Prosecution Insights
Last updated: August 17, 2026
Application No. 18/477,210

COMMUNICATION METHOD AND APPARATUS

Non-Final OA §102§103
Filed
Sep 28, 2023
Priority
Apr 02, 2021 — CN 202110362384.1 +1 more
Examiner
JIANG, CHARLES C
Art Unit
2400
Tech Center
2400 — Computer Networks
Assignee
Huawei Technologies Co., Ltd.
OA Round
2 (Non-Final)
75%
Grant Probability
Favorable
2-3
OA Rounds
4m
Est. Remaining
95%
With Interview

Examiner Intelligence

Grants 75% — above average
75%
Career Allowance Rate
215 granted / 286 resolved
+17.2% vs TC avg
Strong +20% interview lift
Without
With
+19.6%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
14 currently pending
Career history
306
Total Applications
across all art units

Statute-Specific Performance

§101
12.1%
-27.9% vs TC avg
§103
47.5%
+7.5% vs TC avg
§102
17.1%
-22.9% vs TC avg
§112
19.9%
-20.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 286 resolved cases

Office Action

§102 §103
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 Status of Case This communication is in response to the filing of Application 18/477,210 by Zhang et al. for “COMMUNICATION METHOD AND APPARATUS”, filed on 09/28/2023. Per the 09/28/2023 Claim amendments, claims 1-20 are cancelled and claims 21-40 are newly pending. Therefore claims 21-40 now pending. The independent claims are 21, 29, 31 and 39. Specification The disclosure is objected to because of the following informalities: The title of the invention is not descriptive. A new title is required that is clearly indicative of the invention to which the claims are directed. Appropriate correction is required. 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)(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 21-23, 25-33 and 35-40 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by GAAL et al. (US20240039672A1), hereinafter GAAL. Regarding claim 21, GAAL teaches A communication method comprising: sending, by a terminal, first information to a network device on a first carrier, (GAAL, Fig. 6, step 610, paragraphs 169-170, teach sending, by UE (i.e. terminal), capability information to BS (i.e. network device) on a first carrier.) wherein the first information triggers measurement on at least one second carrier or at least one beam of the at least one second carrier; (GAAL, Fig. 6, step 620, paragraphs 171-174, 177, teach that based on the capability information, triggering configuration information indicating carrier switching/rules which corresponds to triggering measurement on at least one second carrier because the UE will perform transmission on at least one second carrier based on the configuration information.) and after sending the first information, sending or receiving, by the terminal, a reference signal on the at least one second carrier or the at least one beam. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach that, after sending the capability information in step 610, sending or receiving, by the UE, a SRS transmission (i.e. reference signal) on at least one second carrier during a specified time.) Regarding claim 22, GAAL teaches the method according to claim 21, wherein: the first carrier and the at least one second carrier belong to a same cell; the first carrier and the at least one second carrier are time-frequency synchronized; or the first carrier and the at least one second carrier are time-frequency synchronized and the first carrier and the at least one second carrier belong to a same cell. (GAAL, paragraph 191, teaches carriers belonging to a same serving cell and a second carrier as synchronized during specified times and frequencies.) Regarding claim 23, GAAL teaches the method according to claim 21, wherein the terminal and the network device establishes time-frequency synchronization with the first carrier, and terminal and the network device perform data transmission with the at least one second carrier. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach establishing time-frequency synchronization with the first carrier, and terminal and the network device perform data transmission with the at least one second carrier.) Regarding claim 25, GAAL teaches the method according to claim 21, wherein the method further comprises: receiving, by the terminal, configuration information of the reference signal, wherein the configuration information of the reference signal indicates at least one type of reference signal, a reference signal on the at least one second carrier, or at least one measurement time period of the reference signal. (GAAL, Fig. 6, step 620, paragraphs 171-174, 177, teach receiving configuration information indicating carrier switching/rules.) Regarding claim 26, GAAL teaches the method according to claim 25, wherein the method further comprises: receiving, by the terminal, first indication information, wherein the first indication information indicates that the configuration information of the reference signal takes effect; or receiving, by the terminal, second indication information, wherein the second indication information indicates that the configuration information of the reference signal does not take effect. (GAAL, Fig. 7, steps 740, 750, paragraphs 190-191, teach suspending transmission on a specified carrier based on in part on the capability information.) Regarding claim 27, GAAL teaches the method according to claim 26, wherein the first indication information further indicates that a communication mode in which synchronization measurement is decoupled from data transmission is used. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach transmitting the reference signal and data on different carriers (i.e. decoupling.)) Regarding claim 28, GAAL teaches the method according to claim 21, wherein the method further comprises: sending, by the terminal, second information to the network device, wherein the second information indicates the terminal to stop sending or receiving the reference signal on the at least one second carrier or the at least one beam of the at least one second carrier; or receiving, by the terminal, third information from the network device, wherein the third information indicates the terminal to stop sending or receiving the reference signal on the at least one second carrier or the at least one beam of the at least one second carrier. (GAAL, Fig. 7, steps 740, 750, paragraphs 190-191, teach suspending (i.e. stop sending or receiving) the reference signal on at least one carrier.) Regarding claim 29, GAAL teaches A communication method comprising: receiving, by a network device, first information from a terminal on a first carrier, (GAAL, Fig. 6, step 610, paragraphs 169-170, teach sending, by UE (i.e. terminal), capability information received by a BS (i.e. network device) on a first carrier.) wherein the first information triggers measurement on at least one second carrier or at least one beam of the at least one second carrier; (GAAL, Fig. 6, step 620, paragraphs 171-174, 177, teach that based on the capability information, triggering configuration information indicating carrier switching/rules which corresponds to triggering measurement on at least one second carrier because the UE will perform transmission on at least one second carrier based on the configuration information.) and after receiving the first information, receiving or sending, by the network device, a reference signal on the at least one second carrier or the at least one beam. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach that, after sending the capability information in step 610, sending or receiving, by the UE, a SRS transmission (i.e. reference signal) on at least one second carrier during a specified time.) Regarding claim 30, GAAL teaches the method according to claim 29, wherein: the first carrier and the at least one second carrier belong to a same cell; the first carrier and the at least one second carrier are time-frequency synchronized; or the first carrier and the at least one second carrier are time-frequency synchronized and the first carrier and the at least one second carrier belong to a same cell. (GAAL, paragraph 191, teaches carriers belonging to a same serving cell and a second carrier as synchronized during specified times and frequencies.) Regarding claim 31, GAAL teaches an apparatus, comprising: one or more processors; a non-transitory computer-readable storage medium storing a program to be executed by the one or more processors, the program including instructions to: (GAAL, Fig. 10, paragraphs 228-229, teach apparatus 1000 comprising one or processors and non-transitory computer readable storage medium to be executed by the one or more processors.) send first information to a network device on a first carrier, (GAAL, Fig. 6, step 610, paragraphs 169-170, teach sending, by UE (i.e. terminal), capability information to BS (i.e. network device) on a first carrier.) wherein the first information triggers measurement on at least one second carrier or at least one beam of the at least one second carrier; (GAAL, Fig. 6, step 620, paragraphs 171-174, 177, teach that based on the capability information, triggering configuration information indicating carrier switching/rules which corresponds to triggering measurement on at least one second carrier because the UE will perform transmission on at least one second carrier based on the configuration information.) and after sending the first information, send or receive a reference signal on the at least one second carrier or the at least one beam. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach that, after sending the capability information in step 610, sending or receiving, by the UE, a SRS transmission (i.e. reference signal) on at least one second carrier during a specified time.) Regarding claim 32, GAAL teaches the apparatus according to claim 31, wherein: the first carrier and the at least one second carrier belong to a same cell; the first carrier and the at least one second carrier are time-frequency synchronized; or the first carrier and the at least one second carrier are time-frequency synchronized and the first carrier and the at least one second carrier belong to a same cell. (GAAL, paragraph 191, teaches carriers belonging to a same serving cell and a second carrier as synchronized during specified times and frequencies.) Regarding claim 33, GAAL teaches the apparatus according to claim 31, wherein a terminal and the network device establishes time-frequency synchronization with the first carrier, and the terminal and the network device to perform data transmission with the at least one second carrier. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach establishing time-frequency synchronization with the first carrier, and terminal and the network device perform data transmission with the at least one second carrier.) Regarding claim 35, GAAL teaches the apparatus according to claim 31, wherein the program include further instructions to: receive configuration information of the reference signal, wherein the configuration information of the reference signal indicates at least one type of reference signal, a reference signal on the at least one second carrier, or at least one measurement time period of the reference signal. (GAAL, Fig. 6, step 620, paragraphs 171-174, 177, teach receiving configuration information indicating carrier switching/rules.) Regarding claim 36, GAAL teaches the apparatus according to claim 35, wherein the program include further instructions to: receive first indication information, wherein the first indication information indicates that the configuration information of the reference signal takes effect; or receive second indication information, wherein the second indication information indicates that the configuration information of the reference signal does not take effect. (GAAL, Fig. 7, steps 740, 750, paragraphs 190-191, teach suspending transmission on a specified carrier based on in part on the capability information.) Regarding claim 37, GAAL teaches the apparatus according to claim 36, wherein the first indication information further indicates that a communication mode in which synchronization measurement is decoupled from data transmission is used. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach transmitting the reference signal and data on different carriers (i.e. decoupling.)) Regarding claim 38, GAAL teaches the apparatus according to claim 31, wherein the program include further instructions to: send second information to the network device, wherein the second information indicates a terminal to stop sending or receiving the reference signal on the at least one second carrier or the at least one beam of the at least one second carrier; or receive third information from the network device, wherein the third information indicates a terminal to stop sending or receiving the reference signal on the at least one second carrier or the at least one beam of the at least one second carrier. (GAAL, Fig. 7, steps 740, 750, paragraphs 190-191, teach suspending (i.e. stop sending or receiving) the reference signal on at least one carrier.) Regarding claim 39, GAAL teaches an apparatus, comprising: one or more processors; a non-transitory computer-readable storage medium storing a program to be executed by the one or more processors, the program including instructions to: (GAAL, Fig. 11, paragraphs 234-235, teach apparatus 1100 comprising one or processors and non-transitory computer readable storage medium to be executed by the one or more processors.) receive first information from a terminal on a first carrier, (GAAL, Fig. 6, step 610, paragraphs 169-170, teach sending, by UE (i.e. terminal), capability information received by a BS (i.e. network device) on a first carrier.) wherein the first information triggers measurement on at least one second carrier or at least one beam of the at least one second carrier; (GAAL, Fig. 6, step 620, paragraphs 171-174, 177, teach that based on the capability information, triggering configuration information indicating carrier switching/rules which corresponds to triggering measurement on at least one second carrier because the UE will perform transmission on at least one second carrier based on the configuration information.) and after receiving the first information, receive or send a reference signal on the at least one second carrier or the at least one beam. (GAAL, Fig. 6, steps 630, 640, paragraphs 178-180, teach that, after sending the capability information in step 610, sending or receiving, by the UE, a SRS transmission (i.e. reference signal) on at least one second carrier during a specified time.) Regarding claim 40, GAAL teaches the apparatus according to claim 39, wherein: the first carrier and the at least one second carrier belong to a same cell; the first carrier and the at least one second carrier are time-frequency synchronized; or the first carrier and the at least one second carrier are time-frequency synchronized and the first carrier and the at least one second carrier belong to a same cell. (GAAL, paragraph 191, teaches carriers belonging to a same serving cell and a second carrier as synchronized during specified times and frequencies.) 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, 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. Claims 24 and 34 are rejected under 35 U.S.C. 103 as being unpatentable over GAAL et al. (US20240039672A1), hereinafter GAAL, in view of SHEN et al. (US20200367107A1), hereinafter SHEN. Regarding claim 24, although GAAL teaches all the limitations with respect to claim 21 above, GAAL does describe wherein the first information or a resource transmitting the first information meets: the first information or the resource that transmits the first information corresponds to the at least one second carrier; the first information or the resource that transmits the first information corresponds to the at least one beam; the first information or the resource that transmits the first information corresponds to a frequency band in which the second carrier is located; the first information or the resource that transmits the first information corresponds to a level to which a size of a buffer status report of to-be-sent data belongs; or the first information or the resource that transmits the first information corresponds to a service feature of to-be-sent data. SHEN in the same field of endeavor teaches wherein the first information or a resource transmitting the first information meets: the first information or the resource that transmits the first information corresponds to the at least one second carrier; the first information or the resource that transmits the first information corresponds to the at least one beam; the first information or the resource that transmits the first information corresponds to a frequency band in which the second carrier is located; the first information or the resource that transmits the first information corresponds to a level to which a size of a buffer status report of to-be-sent data belongs; or the first information or the resource that transmits the first information corresponds to a service feature of to-be-sent data. (SHEN, Fig. 2, step 202, paragraph 109, teach determining whether the first downlink BWP, the first uplink BWP, the second downlink BWP and the second uplink BWP are simultaneously activatable, if the first downlink BWP, the first uplink BWP, the second downlink BWP and the second uplink BWP are simultaneously activatable, the terminal maintains the first downlink BWP and the first uplink BWP in an activated state while activating the second downlink BWP and the second uplink BWP.) Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to combine the teachings of SHEN with the teachings of GAAL to configure the first information or the resource that transmits the first information corresponds to the at least one second carrier; the first information or the resource that transmits the first information corresponds to the at least one beam; the first information or the resource that transmits the first information corresponds to a frequency band in which the second carrier is located; the first information or the resource that transmits the first information corresponds to a level to which a size of a buffer status report of to-be-sent data belongs; or the first information or the resource that transmits the first information corresponds to a service feature of to-be-sent data. The motivation would be to support simultaneous transmission of multiple types of services, and improving scheduling flexibility and spectrum utilization of the system (SHEN, paragraph 142). Regarding claim 34, although GAAL teaches all the limitations with respect to claim 31 above, GAAL does describe wherein the first information or a resource transmitting the first information meets: the first information or the resource used to transmit the first information corresponds to the at least one second carrier; the first information or the resource used to transmit the first information corresponds to the at least one beam; the first information or the resource used to transmit the first information corresponds to a frequency band in which the second carrier is located; the first information or the resource used to transmit the first information corresponds to a level to which a size of a buffer status report of to-be-sent data belongs; or the first information or the resource used to transmit the first information corresponds to a service feature of to-be-sent data. SHEN in the same field of endeavor teaches wherein the first information or a resource transmitting the first information meets: the first information or the resource used to transmit the first information corresponds to the at least one second carrier; the first information or the resource used to transmit the first information corresponds to the at least one beam; the first information or the resource used to transmit the first information corresponds to a frequency band in which the second carrier is located; the first information or the resource used to transmit the first information corresponds to a level to which a size of a buffer status report of to-be-sent data belongs; or the first information or the resource used to transmit the first information corresponds to a service feature of to-be-sent data. (SHEN, Fig. 2, step 202, paragraph 109, teach determining whether the first downlink BWP, the first uplink BWP, the second downlink BWP and the second uplink BWP are simultaneously activatable, if the first downlink BWP, the first uplink BWP, the second downlink BWP and the second uplink BWP are simultaneously activatable, the terminal maintains the first downlink BWP and the first uplink BWP in an activated state while activating the second downlink BWP and the second uplink BWP.) Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to combine the teachings of SHEN with the teachings of GAAL to configure the first information or the resource that transmits the first information corresponds to the at least one second carrier; the first information or the resource that transmits the first information corresponds to the at least one beam; the first information or the resource that transmits the first information corresponds to a frequency band in which the second carrier is located; the first information or the resource that transmits the first information corresponds to a level to which a size of a buffer status report of to-be-sent data belongs; or the first information or the resource that transmits the first information corresponds to a service feature of to-be-sent data. The motivation would be to support simultaneous transmission of multiple types of services, and improving scheduling flexibility and spectrum utilization of the system (SHEN, paragraph 142). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to WALLI Z BUTT whose telephone number is (571)272-5822. The examiner can normally be reached on 9:00 AM - 5.30 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, CHARLES JIANG can be reached on 571-270-7191. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of an application may be obtained from the Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from either Private PAIR or Public PAIR. Status information for unpublished applications is available through Private PAIR only. For more information about the PAIR system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative or access to the automated information system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /WALLI Z BUTT/Examiner, Art Unit 2412
Read full office action

Prosecution Timeline

Sep 28, 2023
Application Filed
Nov 14, 2023
Response after Non-Final Action
Dec 17, 2025
Non-Final Rejection mailed — §102, §103
Mar 02, 2026
Response Filed
May 08, 2026
Final Rejection mailed — §102, §103
Aug 07, 2026
Response after Non-Final Action

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Prosecution Projections

2-3
Expected OA Rounds
75%
Grant Probability
95%
With Interview (+19.6%)
3y 2m (~4m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 286 resolved cases by this examiner. Grant probability derived from career allowance rate.

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