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 .
DETAILED ACTION
This action is responsive to the Application filed on 12/27/2023, which claims priority of provisional application 62/923694 filed on 10/21/2019 and provisional application 62/940373 filed on 11/26/2019. Claims 1-20 are pending in the case. Claims 1, 8 and 15 are independent claims.
Claim Rejections - 35 U.S.C. § 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.
Claims 1-20 are rejected under 35 U.S.C. § 101 because the claimed invention is directed to an abstract idea without significantly more.
When considering subject matter eligibility under 35 U.S.C. 101, it must be determined whether the claim is directed to one of the four statutory categories of invention, i.e., process, machine, manufacture, or composition of matter (Step 1). If the claim does fall within one of the statutory categories, the second step in the analysis is to determine whether the claim is directed to a judicial exception (Step 2A). The Step 2A analysis is broken into two prongs. In the first prong (Step 2A, Prong 1), it is determined whether or not the claims recite a judicial exception (e.g., mathematical concepts, mental processes, certain methods of organizing human activity). If it is determined in Step 2A, Prong 1 that the claims recite a judicial exception, the analysis proceeds to the second prong (Step 2A, Prong 2), where it is determined whether or not the claims integrate the judicial exception into a practical application. If itis determined at step 2A, Prong 2 that the claims do not integrate the judicial exception into a practical application, the analysis proceeds to determining whether the claim is a patent-eligible application of the exception (Step 2B). If an abstract idea is present in the claim, any element or combination of elements in the claim must be sufficient to ensure that the claim integrates the judicial exception into a practical application, or else amounts to significantly more than the abstract idea itself. Applicant is advised to consult the 2019 PEG for more details of the analysis.
Step 1 Analysis: Is the claim to a process, machine, manufacture or composition of matter? See MPEP § 2106.03.
Claims 1-7 are drawn to an apparatus, claims 8-14 are drawn to a storage device and claims 15-20 are drawn to a method, therefore each of these claim groups falls under one of four categories of statutory subject matter (machine/products/apparatus, process/method, manufactures and compositions of mater; Step 1). Nonetheless, the claims are directed to a judicially recognized exception of an abstract idea without significant more (Step 2A, see below). Independent claims 1, 8 and 15 are non-verbatim but similar in claim construction, hence share the same rationale that the claimed inventions are directed to non-statutory subject matter as follows:
As to claim 1:
Claim 1 recites “an apparatus comprising: interface circuitry; instructions, and programmable circuitry to be programmed by the instructions to:
generate a joint model based on first and second subject models, the first and second subject models selected based on a relationship between the first and second subject models;
select the joint model from a plurality of joint models after a determination that entropy data points of the joint model satisfy a threshold, the entropy data points based on multiple tuning trials of the joint model; and provide tuning data associated with the joint model to a tuning session of a target model.“
Step 2A Prong One Analysis: Does the claim recite an abstract idea, law of nature, or natural phenomenon? See MPEP § 2106.04(II)(A)(1).
Yes, the limitation “generate a joint model based on first and second subject models, the first and second subject models selected based on a relationship between the first and second subject models” is the abstract idea of a mental process that can practically be performed in the human mind, with or without the use of a physical aid such as pen and paper (including an observation, evaluation, judgment, opinion). See MPEP § 2106.04(a)(2)(III). Under its broadest reasonable interpretation in light of the specification, this limitation encompasses the mental process of based on the input and output of a math models, can form a combined model, which is an observation or evaluation that is practically capable of being performed in the human mind with the assistance of pen and paper. See MPEP § 2106.04(a)(2)(III).
Yes, the limitation “select the joint model from a plurality of joint models after a determination that entropy data points of the joint model satisfy a threshold” is the abstract idea of a mental process that can practically be performed in the human mind, with or without the use of a physical aid such as pen and paper (including an observation, evaluation, judgment, opinion). See MPEP § 2106.04(a)(2)(III). Under its broadest reasonable interpretation in light of the specification, this limitation encompasses the mental process of pick a combined model based on a threshold number of data, which is an observation or evaluation that is practically capable of being performed in the human mind with the assistance of pen and paper. See MPEP § 2106.04(a)(2)(III).
Step 2A Prong Two Analysis: Does the claim recite additional elements that integrate the judicial exception into a practical application? See MPEP § 2106.04(d).
No, this limitation “subject model” and “joint model” are additional elements that amounts to adding the words “apply it” (or an equivalent) with the judicial exception and reciting only the idea of a solution or outcome, i.e., the claim fails to recite details of how a solution to a problem is accomplished because it is unclear how the “subject model” and “joint model” is used nor the specification makes it clear how these actions are performed. Thus, these additional elements are recited in a manner that represent no more than mere instructions to apply the judicial exceptions on a computer. See MPEP § 2106.05(f) and § 2106.04(d).
No, this limitation “interface circuitry”, “programmable circuitry” are an additional element that amounts to adding the words “apply it” (or an equivalent) with the judicial exception, or merely uses a computer in its ordinary capacity as a tool to perform an existing process, and as such is deemed insufficient to transform the judicial exception to a patentable invention. See MPEP §§ 2106.04(d), 2106.05(f)(2).
No, This limitation “provide tuning data associated with the joint model to a tuning session of a target model” is merely a post-solution step and as such is an additional element that amounts to adding insignificant extra-solution activity to the judicial exception. See MPEP §§ 2106.04(d), 2106.05(g).
This limitation “joint model” is an additional element that generally links the use of the judicial exception to a particular technological environment or field of use, and as such is deemed insufficient to transform the judicial exception to a patentable invention. See MPEP §§ 2106.04(d), 2106.05(h).
Accordingly, these 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 when considered as an ordered combination and as a whole.
Step 2B Analysis: Does the claim recite additional elements that amount to significantly more than the judicial exception? See MPEP § 2106.05.
First, the additional elements directed to generally linking the use of a judicial exception to a particular technological environment or field of use are deemed insufficient to transform the judicial exception to a patentable invention because the claimed limitations generally link the judicial exception to the technology environment, see MPEP 2106.05(h). However, they are included below for the sake of completeness.
Second, the additional elements mere application of the abstract idea or mere instructions to implement an abstract idea on a computer are deemed insufficient to transform the judicial exception to a patentable invention because the limitations generally apply the use of a generic computer and/or process with the judicial exception. See MPEP 2106.05(f). However, they are included below for the sake of completeness.
No, this limitation “subject model” and “joint model” are additional elements that amounts to adding the words “apply it” (or an equivalent) with the judicial exception and reciting only the idea of a solution or outcome, i.e., the claim fails to recite details of how a solution to a problem is accomplished because it is unclear how the “subject model” and “joint model” is used nor the specification makes it clear how these actions are performed. Thus, these additional elements are recited in a manner that represent no more than mere instructions to apply the judicial exceptions on a computer. See MPEP § 2106.05(f) and § 2106.04(d).
No, this limitation “interface circuitry”, “programmable circuitry” are an additional element that amounts to adding the words “apply it” (or an equivalent) with the judicial exception, or merely uses a computer in its ordinary capacity as a tool to perform an existing process, and as such is deemed insufficient to transform the judicial exception to a patentable invention. See MPEP §§ 2106.04(d), 2106.05(f)(2).
No, This limitation “provide tuning data associated with the joint model to a tuning session of a target model” is merely a post-solution step and as such is an additional element that amounts to adding insignificant extra-solution activity to the judicial exception. See MPEP §§ 2106.04(d), 2106.05(g).
This limitation “joint model” is an additional element that generally links the use of the judicial exception to a particular technological environment or field of use, and as such is deemed insufficient to transform the judicial exception to a patentable invention. See MPEP §§ 2106.04(d), 2106.05(h).
Thus, considering the additional elements individually and in combination and the claims as a whole, the additional elements do not provide significantly more than the abstract idea. The claims are not eligible subject matter.
Therefore, in examining elements as recited by the limitations individually and as an ordered combination, as a whole the independent claim limitations do not recite what have the courts have identified as “significantly more”.
Furthermore, regarding dependent claims 2-7 which are dependent on claim 1, claims 8-14 which are dependent on claim 8, and claims 16-20 which are dependent on claim 15, the claims are directed to a judicial exception without significantly more as highlighted below in the claim limitations by evaluating the claim limitations under Step 2A and 2B:
Dependent claims 2, 9 and 16:
Incorporates the rejection of independent claims 1, 8 and 15.
Step 2A Prong 1: does the claim recite an abstract idea, law of nature, or natural phenomenon? See MPEP § 2106.04(II)(A)(1). Yes, the limitation “generate the joint model after a relatedness metric value corresponding to a relatedness between the first and second subject models satisfies a relatedness threshold” is the abstract idea of a mental process that can practically be performed in the human mind, with or without the use of a physical aid such as pen and paper (including an observation, evaluation, judgment, opinion). See MPEP § 2106.04(a)(2)(III). Further, Yes, the limitation “generate the joint model after a relatedness metric value corresponding to a relatedness between the first and second subject models satisfies a relatedness threshold” is the abstract idea of a mathematical relationship, as directed to “a mathematical relationship is a relationship between variables or numbers. A mathematical relationship may be expressed in words or using mathematical symbols”. See MPEP § 2106.04(a)(2)(I)(A).
Step 2A prong 2: the claim recite additional elements that integrate the judicial exception into a practical application? See MPEP § 2106.04(d). No.
Step 2B: the claim recite additional elements that amount to significantly more than the judicial exception? See MPEP § 2106.05. and Is the additional element recognized as well-understood, routine, and conventional? No.
Dependent claims 3, 10 and 17:
Incorporates the rejection of dependent claims 2, 9 and 16.
Step 2A Prong 1: does the claim recite an abstract idea, law of nature, or natural phenomenon? See MPEP § 2106.04(II)(A)(1). Yes, the limitation “determine a second relatedness metric value for a third subject model and a fourth subject model from the pool of historical subject models and after a determination that the second relatedness metric value does not satisfy the relatedness threshold, not select the third and fourth subject models as a pair of subject models to generate the joint model” is the abstract idea of a mental process that can practically be performed in the human mind, with or without the use of a physical aid such as pen and paper (including an observation, evaluation, judgment, opinion). See MPEP § 2106.04(a)(2)(III).
Step 2A prong 2: the claim recite additional elements that integrate the judicial exception into a practical application? See MPEP § 2106.04(d) No.
Step 2B: the claim recite additional elements that amount to significantly more than the judicial exception? See MPEP § 2106.05. and Is the additional element recognized as well-understood, routine, and conventional? No.
Dependent claims 4, 11 and 18:
Incorporates the rejection of independent claim 1, 8 and 15.
Step 2A Prong 1: does the claim recite an abstract idea, law of nature, or natural phenomenon? See MPEP § 2106.04(II)(A)(1). Yes, the limitation “compare a behavior of the first subject model to a behavior of the second subject model” is the abstract idea of a mental process that can practically be performed in the human mind, with or without the use of a physical aid such as pen and paper (including an observation, evaluation, judgment, opinion). See MPEP § 2106.04(a)(2)(III).
Step 2A prong 2: the claim recite additional elements that integrate the judicial exception into a practical application? See MPEP § 2106.04(d) No.
Step 2B: the claim recite additional elements that amount to significantly more than the judicial exception? See MPEP § 2106.05. and Is the additional element recognized as well-understood, routine, and conventional? No.
Dependent claims 5, 12 and 19:
Incorporates the rejection of independent claims 1, 8 and 15.
Step 2A Prong 1: does the claim recite an abstract idea, law of nature, or natural phenomenon? See MPEP § 2106.04(II)(A)(1). Yes, Incorporates the abstract idea of independent claims 1, 8 and 15.
Step 2A prong 2: the claim recite additional elements that integrate the judicial exception into a practical application? See MPEP § 2106.04(d) No.
Step 2B: the claim recite additional elements that amount to significantly more than the judicial exception? See MPEP § 2106.05. and Is the additional element recognized as well-understood, routine, and conventional? No.
Dependent claims 6, 13 and 20:
Incorporates the rejection of independent claims 1, 8 and 15.
Step 2A Prong 1: does the claim recite an abstract idea, law of nature, or natural phenomenon? See MPEP § 2106.04(II)(A)(1). Yes, the limitation “generate predictions based on the multiple tuning trials of the joint model; and generate the entropy data points based on at least some of the predictions” is the abstract idea of a mental process that can practically be performed in the human mind, with or without the use of a physical aid such as pen and paper (including an observation, evaluation, judgment, opinion). See MPEP § 2106.04(a)(2)(III).
Step 2A prong 2: the claim recite additional elements that integrate the judicial exception into a practical application? See MPEP § 2106.04(d) No.
Step 2B: the claim recite additional elements that amount to significantly more than the judicial exception? See MPEP § 2106.05. and Is the additional element recognized as well-understood, routine, and conventional? No.
Dependent claims 7 and 14:
Incorporates the rejection of independent claims 1 and 8.
Step 2A Prong 1: does the claim recite an abstract idea, law of nature, or natural phenomenon? See MPEP § 2106.04(II)(A)(1). Yes, Incorporates the abstract idea of independent claims 1 and 8.
Step 2A prong 2: the claim recite additional elements that integrate the judicial exception into a practical application? See MPEP § 2106.04(d) No.
Step 2B: the claim recite additional elements that amount to significantly more than the judicial exception? See MPEP § 2106.05. and Is the additional element recognized as well-understood, routine, and conventional? No.
The dependent claims as analyzed above, do not recite limitations that integrated the judicial exception into a practical application. In addition, the claim limitations do not include additional elements that are sufficient to amount to significantly more than the judicial exception (Step 2B). Therefore, the claims do not recite any limitations, when considered individually or as a whole, that recite what the courts have identified as “significantly more”, see MPEP 2106.05; and therefore, as a whole the claims are not patent eligible.
As shown above, the dependent claims do not provide any additional elements that when considered individually or as an ordered combination, amount to significantly more than the abstract idea identified. Therefore, as a whole the dependent claims do not recite what the courts have identified as “significantly more” than the recited judicial exception.
Therefore, claims 1-20 are rejected under 35 U.S.C. 101 because the claimed invention is directed to a judicial exception and does not recite, when claim elements are examined individually and as a whole, elements that the courts have identified as “significantly more” than the recited judicial exception.
The prior art made of record and not relied upon is considered pertinent to Applicant's disclosure:
“Hyperparameter Optimization to Improve Bug Prediction Accuracy”, Osman et al, 2017: Bug prediction is a technique that strives to identify where defects will appear in a software system. Bug prediction employs machine learning to predict defects in software entities based on software metrics. These machine learning models usually have adjustable parameters, called hyperparameters, that need to be tuned for the prediction problem at hand. However, most studies in the literature keep the model hyperparameters set to the default values provided by the used machine learning frameworks.
Applicant is required under 37 C.F.R. § 1.111(c) to consider these references fully when responding to this action.
It is noted that any citation to specific pages, columns, lines, or figures in the prior art references and any interpretation of the references should not be considered to be limiting in any way. A reference is relevant for all it contains and may be relied upon for all that it would have reasonably suggested to one having ordinary skill in the art. In re Heck, 699 F.2d 1331, 1332-33, 216 U.S.P.Q. 1038, 1039 (Fed. Cir. 1983) (quoting In re Lemelson, 397 F.2d 1006, 1009, 158 U.S.P.Q. 275, 277 (C.C.P.A. 1968)).
In the interests of compact prosecution, Applicant is invited to contact the examiner via electronic media pursuant to USPTO policy outlined MPEP § 502.03. All electronic communication must be authorized in writing. Applicant may wish to file an Internet Communications Authorization Form PTO/SB/439. Applicant may wish to request an interview using the Interview Practice website: http://;www.uspto.gov/patent/laws-and-regulations/interview-practice.
Applicant is reminded Internet e-mail may not be used for communication for matters under 35 U.S.C. § 132 or which otherwise require a signature. A reply to an Office action may NOT be communicated by Applicant to the USPTO via Internet e- mail. If such a reply is submitted by Applicant via Internet e-mail, a paper copy will be placed in the appropriate patent application file with an indication that the reply is NOT ENTERED. See MPEP § 502.03(II).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to HAIMEI JIANG whose telephone number is (571)270-1590. The examiner can normally be reached M-F 9-5pm.
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/HAIMEI JIANG/ Primary Examiner, Art Unit 2142