Gupta Sesha Raghavendra. Tulluri et al.Download PDFPatent Trials and Appeals BoardSep 5, 201913916234 - (D) (P.T.A.B. Sep. 5, 2019) Copy Citation UNITED STATES PATENT AND TRADEMARK OFFICE UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O. Box 1450 Alexandria, Virginia 22313-1450 www.uspto.gov APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 13/916,234 06/12/2013 Gupta Sesha Raghavendra Tulluri 90945-878871(000851US) 8506 20350 7590 09/05/2019 KILPATRICK TOWNSEND & STOCKTON LLP Mailstop: IP Docketing - 22 1100 Peachtree Street Suite 2800 Atlanta, GA 30309 EXAMINER BOSWELL, BETH V ART UNIT PAPER NUMBER 3600 NOTIFICATION DATE DELIVERY MODE 09/05/2019 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): KTSDocketing2@kilpatrick.foundationip.com ipefiling@kilpatricktownsend.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE ____________ BEFORE THE PATENT TRIAL AND APPEAL BOARD ____________ Ex parte GUPTA SESHA RAGHAVENDRA TULLURI, MARK THOMPSON, and DEAN A. SEIFERT ____________ Appeal 2018-001854 Application 13/916,2341 Technology Center 3600 ____________ Before ANTON W. FETTING, MEREDITH C. PETRAVICK, and MICHAEL W. KIM, Administrative Patent Judges. FETTING, Administrative Patent Judge. DECISION ON APPEAL 1 According to Appellants, the real party in interest is The Western Union Company of Englewood, Colorado (Appeal Br. 2). Appeal 2018-001854 Application 13/916,234 2 STATEMENT OF THE CASE2 Gupta Sesha Raghavendra Tulluri, Mark Thompson, and Dean A. Seifert (Appellants) seek review under 35 U.S.C. § 134 of a final rejection of claims 2, 3, and 5–24, the only claims pending in the application on appeal. We have jurisdiction over the appeal pursuant to 35 U.S.C. § 6(b). The Appellants invented computer-implemented transfer systems including systems and methods for introducing information to and receiving information from a computer–implemented transfer system. Specification para. 2. An understanding of the invention can be derived from a reading of exemplary claim 2, which is reproduced below (bracketed matter and some paragraphing added). 2. A method for transferring funds, comprising: receiving, at a money transfer host computer, a request to transfer funds from a sender to a receiver; transmitting, in response to the request to transfer funds, a transaction identifier and a pass code from the host computer to the sender, for the sender to provide to the receiver; receiving, at the money transfer host computer, a request for pick–up information, the pick–up information relating to a pick–up location of the receiver; transmitting, from the money transfer host computer, in response to receiving the request for pick–up information, automated teller machine (ATM) information identifying an 2 Our decision will make reference to the Appellants’ Appeal Brief (“Br.,” filed July 10, 2017) and the Examiner’s Answer (“Ans.,” mailed August 25, 2017), and Final Action (“Final Act.,” mailed February 9, 2017). Appeal 2018-001854 Application 13/916,234 3 ATM location nearby the receiver where funds may be received; and validating, at the host computer and prior to transferring funds at an ATM, the transaction identifier and pass code inputted by the receiver at the ATM. The Examiner relies upon the following prior art: Marcous US 5,650,604 July 22, 1997 Amos US 6,554,184 B1 Apr. 29, 2003 Britto US 2005/0131816 A1 June 16, 2005 Claims 2, 3, and 5–24 stand rejected under 35 U.S.C. § 101 as directed to a judicial exception without significantly more. Claims 2, 3, 5, 6, 8–14, 16–20, and 22–24 stand rejected under 35 U.S.C. § 103(a) as unpatentable over Marcous and Amos. Claims 7, 15, and 21 stand rejected under 35 U.S.C. § 103(a) as unpatentable over Marcous, Amos, and Britto. The rejection of claims 2, 3, and 5–24 is affirmed. ISSUES The issues of eligible subject matter turn primarily on whether the claims recite more than abstract conceptual advice of results desired. The issues of obviousness turn primarily on whether the art describes receiving a request for pickup information which related to a pickup location of the receiver. Appeal 2018-001854 Application 13/916,234 4 FACTS PERTINENT TO THE ISSUES The following enumerated Findings of Fact (FF) are believed to be supported by a preponderance of the evidence. Facts Related to the Prior Art Marcous 01. Marcous is directed to electronic transfer of funds, and more particularly to electronic transfer of funds between a sender and a recipient using an automated teller machine to dispense the funds transferred to the recipient. Marcous 1:7–11. 02. Marcous describes an initiating terminal for receiving a designation of an amount of money to be electronically transferred, an account from which it is to be transferred, and a security code from the sender, a central terminal for storing the amount and the encrypted security code in a file in the central terminal, and a dispensing terminal for receiving from the recipient an entry corresponding to the designated amount of money to be transferred and the security code, for providing the entered amount of money and encrypted security code to the central terminal for comparison with the information stored in the central terminal's file, and for dispensing to the recipient funds equivalent to the designated amount of money without requiring the recipient to have a card to activate the dispensing terminal. Marcous 2:52–3:3. 03. Marcous describes a recipient, after obtaining from the sender the appropriate security information, preferably: 1) the sender's phone number, 2) the amount of money transferred and, 3) the Appeal 2018-001854 Application 13/916,234 5 system-generated PIN issued to the sender by the initiating terminal, then going to an ATM which has electronic funds transfer capability. Such ATM has been programmed to accept input from a user without the user needing to use a card of any type. As a result, the recipient interacts with the ATM, without using a card, to activate the appropriate menus. The recipient inputs the information as requested by the ATM screens and the cash is dispensed to the intended recipient. Marcous 4:16–29. Amos 04. Amos is directed to devices used to transfer funds or currency by electronic means. Amos 1:10–11. ANALYSIS Claims 2, 3, and 5–24 rejected under 35 U.S.C. § 101 as directed to a judicial exception without significantly more STEP 13 Claim 2, as a method claim, nominally recites one of the enumerated categories of eligible subject matter in 35 U.S.C. § 101. The issue before us is whether it is directed to a judicial exception without significantly more. STEP 2 The Supreme Court set forth a framework for distinguishing patents that claim laws of nature, natural phenomena, and abstract ideas from those that claim patent–eligible applications of those concepts. First, . . . determine whether the claims at issue are directed to one of those patent–ineligible concepts. If so, we then ask, “[w]hat 3 For continuity of analysis, we adopt the steps nomenclature from 2019 Revised Patent Subject Matter Eligibility Guidance, 84 Fed. Reg. 50 (Jan. 7, 2019) (“Revised Guidance”). Appeal 2018-001854 Application 13/916,234 6 else is there in the claims before us? To answer that question, . . . consider the elements of each claim both individually and “as an ordered combination” to determine whether the additional elements “transform the nature of the claim” into a patent–eligible application. [The Court] described step two of this analysis as a search for an “‘inventive concept’”—i.e., an element or combination of elements that is “sufficient to ensure that the patent in practice amounts to significantly more than a patent upon the [ineligible concept] itself.” Alice Corp., Pty. Ltd. v CLS Bank Intl, 573 U.S. 208, 217–18 (2014) (citations omitted) (citing Mayo Collaborative Services v. Prometheus Laboratories, Inc., 566 U.S. 66 (2012)). To perform this test, we must first determine what the claims are directed to. This begins by determining whether the claims recite one of the judicial exceptions (a law of nature, a natural phenomenon, or an abstract idea). Then, if claims recite a judicial exception, determining whether the claims at issue are directed to the recited judicial exception, or whether the recited judicial exception is integrated into a practical application of that exception, i.e., that the claims “apply, rely on, or use the judicial exception in a manner that imposes a meaningful limit on the judicial exception, such that the claim is more than a drafting effort designed to monopolize the judicial exception.” Revised Guidance at 54. If the claims are directed to a judicial exception, then finally determining whether the claims provide an inventive concept because the additional elements recited in the claims provide significantly more than the recited judicial exception. STEP 2A Prong 1 At a high level, and for our preliminary analysis, we note that method claim 2 recites receiving request data, transmitting identifier data, receiving Appeal 2018-001854 Application 13/916,234 7 more request data, transmitting ATM location data, and validating the identifier data. Validating data is rudimentary data analysis, which to at least some extent is co–extensive with data reception to ensure the data matches the data field requirements. Thus, claim 2 recites receiving, transmitting, and analyzing data. None of the limitations recite technological implementation details for any of these steps, but instead recite only results desired by any and all possible means. From this we see that claim 2 does not recite the judicial exceptions of either natural phenomena or laws of nature. Under Supreme Court precedent, claims directed purely to an abstract idea are patent in–eligible. As set forth in the Revised Guidance, which extracts and synthesizes key concepts identified by the courts, abstract ideas include (1) mathematical concepts4, (2) certain methods of organizing human activity5, and (3) mental processes6. Among those certain methods of organizing human activity listed in the Revised Guidance are commercial or legal interactions. Like those concepts, claim 2 recites the concept of entering data to use an ATM. Specifically, claim 2 recites operations that would ordinarily take place in advising one to validate data after sending and 4 See, e.g., Gottschalk v. Benson, 409 U.S. 63, 71–72 (1972); Bilski v. Kappos, 561 U.S. 593, 611 (2010); Mackay Radio & Telegraph Co. v. Radio Corp. of Am., 306 U.S. 86, 94 (1939); SAP Am., Inc. v. InvestPic, LLC, 898 F.3d 1161, 1163 (Fed. Cir. 2018). 5 See, e.g., Bilski, 561 U.S. at 628; Alice, 573 U.S. at 219-20; Ultramercial, Inc. v. Hulu, LLC, 772 F.3d 709, 715 (Fed Cir. 2014); Smart Sys. Innovations, LLC v. Chicago Transit Auth., 873 F.3d 1364, 1383 (Fed. Cir. 2017); In re Marco Guldenaar Holding B.V., 911 F.3d 1157, 1160–61 (Fed. Cir. 2018). 6 See, e.g., Benson, 409 U.S. at 67; CyberSource Corp. v. Retail Decisions, Inc., 654 F.3d 1366, 1371–72 (Fed. Cir. 2011); Intellectual Ventures I LLC v. Symantec Corp., 838 F.3d 1307, 1318 (Fed. Cir. 2016). Appeal 2018-001854 Application 13/916,234 8 receiving data. The advice to validate ATM data after sending and receiving data involves finding an ATM to use, which is an economic act, and validating the person in order to use the ATM, which is an act ordinarily performed in the stream of commerce. For example, claim 2 recites “transferring funds,” which is an activity that would take place whenever one is performing a financial transaction. Similarly, claim 1 recites “validating . . . prior to transferring funds at an ATM, the transaction identifier and pass code,” which are also characteristics of financial transactions. The Examiner determines the claims to be directed to transferring, receiving, and accepting funds. Final Act. 5. The preamble to claim 2 recites that it is a method for transferring funds. The steps in claim 2 result in validating data prior to transferring funds absent any technological mechanism other than a conventional computer for doing so. As to the specific limitations, limitations 1 and 3 recite data gathering and limitations 2 and 4 recite data transmission. Limitation 5 recites rudimentary analyzing of identification and code data, which advise one to apply generic functions to get to these results. The limitations thus recite advice for validating data after sending and receiving data. To advocate validating data after sending and receiving data is conceptual advice for results desired and not technological operations. The Specification at paragraph 2 describes the invention as relating to computer–implemented transfer systems including systems and methods for introducing information to and receiving information from a computer- implemented transfer system. Thus, all this intrinsic evidence shows that Appeal 2018-001854 Application 13/916,234 9 claim 2 is directed to entering data to use an ATM. This is consistent with the Examiner’s determination. This in turn is an example of commercial or legal interactions as a certain method of organizing human activity because entering data to use an ATM is simply automation of a commercial financial banking operation. The concept of entering data to use an ATM by validating data after sending and receiving data is one idea for ensuring the transaction is proper. The steps recited in claim 2 are part of how this might conceptually be premised. Our reviewing court has found claims to be directed to abstract ideas when they recited similar subject matter. Content Extraction and Transmission LLC v. Wells Fargo Bank, 776 F.3d 1343, 1347 (2014) (receiving, transmitting, and analyzing data). From this we conclude that at least to this degree, claim 2 is directed to entering data to use an ATM by validating data after sending and receiving data, which is a commercial and legal interaction, one of certain methods of organizing human activity identified in the Revised Guidance, and, thus, an abstract idea. STEP 2A Prong 2 The next issue is whether claim 2 not only recites, but is more precisely directed to this concept itself or whether it is instead directed to some technological implementation or application of, or improvement to, this concept i.e. integrated into a practical application.7 At the same time, we tread carefully in construing this exclusionary principle lest it swallow all of patent law. At some level, “all inventions . . . embody, use, reflect, rest upon, 7 See, e.g., Alice, 573 U.S. at 223, discussing Diamond v. Diehr, 450 U.S. 175 (1981). Appeal 2018-001854 Application 13/916,234 10 or apply laws of nature, natural phenomena, or abstract ideas.” Thus, an invention is not rendered ineligible for patent simply because it involves an abstract concept. “[A]pplication[s]” of such concepts “ ‘to a new and useful end,’ ” we have said, remain eligible for patent protection. Accordingly, in applying the § 101 exception, we must distinguish between patents that claim the “ ‘buildin[g] block[s]’ ” of human ingenuity and those that integrate the building blocks into something more. Alice, 573 U.S. at 217 (citations omitted). Taking the claim elements separately, the operation performed by the computer at each step of the process is expressed purely in terms of results, devoid of implementation details. Steps 1 and 3 are pure data gathering steps. Limitations describing the nature of the data do not alter this. Steps 2 and 4 are generic transmitting steps. Step 5 recites generic computer processing expressed in terms of results desired by any and all possible means and so present no more than conceptual advice. All purported inventive aspects reside in how the data is interpreted and the results desired, and not in how the process physically enforces such a data interpretation or in how the processing technologically achieves those results. Viewed as a whole, Appellants’ claim 2 simply recites the concept of entering data to use an ATM by validating data after sending and receiving data as performed by a generic computer. This is no more than conceptual advice on the parameters for this concept and the generic computer processes necessary to process those parameters, and do not recite any particular implementation. Claim 2 does not, for example, purport to improve the functioning of the computer itself. Nor does it effect an improvement in any other technology or technical field. The 25 pages of specification spell out Appeal 2018-001854 Application 13/916,234 11 different generic equipment8 and parameters that might be applied using this concept and the particular steps such conventional processing would entail based on the concept of entering data to use an ATM by validating data after sending and receiving data under different scenarios. They do not describe any particular improvement in the manner a computer functions. Instead, claim 2 at issue amounts to nothing significantly more than an instruction to apply entering data to use an ATM by validating data after sending and receiving data using some unspecified, generic computer. Under our precedents, that is not enough to transform an abstract idea into a patent– eligible invention. See Alice, 573 U.S. at 225–26. None of the limitations reflect an improvement in the functioning of a computer, or an improvement to other technology or technical field, applies or uses a judicial exception to effect a particular treatment or prophylaxis for a disease or medical condition, implements a judicial exception with, or uses a judicial exception in conjunction with, a particular machine or manufacture that is integral to the claim, effects a transformation or reduction of a particular article to a different state or thing, or applies or uses the judicial exception in some other 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. We conclude that claim 2 is directed to achieving the result of entering data to use an ATM by advising one to validate data after sending and receiving data, as distinguished from a technological improvement for 8 The Specification describes personal computers, cell phones with browsers, PDAs and the like. Spec. para. 7. Appeal 2018-001854 Application 13/916,234 12 achieving or applying that result. This amounts to commercial or legal interactions, which fall within certain methods of organizing human activity that constitute abstract ideas. The claim does not integrate the judicial exception into a practical application. STEP 2B The next issue is whether claim 2 provides an inventive concept because the additional elements recited in the claim provide significantly more than the recited judicial exception. The introduction of a computer into the claims does not generally alter the analysis at Mayo step two. the mere recitation of a generic computer cannot transform a patent–ineligible abstract idea into a patent–eligible invention. Stating an abstract idea “while adding the words ‘apply it’” is not enough for patent eligibility. Nor is limiting the use of an abstract idea “‘to a particular technological environment.’” Stating an abstract idea while adding the words “apply it with a computer” simply combines those two steps, with the same deficient result. Thus, if a patent’s recitation of a computer amounts to a mere instruction to “implement[t]” an abstract idea “on . . . a computer,” that addition cannot impart patent eligibility. This conclusion accords with the preemption concern that undergirds our § 101 jurisprudence. Given the ubiquity of computers, wholly generic computer implementation is not generally the sort of “additional feature[e]” that provides any “practical assurance that the process is more than a drafting effort designed to monopolize the [abstract idea] itself.” Alice, 573 U.S. at 223–24 (citations omitted). “[T]he relevant question is whether the claims here do more than simply instruct the practitioner to implement the abstract idea [] on a generic computer.” Alice, 573 U.S. at 225. They do not. Appeal 2018-001854 Application 13/916,234 13 Taking the claim elements separately, the function performed by the computer at each step of the process is purely conventional. Using a computer for receiving, transmitting, and analyzing data amounts to electronic data query and retrieval—one of the most basic functions of a computer. The limitation of “transferring funds at an ATM, the transaction identifier and pass code inputted by the receiver at the ATM” is not a step, but an indication of what is to happen outside the scope of the claim performance. This is pure aspiration. The action recited in this limitation is validating data, not disbursing funds, or entering data, and the validation occurs at the same computer as the earlier steps. As a corollary, any separation of function between the computer used in the claim and the ATM used outside the claim is not a structural or otherwise organizational feature of the claim. The ATM is itself operated as it is intended, albeit without a card. But a card is just a non-functional token for embedding identifying data entered into the ATM, which the recipient still enters. That is, the recipient enters an identifier and PIN and gets funds. There is no meaningful technological distinction between entering data via a keyboard or a magnetic stripe. This is again operating an ATM as it is intended to be operated. All of these computer functions are generic, routine, conventional computer activities that are performed only for their conventional uses. See Elec. Power Grp. v. Alstom S.A., 830 F.3d 1350, 1353 (Fed. Cir. 2016). See also In re Katz Interactive Call Processing Patent Litigation, 639 F.3d 1303, 1316 (Fed. Cir. 2011) (“Absent a possible narrower construction of the terms ‘processing,’ ‘receiving,’ and ‘storing,’ . . . those functions can be achieved by any general purpose computer without special programming”). None of these activities are used in some Appeal 2018-001854 Application 13/916,234 14 unconventional manner nor do any produce some unexpected result. Appellants do not contend they invented any of these activities. In short, each step does no more than require a generic computer to perform generic computer functions. As to the data operated upon, “even if a process of collecting and analyzing information is ‘limited to particular content’ or a particular ‘source,’ that limitation does not make the collection and analysis other than abstract.” SAP America, Inc. v. InvestPic LLC, 898 F.3d 1161, 1168 (Fed. Cir. 2018). Considered as an ordered combination, the computer components of Appellants’ claim 2 add nothing that is not already present when the steps are considered separately. The sequence of data reception–transmission– analysis is equally generic and conventional. See Ultramercial, Inc. v. Hulu, LLC, 772 F.3d at 715 (sequence of receiving, selecting, offering for exchange, display, allowing access, and receiving payment recited an abstraction), Inventor Holdings, LLC v. Bed Bath & Beyond, Inc., 876 F.3d 1372, 1378 (Fed. Cir. 2017) (sequence of data retrieval, analysis, modification, generation, display, and transmission), Two–Way Media Ltd. v. Comcast Cable Communications, LLC, 874 F.3d 1329, 1339 (Fed. Cir. 2017) (sequence of processing, routing, controlling, and monitoring). The ordering of the steps is therefore ordinary and conventional. We conclude that claim 2 does not provide an inventive concept because the additional elements recited in the claim do not provide significantly more than the recited judicial exception. REMAINING CLAIMS Claim 2 is representative. The other independent method claim 12 is substantially similar at least as regards this analysis. Although claim 12 Appeal 2018-001854 Application 13/916,234 15 adds the limitation of disbursing funds, this is precisely the ordinary, generic function of an ATM. Reciting disbursing of funds from an ATM is then no more than advice to have the ATM perform its ordinary generic function, which is not a technological improvement. Appellants do not argue this claim separately in any event. The remaining method claims merely describe process parameters. We conclude that the method claims at issue are directed to a patent–ineligible concept itself, and not to the practical application of that concept. As to the structural claims, they are no different from the method claims in substance. The method claims recite the abstract idea implemented on a generic computer; the system claims recite a handful of generic computer components configured to implement the same idea. This Court has long “warn[ed] . . . against” interpreting § 101 “in ways that make patent eligibility ‘depend simply on the draftsman’s art.’” Alice, 573 U.S. at 226. As a corollary, the claims are not directed to any particular machine. LEGAL CONCLUSION From these determinations we further determine that the claims do not recite an improvement to the functioning of the computer itself or to any other technology or technical field, a particular machine, a particular transformation, or other meaningful limitations. From this we conclude the claims are directed to the judicial exception of the abstract idea of certain methods of organizing human activity as exemplified by the commercial and legal interaction of entering data to use an ATM by validating data after sending and receiving data, without significantly more. Appeal 2018-001854 Application 13/916,234 16 APPELLANTS’ ARGUMENTS We are not persuaded by Appellants’ argument that the claims “recite particular non–generic machines.” Br. 4. As we determine supra, the Specification describes using personal computers, cell phones with browsers, PDAs and the like. Any particular programming is not recited in the claims. We are not persuaded by Appellants’ argument that “in the separate and distinct § 103 analysis of the claims, the Office has not successfully demonstrated such recitations were known at all.” Br. 5. “A claim for a new abstract idea is still an abstract idea. The search for a § 101 inventive concept is thus distinct from demonstrating § 102 novelty.” Synopsys, Inc. v. Mentor Graphics Corp., 839 F.3d 1138, 1151 (Fed. Cir. 2016). Claims 2, 3, 5, 6, 8–14, 16–20, and 22–24 rejected under 35 U.S.C. § 103(a) as unpatentable over Marcous and Amos We are persuaded by Appellants’ argument that [n]othing in the cited portions of Marcous discusses receiving a request for pickup information which related to a pickup location of the receiver. Instead, the only thing received from the receiver in Marcous appears to be an actual dispensing request to provide the money from the transaction. Locations are not requested by the receiver, or any other mechanism therein. Br. 6. The Examiner does not cite any portions of the references that describe this and does not respond to this portion of the argument in the Answer. Appeal 2018-001854 Application 13/916,234 17 Claims 7, 15, and 21 rejected under 35 U.S.C. § 103(a) as unpatentable over Marcous, Amos, and Britto These claims depend from the above claims and so this rejection is improper for the same reason as the above rejection. CONCLUSIONS OF LAW The rejection of claims 2, 3, and 5–24 under 35 U.S.C. § 101 as directed to a judicial exception without significantly more is proper. The rejection of claims 2, 3, 5, 6, 8–14, 16–20, and 22–24 under 35 U.S.C. § 103(a) as unpatentable over Marcous and Amos is improper. The rejection of claims 7, 15, and 21 under 35 U.S.C. § 103(a) as unpatentable over Marcous, Amos, and Britto is improper. DECISION The rejection of claims 2, 3, and 5–24 is affirmed. No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a). See 37 C.F.R. § 1.136(a)(1)(iv) (2011). AFFIRMED Copy with citationCopy as parenthetical citation