DETAILED ACTION
Claims 1-20 are pending.
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 .
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The information disclosure statement (IDS) submitted on 12/18/2025 and 9/24/2024 have been considered by the Examiner.
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.
I. Abstract Idea
Claims 1-20 are rejected under 35 U.S.C. 101 because the claimed invention is directed to non-statutory subject matter. The claim(s) does/do not fall within at least one of the four categories of patent eligible subject matter because the claims are directed toward the mental process of identifying locations of data items in a document.
Regarding claim 1, under step 2A prong 1, the claim recites the mental steps:
selecting a first data category of the plurality of data categories;
determining a plurality of potential configurations associated with the first data category of the plurality of data categories, the plurality of potential configurations comprising at least a first potential configuration and a second potential configuration;
determining based on the extracted information, whether a data item associated with the first data category is identifiable at the first potential configuration; and
in response to a data item associated with the first data category not being positioned at the first potential configuration, determining, based on the extracted information whether a data item associated with the first data category is identifiable at the second potential configuration.
These steps could practically be performed in the human mind by someone analyzing a document.
Under step 2A prong 2, the claim has additional element:
receiving information comprising information extracted from a digital document, the digital document encoding a plurality of data items, each data item of the plurality of data items being associated with a data category of a plurality of data categories, and each data item of the plurality of data items being associated with a configuration in the digital document.
The limitation amounts to data gathering and fails to integrate the claim into a practical application. Similarly, under step 2B, the limitation fails to amount to significantly more.
Claim 19 follows the same logic as claim 1 above with additional limitation of a “machine-readable storage medium storing instructions which, when executed by one or more processors, individually or in combination, cause one or more processors to perform operations including”, this limitation amounts to generic computer processing components and fails to remedy the abstract idea.
Claim 20 follows the same logic as claim 1 above with additional limitations of “one or more processors; and memory comprising computer executable instructions, which when executed by one or more processors, individually or in combination, cause the system to perform operations including” these amount to generic computer processing components and fail to remedy the abstract idea of claim .
Claim 2 adds limitation of categorizing the data based on a position, this is a mental process and fails to remedy the abstract idea of claim 1.
Claim 3 adds limitations of the type of data extracted, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 4 adds the limitation of parsing the document, this is a mental process and fails to remedy the abstract idea of claim 1.
Claim 5 adds the limitation of a digital document, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 6 adds the limitations of locations being regions on the document, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 7 adds the limitation of structural information, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 8 adds the limitation of key pairs, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 9 adds the limitation of tabulated data, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 10 adds the limitation of a header, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 11 adds the limitation of a header, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 12 adds defines the category associated with a keyword and data associated with a keyword, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 13 adds the limitation of potential configurations, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 14 adds there is an ordered list of potential configurations, this is data gathering and fails to remedy the abstract idea of claim 1.
Claim 15 determines an ordered list of potential configurations based on an input document, this is a mental process and fails to remedy the abstract idea of claim 1.
Claim 16 adjusts the ordered list, this is a mental process and fails to remedy the abstract idea of claim 1.
Claim 17 adds repeating the steps of claim 1 for a second data category, the claim follows the logic of claim 1 above and fails to remedy the abstract idea of claim 1.
Claim 18 defines the document as a financial record, this is data gathering and fails to remedy the abstract idea of claim 1.
II. Signals Per Se
Claim 19 is rejected under 35 U.S.C. 101 because the claimed invention encompasses a signer per se. The “machine readable storage medium” claimed is not defined the specification as a statutory only embodiment. See [0149]. The broadest reasonable interpretation of a claim drawn to a computer readable medium (also called machine readable medium and other such variations) typically covers forms of non-transitory tangible media and transitory propagating signals per se in view of the ordinary and customary meaning of computer readable media, particularly when the specification is silent. See MPEP 2111.01. When the broadest reasonable interpretation of a claim covers a signal per se, the claim must be rejected under 35 U.S.C. § 101 as covering non-statutory subject matter. See In re Nuijten, 500 F.3d 1346, 1356-57 (Fed. Cir. 2007) transitory embodiments are not directed to statutory subject matter) and Interim Examination Instructions for Evaluating Subject Matter Eligibility Under 35 U.S.C. § 101, Aug. 24, 2009; p. 2. Applicant is encouraged to contact the Examiner to discuss possible amendments.
Claim Rejections - 35 USC § 102
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)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claims 1-13 and 17-20 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Kumar (US 2023/0113578, filed 11/24/2021).
Regarding claim 1, Kumar teaches:
A method comprising:
receiving extracted information comprising information extracted from a digital document, the digital document encoding a plurality of data items, each data item of the plurality of data items being associated with a data category of a plurality of data categories, and each data item of the plurality of data items being associated with a configuration in the digital document; (Kumar [0044-45] Upon determining positional alignment of the text components, the document extraction system identifies and retrieves key-value pairs. A key corresponds to the type of information and the value corresponds to the text associated with the type of information.)
selecting a first data category of the plurality of data categories; (Kumar [0044-45] In the example of labeled data, the key corresponds to the label (e.g. “Account Number”) that is included in the document and the value corresponds to the text defining the account number)
determining a plurality of potential configurations associated with the first data category of the plurality of data categories, the plurality of potential configurations comprising at least a first potential configuration and a second potential configuration; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text block aligned to it from the six different mappings. In bank statements, values typically lie either to the right or below the keys. Thus the document extract system selects text blocks obeying this constraint)
determining based on the extracted information, whether a data item associated with the first data category is identifiable at the first potential configuration; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint)) and
in response to a data item associated with the first data category not being positioned at the first potential configuration, determining, based on the extracted information, whether a data item associated with the first data category is identifiable at the second potential configuration. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys)
Regarding claim 2, Kumar teaches:
The method of claim 1, further comprising, in response to a data item associated with the first data category being positioned at the second potential configuration, categorising the data item with the first data category. (Kumar [0044-45] In the example of labeled data, the key corresponds to the label (e.g. “Account Number”) that is included in the document and the value corresponds to the text defining the account number)
Regarding claim 3, Kumar teaches:
The method of claim 1, wherein the extracted information comprises one or more of:
text information; (Kumar [0044-45] In the example od labeled data, the key corresponds to the label (e.g. “Account Number”) that is included in the document and the value corresponds to the text defining the account number)
key-value pairs; (Kumar, [0043] According to various examples, labeled extraction entails the retrieval of key-value pairs from bank statements or other type of documents)
tabulated data; (Kumar [0044-45] In the example od labeled data, the key corresponds to the label (e.g. “Account Number”) that is included in the document and the value corresponds to the text defining the account number)
formatting information; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint)) and
structural information. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint))
Regarding claim 4, Kumar teaches:
The method of claim 1, further comprising parsing the digital document to extract the extracted information. (Kumar, Figure 4, step 406, parse financial document to determine document structure)
Regarding claim 5, Kumar teaches:
The method of claim 4, further comprising receiving the digital document. (Kumar, Figure 4 Step 403, receive a financial document from a client device)
Regarding claim 6, Kumar teaches:
The method of claim 1, wherein the digital document defines a two-dimensional region, and wherein the plurality of potential configurations comprises a location in the two-dimensional region. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint... See also [0043] Three of the mappings are based on horizontal coordinates (e.g. left, right, and center) and three of the mappings are based on vertical coordinates (e.g., top bottom, middle) ))
Regarding claim 7, Kumar teaches:
The method of claim 1, wherein the extracted information comprises structural information. (Kumar [0066] After the header is detected in the transaction table, the document extraction system estimated the column boundaries for each column)
Regarding claim 8, Kumar teaches:
The method of claim 7, wherein the structural information comprises one or more key-value pairs, and wherein the plurality of potential configurations comprises a value of a key-value pair having a defined key. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint))
Regarding claim 9, Kumar teaches:
The method of claim 7, wherein the structure information comprises tabulated data items. (Kumar [0066] After the header is detected in the transaction table, the document extraction system estimated the column boundaries for each column)
Regarding claim 10, Kumar teaches:
The method of claim 9, wherein the plurality of potential configurations comprises a table entry in the tabulated data items positionally associated with a column heading. (Kumar [0063] According to various embodiments the document extraction system identifies a header and a header start location of a transaction table included in a transaction table component)
Regarding claim 11, Kumar teaches:
The method of claim 9, wherein the plurality of potential configurations comprises a table entry in the tabulated data positionally associated with a row heading. (Kumar [0063] According to various embodiments the document extraction system identifies a header and a header start location of a transaction table included in a transaction table component)
Regarding claim 12, Kumar teaches:
The method of claim 1, wherein the first data category is associated with a keyword, and wherein the plurality of potential configurations comprises a data item positionally associated to the keyword. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint.)
Regarding claim 13, Kumar teaches:
The method of claim 1, wherein the first potential configuration defines one or more of:
a spatial position within the digital document; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint... See also [0043] Three of the mappings are based on horizontal coordinates (e.g. left, right, and center) and three of the mappings are based on vertical coordinates (e.g., top bottom, middle)
a region within the digital document; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint... See also [0043] Three of the mappings are based on horizontal coordinates (e.g. left, right, and center) and three of the mappings are based on vertical coordinates (e.g., top bottom, middle)
a positional association with an associated data item; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint... See also [0043] Three of the mappings are based on horizontal coordinates (e.g. left, right, and center) and three of the mappings are based on vertical coordinates (e.g., top bottom, middle)
a key of a key-value pair; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint... See also [0043] Three of the mappings are based on horizontal coordinates (e.g. left, right, and center) and three of the mappings are based on vertical coordinates (e.g., top bottom, middle)
a table column heading; (Kumar [0063] According to various embodiments the document extraction system identifies a header and a header start location of a transaction table included in a transaction table component)
a table row heading; (Kumar [0063] According to various embodiments the document extraction system identifies a header and a header start location of a transaction table included in a transaction table component)
a positional association with a structural element of the digital document; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint... See also [0043] Three of the mappings are based on horizontal coordinates (e.g. left, right, and center) and three of the mappings are based on vertical coordinates (e.g., top bottom, middle)
a structural association with an associated data item; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint... See also [0043] Three of the mappings are based on horizontal coordinates (e.g. left, right, and center) and three of the mappings are based on vertical coordinates (e.g., top bottom, middle)
a formatting style; (Kumar [0064] In various examples, a text line corresponds to text elements having roughly the same y-coordinate and same font styling information)
a pattern of a data item; (Kumar [00048] The account number should have either at-least six(6) digits or at-least three (3) “X”s followed by three digits. It should not contain decimal points or currency symbols (“$”, “e”, etc.))and
a regular expression. (Kumar [00048] The account number should have either at-least six(6) digits or at-least three (3) “X”s followed by three digits. It should not contain decimal points or currency symbols (“$”, “e”, etc.))
Regarding claim 17, Kumar teaches:
The method of claim 1, further comprising:
selecting a second data category of the plurality of data categories; (Kumar [0044-45] In the example od labeled data, the key corresponds to the label (e.g. “Account Number”) that is included in the document and the value corresponds to the text defining the account number)
determining a plurality of potential configurations associated with the second data category of the plurality of data categories, the plurality of potential configurations comprising at least a first potential configuration for the second data category and a second potential configuration for the second data category; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text block aligned to it from the six different mappings. In bank statements, values typically lie either to the right or below the keys. Thus the document extract system selects text blocks obeying this constraint) and
determining whether a data item associated with the second data category is positioned at the first potential configuration for the second data category. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint))
Regarding claim 18, Kumar teaches:
The method of claim 1, wherein the digital document comprises a financial record. (Kumar, Figure 4 Step 403, receive a financial document from a client device)
Regarding claim 19, Kumar teaches:
A machine-readable storage medium storing instructions which, when executed by one or more processors, individually or in combination, cause the one or more processors to perform operations including: (Kumar [0106] processor with memory)
receiving extracted information comprising information extracted from a digital document, the digital document encoding a plurality of data items, each data item of the plurality of data items being associated with a data category of a plurality of data categories, and each data item of the plurality of data items being associated with a configuration in the digital document; (Kumar [0044-45] Upon determining positional alignment of the text components, the document extraction system identifies and retrieves key-value pairs. A key corresponds to the type of information and the value corresponds to the text associated with the type of information.)
selecting a first data category of the plurality of data categories; (Kumar [0044-45] In the example od labeled data, the key corresponds to the label (e.g. “Account Number”) that is included in the document and the value corresponds to the text defining the account number)
determining a plurality of potential configurations associated with the first data category of the plurality of data categories, the plurality of potential configurations comprising at least a first potential configuration and a second potential configuration; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text block aligned to it from the six different mappings. In bank statements, values typically lie either to the right or below the keys. Thus the document extract system selects text blocks obeying this constraint)
determining based on the extracted information, whether a data item associated with the first data category is identifiable at the first potential configuration; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint)) and
in response to a data item associated with the first data category not being positioned at the first potential configuration, determining, based on the extracted information, whether a data item associated with the first data category is identifiable at the second potential configuration. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys)
Regarding claim 20, Kumar teaches:
A system comprising:
one or more processors; (Kumar [0106] processor with memory) and
memory comprising computer executable instructions, which when executed by the one or more processors, individually or in combination, cause the system to perform operations including: (Kumar [0106] processor with memory)
receiving extracted information comprising information extracted from a digital document, the digital document encoding a plurality of data items, each data item of the plurality of data items being associated with a data category of a plurality of data categories, and each data item of the plurality of data items being associated with a configuration in the digital document; (Kumar [0044-45] Upon determining positional alignment of the text components, the document extraction system identifies and retrieves key-value pairs. A key corresponds to the type of information and the value corresponds to the text associated with the type of information.)
selecting a first data category of the plurality of data categories; (Kumar [0044-45] In the example od labeled data, the key corresponds to the label (e.g. “Account Number”) that is included in the document and the value corresponds to the text defining the account number)
determining a plurality of potential configurations associated with the first data category of the plurality of data categories, the plurality of potential configurations comprising at least a first potential configuration and a second potential configuration; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text block aligned to it from the six different mappings. In bank statements, values typically lie either to the right or below the keys. Thus the document extract system selects text blocks obeying this constraint)
determining based on the extracted information, whether a data item associated with the first data category is identifiable at the first potential configuration; (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys. Thus, the document extraction system selects text blocks obeying this constraint)) and
in response to a data item associated with the first data category not being positioned at the first potential configuration, determining, based on the extracted information, whether a data item associated with the first data category is identifiable at the second potential configuration. (Kumar [0046] Upon determining a key’s coordinates, the document extraction system fetches text blocks aligned to it from the six different mappings. In bank statements values typically lie either to the right or below keys)
Allowable Subject Matter
Claims 14-16 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims and the above rejections under 35 U.S.C. 101 were overcome.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant’s disclosure. Refer to PTO-892, Notice of References Cited for a listing of analogous art.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Molly K Wilburn whose telephone number is (571)272-3589. The examiner can normally be reached Monday-Friday 8am-4pm.
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/Molly Wilburn/Primary Examiner, Art Unit 2666