Nancy Kho et al.Download PDFPatent Trials and Appeals BoardAug 18, 20212021001531 (P.T.A.B. Aug. 18, 2021) 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. 12/634,485 12/09/2009 Nancy Ellen Kho RSW920090079US1 7630 75949 7590 08/18/2021 IBM CORPORATION C/O: Fabian Vancott 215 South State Street Suite 1200 Salt Lake City, UT 84111 EXAMINER JOSEPH, TONYA S ART UNIT PAPER NUMBER 3628 NOTIFICATION DATE DELIVERY MODE 08/18/2021 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): patents@fabianvancott.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE ____________________ BEFORE THE PATENT TRIAL AND APPEAL BOARD ____________________ Ex parte NANCY ELLEN KHO, JUDY J. PIPER, and MARY ELLEN ZURKO ____________________ Appeal 2021-001531 Application 12/634,485 Technology Center 3600 ____________________ Before JOSEPH L. DIXON, KEVIN F. TURNER, and JOHN A. EVANS, Administrative Patent Judges. DIXON, Administrative Patent Judge. DECISION ON APPEAL STATEMENT OF THE CASE Pursuant to 35 U.S.C. § 134(a), Appellant1 appeals from the Examiner’s decision to reject claims 20–26. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. 1 We use the term “Appellant” to refer to “applicant” as defined in 37 C.F.R. § 1.42 (2020). Appellant identifies the real party in interest as International Business Machines Corporation. Appeal Br. 2. Appeal 2021-001531 Application 12/634,485 2 CLAIMED SUBJECT MATTER The claims are directed to providing schedule related information to external entities enabling providers of products and services to make offers to potential consumers. (Spec. ¶ 1.) Claim 20, reproduced below, is illustrative of the claimed subject matter: 20. A computer program product for a user client device on which a user has a computerized calendar system for managing schedule related information and for providing the schedule related information to external entities, said computer program product comprising: a non-transitory computer readable storage medium having computer readable program code embodied therewith, the computer readable program code comprising: computer readable program code configured to store schedule data of the user on a memory, said schedule data corresponding to a calendar service and including a number of events that said user has placed on an electronic calendar, a user being a person who may place an event on the electronic calendar, wherein each said event calls for a number of products or services that will be purchased by said user in connection with that event; computer readable program code configured to, with said user client device, selectively expose, via a network server in communication with said calendar service on said user client device, at least a portion of said schedule data to an entity other than a user, wherein said schedule data is only exposed to said entity if said user selects an option for a specific calendar event indicating that schedule data regarding that specific calendar event is to be exposed to said entity other than said user, wherein said portion of said schedule data exposed to said entity comprises a number of keywords associated with a specific event on said user's electronic calendar, wherein said number of keywords specify a product or service that a user will purchase in connection with that event; computer readable program code configured to enable said entity to communicate an offer specifically to said user via Appeal 2021-001531 Application 12/634,485 3 said user client device that has been customized for said user based on said schedule data to provide a number of said products or services in connection with a corresponding event on said user's electronic calendar, wherein said entity is a provider of a product or service specified by said number of keywords, and said offer comprises a customized solicitation to provide said product or service to said user for a specific price in connection with a corresponding event on said user's electronic calendar; computer readable program code configured to communicate said offer to said user through an electronic calendar application in which said user keeps said electronic calendar, further comprising making an entry on a date on a calendar view of said electronic calendar to indicate that an offer has been made by said entity for a product or service called for by an event scheduled on that date; and computer readable program code configured to enable said user to accept said offer and complete a purchase through said electronic calendar on said user client device. REFERENCES No prior art is relied upon by the Examiner in rejecting the claims on appeal. REJECTIONS Claims 20–26 stand rejected under 35 U.S.C. § 101 because the claimed invention is directed to non-statutory subject matter 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. Final Act. 5. OPINION 35 U.S.C. § 101 Patent eligibility under 35 U.S.C. § 101 is a question of law that is reviewable de novo. See Dealertrack, Inc. v. Huber, 674 F.3d 1315, 1333 Appeal 2021-001531 Application 12/634,485 4 (Fed. Cir. 2012). 1) Legal Principles An invention is patent eligible if it claims a “new and useful process, machine, manufacture, or composition of matter.” 35 U.S.C. § 101. However, the Supreme Court has long interpreted 35 U.S.C. § 101 to include implicit exceptions: “‘[L]aws of nature, natural phenomena, and abstract ideas’” are not patentable. Mayo Collaborative Servs. v. Prometheus Labs., Inc., 566 U.S. 66, 70 (2012) (brackets in original) (citing Diamond v. Diehr, 450 U.S. 175, 185 (1981)). In determining whether a claim falls within an excluded category, we are guided by the Supreme Court’s two-step framework, described in Mayo and Alice. Alice Corp. v. CLS Bank Int’l, 573 U.S. 208, 217–18 (2014) (citing Mayo, 566 U.S. at 75–77). In accordance with that framework, we first determine what concept the claim is “directed to.” See Alice, 573 U.S. at 218–19 (“On their face, the claims before us are drawn to the concept of intermediated settlement, i.e., the use of a third party to mitigate settlement risk.”); see also Bilski v. Kappos, 561 U.S. 593, 611 (2010) (“Claims 1 and 4 in petitioners’ application explain the basic concept of hedging, or protecting against risk.”). Concepts determined to be abstract ideas, and thus patent ineligible, include certain methods of organizing human activity, such as fundamental economic practices (Alice, 573 U.S. at 219–20; Bilski, 561 U.S. at 611); mathematical formulas (Parker v. Flook, 437 U.S. 584, 594–95 (1978)); and mental processes (Gottschalk v. Benson, 409 U.S. 63, 69 (1972)). Concepts determined to be patent eligible include physical and chemical processes, such as “molding . . . rubber products” (Diehr, 450 U.S. at 191); “tanning, dyeing, making water-proof cloth, vulcanizing India rubber, smelting ores” Appeal 2021-001531 Application 12/634,485 5 (id. at 183 n.7 (quoting Corning v. Burden, 56 U.S. 252, 267–68 (1853))); and manufacturing flour (Benson, 409 U.S. at 69 (citing Cochrane v. Deener, 94 U.S. 780, 785 (1876))). In Diehr, the claim at issue recited a mathematical formula, but the Supreme Court held that “[a] claim drawn to subject matter otherwise statutory does not become nonstatutory simply because it uses a mathematical formula.” Diehr, 450 U.S. at 187; see also id. at 191 (“We view respondents’ claims as nothing more than a process for molding rubber products and not as an attempt to patent a mathematical formula.”). Having said that, the Supreme Court also indicated that a claim “seeking patent protection for that formula in the abstract . . . is not accorded the protection of our patent laws, . . . and this principle cannot be circumvented by attempting to limit the use of the formula to a particular technological environment.” Id. (citing Benson and Flook); see, e.g., id. at 187 (“It is now commonplace that an application of a law of nature or mathematical formula to a known structure or process may well be deserving of patent protection.”). If the claim is “directed to” an abstract idea, we turn to the second step of the Alice and Mayo framework, where “we must examine the elements of the claim to determine whether it contains an ‘inventive concept’ sufficient to ‘transform’ the claimed abstract idea into a patent- eligible application.” Alice, 573 U.S. at 221 (internal quotation marks omitted). “A claim that recites an abstract idea must include ‘additional features’ to ensure ‘that the [claim] is more than a drafting effort designed to monopolize the [abstract idea].’” Id. (quoting Mayo, 566 U.S. at 77). “[M]erely requir[ing] generic computer implementation[] fail[s] to transform that abstract idea into a patent-eligible invention.” Id. Appeal 2021-001531 Application 12/634,485 6 The USPTO published Revised Guidance on the application of § 101. USPTO, 2019 Revised Patent Subject Matter Eligibility Guidance, 84 Fed. Reg. 50 (January 7, 2019) (“Revised Guidance”). Under that Revised Guidance, we first look to whether the claim recites: (1) any judicial exceptions, including certain groupings of abstract ideas (i.e., mathematical concepts, certain methods of organizing human activity such as a fundamental economic practice, or mental processes) (“Prong One”); and (2) additional elements that integrate the judicial exception into a practical application (“Prong Two”) (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, do we 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 Revised Guidance. 2) Analysis Claims 20–26: Ineligible Subject Matter Appellant presents arguments to claims 20–26 as a group. (Appeal Br. 10.) Appellant argues that the claims “do not stand or fall together” since Appellant presents “separate arguments for various independent and dependent claims” with “separate headings and subheadings.” (Id.) These arguments, however, are not separately made by Appellant. Instead, Appeal 2021-001531 Application 12/634,485 7 Appellant argues claim 20. Because Appellant has not presented separate arguments for patentability, we select independent claim 20 as the representative claim for the group and will address Appellant’s arguments thereto. (Id.) Thus, we address in detail the appeal of the § 101 rejection of independent claim 20 with which the § 101 rejection of claims 20–26 stand or fall. See 37 C.F.R. § 41.37(c)(1)(iv) (2017); In re King, 801 F.2d 1324, 1325 (Fed. Cir. 1986). Revised Guidance Step 1 Step 1 of the Revised Guidance asks whether the claimed subject matter falls within the four statutory categories of patentable subject matter identified by 35 U.S.C. § 101: process, machine, manufacture, or composition of matter. See Revised Guidance. Claim 20 recites “[a] computer program product for a user client device on which a user has a computerized calendar system for managing schedule related information and for providing the schedule related information to external entities.” Appellant does not argue the Examiner erred in concluding claim 20 falls within the four statutory categories of patentable subject matter. (Appeal Br. 14.) We agree with the Examiner’s conclusion because claim 20 falls within the process and manufacture categories. (Final Act. 5.) Revised Guidance Step 2A(i) (“Prong One”) Under Step 2A(i) of the Revised Guidance, we determine whether the claims recite any judicial exceptions, including certain groupings of abstract ideas (i.e., mathematical concepts, certain methods of organizing human activity such as a fundamental economic practice, or mental processes). See Revised Guidance. The Examiner maintains that independent claim 20 is directed to communicating offers based on calendar information, which falls into the Appeal 2021-001531 Application 12/634,485 8 category of a method of organizing human activities (Final Act. 5.) The Examiner further maintains the “steps of storing data, exposing a calendar to a different entity and presenting an offer are a textbook case of automating a process that can or has been previously performed by a person.” (Id.) We refine the Examiner’s determination of the abstract idea to identify that claim 20 recites the following limitations in the computer program product for a user client device on which a user has a computerized calendar system for managing schedule related information and for providing the schedule related information to external entities, the computer program product comprising: a non-transitory computer readable storage medium having computer readable program code embodied therewith, the computer readable program code comprising: computer readable program code configured to store schedule data of the user on a memory, said schedule data corresponding to a calendar service and including a number of events that said user has placed on an electronic calendar, a user being a person who may place an event on the electronic calendar, wherein each said event calls for a number of products or services that will be purchased by said user in connection with that event; computer readable program code configured to, with said user client device, selectively expose, via a network server in communication with said calendar service on said user client device, at least a portion of said schedule data to an entity other than a user, wherein said schedule data is only exposed to said entity if said user selects an option for a specific calendar event indicating that schedule data regarding that specific calendar event is to be exposed to said entity other than said user, wherein said portion of said schedule data exposed to said entity comprises a number of keywords associated with a specific event on said user's electronic calendar, wherein said number of keywords specify a Appeal 2021-001531 Application 12/634,485 9 product or service that a user will purchase in connection with that event; computer readable program code configured to enable said entity to communicate an offer specifically to said user via said user client device that has been customized for said user based on said schedule data to provide a number of said products or services in connection with a corresponding event on said user's electronic calendar, wherein said entity is a provider of a product or service specified by said number of keywords, and said offer comprises a customized solicitation to provide said product or service to said user for a specific price in connection with a corresponding event on said user's electronic calendar; computer readable program code configured to communicate said offer to said user through an electronic calendar application in which said user keeps said electronic calendar, further comprising making an entry on a date on a calendar view of said electronic calendar to indicate that an offer has been made by said entity for a product or service called for by an event scheduled on that date; and computer readable program code configured to enable said user to accept said offer and complete a purchase through said electronic calendar on said user client device. Appeal Br. 23–24 (Claims App.) (emphasis added). These limitations, under their broadest reasonable interpretation, recite a method and manufacture for a user client device on which a user has a computerized calendar system for managing schedule related information and for providing the schedule related information to external entities. We additionally note the claimed method and manufacture provide no details of the user client device, electronic calendar, or network server. Appeal 2021-001531 Application 12/634,485 10 We find the italicized language of independent claim 20 sets forth a method and manufacture of providing schedule related information to external entities, allowing entities to communicate an offer based on the schedule data, entering a calendar date, and a user accepting the offer. The claimed invention retrieves this additional information and uses the information. This is similar to the claims in Interval Licensing LLC v. AOL, Inc., 896 F.3d 1335, 1344–45 (Fed. Cir. 2018) (concluding that “[s]tanding alone, the act of providing someone an additional set of information without disrupting the ongoing provision of an initial set of information is an abstract idea,” and observing that the district court “pointed to the nontechnical human activity of passing a note to a person who is in the middle of a meeting or conversation as further illustrating the basic, longstanding practice that is the focus of the [patent-ineligible] claimed invention”). Accordingly, we conclude claim 20 recites a method and manufacture of managing personal behavior or relationships or interactions between people, which is one of the certain methods of human activities identified in the Revised Guidance, and thus, an abstract idea. Revised Guidance 52. Claim 20 recites various limitations consistent with this characterization, and the Specification further supports this characterization: By allowing users (120) to publish their trip information along with information about desired services, businesses may be able to better target potential customers by creating specialized deals and packaged services to specific individuals. In addition, the user (120) does not need to spend a great amount of time searching for acceptable rates and services. (Spec. ¶ 32.) Appeal 2021-001531 Application 12/634,485 11 The Specification further discloses a generic “server” with little detail regarding the interface between the stored calendar information and the entities accessing and using the calendar information. (Spec. ¶¶ 30, 51.) From this high level of description in the Specification, we find Appellant’s Specification merely identifies a generic computer processor that performs the function of exposing calendar database information and interacting with a user to provide offers for future travel plans. Under the Revised Guidance, judicial exceptions include certain groupings of abstract ideas (i.e., mathematical concepts, certain methods of organizing human activity such as a fundamental economic practice, or mental processes). We find the Examiner has shown the claimed invention is directed to organizing human activity as described in the Revised Guidance. Moreover, we find the Examiner’s analysis based on the Examiner’s statement of the abstract idea supports the Examiner’s conclusion of a lack of patent-eligible subject matter. As a result, on the record before us, the invention as recited in representative independent claim 20 is directed to certain methods and manufacture of organizing human activity such as a commercial or legal interactions and managing personal behavior and, thus, is directed to an abstract idea. Revised Guidance Step 2A(ii) (“Prong Two”) Under the Revised Guidance, if a claim recites a judicial exception, in Step 2A(ii) we determine whether the recited judicial exception is integrated into a practical application of that exception by: (a) identifying whether there are any additional elements recited in the claim beyond the judicial exception(s); and (b) evaluating those additional elements individually and in combination to determine whether they integrate the exception into a Appeal 2021-001531 Application 12/634,485 12 practical application. If the recited judicial exception is integrated into a practical application, the claim is not directed to the judicial exception. We find the computer readable program code configured to: “store schedule data of the user on a memory,” “with said user client device, selectively expose, via a network server in communication with said calendar service on said user client device,” “enable said entity to communicate an offer,” “communicate said offer to said user through an electronic calendar application,” and “enable said user to accept said offer” to be directed to insignificant extra-solution activity. The court also guides that data gathering is a classic example of insignificant extra-solution activity. This step simply gathers data for other method steps and is, thus, insignificant extra-solution activity. See, e.g., CyberSource Corp. v. Retail Decisions, Inc., 654 F.3d 1366, 1370 (Fed. Cir. 2011) (“We have held that mere ‘[data-gathering] step[s] cannot make an otherwise nonstatutory claim statutory’” (alterations in original) (quoting In re Grams, 888 F.2d 835, 840 (Fed. Cir. 1989)).); see also Revised Guidance, 84 Fed. Reg. at 55 (Identifying “add[ing] insignificant extra-solution activity to the” abstract idea as an example of when an abstract idea has not been integrated into a practical application.). We find that the Examiner made specific findings and conclusions in the Examiner’s Answer with regards to these additional elements as they relate to Step 2B of the Alice analysis. (See generally Ans. 5–7.) Considering the claim as a whole, interaction of all the steps using the available data, “electronic calendar,” “offer” and “acceptance” at “a user client device,” and an unspecified location “via a network server” does not apply or use the abstract idea in a meaningful way such that the claim as a whole is more than a drafting effort designed to monopolize the exception. Appeal 2021-001531 Application 12/634,485 13 Furthermore, adding one abstract idea to another abstract idea, such as eCommerce, does not render the claim non-abstract. RecogniCorp, LLC v. Nintendo Co., 855 F.3d 1322, 1327 (Fed. Cir. 2017) (“Adding one abstract idea (math) to another abstract idea (encoding and decoding) does not render the claim non-abstract”); see also Manual of Patent Examining Procedure (“MPEP”) § 2106.04(II) (9th Ed., Rev. 10.2019, June 2020) (“During examination, examiners should apply the same eligibility analysis to all claims regardless of the number of exceptions recited therein”). Thus, we determine that the abstract idea, viewed as one overarching abstract idea or combination of abstract ideas, is not integrated into a practical application. As a result, on the record before us, the invention as recited in representative independent claim 20 is additionally directed to certain methods and manufacture of organizing human activity such as a commercial or legal interactions and managing personal behavior and, thus, is directed to an abstract idea. Appellant contends: [T]he claimed subject matter provides that a user’s electronic calendar is modified by a vendor, when permitted by the user, to include a customized offer for a product or service that the user needs for an upcoming event on the electronic calendar. In this way, the functionality of the electronic calendar is augmented and improved for the user. The calendar becomes, not just a repository for recording appointments, but also a marketplace for receiving and accepting customized offers to complete a purchase that meets specific needs at those events. (Appeal Br. 14.) We find that merely providing computer readable program code configured to: schedule related information to external entities, allow entities to communicate an offer based on the schedule data, enter a calendar date and user acceptance, does not further limit the abstract idea and merely Appeal 2021-001531 Application 12/634,485 14 provides insignificant extra-solution activity with respect to Step 2A(ii) (“Prong Two”). See also OIP Techs., Inc. v. Amazon.com, Inc., 788 F. 3d 1359, 1363 (Fed. Cir. 2015) (explaining that “relying on a computer to perform routine tasks more quickly or more accurately is insufficient to render a claim patent eligible” (citing Alice, 573 U.S. at 224 (“use of a computer to create electronic records, track multiple transactions, and issue simultaneous instructions” is not an inventive concept)). See Univ. of Fla. Research Found., Inc. v. General Elec. Co., No. 2018-1284, 2019 WL 921859, at *4 (Fed. Cir. Feb. 26, 2019) (noting that although the claimed invention may “result in life altering consequences . . . is laudable, [] it does not render [the claims] any less abstract”). Appellant further contends: the claimed subject matter is in the field of electronic calendars and improves the usefulness of the calendar to the user. However, the claimed subject matter also provides an improvement in the field of eCommerce, apart from calendaring. With the claimed subject matter, the vendors described above now have a new marketplace in which the opportunity exists to provide customized offers to potential customers who have already been identified as having a scheduled need for the offered product or service. (Appeal Br. 21.) Additionally, Appellant contends: the claimed subject matter is “[e]ffecting a transformation or reduction of a particular article to a different state or thing.” Specifically, the claimed subject matter is altering the electronic calendar to create, as noted above, a new marketplace in which to offer and purchase products and services. The database of the electronic calendar is transformed to include and provide this additional functionality. (Id.) Appeal 2021-001531 Application 12/634,485 15 We disagree with Appellant and find that Appellant’s claimed invention does not improve the technology involved, but uses technology to publish calendar information and communicate offers for acceptance. The claimed invention at most uses existing technology to assist the prospective travelers to make more informed decisions. We find the technology of the claimed invention would be no different than providing a travel agent with information on upcoming travel plans and receiving offers for services meeting the requirements. Here, it is the mere availability of additional relevant information, the other entity’s use of this information, eCommerce, and the traveler’s selective use of whatever information/offers are available. Furthermore, we find the claimed limitations to be directed to use of available information in the same manner as certain methods and manufacture of organizing human activity such as managing personal behavior in combination with a commercial or legal interactions. Revised Guidance Step 2B Under the Revised Guidance, only if a claim (1) recites a judicial exception and (2) does not integrate that exception into a practical application, do we then look to whether the claim: (3) adds a specific limitation beyond the judicial exception that is not “well-understood, routine, [and] 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. Here, the Examiner maintains: [T]he elements that could be considered significantly more are recited at a high-level of generality such that in Appeal 2021-001531 Application 12/634,485 16 conjunction with the abstract limitations, they amount to no more than: mere instructions to apply the exception using a generic computer component- (non-transitory computer readable storage medium); mere data gathering/post solution activity in conjunction with a law of nature or abstract idea such as a step of obtaining information about credit card transactions so that the information can be analyzed by an abstract mental process,-(electronic calendar and client device) and iv. Generally linking the use of the judicial exception to a particular technological environment or field of use, -(memory). (Ans. 6–7.) Appellant generally contends that under Step 2B of the Alice analysis: Limitations that may be enough to qualify as “significantly more” when recited in a claim with a judicial exception include: – Improvements to another technology or technical field – Improvements to the functioning of the computer itself – Applying the judicial exception with, or by use of, a particular machine – Effecting a transformation or reduction of a particular article to a different state or thing – 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 – Other meaningful limitations beyond generally linking the use of the judicial exception to a particular technological environment (Appeal Br. 20.) Finally, Appellant contends that: If a claim is novel and unobvious over the prior art, that claim must include “a specific limitation other than what is well-understood, routine and conventional in the field.” (Interim Guidance on Patent Subject Matter Eligibility, Fed. Reg. Vol. 79, No. 241, p. 74624) (emphasis added). Where this is the case, this is evidence that the claim recites significantly more than a mere abstract idea under current USPTO Guidance. Appeal 2021-001531 Application 12/634,485 17 (Id. at 22.) As shown above, the Specification provides a high-level description of the functions being performed by no more than generic computer hardware. (Final Act. 6.) As a result, Appellant has not shown that the Examiner erred in concluding a lack of subject matter eligibility. As a result, we sustain the Examiner’s conclusion of a lack of patent- eligible subject matter of independent claim 20 and dependent claims 21–26 not argued separately. CONCLUSION We AFFIRM the Examiner’s decision rejecting claims 20–26 under 35 U.S.C. § 101. DECISION SUMMARY Claim(s) Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 20–26 101 Eligibility 20–26 RESPONSE Because we have sustained at least one ground of rejection with respect to each claim on appeal, we affirm the Examiner’s decision to reject all claims on appeal. See 37 C.F.R. § 41.50(a)(1). 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)(1)(iv). AFFIRMED Copy with citationCopy as parenthetical citation