Prosecution Insights
Last updated: May 29, 2026
Application No. 18/397,825

PHASE TRACKING REFERENCE SIGNAL CONFIGURATION FOR USER EQUIPMENT IN REDUCED CAPABILITY STATE

Non-Final OA §103
Filed
Dec 27, 2023
Priority
Feb 02, 2023 — provisional 63/482,811
Examiner
TANG, KIET G
Art Unit
2469
Tech Center
2400 — Computer Networks
Assignee
Qualcomm Incorporated
OA Round
1 (Non-Final)
90%
Grant Probability
Favorable
1-2
OA Rounds
1m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 90% — above average
90%
Career Allowance Rate
714 granted / 793 resolved
+32.0% vs TC avg
Moderate +12% lift
Without
With
+12.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
19 currently pending
Career history
825
Total Applications
across all art units

Statute-Specific Performance

§101
2.0%
-38.0% vs TC avg
§103
91.4%
+51.4% vs TC avg
§102
4.5%
-35.5% vs TC avg
§112
1.6%
-38.4% vs TC avg
Black line = Tech Center average estimate • Based on career data from 793 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 . Claims 1-30 are pending. 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. 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 1-2, 5, 21, 27, and 30 are rejected under 35 U.S.C. 103 as being unpatentable over Shrivastava et al. (Pub. No.: US 20220052808 A1), hereinafter Shrivastava, in view of Xiao et al. (Pub. No.: US 20250192947 A1), hereinafter Xiao. With respect to claim 1, Shrivastava teaches A user equipment (UE) for wireless communication, comprising (fig. 9, [0097], user equipment): one or more memory (fig. 9, [0097], memory); and one or more processors, coupled to the one or more memories, configured to (fig. 9, [0097], processor couples to the one or more memories): receive signaling to operate in a radio resource control (RRC) inactive or idle state ([0041-0042], UE receives RRC signaling message to cause/operate UE to be inactive or idle state); and receive a phase tracking reference signal (PTRS) configuration ([0040-0041], UE receives a phase tracking reference signal (PTRS) configuration) and when the UE is operating in the RRC inactive or idle state ([0040, 0042], the UE configured to operate in the RRC Idle or Inactive mode). Although Shrivastava teaches receive a phase tracking reference signal (PTRS) configuration as set forth above. Shrivastava does not explicitly teach receive a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH). However, Xiao teaches receive a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH) ([0011], see claim 1, UE receives a phase tracking reference signal (PTRS) configuration for data transmission, wherein the data transmission is a physical downlink shared channel (PDSCH)). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Xiao, receive a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH), into the teachings of Shrivastava, in order to power boosting for DMRS and PTRS (Xiao, [0001]). With respect to claim 2, the combination of Shrivastava and Xiao teaches the UE of claim 1. Shrivastava teaches wherein the signaling to operate in the RRC inactive or idle state includes the PTRS configuration ([0040-0041]). With respect to claim 5, the combination of Shrivastava and Xiao teaches the UE of claim 1. Shrivastava teaches wherein the PTRS configuration is associated with UE group-specific procedures ([0033]). With respect to claim 21, Shrivastava teaches A network node for wireless communication (fig. 8, [0096], network node), comprising: one or more memories (fig. 8, [0096], memory); and one or more processors, coupled to the one or more memories, configured to (fig. 8, [0096], processor couples to the one or more memories): output or configure signaling to operate a user equipment (UE) in a radio resource control (RRC) inactive or idle state ([0040-0042], network node outputs or configures RRC signaling message to cause/operate UE to be inactive or idle state); and output or configure a phase tracking reference signal (PTRS) configuration ([0040], network node outputs or configures a phase tracking reference signal (PTRS) configuration) and when the UE is operating in the RRC inactive or idle state ([0042], the UE configured to operate in the RRC Idle or Inactive mode). Although Shrivastava teaches output or configure a phase tracking reference signal (PTRS) configuration as set forth above. Shrivastava does not explicitly teach output or configure a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH). However, Xiao teaches output or configure a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH) ([0012, 0023], gNB outputs or configures a phase tracking reference signal (PTRS) configuration for data transmission, wherein the data transmission is a physical downlink shared channel (PDSCH)). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Xiao, output or configure a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH), into the teachings of Shrivastava, in order to power boosting for DMRS and PTRS (Xiao, [0001]). With respect to claim 27, Shrivastava teaches A method of wireless communication performed by a user equipment (UE) (fig. 9, [0097], user equipment), comprising: receiving signaling to operate in a radio resource control (RRC) inactive or idle state ([0041-0042], UE receives RRC signaling message to cause/operate UE to be inactive or idle state); and receiving a phase tracking reference signal (PTRS) configuration ([0040-0041], UE receives a phase tracking reference signal (PTRS) configuration) and when the UE is operating in the RRC inactive or idle state ([0040, 0042], the UE configured to operate in the RRC Idle or Inactive mode). Although Shrivastava teaches receive a phase tracking reference signal (PTRS) configuration as set forth above. Shrivastava does not explicitly teach receive a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH). However, Xiao teaches receive a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH) ([0011], see claim 1, UE receives a phase tracking reference signal (PTRS) configuration for data transmission, wherein the data transmission is a physical downlink shared channel (PDSCH)). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Xiao, receive a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH), into the teachings of Shrivastava, in order to power boosting for DMRS and PTRS (Xiao, [0001]). With respect to claim 30, Shrivastava teaches A method of wireless communication performed by a network node (fig. 8, [0096], network node), comprising: outputting or configuring signaling to operate a user equipment (UE) in a radio resource control (RRC) inactive or idle state ([0040-0042], network node outputs or configures RRC signaling message to cause/operate UE to be inactive or idle state); and outputting or configuring a phase tracking reference signal (PTRS) configuration ([0040], network node outputs or configures a phase tracking reference signal (PTRS) configuration) and when the UE is operating in the RRC inactive or idle state ([0042], the UE configured to operate in the RRC Idle or Inactive mode). Although Shrivastava teaches outputting or configuring a phase tracking reference signal (PTRS) configuration as set forth above. Shrivastava does not explicitly teach outputting or configuring a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH). However, Xiao teaches outputting or configuring a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH) ([0012, 0023], gNB outputs or configures a phase tracking reference signal (PTRS) configuration for data transmission, wherein the data transmission is a physical downlink shared channel (PDSCH)). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Xiao, outputting or configuring a phase tracking reference signal (PTRS) configuration for a physical downlink shared channel (PDSCH), into the teachings of Shrivastava, in order to power boosting for DMRS and PTRS (Xiao, [0001]). Claims 3-4 and 6 are rejected under 35 U.S.C. 103 as being unpatentable over Shrivastava, in view of Xiao, and further in view of XIONG et al. (Pub. No.: US 20230224073 A1), hereinafter XIONG. With respect to claim 3, the combination of Shrivastava and Xiao teaches the UE of claim 1. The combination of Shrivastava and Xiao does not explicitly teach where the PTRS configuration is associated with a small data transmission (SDT) configuration for one or more of uplink. However, XIONG teaches where the PTRS configuration is associated with a small data transmission (SDT) configuration for one or more of uplink ([0144]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of XIONG, where the PTRS configuration is associated with a small data transmission (SDT) configuration for one or more of uplink, into the teachings of Shrivastava and Xiao, in order for enhancing uplink signal transmission (XIONG, abstract). With respect to claim 4, the combination of Shrivastava, Xiao, and XIONG teaches the UE of claim 3. Shrivastava teaches is transmitted via RRC signaling ([0042]). The combination of Shrivastava and Xiao does not explicitly teach the SDT configuration. However, XIONG teaches the SDT configuration ([0144]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of XIONG, the SDT configuration, into the teachings of Shrivastava and Xiao, in order for enhancing uplink signal transmission (XIONG, abstract). With respect to claim 6, the combination of Shrivastava and Xiao teaches the UE of claim 5. Shrivastava teaches UE group-specific procedures ([0033]). The combination of Shrivastava and Xiao does not explicitly teach a small data transmission (SDT) procedure. However, XIONG teaches a small data transmission (SDT) procedure ([0144]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of XIONG, a small data transmission (SDT) procedure, into the teachings of Shrivastava and Xiao, in order for enhancing uplink signal transmission (XIONG, abstract). Claims 7-12, 14, 22-23, and 28 are rejected under 35 U.S.C. 103 as being unpatentable over Shrivastava, in view of Xiao, and further in view of Stauffer et al. (Pub. No.: US 20190379509 A1), hereinafter Stauffer. With respect to claim 7, the combination of Shrivastava and Xiao teaches the UE of claim 1. Shrivastava teaches wherein the one or more processors are further configured to as set forth above. The combination of Shrivastava and Xiao does not explicitly teach transmit a request for the PTRS. However, Stauffer teaches transmit a request for the PTRS ([0049]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Stauffer, transmit a request for the PTRS, into the teachings of Shrivastava and Xiao, in order to improve reception by compensating for noise in received wireless signals using the phase-tracking reference signals (Stauffer, [0019]). With respect to claim 8, the combination of Shrivastava, Xiao, and Stauffer teaches the UE of claim 7. The combination of Shrivastava and Xiao does not explicitly teach wherein the request for the PTRS is transmitted through one or more of radio resource control signaling. However, Stauffer teaches wherein the request for the PTRS is transmitted through one or more of radio resource control signaling ([0049, 0052]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Stauffer, wherein the request for the PTRS is transmitted through one or more of radio resource control signaling, into the teachings of Shrivastava and Xiao, in order to improve reception by compensating for noise in received wireless signals using the phase-tracking reference signals (Stauffer, [0019]). With respect to claim 9, the combination of Shrivastava, Xiao, and Stauffer teaches the UE of claim 7. The combination of Shrivastava and Xiao does not explicitly teach wherein the request for the PTRS includes one of a request for the PTRS configuration. However, Stauffer teaches wherein the request for the PTRS includes one of a request for the PTRS configuration ([0019]), or a request to suspend availability of the PTRS([0019]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Stauffer, wherein the request for the PTRS includes one of a request for the PTRS configuration, into the teachings of Shrivastava and Xiao, in order to improve reception by compensating for noise in received wireless signals using the phase-tracking reference signals (Stauffer, [0019]). With respect to claim 10, the combination of Shrivastava, Xiao, and Stauffer teaches the UE of claim 7. The combination of Shrivastava and Xiao does not explicitly teach wherein the request for PTRS is indicated via UE assistance information. However, Stauffer teaches wherein the request for PTRS is indicated via UE assistance information ([0019]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Stauffer, wherein the request for PTRS is indicated via UE assistance information, into the teachings of Shrivastava and Xiao, in order to improve reception by compensating for noise in received wireless signals using the phase-tracking reference signals (Stauffer, [0019]). With respect to claim 11, the combination of Shrivastava, Xiao, and Stauffer teaches the UE of claim 7. The combination of Shrivastava and Xiao does not explicitly teach wherein the request for PTRS is indicated via uplink control information. However, Stauffer teaches wherein the request for PTRS is indicated via uplink control information ([0019]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Stauffer, wherein the request for PTRS is indicated via uplink control information, into the teachings of Shrivastava and Xiao, in order to improve reception by compensating for noise in received wireless signals using the phase-tracking reference signals (Stauffer, [0019]). With respect to claim 12, the combination of Shrivastava, Xiao, and Stauffer teaches the UE of claim 11. Shrivastava does not explicitly teach multiplexed with the PUSCH communication. However, Xiao teaches multiplexed with the PUSCH communication ([0020]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Xiao, multiplexed with the PUSCH communication, into the teachings of Shrivastava, , in order to power boosting for DMRS and PTRS (Xiao, [0001]). The combination of Shrivastava and Xiao does not explicitly teach wherein the request for PTRS is transmitted via uplink control information. However, Stauffer teaches wherein the request for PTRS is transmitted via uplink control information ([0019]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Stauffer, wherein the request for PTRS is transmitted via uplink control information, into the teachings of Shrivastava and Xiao, in order to improve reception by compensating for noise in received wireless signals using the phase-tracking reference signals (Stauffer, [0019]). With respect to claim 14, the combination of Shrivastava and Xiao teaches the UE of claim 1. Shrivastava teaches wherein the PTRS configuration is received via a system information block configured for one or more of positioning ([0040, 0042, 0045]). With respect to claim 22, this claim recites the UE of claim 7, and it is rejected for at least the same reasons. With respect to claim 23, this claim recites the UE of claim 8, and it is rejected for at least the same reasons. With respect to claim 28, this claim recites the UE of claim 7, and it is rejected for at least the same reasons. Claims 15, 24, and 29 are rejected under 35 U.S.C. 103 as being unpatentable over Shrivastava, in view of Xiao, and further in view of Zhou et al. (Pub. No.: US 20230337233 A1), hereinafter Zhou. With respect to claim 15, the combination of Shrivastava and Xiao teaches the UE of claim 1. Shrivastava teaches wherein the PTRS configuration ([0040]). The combination of Shrivastava and Xiao does not explicitly teach is based, at least in part, on a mapping pattern to time and frequency resources allocated for the PDSCH. However, Zhou teaches is based, at least in part, on a mapping pattern to time and frequency resources allocated for the PDSCH ([0369]). Therefore, it would have been obvious to one of the ordinary skills in the art before the effective filing data of the claimed invention to combine the teachings of Zhou, is based, at least in part, on a mapping pattern to time and frequency resources allocated for the PDSCH, into the teachings of Shrivastava and Xiao, in order improve system throughput and/or reduce power consumption of the wireless device (Zhou, [0306]). With respect to claim 24, this claim recites the UE of claim 15, and it is rejected for at least the same reasons. With respect to claim 29, this claim recites the UE of claim 15, and it is rejected for at least the same reasons. Allowable Subject Matter Claims 7, 13, 16-20, and 25-26 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Pub. No.: US 20220322399 A1; “Kim”, ([0420]) Any inquiry concerning this communication or earlier communications from the examiner should be directed to KIET TANG whose telephone number is (571)270-7193. The examiner can normally be reached on M-F 8:00-5:00. 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, IAN MOORE can be reached on (571) 272-3085. 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. /KIET TANG/ Primary Examiner, Art Unit 2469
Read full office action

Prosecution Timeline

Dec 27, 2023
Application Filed
Jan 02, 2026
Non-Final Rejection mailed — §103
Apr 02, 2026
Response Filed

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Prosecution Projections

1-2
Expected OA Rounds
90%
Grant Probability
99%
With Interview (+12.5%)
2y 6m (~1m remaining)
Median Time to Grant
Low
PTA Risk
Based on 793 resolved cases by this examiner. Grant probability derived from career allowance rate.

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