First printed by ALM / Legislation.com in The Mental Property Strategist.
I. INTRODUCTION
This text briefly analyzes latest Patent Trial and Attraction Board (“PTAB”) selections on medical know-how incorporating synthetic intelligence (AI). Every choice includes reversal of a previous artwork rejection and contrasts with the opposite selections on subject material eligibility. The improvements at concern relate to a spread of medical applied sciences regarding anatomical location-based machine studying fashions to foretell pathological abnormalities, operation of a robotic surgical system prompted by an intra-operative surgical advice, and polygenic fashions to foretell traits of people based mostly on genetic variants. The choices reveal totally different PTAB approaches and outcomes that may inform prosecution and attraction methods.
II. PTAB DECISIONS
A. Reversal of Prior Artwork Rejection, No Alice Problem
In Ex Parte Lyman, Attraction No. 2022-002753 (PTAB Sept. 25, 2023), an attraction to the PTAB concerned know-how regarding AI-based evaluation of medical scans generated by medical imaging units. The know-how makes use of picture information from a medical scan to coach machine studying fashions based mostly on datasets of medical scans and related labels. The labels relate to pathological abnormality courses, reminiscent of atelectasis, effusion, mass, pneumonia, consolidation, emphysema, pleural thickening, cardiomegaly, infiltration, nodule, pneumothorax, edema, fibrosis, and hernia. In related half, the claims recited coaching a generical machine studying mannequin based mostly on a set of medical scan information and coaching a plurality of anatomical location-based machine studying fashions by efficiency of a nice tuning step on the generic machine studying mannequin. Within the claims, mutually unique subsets of the medical scan information are generated based mostly on totally different anatomical places. The claims additional recited that, with respect to nice tuning, a subset of the medical scan information regarding an anatomical location is utilized to coach a corresponding machine studying mannequin related to the anatomical location.
The only concern on attraction was the correctness of the rejection of the claims underneath part 103. Specifically, a previous artwork reference relied upon by the examiner disclosed a single course of to coach three totally different fashions, every mannequin educated utilizing a corresponding subset of information. Nonetheless, the PTAB famous that the prior artwork reference failed to show coaching of the claimed generic machine studying mannequin and coaching of location-based fashions utilizing distinct subsets of the information used to coach the generic machine studying mannequin. In consequence, the PTAB reversed the prior artwork rejection of the claims.
On this case, no Alice points have been delivered to or raised by the PTAB. Notably, an early model of the claims recited, inter alia, producing a generic mannequin by efficiency of a coaching step and producing a plurality of location-based fashions by efficiency of a nice tuning step. Throughout prosecution, the examiner rejected this model of the claims, discovering that the claims coated a technique of organizing human exercise. In response, the applicant argued that the claims didn’t contain individuals in any respect, a lot much less managing private conduct or relationships between individuals, and that the claims recited a sensible software within the type of an enchancment to the know-how of medical imaging. Unpersuaded by these arguments, the examiner famous that, underneath a broadest affordable interpretation, the claims didn’t recite use of a machine studying mannequin and accordingly urged declare amendments to recite “coaching and use” of a machine studying mannequin. After a declare modification heeding that recommendation, the Alice rejection was withdrawn earlier than the attraction.
B. Reversal of Prior Artwork Rejection, Surprising Alice Problem
Ex parte Couture, Attraction No. 2023-002437 (PTAB Sept. 28, 2023) was an attraction involving a machine studying mannequin educated to supply an intra-operative surgical advice to a surgeon working a robotic surgical system. The robotic surgical system can be utilized to carry out, for instance, a knee arthroplasty, a hip arthroplasty, or a shoulder arthroplasty. The claims recited a system together with a robotic surgical system and a machine studying engine able to producing a machine studying mannequin educated based mostly on coaching information. The coaching information as claimed features a set of robotic surgical process weights based mostly on robotic surgical treatment information related to a constructive surgical process final result. Within the claims, the robotic surgical process weights are related to surgical final result metrics. The applicant appealed ultimate rejection of the claims underneath part 103, the one excellent rejection.
Your complete PTAB panel discovered that the recitation of coaching information distinguished the claims over the prior artwork references. A key prior artwork reference disclosed a machine studying system and process final result information related to a outcome from a surgical process, together with whether or not the outcome was constructive or destructive. Nonetheless, the panel discovered no disclosure within the reference that the process final result information was based mostly on the claimed robotic surgical process weights. The panel thus concluded that the examiner erred and reversed the rejection of the claims.
One administrative patent decide concurred within the choice, sua sponte asserting that declare 1 failed the Alice take a look at. The APJ acknowledged however faulted the examiner’s withdrawal of part 101 rejections in prosecution based mostly on sure declare amendments. The declare amendments recited a surgical system and a educated machine studying mannequin to find out a surgical prediction and, in keeping with the examiner, constituted integration of an summary thought right into a sensible software. As to step 1 of the Alice take a look at, the APJ asserted that every one system parts have been generically claimed, together with a generically claimed machine studying engine. Regardless of the recited element relating to the machine studying mannequin educated on particular coaching information together with robotic surgical process weights based mostly on robotic surgical treatment information, the APJ characterised the claims as protecting the usage of any kind of machine studying and never reciting technological implementation particulars. As to step 2, the APJ argued that the applicant couldn’t contend that it invented a machine studying engine, citing point out within the specification to strategies reminiscent of synthetic neural networks, Bayesian networks, instance-based studying, help vector machines, and choice timber. Once more, with out addressing the detailed recitation within the claims relating to the machine studying mannequin educated on particular coaching information and related technology of a robotic surgical process prediction, the APJ contended that use of a nondescript machine studying engine with a robotic system was related to the summary thought itself, not a technological enchancment. The APJ didn’t talk about whether or not extra categorical recital of coaching and use of a selected machine studying mannequin educated with the claimed coaching information together with the robotic surgical process weights would represent an enchancment or creative idea to fulfill the second prong of step 2A or step 2B. On this regard, it was the technology of a process prediction output based mostly on the claimed robotic surgical process weights in reference to a machine studying mannequin that supported reversal of the part 103 rejection.
C. Reversal of Prior Artwork Rejection, Affirmance of Alice Rejection
Ex parte Trunck, Attraction No. 2022-001298 (PTAB Might 11, 2023) concerned know-how regarding polygenic fashions that predict traits of people based mostly on genetic variants of the people. Traits can embrace, for instance, phenotypes and behaviors of people. The claims recited dedication of a demographic to which a person belongs based mostly on genetic variants of the person. Within the claims, a polygenic mannequin from a set of polygenic fashions within the type of educated machine studying fashions is chosen to make a prediction of a attribute of the person. The chosen polygenic mannequin, as claimed, has been educated utilizing recognized genotypes and traits for members of the demographic. The claims additional recited operation of the chosen polygenic mannequin to make the prediction. The applicant appealed rejection of the claims based mostly on sections 101 and 103.
As to the primary prong of step 2A, the PTAB discovered that sure claimed steps could possibly be carried out within the human thoughts or with pen and paper and that the claimed polygenic prediction server was merely a generic laptop. As to the second prong, the PTAB thought-about the remaining further parts that recited storing the polygenic fashions at a polygenic prediction server and working the chosen polygenic mannequin to make the prediction of the attribute. The PTAB acknowledged that the working step merely applied the summary thought on a pc and concluded that the extra parts didn’t combine the summary thought right into a sensible software. As to step 2B, the PTAB relied on prior artwork references cited by the examiner for part 103 rejections to say that educated machine studying fashions that predict a attribute of a person based mostly on genetic variants of the person are well-understood, routine, and standard. The PTAB affirmed the rejection underneath part 101 however on procedural concerns reversed the rejection underneath part 103 as a result of the examiner did not cite particular parts of the prior artwork references.
Regardless of its final ruling, the PTAB hinted at a method to doubtlessly bolster subject material eligibility. In a single a part of its choice, the PTAB noticed that the claims didn’t recite creating laptop fashions able to predicting traits by making use of particular machine studying strategies to particular datasets. Moderately, in keeping with the PTAB, the claims merely required storing preexisting machine studying fashions which have already been educated.
III. CONCLUSION
These selections counsel that PTAB appeals on medical know-how incorporating AI are doubtlessly winnable however nonetheless unpredictable. In some instances, the scope of points taken to the PTAB is similar scope thought-about by it. For instance, in Ex parte Lyman, the attraction the applicant wished on part 103 alone is the attraction the applicant bought — and received. Right here, and within the different two selections, the applicant prevailed on its prior artwork place, maybe contrasting AI associated medical applied sciences from different crowded fields the place reversals could also be much less frequent. After the applicant and the examiner reached settlement on Alice, the PTAB didn’t proactively rethink the sufficiency of an categorical recital of coaching and use of an anatomical location-based machine studying mannequin based mostly on a nice tuning step.
However coming to settlement with an examiner on part 101 points is not going to essentially immunize an attraction from Alice. The APJ in Ex parte Couture didn’t merely sua sponte elevate a brand new query. Moderately, and maybe to the applicant’s shock, the APJ went as far as to supply a prolonged clarification as to why the pretty detailed claims on a robotic surgical system and a machine studying engine have been purportedly ineligible. Even in a case the place two APJs and an examiner agree, one remains to be left to marvel in regards to the worth of a patent issued with invalidity arguments of an APJ prominently set forth within the file historical past and, extra essentially, the correct circumstances for an attraction that justify such danger.
In fact getting the attraction you need is totally different from getting the outcome you need. Primarily based on printed statistics, PTAB settlement with the examiner, just like the lead to Ex parte Trunck, shouldn’t be an entire shock. Given discretion laden realities in software of amorphous Alice ideas, the candy spot with some luck typically lies inside attain. Though the attraction was misplaced, the applicant in Ex parte Trunck was lucky to obtain an obvious nudge by the PTAB in a promising path.
