Prosecution Insights
Last updated: August 17, 2026
Application No. 19/108,465

INFORMATION PROCESSING APPARATUS, AUTHENTICATION SYSTEM, AUTHENTICATION METHOD, AND NON-TRANSITORY COMPUTER READABLE MEDIUM

Non-Final OA §103
Filed
Mar 04, 2025
Priority
Sep 21, 2022 — nonprovisional of PCTJP2022035236
Examiner
ZARRINEH, SHAHRIAR
Art Unit
Tech Center
Assignee
NEC Corporation
OA Round
1 (Non-Final)
77%
Grant Probability
Favorable
1-2
OA Rounds
1y 2m
Est. Remaining
84%
With Interview

Examiner Intelligence

Grants 77% — above average
77%
Career Allowance Rate
347 granted / 450 resolved
+17.1% vs TC avg
Moderate +7% lift
Without
With
+7.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 7m
Avg Prosecution
32 currently pending
Career history
501
Total Applications
across all art units

Statute-Specific Performance

§101
9.5%
-30.5% vs TC avg
§103
56.1%
+16.1% vs TC avg
§102
12.6%
-27.4% vs TC avg
§112
16.2%
-23.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 450 resolved cases

Office Action

§103
DETAILED ACTION 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 . In communications filed on 03/04/2025. Claims 1-5 are amended. Claims 6-10 are cancelled. Claims 1-5, and 11-20 are pending in this examination. 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. This examination is in response to US Patent Application No. 19/108,465. Specification The title of the invention “INFORMATION PROCESSING APPARATUS, AUTHENTICATION METHOD, AND NON- TRANSITORY COMPUTER READABLE MEDIUM” is not descriptive. A new title is required that is clearly indicative of the invention to which the claims are directed. Claim Rejections - 35 USC § 103 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 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. 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. Claims 1-5, and 11-20 are rejected under 35 U.S.C. 103 as being unpatentable over KITAKATA HIDENORI (WO2022176342), hereinafter “KITAKATA” and in view of SHIRASAKI RYUICHI (JP2012185736),hereinafter “Ryuichi”, and further in view of MORI YUSUKE ( WO2021176535), hereinafter ”Mori”. All references are submitted in IDS , 03/04/2025. Regarding claim 1, KITAKATA discloses an information processing apparatus comprising: a memory storing instructions, and one or more processors configured to execute the instructions to: control face authentication by comparing face information for authentication of a user acquired in each of [0006, An information processing apparatus according to an aspect of the present disclosure includes: a registration unit configured to register attribute information of the target person in association with the biological information of the target person when the use registration request is acquired; and a registration unit configured to register the attribute information of the target person in association with the biological information of the target person, an authentication control unit configured to perform biometric authentication using the captured image when a captured image obtained by capturing an image of a subject at a predetermined point associated with the predetermined content is acquired]; and calculate a smile degree of the user from the face information for authentication [0006… when the biometric authentication is successful, recording control means for recording the degree of smile of the subject calculated from the captured image in association with the attribute information of the subject and content information related to the content associated with the imaging point, an output unit configured to output information corresponding to the degree of smile of the target person to an information terminal used by the target person who has succeeded in biometric authentication]. While KITAKATA discloses accumulate the smile degrees of the user calculated from the face information for authentication acquired in the as: [0006, an output unit configured to output information corresponding to the degree of smile of the target person to an information terminal used by the target person who has succeeded in biometric authentication; An evaluation unit that aggregates a degree of smile on the basis of attribute information and content information of an object person, and evaluates a degree of satisfaction of the content on the basis of the aggregated degree of smile]. However, KITAKATA does not explicitly disclose, however, RYUICHI discloses accumulate the smile degrees of the user calculated from the face information for authentication acquired in the [0039-0040, The smile image registration unit 21 stores the face images with numerical data as smile degree determined by the smile degree determination tool 16B of ATM10 in the smile image DB25 and passes the processing to the smile ranking acquisition unit 22. The smile ranking acquisition unit 22 compares the smile degree of other customers' face images registered in the smile image database 25 with the currently captured face images and determines the ranking of smile levels (smile ranking). Additionally, the smile voting screen can be displayed on the bank terminal 30 (for example, the large display 30A in Figure 2 or the customer terminal 30B), and it is possible to accept popularity polls for face images from other customers. And you can decide the smile ranking based on the voting data you collect. The voting method for the smile image can be displayed on terminals inside the bank at any time. In addition to the bank terminal 30, it may also include voting acceptance methods (such as links to smile voting screens) to direct mail (DM) distributed by the bank and send them from the DM distribution server 40 to the customer's home PC or mobile phone. If the direct mail is printed, it may be arranged that the original direct mail text from the DM distribution server 40 is sent to the DM creation center or similar facility. Of course, whether or not to enter the smile poll is determined by the means to seek the customer's decision. After the smile voting period ends, a smile ranking value is added to the smile image and stored in the smile image DB25. The benefit service execution unit 23 generates a list of benefit services that can be provided to customers based on the smile level of the captured face image and the smile ranking obtained from the smile ranking acquisition unit 22, based on the smile level benefit service association table 100 described later. The list of obtained benefit services is sent to the benefit service presentation means 16C of Smile ATM 10, which displays it in menu format and allows the customer to select the benefit service they want. If the selected benefit service creates a composite image, the processing is passed to the composite image output unit 24. If the selected benefit service does not involve creating composite images, the process is passed to the appropriate system that will perform the necessary processing depending on the service content. For example, if the selected benefit service sets the preferential interest rate for the loan, the process is passed to the system that manages and sets the interest rates for each loan (not shown). Additionally, the Benefit Service Execution Department 23 manages the granting of "smile points" as described later and their exchange with benefit services], and [0009-0010, [0016, 0018, 0039-0040]. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the teaching of KITAKATA by incorporating “smile recognition technology ”, as taught by RYUICHI. One could have been motivated to do so in order implement image processing methods have been developed that quantify the user's smile state as "smile degree" and objectively evaluate it, wherein, wherein the authentication server receives the detected face image and determines the degree of smile in the face image, a smile authentication means that disables specific operations when the determined smile level is below a predetermined value [ RYUICHI, 0003, 0018]. KITAKATA, and RYUICHI do not explicitly disclose, however MORI discloses Plurality of location [0008-0009,The presentation control method related to the present disclosure comprises a step in which a computer acquires the captured image taken by a predetermined imaging device, a step in extracting facial area or facial feature information from the captured image and having the authentication device perform facial recognition, and a step in identifying the presentation information to be presented to guide users who successfully achieve facial recognition to a predetermined location based on their movement and behavior history. A step of transmitting the specified presented information to a predetermined display device…], and [Claim 10, A predetermined imaging device that captures an image including the user's facial area, a presentation control device capable of communicating with the predetermined imaging device, and an authentication device that stores the user's facial feature information and can communicate with the presentation control device, wherein the presentation control device comprises, An acquisition means for acquiring captured images taken by the predetermined imaging device, an authentication control means for extracting facial area or facial feature information from the captured images and having the authentication device perform facial recognition, and based on the movement and behavior history associated with the user ID of the user who successfully achieved facial recognition, A presentation control system comprising a specific means for identifying the presentation information to be presented to guide to a predetermined location, an output means for transmitting the presented information identified by the specified means to a predetermined display terminal], and [0070-[0071, The analysis unit analyzes the captured images obtained by the acquisition unit 130,…The acquisition unit 130 acquires the captured image from the facial recognition terminal 300 at each location (Step S701). Next, the analysis unit analyzes the captured images obtained by the acquisition unit 130… If facial recognition has not succeeded and the request for presentation information has not been received (Step S704 No), Steps S701~703 should be performed regularly. When facial recognition succeeds or receives a presentation information request (Step S704 Yes), the specific unit 160 identifies the presentation conditions and corresponding presentation information (Step S705)]. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the teaching of KITAKATA, and RYUICHI by incorporating “implementing a predetermined imaging device”, as taught by MORI. One could have been motivated to do so in order captures an image including the user's facial area, a presentation control device capable of communicating with the predetermined imaging device, and an authentication device that stores the user's facial feature information and can communicate with the presentation control device, wherein the presentation control device comprises, An acquisition means for acquiring captured images taken by the predetermined imaging device, an authentication control means for extracting facial area or facial feature information from the captured images and having the authentication device perform facial recognition, and based on the movement and behavior history associated with the user ID of the user who successfully achieved facial recognition, A presentation control system comprising a specific means for identifying the presentation information to be presented to guide to a predetermined location, an output means for transmitting the presented information identified by the specified means to a predetermined display terminal] [ MORI, claim 10]. Regarding claim 2, The combination of KITAKATA, and RYUICHI, and MORI discloses the one or more processors configured to execute the instructions to: KITAKATA discloses [ 0006] RYUICHI discloses [0009-0010, 0016, 0018, 0039-0040] MORI discloses [0022-0024, The history storage unit stores the user's movement and behavior history. Movement history is the history of points the user has passed and may include information about the time of passage. The passage point is the installation location of the facial recognition terminal 300 where the user successfully completed facial recognition, for example, the identification information of each facial recognition terminal 300. Behavior history refers to the history of actions taken by users when facial recognition is successful, such as purchase history of products, entry and exit records of facilities, and participation in events. The behavior history may include information about the time the user acted… he presentation information storage unit stores the presentation information presented to guide the user to a different location from the current location, and the presentation conditions based on the user's movement and behavior history. The presentation condition is a combination of the user's current location, the passage point, and the pair of action history. The user's current location is the location of the facial recognition terminal 300 where the user successfully completed facial recognition. Presented information is presented to users who have successfully achieved facial recognition and meet the presentation conditions. Presented information is guidance information used to direct the user to a predetermined destination. In other words, the presented information includes both the destination location and the guidance information]. Regarding claim 3, The combination of KITAKATA, and RYUICHI, and MORI discloses wherein the KITAKATA discloses [ 0006] RYUICHI discloses [0009-0010, 0016, 0018, 0039-0040] MORI discloses [0022-0024, The history storage unit stores the user's movement and behavior history. Movement history is the history of points the user has passed and may include information about the time of passage. The passage point is the installation location of the facial recognition terminal 300 where the user successfully completed facial recognition, for example, the identification information of each facial recognition terminal 300. Behavior history refers to the history of actions taken by users when facial recognition is successful, such as purchase history of products, entry and exit records of facilities, and participation in events. The behavior history may include information about the time the user acted… he presentation information storage unit stores the presentation information presented to guide the user to a different location from the current location, and the presentation conditions based on the user's movement and behavior history. The presentation condition is a combination of the user's current location, the passage point, and the pair of action history. The user's current location is the location of the facial recognition terminal 300 where the user successfully completed facial recognition. Presented information is presented to users who have successfully achieved facial recognition and meet the presentation conditions. Presented information is guidance information used to direct the user to a predetermined destination. In other words, the presented information includes both the destination location and the guidance information]. Regarding claim 4, The combination of KITAKATA, and RYUICHI, and MORI discloses the one or more processors configured to execute the instructions to: grant benefits in accordance with the cumulative smile degree to the user. KITAKATA discloses [ 0006] RYUICHI discloses [0009-0010, 0016, 0018, 0039-0040] MORI discloses [0024, The presentation information storage unit stores the presentation information presented to guide the user to a different location from the current location, and the presentation conditions based on the user's movement and behavior history. The presentation condition is a combination of the user's current location, the passage point, and the pair of action history. The user's current location is the location of the facial recognition terminal 300 where the user successfully completed facial recognition. Presented information is presented to users who have successfully achieved facial recognition and meet the presentation conditions. Presented information is guidance information used to direct the user to a predetermined destination. In other words, the presented information includes both the destination location and the guidance information. Regarding claim 5, KITAKATA does not explicitly disclose, the one or more processors configured to execute the instructions to: grant benefits in accordance with the touring history to the user. However, the combination of RYUICHI, and MORI discloses grant benefits in accordance with the touring history to the user. RYUICHI discloses [0040] The benefit service execution unit 23 generates a list of benefit services that can be provided to customers based on the smile level of the captured face image and the smile ranking obtained from the smile ranking acquisition unit 22, based on the smile level benefit service association table 100 described later. The list of obtained benefit services is sent to the benefit service presentation means 16C of Smile ATM 10, which displays it in menu format and allows the customer to select the benefit service they want. If the selected benefit service creates a composite image, the processing is passed to the composite image output unit 24. If the selected benefit service does not involve creating composite images, the process is passed to the appropriate system that will perform the necessary processing depending on the service content. For example, if the selected benefit service sets the preferential interest rate for the loan, the process is passed to the system that manages and sets the interest rates for each loan (not shown). Additionally, the Benefit Service Execution Department 23 manages the granting of "smile points" as described later and their exchange with benefit services. MORI discloses [0009, The non-temporary computer-readable medium of the present disclosure comprises a step of acquiring captured images taken by a predetermined imaging device, extracting facial area or facial feature information from the captured images and having the authentication device perform facial recognition, and identifying the presentation information to be presented to guide users to a predetermined location based on the movement and behavior history of users who have successfully achieved facial recognition. The process of transmitting the specified presented information to a predetermined display device and the program to execute the specified display device are recorded], and [0024, The presentation information storage unit stores the presentation information presented to guide the user to a different location from the current location, and the presentation conditions based on the user's movement and behavior history. The presentation condition is a combination of the user's current location, the passage point, and the pair of action history. The user's current location is the location of the facial recognition terminal 300 where the user successfully completed facial recognition. Presented information is presented to users who have successfully achieved facial recognition and meet the presentation conditions. Presented information is guidance information used to direct the user to a predetermined destination. In other words, the presented information includes both the destination location and the guidance information]. Regarding claims 12, and 17, these claims are interpreted and rejection with the same rational set forth of claim 2. Regarding claims 13, and 18, these claims are interpreted and rejection with the same rational set forth of claim 3. Regarding claims 14, and 19, these claims are interpreted and rejection with the same rational set forth of claim 4. Regarding claims 15, and 20, these claims are interpreted and rejection with the same rational set forth of claim 5. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. See submitted 892 for more relevant references. Any inquiry concerning this communication or earlier communications from the examiner should be directed to SHAHRIAR ZARRINEH whose telephone number is (571)272-1207. The examiner can normally be reached Monday-Friday, 8:30am-5:30pm. Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Jorge Ortiz-Criado can be reached at 571-272-7624. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /SHAHRIAR ZARRINEH/Primary Examiner, Art Unit 2496
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Prosecution Timeline

Mar 04, 2025
Application Filed
Jul 14, 2026
Non-Final Rejection mailed — §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
77%
Grant Probability
84%
With Interview (+7.0%)
2y 7m (~1y 2m remaining)
Median Time to Grant
Low
PTA Risk
Based on 450 resolved cases by this examiner. Grant probability derived from career allowance rate.

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