Prosecution Insights
Last updated: August 17, 2026
Application No. 18/928,435

POLICY TRANSMISSION METHOD, AND COMMUNICATION APPARATUS AND SYSTEM

Non-Final OA §103
Filed
Oct 28, 2024
Priority
Apr 29, 2022 — CN 202210467731.1 +1 more
Examiner
KINCAID, LESTER G
Art Unit
Tech Center
Assignee
Huawei Technologies Co., Ltd.
OA Round
1 (Non-Final)
58%
Grant Probability
Moderate
1-2
OA Rounds
11m
Est. Remaining
64%
With Interview

Examiner Intelligence

Grants 58% of resolved cases
58%
Career Allowance Rate
38 granted / 66 resolved
-2.4% vs TC avg
Moderate +6% lift
Without
With
+6.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
19 currently pending
Career history
104
Total Applications
across all art units

Statute-Specific Performance

§101
3.6%
-36.4% vs TC avg
§103
60.2%
+20.2% vs TC avg
§102
22.8%
-17.2% vs TC avg
§112
10.8%
-29.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 66 resolved cases

Office Action

§103
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 Objections Claims 1-20 are objected to because of the following informalities: Applicants amendments seem to be made using a different (lighter) font and/or color that is difficult to read and causes problems for the automated systems. All amendments should be made in the same font and color as the rest of the claim (and preferably be as dark and legible as possible). See below for an exemplary excerpt: PNG media_image1.png 424 970 media_image1.png Greyscale Resulting in: PNG media_image2.png 46 122 media_image2.png Greyscale n: - PNG media_image2.png 46 122 media_image2.png Greyscale >-senjinga first request to a first network element, wherein the first request carries a policy request trigger of a first policy, and the first policy comprises a user equipment (UE) policy or an access and mobility management (AM policy; iewiveilhying, from the first network element, an event corresponding to the policy request trigger; and PNG media_image2.png 46 122 media_image2.png Greyscale *sen±dending, via an evolved packet system ;EPS?, a second policy, wherein the second policy is a policy obtained by policy control network element by updating the first policy according to the event. Further to claim 14, the examiner suggests adding a colon after “comprising” to complete the transitional phrase with punctuation. Appropriate correction is required. 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. Claim(s) 1-7, 9-11, and 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Song et al, (2025/0150885) hereinafter “Song”. As to claim 1, (Currently Amended) Song discloses An apparatus (PCF), wherein the apparatus (QQ300) (see Fig QQ3, [0060]) comprises: a transceiver (QQ312); at least one processor (QQ302); and one or more non-transitory memories (QQ304) coupled to the at least one processor and storing programming instructions that are executable by the at least one processor, (See Fig QQ3, Figs QQ7, QQ8: (PCF / QQ708) wherein execution of the programming instructions causes the apparatus to perform operations comprising: sending a first request (QQ712/QQ809) to a first network element (SMF / QQ707), wherein the first request carries a policy request trigger of a first policy, and the first policy (implicitly) comprises a user equipment (UE) policy or an access and mobility management (AM policy), see [0107]; receiving, (QQ714 / QQ719) from the first network element, an event corresponding to the policy request trigger (see [0118]-[0119], 0126]); and sending, (QQ715 / QQ720) [[via an evolved packet system (EPS)]], a second policy, wherein the second policy is a policy obtained by a policy control network element by updating the first policy according to the event (see [0122], [0127]). See also steps QQ809-812 of Fig QQ8. Song discloses the method as part of a handover from 5GS to EPS but fails to specify whether “sending a second policy” is via EPS. The examiner considers that the second policy must be sent via EPS or 5G and that given the two scenarios, it would have been obvious to try sending via EPS since that is where the UE is heading (perhaps already there). As to claim 2, (Currently Amended) Song discloses The apparatus according to claim 1, wherein the programming instructions, when executed by the at least one processor, further cause the apparatus to: update the first policy according to the event, to obtain the second policy. See [0127]: “SMPolicyControl_Update Response”. As to claim 3, (Currently Amended) Song discloses The apparatus according to claim 1, wherein the sending the first request to a first network element comprises: when a terminal device moves from a first network to the EPS sending the first request to the first network element. See [0124]: “5GS to EPS handover…” As to claim 4, (Currently Amended) Song discloses The apparatus according to claim 3, wherein the programming instructions, when executed by the at least one processor, further cause the apparatus to: determine that the terminal device moves from the first network to the EPS. (inherent to handover) As to claim 5, (Currently Amended) Song discloses The apparatus according to claim 4, is silent to yet the examiner takes official notice that before the effective filing date of the instant invention it would was well known that wherein the determine that the terminal device moves from the first network to the EPS comprises: receive first information, wherein the first information indicates any one of: a network element in the EPS requests to establish an association for the first policy, an association for the first policy between a network element in the first network and the policy control network element is terminated, an access technology of the terminal device switches from a first access technology to a second access technology, or a network element that provides a service for the terminal device changes. Before the effective filing date of the instant invention it would have been obvious to one of ordinary skill in the art to modify Song such that the movement determination comprises receiving any one of the request, an association, switch, or change for the purpose of increasing the chances of a timely trigger and thereby update. As to claim 6, (Currently Amended) The apparatus according to claim 1, wherein before the sending first request to the first network element, wherein the programming instructions, when executed by the at least one processor, further cause the apparatus to: receive second information from the first network element, wherein the second information indicates the policy control network element to send the first request to the first network element; or receive third information, wherein the third information comprises a data network name or slice information, and the third information indicates the policy control network element to send the first request to the first network element corresponding to the data network name or the slice information. See [0107]-[0109], QQ711. As to claim 7, (Currently Amended) The apparatus according to claim 1, wherein before the send a first request to a first network element, wherein the programming instructions, when executed by the at least one processor, further cause the apparatus to: receive a second request from a network element in the EPS, wherein the second request is used to request to establish an association for the first policy with the policy control network element, or the second request is used to request the policy control network element to update the association for the first policy; or send a third request to a network element in the EPS, wherein the third request is used to request to establish the association for the first policy with the network element in the EPS, or the third request is used to request the network element in the EPS to update the association for the first policy. See [0107], QQ711 (policy control request) and QQ712 (response). As to claim 9, (Currently Amended) Song discloses An apparatus (SMF / QQ707), wherein the apparatus (QQ300) (see Fig QQ3, [0060]) comprises: a transceiver (QQ312); at least one processor (QQ302); and one or more non-transitory memories (QQ304) coupled to the at least one processor and storing programming instructions that are executable by the at least one processor, (See Fig Figs QQ7, QQ8: (SMF / QQ707) wherein execution of the programming instructions causes the apparatus to perform operations comprising: “receiving a first request”, “sending an event”, and “receiving a second policy” as (reciprocally) applied above to claim 1. Claims 10 and 11 (reciprocally) correspond to claims 6 and 7. As to claim 14, (Currently Amended) Song discloses A communication system comprising a policy control network (PCF) element and a first network element (SMF), wherein the policy control network element (PCF) is configured to send a first request (QQ712) to the first network element, wherein the first request carries a policy request trigger of a first policy, and the first policy (implicitly) comprises a user equipment (UE1) policy or an access and mobility management (AM) policy (see [0107]); the first network element (SMF) is configured to send an event corresponding to the policy request trigger to the policy control network element (QQ714/QQ719, see [0118]-[0119], 0126]); and the policy control network element is further configured to send a second policy (QQ715/QQ720) via an evolved packet system (EPS) to the first network element, wherein the second policy is a policy obtained by the policy control network element by updating the first policy according to the event see [0122], [0127]). Song discloses the method as part of a handover from 5GS to EPS but fails to specify whether “sending a second policy” is via EPS. The examiner considers that the second policy must be sent via EPS or 5G and that given the two scenarios, it would have been obvious to try sending via EPS since that is where the UE is heading (perhaps already there). Claim(s) 8, 12, and 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Song as applied to claim 1 above, and further in view of Karampatsis et al. (11,330,547) hereinafter “Karampatsis”. As to claim 8, (Currently Amended) Song discloses The apparatus according to claim 1, is silent to yet in an analogous art Karampatsis discloses wherein the first policy is the UE policy, and the send a second policy comprises: when a terminal device is in a connected state, send the second policy. See col 19, lines 5-14 and 34-40. Before the effective filing date of the instant invention it would have been obvious to one of ordinary skill in the art to modify the apparatus of Song such that the first policy is the UE policy, and the send a second policy comprises: when a terminal device is in a connected state, send the second policy, as taught by Karampatsis for the purpose of increasing efficiency. Claims 12 and 13 correspond to claim 8 (reciprocally). Claim(s) 15-18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Song as applied to claim 14 above, and further in view of Olsson et al. (2022/0217524) hereinafter “Olsson”. As to claims 15 and 16. (Currently Amended) Song discloses The communication system according to claim 14, wherein the communication system further comprises a mobility management entity (MME / Q704), [0038], is silent to yet in an analogous art Olsson discloses wherein the mobility management entity is configured to receive the first request from the first network element; and the mobility management entity is configured to send the event to the first network element, and (claim 16) to determine that the event occurs. See Figs 5-7, [0010],[0053],[0059],etc. Before the effective filing date of the instant invention it would have been obvious to one of ordinary skill in the art to configure the MME to receive the first request from the first network element and to send the event to the first network element and determine, as taught by Olsson for the purpose of fully using 5GS functionality. As to claim 17, (Currently Amended) the combination of Song and Olsson provides for The communication system according to claim 15, wherein the mobility management entity is further configured to send a second request to the policy control network element, wherein the second request is used to request to establish an association for the first policy with the policy control network element, or the second request is used to request the policy control network element to update an association for the first policy; or the policy control network element is further configured to send a third request to the mobility management entity, wherein the third request is used to request to establish an association for the first policy with the mobility management entity, or the third request is used to request the mobility management entity to update an association for the first policy. Reads on any of the communication (QQ711, QQ712, QQ714, QQ715, QQ719, QQ720) in Song as applied above in view of the modification by Olsson. As to claim 18 (Currently Amended) The combination of Song and Olsson discloses the communication system according to claim 15, Olsson further provides for wherein the first policy is the AM policy (see [0016]-[0019]), and the first network element is further configured to send the second policy to the mobility management entity (see Figs 6-9.). Claim(s) 19-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Song as applied to claim 14 above, and further in view of Shan (2023/0163984). As to claim 19, (Currently Amended) Song discloses The communication system according to claim 14, is silent to yet in an analogous art Shan discloses wherein the first policy is the UE policy, and the first network element is further configured to send the second policy to a terminal device. See [0098]: “…at 801…”. Before the effective filing date of the instant invention it would have been obvious to one of ordinary skill in the art to send the second UE policy to a terminal as taught by Shan for the purpose of securely updating the UE policies. As to claim 20, (Original) The combination of Song and Shan discloses the communication system according to claim 19, Shan further provides for wherein that the first network element is further configured to send the second policy to the terminal device comprises: the first network element is further configured to send a protocol configuration option or an enhanced protocol configuration option to the terminal device, wherein the protocol configuration option or the enhanced protocol configuration option comprises the second policy. See [0098]. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Fernandez Alonso et al. (2023/0080830) corresponds to WO2021/156771. Any inquiry concerning this communication or earlier communications from the examiner should be directed to LESTER KINCAID whose telephone number is (571)272-7922. The examiner can normally be reached M-Th: 7-5. 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, Yuwen Pan can be reached at 571-272-7855. 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. LESTER G. KINCAID Primary Patent Examiner Art Unit 2649 /LESTER G KINCAID/Primary Examiner, Art Unit 2649
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Prosecution Timeline

Oct 28, 2024
Application Filed
Dec 05, 2025
Response after Non-Final Action
Jul 21, 2026
Non-Final Rejection mailed — §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
58%
Grant Probability
64%
With Interview (+6.5%)
2y 9m (~11m remaining)
Median Time to Grant
Low
PTA Risk
Based on 66 resolved cases by this examiner. Grant probability derived from career allowance rate.

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