Prosecution Insights
Last updated: October 02, 2026
Application No. 18/851,344

METHODS AND APPARATUS FOR MOBILITY PROCEDURES FOR HIGHLY DIRECTIONAL SYSTEMS

Non-Final OA §102§103
Filed
Sep 26, 2024
Priority
Mar 29, 2022 — provisional 63/324,916 +1 more
Examiner
FANG, PAKEE
Art Unit
Tech Center
Assignee
New York University
OA Round
1 (Non-Final)
68%
Grant Probability
Favorable
1-2
OA Rounds
1y 0m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 68% — above average
68%
Career Allowance Rate
366 granted / 541 resolved
+7.7% vs TC avg
Strong +37% interview lift
Without
With
+36.9%
Interview Lift
resolved cases with interview
Typical timeline
3y 0m
Avg Prosecution
33 currently pending
Career history
583
Total Applications
across all art units

Statute-Specific Performance

§101
3.3%
-36.7% vs TC avg
§103
62.8%
+22.8% vs TC avg
§102
17.7%
-22.3% vs TC avg
§112
10.8%
-29.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 541 resolved cases

Office Action

§102 §103
DETAILED ACTION Response to Amendment The amendment filed on 09/26/2024 has been entered and considered by Examiner. Claims 1-4, 8-11, 14-19, 23-26 and 29-30 are presented for examination. Specification The title of the invention is objected for not being descriptive. A new title is required that is clearly indicative of the invention to which the claims are directed. Claim Rejections - 35 USC § 102 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. Claims 1-4, 8, 16-19, and 23 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Ye et al. (US Pub. 20210204346 A1). For claims 1 and 16, Ye discloses a method- implemented in a wireless transmit/receive unit (WTRU), the method comprising: Sending (paragraph 4, "The WTRU may determine a rotation state and send an indication of the determined rotation state.", indication of rotation state, implicitly disclosed that UE has the capability of determining it), to a network, information indicating a capability for determining WTRU orientations associated with receive beams (paragraph 120, "FIG. 6 is an example of tracking WTRU rotation states. In an example, an algorithm or state machine may be used, for example, when a WTRU may have a capability of detecting its rotational movement."; paragraph 127,"FIG. 7 is an example of a WTRU determining a beam for a beam failure recovery request message in a first WTRU rotational state (e.g., low rotational mode). In an example, a WTRU may attempt to use multiple (e.g., all) possible candidate beams, which may result in wider beams, to send a beam failure recovery message with higher transmission power. Candidate beams may include control channel beams and data channel beams."; Fig. 7, bottom-left corner "choose multiple candidate (control/data) beams and use their corresponding Rx beam as Tx beam"); receiving information indicating a plurality of sets of parameters associated with abeam failure detection and recovery procedure (paragraph 3, "receiving, at a wireless transmiVreceive unit (WTRU), configuration information associated with beam failure recovery,"; paragraph 4, "The configuration information associated with beam failure recovery may include a maximum number of beam failure recovery request messages. The configuration information associated with beam failure recovery may include a timer."; Fig. 14, item 1402; various thresholds are disclosed in paragraphs 98, 161), wherein the plurality of sets of parameters are associated with a plurality of receive beams, respectively (several receive beams are explicitly disclosed in Fig. 4, 12, and implicitly disclosed in paragraph 113, "A WTRU may select a candidate beam and may use its Rx beam as a Tx beam to send a beam failure recovery request message."), and wherein each set of parameters of the plurality of sets of parameters comprises criteria and one or more first WTRU orientations associated with a receive beam of the plurality of receive beams (paragraph 3, "if the WTRU is associated with a static rotation state or a low rotation state, performing a per-beam based recovery, and if the WTRU is associated with a high rotation state, performing an omni-directional beam recovery.", "rotation state" is mapped to "WTRU orientations associated with a receive beam ", as defined in the claim; Fig. 6, paragraph 120, "FIG. 6 is an example of tracking WTRU rotation states.... when a WTRU may have a capability of detecting its rotational movement. State 0 may indicate a WTRU may be in a static state (e.g., as shown in FIG. 14 at 1416), State 1 may indicate a WTRU may be in a low rotational mode, and State 2 may indicate a WTRU may be in a high rotational mode (e.g., as shown in FIG. 14 at 1416)."; paragraph 121, "A WTRU in State 0 may, for example, determine a beam for a beam failure recovery request message"; paragraph 122, "A WTRU in State 2 may, for example, use an omni-directional beam for a beam failure recovery request message"; paragraph 123, "A WTRU in State 1 may, for example, select one or more candidate beams and may send a beam failure recovery request message "); determining- a beam failure detection and recovery configuration corresponding to a second receive beam of the plurality of receive beams (paragraph 155, "Beam failure may occur for a data channel. A beam for a data channel may have a different direction than a beam for a control channel. "; it is considered the case when the failure happnes on data channel/beam and the Rx beam for data is different from Rx beam for control, as for example indicated in Fig. 12.; paragraph 161, "while a data channel beam RSRP value may fall between Threshold 3 and Threshold 4 (e.g., in FIG. 13). Thresholds 3 and 4 (e.g., like Thresholds 1 and 2) may be configured, e.g., via RRC signaling.") based on a first receive beam of the plurality of receive beams (paragraph 155, "Beam failure may occur for a data channel. A beam for a data channel may have a different direction than a beam for a control channel. "; paragraph 161, "while a data channel beam RSRP value may fall between Threshold 3 and Threshold 4 (e.g., in FIG. 13). Thresholds 3 and 4 (e.g., like Thresholds 1 and 2) may be configured, e.g., via RRC signaling.", the "first received beam" is mapped on a control beam used for receiving the configuration of parameters for declaring failure of data beam/channel) and based upon a second WTRU orientation associated with the second receive beam (Fig. 14, item 1416, the rotational mode is mapped to "WTRU orientation" paragraph 116, "A WTRU may check a quality of a DL data channel, for example, when a DL data channel and DL control channel may not share the same beam direction. A WTRU may (e.g., when a DL data channel may have good quality) use the direction of an Rx beam of a data channel to transmit a beam failure recovery request message."; paragraph 117, "A WTRU may use a wide beam to transmit a beam failure recovery request message, for example, when a data channel and a control channel may share the same beam direction or when a quality of a data channel may (e.g., also) not be good."); and performing a beam failure detection and recovery procedure for the second receive beam based on the received criteria associated with the second receive beam and based on the second WTRU orientation (paragraph 160, "A beam failure event on a data channel may be declared independent of a beam failure event on a control channel."; Fig. 14, paragraph 180, "FIG. 14 is an example of a WTRU handling beam failure recovery request messages, e.g., as disclosed herein"). For claims 2 and 17, Ye discloses transmitting information indicating the received criteria associated with the second receive beam (paragraph 161 that" A beam failure even may be declared ... while a data channel beam RSRP value may fall between Threshold 3 and Threshold 4"). For claims 3 and 18, Ye discloses the WTRU comprises an antenna panel, wherein a third WTRU orientation is associated with receive beams formed by the antenna panel (paragraph 40 that "the WTRU 102 may include two or more transmit/receive elements 122 (e.g., multiple antennas) for transmitting and receiving wireless signals over the air interface 116." and in paragraph 4 it is disclosed that "A beam failure recovery request message may be sent over multiple beams simultaneously." while in Fig. 12 one Rx data beam and one Rx control beam are representing with various directions and gains, therefore the subject matter of claims 3, 18 is an expected design measure and involves no inventive step.). For claims 4 and 19, Ye discloses the received criteria of each set of parameters of the plurality of sets of parameters are based on any of (i) one or more instances of beam failure counter and (ii) a beam failure detection period of time (paragraph 95 that" A beam failure event may be declared (e.g., immediately or after X periodic CSI-RS measurements), for example, when a serving beam's RSRP may be below Threshold 1."). For claims 8 and 23, Ye discloses indicating the capability for determining WTRU orientations associated with receive beams comprises indicating information including any of one or more parameters including a number of antenna panels, angular coverage of at least one antenna panel, a maximum WTRU Tx beam- width, a maximum WTRU Rx beam-width, /a minimum WTRU Tx beam-width, a minimum WTRU Rx beam-width [0058-63], and, for at least one of the antenna panels, a location of the at least one antenna panels on the WTRU [0044, 0114-118, 0137, 0167]. 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. Claim(s) 9-11, 14-15, 24-26, 29 and 30 are rejected under 35 U.S.C. 103 as being unpatentable over Ye et al. (US Pub. 20210204346 A1) in view of Alawieh et al. (US Pub. 20230319772 A1). For claims 9 and 24, Ye discloses all limitations this claim depended on. But Alawieh doesn’t explicitly disclose the following limitation taught by Alawieh; Alawieh discloses the angular coverage includes an azimuth dimension and an elevation dimension [0377, 0313, 318-337]. Since, all are analogous arts addressing beamforming schemes used in a mobile device; Therefore, it would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art would have been motivated to combine the teachings of Ye with Alawieh to ensure beams can be optimized for efficiency, thus, improving signal quality. For claims 10 and 25, Ye discloses all limitations this claim depended on. But Alawieh doesn’t explicitly disclose the following limitation taught by Alawieh; Alawieh discloses the location of the at least one antenna panel is relative to a location of an antenna panel used for transmitting the information to the network (Figs. 3-7, range between two locations for AOD estimates) [0063, 0092, 0209, 0396]. Since, all are analogous arts addressing beamforming schemes used in a mobile device; Therefore, it would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art would have been motivated to combine the teachings of Ye with Alawieh to ensure beams can be optimized for efficiency, thus, improving signal quality. For claims 11 and 26, Ye discloses all limitations this claim depended on. But Alawieh doesn’t explicitly disclose the following limitation taught by Alawieh; Alawieh discloses the location of the at least one antenna panel includes information indicating an absolute location relative to a WTRU center (Figs. 3-7, range between two locations for AOD estimates) [0063, 0092, 0209, 0396]. Since, all are analogous arts addressing beamforming schemes used in a mobile device; Therefore, it would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art would have been motivated to combine the teachings of Ye with Alawieh to ensure beams can be optimized for efficiency, thus, improving signal quality. For claims 14 and 29, Ye discloses all limitations this claim depended on. But Alawieh doesn’t explicitly disclose the following limitation taught by Alawieh; Alawieh discloses each set of parameters of the plurality of sets of parameters comprises a configuration identifier [0080, 0110, 0251, 0420]. Since, all are analogous arts addressing beamforming schemes used in a mobile device; Therefore, it would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art would have been motivated to combine the teachings of Ye with Alawieh to ensure beams can be optimized for efficiency, thus, improving signal quality. For claims 15 and 30, Ye discloses all limitations this claim depended on. But Alawieh doesn’t explicitly disclose the following limitation taught by Alawieh; Alawieh discloses receiving information indicating configuration for transmission of multiple sounding reference signals (SRSs) [0151-154, 0248, 0298-0300]and transmitting a selected SRS through different WTRU beams as per the received configuration. Since, all are analogous arts addressing beamforming schemes used in a mobile device; Therefore, it would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art would have been motivated to combine the teachings of Ye with Alawieh to ensure beams can be optimized for efficiency, thus, improving signal quality. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US-20200374960-A1; US-20200136708-A1 Inquiries Any inquiry concerning this communication or earlier communications from the Examiner should be directed to PAKEE FANG whose telephone number is (571)270-3633. The Examiner can normally be reached on Mon-Fri 9:00AM-5:00PM. 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, Armouche, Hadi can be reached on 571-270-3618. 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. /PAKEE FANG/ Primary Examiner, Art Unit 2409
Read full office action

Prosecution Timeline

Sep 26, 2024
Application Filed
Aug 13, 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
68%
Grant Probability
99%
With Interview (+36.9%)
3y 0m (~1y 0m remaining)
Median Time to Grant
Low
PTA Risk
Based on 541 resolved cases by this examiner. Grant probability derived from career allowance rate.

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