THE TORONTO-DOMINION BANKDownload PDFPatent Trials and Appeals BoardDec 22, 20212021005460 (P.T.A.B. Dec. 22, 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. 16/546,134 08/20/2019 Ga Wu 32850-43730/US 4579 758 7590 12/22/2021 FENWICK & WEST LLP SILICON VALLEY CENTER 801 CALIFORNIA STREET MOUNTAIN VIEW, CA 94041 EXAMINER VAUGHN, RYAN C ART UNIT PAPER NUMBER 2125 NOTIFICATION DATE DELIVERY MODE 12/22/2021 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): PTOC@Fenwick.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte GA WU, MAKSIMS VOLKOVS, and HIMANSHU RAI Appeal 2021-005460 Application 16/546,134 Technology Center 2100 Before JOSEPH L. DIXON, ELENI MANTIS MERCADER, and BETH Z. SHAW, Administrative Patent Judges. SHAW, 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 1, 3–8, 10–15, and 17–20. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. 1 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 The Toronto- Dominion Bank of Toronto, Canada. Appeal Br. 2. Appeal 2021-005460 Application 16/546,134 2 CLAIMED SUBJECT MATTER The claims are directed to noise contrastive estimation for linear models for one-class collaborative filtering. Claim 1, reproduced below, is illustrative of the claimed subject matter: 1. A system comprising: a processor configured to execute instructions; and a non-transitory computer-readable medium containing the instructions for execution on the processor, the instructions causing the processor to perform steps of: obtaining a ratings matrix representing a plurality of ratings between a set of users and a set of items, wherein an entry in the ratings matrix for a user and an item indicates whether the user interacted with the item, and is represented as a Boolean value, in which the entry is zero if a preference of the user for the item is unknown, or a non-zero value if the user interacted with the item; scaling the ratings matrix to generate a depopularized matrix including a set of scaled ratings, wherein the non-zero values of the ratings matrix is scaled by multiplying a non-zero rating for the user and the item by a value inverse to a number of users who interacted with the item; performing singular value decomposition (SVD) on the depopularized matrix to generate a set of latent user representations and a set of latent item representations from the depopularized matrix, a latent user vector in the set of latent user representations representing the user in the set of users in a latent space, and a latent item vector in the set of latent item representations representing the item in the set of items in the latent space; generating the rating predictions for items for which preferences of a user are unknown from the set of latent user representations or the set of latent item representations; and Appeal 2021-005460 Application 16/546,134 3 providing a subset of items having rating predictions above a threshold value or proportion to the user. REFERENCES The prior art relied upon by the Examiner is: Name Reference Date Gronow US 2012/0136750 A1 May 31, 2002 Nice US 2015/0278907 A1 Oct. 1, 2015 Volkovs US 2017/0185894 A1 June 29, 2017 Ribeiro Pereira US 2019/0066187 A1 Feb. 28, 2019 Forgeat WO 2017/0178870 A1 Oct. 19, 2017 Medium, ALS Implicit Collaborative Filtering-Rn Engineering, https://medium.com/radon-dev/als-implicit-collaborative-filtering- 5ed653ba39fe (Nov. 7, 2019). Collaborative Filtering - Wikipedia, https://web.archive.org/web/20171023194640/https://en.wikipedia.org/wiki/ Collaborative_filtering (Apr. 14, 2020). REJECTIONS Claims 1, 3–8, 10–15, and 17–20 stand rejected under 35 U.S.C. § 101. Claims 1, 4, 8, 11, 15, and 18 stand rejected under 35 U.S.C. § 103 as being unpatentable over Nice, Volkovs, and Ribeiro Pereira. Final Act. 8. Claims 3, 10, and 17 stand rejected under 35 U.S.C. § 103 as being unpatentable over Nice, Volkovs, Ribeiro Pereira, and Gronow. Claims 5, 12, and 19 stand rejected under 35 U.S.C. § 103 as being unpatentable over Nice, Volkovs, Ribeiro Pereira, and Forgeat. Claims 6, 13, and 20 stand rejected under 35 U.S.C. § 103 as being unpatentable over Nice, Volkovs, Ribeiro Pereira, Forgeat, and Medium. Appeal 2021-005460 Application 16/546,134 4 Claims 7 and 14 stand rejected under 35 U.S.C. § 103 as being unpatentable over Nice, Volkovs, Ribeiro Pereira, and Collaborative Filtering. OPINION On this record, we see no error in the Examiner’s findings and conclusions. We adopt as our own the findings and conclusions set forth by the Examiner in the Final Rejection and Answer. See Final Act. 2–21; Ans. 18–31. We highlight the following for emphasis. Section 101 Rejection Appellant argues the rejection of the pending claims under 35 U.S.C. § 101 as a group. See Appeal Br. 4–11. Given our discretion under 37 C.F.R. § 41.37(c)(1)(iv), we select claim 1 as representative of the pending claims, and we decide the § 101 rejection of claims 1, 3–8, 10–15, and 17–20 based on representative claim 1. Principles of Law “Whether a claim is drawn to patent-eligible subject matter is an issue of law that we review de novo.” SiRF Tech., Inc. v. Int’l Trade Comm’n, 601 F.3d 1319, 1331 (Fed. Cir. 2010). 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 U.S. Supreme Court has long interpreted 35 U.S.C. § 101 to include implicit exceptions: “[l]aws of nature, natural phenomena, and Appeal 2021-005460 Application 16/546,134 5 abstract ideas” are not patentable. E.g., 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 Court’s two-part 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)). In accordance with that framework, we first determine what concept the claim is “directed to.” See Alice, 573 U.S. at 219 (“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, 67 (1972)). Concepts determined to be patent eligible include physical and chemical processes, such as “molding rubber products” (Diamond v. Diehr, 450 U.S. 175, 191 (1981)); “tanning, dyeing, making water-proof cloth, vulcanizing India rubber, smelting ores” (id. at 182 n.7 (quoting Corning v. Burden, 56 U.S. 252, 267–68 (1854))); and manufacturing flour (Benson, 409 U.S. at 69 (citing Cochrane v. Deener, 94 U.S. 780, 785 (1876))). If the claim is “directed to” an abstract idea, we turn to the second part of the Alice and Mayo framework, where “we must examine the elements of the claim to determine whether it contains an ‘inventive concept’ sufficient Appeal 2021-005460 Application 16/546,134 6 to ‘transform’ the claimed abstract idea into a patent-eligible application.” Alice, 573 U.S. at 221 (citation 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. (alterations in original) (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. In January 2019, the U.S. Patent and Trademark Office (“USPTO”) published revised guidance on the application of § 101. 2019 Revised Patent Subject Matter Eligibility Guidance, 84 Fed. Reg. 50 (Jan. 7, 2019), now incorporated in the Manual of Patent Examination Procedure (9th Ed., Rev. 10.2019, June 2020) (“MPEP”) in sections 2103 through 2106.07(c) (“2019 Revised Guidance”).2 Under the 2019 Revised Guidance and the October 2019 Update, 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) (“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”).3 2 In response to received public comments, the Office issued further guidance on October 17, 2019, clarifying the 2019 Revised Guidance. USPTO, October 2019 Update: Subject Matter Eligibility (the “October 2019 Update”) (available at https://www.uspto.gov/sites/default/files/ documents/peg_oct_2019_update.pdf). 3 This evaluation is performed by (a) identifying whether there are any additional elements recited in the claim beyond the judicial exception, and Appeal 2021-005460 Application 16/546,134 7 2019 Revised Guidance, 84 Fed. Reg. at 52–55. Only if a claim (1) recites a judicial exception and (2) does not integrate that exception into a practical application, do we then look, under Step 2B, 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. 2019 Revised Guidance, 84 Fed. Reg. at 52–56; MPEP § 2106.04. Abstract idea Turning to Step 2A, Prong 1, the claimed invention is for generating recommendations for users of online systems. See Spec. ¶ 2. Claim 1 (with emphasis added) includes the following limitations: obtaining a ratings matrix representing a plurality of ratings between a set of users and a set of items, wherein an entry in the ratings matrix for a user and an item indicates whether the user interacted with the item, and is represented as a Boolean value, in which the entry is zero if a preference of the user for the item is unknown, or a non-zero value if the user interacted with the item; scaling the ratings matrix to generate a depopularized matrix including a set of scaled ratings, wherein the non-zero values of the ratings matrix is scaled by multiplying a non-zero rating for the user (b) evaluating those additional elements individually and in combination to determine whether the claim as a whole integrates the exception into a practical application. See 2019 Revised Guidance - Section III(A)(2), 84 Fed. Reg. at 54–55. Appeal 2021-005460 Application 16/546,134 8 and the item by a value inverse to a number of users who interacted with the item; performing singular value decomposition (SVD) on the depopularized matrix to generate a set of latent user representations and a set of latent item representations from the depopularized matrix, a latent user vector in the set of latent user representations representing the user in the set of users in a latent space, and a latent item vector in the set of latent item representations representing the item in the set of items in the latent space; generating the rating predictions for items for which preferences of a user are unknown from the set of latent user representations or the set of latent item representations; and providing a subset of items having rating predictions above a threshold value or proportion to the user. Claim 1 recites an abstract idea grouping listed in the 2019 Eligibility Guidance: “mental processes.” See MPEP § 2106.04 (listing mental processes—concepts performed in the human mind (including an observation, evaluation, judgment, opinion) as one of the “enumerated groupings of abstract ideas”). “Mental processes” include acts that people can perform in their minds or using pen and paper, even if the claim recites that a generic computer component performs the acts. Id.; 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.”); Mortg. Grader, Inc. v. First Choice Loan Servs. Inc., 811 F.3d. 1314, 1324 (Fed. Cir. 2016) (holding that computer-implemented method for “anonymous loan shopping” was an abstract idea because it could be “performed by humans without a computer”). Appeal 2021-005460 Application 16/546,134 9 The method recited in claim 1 executes steps that people can practically perform in their minds or using pen and paper. For example, a person can perform the “obtaining a ratings matrix representing a plurality of ratings between a set of users and a set of items” step of claim 1 by using his or her mind (or pen and paper) in the claimed manner. A person can perform the “scaling the ratings matrix to generate a depopularized matrix including a set of scaled ratings, wherein the non-zero values of the ratings matrix is scaled by multiplying a non-zero rating for the user and the item by a value inverse to a number of users who interacted with the item,” step by using his or her mind (or pen and paper) in the claimed manner. A person can perform the “generating the rating predictions for items for which preferences of a user are unknown from the set of latent user representations or the set of latent item representations” step, using his or her mind (or pen and paper). A person can perform the “providing a subset of items having rating predictions above a threshold value or proportion to the user” step, using his or her mind (or pen and paper). Accordingly, claim 1 recites a mental process, and thus an abstract idea. We also agree with the Examiner that claim 1 recites mathematical calculations. Ans. 19–21. As the Examiner determines, and we agree, “scaling the ratings matrix to generate a depopularized matrix including a set of scaled ratings, wherein the non-zero values of the ratings matrix is scaled by multiplying a non-zero rating for the user and the item by a value inverse to a number of users who interacted with the item,” explicitly recites multiplying each element of a matrix by a scalar value, which is a mathematical calculation, and thus an abstract idea. Appeal 2021-005460 Application 16/546,134 10 To the extent, Appellant contends that the claimed invention is rooted in technology because it is ostensibly directed to a technical solution (see Appeal Br. 7–8), we disagree. Even assuming, without deciding, that claimed invention can provide a subset of items having ratings predictions faster than doing so manually, any speed increase comes from the capabilities of the generic computer components—not the recited process itself. See FairWarning IP, LLC v. Iatric Systems, Inc., 839 F.3d 1089, 1095 (Fed. Cir. 2016) (citing Bancorp Services, LLC v. Sun Life Assurance Co., 687 F.3d 1266, 1278 (Fed. Cir. 2012) (“[T]he fact that the required calculations could be performed more efficiently via a computer does not materially alter the patent eligibility of the claimed subject matter.”)); see also Intellectual Ventures I LLC v. Erie Indemnity Co., 711 F. App’x 1012, 1017 (Fed. Cir. 2017) (unpublished) (“Though the claims purport to accelerate the process of finding errant files and to reduce error, we have held that speed and accuracy increases stemming from the ordinary capabilities of a general-purpose computer do not materially alter the patent eligibility of the claimed subject matter.”). Like the claims in FairWarning, the focus of claim 1 is not on an improvement in computer processors as tools, but on certain independently abstract ideas that use generic computing components as tools. See FairWarning, 839 F.3d at 1095 (citations and quotation marks omitted). Turning to Step 2A, Prong 2, the remaining elements recited in claim 1 do not integrate the abstract idea into a practical application. In addition to the steps discussed above, claim 1 recites “a processor configured to execute instructions” and “a non-transitory computer-readable medium containing the instructions for execution on the processor.” The Appeal 2021-005460 Application 16/546,134 11 processor and non-transitory readable medium encompass generic components. See Spec. ¶¶ 76–79. Simply programming a general-purpose computer to perform abstract ideas does not integrate those ideas into a practical application. See MPEP § 2106.04 (identifying merely including instructions to implement an abstract idea on a computer as an example of when an abstract idea has not been integrated into a practical application). Thus, we conclude that the claims do not integrate the judicial exception into a practical application. The claims 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 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). We, therefore, agree with the Examiner that claim 1 is directed to an abstract idea. Inventive Concept Because we determine claim 1 is “directed to” an abstract idea, we consider whether claim 1 recites an “inventive concept.” The Examiner determined claim 1 does not recite an inventive concept. We agree with the Examiner’s determination. As noted above, the claimed invention merely uses generic computing components to implement the recited abstract idea. The additional elements recited in the claim include the processor and non- transitory computer readable medium. The claim recites these elements at a high level of generality, and the written description indicates that these elements are generic computer components. See Spec. ¶¶ 76–79. Using Appeal 2021-005460 Application 16/546,134 12 generic computer components to perform abstract ideas does not provide the necessary inventive concept. See Alice, 573 U.S. at 223 (“[T]he mere recitation of a generic computer cannot transform a patent-ineligible abstract idea into a patent-eligible invention.”). Thus, these elements, taken individually or together, do not amount to “significantly more” than the abstract ideas themselves. Appellant contends that various elements recited in the claim provide the necessary inventive concept. See Appeal Br. 8–11. But these elements form part of the recited abstract ideas and thus are not “additional elements” that “‘transform the nature of the claim’ into a patent-eligible application.” Alice, 573 U.S. at 217 (quoting Mayo, 566 U.S. at 78); see also BSG Tech LLC v. BuySeasons, Inc., 899 F.3d 1281, 1290 (Fed. Cir. 2018) (explaining the Alice “Court only assessed whether the claim limitations other than the invention’s use of the ineligible concept to which it was directed were well- understood, routine and conventional” and “did not consider whether it was well-understood, routine, and conventional to execute the claimed intermediated settlement method on a generic computer”) (emphasis added). Rather, the recited (1) processor; and (2) non-transitory computer readable medium are the elements whose generic computing functionality is well- understood, routine, and conventional. See Intellectual Ventures I LLC v. Capital One Bank (USA), 792 F.3d 1363, 1368 (Fed. Cir. 2015) (noting that a recited user profile, database, and communication medium are generic computer elements); Mortgage Grader, Inc. v. First Choice Loan Servs. Inc., 811 F.3d 1314, 1324–25 (Fed. Cir. 2016) (noting that components such an “interface,” “network,” and “database” are generic computer components that do not satisfy the inventive concept requirement). Accord Ans. 5. Appeal 2021-005460 Application 16/546,134 13 Appellant’s arguments do not persuade us claim 1 is “directed to” a patent- eligible concept. Nor is this invention analogous to that which the court held eligible in McRO, Inc. v. Bandai Namco Games America, Inc., 837 F.3d 1299 (Fed. Cir. 2016) despite Appellant’s arguments to the contrary. Appeal. Br. 9–10; Reply Br. 5–6. There, the claimed process used a combined order of specific rules that rendered information in a specific format that was applied to create a sequence of synchronized, animated characters. McRO, 837 F.3d at 1315. Notably, the recited process automatically animated characters using particular information and techniques—an improvement over manual three- dimensional animation techniques that was not directed to an abstract idea. Id. at 1316. But unlike the claimed invention in McRO that improved how the physical display operated to produce better quality images, the claimed invention here merely uses generic computing components to generate rating predictions. This generic computer implementation is not only directed to mental processes, but also does not improve a display mechanism, as was the case in McRO. See SAP Am. v. InvestPic, LLC, 898 F.3d 1161, 1167 (Fed. Cir. 2018) (distinguishing McRO). Accordingly, we sustain the § 101 rejection of representative claim 1, as well as claims 2–8, 10, and 12–20, grouped therewith. Section 103 Rejections We agree with and adopt the Examiner’s findings and conclusions regarding the § 103 rejections. We find unavailing Appellant’s arguments against Nice, Volkovs, Ribeiro Pereira, and their combination, for the Appeal 2021-005460 Application 16/546,134 14 reasons stated in the Final Rejection, as well as in the thorough and logical Answer. See Ans. 24–31. For example, we agree with the Examiner’s findings and conclusions that: Appellant’s argument that the claim does not recite that each matrix element is divided by a value that is sometimes inverse to the number of users who interacted with the item, Br. at 15, misses the mark. Examiner would note that Appellant also did not claim that each matrix element is divided by a number that is always inverse to the number of users who interacted with the item. Nor did Appellant claim that there must be a linear, one- to-one, or monotonic relationship between the number of users who interacted with the item and the scaling factor. As long as the scaling factor is, in general, inverse to the number of users who interacted with the item, that is all that is required by the claim. Ans. 26–27. In addition, an explicit teaching, suggestion, or motivation in the references is not necessary to support a conclusion of obviousness. KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 415–16 (2007); In re Ethicon, Appeal 2015-1696 (Fed. Cir. Jan. 3, 2017) (Order). The Supreme Court has instructed that “a court must ask whether the improvement is more than the predictable use of prior art elements according to their established functions” (KSR, 550 U.S. at 417), and apply “an expansive and flexible approach” to obviousness (id. at 415). Besides the reasons stated in the Final Rejection and Answer (see Final Act. 11–12; Ans. 28–30), with which we agree, we note that the ordinarily-skilled artisan, being “a person of ordinary creativity, not an automaton,” would be able to fit the teachings of Nice, Volkovs, and Ribiero Periera together like pieces of a puzzle to predictably result in the claimed Appeal 2021-005460 Application 16/546,134 15 system. Id. at 420–21. Because Appellant has not demonstrated that the proposed combination would have been “uniquely challenging or difficult for one of ordinary skill in the art,” the proposed modification would have been well within the purview of the ordinarily skilled artisan. Leapfrog Enters., Inc. v. Fisher-Price, Inc., 485 F.3d 1157, 1162 (Fed. Cir. 2007) (citing KSR, 550 U.S. at 418). Accordingly, we sustain the rejection of claim 1. Because Appellant has not presented separate patentability arguments or have reiterated substantially the same patentability arguments as those previously discussed for claim 1, we also sustain the rejections of the remaining pending claims. See 37 C.F.R. § 41.37(c)(1)(iv). CONCLUSION We affirm the rejections. Appeal 2021-005460 Application 16/546,134 16 DECISION SUMMARY In summary: Claims Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 1, 3–8, 10– 15, 17–20 101 Eligibility 1, 3–8, 10– 15, 17–20 1, 4, 8, 11, 15, 18 103 Nice, Volkovs, Ribeiro Pereira 1, 4, 8, 11, 15, 18 3, 10, 17 103 Nice, Volkovs, Ribeiro Pereira, Gronow 3, 10, 17 5, 12, 19 103 Nice, Volkovs, Ribeiro Pereira, Forgeat 5, 12, 19 6, 13, 20 103 Nice, Volkovs, Ribeiro Pereira, Forgeat, Medium 6, 13, 20 7, 14 103 Nice, Volkovs, Ribeiro Pereira, Collaborative Filtering 7, 14 Overall Outcome 1, 3–8, 10– 15, 17–20 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