Prosecution Insights
Last updated: October 02, 2026
Application No. 18/855,170

TERMINAL, BASE STATION AND COMMUNICATION METHOD

Non-Final OA §103
Filed
Oct 08, 2024
Priority
Apr 18, 2022 — nonprovisional of PCTJP2022018091
Examiner
FOLLANSBEE, KEITH TRAN-DANH
Art Unit
Tech Center
Assignee
Nippon Telegraph and Telephone Corporation
OA Round
1 (Non-Final)
61%
Grant Probability
Moderate
1-2
OA Rounds
1y 3m
Est. Remaining
77%
With Interview

Examiner Intelligence

Grants 61% of resolved cases
61%
Career Allowance Rate
56 granted / 92 resolved
+0.9% vs TC avg
Strong +16% interview lift
Without
With
+15.7%
Interview Lift
resolved cases with interview
Typical timeline
3y 3m
Avg Prosecution
37 currently pending
Career history
140
Total Applications
across all art units

Statute-Specific Performance

§101
1.7%
-38.3% vs TC avg
§103
67.0%
+27.0% vs TC avg
§102
15.8%
-24.2% vs TC avg
§112
12.8%
-27.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 92 resolved cases

Office Action

§103
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 . Claims 1-6 have been cancelled. Claims 7-11 has been added. Claim Rejections - 35 USC § 103 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 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. 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. Claim(s) 7, 9-11 is/are rejected under 35 U.S.C. 103 as being unpatentable over He et al. (US20230042274) in view of Hoglund et al. (US20230122456). Regarding claim 1, He teaches A terminal that is a second reduced-capability terminal in which a different function is reduced as compared with a first reduced-capability terminal ([0038] “There may be multiple different redcap device types. For instance, the total population of redcap devices may be categorized as a first type of redcap device or a second type of redcap device that is distinct from the first type of redcap device”, [0040] “a redcap device type may be defined based on a maximum bandwidth (e.g., 20 megahertz (MHz) for FR1, 100 MHz for FR2, etc.), [0041] “In another approach, a redcap device type may be defined based on a set of two or more UE complexity reduction features that are supported by the redcap device type”, (Examiner’s Note: For example [0040-41] shows two type of redcap devices, one where there is only based on maximum bandwidth, and another where the redcap device contains two or more reduction features. Examiner is BRI interpreting the two or more reduction feature redcap device type as “different function” is reduce then the first type), the terminal comprising: a receiving unit configured to receive, from a base station, configuration information of a random access channel that is individually configured for the second reduced- capability terminal ([0053] “In 420, the gNB 120A may transmit Msg2 to the UE 110 in response to Msg1. Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3)”, [0068] “contention free random access (e.g., 2-step random access or 4-step random access) relative to the RACH resources defined by RACH-ConfigCommon”) (Examiner’s Note: for example random access preamble ID, grant scheduling == configuration of a random access channel”, [0068] contention free == individually configured, msg2 == received configuration information); and a transmitting unit configured to transmit a message of a random access procedure to the base station, based on the configuration information ([0053] “ Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3). In 425, the UE 110 transmits Msg3 to the gNB 120A over the PUSCH”, (Examiner’s Note: msg 3 is the transmit a message of random access procedure to the base station, msg2 contains the configuration information), He does not teach wherein the receiving unit receives a configuration related to an early indication via Msg1 from the base station. Hoglund teaches wherein the receiving unit receives a configuration related to an early indication via Msg1 from the base station ([0077] “it is implicit from the presence of a PRACH partition for RedCap whether the wireless device 22 may use an early RedCap indication in a Msg1 indication or use the early RedCap indication later in Msg3. In one example, the network node 16, such as via one or more of processing circuitry 68, processor 70, radio interface 62, signaling unit 32, etc., may configure separate PRACH resources for RedCap and “legacy” wireless devices 22, where RedCap wireless devices 22, such as via one or more of processing circuitry 84, processor 86, radio interface 82, indication unit 34, etc., may select a PRACH resource from the pool configured for RedCap to indicate it is a RedCap wireless device 22 in Msg1. Msg1 indication may be needed”, (Examiner’s Note: received a configuration == the configuration for PRACH resources for RedCap by network node 16, then the Redcap device uses the PRACH resource from the pool, Msg 1 == Msg 1). It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified of He to incorporate the teachings of Hoglund. One of ordinary skill in the art would have been motivated to make this modification in order to increase the flexibility of the system [0017]. Regarding claim 9, He teaches A base station comprising: a transmitting unit configured to transmit configuration information of a random access channel that is individually configured for a second reduced-capability terminal ([0053] “In 420, the gNB 120A may transmit Msg2 to the UE 110 in response to Msg1. Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3)”, (Examiner’s Note: for example random access preamble ID, grant scheduling == configuration of a random access channel”, [0068] “The IE “totalNumberofRA-Preambles-Redcap” represents the total number of preambles used by redcap UEs for contention based and contention free random access (e.g., 2-step random access or 4-step random access) relative to the RACH resources defined by RACH-ConfigCommon”), (Examiner’s Note: contention free == individually) in which a different function is reduced as compared with a first reduced-capability terminal, to the second reduced-capability terminal ([0038] “There may be multiple different redcap device types. For instance, the total population of redcap devices may be categorized as a first type of redcap device or a second type of redcap device that is distinct from the first type of redcap device. Throughout this description, to illustrate the concept of different redcap device types, reference may be made to “redcap device type 1” and “redcap device type 2.” [0040] “a redcap device type may be defined based on a maximum bandwidth (e.g., 20 megahertz (MHz) for FR1, 100 MHz for FR2, etc.), [0041] “In another approach, a redcap device type may be defined based on a set of two or more UE complexity reduction features that are supported by the redcap device type”, (Examiner’s Note: For example [0040-41] shows two type of redcap devices, one where there is only based on maximum bandwidth, and another where the redcap device contains two or more reduction features. Examiner is BRI interpreting the two or more reduction feature redcap device type as “different function” is reduce then the first type); and a receiving unit configured to receive a message of a random access procedure from the second reduced-capability terminal ([0053] “In 425, the UE 110 transmits Msg3 to the gNB 120A over the PUSCH”), He does not teach wherein the transmitting unit transmits a configuration related to an early indication via Msgl to the second reduced-capability terminal. Hoglund teaches wherein the transmitting unit transmits a configuration related to an early indication via Msg 1 to the second reduced-capability terminal ([0077] “it is implicit from the presence of a PRACH partition for RedCap whether the wireless device 22 may use an early RedCap indication in a Msg1 indication or use the early RedCap indication later in Msg3. In one example, the network node 16, such as via one or more of processing circuitry 68, processor 70, radio interface 62, signaling unit 32, etc., may configure separate PRACH resources for RedCap and “legacy” wireless devices 22, where RedCap wireless devices 22, such as via one or more of processing circuitry 84, processor 86, radio interface 82, indication unit 34, etc., may select a PRACH resource from the pool configured for RedCap to indicate it is a RedCap wireless device 22 in Msg1. Msg1 indication may be needed”, (Examiner’s Note: a configuration == the configuration for PRACH resources for RedCap by network node 16, then the Redcap device uses the PRACH resource from the pool, Msg 1 == Msg 1). It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified of He to incorporate the teachings of Hoglund. One of ordinary skill in the art would have been motivated to make this modification in order to increase the flexibility of the system [0017]. Regarding claim 10, He teaches A communication system comprising: a base station; and a terminal ([0053] “In 420, the gNB 120A may transmit Msg2 to the UE 110 in response to Msg1”), wherein the base station includes: a transmitting unit configured to transmit configuration information of a random access channel that is individually configured for a second reduced-capability terminal ([0053] “In 420, the gNB 120A may transmit Msg2 to the UE 110 in response to Msg1. Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3)”, (Examiner’s Note: for example random access preamble ID, grant scheduling == configuration of a random access channel”, [0068] “The IE “totalNumberofRA-Preambles-Redcap” represents the total number of preambles used by redcap UEs for contention based and contention free random access (e.g., 2-step random access or 4-step random access) relative to the RACH resources defined by RACH-ConfigCommon”), (Examiner’s Note: contention free == individually) in which a different function is reduced as compared with a first reduced-capability terminal, to the second reduced-capability terminal ([0038] “There may be multiple different redcap device types. For instance, the total population of redcap devices may be categorized as a first type of redcap device or a second type of redcap device that is distinct from the first type of redcap device. Throughout this description, to illustrate the concept of different redcap device types, reference may be made to “redcap device type 1” and “redcap device type 2.” [0040] “a redcap device type may be defined based on a maximum bandwidth (e.g., 20 megahertz (MHz) for FR1, 100 MHz for FR2, etc.), [0041] “In another approach, a redcap device type may be defined based on a set of two or more UE complexity reduction features that are supported by the redcap device type”, (Examiner’s Note: For example [0040-41] shows two type of redcap devices, one where there is only based on maximum bandwidth, and another where the redcap device contains two or more reduction features. Examiner is BRI interpreting the two or more reduction feature redcap device type as “different function” is reduce then the first type”); and a receiving unit configured to receive a message of a random access procedure from the second reduced-capability terminal ([0053] “In 425, the UE 110 transmits Msg3 to the gNB 120A over the PUSCH”), and the terminal is the second reduced-capability terminal ([0038] “There may be multiple different redcap device types. For instance, the total population of redcap devices may be categorized as a first type of redcap device or a second type of redcap device that is distinct from the first type of redcap device. Throughout this description, to illustrate the concept of different redcap device types, reference may be made to “redcap device type 1” and “redcap device type 2.”) and includes:a receiving unit configured to receive the configuration information from the base station ([0053] “In 420, the gNB 120A may transmit Msg2 to the UE 110 in response to Msg1. Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3)”, (Examiner’s Note: for example random access preamble ID, grant scheduling == configuration of a random access channel”, [0068] “The IE “totalNumberofRA-Preambles-Redcap” represents the total number of preambles used by redcap UEs for contention based and contention free random access (e.g., 2-step random access or 4-step random access) relative to the RACH resources defined by RACH-ConfigCommon”)); and a transmitting unit configured to transmit a message of a random access procedure to the base station, based on the configuration information ([0053] “ Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3). In 425, the UE 110 transmits Msg3 to the gNB 120A over the PUSCH”), He does not teach wherein the transmitting unit transmits a configuration related to an early indication via Msgl to the second reduced-capability terminal, wherein the receiving unit receives a configuration related to an early indication via Msg1 from the base station. Hoglund teaches wherein the transmitting unit transmits a configuration related to an early indication via Msgl to the second reduced-capability terminal ([0077] “it is implicit from the presence of a PRACH partition for RedCap whether the wireless device 22 may use an early RedCap indication in a Msg1 indication or use the early RedCap indication later in Msg3. In one example, the network node 16, such as via one or more of processing circuitry 68, processor 70, radio interface 62, signaling unit 32, etc., may configure separate PRACH resources for RedCap and “legacy” wireless devices 22, where RedCap wireless devices 22, such as via one or more of processing circuitry 84, processor 86, radio interface 82, indication unit 34, etc., may select a PRACH resource from the pool configured for RedCap to indicate it is a RedCap wireless device 22 in Msg1. Msg1 indication may be needed”, (Examiner’s Note: a configuration == the configuration for PRACH resources for RedCap by network node 16, then the Redcap device uses the PRACH resource from the pool, Msg 1 == Msg 1), wherein the receiving unit receives a configuration related to an early indication via Msg1 from the base station ([0077] “it is implicit from the presence of a PRACH partition for RedCap whether the wireless device 22 may use an early RedCap indication in a Msg1 indication or use the early RedCap indication later in Msg3. In one example, the network node 16, such as via one or more of processing circuitry 68, processor 70, radio interface 62, signaling unit 32, etc., may configure separate PRACH resources for RedCap and “legacy” wireless devices 22, where RedCap wireless devices 22, such as via one or more of processing circuitry 84, processor 86, radio interface 82, indication unit 34, etc., may select a PRACH resource from the pool configured for RedCap to indicate it is a RedCap wireless device 22 in Msg1. Msg1 indication may be needed”, (Examiner’s Note: received a configuration == the configuration for PRACH resources for RedCap by network node 16, then the Redcap device uses the PRACH resource from the pool, Msg1 == Msg 1). It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified of He to incorporate the teachings of Hoglund. One of ordinary skill in the art would have been motivated to make this modification in order to increase the flexibility of the system [0017]. Regarding claim 11, He teaches A communication method performed by a second reduced-capability terminal in which a different function is reduced as compared with a first reduced-capability terminal ([0038] “There may be multiple different redcap device types. For instance, the total population of redcap devices may be categorized as a first type of redcap device or a second type of redcap device that is distinct from the first type of redcap device. Throughout this description, to illustrate the concept of different redcap device types, reference may be made to “redcap device type 1” and “redcap device type 2.” [0040] “a redcap device type may be defined based on a maximum bandwidth (e.g., 20 megahertz (MHz) for FR1, 100 MHz for FR2, etc.), [0041] “In another approach, a redcap device type may be defined based on a set of two or more UE complexity reduction features that are supported by the redcap device type”, (Examiner’s Note: For example [0040-41] shows two type of redcap devices, one where there is only based on maximum bandwidth, and another where the redcap device contains two or more reduction features. Examiner is BRI interpreting the two or more reduction feature redcap device type as “different function” is reduce then the first type”), the communication method comprising:receiving, from a base station, configuration information of a random access channel that is individually configured for the second reduced-capability terminal ([0053] “In 420, the gNB 120A may transmit Msg2 to the UE 110 in response to Msg1. Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3)”, (Examiner’s Note: for example random access preamble ID, grant scheduling == configuration of a random access channel”, [0068] “The IE “totalNumberofRA-Preambles-Redcap” represents the total number of preambles used by redcap UEs for contention based and contention free random access (e.g., 2-step random access or 4-step random access) relative to the RACH resources defined by RACH-ConfigCommon”)); and transmitting a message of a random access procedure to the base station, based on the configuration information ([0053] “ Msg2 may comprise a random access response (RAR) which may include a random access preamble ID (RAPID), a temporary RNTI and an uplink grant scheduling a physical uplink shared channel (PUSCH) (e.g., Msg3). In 425, the UE 110 transmits Msg3 to the gNB 120A over the PUSCH”). He does not teach receiving a configuration related to an early indication via Msg1 from the base station. Hoglund teaches receiving a configuration related to an early indication via Msg1 from the base station ([0077] “it is implicit from the presence of a PRACH partition for RedCap whether the wireless device 22 may use an early RedCap indication in a Msg1 indication or use the early RedCap indication later in Msg3. In one example, the network node 16, such as via one or more of processing circuitry 68, processor 70, radio interface 62, signaling unit 32, etc., may configure separate PRACH resources for RedCap and “legacy” wireless devices 22, where RedCap wireless devices 22, such as via one or more of processing circuitry 84, processor 86, radio interface 82, indication unit 34, etc., may select a PRACH resource from the pool configured for RedCap to indicate it is a RedCap wireless device 22 in Msg1. Msg1 indication may be needed”, (Examiner’s Note: received a configuration == the configuration for PRACH resources for RedCap by network node 16, then the Redcap device uses the PRACH resource from the pool, Msg 1 == Msg 1). It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified of He to incorporate the teachings of Hoglund. One of ordinary skill in the art would have been motivated to make this modification in order to increase the flexibility of the system [0017]. Claim(s) 8 is/are rejected under 35 U.S.C. 103 as being unpatentable over He in view of Hoglund et al. (US20230284131 herein after Hoglund2). Regarding claim 8, He teaches wherein, as a second reduced-capability terminal, the terminal supports a relaxed processing timeline for [0018] “relaxed processing time compared to legacy NR devices and relaxed processing capability compared to legacy NR devices”, Examiner’s Note: He does not specify a PDSCH but does state relaxed processing time), supports a reduced peak data rate in FR1 (Frequency Range 1) ([0039] “ redcap device type based on one or more UE complexity reduction features. UE complexity reduction features may include, but are not limited to, a maximum bandwidth”), supports one or two receiving branches ([0047] “A first reserved bit may serve as a RedcapCellBarred IE for redcap device type 1 and a second reserved bit may serve as a RedcapCellBarred IE for redcap device type 2. In another example, when a redcap device type may be equipped with either 1-RX antenna branch or 2-RX branches, a first reserved bit may serve as a RedcapCellBarred IE for a redcap device type with 1-RX antenna branch and a second reserved bit may serve as a RedcapCellBarred IE for a redcap device type with 2-RX antenna branches”), supports a maximum number of DL (Downlink) - MIMO (Multiple Input Multiple Output) layers corresponding to a number of supported receiving branches ([0039] “a number of receive (RX) antenna branches, a maximum number of downlink multiple input multiple output (MIMO) layers”), He, Hoglund does not teach PDSCH (Physical Downlink Shared Channel), and does not support carrier aggregation and dual connectivity. Hoglund2 teaches PDSCH (Physical Downlink Shared Channel) ([0004] “ relaxed UE processing time”, [0014] “a physical downlink shared channel (PDSCH) if UEs will only select the cell when in normal coverage”), and does not support carrier aggregation and dual connectivity.([0005] “A RedCap UE will have 20 MHz device bandwidth in Frequency Range 1 (FR1), whereas non-RedCap UEs must in principle support at least 100 MHz (and similarly with 100 MHz vs 200 MHz in Frequency Range 2 (FR2)). In addition, RedCap UEs will not support ‘dual connectivity’ or ‘carrier aggregation’. RedCap UEs may optionally support fewer receiver (RX) branches, e.g. 1 or 2”). It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the combination of He, Hoglund to incorporate the teachings of Hoglund2. One of ordinary skill in the art would have been motivated to make this modification in order to minimize the performance requirement on the UE. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to KEITH TRAN-DANH FOLLANSBEE whose telephone number is (571)272-3071. The examiner can normally be reached 10am -6 pm M-Th. 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, Derrick Ferris can be reached at 571-272-3123. 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. /K.T.F./ Examiner, Art Unit 2411 /HARRY H KIM/ Primary Examiner, Art Unit 2411
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Prosecution Timeline

Oct 08, 2024
Application Filed
Aug 11, 2026
Non-Final Rejection mailed — §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
61%
Grant Probability
77%
With Interview (+15.7%)
3y 3m (~1y 3m remaining)
Median Time to Grant
Low
PTA Risk
Based on 92 resolved cases by this examiner. Grant probability derived from career allowance rate.

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