www.uspto.gov
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`17/025,129
`
`09/18/2020
`
`Richard F. Averill
`
`TIAT2USOIS
`
`3809
`
`3M INNOVATIVE PROPERTIES COMPANY
`PO BOX 33427
`ST. PAUL, MN 55133-3427
`
`RAPILLO, KRISTINE K
`
`ART UNIT
`
`3626
`
`PAPER NUMBER
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`07/06/2023
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`Thetime period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`
`LegalUSDocketing @ mmm.com
`
`PTOL-90A (Rev. 04/07)
`
`

`

`Application No.
`Applicant(s)
`17/025,129
`Averill etal.
`
`Office Action Summary Art Unit|AIA (FITF) StatusExaminer
`KRISTINE K RAPILLO
`3626
`Yes
`
`
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTHS FROM THE MAILING
`DATE OF THIS COMMUNICATION.
`Extensions of time may be available underthe provisions of 37 CFR 1.136(a). In no event, however, may a reply betimely filed after SIX (6) MONTHSfrom the mailing
`date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHSfrom the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Any reply received by the Office later than three months after the mailing date of this communication, evenif timely filed, may reduce any earned patent term
`adjustment. See 37 CFR 1.704(b).
`
`Status
`
`
`
`1) Responsive to communication(s) filed on 6/12/2023.
`C} A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`2a)[¥) This action is FINAL.
`2b) (J This action is non-final.
`3)02 An election was madeby the applicant in responseto a restriction requirement set forth during the interview
`on
`; the restriction requirement and election have been incorporated into this action.
`4)\0) Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Exparte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`Disposition of Claims*
`16-35 is/are pending in the application.
`)
`Claim(s)
`5a) Of the above claim(s) ___ is/are withdrawn from consideration.
`C) Claim(s)__ is/are allowed.
`Claim(s) 16-35 is/are rejected.
`1) Claim(s)__is/are objectedto.
`Cj} Claim(s)
`are subjectto restriction and/or election requirement
`* If any claims have been determined allowable, you maybeeligible to benefit from the Patent Prosecution Highway program at a
`participating intellectual property office for the corresponding application. For more information, please see
`http://Awww.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`) ) ) )
`
`Application Papers
`10) The specification is objected to by the Examiner.
`11)0) The drawing(s) filedon__ is/are: a)(J accepted or b)( objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`
`Priority under 35 U.S.C. § 119
`12)1) Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`Certified copies:
`c)Z None ofthe:
`b)() Some**
`a)C All
`1... Certified copies of the priority documents have been received.
`2.1) Certified copies of the priority documents have beenreceived in Application No.
`3.1.) Copies of the certified copies of the priority documents have been receivedin this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`* See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`
`1) ([] Notice of References Cited (PTO-892)
`
`2) (J Information Disclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`Paper No(s)/Mail Date
`U.S. Patent and Trademark Office
`
`3)
`
`(LJ Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`4) (J Other:
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20230622
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 2
`
`DETAILED ACTION
`
`Notice to Applicant
`
`1.
`
`This communication is in response to the amendment submitted June 12, 2023.
`
`The present application is a CON of application 16/064,146 (now abandoned). Claims
`
`16 — 35 are pending.
`
`Notice of Pre-AlA or AIA Status
`
`2.
`
`The present application, filed on or after March 16, 2013, is being examined
`
`under the first inventor to file provisions of the AIA.
`
`Claim Rejections - 35 USC § 101
`
`3.
`
`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 thistitle.
`
`4.
`
`Claims 16 —35 are rejected under 35 U.S.C. 101 because the claimed invention
`
`is directed to a judicial exception (i.e., a law of nature, a natural phenomenon, or an
`
`abstract idea) without significantly more.
`
`Step One
`
`5.
`
`Claims 16 —35 are drawn to a system and method, whichis/are statutory
`
`categories of invention (Step 7: YES).
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Step 2A Prong One
`
`Page 3
`
`6.
`
`Independent claim 16 recites a healthcare management system including a
`
`searchable multi-dimensional data representation of the performance of an entire health
`
`care delivery system, in which the performance of each healthcare provider represented
`
`by the multi- dimensional data representation, including downstream providers, that are
`
`delivering services is distilled downto a clinically credible measure of actual versus
`
`expected performanceat analytic points across one or more quality outcomes and one
`
`or more resourceutilization measures, wherein the multi-dimensional data
`
`representation is searchable to obtain performance measures of a selected healthcare
`
`provider via a queryidentifying the selected healthcare provider, generating the multi-
`
`dimensional data representation by receiving information from multiple health care
`
`providers, preprocessing the information, and storing the preprocessed information into
`
`the multi-dimensional data representation; receiving input requesting one or more
`
`suggestions for the provision of healthcare services to provide to a first patient;
`
`accessing the multi-dimensional data representation and comparing the first patient to
`
`one or more other patients represented by the multi-dimensional data representation to
`
`determine which one or more second patients are similar to the first patient, wherein
`
`similarity is determined based on a comparison of one or more characteristics defined
`
`by one or more data elementsin the multi-dimensional data representation that are
`
`shared by both the first patient and the one or more second patients; analyzing
`
`outcomes of care pertaining to potential healthcare services for the first patient with
`
`outcomes ofcare pertaining to healthcare services previously administered to the one
`
`or more second patients; determining a prioritized guidance for the provision of
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 4
`
`additional healthcare services based on the analysis; and generating a report that
`
`includes the prioritized guidancefor the provision of additional healthcare services for
`
`the first patient.
`
`Independent claim 26 recites generating prioritized guidance for the provision of
`
`additional healthcare services, comprising: accessing payer data for multiple providers
`
`in a health care delivery system; conforming the accessed payer data to a standard
`
`format; generating, based on the accessed payer data, a searchable multi-dimensional
`
`data representation of the performance of an entire health care delivery system, in
`
`which the performance of each healthcare provider represented by the multi-
`
`dimensional data representation, including downstream providers, that are delivering
`
`services is distilled down to a clinically credible measure of actual versus expected
`
`performanceat analytic points across one or more quality outcomes and one or more
`
`resource utilization measures, wherein the multi-dimensional data representation is
`
`searchable to obtain performance measures of a selected healthcare provider via a
`
`queryidentifying the selected healthcare provider; storing the searchable multi-
`
`dimensional data representation; receiving input requesting one or more suggestions for
`
`the provision of healthcare services to provide toafirst patient; accessing the stored
`
`multi-dimensional data representation and comparing the first patient to one or more
`
`other patients represented by the multi-dimensional data representation to determine
`
`which one or more second patients are similar to the first patient, wherein similarity is
`
`determined based on a comparison of one or more characteristics defined by one or
`
`more data elementsin the multi-dimensional data representation that are shared by
`
`both the first patient and the one or more second patients; analyzing outcomes of care
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 5
`
`pertaining to potential healthcare services for the first patient with outcomes of care
`
`pertaining to healthcare services previously administered to the one or more second
`
`patients; determining a prioritized guidancefor the provision of additional healthcare
`
`services based on the analysis; and generating a report that includes the prioritized
`
`guidancefor the provision of additional healthcare services for the first patient.
`
`7.
`
`The recited limitations, as drafted, under their broadest reasonable interpretation,
`
`cover certain methods of organizing human activity by providing the performance
`
`measure of a selected healthcare provider to a user. If a claim limitation, under its
`
`broadest reasonable interpretation, covers fundamental economic principles or
`
`practices and/or managing personal behavior or relationships or interactions between
`
`people, then it falls within the “Certain Methods of Organizing Human Activity’ grouping
`
`of abstract ideas. Accordingly, the claims recite an abstract idea (Step 2A Prong One:
`
`YES).
`
`Step 2A Prong Two
`
`8.
`
`This judicial exception is not integrated into a practical application. The claims
`
`are abstract but for the inclusion of the additional elements including:
`
`e Claims 16: “a processor communicatively coupled to a computing network’; “a
`
`memory device’, “the processor’, “the computing network’, “automatically”
`
`e Claim 21: “a reference database stored on the memory device”
`
`e Claims 22 and 32: “a rule repository stored on the memory device, wherein the
`
`operations further comprise: accessing one or morerulesin the rule repository”
`
`e Claim 24: “Memory device”
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 6
`
`e Claim 26: “a computer implemented method’, “network”, “processor”,
`
`“automatically”
`
`9.
`
`These features are additional elements that are recited at a high level of
`
`generality such that they amount to no more than mereinstruction to apply the
`
`exception using generic computer components. See: MPEP 2106.05(f).
`
`10.
`
`+The additional elements are merely incidental or token additions to the claim that
`
`do notalter or affect how the process steps or functions in the abstract idea are
`
`performed. Therefore, the claimed additional elements do not add meaningful limitations
`
`to the indicated claims beyond a generallinking to a technological environment. See:
`
`MPEP 2106.05(h).
`
`11.
`
`The combination of these additional elements is no more than mereinstructions
`
`to apply the exception using generic computer components. Accordingly, even in
`
`combination, these additional elements do not integrate the abstract idea into a practical
`
`application because they do not impose any meaningful limits on practicing the abstract
`
`idea.
`
`12.
`
`Hence, the additional elements do notintegrate the abstract idea into a practical
`
`application because they do not impose any meaningful limits on practicing the abstract
`
`idea. Accordingly, the claims are directed to an abstract idea (Step 2A Prong Two: NO).
`
`Step 2B
`
`13.
`
`The claims do not include additional elements that are sufficient to amount to
`
`significantly more than the judicial exception. As discussed above with respect to
`
`integration of the abstract idea into a practical application, using the additional elements
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 7
`
`to perform the abstract idea amounts to no more than mereinstructions to apply the
`
`exception using generic components. Mere instructions to apply an exception using a
`
`generic components cannotprovide an inventive concept. See MPEP 2106.05(f).
`
`14.—Further, the claimed additional elements, identified above, are not sufficient to
`
`amount to significantly more than the judicial exception because they are generic
`
`componentsthat are not integrated into the claim because they are merely incidental or
`
`token additions to the claim that do not alter or affect how the process steps or functions
`
`in the abstract idea are performed. Therefore, the claimed additional elements do not
`
`add meaningful limitations to the indicated claims beyond a generallinking to a
`
`technological environment. See: MPEP 2106.05(h).
`
`15.
`
`Further, the claimed additional elements, identified above, are not sufficient to
`
`amount to significantly more than the judicial exception because they are generic
`
`componentsthat are configured to perform well-understood, routine, and conventional
`
`activities previously knownto the industry. See: MPEP 2106.05(d). Said additional
`
`elements are recited at a high level of generality and provide conventional functions that
`
`do not add meaningful limits to practicing the abstract idea. The published specification
`
`supports this conclusion as follows:
`
`e
`
`[0012] The functions or algorithms described herein may be implemented
`
`in software in one embodiment. The software may consist of computer
`
`executable instructions stored on computer readable media or computer
`
`readable storage device such as one or more non-transitory memories or
`
`other type of hardware based storage devices, either local or networked.
`
`Further, such functions correspond to modules, which may be software,
`
`hardware, firmware or any combination thereof. Multiple functions may be
`
`performed in one or more modules as desired, and the embodiments
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 8
`
`described are merely examples. The software may be executed on a
`
`digital signal processor, ASIC, microprocessor, or other type of processor
`
`operating on a computer system, such as a personal computer, server or
`
`other computer system, turning such computer system into a specifically
`
`programmed machine.
`
`e
`
`[0060] FIG. 5 is a block schematic diagram of a computer system 500 to
`
`implement methods according to example embodiments. All components
`
`need not be used in various embodiments. One example computing
`
`device in the form of a computer 500, mayinclude a processing unit 502,
`
`memory 503, removable storage 510, and non-removable storage 512.
`
`Although the example computing deviceis illustrated and described as
`
`computer 500, the computing device maybein different forms in different
`
`embodiments. For example, the computing device may instead be a
`
`smartphone, a tablet, smartwatch, or other computing device including the
`
`same or similar elements asillustrated and described with regard to FIG.
`
`5. Devices such as smartphones, tablets, and smartwatches are generally
`
`collectively referred to as mobile devices. Further, although the various
`
`data storage elementsareillustrated as part of the computer 500, the
`
`storage mayalso or alternatively include cloud-based storage accessible
`
`via a network, such asthe Internet.
`
`e
`
`[0061] Memory 503 mayinclude volatile memory 514 and non-volatile
`
`memory 508. Computer 500 mayinclude - or have access to a computing
`
`environmentthat includes - a variety of computer readable media, such as
`
`volatile memory 514 and non-volatile memory 508, removable storage 510
`
`and non-removable storage 512. Computer storage includes random
`
`access memory (RAM), read only memory (ROM), erasable
`
`programmable read-only memory (EPROM) & electrically erasable
`
`programmable read-only memory (EEPROM), flash memory or other
`
`memory technologies, compact disc read-only memory (CD ROM), Digital
`
`Versatile Disks (DVD) or other optical disk storage, magnetic cassettes,
`
`magnetic tape, magnetic disk storage or other magnetic storage devices
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 9
`
`capable of storing computer-readable instructions for execution to perform
`
`functions described herein.
`
`16.
`
`Viewing the limitations as an ordered combination, the claims simply instruct the
`
`additional elements to implement the concept described abovein the identification of
`
`abstract idea with routine, conventional activity specified at a high level of generality ina
`
`particular technological environment.
`
`17.|Hence, the claims as a whole, considering the additional elements individually
`
`and as an ordered combination, do not amount to significantly more than the abstract
`
`idea (Step 2B: NO).
`
`18.
`
`Dependent claim(s) 17 — 25 and 27 — 31, when analyzed as a whole, considering
`
`the additional elements individually and/or as an ordered combination, are held to be
`
`patentineligible under 35 U.S.C. 101 because the additional recited limitation(s) fail(s)
`
`to establish that the claim(s) is/are not directed to an abstract idea without significantly
`
`more. These claims fail to remedy the deficiencies of their parent claims above, and are
`
`therefore rejected for at least the same rationale as applied to their parent claims above,
`
`and incorporated herein.
`
`Claim Rejections - 35 USC § 103
`
`19.
`
`Theclosest prior art for claim(s) 16 — 35 under 35 U.S.C. 103, would require an
`
`unreasonable number of references.
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 10
`
`Responseto Arguments
`
`20.
`
`Applicant's arguments filed June 12, 2023 have been fully considered but they
`
`are not persuasive. The Applicant’s arguments have been addressedin the order in
`
`which they were received.
`
`The Applicant argues no claim limitation recites a step involving a humanactor,
`
`therefore there is nothing recited in the claims related to “providing performance
`
`measuresrelated to a selected healthcare provider’. The Examiner respecttully
`
`disagrees. The Examiner submits claim 16 recites “generating a report that includes the
`
`prioritized guidancefor the provision of additional healthcare servicesfor the first
`
`patient”, which is supported by paragraph 70, which discloses “Care managers may
`
`also see a prioritized list of patients within their population in varying states of care that
`
`need attention to stay within care guidelines.” The present application, thus, indicates
`
`the generation of a report is provided to ahuman. Therefore, the Applicant's argument
`
`is not persuasive and the rejection is maintained.
`
`The Applicant argues the present claims provide specific practical applications
`
`that supports patent eligibility, citing Enfish. The Examiner respectfully disagrees. The
`
`Examiner submits in Enfish, for example, the Court found that "the claims at issue
`
`focused not on asserted advances in uses to which existing computer capabilities could
`
`be put, but on a specific improvement in how computer could carry out one of their basic
`
`functions of storage and retrieval of data’. Here, the focus of the claims is not on such
`
`an improvement in computersas tools, but on abstract ideas that use computers as
`
`tools. The claims here do not require any nonconventional computer, network or display
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 11
`
`components, or even a "non-conventional and non-generic arrangement of known,
`
`conventional pieces”. This conclusion is supported by the Applicant’s published
`
`specification: “[0072] FIG. 5 is a block schematic diagram of a computer system 500 to
`
`implement methods according to example embodiments. All components need not be
`
`used in various embodiments. One example computing device in the form of a computer
`
`500, may include a processing unit 502, memory 503, removable storage 510, and non-
`
`removable storage 512. Although the example computing deviceis illustrated and
`
`described as computer 500, the computing device maybein different forms in different
`
`embodiments. For example, the computing device may instead be a smartphone, a
`
`tablet, smartwatch, or other computing device including the same or similar elements as
`
`illustrated and described with regard to FIG. 5. Devices such as smartphones, tablets,
`
`and smart-watches are generally collectively referred to as mobile devices. Further,
`
`although the various data storage elementsareillustrated as part of the computer 500,
`
`the storage mayalso or alternatively include cloud-based storage accessible via a
`
`network, suchas the Internet.” The Applicant’s specification indicates any type of
`
`computing device may be used, thus, unlike Enfish, the present application uses
`
`existing computers astools in aid of processes focused on abstract ideas.
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 12
`
`Conclusion
`
`21.
`
`THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time
`
`policy as set forth in 37 CFR 1.136(a).
`
`A shortenedstatutory period for reply to this final action is set to expire THREE
`
`
`
`MONTHS from the mailing date of this action. In the eventafirst reply is filed within
`
`TWO MONTHS of the mailing date of this final action and the advisory action is not
`
`mailed until after the end of the THREE-MONTH shortened statutory period, then the
`
`shortened statutory period will expire on the date the advisory action is mailed, and any
`
`extension fee pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of
`
`the advisory action.
`
`In no event, however, will the statutory period for reply expire later
`
`than SIX MONTHS from the mailing date ofthis final action.
`
`22.
`
`Anyinquiry concerning this communication or earlier communications from the
`
`examiner should be directed to KRISTINE K RAPILLO whosetelephone number is
`
`(571)270-3325. The examiner can normally be reached Monday- Friday 7:30 - 4 pm.
`
`Examiner interviews are available via telephone, in-person, and video
`
`conferencing using a USPTO supplied web-basedcollaboration tool. To schedule an
`
`interview, applicant is encouraged to use the USPTO Automated Interview Request
`
`(AIR) at http:/Avww.uspto.gov/interviewpractice.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner's
`
`supervisor, Fonya Long can be reached on 571-270-5096. 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
`
`

`

`Application/Control Number: 17/025,129
`Art Unit: 3626
`
`Page 13
`
`available to registered users. To file and manage patent submissions in Patent Center,
`
`visit: https://patentcenter.uspto.gov. Visit https:/Awww.uspto.gov/patents/apply/patent-
`
`center for more information about Patent Center and
`
`httos:/Awww.uspto.gov/patents/docx for information aboutfiling 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.
`
`/K.K.R/
`Examiner, Art Unit 3626
`
`/ROBERT A SOREY/
`Primary Examiner, Art Unit 3626
`
`