Prosecution Insights
Last updated: May 29, 2026
Application No. 18/173,221

COMMUNICATION METHOD AND APPARATUS

Non-Final OA §103
Filed
Feb 23, 2023
Priority
Aug 25, 2020 — CN 202010864940.0 +1 more
Examiner
LUGO, DAVID B
Art Unit
2631
Tech Center
2600 — Communications
Assignee
Huawei Technologies Co., Ltd.
OA Round
3 (Non-Final)
79%
Grant Probability
Favorable
3-4
OA Rounds
0m
Est. Remaining
80%
With Interview

Examiner Intelligence

Grants 79% — above average
79%
Career Allowance Rate
565 granted / 715 resolved
+17.0% vs TC avg
Minimal +1% lift
Without
With
+1.3%
Interview Lift
resolved cases with interview
Typical timeline
2y 5m
Avg Prosecution
15 currently pending
Career history
737
Total Applications
across all art units

Statute-Specific Performance

§101
2.8%
-37.2% vs TC avg
§103
80.5%
+40.5% vs TC avg
§102
8.7%
-31.3% vs TC avg
§112
4.0%
-36.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 715 resolved cases

Office Action

§103
DETAILED ACTION Continued Examination Under 37 CFR 1.114 A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 3/24/25 has been entered. 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 . Response to Amendment/Arguments With the amendment filed 3/24/25, Applicant has amended claims 1, 4, 7-9 and 16-19. Applicant’s arguments with respect to claims 1-20 are considered but are moot in view of the new ground of rejection presented below which address Applicant’s claim amendments. Claim Rejections - 35 USC § 103 The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action. Claims 1-3 and 5-8 are rejected under 35 U.S.C. 103 as being unpatentable over Lee et al. U.S. PG Pub. No. 2021/0250143 in view of Shan et al. U.S. PG Pub. No. 2019/0174449. Regarding claim 1, Lee discloses a communication method, comprising: sending, by a first communication apparatus (i.e. UE), a constellation diagram design parameter (see step S710 – Fig. 7), wherein the constellation diagram design parameter comprises a communication scenario design parameter (i.e. CI) and a communication apparatus design parameter (i.e. user feature); receiving, by the first communication apparatus, information about a second constellation diagram (i.e. CTI – step S716), wherein the second constellation diagram corresponds to the constellation diagram design parameter (see ¶ [0077]); and performing, by the first communication apparatus, communication using the second constellation diagram (step S718), wherein the communication apparatus design parameter comprises a user behavior profile, wherein the user behavior profile comprises a mobility of the first communication apparatus (see ¶ [0060]). Lee does not expressly disclose that the mobility corresponds to a mobility distribution comprising statistics collected over a period of time. Shan discloses that mobility information of a UE can include statistics that can be historical (i.e. over time) (see ¶ [0065]). It would have been obvious to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to use a historical statistical UE mobility, as suggested by Shan, for the mobility information in the method of Lee, as it provides additional information regarding user behavior to inform constellation selection. Regarding claim 2, Lee further discloses sending a first constellation diagram corresponding to a “conventional constellation” (step S606 – Fig. 6), where the constellation diagram design parameter may be sent after use of the conventional constellation, as the process may be initiated based on determination of a specific condition (¶ [0061] – also see Fig. 9). Regarding claim 3, Lee further discloses, before performing communication using the second constellation diagram, updating, by the first communication apparatus, the first constellation diagram to the second constellation diagram, wherein the first constellation diagram is different from the second constellation diagram, as the constellation is learned and thus different than a previously used constellation (¶¶ [0039], [0061], [0079]). Regarding claim 5, Lee further discloses that, if the terminal determines that there is no channel similar to the current channel state used for constellation set design, the terminal may determine to perform communication using a conventional (i.e. third) constellation considered closest to the second constellation (¶ [0069]). Regarding claim 6, Lee further discloses, after performing communication by using the second constellation, in response to the first communication apparatus unable to communicate with a second communication apparatus by using the second constellation diagram, receiving, by the first communication apparatus, indication information indicating to use a rollback mechanism to replace the second constellation diagram with the first constellation diagram (¶ [0079]). Regarding claim 7, Lee further discloses storing, by the first communication apparatus (i.e. terminal), a correspondence between the constellation diagram design parameter and the second constellation diagram (see ¶ [0070], Table 1), and searching, based on the constellation diagram design parameter, the correspondence for the second constellation diagram corresponding to the constellation diagram design parameter, as one skilled in the art would recognize that the Table is accessed after storing (see ¶ [0070], Table 1). Regarding claim 8, in the proposed combination, Shan discloses that the mobility distribution of the first communication apparatus comprises statistics on mobility of the first communication apparatus over the period of time (¶ [0065]). Claim 4 is rejected under 35 U.S.C. 103 as being unpatentable over Lee et al. in view of Shan et al., as applied to claim 1 above, and further in view of Skraparlis U.S. PG Pub. No. 2005/0237971. Regarding claim 4, Lee in combination with Shan disclose a communication method where a first communication apparatus sends a constellation diagram design parameter comprising a communication scenario design parameter and a communication apparatus design parameter, as described above, and further discloses that the communication scenario design parameter comprises a channel characteristic that comprises a channel model indication (i.e. CI – see ¶¶ [0013], [0050]), but does not expressly disclose that the communication apparatus design parameter further comprises a constellation diagram designer return parameter comprising at least one of: performance fed back by the first communication apparatus, performance calculated by a constellation diagram designer, or a formula to evaluate constellation diagram performance. Skraparlis discloses providing feedback based upon actual measured performance of a selected constellation (¶ [0048]). It would have been obvious to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to provide performance fed back by a communication apparatus, as disclosed by Skraparlis, in the method of Lee and Shan, to facilitate future modifications to improve performance as necessary. Claims 9-16 are rejected under 35 U.S.C. 103 as being unpatentable over Lee et al. in view of Kashiwagi U.S. PG Pub. No. 2007/0054624. Regarding claim 9, Lee discloses a communication method, comprising: receiving, by a second communication apparatus (i.e. base station), a constellation diagram design parameter (see step S710 – Fig. 7), wherein the constellation diagram design parameter comprises a communication scenario design parameter (i.e. CI) and a communication apparatus design parameter (i.e. user feature); sending, by the second communication apparatus, information about a second constellation diagram (i.e. CTI – step S716), wherein the second constellation diagram corresponds to the constellation diagram design parameter (see ¶ [0077]); and performing, by the second communication apparatus, communication using the second constellation diagram (step S718), wherein the communication scenario design parameter comprises a channel characteristic associated with the CI (¶ [0077]). While Lee further discloses that a user terminal location may be used as part of the constellation design (¶ [0060]), Lee does not expressly disclose that the channel characteristic comprises a channel environment type indication indicating a physical location in which a first communication apparatus sending the constellation diagram design parameter to the second communication apparatus operates. Kashiwagi discloses that a mobile terminal provides information on the location of a mobile terminal device in a communications network (¶ [0100]), where the location information is used in determining a selected constellation (¶ [0133]). It would have been obvious to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to provide a channel environment type indication in the form of a physical location, as suggested by Kashiwagi, in the method of Lee, to allow for selection of a constellation that satisfies the reception quality requirements of the terminal at the given location (¶¶ [0102]-[0107]). Regarding claim 10, Lee further discloses sending a first constellation diagram corresponding to a “conventional constellation” (step S606 – Fig. 6), where the constellation diagram design parameter may be received after the conventional constellation, as the process may be initiated based on determination of a specific condition (¶ [0061] – also see Fig. 9). Regarding claim 11, Lee further discloses, before sending information about the second constellation diagram, updating, by the second communication apparatus, the first constellation diagram to the second constellation diagram, wherein the first constellation diagram is different from the second constellation diagram, as the constellation is learned and thus different than a previously used constellation (¶¶ [0039], [0061], [0079]). Regarding claim 12, Lee discloses that the channel characteristic further comprises a channel model indication (i.e. CI – see ¶¶ [0013], [0050]), and the communication apparatus design parameter comprises a user behavior profile, wherein the user behavior profile comprises a user behavior profile comprising at least one of: a location distribution of the first communication apparatus, a service type distribution of the first communication apparatus, a mobility distribution of the first communication apparatus, a bit rate distribution of the first communication apparatus, or a radio frequency link hardware parameter distribution of the first communication apparatus (see ¶ [0060], defining the user feature to include “a terminal position, a mobility…and the like”). Regarding claim 13, Lee further discloses updating the first constellation diagram to the second constellation diagram by inputting the constellation diagram design parameter to a constellation diagram designer and updating the constellation diagram based on the constellation diagram designer (see ¶ [0082]). Regarding claim 14, Lee further discloses, before performing communication by using the second constellation diagram, replacing, by the second communication apparatus, the second constellation diagram with a third constellation diagram (step S606), wherein the third constellation diagram is a constellation diagram that is in a preset (conventional) constellation diagram and that is considered closest to the second constellation diagram (¶ [0074]). Regarding claim 15, Lee further discloses, after performing communication by using the second constellation, in response to the first communication apparatus unable to communicate with the second communication apparatus by using the second constellation diagram, sending, by the second communication apparatus, indication information indicating to use a rollback mechanism to replace the second constellation diagram with the original constellation (¶ [0079]). Regarding claim 16, Lee further discloses storing, by the second communication apparatus, a correspondence between the constellation diagram design parameter and the second constellation diagram (step S414, ¶ [0063]), and searching, based on the constellation diagram design parameter, the correspondence for the second constellation diagram corresponding to the constellation diagram design parameter (¶ [0087]). Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Lee et al. in view of Kashiwagi as applied to claim 9 above, and further in view of Shan et al. Regarding claim 17, Lee in combination with Kashiwagi disclose a communication method where a communication apparatus receives a constellation diagram design parameter including a communication apparatus design parameter, as described above, and Lee further discloses that the communication apparatus design parameter comprises a user behavior profile (i.e. user feature), wherein the user feature may include mobility information of the user (¶ [0060]). Lee and Kashiwagi do not disclose that the user behavior profile comprises at least one distribution comprising statistics collected over a period of time, where the at least one distribution comprises at least a mobility distribution of the first communication apparatus which comprises statistics on mobility of the first communication apparatus over the period of time. Shan discloses that mobility information of a UE can include statistics that can be historical (i.e. over time) (see ¶ [0065]). It would have been obvious to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to use a historical statistical UE mobility, as suggested by Shan, for the mobility information of Lee in the proposed combination, as it provides additional information regarding user behavior to inform constellation selection. Claims 18 and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Lee et al. in view of Shan et al. and Kashiwagi. Regarding claim 18, Lee discloses a communication apparatus (terminal 1300 – Fig. 13), comprising: a memory 1306 configured to store computer program instructions; and a processor 1304 electrically coupled to the memory, and configured to execute some or all of the computer program instructions in the memory to implement a communication method comprising: sending, by the communication apparatus, a constellation diagram design parameter (see step S710 – Fig. 7), wherein the constellation diagram design parameter comprises a communication scenario design parameter (i.e. CI) and a communication apparatus design parameter (i.e. user feature); receiving, by the communication apparatus, information about a second constellation diagram (CTI – step S716) (see ¶¶ [0009], [0077]-[0078]), wherein the second constellation diagram corresponds to the constellation diagram design parameter (see ¶ [0077]); and performing, by the communication apparatus, communication by using the second constellation diagram (step S718). Lee discloses that the communication apparatus design parameter comprises a user behavior profile (i.e. user feature), wherein the user behavior profile comprises a mobility of the first communication apparatus (see ¶ [0060]). Lee does not expressly disclose that the mobility corresponds to a mobility distribution comprising statistics collected over a period of time. Shan discloses that mobility information of a UE can include statistics that can be historical (i.e. over time) (see ¶ [0065]). It would have been obvious to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to use a historical statistical UE mobility, as suggested by Shan, for the mobility information in the apparatus of Lee, as it provides additional information regarding user behavior to inform constellation selection. Lee also discloses that the communication scenario design parameter comprises a channel characteristic (i.e. CI), and that a user terminal location may be used as part of the constellation design (¶ [0060]), but does not expressly disclose that the channel characteristic comprises a channel environment type indication indicating a physical location in which a first communication apparatus sending the constellation diagram design parameter to the second communication apparatus operates. Kashiwagi discloses that a mobile terminal provides information on the location of a mobile terminal device in a communications network (¶ [0100]), where the location information is used in determining a selected constellation (¶ [0133]). It would have been obvious to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to provide a channel environment type indication in the form of a physical location, as suggested by Kashiwagi, in the apparatus of Lee in the proposed combination, to allow for selection of a constellation that satisfies the reception quality requirements of the terminal at the given location (see Kashiwagi, ¶¶ [0102]-[0107]). Regarding claim 19, in the proposed combination, Shan discloses that the mobility distribution of the first communication apparatus comprises statistics on mobility of the first communication apparatus over the period of time (¶ [0065]). Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Lee et al. in view of Shan et al., as applied to claim 1 above, and further in view of Skraparlis. Regarding claim 20, Lee in combination with Shan and Kashiwagi disclose a communication apparatus sending a communication apparatus design parameter, as disclosed above, but do not expressly disclose that the communication apparatus design parameter further comprises a constellation diagram designer return parameter comprising at least one of: performance fed back by the first communication apparatus, performance calculated by a constellation diagram designer, or a formula to evaluate constellation diagram performance. Skraparlis discloses providing feedback based upon actual measured performance of a selected constellation (¶ [0048]). It would have been obvious to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to provide performance fed back by a communication apparatus, as disclosed by Skraparlis, in the apparatus of Lee in the proposed combination, to facilitate future modifications to improve performance as necessary. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to David B. Lugo whose telephone number is 571-272-3043. The examiner can normally be reached M-F, 9-6. Examiner interviews are available via telephone 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, Hannah Wang can be reached at 571-272-9018. 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. /DAVID B LUGO/Primary Examiner, Art Unit 2631 5/10/2025
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Prosecution Timeline

Show 3 earlier events
Nov 21, 2024
Final Rejection mailed — §103
Jan 27, 2025
Applicant Interview (Telephonic)
Jan 27, 2025
Examiner Interview Summary
Mar 24, 2025
Response after Non-Final Action
Apr 23, 2025
Request for Continued Examination
Apr 25, 2025
Response after Non-Final Action
May 15, 2025
Non-Final Rejection mailed — §103
Aug 13, 2025
Response Filed

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Prosecution Projections

3-4
Expected OA Rounds
79%
Grant Probability
80%
With Interview (+1.3%)
2y 5m (~0m remaining)
Median Time to Grant
High
PTA Risk
Based on 715 resolved cases by this examiner. Grant probability derived from career allowance rate.

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