Ex Parte Liu et alDownload PDFPatent Trial and Appeal BoardFeb 15, 201914385979 (P.T.A.B. Feb. 15, 2019) Copy Citation UNITED STA TES p A TENT AND TRADEMARK OFFICE APPLICATION NO. FILING DATE 14/385,979 09/17/2014 48116 7590 FAY SHARPE/NOKIA 1228 Euclid Avenue, 5th Floor The Halle Building Cleveland, OH 44115-1843 02/20/2019 FIRST NAMED INVENTOR Jin Liu UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O. Box 1450 Alexandria, Virginia 22313-1450 www .uspto.gov ATTORNEY DOCKET NO. CONFIRMATION NO. LUTZ 201889US01 4175 EXAMINER ADHAMI, MOHAMMAD SAJID ART UNIT PAPER NUMBER 2471 NOTIFICATION DATE DELIVERY MODE 02/20/2019 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): docketing@faysharpe.com Nokia.IPR@nokia.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte JIN LIU and XUDONG ZHU Appeal2018-006917 Application 14/385,979 Technology Center 2400 Before JENNIFER S. BISK, LARRY J. HUME, and JULIET MITCHELL DIRBA, Administrative Patent Judges. DIRBA, Administrative Patent Judge. DECISION ON APPEAL 1 Appellants2 seek our review under 35 U.S.C. § 134(a) of the Examiner's Non-Final Rejection of claims 1, 4--6, 8-11, 14--16, 18-21, 24--26, 28, 29, 38--41, and 43--48. 3 Claims 2, 3, 7, 12, 13, 17, 22, 23, 27, 1 Our decision relies upon Appellants' Appeal Brief, filed Jan. 29, 2018 ("App. Br."); Appellants' Reply Brief, filed June 25, 2018 ("Reply Br.,"); Examiner's Answer, mailed May 18, 2018 ("Ans."); Non-Final Office Action, mailed Aug 9, 2017 ("Non-Final Act."); and the original Specification, filed Sept. 17, 2014, as the national stage entry of a PCT application filed Mar. 18, 2013 ("Spec."). 2 According to Appellants, the real party in interest is Alcatel Lucent. App. Br. 1. 3 The Non-Final Action incorrectly lists claim 49 as a rejected claim rather than a claim subject to an objection. Compare Non-Final Act. 1, with id. at 29. Appellants do not include claim 49 in their appeal (see App. Br. 9), Appeal2018-006917 Application 14/3 85,979 and 42 are cancelled, and claims 30-37 are withdrawn. Non-Final Act. 2. Claim 49 is objected to as depending upon a rejected base claim. Id. at 29. Although the action appealed from was a non-final rejection, we have jurisdiction pursuant to 35 U.S.C. §§ 6 and 134 because the claims have been twice presented and rejected. See Ex parte Lemoine, 46 USPQ2d 1420, 1423 (BPAI 1994) (precedential). We affirm-in-part. BACKGROUND Appellants' disclosed embodiments and claimed invention relate to a method for transmitting uplink control information over a physical uplink shared channel (PUSCH). Spec. 1:5-7. Claims 1, 6, and 38, reproduced below, are representative of the subject matter on appeal (emphasis added to contested limitations): 1. A method for transmitting channel state information (CSI) of multiple coordinated points in a coordinated multi- Point (CoMP) system, the method comprising: coding the CSI of the multiple coordinated points; modulating the coded CSI of the multiple coordinated points; multiplexing the modulated CSI on a physical uplink shared channel (PUSCH); one of: and we consider its inclusion in the list of rejected claims to be a typographical error. In addition, the Non-Final Action incorrectly lists claims 30-37 as subject to a rejection. Non-Final Act. 1 (box 7). We consider this to be a typographical error, as the Non-Final Action identifies these as withdrawn claims. Id. at 1, 2. 2 Appeal2018-006917 Application 14/3 85,979 repeatedly multiplexing a same rank indicator (RI) on all uplink ranks; and multiplexing different Rls for different uplink ranks; and multiplexing a channel quality indicator/precoding matrix indicator (CQI/PMI) in the CSI comprising multiplexing the CQI/PMI in a code word with the highest modulation and coding order and in other code words; wherein the CSI of the multiple coordinated points is coded by one of a separate coding and hybrid coding; and wherein the method further comprises: when the CS! is multiplexed on the PUSCH, allocating the same or different resource offset parameters for the CS! after the separate coding or hybrid coding, the resource offset parameters being configured by upper- layer signaling; and transmitting the CSI after the separate coding or hybrid coding. App. Br. 16 (Claims App'x). 5. The method according to claim 1, wherein the CSI is transmitted connected in a predetermined order, and in one sub- frame. 4 6. The method according to claim 5 further comprising indicating by the upper-layer signaling the start point of the coded CS!. Id. at 16-17. 3 8. A method for transmitting channel state information (CSI) of multiple coordinated points in a coordinated multi- Point (CoMP) system, the method comprising: 4 Claim 5 is included in this summary only because representative claim 6 depends from claim 5. 3 Appeal2018-006917 Application 14/3 85,979 Id. at 20-21. performing a separate coding for the CSI of each coordinated point in the multiple coordinated points or in each joint coded group; modulating the coded CSI of the multiple coordinated points; multiplexing the modulated CSI on a physical uplink shared channel (PUSCH); allocating the same resource offset parameters for the coded CS!, the resource offset parameters being configured by upper-layer signaling; and transmitting the coded CSI; wherein the number of the coordinated points in the joint coded group is designated by the upper-layer signaling. THE REJECTI0NS 5 1. Claims 1, 4---6, 9--11, 14--16, 19, 6 and 45--48 stand rejected under 35 U.S.C. § 103 as obvious over Dinan (US 2013/0077514 Al, 5 The Examiner's rejection of the claims under pre-AIA 35 U.S.C. § I03(a) over the references appears to be a typographical error. The present application was filed Sept. 17, 2014, as the national stage entry of a PCT application filed Mar. 18, 2013. Accordingly, the application should not be examined under pre-AIA § I03(a). See MPEP § 2159. However, Appellants do not reference this discrepancy or any reversible error associated with it. The cited references qualify as prior art under post-AIA 35 U.S.C. § 102, and so we evaluate the rejections as rejections underpost- AIA 35 U.S.C. § 103. 6 The Examiner does not list claim 19 in the lead paragraph for Rejection 1 (Non-Final Act. 3), but the Examiner rejects claim 19 (id. at 1) and discusses claim 19 as part of Rejection 1 (id. at 15). Appellants do not reference claim 19 or any associated error. As such, we consider the omission of claim 19 from this listing to be a typographical error. 4 Appeal2018-006917 Application 14/3 85,979 published Mar. 28, 2013, and filed Sept. 22, 2012), Onggosanusi (US 2010/0027456 Al, published Feb. 4, 2010), and Marinier (US 2013/0003788 Al, published Jan. 3, 2013). Non-Final Act. 3-16. 2. Claims 8 and 18 stand rejected under 35 U.S.C. § 103 as obvious over Dinan, Onggosanusi, Marinier, and Pelletier (WO 2011/137408 A2, published Nov. 3, 2011). Non-Final Act. 16-18. 3. Claims 20, 24--26, 29, 38--41, and 43 7 stand rejected under 35 U.S.C. § 103 as obvious over Dinan and Marinier. Non-Final Act. 18-26. 4. Claim 21 stands rejected under 35 U.S.C. § 103 as obvious over Dinan, Marinier, and Onggosanusi. Non-Final Act. 26-27. 5. Claims 28 and 44 stand rejected under 35 U.S.C. § 103 as obvious over Dinan, Marinier, and Pelletier. Non-Final Act. 28-29. ANALYSIS We review the appealed rejections for error based upon the issues identified by Appellants, and in light of the arguments and evidence produced thereon. Ex parte Frye, 94 USPQ2d 1072, 1075 (BPAI 2010) (precedential). To the extent Appellants have not advanced separate, substantive arguments for particular claims, or other issues, such arguments are waived. 37 C.F.R. § 4I.37(c)(l)(iv). 7 The Examiner does not list claim 43 in the lead paragraph for Rejection 3 (Non-Final Act. 18), but the Examiner rejects claim 43 (id. at 1) and discusses the claim 43 as part of Rejection 3 (id. at 26). Appellants do not reference claim 43 or any associated error. As such, we consider the omission of claim 43 from this listing to be a typographical error. 5 Appeal2018-006917 Application 14/3 85,979 We have considered all of Appellants' arguments and any evidence presented. We highlight and address specific findings and arguments for emphasis in our analysis below. Claims 1, 10, and 20 Claim 1 recites: "when the CSI is multiplexed on the PUSCH, allocating the same or different resource offset parameters for the CSI after the separate coding or hybrid coding" (referred to in this Decision as the "allocating limitation"). App. Br. 16 (Claims App 'x). 8 Appellants argue the cited references fail to teach or suggest allocating resource offset parameters when multiplexing the CSI and after the separate coding or hybrid coding. 9 App. Br. 10-11; Reply Br. 2--4. For the allocating limitation, the Examiner relied on Marinier. Non- Final Act. 6-7. Marinier provides periodicity and offset for different subsets of CSI, and the Examiner equated this information to the allocated "resource offset parameters for the CSL" Id. at 6 (citing Marinier ,r,r 6, 77). The Examiner concluded it would have been obvious in light of Marinier to 8 Claim 1 defines CSI as "channel state information" and PUSCH as "a physical uplink shared channel." App. Br. 16 (Claims App'x). 9 We are not persuaded that the two timing aspects of the allocating limitation require separate analysis (i.e., "when ... multiplexing" and "after ... coding"). Claim 1 recites "coding the CSI ... modulating the coded CS! . . . [ and] multiplexing the modulated CS! on a physical uplink shared channel (PUSCH)." App. Br. 16 (Claims App'x) (emphasis added). The claim also specifies the "cod[ing is] by one of a separate coding and hybrid coding." Id. Accordingly, multiplexing must occur after the separate coding or hybrid coding, and by extension, any step that occurs "when ... multiplexing" would necessarily occur "after the separate coding or hybrid coding." Thus, we have referred to these timing aspects interchangeably. 6 Appeal2018-006917 Application 14/3 85,979 allocate the resource offset parameters after coding the CSI: "the offset parameters are used for modifying the transmission," and the allocation can occur after coding "in order to use the appropriate parameters for the transmission." Id. at 7. Appellants quote from the cited paragraphs of Marinier and argue these portions of the reference fail to teach or suggest that the allocation "would occur specifically" when multiplexing and after coding the CSL App. Br. 10-11. Appellants state that "simply because offset parameters are used to modify a transmission does not mean that allocating resource offset parameters after coding [sic]." Id. at 11 ( emphasis omitted). In response, the Examiner expands on the obviousness analysis, explaining the "parameters are allocated when the CSI is multiplexed on the PUSCH" because these parameters are used for transmission and the CSI is multiplexed for transmission. Ans. 3. Further, the Examiner reasons that, because the CSI coding can affect the parameters, the parameters would be allocated after coding. Id. at 4. Appellants reply by summarizing Marinier's teachings and by contending these teachings do not suggest the timing aspects of the allocating limitation. Reply Br. 2. Appellants' arguments do not persuade us of error on the part of the Examiner. We determine the Examiner's findings and rationale regarding the limitation at issue support a prima facie case of obviousness. See In re Kahn, 441 F.3d 977, 988 (Fed. Cir. 2006), cited with approval in KSR Int'! Co. v. Teleflex Inc., 550 U.S. 398,418 (2007) (requiring a "rational underpinning to support the legal conclusion of obviousness"). The cited portion of Marinier states: 7 Appeal2018-006917 Application 14/3 85,979 Embodiments recognize that different portions of the CSI for the same transmission point ( e.g. the RI and the PMI/CQI) may use different periodic sets of subframes. The periodicity (and/or offset) may be different for different subsets of transmission points or different types or portions of the CSL This could allow, for example, the [remote device] to send CSI more frequently for a first subset of transmission points (the "active" subset or the "serving" subset) than for a second subset of transmission points ( the "monitored" subset or the "non- serving" subset). The parameters of the specific function determining in which subframes a specific subset are reported may be provided by higher layers ( e.g. RRC signaling). For instance, higher layers may provide the periodicity and offset for each subset of transmission points and/ or portions of CSI, perhaps through a single index from which these parameters can be derived. Marinier ,r 77. The Examiner reasons these parameters are used for transmission, and the CSI is multiplexed for transmission, and so it would be logical for the former to be allocated "when" the latter occurs. Ans. 3. The Examiner also explained the "appropriate parameters" depend upon the coding step, suggesting that parameters should be allocated after coding. Non-Final Act. 7; Ans. 4. Appellants identify no errors or inaccuracies in this rationale, do not contend the Examiner's proposals are beyond the level of skill of one of ordinary skill in the art, and do not submit that allocating parameters when CSI is multiplexed would yield undesirable, unpredictable, or unexpected results. See App. Br. 11; Reply Br. 2. In fact, Appellants do not respond to the Examiner's obviousness rationale. App. Br. 11; Reply Br. 2. Consequently, Appellants have not shown error in the Examiner's findings or ultimate conclusion as to obviousness. See In re Oetiker, 977 F.2d 1443, 1445 (Fed. Cir. 1992) (If an examiner presents a prima facie case, "the 8 Appeal2018-006917 Application 14/3 85,979 burden of coming forward with evidence or argument shifts to the applicant."). Rather, Appellants conclude the cited portions of the reference do not explicitly teach or suggest the claim limitation. App. Br. 11; Reply Br. 2. However, the reference need not include an explicit teaching, suggestion, or motivation. See KSR, 550 U.S. at 419 ("The obviousness analysis cannot be confined by a formalistic conception of the words teaching, suggestion, and motivation, or by overemphasis on the importance of published articles and the explicit content of issued patents."). In addition, Appellants argue Marinier does not teach "separate coding or hybrid coding (rather, e.g., than joint coding)" and thus cannot teach or suggest allocating parameters "specifically after" this specific type of coding. App. Br. 11 ( emphasis omitted); Reply Br. 4. Turning to Dinan, Appellants argue this reference fails to cure the deficiencies of Marinier because Dinan is "silent with respect to any temporal order between separate coding and resource allocation." Reply Br. 4. This argument also does not persuade us of error because Appellants attack the references individually, while the Examiner relies on the combined disclosures in the references to reject claim 1. Accordingly, Appellants do not show error in the Examiner's rejection as articulated. See In re Merck & Co., 800 F.2d 1091, 1097 (Fed. Cir. 1986) ("Non- obviousness cannot be established by attacking references individually where the rejection is based upon the teachings of a combination of references."). The Examiner explained the combined disclosures in Dinan and Marinier render the disputed limitation obvious. In particular, the Examiner found Dinan discloses coding CSI using "separate coding or 9 Appeal2018-006917 Application 14/3 85,979 hybrid coding." Non-Final Act. 5 (citing Dinan ,r 84). Appellants do not dispute this finding. App. Br. 11; Reply Br. 4. The Examiner found Marinier teaches or suggests allocating resources after coding (Non-Final Act. 6-7), and as explained supra, we are not persuaded of error in this finding. Finally, the Examiner concluded it would have been obvious to modify Dinan as taught and suggested by Marinier (Non-Final Act. 6, 7), and Appellants identify no error associated with this combination of Dinan and Marinier (App. Br. 11; Reply Br. 4). Based on the above, we are not persuaded of error in the Examiner's conclusion that a person of ordinary skill in the art would have found the proposed combination of references renders obvious this limitation, i.e., "when the CSI is multiplexed on the PUSCH, allocating the same or different resource offset parameters for the CSI after the separate coding or hybrid coding." Consequently, Appellants do not show error in the Examiner's factual findings and the conclusion of obviousness of claim 1. For claims 10 and 20, Appellants rely on the same arguments made with respect to claim 1 (App. Br. 11 ), and we are similarly not persuaded that these arguments show error in the conclusion of obviousness of claims 10 and 20. Accordingly, we sustain the Examiner's rejection of claims 1, 10, and 20 and their respective dependent claims, except for claims 6, 16, 26, and 47 which were argued separately by Appellants, as explained infra. 10 Appeal2018-006917 Application 14/3 85,979 Claims 38 and 47 Claim 3 8 recites: "allocating the same resource offset parameters for the coded CSL" 10 App. Br. 21 (Claims App'x). Appellants argue the cited references fail to teach or suggest that the same resource offset parameters are allocated. App. Br. 11-12; Reply Br. 5. The Examiner again relied upon Marinier for this limitation. Non- Final Act. 24 ( citing Marinier ,r,r 6, 77). As with claim 1, the Examiner equated Marinier' s "periodicity and offset for each subset of transmission points and/or portions of CSI" with the claimed resource offset parameters for the coded CSL Id. The Examiner explained it would have been an obvious design choice to select either the same or different parameters, and the Examiner found there are a finite number of possibilities. Id. The Examiner also noted: "When there are multiple parameters present, there are two possibilities when comparing the values. Either the values are the same or the values are different." Id. at 31-32. In response, Appellants assert "it would not have been obvious to allocate the same resource offset parameters for the coded CSL" App. Br. 12. Appellants' statement does not persuade us of error because Appellants fail to explain their assertion, fail to identify faulty reasoning or inaccurate factual findings in the rejection, and fail to substantively address the reasoning provided by the Examiner. Appellants also contend: "There is no reason why one ... would have selected the same, rather than different, resource offset parameters." Reply Br. 5. Again, an express teaching, suggestion, or motivation in the prior art 1° Claim 38 defines CSI as "channel state information." App. Br. 20 (Claims App'x). 11 Appeal2018-006917 Application 14/3 85,979 is not a requirement for an obviousness determination. See KSR, 550 U.S. at 418-19 (holding the teaching-suggestion-motivation test is not a prerequisite for concluding that a claim is obvious); see also id. at 421 ("A person of ordinary skill is also a person of ordinary creativity, not an automaton."). The Examiner reasoned the claim limitation is obvious because there were a finite number of design choices available----either the parameters could be the same, or they could be different. Non-Final Act. 31-32; see KSR, 550 U.S. at 421 (stating a combination may be obvious to try where "there are a finite number of identified, predictable solutions" within the technical grasp of a person of ordinary skill in the art); see Ex parte Fu, 89 USPQ2d 1115, 1121 (BP AI 2008) (precedential) (holding obviousness conclusion supported where reference disclosed genus with "a finite number of known [species] that predictably solve" the problem at issue). In addition, Marinier states the parameters "may be different for different subsets," which suggests that the parameters could be either different or the same. Marinier ,r 77. Based on the above, we are not persuaded of error in the Examiner's conclusion that a person of ordinary skill in the art would have found the proposed combination of references renders obvious this limitation, i.e., "allocating the same resource offset parameters for the coded CSL" Consequently, Appellants do not show error in the Examiner's factual findings and the conclusion of obviousness of claim 38. Accordingly, we sustain the Examiner's rejection of claim 38 and it respective dependent claims, except for claim 41, which was argued separately by Appellants, as explained infra. Appellants also separately argue dependent claim 4 7, which depends from claim 1. App. Br. 14; Reply Br. 9-10. However, the arguments 12 Appeal2018-006917 Application 14/3 85,979 presented with respect to claim 4 7 are substantially similar to the arguments presented with respect to claim 38. 11 Compare App. Br. 14; Reply Br. 9-10 (arguing patentability of claims 47), with App. Br. 12-13; Reply Br. 7-9 (arguing patentability of claim 38); see also Ans. 5 (responding to claims 38 and 47 collectively). For the same reasons provided with respect to claim 3 8, we are not persuaded of error in the Examiner's rejection of claim 4 7. Accordingly, we affirm the Examiner's rejection of claim 47. Claims 6, 16, 2 6, and 41 Appellants argue dependent claim 6 is not obvious in light of the cited combination of references. App. Br. 12-13. Claim 6 recites: "indicating by the upper-layer signaling the start point of the coded CSL" App. Br. 17 (Claims App'x). For this limitation, the Examiner relied on paragraph 81 of Marini er, which states that higher layers can signal a maximum amount of information for which to report CSL Non-Final Act. 8. Appellants argue "a maximum number of transmission points (as in Marinier) does not suggest indicating the start point of the coded CSI (as in claim 6)." App. Br. 13 (emphasis omitted). In response, the Examiner finds Marinier teaches "higher layer signaling indicates to the [device] when to send the CSI," and interprets that "this would include when to start sending the CSL" Ans. 5---6 ( citing Marinier ,r,r 230-31, 261, 245). 11 In addition to the arguments provided for claim 3 8, Appellants argue Marinier fails to teach or suggest "separate coding or hybrid coding." App. Br. 14; Reply Br. 9-10. As we explained supra with respect to a substantially similar argument presented by Appellants for claim 1, this argument does not persuade us of error because Appellants attack the references individually. See Ans. 4--5 (responding to Appellants' argument). 13 Appeal2018-006917 Application 14/3 85,979 Appellants argue these portions of Marinier describe periodic CSI reporting and ordering of the CSI by transmission point, but fail to suggest either "signaling a start point" or the use of "upper layer signaling" to do so. Reply Br. 6-7. We disagree with the Examiner's findings in this regard because the Examiner has not adequately explained (and it is unclear from our review) how the relied-upon disclosures teach or suggest indicating by the upper- layer signaling the start point of the coded CSL Marinier's higher layer signaling indicates a maximum number of transmission points to be used in CSI transmissions (Marinier ,r 81 ), but the Examiner does not explain why this teaches or suggests indicating the start point of those transmissions (Non-Final Act. 8; Ans. 5---6). Marinier also teaches periodic reporting of CSI, sequencing CSI based on the transmission point, and transmissions including different layers. Marinier ,r,r 230-31, 245,261. However, the Examiner does not explain how these passages teach or suggest indicating a start point of the coded CSL See Ans. 5---6. Moreover, we see nothing in these cited portions that teaches or suggests signaling a start point, or that this is indicated by the upper-layer signaling. Finally, the Examiner provides no incentive, motivation, or commentary on why a person of ordinary skill in the art would use upper-layer signaling to signal the start point of the coded CSI, or that this would be an obvious design choice. See id. Because the Examiner fails to provide a rationale explaining the conclusion of obviousness, the Examiner does not establish a prima facie case of obviousness of the claimed invention. See Kahn, 441 F.3d at 988 (requiring a "rational underpinning to support the legal conclusion of obviousness"). 14 Appeal2018-006917 Application 14/3 85,979 Therefore, based upon the findings above, on this record, we are persuaded of error in the Examiner's reliance on the cited prior art combination to teach or suggest this limitation of claim 6, such that we find error in the Examiner's resulting legal conclusion of obviousness. Accordingly, we do not sustain the Examiner's obviousness rejection of dependent claim 6. Appellants separately argue dependent claims 16, 26, and 41. App. Br. 13; Reply Br. 7-9. The arguments presented with respect to these claims are substantially similar to the arguments presented with respect to claim 6. Compare App. Br. 13; Reply Br. 7-9 ( arguing patentability of claims 16, 26, and 41), with App. Br. 12-13; Reply Br. 7-9 (arguing patentability of claim 6); see also Ans. 5-6 (responding to claims 6, 16, 26, and 41 collectively). For the same reasons provided with respect to claim 6, we are persuaded of error in the Examiner's rejection of claim 16, 26, and 41. Accordingly, we reverse the Examiner's rejection of dependent claims 16, 26, and 41. CONCLUSION The Examiner did not err with respect to obviousness rejections 1 through 5 of claims 1, 4, 5, 8-11, 14, 15, 18-21, 24, 25, 28, 29, 38--40, and 43--48 under 35 U.S.C. § 103 over the cited prior art combinations of record, and we sustain these rejections. The Examiner erred with respect to obviousness rejection 1 of claims 6 and 16 under 35 U.S.C. § 103 over the cited prior art combination of record, and we do not sustain this rejection. 15 Appeal2018-006917 Application 14/3 85,979 The Examiner erred with respect to obviousness rejection 3 of claims 26 and 41 under 35 U.S.C. § 103 over the cited prior art combination of record, and we do not sustain this rejection. DECISION We AFFIRM the Examiner's rejection of claims 1, 4, 5, 8-11, 14, 15, 18-21, 24, 25, 28, 29, 38--40, and 43--48. We REVERSE the Examiner's rejection of claims 6, 16, 26, and 41. AFFIRMED-IN-PART 16 Copy with citationCopy as parenthetical citation