Prosecution Insights
Last updated: August 17, 2026
Application No. 18/852,294

UPLINK CHANNEL SENDING AND RECEIVING METHOD AND APPARATUS

Non-Final OA §102§112
Filed
Sep 27, 2024
Priority
Mar 31, 2022 — nonprovisional of PCTCN2022084482
Examiner
NGUYEN, THE HY
Art Unit
Tech Center
Assignee
Beijing Xiaomi Mobile Software Co., Ltd.
OA Round
1 (Non-Final)
74%
Grant Probability
Favorable
1-2
OA Rounds
9m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 74% — above average
74%
Career Allowance Rate
240 granted / 323 resolved
+14.3% vs TC avg
Strong +31% interview lift
Without
With
+31.4%
Interview Lift
resolved cases with interview
Typical timeline
2y 8m
Avg Prosecution
34 currently pending
Career history
355
Total Applications
across all art units

Statute-Specific Performance

§101
3.0%
-37.0% vs TC avg
§103
59.8%
+19.8% vs TC avg
§102
20.4%
-19.6% vs TC avg
§112
15.2%
-24.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 323 resolved cases

Office Action

§102 §112
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 . Claim Rejections - 35 USC § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claim(s) 16 is/are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor, or for pre-AIA the applicant regards as the invention. Claim 16 recites “the at least one transmission precoding matrix indicator (TPMI) is configured to determine a candidate codeword set.” It is not clear how a TPMI, which is not a device, is configured to perform an action, i.e., determine a candidate codeword set. The following is a quotation of 35 U.S.C. 112(d): (d) REFERENCE IN DEPENDENT FORMS.—Subject to subsection (e), a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers. The following is a quotation of pre-AIA 35 U.S.C. 112, fourth paragraph: Subject to the following paragraph [i.e., the fifth paragraph of pre-AIA 35 U.S.C. 112], a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers. Claim(s) 3-4, 6-11, 13, 16-17, and 19 are rejected under 35 U.S.C. 112(d) or pre-AIA 35 U.S.C. 112, 4th paragraph, as being of improper dependent form for failing to further limit the subject matter of the claim upon which it depends, or for failing to include all the limitations of the claim upon which it depends. The claims 3-4, 6-11, 13, 16-17, and 19 recite either “wherein the indication information is configured to indicate the at least one transmission precoding matrix indicator (TPMI)” or “wherein the indication information is configured to indicate the first wideband precoding matrix indicator (PMI) information.” The claims are also dependent on claims 2 and 15, respectively. Claims 2 and 15 recite “wherein the indication information is configured to indicate at least one of the following: at least one transmission precoding matrix indicator (TPMI); a first wideband precoding matrix indicator (PMI) information; a number L of beams comprised in a first wideband beam group, wherein L is a positive integer; a beam forming pattern corresponding to the first wideband beam group; channel state information (CSI) comprising PMI information of at least one sub-band; and part of channel state information (CSI).” Claims 2 and 15 provides options what the indication information can indicate, and the option can be just one or more. If the selected option(s) is/are anything but “at least one transmission precoding matrix indicator (TPMI)” and “a first wideband precoding matrix indicator (PMI) information,” then claims 3-4, 6-11, 13, 16-17, and 19 do not further limit the selected option(s); and are therefore failing to further limit the subject matter of the claim upon which it depends. Applicant may cancel the claim(s), amend the claim(s) to place the claim(s) in proper dependent form, rewrite the claim(s) in independent form, or present a sufficient showing that the dependent claim(s) complies with the statutory requirements. 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 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. Claim(s) 1-3, 6-7, 13-17, 19, 22-23, and 26-27 is/are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Huang et al. (US 2023/0155644 A1). Regarding claims 1, 22, and 26, Huang discloses A transmitting method for an uplink channel, executed by a terminal device, the transmitting method comprising (claim 1) and A communication apparatus, comprising a processor and a memory, wherein a computer program is stored in the memory, and the processor executes the computer program stored in the memory to cause the communication apparatus to execute a transmitting method for an uplink channel, the transmitting method comprising (claim 22) and A non-transitory computer-readable storage medium, configured to store an instruction, wherein the instruction causes the transmitting method according to claim 1 to be implemented when executed (claim 26) (Fig. 4, [0224]: UE includes a processor 400 and a memory 420 where the processor 400 is configured to read a program in the memory 420): receiving indication information related to precoding transmitted by a network device (Fig. 2, [0098]: Step 201 of receiving, by a UE, precoding matrix indication information including sub-band information of an uplink signal transmitted by a network side. [0102]: the network side … transmits the precoding matrix indication information including the sub-band information to the UE); determining a precoding codeword corresponding to each sub-band of the uplink channel according to the indication information (Fig. 2, [0098]: the sub-band information indicated by the precoding matrix indication information being determined by the network side in accordance with a set of sub-band precoding matrices, the set of sub-band precoding matrices being a sub-set in an uplink codebook of the uplink signal, the sub-band information being used to indicate a sub-band precoding matrix that corresponds to each sub-band and is in the set of sub-band precoding matrices; Step 202 of determining, by the UE, the set of sub-band precoding matrices; and Step 203 of determining, by the UE in accordance with the sub-band information, the sub-band precoding matrix that is in the set of sub-band precoding matrices and corresponds to the sub-band. [0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0102]: the UE determines the sub-band precoding matrix for the uplink signal at each sub-band); precoding each sub-band of the uplink channel with the precoding codeword corresponding to each sub-band ([0102]: the UE determines the sub-band precoding matrix for the uplink signal at each sub-band. [0110]: the sub-band precoding … is performed on the uplink signal. [0086]: Through the sub-band precoding, it is able to provide a frequency selective precoding gain, thereby to improve the transmission performance of the uplink signal); and transmitting the uplink channel, of which each sub-band has been precoded, to the network device ([0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0110]: the sub-band precoding … is performed on the uplink signal. [0086]: Through the sub-band precoding, it is able to provide a frequency selective precoding gain, thereby to improve the transmission performance of the uplink signal). Regarding claim(s) 2, Huang discloses all features of claim(s) 1 as outlined above. Huang discloses wherein the indication information is configured to indicate at least one of the following: at least one transmission precoding matrix indicator (TPMI) ([0197]: TPMI represents an index number of the precoding matrix in the uplink codebook … each table is used to represent a set of precoding matrices, and the content of the precoding matrix indication information and the correspondence between the precoding matrix indication information and the precoding matrix may be different from those shown in the tables. Tables 1-26); a first wideband precoding matrix indicator (PMI) information ([0197]: correspondence between a wideband indicator and the precoding matrices … TPMI represents an index number of the precoding matrix in the uplink codebook … each table is used to represent a set of precoding matrices, and the content of the precoding matrix indication information and the correspondence between the precoding matrix indication information and the precoding matrix may be different from those shown in the tables. Table 26); a number L of beams comprised in a first wideband beam group, wherein L is a positive integer; a beam forming pattern corresponding to the first wideband beam group; channel state information (CSI) comprising PMI information of at least one sub-band; and part of channel state information (CSI). Regarding claim(s) 3, Huang discloses all features of claim(s) 2 as outlined above. Huang discloses wherein the indication information is configured to indicate the at least one transmission precoding matrix indicator (TPMI) ([0197]: TPMI represents an index number of the precoding matrix in the uplink codebook … each table is used to represent a set of precoding matrices, and the content of the precoding matrix indication information and the correspondence between the precoding matrix indication information and the precoding matrix may be different from those shown in the tables. Tables 1-26), and determining the precoding codeword corresponding to each sub-band of the uplink channel according to the indication information comprises (Fig. 2, [0098]: the sub-band information indicated by the precoding matrix indication information being determined by the network side in accordance with a set of sub-band precoding matrices, the set of sub-band precoding matrices being a sub-set in an uplink codebook of the uplink signal, the sub-band information being used to indicate a sub-band precoding matrix that corresponds to each sub-band and is in the set of sub-band precoding matrices; Step 202 of determining, by the UE, the set of sub-band precoding matrices; and Step 203 of determining, by the UE in accordance with the sub-band information, the sub-band precoding matrix that is in the set of sub-band precoding matrices and corresponds to the sub-band. [0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0102]: the UE determines the sub-band precoding matrix for the uplink signal at each sub-band): determining a candidate codeword set according to the indication information ([0098]: Step 201 of receiving, by a UE, precoding matrix indication information including sub-band information …, the sub-band information indicated by the precoding matrix indication information being determined by the network side in accordance with a set of sub-band precoding matrices, the set of sub-band precoding matrices being a sub-set in an uplink codebook of the uplink signal, the sub-band information being used to indicate a sub-band precoding matrix that corresponds to each sub-band and is in the set of sub-band precoding matrices; Step 202 of determining, by the UE, the set of sub-band precoding matrices); and determining the precoding codeword corresponding to each sub-band of the terminal device from the candidate codeword set ([0098]: Step 203 of determining, by the UE in accordance with the sub-band information, the sub-band precoding matrix that is in the set of sub-band precoding matrices and corresponds to the sub-band). Regarding claim(s) 6, Huang discloses all features of claim(s) 3 as outlined above. Huang discloses wherein the indication information is configured to indicate the at least one TPMI ([0197]: TPMI represents an index number of the precoding matrix in the uplink codebook … each table is used to represent a set of precoding matrices, and the content of the precoding matrix indication information and the correspondence between the precoding matrix indication information and the precoding matrix may be different from those shown in the tables. Tables 1-26), and determining the precoding codeword corresponding to each sub-band of the terminal device from the candidate codeword set comprises (Fig. 2, [0098]: the sub-band information indicated by the precoding matrix indication information being determined by the network side in accordance with a set of sub-band precoding matrices, the set of sub-band precoding matrices being a sub-set in an uplink codebook of the uplink signal, the sub-band information being used to indicate a sub-band precoding matrix that corresponds to each sub-band and is in the set of sub-band precoding matrices; Step 202 of determining, by the UE, the set of sub-band precoding matrices; and Step 203 of determining, by the UE in accordance with the sub-band information, the sub-band precoding matrix that is in the set of sub-band precoding matrices and corresponds to the sub-band. [0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0102]: the UE determines the sub-band precoding matrix for the uplink signal at each sub-band): determining a mapping relation between at least one precoding codeword in the candidate codeword set and each sub-band ([0098]: the set of sub-band precoding matrices being a sub-set in an uplink codebook of the uplink signal, the sub-band information being used to indicate a sub-band precoding matrix that corresponds to each sub-band and is in the set of sub-band precoding matrices; Step 202 of determining, by the UE, the set of sub-band precoding matrices; and Step 203 of determining, by the UE in accordance with the sub-band information, the sub-band precoding matrix that is in the set of sub-band precoding matrices and corresponds to the sub-band); and determining the precoding codeword used to precode each sub-band of the uplink channel according to the mapping relation ([0102]: the UE determines the sub-band precoding matrix for the uplink signal at each sub-band). Regarding claim(s) 7, Huang discloses all features of claim(s) 3 as outlined above. Huang discloses wherein the indication information is further configured to indicate at least one of: a difference between the at least one TPMI and a reference value; and an index of a set comprising the at least one TPMI ([0196]: In these tables, i represents an index number indicated by a second part in the precoding matrix indication information, and it starts from 0 or 1. Tables 1-26). Regarding claim(s) 13, Huang discloses all features of claim(s) 2 as outlined above. Huang discloses wherein the indication information is configured to indicate the first wideband PMI information ([0108]: the precoding matrix indication information further includes the wideband information), and the transmitting method further comprises: transmitting a codebook generation parameter to the network device ([0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0110]: the sub-band precoding … is performed on the uplink signal. [0086]: Through the sub-band precoding, it is able to provide a frequency selective precoding gain, thereby to improve the transmission performance of the uplink signal). Regarding claims 14, 23, and 27, Huang discloses A receiving method for an uplink channel, executed by a network device, the receiving method comprising (claim 14) and A communication apparatus, comprising a processor and a memory, wherein a computer program is stored in the memory, and the processor executes the computer program stored in the memory to cause the communication apparatus to execute the receiving method according to claim 14 (claim 23) and A non-transitory computer-readable storage medium, configured to store an instruction, wherein the instruction causes the receiving method according to claim 14 to be implemented when executed (claim 27) (Fig. 3, [0203]: base station includes a processor 300 and a memory 320 where the processor 300 is configured to read a program stored in the memory 320): transmitting indication information related to precoding to a terminal device, wherein the indication information is configured for the terminal device to determine a precoding codeword corresponding to each sub-band of the uplink channel (Fig. 2, [0098]: Step 201 of receiving, by a UE, precoding matrix indication information including sub-band information of an uplink signal transmitted by a network side…the sub-band information indicated by the precoding matrix indication information being determined by the network side in accordance with a set of sub-band precoding matrices, the set of sub-band precoding matrices being a sub-set in an uplink codebook of the uplink signal, the sub-band information being used to indicate a sub-band precoding matrix that corresponds to each sub-band and is in the set of sub-band precoding matrices; Step 202 of determining, by the UE, the set of sub-band precoding matrices; and Step 203 of determining, by the UE in accordance with the sub-band information, the sub-band precoding matrix that is in the set of sub-band precoding matrices and corresponds to the sub-band. [0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0102]: the network side … transmits the precoding matrix indication information including the sub-band information to the UE); and receiving the uplink channel, of which each sub-band has been precoded, transmitted by the terminal device ([0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0110]: the sub-band precoding … is performed on the uplink signal. [0086]: Through the sub-band precoding, it is able to provide a frequency selective precoding gain, thereby to improve the transmission performance of the uplink signal). Regarding claim(s) 15, Huang discloses all features of claim(s) 14 as outlined above. Huang discloses wherein the indication information is configured to indicate at least one of the following: at least one transmission precoding matrix indicator (TPMI) ([0197]: TPMI represents an index number of the precoding matrix in the uplink codebook … each table is used to represent a set of precoding matrices, and the content of the precoding matrix indication information and the correspondence between the precoding matrix indication information and the precoding matrix may be different from those shown in the tables. Tables 1-26); a first wideband precoding matrix indicator (PMI) information ([0197]: correspondence between a wideband indicator and the precoding matrices … TPMI represents an index number of the precoding matrix in the uplink codebook … each table is used to represent a set of precoding matrices, and the content of the precoding matrix indication information and the correspondence between the precoding matrix indication information and the precoding matrix may be different from those shown in the tables. Table 26); a number L of beams comprised in a first wideband beam group, wherein L is a positive integer; a beam forming pattern corresponding to the first wideband beam group; channel state information (CSI) comprising PMI information of at least one sub-band; and part of channel state information (CSI). Regarding claim(s) 16, Huang discloses all features of claim(s) 15 as outlined above. Huang discloses wherein the indication information is configured to indicate the at least one transmission precoding matrix indicator (TPMI) ([0197]: TPMI represents an index number of the precoding matrix in the uplink codebook … each table is used to represent a set of precoding matrices, and the content of the precoding matrix indication information and the correspondence between the precoding matrix indication information and the precoding matrix may be different from those shown in the tables. Tables 1-26), the at least one transmission precoding matrix indicator (TPMI) is configured to determine a candidate codeword set ([0098]: Step 201 of receiving, by a UE, precoding matrix indication information including sub-band information …, the sub-band information indicated by the precoding matrix indication information being determined by the network side in accordance with a set of sub-band precoding matrices, the set of sub-band precoding matrices being a sub-set in an uplink codebook of the uplink signal, the sub-band information being used to indicate a sub-band precoding matrix that corresponds to each sub-band and is in the set of sub-band precoding matrices; Step 202 of determining, by the UE, the set of sub-band precoding matrices, and the precoding codeword corresponding to each sub-band of the uplink channel is a precoding codeword in the candidate codeword set ([0098]: Step 203 of determining, by the UE in accordance with the sub-band information, the sub-band precoding matrix that is in the set of sub-band precoding matrices and corresponds to the sub-band). Regarding claim(s) 17, Huang discloses all features of claim(s) 16 as outlined above. Huang discloses wherein the indication information is further configured to indicate at least one of: a difference between the at least one TPMI and a reference value; and an index of a set comprising the at least one TPMI ([0196]: In these tables, i represents an index number indicated by a second part in the precoding matrix indication information, and it starts from 0 or 1. Tables 1-26). Regarding claim(s) 19, Huang discloses all features of claim(s) 15 as outlined above. Huang discloses wherein the indication information is configured to indicate the first wideband PMI information ([0108]: the precoding matrix indication information further includes the wideband information), and the receiving method further comprises: receiving a codebook generation parameter transmitted by the terminal device ([0122]: When the UE is scheduled by the network side to transmit a PUSCH, a sub-band precoding matrix indicator of each sub-band is merely used to indicate a precoding matrix in one set of sub-band precoding matrices. [0110]: the sub-band precoding … is performed on the uplink signal. [0086]: Through the sub-band precoding, it is able to provide a frequency selective precoding gain, thereby to improve the transmission performance of the uplink signal). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to THE HY NGUYEN whose telephone number is (571)270-3813. The examiner can normally be reached on Mo-Fr: 8am-4pm. 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, Joseph Avellino, can be reached on (571) 272-3905. 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. /THE HY NGUYEN/Primary Examiner, Art Unit 2478 TheHy.Nguyen@USPTO.gov
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Prosecution Timeline

Sep 27, 2024
Application Filed
Jul 29, 2026
Non-Final Rejection mailed — §102, §112 (current)

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Prosecution Projections

1-2
Expected OA Rounds
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Grant Probability
99%
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2y 8m (~9m remaining)
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