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 .
This office action is in response to remarks filed 01/16/2026.
Claims 1-20 are pending and presented for examination. Claims 1, 4, 6, 7, 9-11, 17, and 18 are amended. No claims are added or deleted.
Response to Amendment
Objections to IDS, filed 06/08/2023 and 11/03/2025, are withdrawn.
Objections to claims for informalities are withdrawn.
35 U.S.C. § 112(b) rejections are withdrawn.
Information Disclosure Statement
The information disclosure statements (IDS) submitted on 11/03/2025 and 01/16/2026 are in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner.
Claim Objections
Claim 6 is objected to because of the following informalities: “plurality pf phase shifters” appears to be a typo ‘pf’ for ‘of’. Appropriate correction is required.
Claim Rejections - 35 USC § 103
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
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.
Claim(s) 1-20 are rejected under 35 U.S.C. 103 as being unpatentable over Ko et al. (US 20160241323 A1, hereinafter “Ko”) in view of Mochizuki et al (US 20170215078 A1, hereinafter “Mochizuki”).
RE Claim 1 and 19, Ko discloses a system or method of a base station:
A Base Station (BS) in a communication system (¶0051), comprising
a plurality of antennas (¶¶0068, 0160-0162, Fig. 5),
a plurality of phase shifters (¶¶0143, 0152, 0160-0162, 0191, Fig. 17, 18, 21, 23),
a plurality of radio frequency (RF) links (¶¶0129-0135, Fig. 12), and
one or more processors (¶0379, Fig. 31) configured to:
provide one or more control instructions for one or more User Equipment (UE) in the communication system (¶¶0263-0264),
control to receive uplink reference signals from the one or more UE with a plurality of BS receiving beams (¶¶0265-0268), and
wherein each BS receiving beam is formed based on a value pattern of the plurality of
phase shifters for analog beamforming configured by the one or more processors (Uplink reception analog beamforming, a BS receiving beam from UE, a beamforming vector selected based on signals received to apply a beamforming weight vector, adjustment of phase shifts. ¶¶0340-0344, 0352),
wherein the one or more control instructions includes at least one of an indication of time of transmitting the uplink reference signal or an indication of a number of times for transmitting the uplink reference signal (Uplink reference signal transmission period configurations. ¶¶0012-0017; Training sequence for analog beamforming is repeatedly transmitted. ¶¶0331-0332; Time for which training sequence is transmitted set by an indicator, instruction, from the BS to the UE. Indicator includes transmission period of the training sequences. BS indicates to the UEs the transmission period of training sequences that the UEs need to transmit. ¶¶0367-0368).
Ko does not explicitly disclose:
determine a BS receiving beam for each UE based on a criterion of maximizing received signal power or a criterion of maximizing Signal-to-Interference Ratio
However, Mochizuki discloses:
determine a BS receiving beam for each UE based on a criterion of maximizing received signal power or a criterion of maximizing Signal-to-Interference Ratio (eNB has plurality of antennas and controls the phase and amplitude of an input signal to form a beam. ¶0843; Adjusting the phase and amplitude values, weighting coefficients, to maximize received SRS power, a BS receiving beam. Weighting may be used to receive data or perform downlink transmissions. ¶0844)
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 Ko, transmit and receive reference signals between a BS and UE, with the teachings of Reference Mochizuki, based on reference signal measurement determine the beam(s) that maximum signal power and SINR.
The motivation in doing so would be to support multi-user adaptive hybrid beamforming with analog and digital beamforming capabilities utilizing SRS information to optimize best link quality for packet throughput. (Ko: Abstract, ¶¶0007-0010; Mochizuki: ¶¶0061-0068, 0843-0847)
RE Claim 2, Ko discloses a system:
wherein the one or more processors are configured to control to transmit downlink reference signals to the one or more UE (UE measures a channel through received CSI-RS, a transmitted downlink reference signal, from base station. ¶0113), each UE determining a UE transmitting beam based on the downlink reference signals transmitted from the BS (UE measures a channel through received CSI-RS, a transmitted downlink reference signal, from base station and reports CQI, PMI, and/or RI. ¶0113; Terminal, UE, discovering and reporting a precoding weight for analogy beam forming. ¶0216; UE measures channel and discovers analog beamforming precoding weights for antenna subgroups. ¶¶0235-0236, 0263),
wherein the one or more control instructions includes at least one of an indication of time of transmitting the downlink reference signal or an indication of a number of times for
transmitting the downlink reference signal (BS reports CSI-RS configuration information to UEs. Information includes transmission period and offset value to start time, an indication of time. CSI-RS may be transmitted periodically within a period of time. ¶¶0111-0113, Fig. 9; Training sequence for analog beamforming may be repeatedly transmitted. ¶0331).
RE Claim 3, Ko discloses a system:
wherein the one or more processors are configured to estimate, a channel between a UE that is among the one or more UE and the BS, seen from the BS receiving beam corresponding to the UE (Uplink reception analog beamforming, a BS receiving beam from UE, a beamforming vector selected based on signals received to apply a beamforming weight vector, adjustment of phase shifts. ¶¶0340-0344, 0352),
determine a digital precoding matrix according to the estimated channel (Hybrid beamforming based on analog and digital beamforming. ¶0167; Channel information is acquired from SRS to perform digital beamforming, digital precoding matrix. ¶0347), and precode a data signal for the UE with the digital precoding matrix (SRS used to acquire CSI of a UE by the CS. SRS is used to determine downlink transmission precoding of the BS. ¶0347).
RE Claim 4, Ko discloses a system:
wherein a number of the plurality of RF links is K which is an integer greater than 1 (¶¶0129-0135, Fig. 12; ¶¶0143, 0152, 0160-0162, 0191, Fig. 17, 18, 21, 23, 24), the one or more processors are configured to, for at least two or more UEs among the one or more UEs (N independent beams allocated to N users for multi-user transmission. ¶0162; ¶0185, Fig. 24), estimate a channel between each UE and the BS seen from the BS receiving beam corresponding to the UE (Uplink reception analog beamforming, a BS receiving beam from UE, a beamforming vector selected based on signals received to apply a beamforming weight vector, adjustment of phase shifts. ¶¶0340-0344, 0352),
determine a digital precoding matrix according to the estimated channels of the at least two or more UEs (N independent beams allocated to N users for multi-user transmission. ¶0162; N beams with a precoding matrix for N antenna ports. ¶0250; Digital beamforming, digital precode matrix, based on CSI. ¶0254), and
precode K data signals respectively for the at least two or more UEs with the digital precoding matrix (M independent signals, K data signals, transmitted over N channels with a configured transmit precoder. ¶0209).
RE Claim 5, Ko discloses a system:
wherein the one or more processors are configured to determine a BS transmitting beam according to the BS receiving beam (Beamforming may be determined by the BS based on channel information measured and reported by the UE, or may be determined by the BS according to an uplink signal measured by the BS. ¶0256; UE measures and reports a downlink channel in downlink hybrid beamforming. BS measures an uplink channel from the UE and uses the same for downlink transmission. ¶0306; RS used by BS to acquire CSI of a UE for transmission precoding for uplink. SRS information used for determining downlink transmission precoding. ¶0347),
control to form the BS transmitting beam with the value pattern of the plurality pf phase shifters corresponding to the BS receiving beam (UE measures and reports a downlink channel in downlink hybrid beamforming. BS measures an uplink channel from the UE and uses the same for downlink transmission. ¶0306; Uplink reception analog beamforming, a BS receiving beam from UE, a beamforming vector selected based on signals received to apply a beamforming weight vector, adjustment of phase shifts. ¶¶0340-0344, 0352), and
control to transmit the precoded data signal to the UE with the BS transmitting beam for the UE (N independent beams allocated to N users for multi-user transmission. ¶0162; N beams with a precoding matrix for N antenna ports. ¶0250; Digital beamforming, digital precode matrix, based on CSI. ¶0254; M independent signals, K data signals, transmitted over N channels with a configured transmit precoder. ¶0209).
RE Claim 6, Ko discloses a system:
wherein the one or more processors are configured to determine a respective BS transmitting beam according to each BS receiving beam (Beamforming may be determined by the BS based on channel information measured and reported by the UE, or may be determined by the BS according to an uplink signal measured by the BS. ¶0256; UE measures and reports a downlink channel in downlink hybrid beamforming. BS measures an uplink channel from the UE and uses the same for downlink transmission. ¶0306; RS used by BS to acquire CSI of a UE for transmission precoding for uplink. SRS information used for determining downlink transmission precoding. ¶0347),
control to form K BS transmitting beams with the K value patterns of the plurality pf phase shifters corresponding to the K BS receiving beams (Multiple phase shifters configured for an antenna subgroup. Beamforming for independent beams in various directions. Each subgroup has multiple beams, K beams. For example, 4 beams generated results in 4 independent radio channels, K transmit/receive beams. ¶¶0190-0194, Fig. 25), and
control to transmit the precoded data signals to the at least two or more UEs with the K BS transmitting beams for the respective UE (N independent beams allocated to N users for multi-user transmission. ¶0162; N beams with a precoding matrix for N antenna ports. ¶0250; Digital beamforming, digital precode matrix, based on CSI. ¶0254; M independent signals, K data signals, transmitted over N channels with a configured transmit precoder. ¶0209).
RE Claim 7, Ko discloses a system:
wherein the one or more processors are configured to determine the number of times for transmitting the uplink reference signal based on at least one of a number of BS receiving beams that can be formed by the BS or a number of RF links of the BS (Uplink reference signal transmission period configurations. ¶¶0012-0017; Training sequence for analog beamforming is repeatedly transmitted. ¶¶0331-0332; Time for which training sequence is transmitted set by an indicator, instruction, from the BS to the UE. Indicator includes transmission period of the training sequences. BS indicates to the UEs the transmission period of training sequences that the UEs need to transmit. ¶¶0367-0368).
RE Claim 8, Ko discloses a system:
wherein the downlink reference signal is channel state information reference signal (CSI-RS) (BS reports CSI-RS configuration information to UEs. ¶¶0111-0113, Fig. 9;), and the uplink reference signal is sounding reference signal (SRS) (RS used by BS to acquire CSI of a UE for transmission precoding for uplink. SRS information used for determining downlink transmission precoding. ¶0347).
RE Claim 9, Ko discloses a system:
wherein each of the plurality of RF links are connected to each of the plurality of antennas via a corresponding subset of the plurality of phase shifters (Multiple phase shifters configured for an antenna subgroup. Phase shifters, power amplifiers, DACs, and antennas in the RF chain. Beamforming for independent beams in various directions. Each subgroup has multiple beams, K beams. For example, 4 beams generated results in 4 independent radio channels, K transmit/receive beams. ¶¶0190-0194, Fig. 25).
RE Claim 10, Ko discloses a system:
wherein each of the plurality of RF links are connected to a subset of the plurality of antennas via a corresponding subset of the plurality of phase shifters (Multiple phase shifters configured for an antenna subgroup. Phase shifters, power amplifiers, DACs, and antennas in the RF chain. Beamforming for independent beams in various directions. Each subgroup has multiple beams, K beams. For example, 4 beams generated results in 4 independent radio channels, K transmit/receive beams. ¶¶0190-0194, Fig. 25).
RE Claim 11, Ko discloses a system:
wherein the uplink reference signals from the at least two or more UEs are orthogonal to each other in terms of training sequence included in the uplink reference signals and/or transmission resources thereof (Reference signals allocated orthogonal resources. ¶¶0307, 0317, 0322, 0332; Multi-user, K UE, signals transmitted and distinguished by orthogonality of transmission sequences. ¶¶0353-0356).
RE Claim 12 and 20, Ko discloses a system or method of a user equipment (UE):
An electronic device for user equipment (UE) in a communication system (¶0051),
comprising circuitry configured to:
receive one or more control instructions from a base station (BS) in the communication system (¶¶0263-0264), and
based on the control instructions, control to repeatedly transmit uplink reference signals to the BS for the BS to receive with a plurality of BS receiving beams (Uplink reference signal transmission period configurations. ¶¶0012-0017; Training sequence for analog beamforming is repeatedly transmitted. ¶¶0331-0332; Time for which training sequence is transmitted set by an indicator, instruction, from the BS to the UE. Indicator includes transmission period of the training sequences. BS indicates to the UEs the transmission period of training sequences that the UEs need to transmit. ¶¶0367-0368),
wherein the BS receiving beam is formed based on a value pattern of a plurality of phase shifters of the BS for analog beamforming (Uplink reception analog beamforming, a BS receiving beam from UE, a beamforming vector selected based on signals received to apply a beamforming weight vector, adjustment of phase shifts. ¶¶0340-0344, 0352),
wherein the one or more control instructions includes at least one of an indication of time of transmitting the uplink reference signal or an indication of a number of times for transmitting the uplink reference signal (Uplink reference signal transmission period configurations. ¶¶0012-0017; Training sequence for analog beamforming is repeatedly transmitted. ¶¶0331-0332; Time for which training sequence is transmitted set by an indicator, instruction, from the BS to the UE. Indicator includes transmission period of the training sequences. BS indicates to the UEs the transmission period of training sequences that the UEs need to transmit. ¶¶0367-0368).
Ko does not explicitly disclose:
wherein a BS receiving beam for the UE is determined by the BS based on a criterion of maximizing received signal power or a criterion of maximizing Signal-to-Interference Ratio
However, Mochizuki discloses:
wherein a BS receiving beam for the UE is determined by the BS based on a criterion of maximizing received signal power or a criterion of maximizing Signal-to-Interference Ratio (eNB has plurality of antennas and controls the phase and amplitude of an input signal to form a beam. ¶0843; Adjusting the phase and amplitude values, weighting coefficients, to maximize received SRS power, a BS receiving beam. Weighting may be used to receive data or perform downlink transmissions. ¶0844)
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 Ko, transmit and receive reference signals between a BS and UE, with the teachings of Reference Mochizuki, based on reference signal measurement determine the beam(s) that maximum signal power and SINR.
The motivation in doing so would be to support multi-user adaptive hybrid beamforming with analog and digital beamforming capabilities utilizing SRS information to optimize best link quality for packet throughput. (Ko: Abstract, ¶¶0007-0010; Mochizuki: ¶¶0061-0068, 0843-0847)
RE Claim 13, Ko discloses a system:
wherein the one or more control instructions includes at least one of an indication of time of transmitting the downlink reference signal or an indication of a number of times for transmitting the downlink reference signal (BS reports CSI-RS configuration information to UEs. Information includes transmission period and offset value to start time, an indication of time. CSI-RS may be transmitted periodically within a period of time. ¶¶0111-0113, Fig. 9; Training sequence for analog beamforming may be repeatedly transmitted. ¶0331).
Ko does not explicitly disclose: wherein the circuitry is configured to control to receive downlink reference signals from the BS, and determine a UE receiving beam based on a criterion of maximizing received signal power or a criterion of maximizing Signal-to-Interference Ratio
However, Mochikuzi discloses:
wherein the circuitry is configured to control to receive downlink reference signals from the BS (Downlink reference signal may be channel-state information reference signal, CSI-RS. ¶0014; UE detects cell-specific reference signals transmitted from base station and measures signal received power (RSRP). ¶0126, Fig. 6: ST2), and determine a UE receiving beam based on a criterion of maximizing received signal power or a criterion of maximizing Signal-to-Interference Ratio (UE selects the cell having the best reference signal (RS) received quality. A cell with the highest RS received power, RSRP, is selected. ¶0127, Fig. 6: ST3; Beam formation of the UE using a received synchronization signal of an eNB. UE transmits SRS to the eNB using the same beam. ¶¶0858, 0860; Maximizing Signal-to-Interference Ratio is an optional element.),
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 Ko, transmit and receive reference signals between a BS and UE, with the teachings of Reference Mochizuki, based on reference signal measurement determine the beam(s) that maximum signal quality.
The motivation in doing so would be to support multi-user adaptive hybrid beamforming with analog and digital beamforming capabilities utilizing CSI information to optimize best link quality for packet throughput. (Ko: Abstract, ¶¶0007-0010; Mochizuki: ¶¶0067-0068, 0126, 0858, 0860)
RE Claim 14, Ko discloses a system:
wherein the circuitry is configured to determine a UE transmitting beam corresponding to the UE receiving beam which is formed based on a value pattern of a plurality of phase shifters at the UE for analog beamforming (UE measures a channel through received CSI-RS, a transmitted downlink reference signal, from base station and reports CQI, PMI, and/or RI. ¶0113; Terminal, UE, discovering and reporting a precoding weight for analogy beam forming. ¶0216; UE measures channel and discovers analog beamforming precoding weights for antenna subgroups. ¶¶0235-0236, 0263).
RE Claim 15, Ko discloses a system:
wherein the circuitry is configured to control to form the UE transmitting beam and to transmit uplink reference signals repeatedly with the UE transmitting beam to the BS (Uplink reference signal transmission period configurations. ¶¶0012-0017; Training sequence for analog beamforming is repeatedly transmitted. ¶¶0331-0332; Time for which training sequence is transmitted set by an indicator, instruction, from the BS to the UE. Indicator includes transmission period of the training sequences. BS indicates to the UEs the transmission period of training sequences that the UEs need to transmit. ¶¶0367-0368).
RE Claim 16, Ko discloses a system:
wherein the downlink reference signal is channel state information reference signal (CSI-RS) (BS reports CSI-RS configuration information to UEs. ¶¶0111-0113, Fig. 9;), and the uplink reference signal is sounding reference signal (SRS) (RS used by BS to acquire CSI of a UE for transmission precoding for uplink. SRS information used for determining downlink transmission precoding. ¶0347).
RE Claim 17, Ko discloses a system:
wherein the electronic device is implemented as the UE and further comprises a plurality of antennas (¶¶0377-0379), a plurality of phase shifters and a plurality of radio frequency (RF) links (¶¶0377-0379), each of the plurality of RF links are connected to each of the plurality of antennas via a corresponding subset of the plurality of phase shifters (Antenna subgroups. ¶¶0186, 0192-0194; UE measures channel and discovers analog beamforming precoding weights for antenna subgroups. ¶¶0235-0236, 0263, 0304).
RE Claim 18, Ko discloses a system:
wherein the electronic device is implemented as the UE and further comprises a plurality of antennas (¶¶0377-0379), a plurality of phase shifters and a plurality of radio frequency (RF) links (¶¶0377-0379), each of the plurality of RF links are connected to a subset of the plurality of antennas via a corresponding subset of the plurality of phase shifters (Antenna subgroups. ¶¶0186, 0192-0194; UE measures channel and discovers analog beamforming precoding weights for antenna subgroups. ¶¶0235-0236, 0263, 0304).
Response to Arguments
Applicant's arguments filed 01/16/2026 have been fully considered but they are not persuasive.
Applicant’s first argument is directed to 35 U.S.C. 103 rejection of Claim 1. Applicant submits that Ko does not disclose the limitation “wherein the one or more control instructions includes at least one of an indication of time of transmitting the uplink reference signal or an indication of a number of times for transmitting the uplink reference signal.” Applicant argues “That is, Ko merely discloses that the BS transmits an indicator indicating a transmission period and the UE sets the time of transmitting according to the indicator received from the BS. Ko does not, however, disclose or suggest that the indicator includes the time of transmitting or the number of times for transmitting.”
Examiner respectfully disagrees. Ko discloses “a method for transmitting a reference signal or training sequence for analog beamforming at a time different from the time interval for transmission of an existing signal.”, ¶0367. Ko further discloses “The time for which a training sequence is transmitted may be set according to an indicator delivered from the BS to the UE. The BS may indicate the transmission period of training sequences that the UEs need to transmit, different from the transmission periods of the other signals. For example, the training sequences may be configured to be transmitted at times different from the transmission period of the legacy SRS.”, ¶0368. The limitation, as written, recites either ‘an indication of time’ or ‘an indication of a number of times’ of transmitting an uplink reference signal. Ko discloses ‘an indicator delivered from the BS to the UE’ where the indication is for a time to transmit a reference signal. Therefore, Ko discloses the limitation as written.
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to PAUL A. LANGER whose telephone number is (703)756-1780. The examiner can normally be reached Monday - Friday, 8:00 am - 5:00 pm, Eastern.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Nishant B. Divecha can be reached at 1 (571) 270-3125. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/PAUL A. LANGER/Examiner, Art Unit 2419
/Nishant Divecha/Supervisory Patent Examiner, Art Unit 2419
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