Prosecution Insights
Last updated: October 04, 2026
Application No. 19/040,165

PHASE TRACKING REFERENCE SIGNAL CONFIGURATION, DETERMINATION AND INFORMATION FEEDBACK METHODS AND DEVICES

Non-Final OA §102§112
Filed
Jan 29, 2025
Priority
Feb 07, 2017 — CN 201710067997.6 +3 more
Examiner
PEREZ, JAMES M
Art Unit
2635
Tech Center
2600 — Communications
Assignee
Xi’An Zhongxing New Software Co. Ltd.
OA Round
1 (Non-Final)
90%
Grant Probability
Favorable
1-2
OA Rounds
4m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 90% — above average
90%
Career Allowance Rate
627 granted / 700 resolved
+27.6% vs TC avg
Moderate +14% lift
Without
With
+14.4%
Interview Lift
resolved cases with interview
Fast prosecutor
2y 0m
Avg Prosecution
16 currently pending
Career history
712
Total Applications
across all art units

Statute-Specific Performance

§101
5.2%
-34.8% vs TC avg
§103
38.0%
-2.0% vs TC avg
§102
24.7%
-15.3% vs TC avg
§112
24.3%
-15.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 700 resolved cases

Office Action

§102 §112
DETAILED ACTION This action is responsive to the communications filed on 1/29/2025 and 4/15/2025. Currently, claims 1-20 are pending. 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. Dependent claims 2-10, 12-16, and 18-19 are rejected under 35 U.S.C. 112(b) as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor, regards as the invention. Where independent claims 1, 11, and 17 each state/require that “the configuration parameter is a parameter for indicating a transmission state of the PTRS” (hereinafter “Limitation A”). However, the limitations of dependent claims 2-10, 12-16, and 18-19 each contradict “Limitation A” by redefining the (technical/engineering) meaning of the “configuration parameter” as stated/required in independent claims 1, 11, and 17 (as applicable). More specifically: dependent claims 2-6, 12-16, and 18 each redefine and state/require that “the configuration parameter is a power configuration parameter” (hereinafter “Limitation B”); dependent claims 7-10 each redefine and state/require that “the configuration parameter is a precoding configuration parameter” (hereinafter “Limitation C”); and dependent claim 19 redefines and states/requires that “the configuration parameter is a density parameter” (hereinafter “Limitation D”). Non-limiting examples for dependent claims 2, 7, and 19 are stated below: 2. The method of claim 1, wherein in condition that the configuration parameter is a power configuration parameter, the configuration parameter comprises at least one of: a transmission power offset between ports of the PTRS; a transmission power offset of the PTRS relative to a demodulation reference signal (DMRS) port; a transmission power offset of the PTRS relative to a sounding reference signal (SRS) port; a transmission power offset of the PTRS relative to data information; a transmission power offset of the PTRS relative to the control information; a transmission power offset of the PTRS relative to a channel state information-reference signal (CSI-RS); or a transmission power offset of the PTRS relative to a beam reference signal (BRS). 7. The method of claim 1, wherein in condition that the configuration parameter is a precoding configuration parameter, a way for indicating the configuration parameter comprises: indicating an associated reference signal of PTRS port precoding. 19. The method of claim 17, wherein in condition that the configuration parameter is a density parameter, determining, by the second node, a density of the PTRS through the agreed implicit rule comprises at least one of: determining the density parameter of the PTRS according to a number of ports of the PTRS; determining the density parameter of the PTRS according to a number of DMRS ports associated with the PTRS; determining the density parameter of the PTRS according to a density of a DMRS associated with the PTRS; determining the density parameter of the PTRS according to an MCS; determining the density parameter of the PTRS according to an allocated frequency domain resource, an allocated time domain resource, or a combination of the allocated frequency domain resource and the allocated time domain resource; determining the density parameter of the PTRS according to an operating frequency point; determining the density parameter of the PTRS according to a transmission mode/technical type; determining the density parameter of the PTRS according to a type of DCI; determining the density parameter of the PTRS according to a power parameter of the PTRS; determining the density parameter of the PTRS according to mapping from a code stream to a layer; determining the density parameter of the PTRS according to a multiple access manner; determining the density parameter of the PTRS according to a value of an OCC; determining the density of the PTRS according to a maximum number of PTRS REs; or determining the density of the PTRS according to a quasi-co-location relationship on a frequency offset or a Doppler offset between the PTRS and another reference signal; wherein the density parameter comprises a time domain density, a frequency domain density or a combination of the time domain density and the frequency domain density. Where the contradiction between where the contradiction between Limitation A (required by each independent claim) versus Limitation B, Limitation C, and/or Limitation D (as addressed above), fails to meet the threshold requirements for clarity and precision (as pursuant to MPEP 2173.02.II) for defining clear “boundaries of the subject matter for which protection is sought” (as pursuant to MPEP 2173.01) as well as “clearly and precisely define the metes and bounds of the claimed invention” (as pursuant to MPEP 2173.02) in regards to the knowledge and abilities of a person having ordinary skill in the art before the effective filing date of the claimed invention. Claim Rejections - 35 USC § 102 The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – (a)(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. Claims 1, 11, 17, and 20 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Lee et al. (US 2018/0351719: hereinafter “Lee”). With regards to claim 1, Lee teaches a phase tracking reference signal (PTRS) configuration method (figs. 1-23: see [0008-0022], where a first transmitter node (e.g. base station, a.k.a. BS) determining and transmitting at least one PTRS (with power boost when/if “on” (versus “off”)) and corresponding PTRS configuration to at least one receiving second node (e.g. UE) is disclosed, where at least figure 23 shows the hardware of the BS and UE. Where the method steps are implemented as functions of the cited hardware. Furthermore, see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]), comprising: transmitting, by a first node, control information to a second node (previously addressed and/or readily apparent), wherein the control information is used for indicating a configuration parameter of a PTRS to the second node (previously addressed and/or readily apparent); and wherein the PTRS is transmitted by the first node or the second node (previously addressed and/or readily apparent); when the configuration parameter is a parameter for indicating a transmission state of the PTRS (figs. 1-23: see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]), the transmission state of the PTRS (previously addressed and/or readily apparent) is determined by the second node (previously addressed and/or readily apparent) according to a modulation and coding scheme (MCS) (figs. 1-23: see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]). Additionally but not exclusively, see [0135+0160], where [0135] states “The PTRS power boosting level can be determined according to MCS level and/or PRB size (or TRB size). In this case, the PTRS power boosting level may be configured for the UE through RRC, DCI, and/or a rule”) and PTRS transmission state configuration signaling (previously addressed and/or readily apparent) transmitted by the first node (previously addressed and/or readily apparent). With regards to claim 11, Lee teaches a phase tracking reference signal (PTRS) determination method (figs. 1-23: see [0008-0022], where a first transmitter node (e.g. base station, a.k.a. BS) determining and transmitting at least one PTRS (with power boost when/if “on” (versus “off”)) and corresponding PTRS configuration to at least one receiving second node (e.g. UE) is disclosed, where at least figure 23 shows the hardware of the BS and UE. Where the method steps are implemented as functions of the cited hardware. Furthermore, see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]), comprising: determining, by a second node, a configuration parameter of a PTRS through (previously addressed and/or readily apparent); wherein the control information is used for indicating the configuration parameter of the PTRS to the second node (previously addressed and/or readily apparent), and the PTRS is transmitted by the first node or the second node (previously addressed and/or readily apparent); wherein in condition that the configuration parameter is a parameter for indicating a transmission state of the PTRS (figs. 1-23: see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]), the second node determines the transmission state of the PTRS (previously addressed and/or readily apparent) according to a modulation and coding scheme (MCS) (figs. 1-23: see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]). Additionally but not exclusively, see [0135+0160], where [0135] states “The PTRS power boosting level can be determined according to MCS level and/or PRB size (or TRB size). In this case, the PTRS power boosting level may be configured for the UE through RRC, DCI, and/or a rule”) and PTRS transmission state configuration signaling (previously addressed and/or readily apparent) transmitted by the first node (previously addressed and/or readily apparent), wherein the transmission state (previously addressed) comprises at least one of: non-transmission (NOT given patent weight due to the phrase “at least one of”), zero power transmission (ZP-PTRS was previously addressed) or non-zero power transmission (non-zero power PTRS were previously addressed). With regards to claim 17, Lee teaches a phase tracking reference signal (PTRS) determination method (figs. 1-23: see [0008-0022], where a first transmitter node (e.g. base station, a.k.a. BS) determining and transmitting at least one PTRS (with power boost when/if “on” (versus “off”)) and corresponding PTRS configuration to at least one receiving second node (e.g. UE) is disclosed, where at least figure 23 shows the hardware of the BS and UE. Where the method steps are implemented as functions of the cited hardware. Furthermore, see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a[n implicit] rule in the specification”. Additionally but not exclusively, see figs. 21+22 as well as [0012-0015] and [0178+0179] in regards to an implicit/predefined/predetermined rule PTRS type and (non-zero) PTRS power boosting. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]), comprising: determining, by a second node, a configuration parameter of a PTRS through an agreed implicit rule (previously addressed and/or readily apparent); wherein the [explicit?] control information [[????]] is used for indicating the configuration parameter of the PTRS to the second node (figs. 1-23: see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]). Additionally but not exclusively, see [0135+0160], where [0135] states “The PTRS power boosting level can be determined according to MCS level and/or PRB size (or TRB size). In this case, the PTRS power boosting level may be configured for the UE through RRC, DCI, and/or a rule”. Where the Examiner notes that both explicitly control information and/or implicit agreed rule(s) may be implemented individually or in-combination in order for the UE (second node) to determine the ‘configuration parameter of the PTRS’), and the PTRS is transmitted by the first node or the second node (previously addressed and/or readily apparent); wherein in condition that the configuration parameter is a parameter for indicating a transmission state of the PTRS (figs. 1-23: see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]), the second node determines the transmission state of the PTRS (previously addressed) according to a modulation and coding scheme (MCS) (figs. 1-23: see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a rule in the specification”. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]). Additionally but not exclusively, see [0135+0160], where [0135] states “The PTRS power boosting level can be determined according to MCS level and/or PRB size (or TRB size). In this case, the PTRS power boosting level may be configured for the UE through RRC, DCI, and/or a rule”) and PTRS transmission state configuration signaling (previously addressed and/or readily apparent) transmitted by the first node (previously addressed and/or readily apparent), wherein the transmission state (previously addressed) comprises at least one of: non-transmission (NOT given patent weight due to the phrase “at least one of” as well as the “OR” statement), zero power transmission (ZP-PTRS(s) was previously addressed) or non-zero power transmission (non-zero power PTRS(s) were previously addressed). With regards to claim 20, Lee teaches a phase tracking reference signal (PTRS) configuration device, applied to a first node, (figs. 1-23: see [0008-0022], where a first transmitter node (e.g. base station, a.k.a. BS) determining and transmitting at least one PTRS (with power boost when/if “on” (versus “off”)) and corresponding PTRS configuration to at least one receiving second node (e.g. UE) is disclosed, where at least figure 23 shows the hardware of the BS and UE. Where the method steps are implemented as functions of the cited hardware. Furthermore, see [0172-0174] and [0199-0201], where [0172] states “the BS may inform the UE of the PTRS power boosting level using at least one of RRC, MAC-CE, and DCI as described above. In addition, the PTRS power boosting level may be defined as a[n implicit] rule in the specification”. Additionally but not exclusively, see figs. 21+22 as well as [0012-0015] and [0178+0179] in regards to an implicit/predefined/predetermined rule PTRS type and (non-zero) PTRS power boosting. Additionally but not exclusively, see figs. 21+22. Also see [0018], [0172-0174], and [0201] where the transmission state power of the PTRS configuration(s) including Zero-Power (ZP) PTRS(s), standard (non-power boosted at 0dB) PTRS(s), and/or power boosted PTRS(s) levels (e.g. examples of 3dB and 6dB are stated, see at least [0018]) comprising (addressed below): a processor (figs. 1-23: where figure 23 23 shows the hardware of the BS and UE, each BS and UE respectively comprising at least one processor and memory for storing program instructions that when executed by the at least one processor, the at least one processor is configured to perform/implement the various aspects of the Lee invention in regards to the PTRS and configurable device and/or first node; also see [0209-0216]. The remaining limitations were previously addressed (in the rejection of claim 1 above) and/or are readily apparent); and a memory, which is configured to store programs executable by the processor (previously addressed); wherein the processor is configured to execute the programs (previously addressed), when executed, to perform the method of claim 1 (previously addressed). Allowable Subject Matter No allowable subject matter will be indicated until the above 112(b) issues are clarified/resolved (either by amendments or arguments). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure and are Lee et al. (US 2020/0008228) and Yokomakura et al. (US 2020/00235979). Additional references are cited in the attached PTO-892 form. Any inquiry concerning this communication or earlier communications from the examiner should be directed to James M. Perez, telephone number (571)270-3231. The examiner can normally be reached Monday through Friday: 10am to 6pm EST. 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, David C. Payne can be reached at (571)272-3024. 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. /JAMES M PEREZ/Primary Examiner, Art Unit 2635 9/5/2026
Read full office action

Prosecution Timeline

Jan 29, 2025
Application Filed
Sep 10, 2026
Non-Final Rejection mailed — §102, §112 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12750093
COMMUNICATION DEVICE AND COMMUNICATION METHOD
2y 1m to grant Granted Sep 29, 2026
Patent 12744254
WIRELESS COMMUNICATION METHOD IN BATTERY PACK AND MASTER BMS PROVIDING THE METHOD
1y 7m to grant Granted Sep 22, 2026
Patent 12739157
APPROACHES FOR APSK MODULATION
1y 11m to grant Granted Sep 15, 2026
Patent 12726384
DEVICE WITH STEERING AND CHANNEL STITCHING FOR AN EXTENDED BANDWIDTH
1y 11m to grant Granted Sep 01, 2026
Patent 12701039
Method for Determining Transmission Slot and Related Apparatus
2y 11m to grant Granted Aug 04, 2026
Study what changed to get past this examiner. Based on 5 most recent grants.

Strategy Recommendation AI-generated — please review before filing

Get a prosecution strategy drawn from examiner precedents, rejection analysis, and claim mapping.
Typically takes 5-10 seconds — AI-generated, attorney review required before filing

Prosecution Projections

1-2
Expected OA Rounds
90%
Grant Probability
99%
With Interview (+14.4%)
2y 0m (~4m remaining)
Median Time to Grant
Low
PTA Risk
Based on 700 resolved cases by this examiner. Grant probability derived from career allowance rate.

Sign in with your work email

Enter your email to receive a magic link. No password needed.

Personal email addresses (Gmail, Yahoo, etc.) are not accepted.

Free tier: 3 strategy analyses per month