Prosecution Insights
Last updated: April 19, 2026
Application No. 18/981,889

PROBABILISTIC CONSTELLATION SHAPING MODULATION

Non-Final OA §112
Filed
Dec 16, 2024
Examiner
TSE, YOUNG TOI
Art Unit
2632
Tech Center
2600 — Communications
Assignee
Huawei Technologies Co., Ltd.
OA Round
1 (Non-Final)
89%
Grant Probability
Favorable
1-2
OA Rounds
2y 7m
To Grant
98%
With Interview

Examiner Intelligence

Grants 89% — above average
89%
Career Allow Rate
889 granted / 998 resolved
+27.1% vs TC avg
Moderate +9% lift
Without
With
+8.6%
Interview Lift
resolved cases with interview
Typical timeline
2y 7m
Avg Prosecution
33 currently pending
Career history
1031
Total Applications
across all art units

Statute-Specific Performance

§101
4.7%
-35.3% vs TC avg
§103
20.0%
-20.0% vs TC avg
§102
17.4%
-22.6% vs TC avg
§112
47.6%
+7.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 998 resolved cases

Office Action

§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 . Drawings The drawings are objected to because the block pertaining elements (100, 102, 104, 106, 110, and 510) shown in Figure 1; elements (300, 302, 304, 306, 310, and 510) shown in Figure 3; elements (150, 160, 170, 180, 350, 360, 370, and 380) shown in Figure 6; and elements (100, 300, I, II, III, IV, and VI) shown in Figure 9 need to have descriptive labels in conformance with 37 CFR 1.84(n), 1.84(o), and/or 1.84(p). For example, a descriptive label of “Processor” should be inserted into Figure 1 to properly describe element (102). Further, the reference signs “210”, “212”, “214”, “220”, “222”, “224”, “230”, and “240” labeled in the blocks of Figure 2, and the reference signs “410”, “420”, “430”, “432”, “434”, “440”, “442”, and “444” labeled in the blocks of Figure 4 are not clear and understood what are exactly included in the method steps in Figures 2 and 4. See the detail discussion on page 13, lines 19-34 and on page 15, lines 7-23 of the specification. Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. The figure or figure number of an amended drawing should not be labeled as “amended.” If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consistency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance. The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they do not include the following reference sign(s) mentioned in the description: the reference signs “108” and “112” described on page 12, lines 15 and 19-20 of the specification are not shown in Figure 1; the reference sign “200” described on page 13, line 19 of the specification is not shown in Figure 2; and the reference sign “400” described on page 15, line 7 of the specification is not shown in Figure 2. Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance. The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they include the following reference character(s) not mentioned in the description: the reference character “370” shown in Figure 6 is not described in the specification. Corrected drawing sheets in compliance with 37 CFR 1.121(d), or amendment to the specification to add the reference character(s) in the description in compliance with 37 CFR 1.121(b) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance. Specification Applicant is reminded of the proper language and format for an abstract of the disclosure. The abstract should be in narrative form and generally limited to a single paragraph on a separate sheet within the range of 50 to 150 words in length. The abstract should describe the disclosure sufficiently to assist readers in deciding whether there is a need for consulting the full patent text for details. The abstract is inconsistence by using both “,” and “;” at the end of each method step. Correction is required. The disclosure is objected to because of the following informalities: Page 22, lines 8, 15-16, 29-30, and 33-34; page 22, line 35 to page 23, line 1; and page 23, line 18, “the second communication device 100” should be “the second communication device 300”. Appropriate correction is required. The lengthy specification has not been checked to the extent necessary to determine the presence of all possible minor errors. Applicant’s cooperation is requested in correcting any errors of which applicant may become aware in the specification. The specification is objected to as failing to provide proper antecedent basis for the claimed subject matter. See 37 CFR 1.75(d)(1) and MPEP § 608.01(o). Correction of the following is required: The specification fails to provide proper antecedent basis of the claimed subject matter of “one or more processors” recited in claims 1, 7, 9, 11, 17, 19, and 20. Claim Objections Claims 1-20 are objected to because of the following informalities: 1. (Proposed Amendment) A first communication device comprising: at least one processor configured to: modulate a first set of information bits into a first number of modulated symbols based on a predetermined probability distribution function; map a second set of information bits into a first number of sign bits; multiply the first number of modulated symbols with the first number of sign bits into a first number of signed modulated symbols; modulate a third set of information bits into a second number of modulated symbols based on the predetermined probability distribution function; map a fourth set of information bits into a second number of sign bits; multiply the second number of modulated symbols with the second number of sign bits into a second number of signed modulated symbols; form a set of complex-valued modulated symbols based on the first number of signed modulated symbols and the second number of signed modulated symbols; and de-map the set of complex-valued modulated symbols into a set of binary bits. 2. (Proposed Amendment) The first communication device according to claim 1, wherein the predetermined probability distribution function determines the occurrence of each amplitude in the first number of modulated symbols and in the second number of modulated symbols, respectively, from M number of predefined positive amplitudes, wherein M is greater than 1. 6. (Proposed Amendment) The first communication device according to claim 1, wherein the set of complex-valued modulated symbols is quadrature amplitude modulated symbols. 8. (Proposed Amendment) The first communication device according to claim 7, wherein the de-mapping of the set of complex-valued modulated symbols is an inverse operation to the mapping of the set of encoded bits. 9. (Proposed Amendment) The first communication device according to claim 7, wherein the at least one processor is further configured transmit a control signal to the second communication device, the control signal is useable to indicate the predetermined probability distribution function, and a number of symbols in the first number of modulated symbols and the second number of modulated symbols. 10. (Proposed Amendment) The first communication device according to claim 9, wherein the predetermined probability distribution function is represented as a Gaussian probability distribution function. 11. (Proposed Amendment) A second communication device comprising: at least one processor configured to: receive a set of complex-valued modulated symbols from a first communication device; split the set of complex-valued modulated symbols into a first number of signed modulated symbols and a second number of signed modulated symbols; split the first number of signed modulated symbols into a first number of sign bits and a first number of modulated symbols; demodulate the first number of modulated symbols into a first set of information bits based on a predetermined probability distribution function; demodulate the first number of signed bits into a second set of information bits; split the second number of signed modulated symbols into a second number of sign bits and a second number of modulated symbols; demodulate the second number of modulated symbols into a third set of information bits based on the predetermined probability distribution function; and demodulate the second number of signed bits into a fourth set of information bits. 12. (Proposed Amendment) The second communication device according to claim 11, wherein the predetermined probability distribution function determines the occurrence of each amplitude in the first number of modulated symbols and in the second number of modulated symbols, respectively, from M number of predefined positive amplitudes, wherein M is greater than 1. 13. (Proposed Amendment) The second communication device according to claim [[11]] 12, wherein the M number of predefined positive amplitudes are obtained from a pulse amplitude modulation. 16. (Proposed Amendment) The second communication device according to claim 11, wherein the set of complex-valued modulated symbols is quadrature amplitude modulated symbols. 17. (Proposed Amendment) The second communication device according to claim 11, wherein the at least one processor is further configured to: receive a control signal from the first communication device, the control signal is useable to indicate the predetermined probability distribution function, and the number of symbols in the first number of modulated symbols and the second number of modulated symbols; and demodulate the first number of signed modulated symbols and the second number of signed modulated symbols based on the control signal. 18. (Proposed Amendment) The second communication device according to claim 17, wherein the predetermined probability distribution function is represented as a Gaussian probability distribution function. 19. (Proposed Amendment) The second communication device according to claim 11, wherein the at least one processor is further configured to: receive a control signal from the first communication device, the control signal is useable to indicate occurrences of M number of predefined positive amplitudes in the first number of modulated symbols and the second number of modulated symbols, respectively, wherein M is greater than 1; and demodulate the first number of signed modulated symbols and the second number of signed modulated symbols based on the control signal. 20. (Proposed Amendment) The second communication device according to claim 11, wherein the at least one processor is further configured to: receive a control signal from the first communication device, the control signal is useable to indicate a modulation and coding scheme associated with the transmission of the set of complex-valued modulated symbols; and demodulate the first number of signed modulated symbols and the second number of signed modulated symbols based on the control signal. Claims 3-5 depend either directly or indirectly from claim 1, therefore they are also objected. Claims 14 and 15 both depend from claim 11, therefore they are also objected. Appropriate correction is required. 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. Claims 7-10, 13, 17, and 18 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 applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Claim 7 depends from claim 1, the phrase “a set of complexed valued modulated symbols” recited in line 4 of the claim is the same phrase “a set of complexed valued modulated symbols” recited in line 13 of the claim 1. In other words, clarification is required to clarify the difference. Claim 7 (line 6), claim 9 (lines 4-5), claim 10 (line 2), claim 13 (line 2), claim 17 (line 4), and claim 18 (line 2), the phrases “the set of complexed valued modulated symbols”, “the predetermined probability density function”, and “the M number of predefined positive amplitudes” all lack antecedent basis. Claim 8 depends from claim 7, therefore it is also rejected. Allowable Subject Matter Claims 1-20 would be allowable if rewritten or amended to overcome the rejection(s) under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), 2nd paragraph, set forth in this Office action. Claims 7-10, 13, 17, and 18 would be allowable if rewritten or amended to overcome the rejection(s) under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), 2nd paragraph, set forth in this Office action. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Wengerter et al. relates to a method of transmitting data in a wireless communication system wherein data packets are transmitted from a transmitter to a receiver, using a first transmission and a second transmission based on a repeat request. Van Nee relates to methods, devices and systems for encoding data for wireless communication to achieve a desired amplitude distribution. Some implementations more specifically relate to performing an encoding operation to shape the amplitudes of the resultant symbols such that the amplitudes have a non-uniform distribution. In some implementations of the non-uniform distribution, the probabilities associated with the respective amplitudes generally increase with decreasing amplitude. In some implementations, the first encoding operation is or includes an arithmetic encoding operation, a prefix encoding operation or other encoding operation that adds redundancy to the input data bits by expanding the number of data bits. The redundancy may be added such that the probabilities associated with encoding input data bits into symbols with lower amplitudes are greater than the probabilities associated with encoding input data bits into symbols with higher amplitudes. Golitschek Edler Von Elbwart et al. relates to methods for transmitting and receiving a data bit stream in a communication system using 16-QAM constellations. CHEN et al. relates to a method, an apparatus, and a system for transmitting information bits, where the method for transmitting information bits includes: dividing the information bits to be transmitted into at least two groups; encoding the information bits to be transmitted in each group; modulating the coded bits obtained by the encoding to obtain modulation symbols, in which each modulation symbol is obtained by using the modulation of the coded bits in the same group; and mapping and transmitting the modulation symbols. In this way, the receiving end easily reduces the algorithm complexity, thereby ensuring the performance of the receiving end. SMITH et al. relates to an optical module configured to process first FEC (Forward Error Correction) encoded data produced by a first FEC encoder, wherein the optical module has a second FEC encoder for coding a subset of the first FEC encoded data to produce second FEC encoded data, the optical module also has an optical modulator for modulating, based on a combination of the second FEC encoded data and a remaining portion of the first FEC encoded data that is not further coded, an optical signal for transmission over an optical channel, the second FEC encoder is an encoder for an FEC code that has a bit-level trellis representation with a number of states in any section of the bit-level trellis representation being less than or equal to 64 states. In this manner, the second FEC encoder has relatively low complexity (e.g. relatively low transistor count) that can reduce power consumption for the optical module. Any inquiry concerning this communication or earlier communications from the examiner should be directed to Young T. Tse whose telephone number is (571)272-3051. The examiner can normally be reached Mon-Fri 10:30am-7pm. 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, Chieh M Fan can be reached at 571-272-3042. 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. /Young T. Tse/Primary Examiner, Art Unit 2632
Read full office action

Prosecution Timeline

Dec 16, 2024
Application Filed
Mar 18, 2025
Response after Non-Final Action
Feb 21, 2026
Non-Final Rejection — §112 (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
89%
Grant Probability
98%
With Interview (+8.6%)
2y 7m
Median Time to Grant
Low
PTA Risk
Based on 998 resolved cases by this examiner. Grant probability derived from career allow rate.

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