Prosecution Insights
Last updated: April 19, 2026
Application No. 18/422,350

DEVICES AND METHOD FOR CONFIGURATION OF A USER DEVICE DURING SMALL DATA TRANSMISSION

Non-Final OA §102
Filed
Jan 25, 2024
Examiner
DOUGLAS, MICHELE CAMILLE
Art Unit
2646
Tech Center
2600 — Communications
Assignee
Huawei Technologies Co., Ltd.
OA Round
1 (Non-Final)
100%
Grant Probability
Favorable
1-2
OA Rounds
3y 4m
To Grant
99%
With Interview

Examiner Intelligence

Grants 100% — above average
100%
Career Allow Rate
5 granted / 5 resolved
+38.0% vs TC avg
Minimal +0% lift
Without
With
+0.0%
Interview Lift
resolved cases with interview
Typical timeline
3y 4m
Avg Prosecution
32 currently pending
Career history
37
Total Applications
across all art units

Statute-Specific Performance

§101
2.9%
-37.1% vs TC avg
§103
37.9%
-2.1% vs TC avg
§102
49.3%
+9.3% vs TC avg
§112
8.6%
-31.4% vs TC avg
Black line = Tech Center average estimate • Based on career data from 5 resolved cases

Office Action

§102
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 . Information Disclosure Statement The information disclosure statement submitted on 10/02/2024 and 01/27/2025, have been considered by the examiner and made of record in the application file. Drawing Objections The drawings containing Figure 1-3 are objected to as failing to comply with 37 CFR 1.84(l) because the drawings are blurry and unreadable. Claim Rejections - 35 USC § 102 In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status. 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 – (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. (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. Claims 1-16 are rejected under U.S.C. 102(a)(1) as being anticipated by SIVAVAKEESAR et al. (US 2020/0037285 A1, hereinafter SIVAVAKEESAR). Consider Claim 1, SIVAVAKEESAR discloses a network device configured to operate as a source node for a user device, wherein the user device is handed over from the source node to a target node during an ongoing communication session in a communications network, wherein the source node is configured to transmit an indication to the target node, wherein the indication indicates that the source node being an anchor node for the user device during the ongoing communication session. (Paragraph 0013, the anchor base station is a base station responsible for storing UE Access Stratum (AS) context, caching the mobile device's user data (UE context) and for providing the user data to other base stations as needed while terminating S1.The anchor base station may be the first (or previous) base station that the mobile device registered with in a particular tracking area). Consider Claim 2, SIVAVAKEESAR discloses the network device according to claim 1, wherein the source node is configured to generate the indication as a part of a retrieved user device context response message transmitted from the source node to the target node. (Paragraph 0013, when the mobile device attempts to resume its RRC connection via a different base station (within the same area), the new base station can contact the anchor base station and retrieve the UE context along with the cached user data based on information provided by the mobile device). Consider Claim 3, SIVAVAKEESAR discloses the network device according to claim 2, wherein the source node is configured to generate the indication as a Boolean flag within the retrieved user device context response message. (Paragraph 0122, for any base station 5 to be able to uniquely identify a particular UE and to determine as to where to fetch the associated context from, an appropriate identifier may be constructed using the RAN Routing Area ID/tracking area code (TAC) of the anchor base station 5b, an identifier of the base station itself (e.g. an eNB ID/gNB ID), and a random number (e.g. a binary number)). Consider Claim 4, SIVAVAKEESAR discloses the network device according to claim 2, wherein the source node is configured to generate the indication as a part of a downlink radio resource control (RRC) small data transmission (SDT) reconfiguration message within the retrieved user device context response message. (Paragraph 0142, a message requesting the base station to initiate forwarding of the received downlink data to another node (e.g. another base station or a gateway node). The received message requesting the base station to initiate forwarding may include information identifying a new base station serving the communication device (e.g. an eNB ID and/or a forwarding address/TEID). The controller(RRC) of the base station may be configured to control the transceiver to forward the downlink data to at least one of a new base station and a core network entity; based on said message requesting the base station to initiate forwarding). Consider Claim 5, SIVAVAKEESAR discloses the network device according to claim 4, wherein the radio resource control, RRC, SDT reconfiguration message comprising reserved or new inactive Radio Network Temporary Identifier, (I-RNTI) and next hop chaining counter (NCC) to be received by the user device via the target node. (Paragraph 0064, in order to facilitate swift resuming of an RRC connection for mobile devices 3 via a different based station (in this example, resuming the mobile device's connection via base station 5c and Cell #2), the base stations 5 of this system may also be configured to exchange information with each other relating to the mobile devices 3 (users) for which they act as an anchor base station. Paragraph 0065, Specifically, the base stations 5 (at least the ones which operate as anchor base stations) may be configured to provide, to their neighbor base station(s) over the X2 interface, information identifying any UE AS context, security data, suspended bearers at that particular base station 5, and/or the mobile devices 3 associated with such suspended hearers). Consider Claim 6, SIVAVAKEESAR discloses the network device according to claim 1, wherein the source node is configured to generate and transfer an RRC message or a non-access stratum (NAS) message as a part of a retrieved user device context response message to the target node during a SDT communication session. (Paragraph 0072, the UE state module 45 is responsible for managing an operating state of the mobile device 3 (e.g. by obtaining appropriate configuration (such as state transition timer(s), information identifying a RAN paging area) and information identifying UE location, cell information, etc.) and control the other modules (e.g., the RRC module 46 and the NAS module 49) according to the current operating state of the mobile device 3). Consider Claim 7, SIVAVAKEESAR discloses the network device according to claim 6, wherein the source node is configured to terminate the ongoing communication session based on receiving, from the user device assistance information or an indication that the SDT communication session is completed. (Paragraph 0107, this message prompts the anchor base station 5b to delete the UE context associated with the mobile device 3 (e.g. after transferring the UE context to the new base station 5c) and thus the new base station 5c becomes the new anchor base station for the mobile device 3. In step S516, the former anchor base station 5b confirms that the UE context release has been completed by generating and sending an appropriate S1 acknowledgement to the MME's 9 command). Consider Claim 8, SIVAVAKEESAR discloses the network device according to claim 1, wherein the source node is configured to terminate the ongoing communication session by generating a SDT RRC transfer message and transmitting the SDT RRC transfer message to the target node. (Paragraph 0101, after triggering the S1 based paging, the MME 9 waits for a response from the mobile device 3. In this example, as generally shown in step S509, the mobile device 3 responds to the Uu paging request by the new base station 5c by performing appropriate RRC and S1 connection setup procedures (via Cell #2). Typically, step S509 involves the mobile device 3 (using its NAS module 49) generating and sending an appropriately formatted handover request to the MME 9 (via the new base station 5c)). Consider Claim 9, SIVAVAKEESAR discloses the network device according to claim 8, wherein the SDT RRC transfer message comprises an RRC release message, wherein the RRC release message comprises a new NCC and I-RNTI for an additional SDT communication session. (Paragraph 0012, even though in the LC state the mobile device is seen as operating in idle mode from the radio access network's (base station's) point of view, it may still be seen as being connected from the core network's point of view. One of the benefits of this new LC state is that mobile devices (IoT devices in particular) that have small and infrequent data transmissions do not need to perform the entire RRC connection establishment procedure every time they have data to send (or receive). An LC state capable mobile device can be configured to resume its existing RRC connection with the current serving base station whenever needed and then return to a more power efficient mode of operation until it has data to send/receive again). Consider Claim 10, SIVAVAKEESAR discloses a network device configured to operate as a target node for a user device, wherein the user device is handed over from a source node to the target node during an ongoing communication session in a communications network, wherein the target node is configured to receive an indication from the source node that the source node will remain as being an anchor node of the ongoing communication session. (Paragraph 0013, the anchor base station is a base station responsible for storing UE Access Stratum (AS) context, caching the mobile device's user data (UE context) and for providing the user data to other base stations as needed while terminating S1.The anchor base station may be the first (or previous) base station that the mobile device registered with in a particular tracking area). Consider Claim 11, SIVAVAKEESAR discloses the network device according to claim 10, wherein the target node is configured to receive the indication as a part of a retrieve user device context response message transmitted from the source node to the target node. (Paragraph 0064, in order to facilitate swift resuming of an RRC connection for mobile devices 3 via a different based station (in this example, resuming the mobile device's connection via base station Sc and Cell #2), the base stations 5 of this system may also be configured to exchange information with each other relating to the mobile devices 3 (users) for which they act as an anchor base station). Consider Claim 12, SIVAVAKEESAR discloses the network device according to claim 11, wherein the target node is configured to forward the retrieve user device context response message, as received from the source node to the user device. (Paragraph 0103, the MME 9 sends the UE Context Release Command to the anchor base station 5b and includes information identifying the new base station 5c (e.g. an eNB ID/gNB ID) and information identifying an appropriate forwarding address for the new base station 5c (e.g. a tunnel endpoint identifier (TEID) and/or the like). The new base station 5c is thus able to trigger an appropriate procedure (e.g. by generating and sending a ‘Retrieve UE Context Request’ to the anchor base station 5b) in order to fetch the context relating to the mobile device 3 from the anchor base station 5b). Consider Claim 13, SIVAVAKEESAR discloses the network device according to claim 11, wherein the target node is configured to: receive an small data transmission (SDT) radio resource control (RRC) transfer message comprising an RRC release message, wherein the RRC release message comprises a new next hop chaining counter (NCC) and inactive Radio Network Temporary Identifier (I-RNTI) for an additional SDT communication session; and (Paragraph 0057, the mobile device 3 responds to the MME's paging request via the new base station 5c by performing appropriate RRC and S1 connection setup procedures (via the new base station 5c/Cell #2). This is possible when a new base station 5 does not know or understand as to how to locate the associated UE context using the UE identifier (e.g. Resume ID) received from the mobile device 3. The MME 9 registers Cell #2 as the mobile device's 3 new location). forward the RRC release message to the user device. (Paragraph 0058, the new base station 5c establishes a new RRC and S1 connection for the mobile device 3, the MME 9 is beneficially able to indicate to the new base station 5c that data forwarding from the old (anchor) base station 5b is to happen. In this example, the MME 9 requests data forwarding in its response to the anchor base station 5b (e.g. a ‘UE Context Release Response’ and/or the like)). Consider Claim 14, SIVAVAKEESAR discloses the network device according to claim 11, wherein the source node is configured to generate and transfer an RRC message or a non-access stratum (NAS} message as a part of a new interface message to the target node during a SDT communication session. (Paragraph 0101, after triggering the S1 based paging, the MME 9 waits for a response from the mobile device 3. In this example, as generally shown in step S509, the mobile device 3 responds to the Uu paging request by the new base station 5c by performing appropriate RRC and S1 connection setup procedures (via Cell #2). Typically, step S509 involves the mobile device 3 (using its NAS module 49) generating and sending an appropriately formatted handover request to the MME 9 (via the new base station 5c). Consider Claim 15, SIVAVAKEESAR discloses a user device configured to receive an indication from a target node when handing over from a source node to the target node during an ongoing communication session, wherein the indication indicates the source node being an anchor node of the ongoing communication session. (Paragraph 0013, the anchor base station is a base station responsible for storing UE Access Stratum (AS) context, caching the mobile device's user data (UE context) and for providing the user data to other base stations as needed while terminating S1.The anchor base station may be the first (or previous) base station that the mobile device registered with in a particular tracking area). Consider Claim 16, SIVAVAKEESAR discloses the user device according to claim 15, wherein the user device is configured to receive a radio resource control (RRC) small data transmission (SDT) reconfiguration message, wherein the RRC SDT reconfiguration message comprises reserved inactive Radio Network Temporary Identifier (I- RNTI) and reserved next hop chaining counter (NCC) values. (Paragraph 0064, in order to facilitate swift resuming of an RRC connection for mobile devices 3 via a different based station (in this example, resuming the mobile device's connection via base station 5c and Cell #2), the base stations 5 of this system may also be configured to exchange information with each other relating to the mobile devices 3 (users) for which they act as an anchor base station. Paragraph 0065, Specifically, the base stations 5 (at least the ones which operate as anchor base stations) may be configured to provide, to their neighbor base station(s) over the X2 interface, information identifying any UE AS context, security data, suspended bearers at that particular base station 5, and/or the mobile devices 3 associated with such suspended hearers). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to MICHELE CAMILLE DOUGLAS whose telephone number is (571)270-0458. The examiner can normally be reached Monday - Friday 6:30 am - 5:00 pm. 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, Matthew Anderson can be reached at 571-272-4177. 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. /MICHELE C DOUGLAS/Examiner, Art Unit 2646 /MATTHEW D. ANDERSON/Supervisory Patent Examiner, Art Unit 2646
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Prosecution Timeline

Jan 25, 2024
Application Filed
Feb 21, 2024
Response after Non-Final Action
Feb 06, 2026
Non-Final Rejection — §102 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12520265
DEVICE DETERMINING METHOD, ELECTRONIC DEVICE,AND COMPUTER-READABLE STORAGE MEDIUM
2y 5m to grant Granted Jan 06, 2026
Study what changed to get past this examiner. Based on 1 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
100%
Grant Probability
99%
With Interview (+0.0%)
3y 4m
Median Time to Grant
Low
PTA Risk
Based on 5 resolved cases by this examiner. Grant probability derived from career allow rate.

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