (US 2004/0133468 Al, pub. July 8, 2004), and Dull (US 2003/0018517 Al, pub. Jan. 23, 2003) (hereinafter “Dull ’517”). Claim 3 is rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, and Malek (US 7,308,418 B2, iss. Dec. 11, 2007) (hereinafter “Malek ’418”). Claim 7 is rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, and Baydar (US 2003/0187708 Al, pub. Oct. 2, 2003). Claim 10 is rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, and Peter M. Guadagni & John D. C. Little, A Logit Model of Brand Choice Calibrated on Scanner Data, 27 Marketing Science 1 (Jan—Feb. 2008) at 29-48 (hereinafter “Guadagni”). 3 Appeal 2015-006569 Application 12/368,028 Claims 48 and 67 are rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, and Dull (US 2005/0209909 Al, pub. Sept. 22, 2005) (hereinafter Dull ’909). Claim 51, 53, and 57 are rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, and Stewart (US 2002/0152110 Al, pub. Oct. 17, 2002). Claim 62 is rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, and Reynolds (US 2008/0065471 Al, pub. Mar. 13, 2008). Claims 64 and 66 are rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, and Rosen (US 2006/0247956 Al, pub. Nov. 2, 2006). Claims 52, 54, 55, and 56 are rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, Stewart, and Malek (US 2005/0261953 Al, pub. Nov. 24, 2005) (hereinafter “Malek ’953”). Claims 58, 60, and 61 are rejected under 35 U.S.C. § 103(a) as unpatentable in view Sinha, Varghese, Dull ’517, Stewart, and Guadagni. ANALYSIS The §101 rejections Claim 30 and dependent claims 51—58, 60-62, 64, 66, and 67 are rejected under § 101. Applying a broadest reasonable interpretation, the Examiner rejects these claims “as covering a signal per se, which is not directed towards statutory subject matter.” (Final Action 5.) Specifically, [t]he broadest reasonable interpretation of a claim drawn to a computer-readable storage device typically covers forms of non- 4 Appeal 2015-006569 Application 12/368,028 transitory tangible media and transitory propagating signals per se in view of the ordinary and customary meaning of computer readable media, particularly when the specification is silent, or open-ended (as seen in Applicant’s specification, |[0031]; any medium used to store code). See MPEP 2111.01. (Id.) Appellants disagree and argue that “claim 30 recites ‘a computer readable storage device or storage disk,’ which is statutory. In particular, a device is not a propagating signal, even in its broadest interpretation.” (Appeal Br. 13.) Transitory, propagating signals are unpatentable under 35 U.S.C. § 101. In re Nuijten, 500 F.3d 1346, 1357 (Fed. Cir. 2007). A claim that covers both statutory and non-statutory embodiments . . . embraces subject matter that is not eligible for patent protection and therefore is directed to non-statutory subject matter. ... For example, a claim to a computer readable medium that can be a compact disc or a carrier wave covers a non-statutory embodiment and therefore should be rejected under § 101 as being directed to non-statutory subject matter. “Interim Examination Instructions For Evaluating Subject Matter Eligibility Under 35 U.S.C. § 101,” Memorandum, Andrew H. Hirshfeld, Acting Deputy Commissioner for Patent Examination Policy, August 24, 2009 (emphasis omitted). The USPTO also provides the following guidance: The broadest reasonable interpretation of a claim drawn to a computer readablle [sic] medium . . . typically covers forms of non-transitory tangible media and transitory propagating signals per se in view of the ordinary and customary meaning of computer readable media, particularly when the specification is silent.... When the broadest reasonable interpretation of a claim 5 Appeal 2015-006569 Application 12/368,028 covers a signal per se, the claim must be rejected under 35 U.S.C. § 101 as covering non-statutory subject matter. David J. Kappos, Subject Matter Eligibility of Computer Readable Media, 1351 Off. Gaz. Pat. Office 212 (Feb. 23, 2010) (hereinafter “Kappos.”) Claim 30 recites, in relevant part, “[a] computer readable storage device . . . comprising instructions.” The Specification discloses that the processes of the invention may be embodied in coded instructions stored on any tangible computer-readable medium such as a flash memory . . . and/or any other medium which can be used to carry or store program code and/or instructions in the form of machine-readable instructions or data structures, and which can be accessed by a processor, a general-purpose or special-purpose computer. (Spec. 131.) In view of the disclosure of the Specification, we conclude that the claimed “computer readable storage device . . . comprising instructions” can broadly, but reasonably, be construed to encompass both non-transitory tangible medium and transitory propagating signals per se.3 Therefore, we are not persuaded of reversible error. In the Answer, the Examiner enters a new ground of rejection under § 101 for claims 1-10, 12-14, 16, 18, 30, 48, 49, 51-58, 60-62, 64, 66, and 67. After the Final Action was mailed but prior to the mailing of the Answer, the Supreme Court decided Alice Corp. Pty. Ltd. v. CLS Bank Int’l, 3 We note that the USPTO guidance further provides that “[a] claim drawn to such a computer readable medium that covers both transitory and non- transitory embodiments may be amended to narrow the claim to cover only 6 Appeal 2015-006569 Application 12/368,028 134 S. Ct. 2347 (2014). Alice applies a two-part framework, earlier set out in Mayo Collaborative Servs. v. Prometheus Labs., Inc., 566 U.S. 66 (2012), “for distinguishing patents that claim laws of nature, natural phenomena, and abstract ideas from those that claim patent-eligible applications of those concepts.” Alice, 134 S. Ct. at 2355. Under the two-part framework, it must first be determined if “the claims at issue are directed to a patent-ineligible concept.” Id. If the claims are determined to be directed to a patent-ineligible concept, then the second part of the framework is applied to determine if “the elements of the claim . . . contain[] an ‘inventive concept’ sufficient to ‘transform’ the claimed abstract idea into a patent-eligible application.” Id. at 2357 (citing Mayo, 566 U.S. at 72-73, 79). With regard to part one in the Alice framework, the Examiner determines that “the claimed invention is directed to non-statutory subject matter.” (Answer 2.) In particular, the Examiner determines that the claims “are directed to modeling consumer purchase decisions for restage products (as evidenced by the preamble of exemplary claim 1), an abstract idea.” (Id.) Appellants disagree and argue that “to conduct a proper § 101 analysis under the Supreme Court precedent, the Office must start by identifying an abstract idea that is the focus of the claim and gives rise to concerns that a fundamental building block of science or technology is being monopolized.” statutory embodiments to avoid a rejection under 35 U.S.C. § 101 by adding the limitation ‘non-transitory’ to the claim.” Kappos. 7 Appeal 2015-006569 Application 12/368,028 (Reply Br. 5, emphasis omitted.) In particular, Appellants argue that “the Examiner’s Answer fails to identity an abstract concept to which the claim as a whole is directed” and that “claim 1 clearly does not preempt all use of the broad concept of ‘modeling consumer purchase decisions for restage products.’” {Id. at 6, emphasis omitted.) Under part one of the Alice framework, we “look at the ‘focus of the claimed advance over the prior art’ to determine if the claim’s ‘character as a whole’ is directed to excluded subject matter.” Affinity Labs of Texas, LLC v. DirectTV, LLC, 838 F.3d 1253, 1257 (Fed. Cir. 2016) (quoting Elec. Power Grp., LLC v. Alstom S.A., 830 F.3d 1350, 1353 (Fed. Cir. 2016)). Thus, although we consider the claim as a whole, the “directed to” inquiry focuses on the claim’s “character as a whole.” In this case, the Specification discloses that the claimed invention “relates generally to product market research and, more particularly, to methods and apparatus to model consumer awareness for changing products in a consumer purchase model.” (Spec. 11.) Claim 1, in particular, recites the steps of “identifying an indication of an awareness state of a respondent,” “selecting a first or second type of utility value,” “calculating ... a choice probability,” and “simulating . . . consumer purchases” “to model consumer purchase decisions for restage products.” In short, the claimed process starts with data, adds an algorithm (selecting a type of utility value, calculating a choice probability, and simulating a purchase), and ends with a new form of data to model consumer purchase decisions for certain products. We treat “analyzing information by steps people go through in their minds, or by mathematical algorithms, without more, as essentially mental 8 Appeal 2015-006569 Application 12/368,028 processes within the abstract-idea category.” Electric Power Grp., LLC v. Alstom S.A., 830 F.3d 1350, 1354 (Fed. Cir. 2016). See also Versata Dev. Grp., Inc. v. SAP America, Inc., 793 F3d 1306, 1333 (Fed. Cir. 2015) (claims directed to determining product value using organizational and product group hierarchies are directed to an abstract idea). Additionally, the Federal Circuit has “recognized that merely presenting the results of abstract processes of collecting and analyzing information, without more (such as identifying a particular tool for presentation), is abstract as an ancillary part of such collection and analysis.” Electric Power Grp., 830 F.3d at 1354. Thus, a system, like the claimed system, “that employs mathematical algorithms to manipulate existing information to generate additional information is not patent eligible.” See Digitech Image Techs, LLC v. Elecs. for Imaging, Inc., 758 F.3d 1344, 1351 (Fed. Cir. 2014). Appellants additionally argue that the claims do “not preempt all use of the broad concept of ‘modeling consumer purchase decisions for restage products.’” (Reply Br. 6) Preemption, however, is not a separate test. To be clear, the proper focus is not preemption per se, for some measure of preemption is intrinsic in the statutory right granted with every patent to exclude competitors, for a limited time, from practicing the claimed invention. See 35 U.S.C. § 154. Rather, the animating concern is that claims should not be coextensive with a natural law, natural phenomenon, or abstract idea; a patent-eligible claim must include one or more substantive limitations that, in the words of the Supreme Court, add “significantly more” to the basic principle, with the result that the claim covers significantly less. See Mayo 132 S. Ct. at 1294 [566 U.S. at 72-73], 9 Appeal 2015-006569 Application 12/368,028 CLSBankInt’l v. Alice Corp. Pty. Ltd., Ill F.3d 1269, 1281 (Fed. Cir. 2013), affd, 134 S. Ct. 2347 (2014). Moreover, “[w]here a patent’s claims are deemed only to disclose patent ineligible subject matter under the Mayo framework, as they are in this case, preemption concerns are fully addressed and made moot.” Id. In view of the above, we are not persuaded that the Examiner erred in determining that the claims are directed to the abstract idea of modeling consumer purchase decisions for restage products. We next look to part two of the Alice framework which has been described “as a search for an ‘“inventive concept”’ —i.e., an element or combination of elements that is ‘sufficient to ensure that the patent in practice amounts to significantly more than a patent upon the [ineligible concept] itself.’” Alice, 134 S. Ct. at 2355 (citing Mayo, 566 U.S. at 72—73). Appellants argue, with regard to claim 30, that the claim “specifically recite[s] instructions that achieve a practical effect, namely, selecting a first or second type of utility value . . . , the selection based on the indication of the awareness state of the respondent. . ., and these instructions are not found in the prior art.” (Reply Br. 14.) We are not persuaded that the Examiner erred in determining that “[t]he claims do not include any additional elements that are sufficient to amount to significantly more that [sic] the judicial exception.” (Answer 2.) In particular, Appellants do not persuasively argue why the Examiner erred in determining that “the claims do not recite an improvement to another technology or technical field, nor do they recite an improvement to the 10 Appeal 2015-006569 Application 12/368,028 functioning of the computer itself. The claims require no more than a generic computer ... to perform generic computer functions.” (Id.) Therefore, we are not persuaded that the Examiner erred in rejecting claims 1—10, 12—14, 16, 18, 30, 48, 49, 51—58, 60-62, 64, 66, and 67 under §101. The §112, first paragraph, rejections The Examiner rejects claims 1 and 30 under § 112, first paragraph, for failing to comply with the written description requirement. Specifically, the Examiner finds that the claimed subject matter, “the indication indicating whether the respondent is aware that the restage product is one of (a) modified based on a corresponding original product, or (b) the original product,” “was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that. . . the inventor(s), at the time the application was filed, had possession of the claimed invention.” (Final Action 6.) Appellants disagree and cite to paragraphs 12 and 22 of the Specification. (Appeal Br. 14—15.) As an initial matter, we note that [i]n order to satisfy the written description requirement, the disclosure as originally filed does not have to provide in haec verba support for the claimed subject matter at issue. Nonetheless, the disclosure must . . . convey with reasonable clarity to those skilled in the art that... [the inventor] was in possession of the invention. Purdue Pharma L.P. v. FauldingInc., 230 F.3d 1320, 1323 (Fed. Cir. 2000) (citation omitted, alterations in original). 11 Appeal 2015-006569 Application 12/368,028 The Specification discloses that the awareness manager 208 tracks an awareness value for each product for each of the agents. . . . Surveys and/or questions to ascertain awareness state(s) of human respondents may be tailored in any manner to minimize or avoid alerting the respondent(s) of a restage product in case they do not already know about it. ... For example, the awareness manager 208 may assign an awareness state of “unaware” to simulate the effect of a consumer forgetting about an advertisement for a particular product or product restage, and/or the example awareness manager 208 may assign an increasing number of “aware” states as the simulation progresses over time to represent the effect of advertising presence for the product of interest and/or its associated restage. Generally speaking, respondent awareness represents knowledge of the product of interest, knowledge of the restage product, and/or knowledge that the restage product represents a change to the product of interest that has existed in the past. (Spec. 122, emphasis added.) In describing a “restage product,” the Specification discloses: Activities to improve product sales volume include running one or more advertising campaigns and/or running one or more product promotional activities. Changes which may be made to a product include altering product packaging, altering product trade dress, and/or altering one or more features of the product of interest (e.g., improving diaper absorbency, improving cleaning power, etc.). Products which have been subjected to such activities and/or changes are referred to as a [sic] restage product. {Id. 12.) In short, the Specification discloses surveys to identify an awareness state of a respondent including whether the respondent is aware that a “restage product represents a change to the product of interest that has existed in the past,” i.e., an awareness that the product has been modified. It follows that a respondent so aware, would likely also have been aware of the 12 Appeal 2015-006569 Application 12/368,028 original product. Therefore, we are persuaded that the Specification conveyed with reasonable clarity to one skilled in the art that the inventors were in possession of the claimed subject matter, “the indication indicating whether the respondent is aware that the restage product is one of (a) modified based on a corresponding original product, or (b) the original product.” The Examiner also rejects claims 1 and 30 under § 112, first paragraph, for failing to comply with the written description requirement because there is no disclosure of the claim step “select[/ing] a first or second type of utility value in response to a virtual purchase of the restage product.” (Final Action 7, emphasis added; see also Answer 7.) Appellants argue that paragraphs 20 and 22—24 of the Specification support this claim step. (Appeal Br. 15—16.) In particular, Appellants argue that the Specification discloses “the example awareness manager 208 may identity and/or assign an awareness state for each agent in the consumer purchase simulation” (id. at 16) and that “the example relative probability calculator employs one or more utility values based on the awareness state of each corresponding agent” (id.). Claims 1 and 30 recite “type of utility value.” Although we agree that the Specification discloses “one or more utility values,” Appellants do not persuasively argue that the Specification supports “select[/ing] a first or second type of utility value.” Therefore, we are not persuaded that the Examiner erred in rejecting claims 1 and 30 under § 112, first paragraph, for failing to comply with the written description requirement because there is no disclosure of the claim step “select[/ing] a first or second type of utility value in response to a virtual purchase of the restage product.” 13 Appeal 2015-006569 Application 12/368,028 The § 112, second paragraph, rejection The Examiner also rejects claims 1 and 30 under § 112, second paragraph, as being indefinite. Specifically, the Examiner determines: Claims 1 and 30 recite “select[/ing] a first or second type of utility value,” and then recite calculating a choice probability based on the first type of utility value and the second type of utility value. Since only one type of utility value is required by the claims, but both are used in the calculation, the claims are indefinite. (Final Action 7.) More particularly, the Examiner concludes that “[t]he claims are indefinite because there is language that requires selecting a type of utility value from one or two types, but making the calculation based on both types.” (Answer 7—8.) Appellants disagree and argue that “[cjontrary to the assertion in the Examiner’s Answer, the calculation of claims 1 and 30 does not use both the first and second utility values when calculating the choice probability. Rather, the calculation specifies which utility value to use when first and second conditions are satisfied.” (Reply Br. 18.) We agree that the selection of the calculation is based on the condition satisfied. Therefore, we are persuaded that the Examiner erred in rejecting claims 1 and 30 under § 112, second paragraph. The § 103(a) rejections In rejecting claims 1 and 30 under § 103(a), the Examiner finds that Dull 517 discloses selecting a first or second type of utility value in response to a virtual purchase of the restage product by the respondent, the selection based on the indication of the 14 Appeal 2015-006569 Application 12/368,028 awareness state of the respondent during the virtual purchase of the restage product to prevent choice probability estimation errors (see ^[0057] and Fig. 6J . . .). (Final Action 13, 20, emphasis omitted.) Appellants disagree and argue that while Dull describes varying customer awareness stages, Dull does not teach or suggest (a) selecting utility values and/or (b) selecting a first or second type of utility value based on the indication of the awareness state of the respondent during a virtual purchase of a restage product, as recited in claim 1. (Appeal Br. 10, emphasis omitted.) Paragraph 57 of Dull ’517, cited by the Examiner, discloses that the marketing funnel shown in Figure 6J “represents a range of stages indicating a customer’s awareness of the user’s product.” (Dull ’517 157; see also id. Fig. 6J.) Dull ’517 further discloses that a “marketing funnel is a range of stages representing a customer’s awareness of the user’s product which can vary from just being aware of the product to being totally committed to the product.” {Id. If 21.) However, it is not clear from the cited portions of Dull ’517 what time period is at issue, i.e., it is not clear that the disclosed “customer’s awareness of the user’s product” {id. 157) is an “indication of the awareness state of the respondent during a virtual purchase of the restage product,” as recited in claims 1 and 30 (emphasis added). Therefore, we are persuaded that the Examiner erred in rejecting claims 1 and 30 under § 103(a). The Examiner does not rely on any of the other cited art to cure this deficiency. Thus, for the same reason, we are persuaded that the Examiner erred in rejecting dependent claims 2—10, 12—14, 16, 18, 48, 49, 51—58, 60-62, 64, 66, and 67 under § 103(a). 15 Appeal 2015-006569 Application 12/368,028 DECISION The Examiner’s rejections of claims 1—10, 12—14, 16, 18, 30, 48, 49, 51—58, 60—62, 64, 66, and 67 under 35 U.S.C. § 101 are affirmed. The Examiner’s rejection of claims 1 and 30 under 35 U.S.C. § 112, first paragraph, for failing to comply with the written description requirement with regard to the claimed subject matter, “the indication indicating whether the respondent is aware that the restage product is one of (a) modified based on a corresponding original product, or (b) the original product,” is reversed. The Examiner’s rejection of claims 1 and 30 under 35 U.S.C. § 112, first paragraph, for failing to comply with the written description requirement with regard to the claimed subject matter, “select[/ing] a first or second type of utility value in response to a virtual purchase of the restage product,” is affirmed. The Examiner’s rejection of claims 1 and 30 under 35 U.S.C. § 112, second paragraph, is reversed. The Examiner’s rejections of claims 1—10, 12—14, 16, 18, 30, 48, 49, 51—58, 60-62, 64, 66, and 67 under 35 U.S.C. § 103(a) are reversed. No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a)(l)(iv). AFFIRMED 16 Copy with citationCopy as parenthetical citation