Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Claim Rejections - 35 USC § 101
35 U.S.C. 101 reads as follows:
Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to the conditions and requirements of this title.
Claim 1-18 are rejected under 35 U.S.C. 101 because the claimed invention is directed to an abstract idea without significantly more.
Claim 13: Step 1: the claim is directed to statuary category.
Step 2A Prong 1: The claim recites the following limitations:
13. An information processing method, comprising:
obtaining, an estimated value of a risk aversion index for each of a plurality of candidate points in a search space based on a kernel function and an observation history including one or a plurality of observation points and an observed value of a random variable for each of the one or the plurality of observation points (obtaining, an estimated value in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);
obtaining a value of an acquisition function for each of the plurality of candidate points based on the estimated value of the risk aversion index (obtaining a value of an acquisition function in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);;
searching for a target point corresponding to a predetermined value of the acquisition function from among the plurality of candidate points based on the value of the acquisition function (searching for a target point in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);
The claim recites an abstract idea.
Step 2A Prong 2: The judicial exceptions are not integrated into a practical application. The claim recites the following additional elements:
by a computer (amounts to a generic computer component to perform a computer function as discussed in MPEP 2106.05(f)).
outputting a search result including the target point (amounts to mere insignificant application, an insignificant extra-solution activity as discussed in MPEP 2106.05(g), which is extra-solution activity of well, understood routine and conventional operation of presentation of offer or statistics under MPEP 2106.05(d)).
Accordingly, the additional elements do not integrate the abstract idea into a practical application because they do not impose any meaningful limits on practicing the abstract idea.
Step 2B: The claim does not include additional elements that are sufficient to amount to significantly more than the judicial exception. The judicial exceptions are not integrated into a practical application.
The claim is not patent eligible.
Claim 14: Step 1: the claim is directed to statuary category.
Step 2A Prong 1: The claim recites the abstract idea of parent claim.
Step 2A Prong 2: The judicial exceptions are not integrated into a practical application.
The claim recites additional element(s):
14. The information processing method according to claim 13, wherein the acquisition function includes the risk aversion index and uncertainty of prediction regarding the random variable (amounts to generally linking the abstract ideas to the technological environment or field of use as discussed in in MPEP 2106.05(h)).
Step 2B: As shown above, the claim does not include additional elements that are sufficient to amount to significantly more than the judicial exception. The judicial exceptions are not integrated into a practical application.
The claim is not patent eligible.
Claim 15: Step 1: the claim is directed to statuary category.
Step 2A Prong 1: The claim recites the abstract idea of parent claim.
15. The information processing method according to claim 13, further comprising:
selecting a first observation point from among the plurality of candidate points based on the value of the acquisition function; acquiring the observed value of the random variable for the first observation point (selecting a first observation point in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);
updating the observation history by adding the first observation point and the observed value of the random variable for the first observation point to the observation history (updating the observation history in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);
obtaining a value of the acquisition function based on the updated observation history (obtaining a value of the acquisition function in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);
selecting a second observation point from among the plurality of candidate points based on the value of the acquisition function obtained based on the updated observation history (selecting a second observation point in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper); and
searching for the target point using the second observation point (searching for the target point in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper).
Step 2A Prong 2: The judicial exceptions are not integrated into a practical application.
The claim recites no additional element:
Step 2B: As shown above, the claim does not include additional elements that are sufficient to amount to significantly more than the judicial exception. The judicial exceptions are not integrated into a practical application.
The claim is not patent eligible.
Claim 16: Step 1: the claim is directed to statuary category.
Step 2A Prong 1: The claim recites the abstract idea of parent claim.
Step 2A Prong 2: The judicial exceptions are not integrated into a practical application.
The claim recites additional element(s):
16. The information processing method according to claim 15, wherein the risk aversion index is an index including conditional value-at-risk for the random variable, or an index including an expected value and variance of the random variable (amounts to generally linking the abstract ideas to the technological environment or field of use as discussed in in MPEP 2106.05(h)).
Step 2B: As shown above, the claim does not include additional elements that are sufficient to amount to significantly more than the judicial exception. The judicial exceptions are not integrated into a practical application.
The claim is not patent eligible.
Claim 17: Step 1: the claim is directed to statuary category.
Step 2A Prong 1: The claim recites the abstract idea of parent claim.
17. The information processing method according to claim 13, further comprising:
generating a first search space by excluding some of the plurality of candidate points based on the value of the acquisition function (generating a first search space in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);
obtaining a value of the acquisition function based on the first search space (obtaining a value of the acquisition function in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper);
generating a second search space by excluding some of the plurality of candidate points in the first search space based on the value of the acquisition function obtained based on the first search space (generating a second search space in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper); and
searching for the target point from among the plurality of candidate points in the second search space (searching for the target point in high level is an observation, evaluation, judgment, opinion mental process which can reasonably be performed in one’s mind with the aid of pencil and paper).
Step 2A Prong 2: The judicial exceptions are not integrated into a practical application.
The claim recites no additional element:
Step 2B: As shown above, the claim does not include additional elements that are sufficient to amount to significantly more than the judicial exception. The judicial exceptions are not integrated into a practical application.
The claim is not patent eligible.
Claim 18: Step 1: the claim is directed to statuary category.
Step 2A Prong 1: The claim recites the abstract idea of parent claim.
Step 2A Prong 2: The judicial exceptions are not integrated into a practical application.
The claim recites additional element(s):
18. The information processing method according to claim 17, wherein the risk aversion index is an index including conditional value-at-risk regarding the random variable (amounts to generally linking the abstract ideas to the technological environment or field of use as discussed in in MPEP 2106.05(h)).
Step 2B: As shown above, the claim does not include additional elements that are sufficient to amount to significantly more than the judicial exception. The judicial exceptions are not integrated into a practical application.
The claim is not patent eligible.
Claims 1-6 are non-transitory computer readable storage medium claims having similar limitation as claims 13-18 and are rejected under the same rationale. The additional elements in claim 1 is A non-transitory computer-readable recording medium storing a program for causing a computer to execute a process, the process comprising (amounts to performing generic function of execution of stored instructions (MPEP 2106.05(f)). Accordingly, the additional elements do not integrate the abstract into practical application and are not sufficient to amount to significant more than the abstract idea. Therefore, the claims are an abstract idea.
Claims 7-12 are device claims having similar limitation as claims 13-18 and are rejected under the same rationale. The additional elements in claim 7 is An information processing device, comprising: a memory; and a processor coupled to the memory and the processor configured to: (amounts to performing generic function of execution of stored instructions (MPEP 2106.05(f)). Accordingly, the additional elements do not integrate the abstract into practical application and are not sufficient to amount to significant more than the abstract idea. Therefore, the claims are an abstract idea.
Claim Rejections - 35 USC § 102
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
Claim(s) 1-18 is/are rejected under 35 U.S.C. 102a1 as being anticipated by Cakmak
et al (“Bayesian Optimization of Risk Measures” 2020)
13. An information processing method, comprising:
obtaining, by a computer, an estimated value of a risk aversion index for each of a plurality of candidate points in a search space based on a kernel function and an observation history including one or a plurality of observation points and an observed value of a random variable for each of the one or the plurality of observation points (See section 1 on risk averse optimization, using observation data, search of solution space; section 2.2 on random variable; section 5.3 on use of kernels);
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obtaining a value of an acquisition function for each of the plurality of candidate points based on the estimated value of the risk aversion index (see section 5.3 on acquisition functions);
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searching for a target point corresponding to a predetermined value of the acquisition function from among the plurality of candidate points based on the value of the acquisition function (See section 1 on search for solution space; section 5 on search based on/guided by an acquisition function); and
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outputting a search result including the target point (See section 6.4).
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14. The information processing method according to claim 13, wherein the acquisition function includes the risk aversion index and uncertainty of prediction regarding the random variable (See section 5 on acquisition based on risk measure and section 2.2 on optimization under uncertainty).
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15. The information processing method according to claim 13, further comprising: selecting a first observation point from among the plurality of candidate points based on the value of the acquisition function; acquiring the observed value of the random variable for the first observation point; updating the observation history by adding the first observation point and the observed value of the random variable for the first observation point to the observation history; obtaining a value of the acquisition function based on the updated observation history; selecting a second observation point from among the plurality of candidate points based on the value of the acquisition function obtained based on the updated observation history; and searching for the target point using the second observation point (See section 5.3 on current candidate, previous candidate, iterations of optimization; section 7 on selection of data).
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16. The information processing method according to claim 15, wherein the risk aversion index is an index including conditional value-at-risk for the random variable (See section 1 on CVaR), or an index including an expected value and variance of the random variable.
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17. The information processing method according to claim 13, further comprising: generating a first search space by excluding some of the plurality of candidate points based on the value of the acquisition function; obtaining a value of the acquisition function based on the first search space; generating a second search space by excluding some of the plurality of candidate points in the first search space based on the value of the acquisition function obtained based on the first search space; and searching for the target point from among the plurality of candidate points in the second search space (See section 5.3 on current candidate, previous candidate, iterations of optimization; section 2.2 on excluding data.
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18. The information processing method according to claim 17, wherein the risk aversion index is an index including conditional value-at-risk regarding the random variable (See section 1) .
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Claims 1-6 are non-transitory computer readable storage medium claims having similar limitation as claims 13-18 and are rejected under the same rationale. The additional elements in claim 1 is A non-transitory computer-readable recording medium storing a program for causing a computer to execute a process, the process comprising (See section 6 on running code for the experiments. Examiner Note: running code implied the use of computer, which inherently has non-transitory computer readable storage medium)
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Claims 7-12 are device claims having similar limitation as claims 13-18 and are rejected under the same rationale. The additional elements in claim 7 is An information processing device, comprising: a memory; and a processor coupled to the memory and the processor configured to: (See section 6 on running code for the experiments. Examiner Note: running code implied the use of computer, which inherently has : a memory; and a processor).
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Pertinent Prior Art
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Halabe et al (US 20180321421 A1) disclose optimization under uncertainty (abstract), risk aversion factor ([0048]), use of kernel ([0069]).
Schulz et al (“Generalization and Search in Risky Environments” 2018) disclose Generalization and Search in Risky Environments (abstract), use of acquisition function (section 5.3), uncertainty (section 5.3.1), kernel function (section 3.1), risk aversion (section 5.3.2).
Gonzalvez et al (“Financial Applications of Gaussian Processes and Bayesian Optimization” 2019) disclose Financial Applications of Gaussian Processes and Bayesian Optimization (abstract), use of acquisition function (section 2.2.1), uncertainty ((section 2.2.1) kernel function (algorithm 1), risk aversion coefficient (section 3.2.1).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to LUT WONG whose telephone number is (571)270-1123. The examiner can normally be reached M-F 10am-6pm EST.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Abdullah Al Kawsar can be reached at 5712703169. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/LUT WONG/Primary Examiner, Art Unit 2127
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