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 .
This office action is in response to remarks filed 05/18/2026.
Claims 1, 4-8, 11-15, 17, and 20 are pending. Claims 1 is amended. No new claims are added.
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 05/18/2026 has been entered.
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.
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.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claims 7, 8, 11, 12, are rejected under 35 USC § 103 as being unpatentable over Xu (“herein after referred to as” Xu) (CN 111629439A), in view of Chen et al. (WO 2022042247 A1, hereinafter “Chen”).
Regarding Claim 7, Xu discloses a method for wireless communication at a user equipment (UE), comprising:
• transmitting one or more uplink messages in accordance with a first waveform type [[0046][…], the uplink 256QAM modulation mode to transmit uplink data, then the base station side can configure the uplink 256QAM modulation mode to use the uplink 256QAM modulation mode. The uplink data of the user equipment is analyzed, and an RRC downlink message carrying a second field indicating the first uplink modulation mode is sent to the user equipment to notify the user equipment that the configuration operation of the uplink 256QAM modulation mode can be performed.]
• associated with a first set of parameters, wherein the first set of parameters correspond to a first type of modulation, correspond to a first type of pulse shape, comprise a first set of filtering parameters, or any combination thereof; [[0046][…], the uplink 256QAM modulation mode to transmit uplink data, then the base station side can configure the uplink 256QAM modulation mode to use the uplink 256QAM modulation mode. The uplink data of the user equipment is analyzed, and an RRC downlink message carrying a second field indicating the first uplink modulation mode is sent to the user equipment to notify the user equipment that the configuration operation of the uplink 256QAM modulation mode can be performed.]
• identifying a configuration for waveform type selection at the UE (The user equipment can detect the channel environment in real time. When the UE detects that the channel environment changes and UE determines that the current channel environment meets the uplink modulation mode switching conditions, UE can send uplink to the base station. Modulation mode switching request to switch the uplink modulation mode. ¶0049; Configuration module is configured to configure the first uplink modulation mode if the RRC uplink message carries a first field. The first field is set when the UE determines that it supports the first uplink modulation mode. ¶0096);
• determining, based at least in part on transmitting the one or more uplink messages, that a condition associated with uplink transmissions at the UE satisfies a threshold; [[0039][…], the system message broadcast by the base station may carry the reference threshold corresponding to the first uplink modulation mode, and the reference threshold may be used to provide the user equipment with RSRP (Reference Signal Receiving Power) for determining the current cell; and, [0048][…], if the channel environment is poor, using the uplink 256QAM modulation mode will not only lead to a higher modulation error rate, but also affect the data transmission rate, or, in the case of a better channel environment, the user equipment uses the uplink 64QAM modulation mode to transmit data, which will result in a waste of spectrum resources; and, [0049], in order to solve the above problems, in the embodiment of the present invention, the user equipment can detect the channel environment in real time. When it detects that the channel environment changes and it is determined that the current channel environment meets the uplink modulation mode switching conditions, it can send uplink to the base station modulation mode switching request to switch the uplink modulation mode.]
• transmitting, based at least in part on the determination, a request to transition from the first waveform type associated with the first set of parameters to a second waveform type associated with a second set of parameters; [[0048][…] , if the channel environment is poor, using the uplink 256QAM modulation mode will not only lead to a higher modulation error rate, but also affect the data transmission rate, or, in the case of a better channel environment, the user equipment uses the uplink 64QAM modulation mode to transmit data, which will result in a waste of spectrum resources; and, [0049][…], the user equipment can detect the channel environment is real time. When it detects that the channel environment changes and it is determined that the current channel environment meets the uplink modulation mode switching conditions, it can send uplink to the base station modulation mode switching request to switch the uplink modulation mode.]
• wherein the second set of parameters correspond to a second type of modulation, correspond to a second type of pulse shape, comprise a second set of filtering parameters, or any combination thereof, [[0048][…], if the channel environment is poor, using the uplink 256QAM modulation mode will not only lead to a higher modulation error rate, but also affect the data transmission rate, or, in the case of a better channel environment, the user equipment uses the uplink 64QAM modulation mode to transmit data, which will result in a waste of spectrum resources; and, [0049] […], the user equipment can detect the channel environment is real time. When it detects that the channel environment changes and it is determined that the current channel environment meets the uplink modulation mode switching conditions, it can send uplink to the base station modulation mode switching request to switch the uplink modulation mode; [0050], In an optional embodiment of the present invention, the method may further include:; [0051], If it is determined that the uplink modulation mode switching request sent by the user equipment is received, in response to the uplink modulation mode switching request, the first uplink modulation mode is switched to the second uplink modulation mode, and the RRC Connection Reconfiguration message is sent to the user equipment carrying a third field indicating switching of the uplink modulation mode; [0052], in an application example of the present invention, assuming that the current uplink modulation mode of the user equipment is uplink 256QAM, the user equipment can detect the channel environment in real time. When it is detected that the channel environment is deteriorated, the uplink 256QAM modulation mode is not suitable for use. If it can be determined that the current channel environment meets the uplink modulation mode switching condition, an uplink modulation mode switching request can be sent to the base station to switch the uplink modulation mode to uplink 64QAM, so that the uplink modulation mode matches the current channel environment. Or, if the current uplink modulation mode of the user equipment is uplink 64QAM, when the user equipment detects that the channel environment is better and is more suitable to use the uplink 256QAM modulation mode, the user equipment sends an uplink modulation mode switching request to switch the uplink modulation mode to uplink 256QAM to achieve higher transmission efficiency and optimize spectrum efficiency.]
receiving, in response to transmitting the request, a grant to transition from the first waveform type to the second waveform type (Example of modulation modes to be switched are 64QAM and 256QAM, different waveforms. ¶0052; A UE, ¶0104, comprises a switching request module to send a modulation mode switching request. ¶0109; A reconfiguration message receiving module to receive an RRC message from network in response to the request. ¶0110; A second switching module to switch from the first uplink modulation mode to the second uplink modulation mode if the RRC reconfiguration message includes a field indication switching of the uplink modulation mode. ¶0111; Therefore, the UE transmits the switching request, the base station responds with RRC to switch waveforms, an approval or grant of the request, upon which the UE switches modulation modes.); and
• transitioning, based at least in part on receiving the grant (A reconfiguration message receiving module to receive an RRC message from network in response to the request. ¶0110), from the first waveform type to the second waveform type in accordance with the configuration and based at least in part on transmitting the request (Uplink modulation mode switching request sent by UE is received by network. The first uplink modulation mode is switched to the second uplink modulation mode. ¶0051; ; Configuration module is configured to configure the first uplink modulation mode if the RRC uplink message carries a first field. The first field is set when the UE determines that it supports the first uplink modulation mode. ¶0096).
Xu does not explicitly disclose:
wherein the request to transition from the first waveform type to the second waveform type is indicated on a per-frequency range basis;
However, Chen discloses:
wherein the request to transition from the first waveform type to the second waveform type is indicated on a per-frequency range basis (The MPR, Maximum Transmit Power Backoff, information includes different modulation schemes, different resource block (RB) locations, two waveforms supported by the terminal's PUSCH, and the correspondence between different MPR values. ¶0014; Secondly, embodiments of this application provide a communication system, specifically including: a network device, configured to send a first message to a terminal during a random access process, the first message being configured to instruct the terminal to use a first waveform for the Physical Uplink Shared Channel (PUSCH); a terminal, configured to send a waveform auxiliary message to the network device, the waveform auxiliary message indicating that the terminal expects to use a second waveform for the PUSCH; the network device is further configured to receive the waveform auxiliary message from the network device and send a second message to the terminal, the second message being configured to instruct the PUSCH to use a second waveform. ¶0016; In addition to MPR information, the UECapabilityInformation message may also include other capability information of the terminal. For example, terminal capability information may include: the frequency bands and frequency band combinations supported by the UE, and the power levels supported by each frequency band and frequency band combination of the UE. ¶0192; 906. The terminal receives a downlink control message and determines the waveform used for PUSCH based on the BWP indicated in the downlink control message. For example, if the downlink control information indicates that the BWP is BWP2, the terminal determines that the waveform corresponding to BWP2 is a DFT-s-OFDM waveform based on the configuration information, and the terminal determines that the waveform used by the PUSCH is a DFT-s-OFDM waveform.¶0298);
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Xu, determine and transmit a request to switch an uplink waveform, with the teachings of Chhen, selection of uplink waveform determined based on terminal capabilities dependent on transmit power and frequency bands.
The motivation in doing so would be to employ a method to determine a selection of optimum modulation format, dependent upon UE capability limitations in frequency and transmit power, for uplink waveforms depending on certain network conditions. DFTS-OFDM may be used for high transmit power given lower PAPR for devices in enhanced or extended coverage. OFDM may be used for lower transmit power for devices in normal coverage and for data throughput. (Xu: ¶¶0004-0007, 00031-0032, 0083-0084; Chen: ¶¶0005, 0006-0010, 0013-0014, 0017, 0192-0193, 0298, 0328)
Regarding claim 8, Xu discloses method of claim 7, wherein determining that the condition associated with uplink transmissions at the UE satisfies the threshold, comprises:
• determining that a power headroom for the UE has crossed the threshold; [[0010], if the RRC message carries a field which shows support for the first uplink modulation mode, then configure the message such that the transmission of the first uplink modulation mode can occur when the reference signal received power of the cell where the user equipment is located exceeds the reference threshold; [0014], if the user equipment supports the first uplink modulation mode, and the reference signal received power of the cell where the user equipment is located exceeds the reference threshold, then it sends to the network equipment a message indicating support for the first uplink modulation mode so that the network device configures the first uplink modulation mode; [0024], the mode recommendation module is configured such that if the user equipment supports the first uplink modulation mode and the reference signal received power of the cell where the user equipment is located exceeds the reference threshold, then the UE sends the RRC message to the network equipment indicating the support for the first uplink modulation mode; [0029], during the process of establishing an RRC connection between the user equipment and the base station, the base station can learn whether the user equipment has the ability to support the first uplink modulation mode. Therefore, the embodiment of the present invention can configure 256QAM and improve the transmission efficiency of uplink data. In addition, in the embodiment of the present invention, the user equipment can actively recommend to the base station whether the first uplink modulation mode needs to be configured according to its own capabilities and the reference signal received power of the current cell, so that the uplink modulation mode is more suitable for the current environment of the user equipment to achieve optimization of uplink modulation mode.]
• wherein transmitting the request to transition from the first waveform type to the second waveform type is based at least in part on determining that the power headroom for the UE has crossed the threshold; [[0029][…], In addition, in the embodiment of the present invention, the user equipment can actively recommend to the base station whether the first uplink modulation mode needs to be configured according to its own capabilities and the reference signal received power of the current cell, so that the uplink modulation mode is more suitable for the current environment of the user equipment to achieve optimization of uplink modulation mode.]
Regarding claim 11, Xu discloses the method of claim 7, wherein:
• the configuration to indicate whether the UE is allowed to transition between waveform types for one or more types of uplink messages; and transitioning from the first waveform type to the second waveform type is based at least in part on the one or more uplink messages comprising a type of uplink messages included in the one or more types of uplink messages.[[0051], if it is determined that the uplink modulation mode switching request sent by the user equipment is received, in response to the uplink modulation mode switching request, the first uplink modulation mode is switched to the second uplink modulation mode, where a RRC Connection Reconfiguration message is sent to the user equipment carrying a third field indicating switching of the uplink modulation mode.]
Regarding claim 12, Xu discloses the method of claim 7, wherein:
• the configuration comprises a threshold for transitioning between waveform types; and the condition comprises the threshold being satisfied by one or more metrics associated with uplink transmissions by the UE. [[0052], in an application example of the present invention, assuming that the current uplink modulation mode of the user equipment is uplink 256QAM, the user equipment can detect the channel environment in real time. When it is detected that the channel environment is deteriorated, the uplink 256QAM modulation mode is not suitable for use. If it can be determined that the current channel environment meets the uplink modulation mode switching condition, an uplink modulation mode switching request can be sent to the base station to switch the uplink modulation mode to uplink 64QAM, so that the uplink modulation mode matches the current channel environment. Or, if the current uplink modulation mode of the user equipment is uplink 64QAM, when the user equipment detects that the channel environment is better and is more suitable to use the uplink 256QAM modulation mode, the user equipment sends an uplink modulation mode switching request to switch the uplink modulation mode to uplink 256QAM to achieve higher transmission efficiency and optimize spectrum efficiency; [0044], in an optional embodiment of the present invention, the reference threshold may be set according to factors such as channel signal-to-noise ratio, base station transmit power, etc. For example, if the base station transmit power is high, a higher reference threshold may be set. If the transmission power of the base station is low, a lower reference threshold can be set, etc. It can be understood that the embodiment of the present invention does not limit the specific manner of setting the reference threshold; [0045], In RRC_IDLE (RRC idle state) or RRC_INACTIVE (RRC connection inactive state), the user equipment monitors the RSRP (Reference Signal Receiving Power) of the cell signal the UE is currently camped on for cell reselection. If the user equipment supports uplink 256QAM in the current frequency band during an RRC Connection Establishment message or an RRC connection recovery procedure, the cell RSRP can be compared with the reference threshold corresponding to the uplink 256QAM modulation mode indicated in the SIB1 message from the base station. If the RSRP exceeds the reference threshold, the user equipment may recommend to the base station to initially configure the uplink 256QAM modulation mode; [0046], after the base station receives the RRC uplink message (such as the RRC Connection Establishment message or the RRC connection recovery procedure), upon detection that the RRC uplink message carries the first field indicating the uplink 256QAM modulation mode, which identifies that the user equipment supports the uplink 256QAM modulation mode, and the cell environment where the user equipment is currently located is suitable for using the uplink 256QAM modulation mode to transmit uplink data, then the base station can configure the uplink 256QAM modulation mode. Then, an RRC downlink message carrying a second field indicating the first uplink modulation mode is sent to the user equipment to notify it that the configuration operation of the uplink 256QAM modulation mode can be performed.]
Claims 1 and 4 are rejected under 35 USC § 103 as being unpatentable by Osawa et.al (US 2021/0152224 A1) [“herein after referred to as” Osawa] in view of Jiang et al. (US 20200092818 A1, hereinafter “Jiang”), in view of Kwak (US 20260173046 A1, hereinafter “Kwak”).
Regarding Claim 1, Osawa discloses a method for wireless communication at a user equipment (UE), comprising:
• receiving first signaling that schedules a set of uplink messages for the UE; [[0020], the NR network may indicate to the UE to switch between CP-OFDM (first waveform) and DFT-S-OFDM (second waveform), even while communication is in progress. This indication may be reported to the UE by higher layer signaling or physical layer signaling (e.g., downlink control information (DCI)); [0029-0030], when DCI is detected, UE switches the codebook to use for the transmission and/or receipt scheduled by this DCI, based on the format of this DCI. The code book that may be subject to switching includes, for example, the codebook for the downlink of LTE Release 8, the codebook for the uplink of LTE Release 10 and/or another codebook; [0032], a given DCI format may be used only when scheduling the transmission and receipt of a specific waveform (e.g., either the CP-OFDM waveform or the DFT-S-OFDM waveform), or may be used to schedule the transmission and receipt of a number of waveforms.]
• transmitting the first portion of the set of uplink messages in accordance with a first waveform type associated with a first set of parameters; [[0038], as an example of the static linking of Figure 1, DCI format X and DCI format Y correspond, on a one-by-one basis, to the CP-OFDM waveform and the DFT-S-OFDM waveform, respectively, so that the UE can use these codebooks properly depending on the DCI format.]
• receiving, after transmitting at least one uplink message included in the first portion of the set of uplink messages (When DCI is detected, a downlink message after uplink, UE switches the codebook to use for transmission or receipt scheduled by the DCI. DCI schedules UL, transmitting, grant and DL, receiving, grant. ¶0029), second signaling that indicates for the UE to transition from the first waveform type associated with the first set of parameters to a second waveform type associated with a second set of parameters; (When DCI is detected, a downlink message after uplink, UE switches the codebook to use for transmission or receipt scheduled by the DCI. DCI schedules UL, transmitting, grant and DL, receiving, grant. ¶0029; CP-OFDM waveform and the DFT-S-OFDM waveform are associated with different codebooks. ¶0036, Fig. 1-2; Different codebooks are used per waveform. ¶0069; Switching of codebooks based on different information including information about time and/or frequency resources. ¶0070; UE may switch codebooks based on the information, such as time resource, that a given parameter is larger than a predetermined threshold and/or a predetermined range of values. ¶0071);
• transmitting, based at least in part on the transitioning, a second portion of the set of uplink messages; in accordance with the second waveform type associated with the second set of parameters; [ When DCI is detected, a downlink message after uplink, UE switches the codebook to use for transmission or receipt scheduled by the DCI. DCI schedules UL, transmitting, grant and DL, receiving, grant. ¶0029; [0046-0047], that the waveform (for example, CP-OFDM waveform or DFT-S-OFDM waveform) that is used to transmit message 3 may be configured in the UE by higher layer signaling (RRC signaling, SIB, etc.), may be determined based on the UL grant included in the RAR, or may be selected based on predetermined rules. At this time, the UE may link the selected waveform with DCI format Y.]
Osawa does not explicitly disclose:
determining that the first portion of the set of uplink messages comprises a reference signal bundle of repetitions of a reference signal for performing channel estimation;
waiting to transition from the first waveform type to the second waveform type until after transmitting the first portion of the set of uplink messages, the waiting based at least in part on the determination that the first portion of the set of uplink messages comprises the reference signal bundle of repetitions of a reference signal;
transitioning from the first waveform type to the second waveform type based at least in part on an elapsed time since the second signaling is received at the UE satisfying a threshold that corresponds with a processing time corresponding to the transition from the first waveform to the second waveform type; and
However, Jiang discloses:
transitioning from the first waveform type to the second waveform type based at least in part on an elapsed time since the second signaling is received at the UE satisfying a threshold that corresponds with a processing time corresponding to the transition from the first waveform to the second waveform type (UE capability information determines UE may operate in different modes. ¶0073, Fig. 5:508. A mode such as transform precoder enabled/disabled for CP-OFDM or DFT-S-OFDM; Base station transmits configuration information to dynamically indicate a mode for the UE. ¶0074, Fig. 5:510; UE receives and processes the configuration information including the mode indicator. ¶0075, Fig. 5:514; Some processing time associated with the receipt/processing of the indication is required resulting in a time gap until the UE may start operating in the indicated mode. The time gap may be a grace period, a processing time threshold, needed for switching between different modes. Grace period may be UE specific and may be based on UE capability. ¶0075, Fig. 5:515; After processing and adjustment time, the UE starts operation in the indicated mode. ¶0076, Fig. 5:516-521; and
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Osawa, signaling to indicate a switch of waveforms for the UE, with the teachings of Jiang, transmission of reference signals to assist the base station for channel estimation for waveform selection and determine the processing time delay in switching waveforms of a UE.
The motivation in doing so would be to improve the scheduling efficiency and avoiding missed communication between a base and UE by determining channel quality and accordingly switch an uplink waveform while accounting for UE processing time delay while switching modes. (Osawa: Abstract, ¶0006, 0008, 0009, 0019-0020; Jiang: Abstract, ¶¶0066)
Osawa and Jiang do not explicitly disclose, however Kwak discloses:
determining that the first portion of the set of uplink messages comprises a reference signal bundle of repetitions of a reference signal for performing channel estimation (Examples of WTRU operations based on a determined waveform are provided herein. A WTRU may apply one or more of following operations to transmit/receive one or more signals and one or more of channels: different CORESET/search space structures, PDSCH reception, collision handling, PUSCH transmission, RS transmission, or a different SCS. ¶0177; Examples of expected WTRU behavior based on the determined waveform are provided herein. Examples of expected WTRU behavior may be a DMRS structure and bundling type (e.g., subband or wideband) or channel state information (CSI) reporting (assuming in an indicated waveform). ¶0086; Based on the indicated one or more TDRAs, the WTRU may determine the associated waveform type to transmit/receive the one or more signals/channels. If a number of TDRAs is larger than 1, one (e.g., only one) of the indicated TDRAs may include a waveform type. In examples, the WTRU may apply a first waveform type of a first TDRA to a first PDSCH/PUSCH and a second waveform type of a second TDRA to a second PDSCH/PUSCH (e.g., for multi-TRP). ¶0169; PUSCH transmissions and set of configurations for waveforms and DMRS. ¶0184);
waiting to transition from the first waveform type to the second waveform type until after transmitting the first portion of the set of uplink messages (For dynamic indication, a WTRU may receive one or more activations (e.g., via a MAC CE) of semi-statically configured waveforms prioritization modes (e.g., via an RRC). Based on the prioritization, the WTRU may receive the one or more indications (e.g., via DCI) of the waveform prioritization modes. ¶0196; For WTRU capability and prioritization, a WTRU may determine the waveforms' prioritization based on a mode that was a priority defined by the WTRU and reported to NodeB. The WTRU may determine the waveforms' prioritization based on the WTRU capability, processing time, and so forth. ¶0197; One or more processing times may be used, defined, configured, or determined, where processing times (e.g., each processing time) may be associated with a waveform's prioritization mode. A WTRU may be configured with a first processing time for the waveform with the first prioritization, and a second processing time for the waveform with the second prioritization, and so forth. ¶0198), the waiting based at least in part on the determination that the first portion of the set of uplink messages comprises the reference signal bundle of repetitions of a reference signal (Examples of expected WTRU behavior based on the determined waveform are provided herein. Examples of expected WTRU behavior may be a DMRS structure and bundling type (e.g., subband or wideband) or channel state information (CSI) reporting (assuming in an indicated waveform). ¶0086; Examples of resource level dynamic switching between different waveforms are provided herein. A WTRU may receive an indication of resource level dynamic switching. The WTRU may receive the indication by receiving one or more: of an RRC configuration, a MAC CE, or DCI. The indication may be based on an explicit indication or an implicit indication. ¶0163; Examples of BWP switching with different waveforms are provided herein. A WTRU may be indicated to switch a BWP from a first BWP (e.g., a serving BWP) to a second BWP (e.g., a target BWP) for a DL signal reception and/or a UL signal transmission. The first BWP and the second BWP may be associated with a same or different waveform. One or more of following may apply: a switching gap (e.g., BWP switching gap) length may be determined based on whether the waveforms are the same or not (e.g., a first switching gap may be used when the first and second BWP are associated with a same waveform and a second switching gap may be used when the first and second BWP are associated with a different waveform); ¶0174);
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Osawa, signaling to indicate a switch of waveforms for the UE, with the teachings of Jiang, transmission of reference signals to assist the base station for channel estimation for waveform selection and determine the processing time delay in switching waveforms of a UE, with the teachings of Kwak, application of DMRS bundling for repetition of reference signals in support of dynamic switching of waveforms based on increased pathloss, power amplifier PAPR limits, and interference.
The motivation in doing so would be to improve the scheduling efficiency and avoiding missed communication between a base and UE by determining channel quality conditions and accordingly dynamically switch an uplink waveform while accounting for UE processing time delay while switching modes. (Osawa: Abstract, ¶0006, 0008, 0009, 0019-0020; Jiang: Abstract, ¶¶0066; Kwak: Abstract, ¶¶0003-0004, 0006-0007, 0087, 0097, 0164, 0173, 0174, 0177)
Regarding claim 4, Osawa discloses method of claim 1, further comprising:
• receiving third signaling indicating that the UE is allowed to transmit different portions of the set of uplink messages in accordance with different waveform types, wherein transmitting the second portion of the set of uplink messages in accordance with the second waveform type is based at least in part on the third signaling indicating that the UE is allowed to transmit different portions of the set of uplink messages in accordance with different waveform types; [[0020], the NR network may indicate to the UE to switch between CP-OFDM (first waveform) and DFT-S-OFDM (second waveform), even while communication is in progress. This indication may be reported to the UE by higher layer signaling or physical layer signaling (e.g., downlink control information (DCI)); [0047], the waveform that is used to transmit message 3 may be configured in the UE by higher layer signaling (RRC signaling, SIB, etc.) may be determined based on the UL grant included in the Random Access Response (RAR), or may be selected based on predetermined rules; [0048], the pre-determined rules may include, for example, the following: [0049], (1) The DFT-OFDM waveform is used if the transmission of message 3 is power-limited (for example, exceeds the maximum allowable transmission power of the user, exceeds the maximum transmission power of the carrier (cell) to use for the transmission, etc.), and, otherwise the CP-OFDM waveform is used.]
It is understood from above [0020] that the UE is allowed to transmit different portions of the set of uplink messages in accordance with different waveform types, as the waveform is switched upon the NR network indicating to the UE to switch between waveforms even while communication is in progress. Citation [0049] illustrates that a second waveform type may be transmitted as either a DFT-OFDM or a CP-OFDM waveform depending on exceeding a threshold (e.g., maximum allowable transmission power of the user). Also, it is understood from citation [0047] that the UE allowed to transmit different portions of the set of uplink messages in accordance with the second waveform type is based on the UL grant included in the RAR (message 2). The RAR message is the third signaling message sent by the network for the transmission of message 3 by the UE. The stated citations are consistent with paragraph [0096] of the specifications in that the UE may receive third signaling that allows the UE to transmit different portions of the set of uplink messages in accordance with different waveform types (e.g. perform hybrid transmission of PUSCH repetitions).
Claim 15 is rejected under 35 USC § 103 as being unpatentable over Osawa, in view of Sahlin (US 20190141741 A1, hereinafter “Sahlin”).
Regarding claim 15, Osawa discloses a method for wireless communication at a user equipment (UE), comprising:
• receiving during the random access procedure, the information within a downlink message of the type of downlink message; [[0046], the uplink grant for transmitting message 3 is included in message 2 (random access response (RAR)). Assuming that single-layer transmission applies to message 3, the UL grant included in the RAR corresponds to DCI format Y.]
• and transmitting during the random access procedure, the uplink message using the determined waveform type; [[0041][…], the part of the signals may be message 3 in random access (RA) procedures.]
Osawa does not explicitly disclose:
transmitting a set of two or more random access preambles as a request to transition from a first waveform type to a second waveform type for a type of downlink message;
receiving, based at least in part on the request, first signaling that indicates a rule pertaining to waveform type selection for a type of uplink message included in a random access procedure,
the rule associated with information within the type of downlink message included in the random access procedure;
determining, in accordance with the rule, the second waveform type for an uplink message of the type of uplink message based at least in part on the information included in the downlink message;
However, Sahlin discloses:
transmitting a set of two or more random access preambles as a request to transition from a first waveform type to a second waveform type for a type of downlink message (Random Access Procedure comprises a random access preamble and a second random access message comprises a random access response, a type of downlink message. ¶0013; gNB specifies two sets of PRACH preambles. UE selects from first set to use for OFDM for MSG3 and selects a preamble from a second set to use for DFTS-OFDM for MSG3. ¶0078; Based on the received PSS, SSS, and PBCH of a given channel, the UE selects a PRACH preamble of the first or second set of preambles to indicate OFDM or DFTS-OFDM for MSG3. ¶0079);
receiving, based at least in part on the request, first signaling that indicates a rule pertaining to waveform type selection for a type of uplink message included in a random access procedure (UE selects from two different sets of preambles to select uplink waveform. ¶0079; A gNB receiving a PRACH preamble and granting a matching message 3 transmission knows then which transmission scheme to expect for the message 3 transmission. Optionally this scheme could still be complemented with a modulation format bit in RAR to potentially overwrite a UE preference for message 3 transmission scheme. ¶0080; As provided, in some embodiments the gNB specifies two different PRACH preamble groups, one corresponding to OFDM, the other to DFTS-OFDM message 3 transmission. Instead of the PRACH preamble, some embodiments may use different PRACH formats or resources in time/frequency corresponding to OFDM and DFTS-OFDM message 3 transmission. ¶0082),
the rule associated with information within the type of downlink message included in the random access procedure (gNB specifies two sets of PRACH preambles. UE selects from first set to use for OFDM for MSG3 and selects a preamble from a second set to use for DFTS-OFDM for MSG3. ¶0078; Based on the received PSS, SSS, and PBCH of a given channel, the UE selects a PRACH preamble of the first or second set of preambles to indicate OFDM or DFTS-OFDM for MSG3. ¶0079);
determining, in accordance with the rule, the second waveform type for an uplink message of the type of uplink message based at least in part on the information included in the downlink message (gNB specifies two sets of PRACH preambles. UE selects from first set to use for OFDM for MSG3 and selects a preamble from a second set to use for DFTS-OFDM for MSG3. ¶0078; Based on, for example power of received PSS, SSS and PBCH, the UE selects a PRACH preamble of the first or second preamble set and by that indicates OFDM or DFTS-OFDM for message 3. This received power can be used to calculate the path loss between gNB and UE. In another example the UE selects between OFDM and DFTS-OFDM based on PRACH preamble power. This PRACH preamble power can be based on calculated path loss or PRACH power ramping. For example, in first transmission(s) UE selects preamble indicating OFDM, but if it must ramp its transmission power it switches to a preamble indicating DFTS-OFDM. ¶0079);
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to modify the teachings of Osawa, signaling to indicate a switch of waveforms for the UE, with the teachings of Sahlin, a rule for selecting a set of preambles to indicate uplink waveform of DFT-S-OFDM or OFDM and method to select which waveform.
The motivation in doing so would be to provide signaling to a UE the defines configuration and selection of DFT-s-OFDM or OFDM for MSG3 transmissions during the RACH procedure. DFTS-OFDM may be used for high transmit power given lower PAPR for devices in enhanced or extended coverage. OFDM may be used for lower transmit power for devices in normal coverage and for data throughput (Osawa: Abstract, ¶0006, 0008, 0009, 0019-0020, 0049, 0051; Sahlin: Abstract, ¶¶0002, 0005, 0009, 0011, 0058, 0078-0079 )
Claims 5, 6 are rejected under 35 U.S.C. 103 as being unpatentable over Osawa in view of Jiang, in view of Kwak, in view of 3GPP Specifications TS 38.331 V15.13.0 [herein after 3GPP TS 38.331].
Regarding claim 5, Osawa has disclosed the limitation of claim 1;
however, Osawa fails to explicitly disclose transmitting an indication of a UE capability associated with waveform type switching at the UE, wherein receiving the second signaling indicating for the UE to transition from the first waveform type to the second waveform type is based at least in part on the UE capability.
3GPP TS 38.331, in analogous art, teaches, transmitting an indication of a UE capability associated with waveform type switching at the UE, wherein receiving the second signaling indicating for the UE to transition from the first waveform type to the second waveform type is based at least in part on the UE capability. [3GPP TS 38.331 discloses that the Information Element (IE) ModulationOrder of the RRC ‘UE Capability Transfer’ message is used to convey the maximum supported modulation order. The supported modulation orders are bpsk-halfpi, bpsk, qpsk, QAM16, QAM64, and QAM256 [See sections 5.6.1 and 6.3.3].
It would have been obvious to one of ordinary skill in the art prior to the filing date of the invention to modify the method of Osawa with the teachings of 3GPP TS 38.331 to show that the RCC message ‘UE Capability Transfer’ can receive the second signaling associated with waveform type switching at the UE based at least in part on the UE capability. Per 3GPP TS 38.331, the purpose of the ‘UE Capability Transfer’ procedure is for the user equipment to compile and transfer its UE capability information upon receiving a UECapabilityEnquiry from the network. The network initiates the procedure to a UE in RRC_CONNECTED when it needs (additional) UE radio access capability information.
Regarding claim 6, Osawa and 3GPP TS 38.331 disclose all of the limitations of claim 5. furthermore 3GPP TS 38.331 disclose wherein the UE capability is based at least in part on one or more frequencies configured for the wireless communication. [3GPP TS 38.331 discloses that the IE FreqBandList is used by the network to request band combinations for specific frequency bands and/or up to a specific number of carriers and/or up to specific aggregated bandwidth [See sections 5.6.1 and 6.3.3].
Claims 13, 14 are rejected under 35 U.S.C. 103 as being unpatentable over Xu, in view of Kwak, in view of Osawa.
Regarding claim 13, Xu and Kwak have disclosed the limitation of claim 7;
however, Xu and Sahlin Kwak to explicitly disclose the configuration comprises a time duration associated with transitioning between waveform types, the time duration is measured from a time at which the UE transmits the request, and transitioning from the first waveform type to the second waveform type occurs after at least the time duration has elapsed since transmitting the request.
Osawa, in analogous art, teaches, the configuration comprises a time duration associated with transitioning between waveform types, the time duration is measured from a time at which the UE transmits the request, and transitioning from the first waveform type to the second waveform type occurs after at least the time duration has elapsed since transmitting the request. Osawa discloses that the [[0020], the NR network may indicate to the UE to switch between CP-OFDM (first waveform) and DFT-S-OFDM (second waveform), even while communication is in progress. This indication may be reported to the UE by higher layer signaling or physical layer signaling (e.g., downlink control information (DCI)); [0048], the pre-determined rules may include, for example, the following: [0049], (1) The DFT-OFDM waveform is used if the transmission of message 3 is power-limited (for example, exceeds the maximum allowable transmission power of the user, exceeds the maximum transmission power of the carrier (cell) to use for the transmission, etc.), and, otherwise the CP-OFDM waveform is used.]
It is understood from [0020] above that the transitioning from the first waveform type to the second waveform type is based at least in part on an elapsed time from the time the second signaling is received at the UE, as the waveform is switched upon the NR network indicating to the UE to switch between waveforms even while communication is in progress. The switching of the waveform type requires a processing time to interpret the instruction to switch the waveform type. This is consistent with paragraph [0093] of the specifications with the UE transitioning from the first waveform type to the second waveform type based on an elapsed time since the second signaling is received at the UE satisfying a threshold, where the threshold is the processing time.
It would have been obvious to one of ordinary skill in the art prior to the filing date of the invention to modify the method of Xu with the teachings of Osawa to show that a time duration elapses in the instance where waveform switching occurs after the user equipment transmits the request to switch waveform types.
Regarding claim 14, Xu has disclosed the limitation of claim 7;
however, Xu fails to explicitly disclose wherein the condition comprises non-linearity metric associated with a power amplifier at the UE, a power headroom, a peak to average power ratio, an average transmit power, or any combination thereof.
Osawa, in analogous art, teaches wherein the condition comprises explicitly disclose a non-linearity metric associated with a power amplifier at the UE, a power headroom, a peak to average power ratio, an average transmit power, or any combination thereof.: [[0049] (1) the DFT-S-OFDM waveform is used if the transmission of message 3 is power-limited (for example, exceeds the maximum allowable transmission power of the user, exceeds the maximum transmission power of the carrier (cell) to use for the transmission, etc.), and, otherwise the CP-OFDM waveform is used; and [0050] (2) the CP-OFDM waveform is used if the RA procedure is non-contention-based (contention-free), and, otherwise (for example, when the RA procedure is contention-based), the DFT-S-OFDM waveform is used; [0051], rule (1) above takes into account the fact that DFT-S-OFDM can increase transmission power higher. Also, rule (2) above takes into account preventing switching of the waveform, because, in non-contention-based RA, CP-OFDM is likely to be used before and after message 3 is transmitted. Although a Power Headroom Report (PHR) is required for the waveform after a switch, it is not necessary to calculate a PHR, and the burden of processing can be reduced if the waveform is not switched.]
It would have been obvious to one of ordinary skill in the art prior to the filing date of the invention to modify the method of Xu with the teachings of Osawa to show that a certain waveform, namely, DFTS-OFDM, is used if the transmission of message 3 is power-limited.
Claims 17 is rejected under 35 U.S.C. 103 as being unpatentable over Osawa in view of Sahlin, in view of Xu.
Regarding claim 17, Osawa and Sahlin have disclosed the limitation of claim 15;
however, Osawa and Sahlin fail to explicitly disclose performing the random access procedure as part of a beam failure recovery procedure or a handover procedure, wherein determining the second waveform type is based at least in part on the random access procedure being performed as part of the beam failure recovery procedure or the handover procedure.
Xu, in analogous art, teaches, performing the random access procedure as part of a beam failure recovery procedure or a handover procedure, wherein determining the second waveform type is based at least in part on the random access procedure being performed as part of the beam failure recovery procedure or the handover procedure; [[0066], after establishing the air interface RRC Connection Establishment/RRC Reconfiguration/RRC Connection Reestablishment procedure, the user equipment may update the uplink modulation mode to uplink 256 QAM. Since the DCI information received by the user equipment carries the first flag bit, the user equipment still uses the original uplink 64 QAM modulation mode to send uplink data, and the configured uplink 256 QAM modulation mode does not take effect temporarily. Similarly, after establishing the RRC Connection Establishment/RRC Reconfiguration/RRC Connection Reestablishment procedure the message by the user equipment is still sent using the uplink 64 QAM modulation mode].
It would have been obvious to one of ordinary skill in the art prior to the filing date of the invention to modify the method of Osawa of Sahlin with the teachings of Xu to show that the waveform type can be established upon an RRC Connection Reestablishment which can occur due to a beam failure recovery or a handover procedure. The primary purpose of the RRC Connection Reestablishment is to quickly restore the RRC connection when it has been interrupted due to factors like cell changes (e.g. handover) or radio link failures. Handoverfailure is one of the Reestablishment causes within the RRC ReestablishmentRequest message used as part of the RRC Connection Reestablishment procedure.
Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Osawa, in view of Sahlin, in view of 3GPP TS 38.214, in view of 3GPP TS 38.331.
Regarding claim 20, Osawa and Sahlin have disclosed the limitation of claim 15;
however, Osawa and Shalin fail to explicitly disclose transmitting an indication of a UE capability associated with waveform type selection at the UE, wherein receiving the first signaling is based at least in part on the UE capability.
3GPP TS 38.331, in analogous art, teaches, transmitting an indication of a UE capability associated with waveform type selection at the UE, wherein receiving the first signaling is based at least in part on the UE capability. [3GPP TS 38.331 discloses that the Information Element (IE) ModulationOrder of the RRC ‘UE Capability Transfer’ message is used to convey the maximum supported modulation order. The supported modulation orders are bpsk-halfpi, bpsk, qpsk, QAM16, QAM64, and QAM256 [See sections 5.6.1 and 6.3.3].
It would have been obvious to one of ordinary skill in the art prior to the filing date of the invention to modify the method of Osawa and Sahlin with the teachings of 3GPP TS 38.331 to show that the RCC message ‘UE Capability Transfer’ can receive the first signaling associated with waveform type switching at the UE based at least in part on the UE capability. Per 3GPP TS 38.331, the purpose of the ‘UE Capability Transfer’ procedure is for the user equipment to compile and transfer its UE capability information upon receiving a UECapabilityEnquiry from the network. The network initiates the procedure to a UE in RRC_CONNECTED when it needs (additional) UE radio access capability information.
Response to Arguments
Applicant’s arguments filed 05/18/ 2026 with respect to claim(s) 1 and 7 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Applicant's arguments filed 05/18/2026 with respect to claim 15 has been fully considered but they are not persuasive.
Applicant’s third argument is directed to claim 15 and the limitation "transmitting a set of two or more random access preambles as a request to transition from a first waveform type to a second waveform type for a type of downlink message". Applicant argues “Sahlin exclusively teaches that the UE selects a single preamble for communication and not "a set of two or more random access preambles" as recited in independent claim 15. Rather, Sahlin describes selection of a single preamble, indicating that a "UE selects preamble from a first set if it wishes to use OFDM for message 3 and selects preamble from second set if it wishes to use DFTS-OFDM for message 3." Sahlin [0078] (emphasis added).”, applicant’s emphasis.
Examiner respectfully disagrees. The limitation, as written, recites ‘transmitting a set of two or more random access preambles’. Examiner interpretation of the limitation is that the device selects from one of two preambles to indicate desired waveform to the network, i.e. one for CP-OFDM and one for DFT-S-OFDM, and transmits the selected preamble. The limitation does not recite further limitations as to the method and manner of transmitting the ‘set’.
Sahlin discloses “In another aspect the indication of a modulation format comprises an indication of a plurality of modulation formats and the wireless device is further configured to select a modulation format and transmit an indication of the selected modulation format to the network node. In some examples the plurality of modulation formats comprises Discrete Fourier Transform Spread-Orthogonal Frequency Division Multiplexing, DFTS-OFDM, and OFDM.”, ¶0033. In addition, “If the message 3 modulation format is indicated in system information (SI) it could either specify just DFTS-OFDM or OFDM in which case the LIE would have to obey the configuration. System information (SI) may comprise a master information block (MIB) or a system information block (SIB). However, the gNB could also indicate both OFDM and DFTS-OFDM. In this case one possibility would be the UE selects—based on e.g. its power budget—one preamble transmission scheme and the gNB blindly detects the transmission scheme. The blind decoding could be based on the reference signal of message 3.”, ¶0077. Further, “A gNB receiving a PRACH preamble and granting a matching message 3 transmission knows then which transmission scheme to expect for the message 3 transmission. Optionally this scheme could still be complemented with a modulation format bit in RAR to potentially overwrite a UE preference for message 3 transmission scheme.”, ¶0080.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant’s disclosure.
US 20200259612 A1 Nakamura et al.
” TERMINAL APPARATUS AND BASE STATION APPARATUS”
A receiver configured to receive first information on a configuration of a demodulation reference signal via higher layer signaling and receive downlink control information including second information on transmission of the demodulation reference signal via a physical downlink control channel, and a transmitter configured to transmit the demodulation reference signal and uplink data are included. The transmitter transmits the demodulation reference signal and the uplink data by using a same OFDM symbol based on at least the first information and the second information.
WO 2021212259 A1 Yuan et al.
“MIXED WAVEFORM FOR PHYSICAL UPLINK SHARED CHANNEL REPETITION”
Various aspects of the present disclosure generally relate to wireless communication. In some aspects, a user equipment may receive a physical uplink shared channel (PUSCH) configuration that configures a first waveform and a second waveform that is different than the first waveform; and transmit, based at least in part on the PUSCH configuration, a first PUSCH repetition using one of the first waveform or the second waveform, and a second PUSCH repetition using the other one of the first waveform or the second waveform. Numerous other aspects are provided.
WO 2023168654 A1 Xiao et al.
METHODS AND APPARATUS OF DYNAMIC SWITCHING OF WAVEFORMS
Methods and apparatus of dynamic switching of waveforms between CP-OFDM and DFT-s-OFDM are disclosed. The apparatus includes: a receiver that receives two sets of parameters for PUSCH configuration in a BWP of a cell, the two sets of parameters including a first set of parameters for a first waveform of PUSCH transmission and a second set of parameters for a second waveform of PUSCH transmission; and a processor that determines a selected set of parameters from the two sets of parameters for a PUSCH transmission.
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/PAUL A. LANGER/Examiner, Art Unit 2419
/Nishant Divecha/Supervisory Patent Examiner, Art Unit 2419
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