The Board of Trustees of the Leland Stanford Junior UniversityDownload PDFPatent Trials and Appeals BoardMay 15, 20202019006771 (P.T.A.B. May. 15, 2020) 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. 14/336,434 07/21/2014 Neta Zuckerman 48440-582001US 6978 64046 7590 05/15/2020 Mintz Levin/San Diego Office One Financial Center Boston, MA 02111 EXAMINER WHALEY, PABLO S ART UNIT PAPER NUMBER 3619 NOTIFICATION DATE DELIVERY MODE 05/15/2020 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): IPDocketingBOS@mintz.com IPFileroombos@mintz.com mintzdocketing@cpaglobal.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte NETA ZUCKERMAN, YAIR NOAM, ANDREA GOLDSMITH, AND PETER P. LEE Appeal 2019-006771 Application 14/336,434 Technology Center 1600 Before RICHARD M. LEBOVITZ, FRANCISCO C. PRATS, and ELIZABETH A. LAVIER, Administrative Patent Judges. LAVIER, 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 1–8, 10–13, 15, and 17–19. 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 Board of Trustees of the Leland Stanford Junior University. Appeal Br. 2. Appeal 2019-006771 Application 14/336,434 2 CLAIMED SUBJECT MATTER The claims are directed to methods for identifying cell type specific gene expression data from a heterogeneous tissue sample. Claim 1, reproduced below, is illustrative: 1. A method comprising: determining a heterogeneous gene expression data associated with a heterogeneous tissue sample, the heterogeneous tissue sample having a tissue type and a composition that includes a first plurality of cell types; obtaining, from a database, a plurality of reference expression profiles for a second plurality of cell types, the second plurality of cell types comprising an estimation of the first plurality of cell types comprising the composition of the heterogeneous tissue sample; determining a plurality of estimated expression profiles corresponding to the second plurality of cell types; estimating, based at least on the plurality of estimated expression profiles for the second plurality of cell types, a quantity of cell types comprising the first plurality of cell types, the estimating comprising: determining a symmetric Kullback-Leibler divergence between the plurality of estimated expression profiles and the plurality of reference expression profiles; and identifying at least one cell type comprising the actual composition of the heterogeneous tissue sample based at least on the at least one cell type being associated with an estimated expression profile having a least symmetric Kullback-Leibler divergence with respect to the plurality of reference expression profiles; computing a proportion of each cell type included in the first plurality of cell types comprising the composition of the heterogeneous tissue sample; and separating, based at least on the quantity of cell types and the proportion of each cell type, the heterogeneous gene expression data associated with the heterogeneous tissue sample, the Appeal 2019-006771 Application 14/336,434 3 heterogeneous gene expression data being separated into a plurality of cell type specific expression profiles corresponding to the first plurality of cell types comprising the composition of the heterogeneous tissue sample. Appeal Br. 23–24 (Claims Appendix). REJECTION Claims 1–8, 10–13, 15, and 17–19 stand rejected under 35 U.S.C. § 101 as being directed to subject matter ineligible for patenting. Ans. 3. OPINION A. The Rejection The Examiner determined that, as method claims, Appellant’s claims fall within one of the statutory categories of invention. See Final Action 3. However, the Examiner rejected the claims as falling within one of the judicially-created exceptions to eligibility, i.e., abstract ideas. See id.; see also Ans. 3–4. More specifically, the Examiner found that the claims are drawn to “methods for determining gene expression profiles and cell types which rely upon a judicial exception that is an abstract idea” (Final Action 3), and nothing significantly more (see id. at 5–6), whether the limitations are considered individually or as an ordered whole (see id. at 6). B. Principles of Law An invention is patent-eligible if it claims a “new and useful process, machine, manufacture, or composition of matter.” 35 U.S.C. § 101. The Supreme Court has long interpreted 35 U.S.C. § 101 to include implicit exceptions, however: “[l]aws of nature, natural phenomena, and abstract ideas” are not patentable. Alice Corp. v. CLS Bank Int’l, 573 U.S. 208, 216 (2014). In determining whether a claim falls within an excluded category, Appeal 2019-006771 Application 14/336,434 4 we are guided by the Court’s two-step framework, described in Mayo Collaborative Services v. Prometheus Laboratories, Inc., 566 U.S. 66 (2012) and Alice, 573 U.S. at 217–18 (citing Mayo, 566 U.S. at 75–77). In accordance with that framework, we first determine what concept the claim is “directed to.” See Alice, 573 U.S. at 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.”). 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 v. Kappos, 561 U.S. 593, 611 (2010)); 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 (quotation marks omitted). Early in 2019, the USPTO published revised guidance on the application of § 101. USPTO, 2019 Revised Patent Subject Matter Eligibility Guidance, 84 Fed. Reg. 50 (January 7, 2019) (“Memorandum” or “2019 Office Guidance” or “Office Guidance”). The 2019 Office Guidance was subsequently updated in October 2019. USPTO, October 2019 Patent Eligibility Guidance Update, 84 Fed. Reg. 55942 (October 18, 2019) (“October 2019 Guidance Update”).2 2 The citation provided to the Federal Register for the October 2019 Guidance Update is for the notice only. As the notice indicates, the full text Appeal 2019-006771 Application 14/336,434 5 Following the Office Guidance, under Revised Step 2A, we first look to whether the claim recites the following: (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); and (2) additional elements that integrate the judicial exception into a practical application (see MPEP § 2106.05(a)–(c), (e)–(h)). 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 of the Office Guidance, to whether the claim: (3) adds specific limitations beyond the judicial exception that are not “well-understood, routine, conventional” in the field (see MPEP § 2106.05(d)); or (4) simply appends well-understood, routine, conventional activities previously known to the industry, specified at a high level of generality, to the judicial exception. See Memorandum. C. Analysis 1. Office Guidance—Revised Step 2A, Prong 1 We select Appellant’s claim 1 as representative of the claims subject to this rejection. Applying Revised Step 2A, Prong 1, of the 2019 Office Guidance, we agree with the Examiner that Appellant’s claim 1 recites abstract ideas in a number of instances. of the October 2019 Guidance Update, including its appendices, is available at https://www.uspto.gov/PatentEligibility. This website also includes a link to the 2019 Office Guidance, among other documents. Appeal 2019-006771 Application 14/336,434 6 Representative claim 1 recites a method in which expression data associated with a heterogeneous tissue sample are “determin[ed].” Appeal Br. 23 (Claims Appendix). Then, at least in part using reference expression profiles obtained from a database (and for which estimated expression profiles are “determin[ed]”), the quantity of cell types is “estimat[ed],” the proportion of each cell type is “comput[ed],” and the heterogeneous gene expression data are “separat[ed], based on at least the quantity of cell types and the proportion of each cell type . . . . into a plurality of cell type specific expression profiles” for the cell types in the heterogeneous tissue sample. Id. at 23–24. Because determining, estimating, computing, and separating as recited in claim 1 involve concepts performed in the human mind, these steps recite a judicial exception in the form of a mental process. See Office Guidance, 84 Fed. Reg. at 52 (abstract ideas include “(c) Mental processes— concepts performed in the human mind (including an observation, evaluation, judgment, opinion”) (citations omitted). Indeed, claim 1 further specifies that the step in which the quantity of cell types is “estimat[ed]” is accomplished through, inter alia, “determining a symmetric Kullback-Leibler divergence between the plurality of estimated expression profiles and the plurality of reference expression profiles” and using this result to “identify[]” at least one cell type in the tissue sample. Appeal Br. 23 (Claims Appendix). As the Specification explains, symmetric Kullback-Leibler divergence is “a measure used to calculate the difference between two probability distributions” (Spec. ¶ 21), and is further defined by mathematical equations (see id. at ¶ 28). Accordingly, we agree with the Examiner that claim 1 recites abstract ideas. See Office Guidance (84 Fed. Appeal 2019-006771 Application 14/336,434 7 Reg. at 52 (abstract ideas include “(a) Mathematical concepts— mathematical relationships, mathematical formulas or equations, mathematical calculations”)). 2. Office Guidance—Revised Step 2A, Prong 2 Having determined that Appellant’s representative claim 1 recites abstract ideas under Revised Step 2A, Prong 1, of the 2019 Office Guidance, we turn to Revised Step 2A, Prong 2, of the Office Guidance to determine whether claim 1 recites additional elements that integrate the judicial exceptions into a practical application. See Office Guidance (84 Fed. Reg. at 54–55). Appellant asserts that, in contrast to prior art methods: the claims integrate any alleged me[n]tal process and/or mathematical concept into a practical application for separating, into individual cell type specific expression profiles, heterogeneous gene expression data associated with a heterogeneous tissue sample having multiple types of cells without any a priori information on the quantity of cell types and the proportion of each cell type present in the heterogeneous tissue sample. Appeal Br. 15. We are not persuaded. As the Examiner explains, Appellant’s “inventive concept appears to be the algorithmic process itself,” not a practical application thereof: While the particular algorithmic approach to clustering gene expression data recited in the claims may be a particular way to achieve the separation of gene expression data associated with cell types (without the use of a priori information), the claim remains directed to a purportedly better form of algorithmic analysis. Ans. 4. Indeed, claim 1 begins with “determining a heterogeneous gene expression data,” and ends with “separating . . . the heterogeneous gene Appeal 2019-006771 Application 14/336,434 8 expression data.” Appeal Br. 23–24 (Claims Appendix). Thus, the input and the output are equally abstract (as are the intermediate steps). In other words, claim 1 does not “effect[] a transformation or reduction of a particular article to a different state or thing” (MPEP § 2106.05(c) (citing Bilski v. Kappos, 561 U.S. 593 (2010)), as only data are manipulated in claim 1—nothing tangible is altered. See October 2019 Guidance Update at 13 (“[I]t is important to keep in mind that an improvement in the judicial exception itself . . . is not an improvement in technology.”). Thus, we agree with the Examiner that Appellant’s claim 1 does not recite additional elements that integrate the judicial exceptions into a practical application. 3. Office Guidance—Step 2B For the reasons discussed above, we are persuaded that Appellant’s representative claim 1 recites judicial exceptions (abstract ideas in the form of mathematical concepts and mental processes) under Revised Step 2A, Prong 1, of the 2019 Office Guidance, and does not integrate those judicial exceptions into a practical application under Revised Step 2A, Prong 2. Accordingly, we turn to Step 2B of the Office Guidance to determine whether (a) claim 1 recites specific limitations beyond the judicial exceptions that are not well-understood, routine, or conventional in the field, or (b) whether claim 1 simply appends well-understood, routine, conventional activities previously known to the industry, specified at a high level of generality, to the judicial exception. See Office Guidance (84 Fed. Reg. at 56). As discussed above, the steps of claim 1 involve the manipulation of gene expression data, to compute the proportion of cell types in a Appeal 2019-006771 Application 14/336,434 9 heterogeneous sample and to separate the cell type specific expression profiles corresponding to those cell types. See Appeal Br. 23–24. Appellant argues that “obviating the need for a priori information” is a “significant improvement[] to conventional techniques for separating heterogeneous gene expression data,” thus “qualify[ing] as additional elements that amount to significantly more” than the judicial exceptions. Appeal Br. 20. But regardless of whether it improves prior art processes, claim 1 does not recite specific limitations beyond the abstract idea. Claim 1 begins with “determining a heterogeneous gene expression data associated with a heterogeneous tissue sample,” not with the tissue sample itself. Claim 1 does not sort cells; claim 1 sorts data. In other words, the improvement described by Appellant is in the abstract idea itself. Whether considered individually or as an ordered combination, we conclude that claim 1 does not recite specific limitations beyond the judicial exceptions that are not well- understood, routine, or conventional in the field. D. Conclusion In the present case, as discussed above, under the Mayo framework as implemented by the 2019 Office Guidance, we are persuaded that the preponderance of the evidence supports the Examiner’s determination that Appellant’s claim 1 is directed to subject matter that is ineligible for patenting. In sum, for the reasons discussed, Appellant does not persuade us that the Examiner erred in determining that Appellant’s claim 1 is directed to subject matter that is ineligible for patenting. We, therefore, affirm the Examiner’s rejection of claim 1 as being ineligible for patenting. Claims 2– 8, 10–13, 15, and 17–19 are not argued separately, and fall with claim 1. See 37 C.F.R. § 41.37(c)(1)(iv) (2016). Appeal 2019-006771 Application 14/336,434 10 CONCLUSION The Examiner’s rejection is affirmed. DECISION SUMMARY Claims Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 1–8, 10–13, 15, 17–19 101 Eligibility 1–8, 10–13, 15, 17–19 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