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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address; COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`16/631,174
`
`01/15/2020
`
`SHOTARO MAKI
`
`731456.562USPC
`
`9707
`
`Seed IP Law Group LLP/Panasonic (PIPCA)
`701 5th Avenue, Suite 5400
`Seattle, WA 98104
`
`LUGO, DAVID B
`
`PAPER NUMBER
`
`ART UNIT
`
`2631
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`12/27/2021
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`USPTOeAction @ SeedIP.com
`
`pairlinkdktg @seedip.com
`
`PTOL-90A (Rev. 04/07)
`
`

`

`
`
`Disposition of Claims*
`1-7 is/are pending in the application.
`)
`Claim(s)
`5a) Of the above claim(s) ___ is/are withdrawn from consideration.
`C} Claim(s)
`is/are allowed.
`Claim(s) 1-7 is/are rejected.
`(1 Claim(s)__is/are objectedto.
`Cj) Claim(s
`are subjectto restriction and/or election requirement
`S)
`* If any claims have been determined allowable, you maybeeligible to benefit from the Patent Prosecution Highway program at a
`participating intellectual property office for the corresponding application. For more information, please see
`http://www.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`) ) ) )
`
`Application Papers
`10) The specification is objected to by the Examiner.
`11)0) The drawing(s) filedon__ is/are: a)(J accepted or b)() objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`
`Priority under 35 U.S.C. § 119
`12)1) Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d)or (f).
`Certified copies:
`c)Z None ofthe:
`b)() Some**
`a)C All
`1.2 Certified copies of the priority documents have been received.
`2.1.) Certified copies of the priority documents have been received in Application No.
`3.1.) Copies of the certified copies of the priority documents have been receivedin this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`* See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`
`1)
`
`Notice of References Cited (PTO-892)
`
`2) (J Information Disclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`Paper No(s)/Mail Date
`U.S. Patent and Trademark Office
`
`3) (J Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`(Qj Other:
`
`4)
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20211220
`
`Application No.
`Applicant(s)
`16/631,174
`MAKI etal.
`
`Office Action Summary Art Unit|AIA (FITF) StatusExaminer
`David B Lugo
`2631
`Yes
`
`
`
`-- The MAILING DATEofthis communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTHS FROM THE MAILING
`DATE OF THIS COMMUNICATION.
`Extensions of time may be available underthe provisions of 37 CFR 1.136(a). In no event, however, may a reply betimely filed after SIX (6) MONTHSfrom the mailing
`date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHSfrom the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133}.
`Any reply received by the Office later than three months after the mailing date of this communication, evenif timely filed, may reduce any earned patent term
`adjustment. See 37 CFR 1.704(b).
`
`Status
`
`1) Responsive to communication(s)filed on 14 September 2021.
`C) A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`2a)¥) This action is FINAL.
`2b) (J This action is non-final.
`3)02 An election was madeby the applicant in responseto a restriction requirement set forth during the interview
`on
`; the restriction requirement and election have been incorporated into this action.
`4\0) Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Exparte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 2
`
`DETAILED ACTION
`
`Notice of Pre-AIA or AIA Status
`
`1.
`
`The present application, filed on or after March 16, 2013, is being examined under the
`
`first inventor to file provisions of the AJA.
`
`Response to Amendment/Arguments
`
`2.
`
`In the responsefiled 9/14/21, Applicant has amended claims 1-7. Applicant’s arguments
`
`with respect to claims 1-7 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. In particular, the amended claim limitations
`
`argued by Applicant are addressed using a newly cited reference to Jiang et al. as detailed below.
`
`Claim Rejections - 35 USC § 103
`
`3.
`
`The following is a quotation of 35 U.S.C. 103 which formsthe basis for all obviousness
`
`rejectionsset forth in this Office action:
`
`A patent for a claimed invention maynot 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 obviousbefore the effective
`filing date of the claimed invention to a person having ordinaryskill in the art to which the claimed
`invention pertains. Patentability shall not be negated by the mannerin which the invention was made.
`
`4,
`
`This application currently namesjoint inventors. In considering patentability of the
`
`claims the examiner presumesthat the subject matter of the various claims was commonly
`
`owned asofthe effective filing date of the claimed invention(s) absent any evidenceto 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 ownedasofthe effective filing date
`
`of the later invention in order for the examinerto 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.
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 3
`
`5.
`
`Claims 1-7 are rejected under 35 U.S.C. 103 as being unpatentable over Sunetal. U.S.
`
`Patent App. Pub. No. 2020/0076557 in view ofJiang et al. U.S. Patent App. Pub. No.
`
`2020/0177416.
`
`Regarding claims 1 and 5, Sun discloses a transmission device (see Figs. 11-12)
`
`performing a method,the device comprising circuitry (1.e. determining unit 510/processor 610)
`
`that maps a phasetracking reference signal onto a subset of antenna ports, each antenna port of
`
`the subset of antenna ports being includedin at least one group into which a plurality of antenna
`
`ports are grouped, the at least one group being determined based on a measured value of phase
`
`noise measured for each antenna port of the plurality of antenna ports, respectively, as Sun
`
`discloses that a terminal device provides information indicating whether phase errors estimated
`
`on PTRSports are the same ({ [0094]), and may determine DMRSports corresponding to the
`
`PTRSport having a samephasenoise as one port group ({ [0100]), and an uplink signal includes
`
`grouping information including correspondence between the DMRSport group and the PTRS
`
`port ({q [0100]-[0101]), such that the terminal device sends the PTRS and DMRSto a network
`
`device based on the correspondence between the PTRS port and DMRSport ({[ [0016]), where
`
`the terminal device may estimate phase noise on the PTRSport to determine DMRSports having
`
`the same phase noise as one DMRSport group ({({[ [[0099-[0100]]), and a transmitting circuit
`
`(i.e. sending unit 520/transceiver 630) which transmits a data signal and the phase tracking
`
`reference signal (see {{ [0040], [0081]-[0082]; Fig. 7). Sun does not expressly disclose that the
`
`transmission device determines a density of phase tracking reference signal allocation based on a
`
`modulation or a bandwidth used by the transmission device, and transmits information indicating
`
`the subset of antenna ports, wherein the information includes one or more port numbers of a
`
`channelstate information reference signal (CSI-RS) or a sounding reference signal (SRS).
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 4
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`Jiang discloses that PTRS density is related to the modulation and coding scheme (MCS)
`
`and bandwidth allocated to the user (see J [0165]). It would have been obvious to one of
`
`ordinary skill in the art, prior to the effective filing date of the claimed invention, to base the
`
`PTRSdensity on a modulation or bandwidth used by the transmission device, as suggested by
`
`Jiang, in the transmission device of Sun, as higher MCS/bandwidth require higher PTRS density
`
`for proper phase noise determination over time-frequency resources.
`
`Further, Jiang also discloses that information indicating PTRS antenna ports may be
`
`provided as information associated with port numbers of a sounding reference signal (i.e. SRS
`
`indicator SRI — see { [0153]). It would have been obvious to one of ordinary skill in the art,
`
`prior to the effective filing date of the claimed invention, to include port numbers of a SRS in the
`
`information indicating subset of antenna ports mapped to PTRS, as suggested by Jiang, in the
`
`transmission device of Sun,as it provides an efficient way of configuring PTRS port information
`
`when SRSresources share a PTRS port (see Jiang, {| [0153]).
`
`Regarding claim 2, Sun discloses that antenna ports equal having the same phase noise
`
`are reported as one port group ({[ [0019]), where there are a numberof port groups which thus
`
`have different measured values for phase noise ({{{ [0020]-[0024]).
`
`Regarding claim 3, Sun discloses transmitting information indicating an association
`
`between the antenna ports andthe at least one group to which they belong ({ [0022]).
`
`Regarding claims 4 and 6, Sun discloses a reception device (see Figs. 13-14), performing
`
`a method,the device comprising a receiving circuit (i.e. receiving unit 710/transceiver 830) that
`
`receives a data signal and a phase tracking reference signal transmitted from a subset of antenna
`
`ports of antenna ports, each antennaport of the subset of antenna ports being includedin at least
`
`one group into whicha plurality of antenna ports of a transmitter are grouped,the at least one
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 5
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`group being determined based on a measured value of a phase noise measured for each antenna
`
`port of the plurality of antenna ports, respectively, as Sun discloses grouping one or more DMRS
`
`ports corresponding to a PTRSport on the basis of a same measured phase noise (see J [0099]-
`
`[0102]), and circuitry that demodulates the data signal using a phase noise estimate value
`
`estimated from the phase tracking reference signal, as Sun discloses a demodulating circuit(i.e.
`
`part of receiving unit 710/processor 810) that demodulates a received data signal by using a
`
`phasenoise estimate value estimated from the phase tracking reference signal (see {| [0113]), and
`
`the demodulating circuit uses as a phase noise estimate value for other antenna ports included in
`
`the at least one group and excluding the subset of antenna ports, the phase noise estimate value
`
`for the subset of antenna ports, as Sun discloses that a same phase error estimated on the PTRS
`
`port is used to perform data demodulation for a plurality of the DMRSports ({ [0113]).
`
`Sun does not expressly disclose that the reception device receives information indicating
`
`the subset of antenna ports, wherein the information includes one or more port numbersof a
`
`channelstate information reference signal (CSI-RS) or a sounding reference signal (SRS), and
`
`wherein a density of phase tracking reference signal allocation is determined based on a
`
`modulation or a bandwidth used by the reception device.
`
`Jiang discloses that information indicating PTRS antenna ports may be provided as
`
`information associated with port numbers of a sounding reference signal (i.e. SRS indicator SRI
`
`— see { [0153]). It would have been obvious to one of ordinary skill in the art, prior to the
`
`effective filing date of the claimed invention, to receive information including port numbers of a
`
`SRSin the information indicating subset of antenna ports mapped to PTRS, as suggested by
`
`Jiang, in the reception device of Sun,as it provides an efficient way of configuring PTRSport
`
`information when SRSresources share a PTRS port(see Jiang, {{ [0153]).
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 6
`
`Further Jiang also discloses that PTRS density is related to the modulation and coding
`
`scheme (MCS) and bandwidth allocated to the user (see { [0165]). It would have been obvious
`
`to one of ordinary skill in the art, prior to the effective filing date of the claimed invention, to
`
`base the PTRS density on a modulation or bandwidth used by the reception device, as suggested
`
`by Jiang, in the reception device of Sun, as higher MCS/bandwidth require higher PTRS density
`
`for proper phase noise determination over time-frequency resources.
`
`Regarding claim 7, Sun discloses a communication method comprising measuring a
`
`measured value of phase noise for each of a plurality of antenna ports of a transmitter, as Sun
`
`discloses estimating phase noise on PTRS ports ({ [0082]), grouping the plurality of antenna
`
`ports into at least one group onthe basis of the measured value of phase noise ({{ [0094],
`
`[0100]-[0101]), mapping a phase tracking reference signal onto a subset of antenna ports of
`
`antenna ports each includedin the at least one group, as Sun discloses that a terminal device may
`
`determine DMRSports corresponding to the PTRS port having a same phasenoise as one port
`
`group ({ [0100]), and an uplink signal includes grouping information including correspondence
`
`between the DMRSport group and the PTRSport ({{ [0100]-[0101]) where the terminal device
`
`may estimate phase noise on the PTRSport to determine DMRSports having the same phase
`
`noise as one DMRSport group ({{ [[0099-[0100]]), transmitting a data signal and the phase
`
`tracking signal (see {{{ [0040], [0081]-[0082]; Fig. 7), receiving the data signal and the phase
`
`tracking reference signal transmitted from the subset of antenna ports included the group, as Sun
`
`discloses grouping one or more DMRSports corresponding to a PTRSport on the basis of a
`
`same measuredphase noise(see {| [0099]-[0102]), where the data and reference signals are
`
`received (see Fig. 7), demodulating the data signal by using a phase noise estimate value
`
`estimated from the phase tracking reference signal (see { [0113]), and using the phase noise
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 7
`
`estimate value for the subset of antenna ports as a phase noise estimate value for other antenna
`
`ports included in the at least one group excluding the subset of antenna ports, as Sun discloses
`
`that a same phase error estimated on the PTRS port is used to perform data demodulation for a
`
`plurality of the DMRSports ({ [0113]).
`
`Sun does not expressly disclose determining a density of phase tracking reference signal
`
`allocation based on a modulation or a bandwidth used by a transmission device, and transmitting
`
`information indicating the subset of antenna ports, wherein the information includes one or more
`
`port numbersof a channel state information reference signal (CSI-RS) or a sounding reference
`
`signal (SRS), the information indicating the subset of antenna ports subsequently received.
`
`Jiang discloses that PTRS density is related to the modulation and coding scheme (MCS)
`
`and bandwidth allocated to the user (see J [0165]). It would have been obvious to one of
`
`ordinary skill in the art, prior to the effective filing date of the claimed invention, to base the
`
`PTRSdensity on a modulation or bandwidth used by a transmission device, as suggested by
`
`Jiang, in method of Sun, as higher MCS/bandwidth require higher PTRS density for proper phase
`
`noise determination over time-frequency resources.
`
`Further, Jiang also discloses that information indicating PTRS antenna ports may be
`
`provided as information associated with port numbers of a sounding reference signal (i.e. SRS
`
`indicator SRI — see { [0153]). It would have been obvious to one of ordinary skill in theart,
`
`prior to the effective filing date of the claimed invention, to transmit/receive information
`
`including port numbers of a SRS in the information indicating subset of antenna ports mapped to
`
`PTRS, as suggested by Jiang, in the method of Sun,as it provides an efficient way of configuring
`
`PTRSport information when SRSresources share a PTRSport(see Jiang, { [0153]).
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 8
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`Conclusion
`
`6.
`
`Theprior art made of record and notrelied upon is considered pertinent to applicant's
`
`disclosure:
`
`Jiang et al. U.S. Patent App. Pub. No. 2020/0163078 disclose methods for sending,
`
`configuring and receiving a configuration resource, including use of a PTRS with time-domain
`
`density based on an MCS and frequency-domain density based on bandwidth.
`
`7.
`
`Applicant's amendment necessitated the new ground(s) of rejection presented in this
`
`Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP§ 706.07(a).
`
`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
`
`MONTHSfrom the mailing date of this action. In the eventa first reply is filed within TWO
`
`MONTHSofthe mailing date of this final action and the advisory action is not mailed until after
`
`the end of the THREE-MONTHshortened statutory period, then the shortened statutory period
`
`will expire on the date the advisory action is mailed, and any extension fee 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 MONTHSfrom the date ofthis
`
`final action.
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to David B. Lugo whosetelephone numberis 571-272-3043. The
`
`examiner can normally be reached M-F,9-6.
`
`Examinerinterviews are available via telephone and video conferencing using a USPTO
`
`supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use
`
`the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice.
`
`

`

`Application/Control Number: 16/631,174
`Art Unit: 2631
`
`Page 9
`
`If attempts to reach the examinerby telephone are unsuccessful, the examiner’s
`
`supervisor, Shuwang Liu can be reached on 571-272-3036. The fax phone numberfor the
`
`organization wherethis application or proceeding is assigned is 571-273-8300.
`
`Information regarding the status of published or unpublished applications may be
`
`obtained from Patent Center. Unpublished application information in Patent Center is available
`
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`Representative, call 800-786-9199 (IN USA OR CANADA)or 571-272-1000.
`
`/DAVID B LUGO/
`Primary Examiner, Art Unit 2631
`12/21/2021
`
`