James S. Cox et al.Download PDFPatent Trials and Appeals BoardJul 29, 201915012922 - (D) (P.T.A.B. Jul. 29, 2019) 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. 15/012,922 02/02/2016 James S. Cox SVL920150141US1 8104 45725 7590 07/29/2019 Walder Intellectual Property Law PC 1701 N. Collins Blvd. Suite 2100 Richardson, TX 75080 EXAMINER HEIN, DEVIN C ART UNIT PAPER NUMBER 3686 MAIL DATE DELIVERY MODE 07/29/2019 PAPER 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. PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE ____________ BEFORE THE PATENT TRIAL AND APPEAL BOARD ____________ Ex parte JAMES S. COX, JACOB R. DANKS, ANTHONY J. DIGIORGIO, ALAN C. EDWARDS, DAVID J. GATTIS, JONATHAN M. HARMON, CHARLES W. HILL, TUSHAR KUMAR JAYANTILAL, WILLIAM R. PATTERSON AND JAMES A. SEXTON1 ___________ Appeal 2018-004067 Application 15/012,922 Technology Center 3600 ____________ Before CARL W. WHITEHEAD JR. JEFFREY S. SMITH and NABEEL U. KHAN, Administrative Patent Judges. WHITEHEAD JR., Administrative Patent Judge. DECISION ON APPEAL STATEMENT OF THE CASE Appellants are appealing the final rejection of claims 1, 4, 6−11, 14, 16−20 and 25−29 under 35 U.S.C. § 134(a). Appeal Brief 6. We have jurisdiction under 35 U.S.C. § 6(b). We affirm. 1 Appellants identify International Business Machines Corporation as the real party in interest. Appeal Brief 2. Appeal 2018-004067 Application 15/012,922 2 Introduction The invention is directed to a “data processing apparatus and method and more specifically to mechanisms for performing personalized sequential multi-modal patient communication based on historical analysis of patient information.” Specification ¶1. Illustrative Claim 1. A method, in a data processing system comprising a processor and a memory comprising instructions executed by the processor to configure the processor to implement a communication workflow engine, for communicating with a patient, comprising: collecting, by the communication workflow engine of the data processing system, for each patient registry record in a patient registry comprising a plurality of patient registry records, first data regarding treatment of the corresponding patient and second data regarding communications made with the corresponding patient; analyzing, by the communication workflow engine, the first data and second data for each patient registry record at least by parsing the patient registry record and performing pattern analysis to identify first patterns of communications followed by compliance events identified in the patient registry record, and second patterns of communications that are not followed by compliance events in the patient registry record, and scoring each sequence of communication modes based on a number of occurrences of the first patterns and a number of occurrences of the second patterns present in the patient registry record for that sequence of communication modes, such Appeal 2018-004067 Application 15/012,922 3 that a set of sequences of communication modes and corresponding scores are generated for each patient registry record; determining, by the communication workflow engine, a first sequence of modes of communication that is a personal sequence of modes of communication for a patient of interest based on a first set of sequences of communication modes and corresponding scores generated by the analysis of the first data and second data for the patient of interest; determining, by the communication workflow engine, based on one or more second sets of sequences of communication modes and corresponding scores generated by the analysis of the first data and second data associated with each of the patient registry records of one or more other patients across all of the patient registry records, a second sequence of modes of communication; determining, by the communication workflow engine, a final sequence of modes of communication based on a weighted comparison of a first weighted score associated with modes of communication in the first sequence of modes of communication and a second weighted score associated with modes of communication in the second sequence of modes of communication, wherein modes of communication in the first sequence of modes of communication have a different weight factor than modes of communication in the second sequence of modes of communication in the weighted comparison; and performing, by a communication system associated with the data processing system, at least one communication between the communication system and one or more communication devices associated with the patient of interest using the determined final sequence of modes of communication, Appeal 2018-004067 Application 15/012,922 4 wherein the at least one communication follows a sequence specified in the final sequence of modes of communication. Rejection on Appeal Claims 1, 4, 6−11, 14, 16−20 and 25−29 stand rejected under 35 U.S.C. § 101 because the claimed invention is directed to patent ineligible subject matter. Non-Final Action 3–8. ANALYSIS Rather than reiterate the arguments of Appellants and the Examiner, we refer to the Appeal Brief (filed November 5, 2017), the Reply Brief (filed March 5, 2018), the Non-Final Action (mailed July 12, 2017) and the Answer (mailed January 12, 2018), for the respective details. The Examiner determines, “Claims 1, 4, 6-11, 14, 16-20 and 25-29 are rejected under 35 U.S.C. [§] 101 because the claimed invention is directed to a judicial exception (i.e., a law of nature, a natural phenomenon, or an abstract idea) without significantly more.” Non-Final Action 3 (emphasis removed); see Alice Corp. Pty. Ltd. v. CLS Bank Int’l, 573 U.S. 208, 217 (2014) (describing the two-step framework “for distinguishing patents that claim laws of nature, natural phenomena, and abstract ideas from those that claim patent-eligible applications of those concepts.”). After the mailing of the Answer and the filing of the Briefs in this case, the USPTO published revised guidance on the application of § 101. 2019 Revised Patent Subject Matter Eligibility Guidance, 84 Fed. Reg. 50 (January 7, 2019) (hereinafter “Memorandum”). Under the Memorandum, the Office first looks to whether the claim recites: Appeal 2018-004067 Application 15/012,922 5 (1) any judicial exceptions, including certain groupings of abstract ideas (i.e., (a) mathematical concepts, (b) certain methods of organizing human activity such as a fundamental economic principles and practice, commercial or legal interactions, managing personal behavior, relationships, interpersonal interactions, (c) mental processes; and (2) additional elements that integrate the judicial exception into a practical application (see MPEP § 2106.05(a)–(c), (e)–(h) (9th ed. 2018). Only if a claim (1) recites a judicial exception and (2) does not integrate that exception into a practical application, does the Office then look to whether the claim: (3) adds a specific limitation beyond the judicial exception that is not “well-understood, routine, conventional” in the field (see MPEP § 2106.05(d)); or (4) simply appends well-understood, routine, conventional activities previously known to the industry, specified at a high level of generality, to the judicial exception. See Memorandum. We are not persuaded the Examiner’s rejection is in error. Unless otherwise indicated, we adopt the Examiner’s findings and conclusions as our own, and we add the following primarily for emphasis and clarification with respect to the Memorandum. Alice/Mayo—Step 1 (Abstract Idea) Step 2A–Prongs 1 and 2 identified in the Revised Guidance Step 2A, Prong One “Appellants respectfully disagree with the allegations set forth in the Office Action, submit that the claims clearly recite statutory subject matter, and respectfully request that the rejection of these claims under 35 U.S.C. Appeal 2018-004067 Application 15/012,922 6 § 101 be overturned.” Appeal Brief 6. Appellants contend that claim 1 specifically recites the interaction between the data processing system and a communication system such that the results are used to control the way in which the communication system communicates with the patient by specifically performing at least one communication between the communication system and one or more of the patient’s communications devices. Appeal Brief 9. Appellants argue, the claim discloses “specific computing environment recitations that are reciting operations that can only be performed in a computing environment” and therefore “the claims are not ‘directed to’ an abstract idea even if one were to consider them as containing or including an alleged abstract idea.” Appeal Brief 9. Appellants’ arguments are not persuasive. Instead, we agree with the Examiner’s determination that the claims are directed to an abstract idea. Non-Final Action 3–7. The Specification discloses: [A] method is provided, in a data processing system comprising a processor and a memory, comprising generating, by the data processing system, a patient registry comprising a plurality of patient registry records, each patient registry record being associated with a corresponding patient and comprising personal and medical information about the corresponding patient. The method further comprises collecting, by the data processing system, for each patient registry record, first data regarding treatment of the corresponding patient and second data regarding communications made with the corresponding patient. Moreover, the method comprises determining, by the data processing system, based on analysis of the first data and second data associated with each of the patient registry records, a sequence of modes of communication that is most likely to result in a successful treatment of patients. In addition, the method comprises initiating, by the data processing system, a plurality of communications with a patient of interest using the determined Appeal 2018-004067 Application 15/012,922 7 sequence of modes of communication based on the results of the determination, wherein the plurality of communications follow the sequence specified in the sequence of modes of communication. Specification ¶ 4 (emphasis added). Claim 1 recites: • analyzing, by the communication workflow engine, the first data and second data for each patient registry record at least by parsing the patient registry record and performing pattern analysis to identify first patterns of communications followed by compliance events identified in the patient registry record, and second patterns of communications that are not followed by compliance events in the patient registry record, and scoring each sequence of communication modes based on a number of occurrences of the first patterns and a number of occurrences of the second patterns present in the patient registry record for that sequence of communication modes, such that a set of sequences of communication modes and corresponding scores are generated for each patient registry record; • determining, by the communication workflow engine, a first sequence of modes of communication that is a personal sequence of modes of communication for a patient of interest based on a first set of sequences of communication modes and corresponding scores generated by the analysis of the first data and second data for the patient of interest; • determining, by the communication workflow engine, based on one or more second sets of sequences of communication modes and corresponding scores generated by the analysis of the first data and Appeal 2018-004067 Application 15/012,922 8 second data associated with each of the patient registry records of one or more other patients across all of the patient registry records, a second sequence of modes of communication; • determining, by the communication workflow engine, a final sequence of modes of communication based on a weighted comparison of a first weighted score associated with modes of communication in the first sequence of modes of communication and a second weighted score. The claim recites the abstract idea of organizing human activity in managing personal behavior and managing interactions between people, as well as, the abstract idea of employing mental processes to observe, evaluate and render a judgment/opinion. See Memorandum, Section I (Groupings of Abstract Ideas); see also Non-Final Action 4−5; see also Specification ¶ 1 (“mechanisms for performing personalized sequential multi-modal patient communication based on historical analysis of patient information.”); see also Intellectual Ventures I LLC v. Symantec Corp., 838 F.3d 1307, 1318 (Fed. Cir. 2016) (“[W]ith the exception of generic computer implemented steps, there is nothing in the claims themselves that foreclose them from being performed by a human, mentally or with pen and paper.”). Therefore, we conclude the claims recite an abstract idea pursuant to Step 2A, Prong One of the guidance. See Memorandum, Section III(A)(1) (Prong One: Evaluate Whether the Claim Recites a Judicial Exception). Step 2A, Prong Two Under Prong Two of the Revised Guidance, we must determine “whether the claim as a whole integrates the recited judicial exception Appeal 2018-004067 Application 15/012,922 9 into a practical application of the exception” it is noted that a “claim that integrates a judicial exception into a practical application will apply, rely on, or use the judicial exception in a manner that imposes a meaningful limit on the judicial exception, such that the claim is more than a drafting effort designed to monopolize the judicial exception.” Memorandum, Section III(A)(2). Appellants argue: [T]he claim specifically recites the interaction between the data processing system and a communication system such that the results of the operation of the data processing system, i.e. the determined final sequence of modes of communication generated by the data processing system, are used to control the way in which the communication system communicates with the patient by specifically performing at least one communication between the communication system and one or more communication devices associated with the patient. These are all specific computing environment recitations that are reciting operations that can only be performed in a computing environment. Appeal Brief 9. Thus, contrary to the claim in Electric Power Group, the present claims clearly require a specific computing environment and interaction of computing systems, and even an interaction of a communication system with at least one communication device associated with a patient based on the results generated by the data processing system with which the communication system is associated. Appeal Brief 12. The focus of the present claims is specifically to an improvement in the functionality of the data processing system and communication system with regard to the way in which the data processing system is able to determine how to communicate with a patient with a highest likelihood of success in soliciting a compliance event from the patient, and controlling the communication system to actually perform at least one Appeal 2018-004067 Application 15/012,922 10 communication based on the determined final sequence of modes of communication. Appeal Brief 13−14. Appellants’ Specification discloses in paragraph 25 (emphasis added): [T]he mechanisms described herein may be implemented as specialized hardware, software executing on general purpose hardware, software instructions stored on a medium such that the instructions are readily executable by specialized or general purpose hardware, a procedure or method for executing the functions, or a combination of any of the above. We do not find Appellants’ arguments persuasive. The recited limitations do not reflect an improvement in the functioning of a computer or other technology or technical field. See Memorandum, 84 Fed. Reg. at 55; cf. Trading Techs. Int’l, Inc. v. IBG LLC, No. 2017-2257, 2019 WL 1716242, at *3 (Fed. Cir. Apr. 18, 2019) (“This invention makes the trader faster and more efficient, not the computer. This is not a technical solution to a technical problem.”). Further, as the Federal Circuit has explained, a “claim for a new abstract idea is still an abstract idea.” Synopsis, Inc. v. Mentor Graphics Corp., 839 F.3d 1138, 1151 (Fed. Cir. 2016). Even assuming the technique claimed was “[g]roundbreaking, innovative, or even brilliant,” that would not be enough for the claimed abstract idea to be patent eligible. See Ass’n for Molecular Pathology v. Myriad Genetics, Inc., 569 U.S. 576, 591 (2013). Appellants argue: [T]he analysis provided by the Federal Circuit in the Enfish case, as well as the guidance set forth in the Enfish Memorandum, should be applied to the claims of the present application. When consistently applied, application of these guidelines would require a finding that the presently pending claims are not “directed to” an abstract idea under Step 2A of the subject matter Appeal 2018-004067 Application 15/012,922 11 eligibility guidelines but rather are directed to an improvement in computer-related technology of cognitive treatment recommendation implemented in a specifically configured cognitive computing system, which is not similar to previously identified abstract ideas. Thus, the claims are in fact directed to statutory subject matter. Appeal Brief 19. We do not find Appellants’ arguments persuasive because the claims utilize general purpose hardware as a tool to communicate with a patient about collected personal and medical information. See Specification ¶25; see also Enfish, LLC v. Microsoft Corp., 822 F.3d 1327, 1335–36 (Fed. Cir. 2016) (“[W]e find it relevant to ask whether the claims are directed to an improvement to computer functionality versus being directed to an abstract idea . . . the focus of the claims is on the specific asserted improvement in computer capabilities (i.e., the self-referential table for a computer database) or, instead, on a process that qualifies as an ‘abstract idea’ for which computers are invoked merely as a tool.”). Appellants contend: Similar to McRO, the present case automates at least a portion of communicating with a patient and in particular, determining a sequence of modes of communication to use when communicating with the patient and using that determined sequence of modes of communication to actual perform at least one communication between a communication system and one or more communication devices associated with the patient. The determination of the sequence of modes of communication involves a complex analysis of patterns of communications and corresponding compliance events, or lack thereof, to determine sets of sequences of communication modes and corresponding scores. These are techniques that are different from those that are used in conventional communication systems and are specific to a specifically configured computing environment of the claimed invention. Thus, similar to the McRO patent, the present claims are patent eligible because the claimed process uses different Appeal 2018-004067 Application 15/012,922 12 techniques from those that have previously been accomplished only manually. Appeal Brief 20−21. In McRO, the Federal Circuit concluded that the claim, when considered as a whole, was directed to a “technological improvement over the existing, manual 3-D animation techniques” through the “use [of] limited rules . . . specifically designed to achieve an improved technological result in conventional industry practice.” McRO, 837 F.3d at 1316. Specifically, the Federal Circuit found that the claimed rules allow computers to produce accurate and realistic lip synchronization and facial expressions in animated characters that previously could only be produced by human animators; and the rules are limiting because they define morph weight sets as a function of phoneme sub-sequences. Id. at 1313 (internal citations omitted). We find no evidence of record here that the present situation is like the one in McRO where computers were unable to make certain subjective determinations, i.e., regarding morph weight and phoneme timings, which could only be made prior to the claimed invention by human animators. The Background section of the McRO ‘576 patent includes a description of the admitted prior art method and the shortcomings associated with that prior method. See McRO, 837 F.3d at 1303−06. There is no comparable discussion in Appellants’ Specification or elsewhere of record. Appellants contend: Similar to the decision in Classen, the present claims clearly recite a physical operation of actually performing, by a communication system associated with the data processing system, at least one communication between the communication system and one or more communication devices associated with the patient of interest using the determined final sequence of Appeal 2018-004067 Application 15/012,922 13 modes of communication, wherein the at least one communication follows a sequence specified in the final sequence of modes of communication. Thus, similar to the two statutory subject matter claims in Classen, the present claims recite an operation or step involving a specific, tangible application and thus, are statutory. With regard to Content Extraction, the Federal Circuit described the invention as a method of collecting data, recognizing specific data in the collected data set, and storing that recognized data in a memory. The decision in Content Extraction was based on the Federal Circuit’s opinion that the recited steps in the claim of Content Extraction were operations that had been performed by human beings and banks for some time. To the contrary, the present claims recite a plethora of operations that are not operations that were performed by human beings or any other entities in the industry, prior to the present invention as is clearly evident from the lack of any prior art rejections and the fact that Appellants have overcome all prior art rejections previously applied. In other words, if all Appellants were claiming were well-known manual processes performed by human beings or the industry as a whole, then certainly there would be some prior art or affidavit by the Examiner, or some other evidence that such were the case. Appeal Brief 22−23. We find the claim in the instant application is more akin to the claims the Federal Circuit found ineligible in OIP Technologies than the claims found eligible in Classen because the claim merely gathers and collect information in a well-known manner thus failing to provide a meaningful limitation on the abstract idea. See OIP Techs., Inc. v. Amazon.com, Inc., 788 F.3d 1359, 1363−1364 (Fed. Cir. 2015);2 see also M.P.E.P 2106.05 (e). 2 Nor does the claims recitation of “present[ing] [offers] to potential customers” and “gathering ... statistics generated during said testing about how the potential *1364 customers responded to the offers” provide a Appeal 2018-004067 Application 15/012,922 14 Accordingly, we find the claim is not distinguish from the claims the Federal Circuit found ineligible in Classen. As the Federal Circuit has explained, a “claim for a new abstract idea is still an abstract idea.” Synopsis, Inc. v. Mentor Graphics Corp., 839 F.3d 1138, 1151 (Fed. Cir. 2016). Even assuming the technique claimed was “[g]roundbreaking, innovative, or even brilliant,” that would not be enough for the claimed abstract idea to be patent eligible. See Ass’n for Molecular Pathology v. Myriad Genetics, Inc., 569 U.S. 576, 591 (2013). Subsequently, we detect no additional element (or combination of elements) recited in Appellants’ representative claim 1 that integrates the judicial exception into a practical application. See Memorandum, Section III(A)(2). For example, Appellants’ claimed additional elements (e.g., processor and memory) do not: (1) improve the functioning of a computer or other technology; (2) are not applied with any particular machine (except for a generic computer); (3) do not effect a transformation of a particular article to a different state; and (4) are not applied in any meaningful way beyond meaningful limitation on the abstract idea. These processes are well- understood, routine, conventional data-gathering activities that do not make the claims patent eligible. See Alice, 134 S.Ct. at 2359; Mayo, 132 S.Ct. at 1298. Like the claims in Mayo, which added only the routine steps of administering medication and measuring metabolite levels for the purposes of determining optimal dosage, here the addition of steps to test prices and collect data based on customer reactions does not add any meaningful limitations to the abstract idea. Mayo, 132 S.Ct. at 1297–98; see also Alice, 134 S.Ct. at 2357 (“‘Simply appending conventional steps, specified at a high level of generality,’ was not ‘enough ’ to supply an ‘inventive concept.’”) (quoting Mayo, 132 S.Ct. at 1300, 1297, 1294); see also Ultramercial, 772 F.3d at 716 (“[T]he steps of consulting and updating an activity log represent insignificant ‘data-gathering steps,’ ... and thus add nothing of practical significance to the underlying abstract idea.”) (citations omitted). Appeal 2018-004067 Application 15/012,922 15 generally linking the use of the judicial exception to a particular technological environment, such that the claim as a whole is more than a drafting effort designed to monopolize the exception. See MPEP §§ 2106.05(a)-(c), (e)-(h); see also Memorandum 55, notes 25, 27, 28, 29, 30, 31 and 32; see also Alice, 573 U.S. at 226 (“Nearly every computer will include a ‘communications controller’ and ‘data storage unit’ capable of performing the basic calculation, storage, and transmission functions required by the method claims”). Accordingly, we determine the claim does not integrate the recited judicial exception into a practical application. See Memorandum, Section III(A)(2) (Prong Two: If the Claim Recites a Judicial Exception, Evaluate Whether the Judicial Exception Is Integrated Into a Practical Application). Alice/Mayo—Step 2 (Inventive Concept) Step 2B identified in the Revised Guidance Step 2B Next, we determine whether the claim includes additional elements that provide significantly more than the recited judicial exception, thereby providing an inventive concept. Alice, 573 U.S. at 217–18 (quoting Mayo, 566 U.S. at 72–73). Appellant contends: The Interim Guidance on Patent Subject Matter Eligibility indicates that examples of “significantly more” than an abstract idea being recited in the claims includes (1) improvement to another technology or technical field, (2) improvement of the functioning of the computer itself, (3) applying the judicial exception with, or by use of, a particular machine, ( 4) adding a specific limitation other than what is well understood, routine and conventional in the field, or adding unconventional steps that confine the claim to a particular useful application, and (5) Appeal 2018-004067 Application 15/012,922 16 meaningful limitation beyond generally linking the use of an abstract idea to a particular technological environment (these are also reiterated on page 6 of the Office Action). The present independent claims satisfy all 5 of these examples of claims reciting significantly more than an abstract idea. Appeal Brief 24−25 The Examiner finds: [T]he claims do not include additional limitations that are sufficient to amount to significantly more than the judicial exception because the claims recite processes that are routine and well-understood in the art of healthcare and data analytics and simply implementing the process on a computer(s) is not enough to qualify as “significantly more.” Specifically, the applicant is taking the well-understood process of determining effective modes of communication to promote successful treatment based on patient data and implementing it on a computer, which does not qualify as significantly more. Non-Final Action 5. We find that claim 1 does not include a specific limitation or a combination of elements that amounts to significantly more than the judicial exception itself. See Memorandum, Section III(B)(Step 2B: If the Claim Is Directed to a Judicial Exception, Evaluate Whether the Claim Provides an Inventive Concept); see also Aatrix Software, Inc. v. Green Shades Software, Inc., 890 F.3d 1354, 1359 (Fed. Cir. 2018) (“the ‘inventive concept’ cannot be the abstract idea itself”). Other than the abstract idea itself, the remaining claim elements only recite generic computer components that are well- understood, routine, and conventional. See Non-Final Action 5 (“The claims do not include additional limitations that are sufficient to amount to significantly more than the judicial exception because the additional limitations of using patient records with medical data, personal data and communication data represent insignificant conventional activities well- Appeal 2018-004067 Application 15/012,922 17 understood in the industry of healthcare and data analytics.”); see also Alice, 573 U.S. at 226. Accordingly, we conclude claims 1, 4, 6−11, 14, 16−20 and 25−29 are directed to the abstract idea of organizing human activity in managing personal behavior and managing interactions between people, as well as, the abstract idea of employing mental processes to observe, evaluate and render a judgment/opinion; and further conclude, the claims do not recite limitations that amount to significantly more than the abstract idea itself. We sustain the Examiner’s § 101 rejection of claims 1, 4, 6−11, 14, 16−20 and 25−29. DECISION The Examiner’s patent ineligible subject matter rejection of claims 1, 4, 6−11, 14, 16−20 and 25−29 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)(1). See 37 C.F.R. § 1.136(a)(1)(v). AFFIRMED Copy with citationCopy as parenthetical citation