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
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 therefore, subject to the conditions and requirements of this title.
Claims 1-9 and 19-29 are rejected under 35 U.S.C. 101 because the claimed invention is directed to an abstract idea without significantly more. The limitations, under their broadest reasonable interpretation, cover mental process (concept performed in a human mind, including as observation, evaluation, judgment, opinion). The claims recite a real-person identity verification method for a non-natural person entity operator. This judicial exception is not integrated into a practical application because the steps do not add meaningful limitations to be considered specifically applied to a particular technological problem to be solved. The claims do not include additional elements that are sufficient to amount to significantly more than the judicial exception because the steps of the claimed invention can be done mentally and no additional features in the claims would preclude them from being performed as such.
According to the USPTO guidelines, a claim is directed to non-statutory subject matter if:
STEP 1: the claim does not fall within one of the four statutory categories of invention (process, machine, manufacture or composition of matter), or
STEP 2: the claim recites a judicial exception, e.g., an abstract idea, without reciting additional elements that amount to significantly more than the judicial exception, as determined using the following analysis:
STEP 2A (PRONG 1): Does the claim recite an abstract idea, law of nature, or natural phenomenon?
STEP 2A (PRONG 2): Does the claim recite additional elements that integrate the judicial exception into a practical application?
STEP 2B: Does the claim recite additional elements that amount to significantly more than the judicial exception?
Using the two-step inquiry, it is clear that claims directed to an abstract idea as shown below:
STEP 1: Do the claims fall within one of the statutory categories?
YES. Claim 1 is directed to a method to a system, i.e., a machine, claim 19 is directed to a CRM, i.e., manufacture and claim 21 is directed to a device, i.e., a machine.
STEP 2A (PRONG 1): Is the claim directed to a law of nature, a natural phenomenon or an abstract idea?
YES, the claims are directed toward a mental process (i.e., abstract idea).
With regard to STEP 2A (PRONG 1), the guidelines provide three groupings of subject matter that are considered abstract ideas:
Mathematical concepts – mathematical relationships, mathematical formulas or equations, mathematical calculations;
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); and
Mental processes – concepts that are practicably performed in the human mind (including an observation, evaluation, judgment, opinion).
Claims 1, 19 and 21 comprise a mental process that can be practicably performed in the human mind therefore, an abstract idea.
Claim 1, 19 and 21 recites:
in response to that the non-natural person entity identity verification succeeds, confirming that the non-natural person entity operator obtains authorization from the non-natural person entity and
performing a risk release on the service request based on the authorization confirmation.
These limitations, as drafted, is a simple process that, under their broadest reasonable interpretation, covers performance of the limitations in the mind or by a human. The Examiner notes that under MPEP 2106.04(a)(2)(III), 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 ("‘[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).
The courts do not distinguish between mental processes that are performed entirely in the human mind and mental processes that require a human to use a physical aid (e.g., pen and paper or a slide rule) to perform the claim limitation. See, e.g., Benson, 409 U.S. at 67, 65, 175 USPQ at 674-75, 674 (noting that the claimed "conversion of [binary-coded decimal] numerals to pure binary numerals can be done mentally," i.e., "as a person would do it by head and hand."); Synopsys, Inc. v. Mentor Graphics Corp., 839 F.3d 1138, 1139, 120 USPQ2d 1473, 1474 (Fed. Cir. 2016) (holding that claims to a mental process of "translating a functional description of a logic circuit into a hardware component description of the logic circuit" are directed to an abstract idea, because the claims "read on an individual performing the claimed steps mentally or with pencil and paper").
Nor do the courts distinguish between claims that recite mental processes performed by humans and claims that recite mental processes performed on a computer. As the Federal Circuit has explained, "[c]ourts have examined claims that required the use of a computer and still found that the underlying, patent-ineligible invention could be performed via pen and paper or in a person’s mind." Versata Dev. Group v. SAP Am., Inc., 793 F.3d 1306, 1335, 115 USPQ2d 1681, 1702 (Fed. Cir. 2015). See also Intellectual Ventures I LLC v. Symantec Corp., 838 F.3d 1307, 1318, 120 USPQ2d 1353, 1360 (Fed. Cir. 2016) (‘‘[W]ith the exception of generic computer-implemented steps, there is nothing in the claims themselves that foreclose them from being performed by a human, mentally or with pen and paper.’’); Mortgage Grader, Inc. v. First Choice Loan Servs. Inc., 811 F.3d 1314, 1324, 117 USPQ2d 1693, 1699 (Fed. Cir. 2016) (holding that computer-implemented method for "anonymous loan shopping" was an abstract idea because it could be "performed by humans without a computer").
Because both product and process claims may recite a "mental process", the phrase "mental processes" should be understood as referring to the type of abstract idea, and not to the statutory category of the claim. The courts have identified numerous product claims as reciting mental process-type abstract ideas, for instance the product claims to computer systems and computer-readable media in Versata Dev. Group. v. SAP Am., Inc., 793 F.3d 1306, 115 USPQ2d 1681 (Fed. Cir. 2015).
As such, a person could perform identity verification, confirmation and performing a risk release on the service request either mentally. The mere nominal recitation that the various steps are being executed by one or more hardware processors (e.g. processing unit) does not take the limitations out of the mental process grouping. Thus, the claims recite a mental process.
If a claim limitation, under its broadest reasonable interpretation, covers performance of a mental step which could be performed with a simple tool such as a pen and paper, then it falls within the “mental steps” grouping of abstract ideas. Accordingly, the claim recites an abstract idea.
STEP 2A (PRONG 2): Does the claim recite additional elements that integrate the judicial exception into a practical application?
NO, the claims do not recite additional elements that integrate the judicial exception into a practical application.
With regard to STEP 2A (prong 2), whether the claim recites additional elements that integrate the judicial exception into a practical application, the guidelines provide the following exemplary considerations that are indicative that an additional element (or combination of elements) may have integrated the judicial exception into a practical application:
an additional element reflects an improvement in the functioning of a computer, or an improvement to other technology or technical field;
an additional element that applies or uses a judicial exception to affect a particular treatment or prophylaxis for a disease or medical condition;
an additional element implements a judicial exception with, or uses a judicial exception in conjunction with, a particular machine or manufacture that is integral to the claim;
an additional element effects a transformation or reduction of a particular article to a different state or thing; and
an additional element applies or uses 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.
While the guidelines further state that the exemplary considerations are not an exhaustive list and that there may be other examples of integrating the exception into a practical application, the guidelines also list examples in which a judicial exception has not been integrated into a practical application:
an additional element merely recites the words “apply it” (or an equivalent) with the judicial exception, or merely includes instructions to implement an abstract idea on a computer, or merely uses a computer as a tool to perform an abstract idea;
an additional element adds insignificant extra-solution activity to the judicial exception; and
an additional element does no more than generally link the use of a judicial exception to a particular technological environment or field of use.
Claims 1-9 and 19-29 do not recite any of the exemplary considerations that are indicative of an abstract idea having been integrated into a practical application.
Claim 19 recites:
One or more non-transitory machine-readable storage media encoded with instructions that, when executed by one or more hardware processors of a computing system, cause the computing system to (instructions to implement an abstract idea on a computer, or merely uses a computer as a tool to perform an abstract idea).
claims 1, 19 and 21 recite:
receiving a service request of the non-natural person entity operator, obtaining personal identity information of the non-natural person entity operator based on the service request and obtaining and recognizing a document photo of a non-natural person entity in response to that personal identity verification succeeds (adding insignificant extra-solution activity to the judicial exception, e.g., mere data gathering in conjunction with a law of nature or abstract idea);
STEP 2B: Does the claim recite additional elements that amount to significantly more than the judicial exception?
With regard to STEP 2B, whether the claims recite additional elements that provide significantly more than the recited judicial exception, the guidelines specify that the pre-guideline procedure is still in effect. Specifically, that examiners should continue to consider whether an additional element or combination of elements:
adds a specific limitation or combination of limitations that are not well-understood, routine, conventional activity in the field, which is indicative that an inventive concept may be present; or
simply appends well-understood, routine, conventional activities previously known to the industry, specified at a high level of generality, to the judicial exception, which is indicative that an inventive concept may not be present.
With regard to (2b) the Guidance provided the following examples of limitations that may be enough to qualify as “significantly more" when recited in a claim with a judicial exception:
Improvement to another technology or technical field
Improvement to functioning of computer itself and/or applying the judicial exception with, or by use of, a particular machine
Effecting a transformation or reduction of a particular article to a different state or thing.
Adding a specific limitation other that what is well understood, routine and conventional in the field, or adding unconventional steps that confine the claim to a particular useful application
Meaningful limitation beyond generally linking the use of an abstract idea to a particular technological environment.
The Guidance further set forth limitations that were found not to be enough to qualify as “significantly more” when recited in a claim with a judicial exception include:
Adding words to “apply it” (or an equivalent) with the judicial exception or mere instructions to implement abstract ideas on a computer
Simply appending well-understood, routine and conventional activities previously known to the industry specified at a high level of generality to the judicial exception, e.g. a claim to an abstract idea requiring no more than a generic
Computer to perform generic computer functions that are well -understood, routine and conventional activities previously known to the industry.
Adding insignificant extra-solution activity to the judicial exception, e.g. mere data gathering in conjunction with a law of nature or abstract idea
Generally linking the use of the judicial exception to a particular technological environment or field of use.
Claims 1-9 and 19-29 do not recite any additional elements that are not well-understood, routine or conventional.
The claim does not include additional elements that are sufficient to amount to significantly more than the judicial exception. The above identified additional computer components, using instructions to apply the judicial exception, are merely generic computer components that are well-known, routine, and conventional as is evidenced by Bancorp Services v. Sun Life (Fed. Cir. 2012) and Alice Corp. v. CLS Bank (2014).
claims 1, 19 and 21 recite:
receiving a service request of the non-natural person entity operator, obtaining personal identity information of the non-natural person entity operator based on the service request and obtaining and recognizing a document photo of a non-natural person entity in response to that personal identity verification succeeds (adding insignificant extra-solution activity to the judicial exception, e.g., mere data gathering in conjunction with a law of nature or abstract idea);
Thus, since claims 1, 19 and 21 are: (a) directed toward an abstract idea, (b) do not recite additional elements that integrate the judicial exception into a practical application, and (c) do not recite additional elements that amount to significantly more than the judicial exception, claims 1, 19 and 21 are not eligible subject matter under 35 U.S.C 101. Similar analysis is made for the dependent claims 2-8, 20 and 22- 29 and the dependent claims are similarly identified as: being directed towards an abstract idea, not reciting additional elements that integrate the judicial exception into a practical application, and not reciting additional elements that amount to significantly more than the judicial exception.
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)(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.
Claims 1, 2, 7, 19-22 and 27 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by ZHANG et al. (CN 110322646).
With respect to claim 1, ZHANG et al. teach receiving a service request of the non-natural person entity operator (page 4, S010: "display interface" where the operator selects a "digital certificate" transaction type, constituting the service request)
obtaining personal identity information of the non-natural person entity operator based on the service request, to perform personal identity verification (page 2, S1, obtaining the identity information of the operator, capturing the head portrait information of the operator face image, comparing the face picture and identity is, if the avatar face image and identity card is matched; page 4, S020: certificate verification, operator by suction inserted card, identity card reader of table information table on the obtained identity. the binocular camera will capture the present operator living face image.);
obtaining and recognizing a document photo of a non-natural person entity in response to that personal identity verification succeeds, to perform non-natural person entity identity verification (page 2, business license S2, business license, shooting the shot obtained by OCR identification, obtaining the relevant information on the business licenseS3, obtaining the business license information content through the electronic certificate library for verification, if the business license information content obtaining business license information matching with the content in the electronic license base);
in response to that the non-natural person entity identity verification succeeds, confirming that the non-natural person entity operator obtains authorization from the non-natural person entity (page 2, S4. The identity information, judging whether the operator is the legal representative, then directly entering step S5 if the operator is the legal representative, otherwise receiving the legal representative's uploading of identity information and verifies identity information of the legal representative; page 4-5, after all the submitted material, the material identification result table will be verified); and
performing a risk release on the service request based on the authorization confirmation (S5-S8, issue the certificate medium present in the certificate medium without certificate information;).
With respect to claim 2, ZHANG et al. teach that the confirming that the non-natural person entity operator obtains authorization from the non-natural person entity further comprises: comparing personal identity information of an authorized non-natural person entity operator recognized from the document photo and the personal identity information of the non- natural person entity operator; and in response to that a comparison result is that the personal identity information of the authorized non-natural person entity operator recognized from the document photo and the personal identity information of the non-natural person entity operator are consistent, confirming that the non-natural person entity operator obtains authorization from the non- natural person entity (S4 and S050 describe comparing the operator’s identity card against the legal representative's information or the "business license" to confirm the operator is authorized to act for the enterprise. This anticipates comparing the "legal person name" from the document to the "operator name").
With respect to claim 7, ZHANG et al. teach that the document photo comprises a business license photo, and the comparing personal identity information of an authorized non- natural person entity operator recognized from the document photo and the personal identity information of the non-natural person entity operator further comprises: comparing a legal person name recognized from the business license photo and a name extracted from the personal identity information of the non-natural person entity operator (S4 and S050 describe comparing the operator’s identity card against the legal representative's information or the "business license" to confirm the operator is authorized to act for the enterprise. This anticipates comparing the "legal person name" from the document to the "operator name").
Claim 19 is rejected as same reason as claim 1 above.
Claim 20 is rejected as same reason as claim 2 above.
Claim 21 is rejected as same reason as claim 1 above.
Claim 22 is rejected as same reason as claim 2 above.
Claim 27 is rejected as same reason as claim 7 above.
Claim Rejections - 35 USC § 103
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 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 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102 of this title, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
The factual inquiries set forth in Graham v. John Deere Co., 383 U.S. 1, 148 USPQ 459 (1966), that are applied for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claims 3 and 23 are rejected under 35 USC 103 as being unpatentable over ZHANG et al. (CN 110322646) in view of Pearson et al. (US 20110276484) and Larson et al. (US 10693872).
ZHANG et al. teach all the limitations of claim 1 as applied above from which claim 4 respectively depend.
ZHANG et al. does not teach expressly that capturing face information and identity document information of the non-natural person entity operator by using a camera, and transferring the face information and the identity document information to an identity verification server; and performing a three-way comparison on the captured face information, face information extracted from the identity document information, and face information stored in the identity verification server, to perform personal identity verification.
Pearson et al. teach capturing face information and identity document information of the non-natural person entity operator by using a camera (para [0009], [0032], [0046-0051]), and transferring the face information and the identity document information to an identity verification server (para [0010], [0052-0053]).
At the time of effective filing, it would have been obvious to a person of ordinary skill in the art to capture verification image and transfer to server in the method of ZHANG et al.
The suggestion/motivation for doing so would have been to save local resource.
Larson et al. teach performing a three-way comparison on the captured face information, face information extracted from the identity document information, and face information stored in the identity verification server, to perform personal identity verification (col. 3 lines 20-29, cross checked using various algorithms to check against images captured during the on-screen enrollment, user-supplied selfie images, image(s) from scanned identity documents, and/or screenshot(s) captured during the live interview. The biometric data collected during the live interview may also be compared with other collected data such as the validated authentication identity documents (e.g., driver's license photo, passport photo, etc.) and/or prior collected biometric data.)
At the time of effective filing, it would have been obvious to a person of ordinary skill in the art to perform a three-way comparison to perform personal identity verification in the method of ZHANG et al. and Pearson et al.
The suggestion/motivation for doing so would have been to improve accuracy and reduce risk of personal identity verification.
Therefore, it would have been obvious to combine Pearson et al. and Larson et al. with ZHANG et al. to obtain the invention as specified in claim 3.
With respect to claim 23, claim 23 is rejected same reason as claim 3 above.
Claim 9 and 29 is rejected under 35 USC 103 as being unpatentable over ZHANG et al. (CN 110322646) in view of Verley (US 20160343101).
ZHANG et al. teach all the limitations of claim 1 as applied above from which claim 4 respectively depend.
ZHANG et al. does not teach expressly that performing secondary identity verification in response to the authorization confirmation and the non-natural person entity operator continues a service operation.
Amtrup et al. teach performing secondary identity verification in response to the authorization confirmation and the non-natural person entity operator continues a service operation (Fig. 2, ref label 250-280).
At the time of effective filing, it would have been obvious to a person of ordinary skill in the art to perform secondary identity verification in the method of ZHANG et al.
The suggestion/motivation for doing so would have been to improve accuracy and reduce risk of personal identity verification
Therefore, it would have been obvious to combine Verley with ZHANG et al. to obtain the invention as specified in claim 9.
With respect to claim 29, claim 29 is rejected same reason as claim 9 above.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Randolph Chu whose telephone number is 571-270-1145. The examiner can normally be reached on Monday to Thursday from 7:30 am - 5 pm.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Matthew Bella can be reached on (571) 272-7778.
The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/RANDOLPH I CHU/
Primary Examiner, Art Unit 2667
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