DETAILED ACTION
This communication is a Non-Final Rejection Office Action in response to the 6/15/2026 submission filed in Application 18/569,664.
Claims 1-10 were previously examiner in the action mailed on 10/1/2025. Claims 1, 2, 9-10 have been amended. Claims8 has been cancelled. Claims 1-6, 9-10 are bow presented.
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 6/15/2026 has been entered.
Response to Arguments
Applicant’s arguments filed 6/15/2026 have been fully considered but they are not persuasive.
Regarding the rejections under 101, the Applicant argues “The improvement is a technical solution to a technical problem, as explained in the specification. For example, various factors affect risks a facility has, including respective properties of many apparatuses included in the facility and a degree of aging of each apparatus caused by external factors in an environment in which the facility is installed. See para. [0005]. Conventional systems, such as those in Patent Literature 1, estimate a risk value using a risk model. However, the method described in Patent Literature 1 does not evaluate a spontaneous risk and do not optimize countermeasures based on risk values of the constituent elements of the facility. The optimization system 1 is thus able to properly evaluate a risk and plan an appropriate countermeasure for the management target including the constituent elements. See para. [0035]. That is, the presently claimed invention sets forth a computer-implemented specific technical processes under technically relevant conditions.”
The Examiner respectfully disagrees. In the instant case, the limitations of selecting a risk model corresponding to a risk type of each of the constituent elements, from the risk models and giving result information to the selected risk model to estimate a future risk value of each of the constituent elements; determining an implementation time to apply the countermeasure, based on a risk value of each of the constituent elements, the risk value being estimated by the risk estimation unit, for every one of the constituent elements included in the management target at each point of time, upon determining a risk value is greater than or equal to the recovery threshold and upon determining the risk value is greater than or equal to the preventive threshold, determine a countermeasure to keep the risk value equal to or lower than the recovery threshold and the preventive threshold, and record the countermeasure as schedule information cover performance of the limitations in the mind but for the recitation of generic computer components. Limitations that fall into one of the abstract idea groupings cannot also provide a technical improvement.
Regarding the rejections under 101, the Applicant further argues “At least the limitations "display on one screen: the determined implementation time to apply the countermeasure, and the preventive measure or the recovery measure to be carried out at the implementation time such that the implementation time and the preventive measure or the recovery measure are displayed in association with each other" do not fall within the Mental Process or Certain Method of Organizing Human Activity groupings of abstract ideas. For example, the human mind is not practically capable of displaying the determined implementation time to apply the countermeasure and the preventive measure or the recovery measure to be carried out at the implementation time in association with each other. Further, these limitations are not directed to risk mitigation, as alleged in the Office Action. Accordingly, at least these limitations are additional elements which provide the solution, as discussed above.”
The Examiner respectfully disagrees. The recited display of information amounts to insignificant post solution activity. For example, the results of the analysis (the determined implementation time to apply the countermeasure, and the preventive measure or the recovery measure to be carried out at the implementation time) are merely displayed in a conventional way. Further, in the rejection below, the Examiner has cited several references as evidence that displaying information in the manner recited is well-known and conventional.
Regarding the rejections under 101, the Applicant further argues “Thus, Applicant's claim 1 is not directed to an abstract idea because claim 1 includes additional elements that integrate the alleged abstract idea into a practical application of the abstract idea demonstrated by a particular improvement to the technology of automatically evaluating countermeasures to risks and optimizing the countermeasure information based on risk values of constituent elements and an elapsed time. Therefore, under the Step 2A Prong Two analysis, claim 1 is not directed to an abstract idea and the rejection of the present claims under 35 U.S.C. § 101 should be withdrawn.
The Examiner respectfully disagrees The limitation that are directed to automatically evaluating countermeasures to risks and optimizing the countermeasure information based on risk values of constituent elements and an elapsed time are abstract as explained in the rejection below. When viewing the additional elements of the generic computer in combination with the broadly recited data storage and well-known and conventional data display does not add anything further than looking at the limitations individually. When viewed either individually, or as an ordered combination, the additional limitations do not provide an inventive concept.
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.
Claims 1-6, 8-10 are rejected under 35 U.S.C. 101 because the claimed invention is directed to non-statutory subject matter.
When considering subject matter eligibility under 35 U.S.C. 101, in step 1 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. If the claim does fall within one of the statutory categories, in step 2A prong 1 it must then be determined whether the claim is recite a judicial exception (i.e., law of nature, natural phenomenon, and abstract idea). If the claim recites a judicial exception, under step 2A prong 2 it must additionally be determined whether the recites additional elements that integrate the judicial exception into a practical application. If a claim does not integrate the Abstract idea into a practical application, under step 2B it must then be determined if the claim provides an inventive concept.
In the Instant case, Claims 1-6, 8-9 are directed toward a system for risk management. Claim 10 is directed toward a method for risk mitigation. As such, each of the Claims is directed to one of the four statutory categories of invention.
MPEP 2106.04 II. A. explains that in step 2A prong 1 Examiners are to determine whether a claim recites a judicial exception. MPEP 2106.04(a) explains that:
To facilitate examination, the Office has set forth an approach to identifying abstract ideas that distills the relevant case law into enumerated groupings of abstract ideas. The enumerated groupings are firmly rooted in Supreme Court precedent as well as Federal Circuit decisions interpreting that precedent, as is explained in MPEP § 2106.04(a)(2). This approach represents a shift from the former case-comparison approach that required examiners to rely on individual judicial cases when determining whether a claim recites an abstract idea. By grouping the abstract ideas, the examiners’ focus has been shifted from relying on individual cases to generally applying the wide body of case law spanning all technologies and claim types.
The enumerated groupings of abstract ideas are defined as:
1) Mathematical concepts – mathematical relationships, mathematical formulas or equations, mathematical calculations (see MPEP § 2106.04(a)(2), subsection I);
2) Certain methods of organizing human activity – fundamental economic principles or practices (including hedging, insurance, mitigating risk); commercial or legal interactions (including agreements in the form of contracts; legal obligations; advertising, marketing or sales activities or behaviors; business relations); managing personal behavior or relationships or interactions between people (including social activities, teaching, and following rules or instructions) (see MPEP § 2106.04(a)(2), subsection II); and
3) Mental processes – concepts performed in the human mind (including an observation, evaluation, judgment, opinion) (see MPEP § 2106.04(a)(2), subsection III).
As per step 2A prong 1 of the eligibility analysis, claim 1 is directed to the abstract idea of risk management which falls into the abstract idea categories of certain methods of organizing human activity and mental processes.
The elements of Claim 1 that represent the Abstract idea include:
A risk management system that assists in risk management of a management target including a plurality of constituent elements, the risk management system comprising:
select a risk model corresponding to a risk type of each of the constituent elements, from the risk models and giving result information to the selected risk model to estimate a future risk value of each of the constituent elements;
determine an implementation time to apply the countermeasure, based on a risk value of each of the constituent elements, the risk value being estimated by the risk estimation unit,
for every one of the constituent elements included in the management target at each point of time, upon determining a risk value is greater than or equal to the recovery threshold and upon determining the risk value is greater than or equal to the preventive threshold, determine a countermeasure to keep the risk value equal to or lower than the recovery threshold and the preventive threshold, and
record the countermeasure as schedule information.
MPEP 2106.04(a)(2) II. states:
The phrase "methods of organizing human activity" is used to describe concepts relating to:
fundamental economic principles or practices (including hedging, insurance, mitigating risk);
commercial or legal interactions (including agreements in the form of contracts, legal obligations, advertising, marketing or sales activities or behaviors, and business relations); and
managing personal behavior or relationships or interactions between people, (including social activities, teaching, and following rules or instructions).
The Supreme Court has identified a number of concepts falling within the "certain methods of organizing human activity" grouping as abstract ideas. In particular, in Alice, the Court concluded that the use of a third party to mediate settlement risk is a ‘‘fundamental economic practice’’ and thus an abstract idea. 573 U.S. at 219–20, 110 USPQ2d at 1982. In addition, the Court in Alice described the concept of risk hedging identified as an abstract idea in Bilski as ‘‘a method of organizing human activity’’. Id. Previously, in Bilski, the Court concluded that hedging is a ‘‘fundamental economic practice’’ and therefore an abstract idea. 561 U.S. at 611–612, 95 USPQ2d at 1010.
In the instant case, the limitations of selecting a risk model corresponding to a risk type of each of the constituent elements, from the risk models and giving result information to the selected risk model to estimate a future risk value of each of the constituent elements; determining an implementation time to apply the countermeasure, based on a risk value of each of the constituent elements, the risk value being estimated by the risk estimation unit, for every one of the constituent elements included in the management target at each point of time, upon determining a risk value is greater than or equal to the recovery threshold and upon determining the risk value is greater than or equal to the preventive threshold, determine a countermeasure to keep the risk value equal to or lower than the recovery threshold and the preventive threshold, and record the countermeasure as schedule information are directed to determining and mitigating business risk which is a fundamental economic principle or practice.
MPEP 2106.04(a)(2) states:
The courts consider a mental process (thinking) that "can be performed in the human mind, or by a human using a pen and paper" to be an abstract idea. CyberSource Corp. v. Retail Decisions, Inc., 654 F.3d 1366, 1372, 99 USPQ2d 1690, 1695 (Fed. Cir. 2011). As the Federal Circuit explained, "methods which can be performed mentally, or which are the equivalent of human mental work, are unpatentable abstract ideas the ‘basic tools of scientific and technological work’ that are open to all.’" 654 F.3d at 1371, 99 USPQ2d at 1694 (citing Gottschalk v. Benson, 409 U.S. 63, 175 USPQ 673 (1972)). See also Mayo Collaborative Servs. v. Prometheus Labs. Inc., 566 U.S. 66, 71, 101 USPQ2d 1961, 1965 (2012) ("‘[M]ental processes[] and abstract intellectual concepts are not patentable, as they are the basic tools of scientific and technological work’" (quoting Benson, 409 U.S. at 67, 175 USPQ at 675)); Parker v. Flook, 437 U.S. 584, 589, 198 USPQ 193, 197 (1978) (same).
Accordingly, the "mental processes" abstract idea grouping is defined as concepts performed in the human mind, and examples of mental processes include observations, evaluations, judgments, and opinions
In the instant case, the limitations of selecting a risk model corresponding to a risk type of each of the constituent elements, from the risk models and giving result information to the selected risk model to estimate a future risk value of each of the constituent elements; determining an implementation time to apply the countermeasure, based on a risk value of each of the constituent elements, the risk value being estimated by the risk estimation unit, for every one of the constituent elements included in the management target at each point of time, upon determining a risk value is greater than or equal to the recovery threshold and upon determining the risk value is greater than or equal to the preventive threshold, determine a countermeasure to keep the risk value equal to or lower than the recovery threshold and the preventive threshold, and record the countermeasure as schedule information cover performance of the limitations in the mind but for the recitation of generic computer components.
Under step 2A prong 2 the Examiner must then determine if the recited abstract idea is integrated into a practical application. MPEP 2106.04 states:
Limitations the courts have found indicative that an additional element (or combination of elements) may have integrated the exception into a practical application include:
• An improvement in the functioning of a computer, or an improvement to other technology or technical field, as discussed in MPEP §§ 2106.04(d)(1) and 2106.05(a);
• Applying or using a judicial exception to effect a particular treatment or prophylaxis for a disease or medical condition, as discussed in MPEP § 2106.04(d)(2);
• Implementing a judicial exception with, or using a judicial exception in conjunction with, a particular machine or manufacture that is integral to the claim, as discussed in MPEP § 2106.05(b);
• Effecting a transformation or reduction of a particular article to a different state or thing, as discussed in MPEP § 2106.05(c); and
• Applying or using 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, as discussed in MPEP § 2106.05(e)
The courts have also identified limitations that did not integrate a judicial exception into a practical application:
• Merely reciting the words "apply it" (or an equivalent) with the judicial exception, or merely including instructions to implement an abstract idea on a computer, or merely using a computer as a tool to perform an abstract idea, as discussed in MPEP § 2106.05(f);
• Adding insignificant extra-solution activity to the judicial exception, as discussed in MPEP § 2106.05(g); and
• Generally linking the use of a judicial exception to a particular technological environment or field of use, as discussed in MPEP § 2106.05(h).
In the instant case, this judicial exception is not integrated into a practical application. In particular, Claim 1 recites the additional elements of:
A risk management system that assists in risk management of a management target including a plurality of constituent elements, the risk management system comprising:
a processor;
a display connected to a processor; and
and a memory, coupled to the processor, storing instructions that when executed by the processor, configures the processor to:
store countermeasure information indicating a relationship between each of a plurality of risk types and a countermeasure against each risk type, and risk models for estimating a risk value at each point of time in future, the risk models corresponding respectively to the plurality of risk types,
store risk structure information including a countermeasure for the management target, based on a structural relationship between the management target and the constituent elements, a recovery threshold for determining whether to execute a recovery measure and a preventive threshold for determining whether to execute a preventive measure,
and display on one screen:
the determined implementation time to apply the countermeasure, and the preventive measure or the recovery measure to be carried out at the implementation time such that the implementation time and the preventive measure or the recovery measure are displayed in association with each other.
However, the computer elements (a processor; a display connected to a processor; and a memory, coupled to the processor, storing instructions that when executed by the processor) are recited at a high level of generality and given the broadest reasonable interpretation are simply generic computers performing generic computer functions. Generic computers performing generic computer functions, alone, do not amount to significantly more than the abstract idea and mere instructions to implement an abstract idea on a computer.
Further, the storing the recited information in memory amounts to insignificant extra solution activity (see MPEP 2106.05(g)).
Further, the recited display or information amounts to insignificant post solution activity. For example, the results of the analysis (the determined implementation time to apply the countermeasure, and the preventive measure or the recovery measure to be carried out at the implementation time) are merely displayed in a conventional way.
Viewing the generic computer in combination with the broadly recited data storage and post solution data display does not add anything further than looking at the limitations individually. When viewed either individually, or as an ordered combination, the additional limitations do not integrate the abstract idea into a practical application.
In step 2B, the examiner must determine whether the claim adds a specific limitation other than what is well-understood, routine, conventional activity in the field - see MPEP 2106.05(d).
As discussed with respect to Step 2A Prong Two, the additional element of the processor in the claim amount to no more than mere instructions to apply the exception using a generic computer component. The same analysis applies here in 2B, i.e., mere instructions to apply an exception on a generic computer cannot integrate a judicial exception into a practical application at Step 2A or provide an inventive concept in Step 2B.
Further, nothing in the specification indicates that the storage of information is anything other than conventional. Further, MPEP 2106.05(d) states “Storing and retrieving information in memory” is conventional when claimed generically (Versata Dev. Group, Inc. v. SAP Am., Inc., 793 F.3d 1306, 1334, 115 USPQ2d 1681, 1701 (Fed. Cir. 2015); OIP Techs., 788 F.3d at 1363, 115 USPQ2d at 1092-93;)
Further, the recited display where information is displayed in association with each other is well known and conventional. This is evidenced by the references provided below:
Nathan Para. 41 teaches based on the list of activities for a particular maintenance plan, a sequence of maintenance activities 22 is sent (from the Blockchain Network 10) to the mobile device 40 for display to the user by use of the app 60 of the mobile client 50. The sequence and the critical path of the activity is provided by an order of execution and assignment to maintenance engineers with a time of start and end.
Holt -Para. 48 Similarly, a process schedule may include a process flowchart detailing a schedule of steps to follow in performing the process. Accordingly, the next scheduled action may be calculated (block 112). The display of the current and/or scheduled action (block 114) may thus include presenting a list, such as a time-based list of actions along with data related to the action, such as action duration, action cost, estimated time to completion, estimated resources used, and so forth. By calculating (block 112) and displaying the next scheduled action (block 114), the logic 100 may iteratively process the inputs 28 and 30 and update the risk projection (block 106) and the risk threshold (block 108).
Xie Para. 52 If the addition feasibility determination unit 106 determines that the additional operation necessary for checkup is executable within the operation time set for the maintenance date, the maintenance schedule formulation unit 107 formulates a maintenance schedule that includes the additional operation in addition to the maintenance for the mandatory maintenance items. The maintenance schedule formulation unit 107 can provide the thus formulated maintenance schedule to the system/facility manager through the display unit 50, for example. The configuration of each functional unit of the maintenance scheduling device 1 according to the present embodiment has been described above. Next, the flow of processing in the maintenance scheduling device 1 will be described.
MINEGISHI Para. 137 In a lower part of FIG. 4, a horizontal axis represents time, and a vertical axis represents date. In the lower part of FIG. 4, a schedule of each of repair workers AAA and BBB of the repairer XXX is illustrated. The control unit 31 controls the display unit 33 to display the schedules of the repair workers AAA, BBB, and the like of the repairer XXX. The repairer XXX can confirm repair scheduled for Mar. 8, 2019 (the current day) on the basis of the displayed maintenance plan. Specifically, the repairer XXX can confirm that the repair worker AAA will repair the site A in the morning of the current day and will repair the site C in the afternoon of the current day.
ITO Para. 106 On the maintenance schedule display screen, a maintenance schedule display region 106c is provided below the tabs 106b. The maintenance schedule candidate selected by the tab 106b is displayed in the maintenance schedule display region 106c. In addition, labels, such as “Date”, “Device”, “Component”, “Deadline”, and “Sensitivity”, are displayed so as to be arranged in the horizontal direction in an upper portion of the maintenance schedule display region 106c. A list of the maintenance schedules of the analysis devices A1 to A3 is displayed below the five labels. The “Date”, the “Device”, and the “Components” are the same as those in the maintenance schedule display screen illustrated in FIG. 8.
As can be seen it is widely known and conventional to display a preventive measure or the recovery measure in association with the implementation time.
Viewing the generic computer in combination with the broadly recited data storage and well-known and conventional data display does not add anything further than looking at the limitations individually.
When viewed either individually, or as an ordered combination, the additional limitations do not provide an inventive concept.
Further Claims 2-6, 8-9 further limit the abstract idea of an analysis that can be performed mentally and methods of organizing human activity already rejected in the parent claim, but fail to remedy the deficiencies of the parent claim as they do not impose any limitations that amount to significantly more than the abstract idea itself.
Accordingly, the Examiner concludes that there are no meaningful limitations in claims 1-6, 8-9 that transform the judicial exception into a patent eligible application such that the claim amounts to significantly more than the judicial exception itself.
The analysis above applies to all statutory categories of invention. As such, the presentment of claim 1 otherwise styled as a method or computer program product, for example, would be subject to the same analysis. Therefore, Claims 10 is rejected for the same rational that applied to claim 1.
Conclusion
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/DEIRDRE D HATCHER/Primary Examiner, Art Unit 3625
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