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`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
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`Application Number
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`DISCLOSURE First Named Inventor I l=>avid Astely
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`Art Unit
`STATEMENT BY APPLICANT
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`( Not for submission under 37 CFR 1.99)
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`U.S.PATENTS
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`1 a26so30 B2 Ro12-09-11
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`2 a447343 B2 Ro1J-os-21 Gerstenberger et al.
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`3 a472368 B2 R013-06-25 Baldemair et al.
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`4 a634358 B2 Ro14-01-21 Damnjanovic et al.
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`5 a192a30 B2 R014-07-29 cim et al.
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`DISCLOSURE First Named Inventor I David Astely et al.INFORMATION
`STATEMENT BY APPLICANT
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`( Not for submission under 37 CFR 1.99)
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`Attorney Docket Number 4015-9600 I P30138-US3
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`20100003997 A1 t/010-01-07 Koyanagi
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`DISCLOSURE First Named Inventor I David Astely INFORMATION
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`13 20110081932 A1 t/011-04-07 l\stely et al.
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`14 20110243039 A1 Q011-10-06 Papasakellariou et al.
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`20 20120314675 A1 t1012-12-13 Vujcic
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`21 20130010721 A1 t/013-01-10 l\iba et al.
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`22 20130003700 A1 t1013-01-03 �hang et al.
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`Application Number
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`DISCLOSURE First Named Inventor I David Astely INFORMATION
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`STATEMENT BY APPLICANT
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`( Not for submission under 37 CFR 1.99)
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`I P30138-US3 Attorney Docket Number 4015-9600
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`24 20130136084 A1 t/013-05-30 lhang et al.
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`25 20120147847 A1 Q012-06-14 Matsumoto et al.
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`Corresponds to WO2009022474A1
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`1 101765208 �N
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`Huawei TechnologiesMachine Translation
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`A 2010-06-30
`Co., Inc.
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`Included (in parent case
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`2 )009022474 WO
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`A1 2009-02-19
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`to Panasonic Corp. Corresponds
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`US2012/0147847A1
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`NON-PATENT LITERATURE DOCUMENTS
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`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item
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`(book, magazine, journal, serial, symposium, catalog, etc), date, pages(s), volume-issue number(s), T5
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`publisher, city and/or country where published.
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`Design for Supporting "Control Signalling PROJECT, MOTOROLA (source), 1 3RD GENERATION PARTNERSHIP
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`Carrier Aggregation," 3GPP TSG RANI #56, R1-090792, Athens, GR, Feb. 9-13, 2009.
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`Design for LTE-Advanced," Channel "Uplink Control PROJECT, ZTE (source), 2 3RD GENERATION PARTNERSHIP
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`TSG-RAN WG1 #58, R1-093209, Shenzhen, China, June 25 - Aug. 29, 2009.
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`3RD GENERATION PARTNERSHIP PROJECT, NOKIA, NOKIA SIEMENS NETWORKS (source), "L 1 Control
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`3 Signaling with Carrier Aggregation in LTE-Advanced," 3GPP TSG-RAN WG1 Meeting #54bis, R1-083730, Prague,
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`INFORMATION
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`DISCLOSURE First Named Inventor I David Astely et al.
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`STATEMENT BY APPLICANT
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`I P30138-US3 Attorney Docket Number 4015-9600
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`3RD GENERATION PARTNERSHIP PROJECT, NOKIA SIEMENS NETWORKS, NOKIA (source), "Channelization of
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`4 SRI and Persistent ACK/NACK on PUCCH," 3GPP TSG RAN WG1 Meeting #52bis, R1-081460, Shenzhen, China,
`March 31 -April 4, 2008.
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`Allocation," PUSCH Resource PROJECT, QUALCOMM EUROPE, "Clarifying 5 3RD GENERATION PARTNERSHIP
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`3GPP TSG-RAN WG1 Meeting #54, R1-083181, Jeju, Korea, August 18-22, 2008.
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`�TT DOCOMO, Inc., "UL Layered Control Signal Structure in L TE-Advanced", 3GPP DRAFT RAN WG1 Meeting
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`�54bis; Rl-083679 UL LAYERED CONTROL SIGNAL, 3RD GENERATION PARTNERSHIP PROJECT (3GPP),
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`6 MOBILE COMPETENCE CENTRE ; 650, ROUTE DES LUCIOLES ; F-06921 SOPHIA-ANTIPOLIS CEDEX;
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`rRANCE, vol. Ran WG1, no. Prague, Czech Republic; 20080929-20081003, 29 September 2008 (2008-09-29),
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`KP050597042, [retrieved on 2008-09-241.
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`12-16, 2009.
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`Miyazaki, Japan, October WG1 #58bis, R1-093821, TE-Advanced,"'TSG-RAN 7 �TE (source), "ACK/NACK Design for L
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`nfineon Technologies (source), "Clarification of UL DPCCH slot format information usage in IE 'DTX-DRX
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`8 nformation',"3GPP TSG-RAN WG2 Meeting #65, Tdoc R2-091165, Athens, Greece February 9-13, 2009.
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`scheduling," 3GPP TSG RAN allocation for DL semi-persisent "UL ACK/NACK resource 9 NTT DocCoMo, Inc. (source),
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`I/VG2 #62, R2-082485 (resubmission of R2-081857), Kansas City, Missouri, USA, May 5-9, 2008.
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`Electronic Patent Application Fee Transmittal
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`Application Number:
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`PUCCH RESOURCE ALLOCATION FOR CARRIER AGGREGATION IN LTE-
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`ADVANCED
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`First Named Inventor/Applicant Name:
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`David Astely
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`Filer:
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`Edward Milton Roney/Kenyatta Upchurch
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`4015-9600 I P30138-US3
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`Basic Filing:
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`UTILITY APPLICATION FILING
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`1011
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`1
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`280
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`280
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`UTILITY SEARCH FEE
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`1111
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`1
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`600
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`600
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`720
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`720
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`1202
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`10
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`80
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`800
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`420
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`Description
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`LATE FILING FEE FOR OATH OR DECLARATION
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`140
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`PUCCH RESOURCE ALLOCATION FOR CARRIER AGGREGATION IN LTE-
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`P30138_US3_Continuation_Ap
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`Document Description
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`Specification
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`Apple EX1002 Page 11
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`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
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`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
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`New AQQlications Under 35 U.S.C. 111
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`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
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`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
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`Application Number of the International an international filing date (see PCT Article 11 and MPEP 181 O), a Notification
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`IPR2022-00648
`Apple EX1002 Page 12
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`

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`Attorney Ref. 4015-9600
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`Client Ref. P30138-US3
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`PUCCH RESOURCE ALLOCATION FOR CARRIER AGGREGATION
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`IN L TE-ADVANCED
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`RELATED APPLICATION
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`[0001] This application is a continuation of U.S. Patent Application No. 12/896,993, filed
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`October 4, 2010, now U.S. Patent No. 9,497,004, issued November 15, 2016, claiming
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`the benefit of U.S. Provisional Patent Application 61/248,661, filed October 5, 2009, all
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`of which the contents are hereby incorporated by reference as if fully set forth below.
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`TECHNICAL FIELD
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`[0002] The present invention relates generally to carrier aggregation in a mobile
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`communication system and, more particularly, to an efficient resource allocation for the
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`physical uplink control channel for carrier aggregation.
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`BACKGROUND
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`[0003] Carrier aggregation is one of the new features being discussed for the next
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`generation of Long Term Evolution (L TE) systems, which is being standardized as part
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`of LTE Release 10 (known as LTE-Advanced). LTE Rel 8 currently supports bandwidths
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`up to 20 MHz. In LTE-Advanced, bandwidths up to 100 MHz will be supported. The
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`very high data rates contemplated for L TE-Advanced will require an expansion of the
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`transmission bandwidth. In order to maintain backward compatibility with L TE Rel-8
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`user terminals, the available spectrum is divided into Rel-8 compatible chunks called
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`component carriers. Carrier aggregation enables the needed bandwidth expansion by
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`allowing user terminals to transmit data over multiple component carriers comprising up
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`to 100 MHz of spectrum. Carrier aggregation also ensures efficient use of a wide carrier
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`for legacy terminals by making it possible for legacy terminals to be scheduled in all
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`parts of the wideband L TE-Advanced carrier.
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`[0004] The number of aggregated component carriers, as well as the bandwidth of the
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`individual component carrier, may be different for Uplink (UL) and Downlink (DL). A
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`symmetric configuration refers to the case where the number of component carriers in
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`downlink and uplink is the same. An asymmetric configuration refers to the case where
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`the number of component carriers is different. The number of component carriers
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`-1 -
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`IPR2022-00648
`Apple EX1002 Page 13
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`configured for a geographic cell area may be different from the number of component
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`Attorney Ref. 4015-9600
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`A user terminal, carriers seen by a terminal. for example, may support more downlink
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`component carriers than uplink component carriers, even though in the geographic cell
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`is offered area the same number of uplink and downlink component carriers by the
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`network.
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`[0005] One consideration for carrier
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`aggregation is how to transmit control signaling
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`user terminal. from the user terminal on the uplink from the Uplink control signaling may
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`gement (ACK) signaling for hybrid automatic
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`include acknowled
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`CSI, CQI) reporting for downlink
`protocols, channel state and quality information (
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`g requests (SRs) indicatin
`scheduling, and schedulin
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`g that the user terminal needs uplink
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`One solution
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`is to transmit resources for uplink data transmissions.
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`downlink associated with different information on multiple uplink component carriers
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`power in higher user terminal component carriers. However, this option is likely to result
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`capabilities. consumption and a dependency on specific user terminal It may also create
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`issues due to inter-modulation
`implementation
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`products, and may lead to generally
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`higher complexity for implementation and testing.
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`SUMMARY
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`[0006] The invention
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`transmission of control for efficient provides a signaling mechanism
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`aggregation. The signaling g carrier information in a communication system usin
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`of control mechanism allows the transmission, on a single uplink component carrier,
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`information associated with downlink transmissions on multiple aggregated downlink
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`Semi-staticall
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`for the transmission of control component carriers. y reserved resources
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`information on the uplink component carrier may be dynamically shared by user
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`for downlink terminals that are assigned multiple downlink component carriers
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`with can be used in combination indication transmissions. resource Implicit or explicit
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`dynamic resource indication.
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`[0007] One exemplary embodiment
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`of the invention comprises a method implemented
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`The method from user terminals. information by a base station of receiving control
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`on one or more to said user terminal transmissions comprises scheduling downlink
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`to receive downlink is scheduled if the user terminal downlink component carriers;
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`receivintransmissions on a first single downlink component carrier, g control information
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`associated with the downlink transmissions to the user terminal on a first set of radio
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`-2 -
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`IPR2022-00648
`Apple EX1002 Page 14
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`

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`downlinkwith said first associated resources on a uplink primary component carrier
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`Attorney Ref. 4015-9600
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`Client Ref. P30138-US3
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`to receive downlink is scheduled component carrier; and if the user terminal
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`transmissions on a second single downlink component carrier or multiple downlink
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`associated with the downlinkinformation component carriersreceiving control
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`,
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`transmissions to the user terminal on a second set of radio resources on the uplink
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`primary component carrier.
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`[0008] Another
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`forcomprises a base station exemplary embodiment of the invention
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`The base station transmittinone or more user terminals. g data to comprises a
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`to a usertransmitter to transmit user data on one or more downlink component carriers
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`The transmissions to the user terminal. to schedule downlink terminal; and a controller
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`on onetransmissions to the user terminal controller is configured to schedule downlink
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`to receiveis scheduled ; if the user terminal or more downlink component carriers
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`receive controlcomponent carrierdownlink transmissions on a first single downlink
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`information associated with the downlink transmissions to the user terminal on a first set
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`with said firstassociated of radio resources on a uplink primary component carrier
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`to receive downlinkis scheduled if the user terminal ; anddownlink component carrier
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`transmissions on a second single downlink component carrier or multiple downlink
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`associated with the downlinkinformation component carriersreceive control
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`,
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`transmissions to the user terminal on a second set of radio resources on the uplink
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`primary component carrier ..
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`[0009] Another
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`comprises a method ofexemplary embodiment of the invention
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`in a mobiletransmittininformation g control implemented by a user terminal
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`communication network. The method comprises receiving an assignment of radio
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`resources for downlink transmissions from a base station; transmitting control
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`information associated with the downlink transmissions on a first set of radio resources
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`foron an uplink component carrier if an assignment of single downlink component carrier
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`associated information the downlink transmission is received; and transmitting control
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`with the downlink transmissions on a second set of radio resources on the uplink
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`for thecomponent carrier if an assignment of multiple downlink component carriers
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`downlink transmission is received.
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`[001 0] Another
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`comprises a user terminalexemplary embodiment of the invention
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`on one or transmissions associated with downlink configured to send control information
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`to receive The user terminal more downlink component carriers. comprises a receiver
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`- 3 -
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`IPR2022-00648
`Apple EX1002 Page 15
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`

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`downlink transmissions from a base station; a transmitter to transmit control information
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`associated with the downlink transmission to a base station; and a controller to select
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`radio resources for transmission of control information associated with the downlink
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`Attorney Ref. 4015-9600
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`Client Ref. P30138-US3
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`transmissions. The controller is configured to select a first set of radio resources on an
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`uplink component carrier if an assignment of a single downlink component carrier for the
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`downlink transmission is received; and select a second set of radio resources on the
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`uplink component carrier if an assignment of multiple downlink component carriers for
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`the downlink transmission is received.
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`[0011] Another exemplary embodiment of the invention comprises an alternate method
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`of transmitting control information implemented by a user terminal in a mobile
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`communication network. The method comprises receiving an assignment of radio
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`resources for a downlink transmissions from a base station; transmitting control
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`information associated with the downlink transmission on a first set of radio resources on
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`an uplink component carrier if an assignment of a first downlink component carrier for
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`the downlink transmission is received; and transmitting control information associated
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`with the downlink transmission on a second set of radio resources on the uplink
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`component carrier if an assignment of a second downlink component carrier for the
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`downlink transmission is received.
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`[0012] Another exemplary embodiment of the invention comprises a user terminal
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`configured to send control information associated with downlink transmissions on one or
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`more downlink component carriers. The user terminal comprises a receiver to receive
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`downlink transmissions from a base station; a transmitter to transmit control information
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`associated with the downlink transmission to a base station; and a controller to select
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`radio resources for transmission of control information associated with the downlink
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`transmission. The controller is configured to select a first set of radio resources on an
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`uplink component carrier if an assignment of a first downlink component carrier for the
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`downlink transmission is received; and select a second set of radio resources on the
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`uplink component carrier if an assignment of a second downlink component carrier for
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`the downlink transmission is received.
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`BRIEF DESCRIPTION OF THE DRAWINGS
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`[0013] Fig. 1 illustrates an exemplary OFDM communication system.
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`[0014] Fig. 2 illustrates an exemplary time-frequency grid for an OFDM system.
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`- 4 -
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`IPR2022-00648
`Apple EX1002 Page 16
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`

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`[0015] Fig. 3 illustrates an exemplary time-domain structure for an OFDM system.
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`Attorney Ref. 4015-9600
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`Client Ref. P30138-US3
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`[0016] Fig. 4 illustrates uplink L 1/L2 control signaling transmission on PUCCH.
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`[0017] Fig. 5 illustrates the PUCCH format 1 using a normal cyclic prefix.
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`[0018] Fig. 6 illustrates the PUCCH format 2 using a normal cyclic prefix.
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`[0019] Fig. 7 illustrates an exemplary allocation of resource blocks for PUCCH.
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`[0020] Fig. 8 illustrates the concept of carrier aggregation.
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`[0021] Fig. 9 illustrates an exemplary method implemented by a base station of
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`receiving control information from user terminals scheduled on a single carrier and
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`multiple carriers.
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`[0022] Fig. 10 illustrates an exemplary method implemented by a user terminal of
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`signaling control information to a base station.
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`[0023] Fig. 11 illustrates another exemplary method implemented by a user terminal of
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`signaling control information to a base station.
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`[0024] Fig. 12 illustrates an exemplary base station with a controller for controlling
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`downlink transmissions by the base station to one or more user terminals and
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`associated transmissions of uplink control information by the user terminals
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`[0025] Fig. 13 illustrates an exemplary user terminal with a controller for controlling