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 .
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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 01/27/2026 has been entered.
Summary
This action is in reply to Applicant’s Amendments and Remarks filed on 01/27/2026.
Claims 1, 3-4, 9, 11-12, 16, and 18-19 are pending.
Claims 2, 5-8, 10, 13-15, 17 and 20 are cancelled.
Response to Arguments
Applicant’s arguments dated 01/27/2026 with respect to claims 1, 9 and 16 have been considered but they are not persuasive.
The Applicant presented argument cited references do not disclose claim 9 (or similarly claims 1 and 16) limitations “receiving, from the base station, a downlink control information (DCI) scheduling at least one PUSCH in one cell, the DCI including a set of fields;
identifying whether the set of fields in the DCI includes an SRS resource indicator field;
in case that the set of fields does not include an SRS resource set indicator field, based on the first information, applying the TCI state indicated for the PUSCH transmission by the first information; and
transmitting, to the base station, the PUSCH.” (REMARKS, Pages 8-9)
The Examiner respectfully disagrees, and presents that Yuan discloses-
Fig. 5, [0089] FIG. 5 is a diagram 500 illustrating example communications between a UE 502 and a base station 504. As illustrated in FIG. 5, the base station 504 may transmit TCI indication 506 in the form of joint TCI or separate DL/UL TCI to the UE 502. In some aspects, the base station 504 may also transmit DCI 508 for M-TRP or S-TRP operations to the UE 502. The UE 502 may be configured with more than one SRS resource sets for UL MIMO, such as CB or NCB MIMO. …..The UE 502 may also transmit PUCCH or PUSCH 512 based on the indicated TCI in the TCI indication 506 and the DCI 508.
(In Fig. 5 message 506 is the message with first information indicating TCI state for PUSCH)
[0090] In some aspects, if the UE 502 is configured with two SRS resource sets for UL MIMO, either for NCB MIMO or for CB MIMO, when UE is indicated with a TCI codepoint of joint TCI with (M,N)=(1, 1), or separate TCI(s) with (M,N)=(1,1) or (2,1), the UE 502 may apply the single indicated TCI to both SRS resource sets. For example, the UE 502 may support a DCI 0_1 or 0_2 with a dynamic switching field indicating “00” or “01” for a S-TRP PUSCH transmission (e.g., the PUSCH 512).
[0102] …. a DCI 0_1/0_2 with a dynamic switching field “00” or “01” may indicate a S-TRP PUSCH transmission and may determine one of two SRS resource sets and the corresponding TCI to be used ……….. In some aspects, a DCI 0_0 may schedule a S-TRP PUSCH transmission. The TCI with the lowest ID in the pair of indicated TCIs may be used.
In Fig. 5 and [0102] Yuan disclosing PUSCH transmission scheduled by either DCI format 0_1, or DCI format 0_2 or DCI format 0_0.
It is common knowledge that UE can identify the DCI format type or format id according to protocol and can determine whether the received DCI includes indicator for SRS resource sets since DCI format 0_0 does not have any parameter indicating SRS resources, whereas DCI 0_1/0_2 has SRS resource set indication field. For example see 3GPP TS 38.212 V15.6.0 (2019-06) Pages 74-76 Section 7.3.1.1.1 for DCI format 0_0 specification or 3GPP TS 38.214 V16.7.0 (2021-09) Pages 110-111 Section 6.1.1 Transmission schemes.
Therefore it is obvious that when scheduled by DCI format 0_0, the UE applying the TCI state with lowest ID from TCI states indicated for the PUSCH transmission by the first information by message 506, and transmit, to the base station, the S-TRP PUSCH as disclosed by YUAN in [0089, 0102], which is different than when scheduled by DCI format 0_1 and DCI format 0_2 in which case an indicated SRS resource set and corresponding TCI is used for S-TRP PUSCH transmission as disclosed by YUAN in [0090, 0102].
Accordingly, amended Claim 1 and similarly claims 9 and 16 are not patentable.
Dependent claims 3-4, 11-12 and 18-19 being dependent on claims 1, 9 and 16 are also rejected for the same reason as above.
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 of this title, 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.
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 1, 9 and 16 are rejected under 35 U.S.C. 103 as being unpatentable over Yang; Yu (US 20240405949 A1 with priority of CN 202210134762.5, of record, hereinafter ‘YANG’) in view of Yuan et al. (US 20250133623 A1 with priority of PCT/CN2021/131730, hereinafter ‘YUAN’) with evidence by 3GPP (3GPP TS 38.212v16.7.0, hereinafter ‘3GPP212’).
Regarding claim 1, YANG teaches a user equipment (UE) in a wireless communication system (Fig. 1 Terminal 11, Fig. 7 terminal 700,
[0144] FIG. 1 is a block diagram of a wireless communications system to which embodiments of this application can be applied. The wireless communication system includes a terminal 11 and a network side device 12.
[0768] FIG. 7 is a schematic diagram of a hardware structure of a terminal), comprising:
a transceiver (Fig. 1 Terminal 11), at least one processor coupled with the transceiver (
Fig. 7, [0769] The terminal 700 includes but is not limited to: at least some of the following components: a radio frequency unit 701, …. a memory 709, and a processor 710.
[0772] the radio frequency unit 701 includes ….. a transceiver….) configured to:
receive, from a base station (Fig. 1 network side device 12), message comprising first information indicating a transmission configuration indication (TCI) state for a physical uplink shared channel (PUSCH) transmission (
[0153] (5) Beam indication for a physical uplink shared channel (PUSCH): For spatial relation information of the PUSCH, when DCI carried on a PDCCH schedules a PUSCH, each SRI codepoint of a sounding reference signal (SRS) resource indicator (SRI) field in the DCI indicates one SRI, and the SRI indicates the spatial relation information of the PUSCH.
[0155] a target TCI state used by each type of channel or reference signal resource needs to be indicated through a beam indication process corresponding to the channel …
[0156] The beam indication process of the unified TCI framework is as follows.
[0157] The network side device configures a TCI state pool by using RRC signaling, and activates one or more TCI states in the TCI state pool by using MAC CE signaling. When the MAC CE activates a TCI state corresponding to one codepoint, the activated TCI state is directly applied to a target signal. When the MAC CE activates TCI states corresponding to a plurality of codepoints respectively, the network side device uses a TCI field in DCI to indicate one codepoint, and a TCI state corresponding to the one codepoint is applied to a target signal.
[0162] A target signal of the TCI state may be divided into the following two cases:
[0163] (1) DL: ……..
[0164] (2) UL: A dynamic grant/configuration-grant based PUSCH, … aperiodic SRS resources or resource sets for BM, an SRS for antenna switching, an SRS for codebook, and an SRS for non-codebook.
[0165] In an implementation, a DCI format 1_1/1_2 with DL allocation and a DCI format 1_1/1_2 without DL allocation are supported when the network side device uses DCI for beam indication.
[0167] The PUCCH, the PUSCH, and the SRS each may have a parameter setting associated with the TCI state or included in configuration information of each channel.
Fig. 2, [0171] Step 201: A terminal obtains common beam information indicated by a network side device, where the common beam information includes N first transmission configuration indicator TCI states, the first TCI state is a joint TCI state or a separate downlink DL TCI state, and N is an integer greater than or equal to 1.
[0172] the network side device configures a TCI state pool by using RRC signaling, and activates a TCI state corresponding to one or at least two codepoints by using MAC CE signaling. When a quantity of codepoints corresponding to the active TCI state is greater than 1, the network side device uses a TCI field in DCI to indicate at least some of the active TCI states as a first TCI state.
(Construed that Network side device 12 may use RRC to configure a UE with a pool of joint TCI states or separate TCI states for DL/UL target signal transmission, Network device uses DCI for PUSCH beam indication scheduling PUSCH and code point for target PUSCH signal transmission)),
identify that at least one sounding reference signal (SRS) resource set is configured (
[0153] (5) Beam indication for a physical uplink shared channel (PUSCH): For spatial relation information of the PUSCH, when DCI carried on a PDCCH schedules a PUSCH, each SRI codepoint of a sounding reference signal (SRS) resource indicator (SRI) field in the DCI indicates one SRI, and the SRI indicates the spatial relation information of the PUSCH.
[0154] (6) Beam indication for an SRS: ….. the network side device configures spatial relation information for the SRS resource by using RRC signaling.
[0157] …. the network side device uses a TCI field in DCI to indicate one codepoint, and a TCI state corresponding to the one codepoint is applied to a target signal.
[0162] A target signal of the TCI state may be divided into the following two cases:
[0164] (2) UL: A dynamic grant/configuration-grant based PUSCH, … aperiodic SRS resources or resource sets for BM, an SRS for antenna switching, an SRS for codebook, and an SRS for non-codebook),
receive, from the base station, a downlink control information (DCI) scheduling at least one PUSCH in one cell, the DCI including a set of fields (
[0153] (5) Beam indication for a physical uplink shared channel (PUSCH): For spatial relation information of the PUSCH, when DCI carried on a PDCCH schedules a PUSCH, each SRI codepoint of a sounding reference signal (SRS) resource indicator (SRI) field in the DCI indicates one SRI, and the SRI indicates the spatial relation information of the PUSCH.
[0162] A target signal of the TCI state may be divided into the following two cases: ……
[0164] (2) UL: A dynamic grant/configuration-grant based PUSCH, all of dedicated PUCCH resources, aperiodic SRS resources or resource sets for BM, an SRS for antenna switching, an SRS for codebook, and an SRS for non-codebook.
It is obvious that PUSCH scheduling DCI in [0153] is one of DCI formats 0_0, 0_1, 0_2 and it is common knowledge that DCI formats 0_0, 0_1, 0_2 are used for scheduling PUSCH, and each of DCI formats 0_0, 0_1, 0_2 includes a set of fields, as evident from 3GPP212 (available free over internet) -
Page 85 Table 7.3.1-1: DCI formats,
Pages 88-91 Section 7.3.1.1.1 DCI format 0_0,
Pages 92-112 Section 7.3.1.1.2 DCI format 0_1, and
Pages 112-118 Section 7.3.1.1.3 DCI format 0_2),
identify whether the set of fields in the DCI includes an SRS resource indicator field (
See [0153, 0157, 0162, 0164] cited above, disclosing TCI field in DCI provides one codepoint to be used for TCI state to be applied for target signal (PUSCH, SRS) transmission.
It is obvious that a DCI scheduling PUSCH has format indication which indicates whether the received DCI includes SRS resource indicator as DCI format 0_0 does not have SRS indicator field, whereas DCI format 0_1 and DCI format 0_2 have SRS indicator fields as evident from 3GPP TS 38.212v16.7.0 Page 85-118).
YANG does not explicitly disclose
identify that at least one sounding reference signal (SRS) resource set is configured by a higher layer in second information on an SRS configuration for the UE,
in case that only one SRS resource set is configured, based on the first information apply the TCI state indicated for the PUSCH transmission by the first information,
in case that the set of fields does not include a SRS resource set indicator field, based on the first information indicating the TCI state, applying the TCI state indicated for the PUSCH transmission by the first information, and transmit, to the base station, the PUSCH.
In analogous art, YUAN teaches identify that at least one sounding reference signal (SRS) resource set is configured by a higher layer in second information on an SRS configuration for the UE (
[0087] UE may expect the RRC to configure two SRS resource sets for UL MIMO, either NCB or CB and two SRI/TPMI fields for UL MIMO in DCI 0_1/DCI 0_2),
in case that only one SRS resource set is configured, based on the first information, apply the TCI state indicated for the PUSCH transmission by the first information (
[0077] For joint TCI, the indicated TCI(s) may be (M,N)=(1,1) or (2,2), i.e., one joint TCI may indicate one QCL information for DL receptions and one spatial transmit filter for UL transmissions, or indicate two joint TCIs for different channels in DL receptions and UL transmissions………. For separate DL/UL TCI with (M,N)=(1,1), one pair of DL TCI and UL TCI may be indicated. For separate DL/UL TCI with (M,N)=(2,2), two pairs of DL TCI and UL TCI may be indicated………….. The single TCI indication indicating one or more TCIs with M>1 and N>1 may be a DCI with a TCI indication field, or a MAC-CE. For example, the codepoint of TCI indication field in DCI may provide a single TCI indication with (M,N).
[0078] DCI format 0_1 or 0_2 scheduling M-TRP may include a dynamic switching field. For example, as illustrated in the table below:
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200
400
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[0080] In codebook-based MIMO wireless communication systems, the precoding may be selected from a standardized codebook. In a non-codebook-based MIMO, there may be no such codebook, and the precoding may be dynamically determined. For some non-codebook-based MIMO in a PUSCH, an SRI field in DCI may indicate a set of precoders associated with an SRS resource set and a set of power control (PC) parameters which may include any of P0, alpha, closed-loop index ….. The closed-loop index may be an index of the closed power control loop associated with the SRI and the associated PUSCH. A beam of the PUSCH may follow the SRS resource set….
[0081] For some codebook-based MIMO in a PUSCH, an SRI field in DCI may select an SRS resource from multiple SRSs in an SRS resource set for determining a beam for PUSCH transmission…..
[0082] For PC parameters that are not PL RS (e.g., P0, alpha, and closedloopindex), for each of PUSCH, PUCCH, and SRS, one or more of the following settings may be selected or combined: 1) the setting of (P0, alpha, closed-loop index) may be associated with UL or (if applicable) joint TCI state
(Construed from TABLE 2 and [0077-0081], that DCI format 0_1 or 0_2 scheduling M-TRP may provide a code point “00” or “01” for a single TCI indication indicating only one SRS resource set is configured, based on the information indicating the TCI state, apply an indicated TCI state for the PUSCH transmission)
See also Fig. 5 TCI indication 506,
[0089] in FIG. 5, the base station 504 may transmit TCI indication 506 in the form of joint TCI or separate DL/UL TCI to the UE 502. In some aspects, the base station 504 may also transmit DCI 508 for M-TRP or S-TRP operations to the UE 502. The UE 502 may be configured with more than one SRS resource sets for UL MIMO…
[0090] …… In some aspects, the UE 502 may UE apply the single indicated TCI to one associated SRS resource set. In some aspects, radio resource control (RRC) or medium access control (MAC) control element (MAC-CE)) may (e.g., may be used by a base station to) associate a TCI with one of two SRS resource sets (e.g., based on closed loop index), and the indicated TCI selects the SRS resource set to be used. …. In some aspects, S-TRP PUSCH may be scheduled.
See also [0102] …. a DCI 0_1/0_2 with a dynamic switching field “00” or “01” may indicate a S-TRP PUSCH transmission and may determine one of two SRS resource sets and the corresponding TCI to be used),
in case that the set of fields does not include an SRS resource set indicator field, based on the first information, apply the TCI state indicated for the PUSCH transmission by the first information, and transmit, to the base station, the PUSCH (
Fig. 5, [0089] FIG. 5 is a diagram 500 illustrating example communications between a UE 502 and a base station 504. As illustrated in FIG. 5, the base station 504 may transmit TCI indication 506 in the form of joint TCI or separate DL/UL TCI to the UE 502. In some aspects, the base station 504 may also transmit DCI 508 for M-TRP or S-TRP operations to the UE 502. The UE 502 may be configured with more than one SRS resource sets for UL MIMO, such as CB or NCB MIMO. …..The UE 502 may also transmit PUCCH or PUSCH 512 based on the indicated TCI in the TCI indication 506 and the DCI 508.
(In Fig. 5 message 506 is the message with first information indicating TCI state for PUSCH)
[0090] In some aspects, if the UE 502 is configured with two SRS resource sets for UL MIMO, either for NCB MIMO or for CB MIMO, when UE is indicated with a TCI codepoint of joint TCI with (M,N)=(1, 1), or separate TCI(s) with (M,N)=(1,1) or (2,1), the UE 502 may apply the single indicated TCI to both SRS resource sets. For example, the UE 502 may support a DCI 0_1 or 0_2 with a dynamic switching field indicating “00” or “01” for a S-TRP PUSCH transmission (e.g., the PUSCH 512).
[0102] …. a DCI 0_1/0_2 with a dynamic switching field “00” or “01” may indicate a S-TRP PUSCH transmission and may determine one of two SRS resource sets and the corresponding TCI to be used ……….. In some aspects, a DCI 0_0 may schedule a S-TRP PUSCH transmission. The TCI with the lowest ID in the pair of indicated TCIs may be used.
(In Fig. 5 and [0102] Yuan disclosing PUSCH transmission scheduled by either DCI format 0_1, or DCI format 0_2 or DCI format 0_0.
It is common knowledge that UE can identify the DCI format type or format id according to protocol and can determine whether the received DCI includes indicator for SRS resource sets since DCI format 0_0 does not have any parameter indicating SRS resources, whereas DCI 0_1/0_2 has SRS resource set indication field. For example see 3GPP TS 38.212 V15.6.0 (2019-06) Pages 74-76 Section 7.3.1.1.1 for DCI format 0_0 specification or 3GPP TS 38.214 V16.7.0 (2021-09) Pages 110-111 Section 6.1.1 Transmission schemes.
Therefore it is obvious that when scheduled by DCI format 0_0, the UE applying the TCI state with lowest ID from TCI states indicated for the PUSCH transmission by the first information by message 506, and transmit, to the base station, the S-TRP PUSCH as disclosed by YUAN in [0089, 0102], which is different than when scheduled by DCI format 0_1 and DCI format 0_2 in which case an indicated SRS resource set and corresponding TCI is used for S-TRP PUSCH transmission as disclosed by YUAN in [0090, 0102].)).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to take the technique of TCI indication for PUSCH transmission of YUAN to the system of unified transmission configuration indicator (TCI) framework in the 3GPP release 17 for advantage of a method providing for further improvements in 5G NR technology improving efficiency of communication between a UE and a base station (YUAN: [0001, 0003, 0021, 0109]).
Regarding claim 3, YANG, in view of YUAN, teaches the UE of claim 1.
YANG does not explicitly disclose wherein the SRS resource set is configured in the second information on the SRS configuration for the UE, and the second information includes a high layer parameter indicating a codebook based or non-codebook based transmission.
YUAN teaches wherein the SRS resource set is configured in the second information on the SRS configuration for the UE, and the second information includes a high layer parameter indicating a codebook based or non-codebook based transmission (
[0080] In codebook-based MIMO wireless communication systems, the precoding may be selected from a standardized codebook. In a non-codebook-based MIMO, there may be no such codebook, and the precoding may be dynamically determined. For some non-codebook-based MIMO in a PUSCH, an SRI field in DCI may indicate a set of precoders associated with an SRS resource set …... A beam of the PUSCH may follow the SRS resource set….
[0081] For some codebook-based MIMO in a PUSCH, an SRI field in DCI may select an SRS resource from multiple SRSs in an SRS resource set for determining a beam for PUSCH transmission…..
[0087] When at least one of the activated TCI codepoint has joint TCI with (M,N)=(2,2), or separate TCI with (M,N)=(1,2), (2,2), a UE may expect the RRC to configure two SRS resource sets for UL MIMO).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to take the technique of TCI indication for PUSCH transmission of YUAN to the system of unified transmission configuration indicator (TCI) framework in the 3GPP release 17 for advantage of a method providing for further improvements in 5G NR technology improving efficiency of communication between a UE and a base station (YUAN: [0001, 0003, 0021, 0109]).
Regarding claim 4, YANG, in view of YUAN, teaches the UE of claim 1.
YANG does not explicitly disclose wherein message is a radio resource control (RRC) message, wherein the indicated TCI state is indicated as one of two TCI states, and wherein the PUSCH is scheduled by a downlink control information (DCI) format 0 1 or a DCI format 0 2.
YUAN teaches wherein message is a radio resource control (RRC) message, wherein the indicated TCI state is indicated as one of two TCI states, and wherein the PUSCH is scheduled by a downlink control information (DCI) format 0_1 or a DCI format 0_2 (
[0121] the UE may support a DCI format 0_1 and a DCI format 0_2 with dynamic switching selecting the first SRS resource set or the second SRS resource set for a S-TRP PUSCH transmission…….. the dynamic switching may indicate an order of the first SRS resource set or the second SRS resource set and an order of the two UL TCIs.).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to take the technique of TCI indication for PUSCH transmission of YUAN to the system of unified transmission configuration indicator (TCI) framework in the 3GPP release 17 for advantage of a method providing for further improvements in 5G NR technology improving efficiency of communication between a UE and a base station (YUAN: [0001, 0003, 0021, 0109]).
Regarding claim 9, the claim with features mutatis mutandis of claim 1, is rejected for the same reason as set forth for claim 1.
Regarding claim 16, YANG teaches a base station (BS) in a wireless communication system (Fig. 1 Network side device 12, Fig. 8 Network side device 800,
[0144] The network side device 12 may include an access network device …. ….may include ….. a radio base station), the base station comprising:
a transceiver, and at least one processor coupled with the transceiver (Fig. 1 Network side device 12,
Fig. 8 network side device 800 includes processor 804 coupled to radio frequency apparatus 802 via Bus interface,
[0908] As shown in FIG. 8, the network side device 800 includes: an antenna 801, ….. a processor 804, and a memory 805……).
Further, claim 16 with features mutatis mutandis of claim 1, is rejected for the same reason as set forth for claim 1.
Regarding claims 11-12, the claims with similar features as in claims 3-4 are also interpreted and rejected for the same reason as claims 3-4.
Regarding claims 18-19, the claims with similar features as in claims 3-4 are also interpreted and rejected for the same reason as claims 3-4.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure:
Huang; Chun-Wei (US 20220394624 A1), describing METHOD AND APPARATUS FOR POWER CONTROL REGARDING MULTI-TRP UPLINK TRANSMISSION IN A WIRELESS COMMUNICATION SYSTEM
Park et al. (US 20220116859 A1), describing Beam Update For Control Resource Sets
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/SHAH M RAHMAN/Primary Examiner, Art Unit 2413