Oracle International CorporationDownload PDFPatent Trials and Appeals BoardDec 2, 20212020003091 (P.T.A.B. Dec. 2, 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. 14/317,691 06/27/2014 Christopher H. Olson 6000-67600 1377 58467 7590 12/02/2021 Kowert Hood Munyon Rankin & Goetzel (Oracle) 1120 S. Capital of Texas Hwy Building 2, Suite 300 AUSTIN, TX 78746 EXAMINER CALDWELL, ANDREW T ART UNIT PAPER NUMBER 2100 NOTIFICATION DATE DELIVERY MODE 12/02/2021 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): patent_docketing@intprop.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE ____________ BEFORE THE PATENT TRIAL AND APPEAL BOARD ____________ Ex parte CHRISTOPHER H. OLSON, JEFFREY S. BROOKS, and ALBERT DANYSH ____________ Appeal 2020-003091 Application 14/317,691 Technology Center 2100 ____________ Before JOSEPH L. DIXON, JAMES R. HUGHES, and DENISE M. POTHIER, Administrative Patent Judges. POTHIER, Administrative Patent Judge. DECISION ON APPEAL STATEMENT OF THE CASE This case returns to us from a previous appeal to the Board, where the rejection of claims 1–20 under 35 U.S.C. § 101 was affirmed. October 2018 Decision 1, 14 (“October 2018 Dec.”). Appellant elected to reopen prosecution and amended independent claims 1, 8, and 15. Appeal 2020-003091 Application 14/317,691 2 Appellant1,2 again appeals under 35 U.S.C. § 134(a) from the Examiner’s rejection of claims 1–20 under 35 U.S.C. § 101. See Appeal Br. 10. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. CLAIMED SUBJECT MATTER Appellant’s invention relates to an apparatus, method, and system “disclosed for performing arithmetic operations.” Spec., Abstr. Claim 8 is reproduced below: 8. A method, comprising: in response to determining that an operation received by a processor corresponds to a divide operation, issuing, by an instruction fetch unit of the processor, the divide operation to an arithmetic logic unit (ALU) of the processor; storing, by a load store unit of the processor, a first operand and a second operand into a data cache, wherein a value of the first operand and a value of the second operand each include respective binary-coded decimal (BCD) values; and executing, by the ALU, the divide operation to perform division using the first and second operands, wherein performing the division comprises: retrieving, by the ALU, the first operand and the second operand from the data cache; 1 Throughout this opinion, we refer to (1) the Final Office Action (Final Act.) mailed May 7, 2019, (2) the Appeal Brief (Appeal Br.) filed December 5, 2019, (3) the Examiner’s Answer (Ans.) mailed January 22, 2020, and (4) the Reply Brief (Reply Br.) filed March 18, 2020. 2 We use the word “Appellant” to refer to “applicant” as defined in 37 C.F.R. § 1.42(a). Appellant identifies the real party in interest as Oracle International Corporation. Appeal Br. 3. Appeal 2020-003091 Application 14/317,691 3 scaling, by the ALU, the value of the first operand and the value of the second operand to generate a first scaled value and a second scaled value, respectively; compressing, by the ALU, the first scaled value to generate a first compressed value; compressing, by the ALU, the second scaled value to generate a second compressed value by replacing a fractional portion of the second scaled value with a non- BCD value; wherein a number of data bits included in the first compressed value is less than a number of data bits included in the first scaled value, and a number of data bits included in the second compressed value is less than a number of data bits included in the second scaled value; and estimating, by the ALU, a portion of a result of the divide operation dependent upon the first compressed value and the second compressed value. Appeal Br. 28–29 (Claims App.) (emphasis added indicating claim language added since last appeal). THE INELIGIBLITY REJECTION Claims 1–20 are rejected under 35 U.S.C. § 101 as being directed to patent-ineligible subject matter. Final Act. 2–3; Ans. 3–4. Appellant argues (1) claims 1, 5, 7, 8, 12, 14, 15, 19, and 20 as a group and (2) dependent claims 2–4, 6, 9–11, 13, and 16–18 as a group. Appeal Br. 13–25. We select claims 8 and 9 as representative. See 37 C.F.R. § 41.37(c)(1)(iv). LEGAL FRAMEWORK An invention is patent-eligible if it claims a “new and useful process, machine, manufacture, or composition of matter.” 35 U.S.C. § 101. Appeal 2020-003091 Application 14/317,691 4 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. See Alice Corp. v. CLS Bank Int’l, 573 U.S. 208, 216 (2014). 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. Id. at 217–18 (citing Mayo Collaborative Servs. v. Prometheus Labs., Inc., 566 U.S. 66, 75–77 (2012)). Under that framework, we first determine what concept the claim is “directed to.” See Alice, 573 U.S. at 219; see also Bilski v. Kappos, 561 U.S. 593, 611 (2010). 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)). 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 2020-003091 Application 14/317,691 5 The PTO published revised guidance concerning 35 U.S.C. § 101. 2019 Revised Patent Subject Matter Eligibility Guidance (“2019 Guidance”), 84 Fed. Reg. 50 (Jan. 7, 2019).3 Under this 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 interactions such as a fundamental economic practice, or mental processes) (“Step 2A, Prong One”); and (2) additional elements that integrate the judicial exception into a practical application (see MPEP § 2106.05(a)–(c), (e)–(h)) (“Step 2A, Prong Two”). See 2019 Guidance, 84 Fed. Reg. 50–52, 54–55. If a claim (1) recites a judicial exception and (2) does not integrate that exception into a practical application, we further consider 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 (“Step 2B”). See 2019 Guidance, 84 Fed. Reg. at 56. 3 The Office’s current eligibility guidance may also be found in the most recent update to the Manual of Patent Examination Procedure (MPEP), Ninth Edition, Revision 10.2019 (revised June 2020). See MPEP §§ 2103 through 2106.07(c). Appeal 2020-003091 Application 14/317,691 6 ANALYSIS Claims 1, 5, 7, 8, 12, 14, 15, 19, and 20 The Examiner determines claim 8, including “[a]ll of the steps recited in” claim 8, are directed to “performing division via a mathematical algorithm” and “fall with[in] the ‘Mathematical Concepts’ grouping of abstract ideas.” Final Act. 2; see Ans. 3. The rejection further indicates that the abstract idea “is not integrated into a practical application,” and in particular, the recited “instruction fetch unit,” “ALU,” “load store unit,” “data cache,” and “processor” found in claim 8 do not “constitute a particular machine,” but rather are “generic elements” (Final Act. 2) that “do not impose any meaningful limitations on practicing the abstract ideas” (id. at 2–3). See also Ans. 3–5. The Examiner also analyzes the claims under Steps 2A and 2B of the 2019 Guidance. See id. at 3–4. Based on the record, we find no error. Preliminary Assertion Appellant argues that the Examiner did not apply the 2019 Guidance. See Appeal Br. 11; see also Reply Br. 2. To the extent Appellant asserts the Examiner failed to follow the 2019 Guidance, this argument concerns a petitionable matter, which is not within the jurisdiction of the Board. See MPEP §§ 1002 and 1201; see also In re Hengehold, 440 F.2d 1395, 1403 (CCPA 1971) (stating that there are many kinds of decisions made by examiners, “which have not been and are not now appealable to the board or to this court when they are not directly connected with the merits of issues involving rejections of claims, but traditionally have been settled by petition to the Commissioner.”). Moreover, the Examiner discusses and analyzes the Appeal 2020-003091 Application 14/317,691 7 claims under the 2019 Guidance in the Examiner’s Answer. See Ans. 3–4 (discussing Step 2A, Prongs 1 and 2 and Step 2B). The Judicial Exception — Revised Step 2A, Prong 1 The Examiner finds all the steps of the claims, including claim 8, are directed to “performing division via a mathematical algorithm” and “fall with[in] the ‘Mathematical Concepts’ grouping of abstract ideas.” Final Act. 2. The rejection thus has identified an abstract idea addressed by the courts—mathematical concepts. See 2019 Guidance at 52. Claim 8 is reproduced below, with the claim limitations that recite the abstract idea in italics: A method, comprising: in response to determining that an operation received by a processor corresponds to a divide operation, issuing, by an instruction fetch unit of the processor, the divide operation to an arithmetic logic unit (ALU) of the processor; storing, by a load store unit of the processor, a first operand and a second operand into a data cache, wherein a value of the first operand and a value of the second operand each include respective binary-coded decimal (BCD) values; and executing, by the ALU, the divide operation to perform division using the first and second operands, wherein performing the division comprises: retrieving, by the ALU, the first operand and the second operand from the data cache; scaling, by the ALU, the value of the first operand and the value of the second operand to generate a first scaled value and a second scaled value, respectively; compressing, by the ALU, the first scaled value to generate a first compressed value; compressing, by the ALU, the second scaled value to generate a second compressed value by replacing a fractional portion of the second scaled value with a non-BCD value; wherein a number of data bits included in the first compressed value is less than a number of data bits included in the first Appeal 2020-003091 Application 14/317,691 8 scaled value, and a number of data bits included in the second compressed value is less than a number of data bits included in the second scaled value; and estimating, by the ALU, a portion of a result of the divide operation dependent upon the first compressed value and the second compressed value. Appeal Br. 28–29 (Claims App.) (emphases added). Performing division and estimating a portion of the divide operation’s result using two operands involves mathematical concepts (e.g., mathematical equations, calculations, and relationships). See 2019 Guidance, 84 Fed. Reg. at 52 (explaining that the grouping of “Mathematical concepts” includes “mathematical relationships, mathematical formulas or equations, and mathematical calculations”). As recited in claim 8, “executing . . . the divide operation to perform division using the first and second operands” additionally involves “scaling . . . the value of the first operand and the value of the second operand to generate a first scaled value and a second scaled value, respectively,” “compressing . . . the first scaled value to generate a first compressed value,” “compressing . . . the second scaled value to generate a second compressed value by replacing a fractional portion of the second scaled value with a non-BCD value,” “wherein a number of data . . . included in the first compressed value is less than a number of data . . . included in the first scaled value, and a number of data . . . included in the second compressed value is less than a number of data . . . included in the second scaled value,” and “estimating . . . a portion of a result of the divide operation dependent upon the first compressed value and the second compressed value.” Thus, claim 8, as a whole, focuses on a divide operation (e.g., a mathematical algorithm or manipulating numbers) by scaling values through compression so that the number of data bits in a Appeal 2020-003091 Application 14/317,691 9 first and second compressed value is less the number of data bits in the first and second scaled value and estimating a portion of a result dependent on the compressed values. The Specification also supports the claimed steps are drawn to mathematical algorithms that compute or manipulate numbers as part of a division and estimation operations. Spec. ¶¶ 67, 71, 80, Figs. 6–7, steps 605, 702 (describing scaling operand values by shifting the decimal place of an operand), ¶¶ 72–74, 80, Figs. 6–7, steps 606, 703 (describing compressing a number by truncating a value to an integer value or compressing a fractional part into a fixed number of bits that is less than original number of bits, such as from 0.63333 to two or three binary bits (e.g., “10” or “101”)), ¶¶ 75, 81– 83, Figs. 6–7, steps 607, 704-709 (computing minimum and maximum values to determine if values provides enough accuracy for most calculations). Court cases demonstrate claim 8’s steps of gathering, computing, and manipulating information (e.g., operands, operand values, compressed values, scaled values, and a result portion) are directed to an abstract idea. See Elec. Power Grp., LLC v. Alstom S.A., 830 F.3d 1350, 1353 (Fed. Cir. 2016); Content Extraction & Transmission LLC v. Wells Fargo Bank, Nat’l Ass’n, 776 F.3d 1343, 1347 (Fed. Cir. 2014). Thus, like the Examiner found (see Final Act. 2), claim 8’s focus is to a process for solving the above type of mathematical problem (e.g., a divide operation and an estimation operation) or mathematical algorithms. Also, like Benson, the heart of claim 8 is a sequence of instructions or functions for a digital computer (e.g., a processor’s ALU). See Benson, 409 U.S. at 65; see also SAP Am., Inc. v. InvestPic, LLC, 898 F.3d 1161, 1163 (Fed. Cir. 2018) (stating the subject of the claims are “nothing but a series of Appeal 2020-003091 Application 14/317,691 10 mathematical calculations based on selected information” and are “ineligible subject matter”); id. at 1167 (stating “[t]he focus of the claims . . . is on selecting certain information” and “analyzing it using mathematical techniques,” which “is all abstract.”) Additionally, the above-identified recitations as well as italicized step of “in response to determining that an operation . . . corresponds to a divide operation, issuing . . . the divide operation,” “storing . . . a first operand and a second operand,” and “retrieving . . . the first operand and the second operand” are mental processes that can be performed in the human mind or with the aid of pen and paper. See 2019 Guidance 52 (indicating “Mental processes” include “concepts performed in the human mind”); see also Benson, 409 U.S. at 67 (stating “the conversion of BCD numeral to pure binary numeral can be done mentally through use of the foregoing table”). Also, the recited steps can be viewed as mental steps because the noted steps involve collecting, identifying, and analyzing data—all of which can be accomplished by the human mind or with the assistance of pen and paper. See 2019 Guidance at 52; see also Elec. Power Grp., LLC v. Alstom S.A., 830 F.3d 1350, 1353–54 (Fed. Cir. 2016) (explaining that “analyzing information by steps people go through in their minds . . . without more” is a mental process within the abstract-idea category); Smart Sys. Innovations, LLC v. Chicago Transit Auth., 873 F.3d 1364, 1372 (Fed. Cir. 2017) (concluding “the collection, storage, and recognition of data” was abstract); In re TLI Comm’ns LLC Patent Litigation, 823 F.3d 607, 611 (Fed. Cir. 2016) (indicating storing digital images is an abstract idea); Cybersource Corp. v. Retail Decisions, Inc., 654 F.3d 1366, 1372–73 (Fed. Cir. 2011) (indicating its claimed “method steps [that] can be performed in the human Appeal 2020-003091 Application 14/317,691 11 mind, or by a human using pen and paper” included “data-gathering steps” did not confer patent eligibility). We further note that “[a]dding one abstract idea (math) to another abstract idea” (e.g., mental processes) “does not render the claim non- abstract.” See RecogniCorp, LLC v. Nintendo Co., 855 F.3d 1322, 1327 (Fed. Cir. 2017). Appellant does not challenge that performing division or other noted steps (e.g., determining an operation corresponds to a divide operation, storing operands, retrieving operands, and estimating a portion) recited in claim 8 are not abstract ideas in the Appeal Brief. Rather, Appellant’s assertions relate to Revised Step 2A, Prong 2 of the 2019 Guidance, which we address below. See Appeal Br. 13–19, 22–25. For the first time in the Reply Brief, Appellant argues that scaling and compressing are additional elements of the claims and thus not part of the claims’ abstract idea. See Reply Br. 5. Although untimely raised4, we disagree with Appellant. As claimed, the “division operation”—part of the above-identified judicial exception—includes “scaling” the operands and “compressing” the scaled values. See Appeal Br. 28–29 (Claims App.). Also, as previously discussed, the identified judicial exception involves both mathematical concepts and mental processes in performing the divide operation, which involves both the “scaling” and “compressing” steps. 4 Appellant did not raise that argument in the opening brief and good cause has not been shown why this argument should be considered. 37 C.F.R. § 41.41(b)(2) (2021); Ex parte Borden, 93 USPQ2d 1473, 1474 (BPAI 2010) (informative) (“[T]he reply brief [is not] an opportunity to make arguments that could have been made in the principal brief on appeal to rebut the Examiner’s rejections, but were not.”). Appeal 2020-003091 Application 14/317,691 12 For the above reasons, we are not persuaded that the Examiner erred in determining that the claims recite a judicial exception. Integration into a Practical Application — Revised Step 2A, Prong 2 Because the claims recite at least one judicial exception, we next determine whether the claims as a whole integrate the abstract idea into a practical application. 2019 Guidance, 84 Fed. Reg. at 54. To determine whether the judicial exception is integrated into a practical application, we identify whether there are “any additional elements recited in the claim beyond the judicial exception(s)” and evaluate those elements alone and collectively to determine whether they integrate the judicial exception into a recognized practical application. 2019 Guidance, 84 Fed. Reg. at 54–55 (emphasis added); see also Manual of Patent Examining Procedure (“MPEP”) § 2106.05(a)-(c), (e)-(h). We, as did the Examiner, find the additional limitations in claim 8 do not integrate the judicial exception into a practical application. See Final Act. 2–3; Ans. 3. More particularly, the claims do not recite (i) an improvement to the functionality of a computer or other technology or technical field (see MPEP § 2106.05(a)); (ii) the judicial exception is applied with or used by a “particular machine” (see MPEP § 2106.05(b)); (iii) a particular transformation of an article to a different thing or state (see MPEP § 2106.05(c)); or (iv) any other meaningful limitation (see MPEP § 2106.05(e)). See also 2019 Guidance, 84 Fed. Reg. at 55; see also Final Act. 2–3. Regarding claim 8, the additional elements beyond the judicial exception are “a processor,” “issuing, by an instruction fetch unit of the processor, the divide operation to an arithmetic logic unit (ALU) of the Appeal 2020-003091 Application 14/317,691 13 processor,” “a load store unit of the processor,” “a data cache,” and “data bits.” Appeal Br. 28–29 (Claims App.); see also Final Act. 2 (noting “a fetch unit,” “an ALU,” “processor,” “load store unit,” and “data cache” when addressing that the abstract idea is not integrated into a practical application); Ans. 3 (noting these components as “additional elements”). Appellant does not contend that these additional elements themselves are a technological improvement (see Appeal Br. 16–19, 22–24), and we agree with the Examiner that these elements amount to generic computer/processing elements (see Final Act. 2). See discussion of items (i)–(ii), infra. As for item (ii) above, Appellant argues that “‘performing division’ is in fact implemented by a ‘particular machine . . . that is integral to the claim,’ and is thus integrated into a practical application . . . .” Appeal Br. 14 (citing 2019 Guidance 84 Fed. Reg. at 55). Appellant argues that the Examiner has not considered the claims as a whole. Id. at 15 (citing 2019 Guidance 84 Fed. Reg. 50, 55). Appellant argues that claim 85 does not recite a generic machine but rather a particular machine—“a processor that executes instructions to perform division—and moreover, contains circuity that performs recited sub-operations (scaling, compressing, and estimating) in order to do so.” Id. We are not persuaded. The rejection considered the claims as a whole. See Ans. 3–4. Also, claim 8 does not recite “circuitry” explicitly, but rather an ALU that performs the noted “sub-operations.” See Appeal Br. 5 Appellant contend “the arguments . . . have primarily been directed to aspects of claim 1” but that “similar arguments apply to independent claims 8 and 15.” Appeal Br. 19. Appeal 2020-003091 Application 14/317,691 14 28–29 (Claims App.). We further underscore that the “sub-operations” of performing division in claim 8, discussed by Appellant, are part of judicial exception, not additional elements recited in the claim beyond the judicial exception. See 2019 Guidance, 84 Fed. Reg. at 55 (stating the Office should “identif[y[] whether there are any additional elements recited in the claim beyond the judicial exception” and “evaluat[e] those additional elements individually and in combination to determine whether they integrated the exception into a practical application”) (emphasis added). We additionally disagree that the additional elements, the ALU and the processor, comprise a particular machine or particular machines that implement the identified judicial exception as Appellant argued. Rather, the ALU is recited as a general purpose computer (e.g., a processor’s ALU) performing the above-noted judicial exception (e.g., implementing the division and estimation operations involving mathematical concepts and mental processes as previous discussed), which is not a patentable application or integration of the judicial exception. See Alice, 573 U.S. at 222 (stating “[w]e accordingly “held that simply implementing a mathematical principle on a physical machine, namely a computer, [i]s not a patentable application of that principle.”) (citation omitted), 223 (stating “the mere recitation of a generic computer cannot transform a patent-ineligible abstract ide into a patent-eligible invention.”). The courts have found “precisely the holding of the Supreme Court in Gottschalk v. Benson,” which similarly recites a sequence of instructions for a digital computer that convert signals from BCD to another form (id., 409 U.S. at 65–67), was that a “purely mental processes can be unpatentable, even when performed by a computer . . . .” CyberSource Corp., 654 F.3d at 1375; see also Benson, 409 Appeal 2020-003091 Application 14/317,691 15 U.S. at 71–72 (stating “the mathematical formula involved here has no substantial practical application except in connection with a digital computer . . .”); Ultramercial, Inc. v. Hulu, LLC, 772 F.3d 709, 716–17 (Fed. Cir. 2014) (indicating its claims were tied to “general purpose computer” and not “a particular machine.”). The remaining additional elements in claim 8—the processor’s instruction fetch unit, the load store unit, data cache, and data bits—are not identified by Appellant as being part of the purported particular machine that is integral to claim 8. See, e.g., Appeal Br. 15 (focusing on the processor that executes the instructions to perform division and the “circuitry” that performs scaling, compressing, and estimating). Moreover, most of these elements are not used to perform the divide and estimate operations as recited. In any event, claim 8 is claimed and disclosed at a high level of generality as merely general computer hardware for performing the recited functional limitations, which we identified above as being directed to an abstract idea. For example, the “instruction fetch unit” in claim 8 is a general computer component performing generic computer functions—receiving, using, and providing data or instructions—that do not include a particular algorithm for performing these functions. The Specification also describes a fetch unit as a unit that prepares instructions for execution. Spec. ¶ 3. As another example, an ALU is described in the Specification as a unit that performs arithmetic operations, Boolean operations, and other desired functions, including formatting numbers. Id. ¶¶ 3–4. Thus, the claimed functions performed in claim 8 (e.g., scale, compress, and estimate information and retrieve operands responsive to instructions) include Appeal 2020-003091 Application 14/317,691 16 established, generalized processing functions that processors (computer components) including an ALU and a fetch unit regularly perform. We therefore disagree claim 8’s additional elements are non-generic as asserted. Similarly, the “load store unit,” “data cache,” and “data bits” are general computer components performing general computer functions and are part of the abstract idea (e.g., storing data and compressing data) that do not include a particular algorithm for performing these functions. See FairWarning IP, LLC v. Iatric Sys., Inc., 839 F.3d 1089, 1096 (Fed. Cir. 2016) (“[T]he use of generic computer elements like a microprocessor or user interface do not alone transform an otherwise abstract idea into patent- eligible subject matter”). Rather, these additional elements (e.g., ALU, instruction fetch unit, and data bits) are merely tools used to perform the claim’s functions. See MPEP § 2106(d)(I) (explaining that “[m]erely reciting the words ‘apply it’ (or an equivalent) with the judicial exception, or merely including instructions to implement an abstract idea on a computer, or merely using a computer as a tool to perform an abstract idea” by itself is insufficient to integrate the abstract idea into a practical application); see Alice, 573 U.S. at 223 (holding “the mere recitation of a generic computer cannot transform a patent-ineligible abstract idea into a patent-eligible invention”). Additionally, the Specification describes the additional elements generally, without any particular structure, and shows each of them as boxes in Figure 3. See also Spec. ¶¶ 38–39, 42, 45, Fig. 3 (e.g., elements 300, 310, 340, 350, 352); Appeal Br. 6 (mapping elements of claim 8 to the Specification). To the extent the “issuing, by an instruction fetch unit of the processor, the divide operation to an arithmetic logic unit (ALU) of the Appeal 2020-003091 Application 14/317,691 17 processor,” “executing, by the ALU, the divide operation,” and “retrieving, by the ALU, the first operand and second operand from the data cache” steps are not considered part of the abstract idea, these are merely insignificant extra-solution activity of gathering data so that the information can be analyzed to determine certain values and data. 2019 Guidance, 84 Fed. Reg. at 55 n.31 (explaining that extra-solution activities, such as gathering data and outputting the results of an abstract idea, are insufficient to integrate the abstract idea into a practical application). Such extra-solution activities do not confer patent eligibility. See MPEP § 2106.05(g); see also CyberSource Corp., 654 F.3d at 1375 (explaining that data gathering is insignificant extra- solution activity); Parker v. Flook, 437 U.S. at 590 (adjusting an alarm limit based on output of the abstract idea was insufficient to render the claimed method patent eligible). Similar additional elements found in claim 8 are recited in claims 1 and 15. Compare Appeal Br. 27 (Claims App.), with id. at 28–31 (Claims App.). Thus, we further determine the additional elements in claims 1 and 15 do not implement or use the judicial exception with a particular machine as argued. Claim 15 further recites “an execution unit,” “a memory” and “an interface.” Id. at 30–31 (Claims App.). The “execution unit,” “memory” and “interface” are also claimed and disclosed in the Specification at a high level of generality as merely generic computer hardware for performing the recited functional limitations, some of which we identified above as being directed to an abstract idea (e.g., storing data). For example, the recited “memory” is claimed simply as being “configured to store one or more program instructions” and the recited “interface” is recited simply as being “configured to couple the processor and the memory.” The Specification Appeal 2020-003091 Application 14/317,691 18 further describes these elements and its processor generally and shows them as boxes. See Spec. ¶¶ 30 (indicating system memory is “not shown”), 32– 33, Fig. 2 (elements 200, 220, 230); Appeal Br. 7 (mapping elements claim 15 to the Specification). Moreover, the recited “interface” simply couples the processor and memory, and is not involved in implementing the recited “divide operation” or “estimating” function. Appeal Br. 30 (Claims App.). These elements are similarly computer tools that do no more than implement the above-discussed abstract ideas (e.g., performing mathematical concepts and mental processes discussed above) and do not add enough to implement the identified judicial exception with a particular machine integral with the claim. As for item (i) above, Appellant contends claim 8 as a whole reflects an improvement in the functioning of a computer or other technology. Appeal Br. 16–19, 22, 24. Appellant argues that claim 8 “is directed to an integrated circuit that is capable of operating on BCD-encoded operands without requiring their prior conversion from BCD to some other format” and “is directed to a particular hardware implementation for the division of BCD-encoded operands.” Id. at 16–17; see also id. at 18. Specifically, Appellant asserts that “using compressed operands to estimate a quotient digit enables a simpler processor design,” “reducing the number of bits to be operated on reduces number and/or complexity of hardware devices (e.g., transistors and/or logic gates),” and results in “implementing circuitry faster, smaller, or some combination of the two” as well as “manufacturing cost and power consumption of the circuit . . . .” Id. at 17 (citing Spec. ¶ 75); see also id. at 10–11 (citing Spec. ¶¶ 24, 44, 59, 72, 75), 22; Reply Br. 2–4. Appeal 2020-003091 Application 14/317,691 19 As discussed above, we disagree that claims 1, 8, and 15 are directed to a “particular hardware implementation for the division of BCD-encoded operands” as argued. Additionally, the claims do not explicitly recited “an integrated circuit” as Appellant asserts. As for the noted steps that allegedly reduce the hardware complexities, costs, and power consumption (Appeal Br. 17) (identifying steps of using compressed operands to estimate a quotient and operating on BCD-encoded operands without prior conversion from BCD to some other format as improving the computer’s function or other technology), Appellant’s claims, read in light of the Specification, do not embody an improvement to a computer or other technology. Storing, retrieving, and processing data in different numeric formats for the general goal of performing a divide operation (see Spec. ¶¶ 24, 44, 59, 71–76, cited in part in Appeal Br. 10–11, 17) do not recite any particular technological or computer improvement. Instead, the claimed subject matter determines, stores, retrieves, and analyzes information, which is an ineligible abstract concept. See Elec. Power, 830 F.3d 1350. Furthermore, the disputed steps (e.g., scaling values, compressing scaled values, and estimating a portion of a result of the divide operation) argued by Appellant to improve on the computer or technology are, in actuality, part of the identified judicial exception of performing a division operation with two operands as recited that involves mathematical concepts and mental processes as previously discussed. That is, Appellant’s noted improvement (e.g., “efficiently implement circuitry to perform a certain type of mathematical operation in a particular machine and in doing so, enable an improved design” (Appeal Br. 17)) are elements of the steps identified above as the abstract idea. But, “a claim for a new abstract idea is still an abstract Appeal 2020-003091 Application 14/317,691 20 idea.” Synopsys, Inc. v. Mentor Graphics Corp., 839 F.3d 1138, 1151 (Fed. Cir. 2016). And the additional features in claims 1, 8, and 15 (e.g., the fetch unit, ALU, processor, data cache, data bits, an execution unit, a load store unit, a memory, and an interface) are also merely tools to perform their expected functions rather than a technological improvement. The noted additional elements merely recite or apply generic computer elements to an abstract idea, which cannot transform a patent-ineligible abstract idea into a patent-eligible invention. See Alice, 573 U.S. at 223. Even considering the additional elements in combination with the abstract idea, using generic computer-based devices to perform these steps limits the abstract idea at most to a particular technological environment (e.g., processors operating on and processing machine-independent number formats (see Spec. ¶¶ 1, 4–5)), which is insufficient to integrate the abstract idea into a practical application. See Alice, 573 U.S. at 223; see also Elec. Power Grp., 830 F.3d at 1354 (stating “limiting the claims to a particular technological environment . . . is, without more, insufficient to transform them into patent-eligible applications of the abstract idea at their core.”); 2019 Guidance, 84 Fed. Reg. at 55. Also, “merely adding computer functionality to increase the speed or efficiency of the process does not confer patent eligibility on an otherwise abstract idea.” Capital One Bank, 792 F.3d at 1370. We thus disagree with Appellant that the claimed subject matter improves on a computer or other technical field. See Appeal Br. 16– 19. Rather, the claimed subject matter relates to the above-identified abstract idea performed by generic computer systems as previously explained. As for item (iv) above, Appellant also contends claim 8, as a whole, Appeal 2020-003091 Application 14/317,691 21 meaningful limits the abstract idea of “performing division” without foreclosing the use of the abstract idea. Appeal Br. 16. Appellant argues that “there are numerous ways in which this abstract idea could be implemented that are not encumbered by the claims.” Id.; see also Reply Br. 2–3. But lack of preemption does not make a claim any less abstract. See Ariosa Diagnostics, Inc. v. Sequenom, Inc., 788 F.3d 1371, 1379 (Fed. Cir. 2015) (“While preemption may signal patent ineligible subject matter, the absence of complete preemption does not demonstrate patent eligibility”); see also Parker v. Flook, 437 U.S. at 589. Appellant further argues that there is no authority to find “the improvement conferred by a claim must be inevitable and always present.” Id. at 18 (citing October 2018 Dec. 8). Additionally, Appellant argues that there is no authority to determine the “improvement must necessarily follow from the recitations of claim 1 . . . .” Id. We are not persuaded. As one example, in DDR Holdings, LLC v. Hotels.com, L.P., 773 F.3d 1245 (Fed. Cir. 2014), the court found the claims were patent eligible because “[t]he claimed solution is necessarily rooted in computer technology in order to overcome a problem specifically arising in the realm of computer networks.” Id., 773 F.3d at 1257 (emphasis added). In any event and for the above reasons, we have explained why the additional elements individually and as combination do not impose a meaningful limit on the identified judicial exception. Accordingly, we are not persuaded that the claims integrate the identified judicial exception into a practical application. The Inventive Concept —Step 2B Because we determine the claims are directed to an abstract idea or Appeal 2020-003091 Application 14/317,691 22 combination of abstract ideas, we evaluate whether the claims include an inventive concept. See 2019 Guidance, 84 Fed. Reg. at 56. Specifically, we determine whether the claims (1) add a specific limitation, or combination of limitations, that is not well-understood, routine, conventional activity in the field, or (2) simply append well-understood, routine, conventional activities at a high level of generality. Id. at 56. The Examiner determined the additional elements do not amount to significantly more than the abstract idea and the combination of elements “are well-understood, routine and conventional elements in the data processing field,” insufficient “to provide an inventive concept.” Ans. 4. Appellant argues that the ordered combination of recited features that improves on an integrated circuit and computer functioning are non- conventional and non-generic because the record indicates the claims are allowable over the art and thus fails to demonstrate these features are known. See Appeal Br. 22–23; see also Reply Br. 5. But “§ 101 subject-matter eligibility is a requirement separate from other patentability inquiries.” See Return Mail, Inc. v. U.S. Postal Serv., 868 F.3d 1350, 1370 (Fed. Cir. 2017); see also Mayo, 566 U.S. at 90; Diehr, 450 U.S. at 190 (1981) (“The question . . . of whether a particular invention is novel is ‘wholly apart from whether the invention falls into a category of statutory subject matter.”’). In the Reply Brief, Appellant argues “there is no record evidence supporting this proposition” that the ordered combination is well-known, routine, and conventional. Reply Br. 5 (underlining omitted). We are not persuaded. First, the Examiner found the additional elements as well as its combination are well-understood, routine, and conventional. See Ans. 4. Appeal 2020-003091 Application 14/317,691 23 Second, in response to Berkheimer v. HP Inc., 881 F.3d 1360 (Fed. Cir. 2018), reh'g denied en banc, 890 F.3d 1369 (Fed. Cir. 2018), the Office issued Changes in Examination Procedure Pertaining to Subject Matter Eligibility, Recent Subject Matter Eligibility Decision (Berkheimer v. HP, Inc.) (Apr. 19, 2018) (“2018 Memorandum”). Specifically, the 2018 Memorandum states an additional element (or combination of elements) is not well-understood, routine or conventional to one skilled in the art unless the Examiner finds and supports the §101 rejection with one or more of the following: (1) a citation to an express statement in the Specification or to a statement made by applicants during prosecution demonstrating the well-understood, routine, and conventional nature of the additional elements, (2) a citation to one or more court decisions in MPEP § 2106.05(d)(II) as noting the well-understood, routine, and conventional nature of the additional elements, (3) a citation to a publication that demonstrates the well-understood, routine, and conventional nature of the additional elements, and (4) a statement that the Examiner is taking official notice of the well-understood, routine, and conventional nature of the additional elements. 2018 Memorandum 3–4. Upon review of the record, the Specification states Modern processors typically include various functional blocks, each with a dedicated task. For example, a processor may include an instruction fetch unit, a memory management unit, and an arithmetic logic unit (ALU). An instruction fetch unit may prepare program instructions for execution by decoding the program instructions and checking for scheduling hazards. Arithmetic operations such as addition, subtraction, multiplication, and division as well as and Boolean operations (e.g., AND, OR, etc.) may be performed by an ALU. Some processors include high-speed memory (commonly referred to Appeal 2020-003091 Application 14/317,691 24 as ‘cache memories’ or ‘caches’) used for storing frequently used instructions or data. Spec. ¶ 3 (emphases added); see also October 2018 Dec. 10–11 (citing Spec. ¶¶ 3–4 and stating these features are “routine[] and conventional.”). Thus, the Specification (Spec. ¶ 3) supports that processors are known to include an instruction fetch unit that prepares program instructions for execution, an ALU to perform mathematical operations, including division, and a memory/cache for storing data just as claim 8 recites. See also Reply Br. 4 (stating “all microprocessors fundamentally implement mathematical operations.”). As for the additional elements, including the “load storing unit,” “execution unit,” and “interface” in claims 1 and 15, the courts have determined that these types of elements are well-known, routine, and conventional. For example, Mortgage Grader, Inc. v. First Choice Loan Services Inc., 811 F.3d 1314 (Fed. Cir. 2016) indicates that components, such an interface and a database, are generic computer components that do not satisfy the inventive concept requirement. See id. at 1324–35. As other examples, claim limitations related to additional elements that receive, store, communicate, and perform mathematical calculations, like the “processor,” ‘instruction fetch unit,” an ALU, “load store unit,” “execution unit,” and “data bits,” can be considered conventional computer activities, falling squarely within our precedent finding generic computer components insufficient to add an inventive concept to an otherwise abstract idea. See also Alice, 573 U.S. at 226 (“Nearly every computer will include a ‘communications controller’ and a ‘data storage unit’ capable of performing the basic calculation, storage, and transmission functions required by the Appeal 2020-003091 Application 14/317,691 25 method claims.”); Content Extraction, 776 F.3d at 1345, 1348 (“storing information” into memory, and using a computer to “translate the shapes on a physical page into typeface characters,” insufficient confer patent eligibility); BuySAFE v. Google, Inc., 765 F.3d 1350, 1355 (Fed. Cir. 2014) (“That a computer receives and sends the information over a network—with no further specification—is not even arguably inventive.”). Additionally, when combining the additional elements found in claim 8, the combination simply appends well-understood, routine, and conventional activities previously known in the industry specified at a high level of generality to the judicial exception as previously discussed. Appellant also contends the claims, as a whole, does not impose a risk of pre-emption. See Appeal Br. 23–24. As previously noted, lack of preemption does not make a claim any less abstract. See Ariosa, 788 F.3d at 1379; see also See Parker v. Flook, 437 U.S. at 589. Accordingly, we are not persuaded that the claims include an inventive concept. Conclusion For the foregoing reasons, Appellant has not persuaded us of error in the rejection under 35 U.S.C. § 101 of independent claims 1, 8, and 15 and dependent claims 5, 7, 12, 14, 19, and 20, which are not argued separately. Claims 2–4, 6, 9–11, 13, and 16–186 As for representative dependent claim 9, Appellant asserts this claim adds a “lookup table” feature. Appeal Br. 29 (Claims App.). According to 6 As already stated, Appellant argues dependent claims 2, 9, and 16 as a group. Appeal Br. 19–21, 25. Appellant states “[c]laims 2–4, 6, 9–11, 13, and 16–18 stand or fall together.” Id. at 19. Appeal 2020-003091 Application 14/317,691 26 Appellant, the lookup table may be more compact and may be significantly faster to access, adding a specific improvement in computer performance. Appeal Br. 19–20 (citing Spec. ¶¶ 85, 91). For this reason and because the lookup table enables a more compact circuit design, Appellant contends claim 9 recites significantly more than an abstract idea. Appeal Br. 25–26; see also Reply Br. 3. The Judicial Exception — Revised Step 2A, Prong 1 Claim 9 recites a more detailed version of how the step of “estimating the portion of the result of the operation” is performed, which is part of the above-identified abstract idea. Additionally, the step of “selecting, from a . . . table, a given one of a plurality of entries dependent on the first compressed value and the second compressed value” (Appeal Br. 29 (Claims App.)) in claim 9 is mental process, which is a judicial exception. See 2019 Guidance at 52; see also Smart Sys. Innovations, 873 F.3d at 1372 (concluding “the collection, storage, and recognition of data” was abstract); Cybersource, 654 F.3d at 1372-73 (indicating its claimed “method steps [that] can be performed in the human mind, or by a human using pen and paper” included “data-gathering steps” did not confer patent eligibility). Appellant fails to challenge that the “selecting” step in claim 9 is not part of the above-discussed judicial exception. See Appeal Br. 19–21. For the above reasons, we are not persuaded that the Examiner erred in determining that the claims recite a judicial exception. Integration into a Practical Application — Revised Step 2A, Prong 2 Because the claims recite a judicial exception, we next determine whether the claims as a whole integrate the abstract idea into a practical application. 2019 Guidance, 84 Fed. Reg. at 54. Similar to the Examiner Appeal 2020-003091 Application 14/317,691 27 (Final Act. 2), we also determine the “lookup table” is an additional element of claim 9. As explained below, we determine claim 9 as a whole does not integrate the judicial exception into a practical application. See Final Act. 2–3. More particularly, the Examiner finds the “lookup table” is an additional element and is a generic element that does not: (1) integrate the abstract idea into a practical application, (2) impose meaningful limitations on the abstract idea, or (3) improve a technical field. Final Act. 2–3. We agree that claim 9 does not recite an improvement to the functionality of a computer or other technology as argued. Rather, most of the claim’s limitations focus on improving on the abstract idea that involves using mathematical concepts and mental processes (e.g., “estimating the portion of the result of the operation”). But an abstract idea itself cannot integrate the abstract idea into a practical application. See Trading Techs. Int'l, Inc. v. IBG LLC, 921 F.3d 1378, 1385 (Fed. Cir. 2019) (quoting SAP, 898 F.3d at 1171 (“The abstract idea itself cannot supply the inventive concept, ‘no matter how groundbreaking the advance.”’). To the extent that the “selecting” function in claim 9 is also an additional element beyond the judicial exception, the recited selection function does not integrate the judicial exception into a practical application but rather is an insignificant extra-solution activity to the judicial exception. See MPEP § 2106.05(g); see also CyberSource Corp., 654 F.3d at 1375 (explaining that data gathering is insignificant extra-solution activity); Parker v. Flook, 437 U.S. at 590. According to Appellant, the lookup table may be more compact and may be significantly faster to access, adding a specific improvement in Appeal 2020-003091 Application 14/317,691 28 computer performance. Appeal Br. 19–20 (citing Spec. ¶¶ 85, 91). However, this additional element (i.e., the lookup table) in claim 9 is claimed and disclosed at a high level of generality for performing the recited functional limitations, which we identified above as being directed to an abstract idea (e.g., selecting data). For example, the Specification describes lookup table 800 generally as having an index for selecting a corresponding table entry. See Spec. ¶ 86, Fig. 8. Thus, the noted additional element (e.g., the lookup table) merely recites or applies a generic computer element to an abstract idea, which cannot transform a patent-ineligible abstract idea into a patent-eligible invention. See Alice, 573 U.S. at 223. The “lookup table” is a similarly a computer tool that does no more than implement the above- discussed abstract ideas (e.g., performing mathematical concepts and mental processes discussed above, which includes estimating the portion of the result by selecting an entry from the table) and does not add enough to implement the identified judicial exception with a particular machine integral with the claim and does not reflect an improvement in a computer or technical field. Additionally, as to the asserted technical advantages (e.g., more compact circuitry and faster access for directly calculating a result) (Appeal Br. 20), the Specification further indicates “a lookup table may provide a speed improvement versus calculating Qmax and Qmin for each digit of the quotient”“[i]f the lookup table is small enough.” Spec. ¶ 85 (emphasis added). The claimed “lookup table” in claim 9, however, does not recite the size of the lookup table, such that the table reflects the alleged improved functioning in the computer or technical field or amounts to a particular machine that is integral to the claim. See Appeal Br. 29 (Claims App.). Appeal 2020-003091 Application 14/317,691 29 Similarly, cited paragraph 91 states “[u]sing lookup table 800 may provide a more efficient method for determining Qmin and Qmax” (Spec. ¶ 91), but claim 9 does not reflect the alleged improvement in a computer’s functioning or other technology. Moreover, the alleged improvements enhances the identified abstract idea rather than a computer/technological improvement. “[A] claim for a new abstract idea is still an abstract idea.” Synopsys, Inc. v. Mentor Graphics Corp., 839 F.3d 1138, 1151 (Fed. Cir. 2016). Even more, as previously stated, “merely adding computer functionality to increase the speed or efficiency of the process does not confer patent eligibility on an otherwise abstract idea.” Capital One Bank, 792 F.3d at 1370. Thus, when considering claim 9, as a whole, the recited “lookup table” and any other additional elements in claim 9 do not add enough to integrate the judicial exception into a practical application. Appellant further argues that there is no authority to find “the improvement conferred by a claim must be inevitable and always present.” Appeal Br. 18 (citing October 2018 Dec. 8). Additionally, Appellant argues that there is no authority to determine the “improvement must necessarily follow from the recitations of claim 1.” Id. We are not persuaded. For example, in DDR Holdings, LLC v. Hotels.com, L.P., 773 F.3d 1245 (Fed. Cir. 2014), the court found the claims were found to be patent eligible because “[t]he claimed solution is necessarily rooted in computer technology in order to overcome a problem specifically arising in the realm of computer networks.” Id. at 1257 (emphasis added). In any event, as discussed above, the claimed “lookup table” is described and claimed generally in terms of performing generic computer functions of a lookup Appeal 2020-003091 Application 14/317,691 30 table—selecting entries from the table based on other values, which does not reflect an improvement in the functioning of a computer or other technology or provide any other meaningful limitation. When considering the elements of claim 9 both individually and as a combination, we determine claim 9’s additional element(s) do not integrate the judicial exception into a practical application. The Inventive Concept —Step 2B Because we determine the claims are directed to an abstract idea or combination of abstract ideas, we evaluate whether the claims include an inventive concept. See 2019 Guidance, 84 Fed. Reg. at 56. Specifically, we determine whether the claims (1) add a specific limitation, or combination of limitations, that is not well-understood, routine, conventional activity in the field, or (2) simply append well-understood, routine, conventional activities at a high level of generality. 2019 Guidance, 84 Fed. Reg. at 56. The Examiner determined the additional elements, which includes the recited “lookup table” in claim 9 (Ans. 3), do not amount to significantly more than the abstract idea and the combination of elements “are well- understood, routine and conventional elements in the data processing field,” insufficient “to provide an inventive concept.” Id. at 4. Appellant argues that the ordered combination of recited features that improves on an integrated circuit and computer functioning are non- conventional and non-generic because the record indicates the claims are allowable over the art and thus fails to demonstrate these features are known. See Appeal Br. 22–23; see also Reply Br. 5. But, as previously noted, “§ 101 subject-matter eligibility is a requirement separate from other patentability inquiries.” See Return Mail, 868 F.3d at 1370; see also Mayo, Appeal 2020-003091 Application 14/317,691 31 566 U.S. at 90; Diehr, 450 U.S. at 190. Appellant also argues “there is no record evidence supporting this proposition” that the ordered combination is well-known, routine, and conventional. Reply Br. 5 (underlining omitted). We are not persuaded. Mortgage Grader, Inc. v. First Choice Loan Services Inc., 811 F.3d 1314 indicates that components, such a “database,” are generic computer component that do not satisfy the inventive concept requirement. See id., 811 F.3d at 1324–35. Similarly, a lookup table, like a database, is a known computer component for storing and obtaining data. Additionally, to the extent that “selecting” step in claim 9 is considered an additional element of the claim, courts have indicated that a step of retrieving information from memory is well-understood, routine, and conventional activity when claimed in a generic manner. See Versata Dev. Group, Inc. v. SAP Am., Inc., 793 F.3d 1306, 1334 (Fed. Cir. 2015); see also OIP Techs., Inc., v. Amazon.com, Inc., 788 F.3d 1359, 1363 (Fed. Cir. 2015). The “selecting, from a lookup table, a given one of a plurality of entries” step in claim 9 is similar to retrieving information from memory claimed in a generic manner. Moreover, when considering the combination of additional element(s) in claim 9, the combination simply appends well-understood, routine, and conventional activities previously known in the industry specified at a high level of generality to the judicial exception as previously discussed. Accordingly, we are not persuaded that the claims include an inventive concept. Conclusion Accordingly, Appellant has not persuaded us the Examiner erred in the rejecting claim 9 under 35 U.S.C. § 101 and claims 2–4, 6, 10, 11, 13, Appeal 2020-003091 Application 14/317,691 32 and 16–18, which are not argued separately. DECISION SUMMARY In summary: Claims Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 1–20 101 Eligibility 1–20 TIME PERIOD FOR RESPONSE 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