Prosecution Insights
Last updated: July 17, 2026
Application No. 18/414,390

TECHNOLOGIES FOR ASSOCIATING TRANSMISSION CONFIGURATION INDICATOR STATES WITH UPLINK AND DOWNLINK CHANNELS

Non-Final OA §102§103
Filed
Jan 16, 2024
Priority
Feb 16, 2023 — provisional 63/446,290
Examiner
VAN, JENKEY
Art Unit
2477
Tech Center
2400 — Computer Networks
Assignee
Apple Inc.
OA Round
1 (Non-Final)
78%
Grant Probability
Favorable
1-2
OA Rounds
6m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 78% — above average
78%
Career Allowance Rate
443 granted / 570 resolved
+19.7% vs TC avg
Strong +31% interview lift
Without
With
+30.8%
Interview Lift
resolved cases with interview
Typical timeline
3y 0m
Avg Prosecution
23 currently pending
Career history
594
Total Applications
across all art units

Statute-Specific Performance

§101
0.5%
-39.5% vs TC avg
§103
88.6%
+48.6% vs TC avg
§102
5.1%
-34.9% vs TC avg
§112
3.9%
-36.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 570 resolved cases

Office Action

§102 §103
CTNF 18/414,390 CTNF 85726 Notice of Pre-AIA or AIA Status 07-03-aia AIA 15-10-aia The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA. DETAILED ACTION Claims 21-40 have been examined and are pending. Information Disclosure Statement An initialed and dated copy of Applicant’s IDS form 1449 submitted 01/31/2024, 07/25/2024, 06/25/2025, 12/05/2025, 04/15/2026 is attached to the instant office action. The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. Election/Restrictions 08-25-01 AIA Applicant’s election without traverse of Claims 21-25 in the reply filed on 05/26/2026 is acknowledged. Claim Rejections - 35 USC § 102 07-07-aia AIA 07-07 The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – 07-08-aia AIA (a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention. 07-12-aia AIA (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. 07-15-aia AIA Claim(s) 21, 25, 26, 28, 32, 33, 35, 38, 39 is/are rejected under 35 U.S.C. 102 (a)(1) and 102(a)(2) as being anticipated by US 2022/0345272 A1 to Guo et al. (hereinafter “Guo”) Regarding Claim 21, Gao teaches A method comprising: receiving a physical uplink shared channel (PUSCH) configuration; (Figure 3 and [0110], discloses At step S1 of FIG. 3, the terminal device 100 receives a configuration of M (e.g. 64 or 128) TCI states. The TCI states will often be referred to in this application as uplink (UL) TCI states (as they can be used for PUSCH, which is an uplink transmission). In some embodiments, the configuration of M TCI states is received through an RRC parameter (e.g. the PUSCH-Config parameter) ( i.e. receiving a PUSCH configuration )) receiving, in a media access control (MAC) signal or downlink control information (DCI), an indication of two transmission configuration indicator (TCI) states, the two TCI states including a first TCI state and a second TCI state; ([0112], discloses At step S2, the terminal device 100 receives an activation command to activate K of the M UL TCI. For example, the activation command may activate K (e.g. a number between 1 and 8) of the M TCI states ( i.e. indication of two TCI states including first and second TCI states ) to codepoints of a UL TCI field of a DCI (e.g. a “UL Transmission Configuration Indication” field of the DCI). In some embodiments, the activation command is received through a layer higher than the physical layer, but lower than the layer used to receive the M UL TCI states. In some embodiments, the activation command is received on the MAC layer, e.g. through a MAC CE command (i.e. receiving a MAC signal) . For example, the MAC CE may include the UL TCI State IDs of the K TCI states to be activated) receiving DCI format 0_0 associated with the PUSCH configuration; (Figure 3 and [0116], discloses At step S3, the terminal device 100 receives the DCI to schedule a PUSCH transmission (i.e. in DCI format that schedules PUSCH, e.g. DCI Format 0_0 or 0_1), the DCI indicating a selected TCI state among the K TCI states) and outputting, based on the DCI format 0_0 and the PUSCH configuration, a PUSCH transmission using a single TCI state selected from the first TCI state and the second TCI state. (Figure 3 and [0118], discloses At step S4, the terminal device 100 determines a transmission beam (i.e., spatial domain transmission filter) using the selected TCI state (i.e. based on the DCI format 0_0 indicating the selected TCI state), and then transmits on the granted PUSCH according to the determined transmission beam ( i.e. outputting a PUSCH transmission using a single selected TCI state ). [0119], further discloses The terminal device 100 may transmit a signal on the granted PUSCH with the uplink transmit beam (i.e., spatial domain transmission filter), precoders (when using codebook based transmission) and uplink transmit power according the configuration carried in the indicated TCI state (i.e. based on the PUSCH configuration). Regarding Claim 25, Guo further teaches The method of claim 21, wherein the PUSCH configuration is a configured-grant (CG)PUSCH configuration and the PUSCH transmission is a CG PUSCH transmission. ([0116], discloses the DCI may activate a previously configured grant for a PUSCH transmission (e.g. a configured grant Type 2)) Regarding Claim 26, Guo further teaches The method of claim 25, wherein the CG PUSCH transmission is a type-2 CG PUSCH transmission and the DCI format 0_0 is to activate the type-2 CG PUSCH transmission. ([0116], discloses At step S3, the terminal device 100 receives the DCI to schedule a PUSCH transmission (i.e. in DCI format that schedules PUSCH, e.g. DCI Format 0_0 or 0_1). The DCI may activate a previously configured grant for a PUSCH transmission (e.g. a configured grant Type 2)) Regarding Claim 28, Guo teaches An apparatus comprising: (Figure 2, illustrates terminal device 100) interface circuitry; and processing circuitry coupled with the interface circuitry, the processing circuitry to: (Figure 2 and [0106], discloses terminal device 100 with communication unit 110 and processing unit 120) receive, via the interface circuitry, a physical uplink shared channel (PUSCH) configuration; ; (Figure 3 and [0110], discloses At step S1 of FIG. 3, the terminal device 100 receives a configuration of M (e.g. 64 or 128) TCI states. The TCI states will often be referred to in this application as uplink (UL) TCI states (as they can be used for PUSCH, which is an uplink transmission). In some embodiments, the configuration of M TCI states is received through an RRC parameter (e.g. the PUSCH-Config parameter) ( i.e. receiving a PUSCH configuration )) receive, in a media access control (MAC) signal or downlink control information (DCI), an indication of two transmission configuration indicator (TCI) states,the two TCI states including a first TCI state and a second TCI state; ([0112], discloses At step S2, the terminal device 100 receives an activation command to activate K of the M UL TCI. For example, the activation command may activate K (e.g. a number between 1 and 8) of the M TCI states ( i.e. indication of two TCI states including first and second TCI states ) to codepoints of a UL TCI field of a DCI (e.g. a “UL Transmission Configuration Indication” field of the DCI). In some embodiments, the activation command is received through a layer higher than the physical layer, but lower than the layer used to receive the M UL TCI states. In some embodiments, the activation command is received on the MAC layer, e.g. through a MAC CE command (i.e. receiving a MAC signal) . For example, the MAC CE may include the UL TCI State IDs of the K TCI states to be activated) receive DCI format 0_0 associated with the PUSCH configuration; and (Figure 3 and [0116], discloses At step S3, the terminal device 100 receives the DCI to schedule a PUSCH transmission (i.e. in DCI format that schedules PUSCH, e.g. DCI Format 0_0 or 0_1), the DCI indicating a selected TCI state among the K TCI states) output, based on the DCI format 0_0 and the PUSCH configuration, a PUSCH transmission using a single TCI state selected from the first TCI state and the second TCI state. (Figure 3 and [0118], discloses At step S4, the terminal device 100 determines a transmission beam (i.e., spatial domain transmission filter) using the selected TCI state (i.e. based on the DCI format 0_0 indicating the selected TCI state), and then transmits on the granted PUSCH according to the determined transmission beam ( i.e. outputting a PUSCH transmission using a single selected TCI state ). [0119], further discloses The terminal device 100 may transmit a signal on the granted PUSCH with the uplink transmit beam (i.e., spatial domain transmission filter), precoders (when using codebook based transmission) and uplink transmit power according the configuration carried in the indicated TCI state (i.e. based on the PUSCH configuration). Claims 32 and 33 are rejected for having the same limitations as claims 25 and 26, respectively, except the claims are in apparatus format. Regarding Claim 35, Guo teaches A method comprising: generating, for transmission to a user equipment (UE), a physical uplink shared channel (PUSCH) configuration; (Figure 3 and [0110], discloses At step S1 of FIG. 3, the terminal device 100 receives a configuration of M (e.g. 64 or 128) TCI states. The TCI states will often be referred to in this application as uplink (UL) TCI states (as they can be used for PUSCH, which is an uplink transmission). In some embodiments, the configuration of M TCI states is received through an RRC parameter (e.g. the PUSCH-Config parameter) ( i.e. generated PUSCH configuration )) generating, for transmission to the UE, a media access control (MAC) signal or downlink control information (DCI) with an indication of two transmission configuration indicator (TCI) states, the two TCI states including a first TCI state and a second TCI state; ([0112], discloses At step S2, the terminal device 100 receives an activation command to activate K of the M UL TCI. For example, the activation command may activate K (e.g. a number between 1 and 8) of the M TCI states ( i.e. indication of two TCI states including first and second TCI states ) to codepoints of a UL TCI field of a DCI (e.g. a “UL Transmission Configuration Indication” field of the DCI). In some embodiments, the activation command is received through a layer higher than the physical layer, but lower than the layer used to receive the M UL TCI states. In some embodiments, the activation command is received on the MAC layer, e.g. through a MAC CE command (i.e. generating a MAC signal) . For example, the MAC CE may include the UL TCI State IDs of the K TCI states to be activated) generating, for transmission to the UE, DCI format 0_0 associated with the PUSCH configuration; and (Figure 3 and [0116], discloses At step S3, the terminal device 100 receives the DCI to schedule a PUSCH transmission (i.e. in DCI format that schedules PUSCH, e.g. DCI Format 0_0 or 0_1), the DCI indicating a selected TCI state among the K TCI states) receiving a PUSCH transmission based on the DCI format 0_0 and the PUSCH configuration, wherein the PUSCH transmission uses a single TCI state selected from the first TCI state and the second TCI state. (Figure 3 and [0118], discloses At step S4, the terminal device 100 determines a transmission beam (i.e., spatial domain transmission filter) using the selected TCI state (i.e. based on the DCI format 0_0 indicating the selected TCI state), and then transmits on the granted PUSCH according to the determined transmission beam ( i.e. outputting a PUSCH transmission using a single selected TCI state ). [0119], further discloses The terminal device 100 may transmit a signal on the granted PUSCH with the uplink transmit beam (i.e., spatial domain transmission filter), precoders (when using codebook based transmission) and uplink transmit power according the configuration carried in the indicated TCI state (i.e. based on the PUSCH configuration). Claims 38, 39 are rejected for having the same limitations as claims 25 and 26, respectively, except the claims are in method format in the base station perspective . Claim Rejections - 35 USC § 103 07-20-aia AIA 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, 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. 07-23-aia AIA The factual inquiries 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. 07-21-aia AIA Claim (s) 22, 29 is/are rejected under 35 U.S.C. 103 as being unpatentable over Guo in view of US 2025/0071765 A1 to Ling et al. (hereinafter “Ling”) Regarding Claim 22, Guo teaches the method of claim 21, further comprising: Guo does not explicitly teach selecting the first TCI state as the single TCI state based on a preconfigured setting. However, in a similar field of endeavor, Ling discloses in [0080], In some examples, the MAC CE 400 may activate multiple TCI codepoints, and each TCI codepoint is mapped with two common TCI states 411 and 412. The Downlink Control Information (DCI) comprises a Transmission Configuration Indication (TCI) field that indicates a TCI codepoint where two common TCI states are mapped. [0085]-[0087], In a first case, SFN scheme is not configured in PUSCH-Config. When two joint or UL common TCI states are applicable in the transmission occasion of a PUSCH scheduled or activated by DCI format 0_0, the first joint or UL common TCI states indicated in a TCI codepoint of a DCI, or the first joint or UL common TCI states activated in a MAC CE which only activates one codepoint mapping to two common TCI states, which indicates the two joint or UL common TCI states is used for the transmission of the PUSCH. In this solution (which may be referred to as solution 1), only the first joint or UL common TCI state is determined for the PUSCH scheduled or activated by DCI format 0_0. (i.e. based on a preconfigured setting). [0007], also discloses Conventionally, PUSCH scheduled or activated by DCI format 0_0 may only be transmitted with one beam which is the beam of a PUCCH resource with the lowest ID. Therefore, 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 teachings of Guo to include the above limitations as suggested by Ling, thus allowing for improved reliability and robustness for multi-TRP/panel transmission as indicated in [0006] of Ling. Claim 29 is rejected for having the same limitations as claim 22, except the claim is in apparatus format . 07-21-aia AIA Claim (s) 23-24, 27, 30, 31, 34, 36, 37, 40 is/are rejected under 35 U.S.C. 103 as being unpatentable over Guo in view of US 2023/0045623 A1 to Chen et al. (hereinafter “Chen”) Regarding Claim 23, Guo teaches The method of claim 21, wherein Guo does not explicitly teach the PUSCH configuration includes a first set of power control parameters associated with a first sounding reference signal (SRS) resource set and a second set of power control parameters associated with a second SRS resource set. However, in a similar field of endeavor, Chen discloses in [0005], discloses receiving control signaling indicating a first sounding reference signal (SRS) resource set associated with a first set of power control parameters and a second SRS resource set associated with a second set of power control parameters, the first set of power control parameters and the second set of power control parameters for transmissions in a configured grant configuration. Therefore, 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 teachings of Guo to include the above limitations as suggested by Chen, to provide enhanced power control operations for CG uplink transmissions and retransmissions as well as greater reliability and robustness for both CG-PUSCH transmissions and PUCCH transmissions in some deployments, including mTRP deployments as indicated in [0024] of Chen. Regarding Claim 24, Guo/Chen teaches The method of claim 23, wherein Chen further teaches the first set of power control parameters includes a first p0-PUSCH-alpha value and a first power-control-loop-to-use value ([0069], discloses For example, the ConfiguredGrantConfig parameter (which the base station 105-a may include within the CG configuration 205) may include a p0-PUSCH Alpha parameter (which may configure the P0 value and the alpha value) and may include apowerControlLoopToUse parameter (which may configure the closed loop index value)) and the second set of power control parameters includes a second p0-PUSCH-alpha value and a second power-control-loop-to-use value. ([0082], discloses the base station 105-a may include a second pathlossReferenceIndex parameter, a second srs-ResourceIndicator parameter, and a second precodingAndNumberOfLayers parameter in the rrc-ConfiguredUplinkGrant parameter and may include a second p0-PUSCH Alpha parameter and a second powerControlLoopToUse parameter in the ConfiguredGrantConfig parameter.) Examiner maintains same motivation to combine as indicated in Claim 23 above. Regarding Claim 27, Guo teaches The method of claim 25, wherein Guo does not explicitly teach the CG PUSCH is a retransmission of a type-1 or type-2 CG PUSCH and the DCI format 0_0 schedules the retransmission. However, in a similar field of endeavor, Chen discloses in [0021], a base station may configure the UE with either a Type 1 CG (such as a radio resource control (RRC) activated grant) or a Type 2 CG (such as a downlink control information (DCI) activated grant)… a DCI message either activating a CG-PUSCH transmission or scheduling a retransmission for a CG-PUSCH transmission… the base station may transmit the DCI message using a particular DCI format, such as DCI format 0_0. Therefore, 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 teachings of Guo to include the above limitations as suggested by Chen, to provide enhanced power control operations for CG uplink transmissions and retransmissions as well as greater reliability and robustness for both CG-PUSCH transmissions and PUCCH transmissions in some deployments, including mTRP deployments as indicated in [0024] of Chen. Claims 30, 31, 34 are rejected for having the same limitations as claims 23, 24, 27, respectively, except the claims are in apparatus format. Claims 36, 37, 40 are rejected for having the same limitations as claims 23, 24, 27, respectively, except the claims are in method format in the base station perspective. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to JENKEY VAN whose telephone number is (571)270-7160. The examiner can normally be reached Monday - Friday 9am - 5pm. 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, Chirag Shah can be reached at (571)272-3144. 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. /JENKEY VAN/Primary Examiner, Art Unit 2477 Application/Control Number: 18/414,390 Page 2 Art Unit: 2477 Application/Control Number: 18/414,390 Page 3 Art Unit: 2477 Application/Control Number: 18/414,390 Page 4 Art Unit: 2477 Application/Control Number: 18/414,390 Page 5 Art Unit: 2477 Application/Control Number: 18/414,390 Page 6 Art Unit: 2477 Application/Control Number: 18/414,390 Page 7 Art Unit: 2477 Application/Control Number: 18/414,390 Page 8 Art Unit: 2477 Application/Control Number: 18/414,390 Page 9 Art Unit: 2477 Application/Control Number: 18/414,390 Page 10 Art Unit: 2477 Application/Control Number: 18/414,390 Page 11 Art Unit: 2477 Application/Control Number: 18/414,390 Page 12 Art Unit: 2477
Read full office action

Prosecution Timeline

Jan 16, 2024
Application Filed
Mar 16, 2026
Response after Non-Final Action
Jun 15, 2026
Non-Final Rejection mailed — §102, §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
78%
Grant Probability
99%
With Interview (+30.8%)
3y 0m (~6m remaining)
Median Time to Grant
Low
PTA Risk
Based on 570 resolved cases by this examiner. Grant probability derived from career allowance rate.

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