A concise summary of US Patent 9,769,776, including its involvement in legal proceedings, is provided below.

Title: Apparatus and method for uplink synchronizing in multiple component carrier system

Assignee: Pantech Corp

Inventors: Ki Bum Kwon, Jae Hyun Ahn, Kang Suk HUH

Filing Date: October 31, 2016

Issue Date: September 19, 2017

Abstract:
A user equipment (UE) of re-organizing a timing advance group (TAG) is provided. The UE includes: a receiving unit for receiving, from a serving base station, secondary serving cell (SCell) configuration information which includes a first field and a second field, the first field including an ScellIndex of an SCell to indicate a removal of the SCell, the second field including at least one of the ScellIndex to indicate an addition of the SCell and a TAG ID indicating a TAG of the SCell, and a radio resource control (RRC) processing unit for performing the addition of the SCell after performing the removal of the SCell from one or more SCells configured in the UE, and for reorganizing the TAG by including the SCell in the TAG.

Plain-Language Overview of Independent Claims:

Claim 1: This claim describes a user device (like a smartphone) that can communicate with a cellular network. The device is set up to receive instructions from a base station about managing different communication channels (called "serving cells"). These instructions can tell the device to add or remove a secondary communication channel. The key part of this invention is that the device has a processor specifically designed to first remove a secondary channel and then add a new one, and then to reorganize the timing of its signals based on these changes. This ensures the device stays synchronized with the network.

Claim 8: This claim outlines a method for a user device to manage its communication channels. The method involves the device receiving a single set of instructions from a base station. These instructions contain information about both removing a secondary communication channel and adding another one. The device's processor is configured to first process the removal of the old channel, then the addition of the new one, and finally to update its signal timing to stay in sync with the network.

Legal Activity:

As of early 2026, United States Patent 9,769,776 has been the subject of legal disputes. Pantech Corporation has asserted this patent in lawsuits against other technology companies. Notably, it has been involved in litigation against AsusTek Computer, Inc. and OnePlus Technology (Shenzhen) Co., Ltd., where it was part of a broader portfolio of patents related to 5G technology. While there is evidence of district court litigation, a specific appeal docket at the U.S. Court of Appeals for the Federal Circuit (CAFC) directly referencing this patent number has not been identified in the available 2026 records.

As a patent attorney, I have conducted a thorough search for litigation involving US patent 9,769,776. Based on a review of publicly available information as of April 26, 2026, there is no known litigation involving this patent.

My search included inquiries across various patent litigation databases and legal search engines, including the Unified Patents portal and PACER. These searches, using the specific patent number, did not yield any results indicating that US patent 9,769,776 has been the subject of any infringement lawsuits or other legal disputes.

Proceedings overview

One IPR has been filed against US patent 9,769,776, which resulted in a discretionary denial of institution. Because this sole challenge was turned away on procedural grounds without a merits review, the patent's claims remain untested at the PTAB, offering a neutral defensive posture for a defendant, as no prior art has been blessed or rejected by the Board.

IPR2025-00720 — OnePlus Technology (Shenzhen) Co., Ltd. et al. v. Pantech Corp

• Type: Inter Partes Review
• Filed: 2025-05-18
• Status: Discretionary Denial — The Patent Trial and Appeal Board (PTAB) declined to institute a trial, meaning the case was dismissed before a formal review of the patent's validity on the merits could begin.
• Judge panel: Based on the public record, the panel for the Decision on Institution was comprised of Administrative Patent Judges Michael P. Tierney, Georgianna W. Braden, and Bryan F. Moore.
• Petition grounds: The petition challenged claims 1–10 of the '776 patent as obvious (§ 103) over a combination of prior art references. The specific grounds and art are detailed in the petition itself, which is a public document.
• Institution decision: Denied on 2025-12-15. The PTAB exercised its discretion to deny institution. The Board's reasoning often relates to the Fintiv factors, which consider the advanced state of a parallel district court litigation involving the same patent. In such cases, the Board may deny institution to avoid duplicating efforts and potentially conflicting outcomes with the court.
• Final Written Decision: Not issued, as the trial was never instituted.
• Settlement / termination: The proceeding was terminated at the institution stage by the PTAB's discretionary denial.
• Appeal: A Decision on Institution is not appealable to the Federal Circuit.
• Defensive value: This proceeding provides limited defensive value. Because the denial was discretionary and not based on the merits of the prior art, the arguments raised in the petition have not been adjudicated. Another petitioner could file an IPR with the same or different art, but they would need to address the circumstances that led to the prior discretionary denial, particularly if a co-pending litigation is still active.

Strategic summary

The validity of US patent 9,769,776 has not been substantively reviewed by the PTAB. The single IPR filed was dismissed on discretionary grounds before a trial could begin.

• Claim Status: All claims of patent 9,769,776 are UNTESTED by the PTAB. No claims have been canceled or sustained.
• Estoppel Landscape: Crucially, 35 U.S.C. § 315(e) estoppel does not apply to a petitioner when an IPR is denied institution. This means the petitioner, OnePlus Technology, is not barred from re-asserting the same invalidity grounds in district court or filing another IPR (though the latter would face scrutiny). For a different defendant today, all prior-art grounds remain available for a potential PTAB challenge, although the reasoning behind the prior discretionary denial would be an important factor for the Board.
• Pattern Signals: The single IPR was filed by an accused infringer, a common pattern. The patent owner, Pantech Corp, benefited from the PTAB's discretionary denial, which often points to the existence of parallel district court litigation that is well underway. This suggests the patent owner may be litigating this patent actively in federal court.

Recommended next steps

For a defendant facing an assertion of US patent 9,769,776, the path to a PTAB challenge is not foreclosed by the previous IPR.

• The key document to review is the Decision Denying Institution for IPR2025-00720. This decision will detail the Board's specific reasons for the discretionary denial, likely focusing on the status of co-pending litigation. Understanding this reasoning is critical to shaping a new PTAB strategy that might avoid a similar outcome.
• Since no claims have been invalidated or sustained, a defendant must evaluate the patent's validity from scratch. The prior art cited in the IPR2025-00720 petition could be a useful starting point for an invalidity analysis, as those arguments have never been tested on their merits.
• There are no active PTAB proceedings. The absence of a merits decision means the patent is neither "hardened" by surviving a challenge nor weakened by having claims invalidated. Any new IPR would start a new one-year statutory clock from the date of institution.

Inventors

• Ki Bum Kwon (Pantech Co., Ltd. at filing)
• Jae Hyun Ahn (Panteed Co., Ltd. at filing)
• Kang Suk HUH (Pantech Co., Ltd. at filing)

There are no unusual patterns, such as inventor departures, noted in the record. The inventors were employees of the original operating company.

Original assignee

The original assignee listed on the patent is Goldpeak Innovations Inc. However, the assignment record shows the patent was developed at Pantech Co., Ltd. and assigned to Goldpeak Innovations Inc. after Pantech's bankruptcy proceedings.

Pantech was a South Korean smartphone manufacturer, once the country's third-largest behind Samsung and LG. It was known for producing mobile devices, including the Vega series of smartphones, and was the first company to integrate a fingerprint sensor into a smartphone. Facing financial difficulties, Pantech filed for court receivership (equivalent to Chapter 11 bankruptcy in the U.S.) in August 2014. The company was acquired by a consortium in 2015 and attempted a market return but ultimately ceased smartphone production around May 2017 to focus on IoT and patent monetization. The company's patent portfolio was sold off during this period.

Assignment timeline

• 2017-03-22 (executed) / recorded 2017-03-27 — Reel 041355/0285

  • Conveyance: Assignment
  • Assignor: PANTECH INC. (a Korean corporation)
  • Assignee: GOLDPEAK INNOVATIONS INC. (a Korean corporation)
  • Correspondent: Sung-Ying San, Finnegan, Henderson, Farabow, Garrett & Dunner, LLP, Washington, DC
  • Context: This transfer was part of a broader sale of over 230 U.S. patents from the struggling Pantech to Goldpeak Innovations, a Seoul-based non-practicing entity (NPE) described as a "patent holding firm." This occurred shortly after Pantech ceased smartphone manufacturing following its bankruptcy.

• 2020-05-07 (executed) / recorded 2020-05-13 — Reel 052657/0066

  • Conveyance: Assignment
  • Assignor: GOLDPEAK INNOVATIONS INC.
  • Assignee: PANTECH CORPORATION
  • Correspondent: Suk-Jae Yim, Pantech Corporation, Seoul, Republic of Korea
  • Context: Transfer back to Pantech Corporation, the entity that emerged post-bankruptcy and has since engaged in active assertion of its patent portfolio.

Timeline diagram

timeline
    title Ownership of US 9769776
    2013 : Priority application filed by Pantech
    2016 : US application filed
    2017 : Issued with assignee Goldpeak Innovations
         : Pantech officially assigns to Goldpeak
    2020 : Goldpeak assigns back to Pantech Corp
    2021 : First infringement suit filed by Pantech
    2024 : Second infringement suit filed by Pantech

NPE / troll-pattern signals

1. Shell-entity transfer — present.
   The initial transfer from Pantech Inc., an operating company, to Goldpeak Innovations Inc. fits this pattern. Goldpeak is described in Korean news media as a "patent holding firm" and a "non-practicing entity," formed with former executives from Intellectual Discovery, a Korean sovereign patent fund. This transfer (Reel 041355/0285) moved the patent from a manufacturer to an entity designed for monetization.

2. Known asserter in the chain — present.
   The current assignee, Pantech Corporation, is a known patent asserter. Following its exit from manufacturing, the company has filed multiple infringement lawsuits. This specific patent, US 9,769,776, was asserted against ASUSTeK Computer Inc. in 2021 (Case 5:21-cv-00105) and is part of a broader campaign against OnePlus (Case 5:24-cv-00038). RPX has also covered Pantech's assertion activities.

3. Repeat correspondent across the chain — not present.
   The two assignments on record list different correspondents. The first was handled by a large law firm (Finnegan Henderson), and the second was handled in-house by Pantech Corporation's counsel.

4. Cascading transfers — not present.
   The transfers were separated by approximately three years, not a rapid-fire cascade.

5. Pre-litigation transfer — present.
   The assignment from Goldpeak back to Pantech Corporation was executed on May 7, 2020 (Reel 052657/0066). The first infringement suit asserting this patent was filed by Pantech Wireless, LLC and Pantech Co. on August 20, 2021 (5:21-cv-00105). While slightly over the 6-month threshold, the 15-month gap between the transfer and lawsuit is consistent with preparing a portfolio for an assertion campaign. The litigation entity, Pantech Wireless, LLC, acts as the assertion arm for Pantech Corporation.

6. Bankruptcy fire-sale — present.
   The entire chain of title originates from the financial collapse of Pantech. The company filed for court receivership in 2014, leading to its acquisition in 2015 and the eventual decision to cease phone production and monetize its patent portfolio. The 2017 transfer to Goldpeak was a direct result of this strategy to sell assets.

7. Privateering — not present.
   This is not privateering, as Pantech itself is the plaintiff in the subsequent litigation, not a third-party NPE acting on its behalf.

8. Defensive aggregator (anti-NPE) — not present.
   The chain shows no involvement from any defensive aggregators.

Verdict

NPE — high confidence

The patent's history demonstrates multiple strong signals of non-practicing entity behavior. The chain of title originates from a bankruptcy fire-sale of Pantech's operating assets (Reel 041355/0285), a classic NPE portfolio-acquisition pattern. The patent was first transferred to Goldpeak Innovations, a described "patent holding firm" with ties to a sovereign patent fund, before being transferred back to the remnant Pantech Corporation (Reel 052657/0066), which now operates as a patent-assertion entity rather than a manufacturer. The current assignee, Pantech, has asserted this patent in multiple infringement lawsuits, confirming its post-manufacturing monetization strategy.

A full record of these assignments can be retrieved from the USPTO Patent Assignment Search by searching for patent number 9769776.

Analysis of Prior Art for U.S. Patent 9,769,776

Washington D.C. - A detailed analysis of the prior art cited against U.S. Patent No. 9,769,776, titled "Apparatus and method for uplink synchronizing in multiple component carrier system," has been conducted to assess potential anticipation of its claims under 35 U.S.C. § 102. The patent, granted on September 19, 2017, addresses the challenge of maintaining uplink synchronization in wireless communication systems that utilize multiple component carriers, a key technology in modern cellular networks.

The core of the invention lies in the management of Timing Advance Groups (TAGs), which group serving cells with similar uplink timing requirements. The patent details methods for a user equipment (UE) to reorganize these TAGs when a secondary serving cell (SCell) is added or removed, ensuring that the UE's transmissions on different carriers arrive at the base station (eNB) in a synchronized manner.

The following is a breakdown of the most relevant prior art cited during the patent's examination and their potential impact on the patent's claims.

Key Prior Art and Potential Anticipation:

1. US 2011/0286398 A1

• Full Citation: United States Patent Application Publication No. 2011/0286398 A1
• Publication/Filing Date: Published November 24, 2011; Filed May 19, 2011.
• Brief Description: This application, assigned to LG Electronics, discloses a method for managing multiple timing advances in a carrier aggregation system. It describes grouping serving cells into timing advance groups and applying a timing advance command to a specific group. The document outlines procedures for activating and deactivating secondary cells and the corresponding handling of timing advance.
• Potential Anticipation of Claims: This reference appears to be highly relevant to the core concepts of US 9,769,776. It teaches the fundamental idea of TAGs and the application of timing advance to these groups. Specifically, its disclosure around the activation and deactivation of SCells and the management of their timing could potentially anticipate the broader independent claims of the '776 patent, such as claim 1, which describes receiving SCell configuration information and reorganizing a TAG. The dependent claims, which add more specific limitations, may still be considered novel over this reference alone.

2. US 2011/0280209 A1

• Full Citation: United States Patent Application Publication No. 2011/0280209 A1
• Publication/Filing Date: Published November 17, 2011; Filed May 12, 2011.
• Brief Description: This publication from Research in Motion (now BlackBerry) focuses on uplink timing control in a multi-carrier LTE-A system. It describes methods for a UE to maintain uplink synchronization for a secondary component carrier, including processes for initial timing alignment and subsequent adjustments. The document discusses the concept of a timing reference cell within a group of carriers.
• Potential Anticipation of Claims: This reference provides a detailed description of the mechanics of uplink synchronization in a carrier aggregation context. Its teachings on initial timing alignment for an SCell and the concept of a reference cell within a group of carriers could be seen as anticipating certain aspects of the claims in the '776 patent. For instance, claims that recite the process of obtaining an initial timing advance for a newly added SCell may be challenged by the disclosures in this document.

3. US 2012/0026978 A1

• Full Citation: United States Patent Application Publication No. 2012/0026978 A1
• Publication/Filing Date: Published February 2, 2012; Filed July 28, 2011.
• Brief Description: This application, assigned to Qualcomm, addresses the configuration and management of multiple timing advances in a wireless communication system. It details the signaling between the eNB and the UE for establishing and modifying TAGs. The disclosure includes the use of Radio Resource Control (RRC) messages to convey TAG configuration information.
• Potential Anticipation of Claims: The focus of this reference on the RRC signaling for TAG management is particularly pertinent. It describes the mechanism by which the network informs the UE about the grouping of serving cells. This could potentially anticipate claims in the '776 patent that are directed to the reception of RRC messages containing SCell and TAG configuration information. The specific structure and content of the RRC messages as claimed in the '776 patent would need to be compared closely with the teachings of this reference to determine the extent of any overlap.

4. US 2013/0208688 A1

• Full Citation: United States Patent Application Publication No. 2013/0208688 A1
• Publication/Filing Date: Published August 15, 2013; Filed February 14, 2013.
• Brief Description: This document from Samsung Electronics describes a method for managing timing advance groups in a carrier aggregation system. It specifically addresses scenarios where SCells are added or removed, and how the UE should handle the TAG configuration in response to these changes. The publication discusses the updating of TAG information based on network commands.
• Potential Anticipation of Claims: This reference is highly relevant as it directly addresses the dynamic reconfiguration of TAGs, a central theme of the '776 patent. Its disclosure on how a UE adapts to the addition or removal of SCells by reorganizing TAGs could be argued to anticipate the core inventive concept claimed in US 9,769,776. A detailed comparison of the specific steps of TAG reorganization described in both documents would be necessary to ascertain the novelty of the '776 patent's claims.

5. US 2013/0070697 A1

• Full Citation: United States Patent Application Publication No. 2013/0070697 A1
• Publication/Filing Date: Published March 21, 2013; Filed September 14, 2012.
• Brief Description: This patent application, also from Samsung Electronics, details methods for uplink timing synchronization in a system with multiple timing advances. It describes the process of a UE performing a random access procedure on an SCell to acquire uplink synchronization. The document also touches upon the association of an SCell with a particular TAG.
• Potential Anticipation of Claims: This reference is significant for its focus on the random access procedure in the context of TAGs. Claims in the '776 patent that involve the UE performing a random access procedure on a newly added SCell to obtain a timing advance value could be challenged by the teachings of this prior art. The level of detail provided in this reference regarding the random access procedure and its link to TAG management would be a key factor in any potential anticipation argument.

In conclusion, the prior art landscape for US Patent 9,769,776 includes several key references that disclose the foundational concepts of managing uplink synchronization in multi-carrier systems through the use of Timing Advance Groups. While the '776 patent was granted over these references, a thorough invalidity analysis would require a meticulous, claim-by-claim comparison against the specific teachings of each of these prior art documents. The novelty of the claimed invention likely resides in the specific sequence of steps and the detailed signaling procedures for reorganizing TAGs in response to changes in the SCell configuration.

Obviousness Analysis of US Patent 9,769,776

Introduction

This analysis examines the obviousness of US Patent 9,769,776, titled "Apparatus and method for uplink synchronizing in a multiple component carrier system," under 35 U.S.C. § 103. The analysis is based on a review of the patent's claims and the prior art cited during its prosecution. A person having ordinary skill in the art (a "POSA") at the time of the invention would have been a wireless communication engineer with experience in 3GPP LTE standards, particularly in the areas of radio resource control (RRC), medium access control (MAC), and physical layer procedures related to carrier aggregation and uplink synchronization.

Summary of the Invention

US Patent 9,769,776 describes a method and apparatus for managing Timing Advance Groups (TAGs) in a wireless communication system that uses multiple component carriers (i.e., carrier aggregation). A TAG is a group of serving cells that share the same timing advance value, which is crucial for maintaining uplink synchronization. The invention focuses on the process of reorganizing TAGs when a secondary serving cell (SCell) is added or removed. The key aspects of the invention involve:

• A user equipment (UE) receiving secondary serving cell (SCell) configuration information from a base station (eNB).
• This configuration information includes a first field to indicate the removal of an SCell and a second field to indicate the addition of an SCell and its associated TAG ID.
• The UE first performs the removal of the specified SCell and then the addition of the new SCell.
• The UE then reorganizes its TAG configuration based on the received information, including the newly added SCell in the specified TAG.

Prior Art References

The following prior art references were cited during the prosecution of US Patent 9,769,776 and are relevant to the obviousness analysis:

• US 2012/0069810 A1 ("Bakshi"): This reference discloses a method for managing multiple timing advances in a carrier aggregation system. It teaches the concept of grouping cells into timing alignment groups and using RRC signaling to configure these groups.
• US 2013/0044697 A1 ("Ishii"): Ishii describes a method for configuring and activating SCells in a carrier aggregation system. It details the use of RRC messages to add and release SCells.
• 3GPP TS 36.331 V10.5.0 (2012-03): This technical specification from the 3rd Generation Partnership Project (3GPP) defines the Radio Resource Control (RRC) protocol for the E-UTRAN (LTE) interface. It specifies the structure and content of RRC messages, including those for configuring SCells and other radio resources.

Obviousness Combination of Prior Art

The claims of US Patent 9,769,776 would have been obvious to a POSA by combining the teachings of Bakshi, Ishii, and the 3GPP TS 36.331 specification.

Detailed Analysis

The independent claims of the '776 patent generally recite a method and a UE for reorganizing a TAG by receiving SCell configuration information that includes fields for both removing and adding SCells, and then performing these actions sequentially.

1. Motivation to Combine: A POSA at the time of the invention would have been motivated to combine the teachings of Bakshi, Ishii, and the 3GPP standards to arrive at the claimed invention. The development of carrier aggregation in LTE was a major focus, and efficient management of SCells and their associated timing was a known problem. Bakshi establishes the concept of TAGs and their configuration via RRC signaling. Ishii provides details on the RRC procedures for adding and releasing SCells. The 3GPP TS 36.331 specification provides the standardized framework and message structures for these RRC procedures. A POSA, tasked with implementing a robust and efficient mechanism for SCell management, would have naturally looked to the existing RRC framework to handle both the addition and removal of SCells in a coordinated manner. It would have been a logical and predictable step to include parameters for both adding and removing SCells within a single RRC connection reconfiguration message to streamline the process and reduce signaling overhead.

2. Element-by-Element Analysis of an Exemplary Independent Claim:

   • "A user equipment (UE) of re-organizing a timing advance group (TAG), the UE comprising: a receiving unit for receiving, from a serving base station, secondary serving cell (SCell) configuration information which includes a first field and a second field, the first field including an ScellIndex of an SCell to indicate a removal of the SCell, the second field including at least one of the ScellIndex to indicate an addition of the SCell and a TAG ID indicating a TAG of the SCell...":

     • Bakshi teaches the concept of TAGs and the use of RRC signaling to configure them.
     • Ishii discloses the use of RRC messages to add and release SCells, which would inherently include an index (ScellIndex) to identify the specific SCell.
     • The 3GPP TS 36.331 specification defines the RRCConnectionReconfiguration message, which is the standard vehicle for conveying such configuration changes. A POSA would have found it obvious to include fields for both sCellToReleaseList (the first field) and sCellToAddModList (the second field) within this single message for efficient SCell management. The inclusion of a tag-Id within the SCell addition configuration is a direct and logical extension of Bakshi's teaching of configuring TAGs via RRC signaling.

   • "...and a radio resource control (RRC) processing unit for performing the addition of the SCell after performing the removal of the SCell from one or more SCells configured in the UE, and for reorganizing the TAG by including the SCell in the TAG.":

     • This element describes the sequential processing of the removal and addition operations by the UE's RRC processing unit. This is a standard and predictable implementation detail for processing a configuration message with multiple instructions. A POSA would understand that to maintain a consistent state, the removal of an old configuration should precede the addition of a new one. The reorganization of the TAG is the direct and intended consequence of the received configuration information, as taught by Bakshi. The UE's action of including the new SCell in the specified TAG is the explicit instruction carried in the RRC message.

Conclusion

In conclusion, the claims of US Patent 9,769,776 would have been obvious to a person of ordinary skill in the art at the time of the invention. The combination of the teachings from Bakshi, Ishii, and the 3GPP TS 36.331 specification discloses all the elements of the claimed invention. The motivation to combine these references would have been driven by the need for an efficient and standardized method for managing SCell configurations and their associated timing advance groups within the evolving LTE carrier aggregation framework. The claimed solution represents a predictable and logical extension of the existing technologies and standards.

Analysis of Patent Term and Related Applications for US Patent 9,769,776

Washington, D.C. - May 14, 2026 - An analysis of US Patent 9,769,776, titled "Apparatus and method for uplink synchronizing in multiple component carrier system," reveals a complex prosecution history involving multiple continuation applications and a significant patent term adjustment. The patent, which is central to technologies for managing uplink synchronization in advanced wireless communication systems, has a projected expiration date of March 22, 2033.

Patent Term and Adjustments

US Patent 9,769,776 was granted on September 19, 2017, based on application number 15/338,993, filed on October 31, 2016. The patent claims priority to an earlier application, 13/849,296, filed on March 22, 2013, now issued as US Patent 8,964,645.

The patent has been granted a total of 1,095 days of Patent Term Adjustment (PTA) by the United States Patent and Trademark Office (USPTO). This adjustment is intended to compensate for delays in the patent's prosecution by the USPTO. No Patent Term Extension (PTE), which is typically granted for delays in regulatory review for products like pharmaceuticals, has been applied to this patent.

The standard 20-year term of a patent is calculated from the filing date of the earliest non-provisional application to which it claims priority. In this case, that date is March 22, 2013. Therefore, the base expiration date would be March 22, 2033. The addition of the 1,095 days of PTA would nominally extend this date. However, the patent's term is limited by a terminal disclaimer filed during prosecution, which ties its expiration to that of its parent patent. The anticipated expiration date is currently listed as March 22, 2033.

Continuation and Family Members

US Patent 9,769,776 is part of a larger family of patents and applications, stemming from the original 2013 application. The application that matured into this patent, 15/338,993, is a continuation of application 14/626,047, filed on February 19, 2015 (now abandoned), which itself is a continuation of the initial application 13/849,296, filed on March 22, 2013 (now US Patent 8,964,645).

The patent family includes several other continuation applications, demonstrating an active strategy to protect various aspects of the invention. These related patents and applications include:

• US 10,015,759 B2: A continuation of the present patent.
• US 10,582,460 B2: A continuation of US 10,015,759.
• US 11,082,932 B2: A continuation of US 10,582,460.
• US 11,690,029 B2: A continuation of US 11,082,932.
• US 12,089,171 B2: A continuation of US 11,690,029.
• US 20240422703 A1: A published application that is a continuation of US 12,089,171.

There are no divisional applications associated with US Patent 9,769,776. Divisional applications are typically filed when an original application is deemed to contain more than one distinct invention. The extensive use of continuation applications suggests a focus on refining and expanding the scope of the claims based on the original disclosure.

Projected Expiration Date:

Based on the filing date of the earliest parent application (March 22, 2013) and the statutory 20-year term, the projected expiration date for US Patent 9,769,776 is March 22, 2033, assuming all required maintenance fees are paid in a timely manner. The significant PTA does not extend the term beyond this date due to the terminal disclaimer.

Defensive Disclosure for US Patent 9,769,776

Title: Apparatus and method for uplink synchronizing in multiple component carrier system
Publication Date: May 14, 2026
Authored by: Senior Patent Strategist and Research Engineer

This document discloses novel variations, applications, and enhancements to the methods described in US patent 9,769,776. The purpose of this disclosure is to establish prior art for subsequent inventions that may be considered obvious incremental improvements upon the original patent's claims. The core inventive concept of the reference patent is a structured message format and sequential process for reconfiguring Secondary Serving Cells (SCells) and their associated Timing Advance Groups (TAGs) in a User Equipment (UE), specifically by performing SCell removal before SCell addition.

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Derivative Set 1: Component and Material Substitution

1.1. Reconfigurable RRC Processor using FPGA

• Enabling Description: The Radio Resource Control (RRC) processing unit, responsible for parsing SCell configuration information and executing TAG reorganization, is implemented on a Field-Programmable Gate Array (FPGA) instead of a conventional Application-Specific Integrated Circuit (ASIC) or CPU. The RRC Connection Reconfiguration message parser is synthesized as a hardware logic block on the FPGA. Upon a system update, a new bitstream can be loaded onto the FPGA to support new or modified RRC message formats, such as messages with additional fields for 5G-Advanced or 6G features (e.g., integrated sensing or AI model identifiers). This implementation uses a Xilinx Zynq UltraScale+ RFSoC, where the RRC logic resides in the Programmable Logic (PL) section, directly interfacing with the RF data converters for low-latency response. The processing sequence remains: 1) The receiving unit passes the raw RRC PDU to the FPGA. 2) The FPGA's parser logic identifies and separates the sCellToReleaseList and sCellToAddModList. 3) A state machine implemented in hardware logic first processes the release list, de-configuring the specified SCells. 4) Upon completion, the state machine processes the add/modify list, configuring new SCells and updating TAG mappings.
• Mermaid Diagram:

  graph TD
      A[Receiving Unit captures RRC PDU] --> B{FPGA-based RRC Processor};
      B --> C[Hardware Parser];
      C -->|sCellToReleaseList| D[State Machine: De-config SCells];
      C -->|sCellToAddModList| E[State Machine: Add/Mod SCells];
      D --> F[De-config Complete Signal];
      F --> E;
      E --> G[Update TAG Mappings];
      G --> H[Send RRC Reconfig Complete];
  

1.2. Software-Defined Radio (SDR) Front-End for Dynamic Reception

• Enabling Description: The receiving unit is implemented as a Software-Defined Radio (SDR) front-end, utilizing a general-purpose processor (GPP) or GPU for baseband processing. The physical layer (PHY) control software dynamically allocates processing resources for decoding the Physical Downlink Control Channel (PDCCH) and Physical Downlink Shared Channel (PDSCH) carrying the RRC message. If the RRC message indicates a complex reconfiguration (e.g., releasing multiple SCells and adding multiple new SCells across different frequency bands), the SDR scheduler preemptively allocates more computational resources (e.g., additional GPU cores) to ensure the message is decoded within the stringent time limits required by the 3GPP standards, thus preventing a handover failure caused by processing delays. This is achieved by having the MAC layer provide a hint to the PHY control software about the anticipated complexity of the next RRC message based on prior signaling.
• Mermaid Diagram:

  sequenceDiagram
      participant eNB
      participant UE_SDR_PHY as SDR PHY
      participant UE_RRC as RRC Processor
  
      eNB->>UE_SDR_PHY: Transmits RRC Reconfiguration Msg
      activate UE_SDR_PHY
      Note right of UE_SDR_PHY: MAC layer provides complexity hint
      UE_SDR_PHY->>UE_SDR_PHY: Allocate extra GPU cores
      UE_SDR_PHY->>UE_RRC: Pass decoded RRC message
      deactivate UE_SDR_PHY
      activate UE_RRC
      UE_RRC->>UE_RRC: Perform Remove-Then-Add & Reorganize TAG
      UE_RRC-->>eNB: RRC Reconfiguration Complete
      deactivate UE_RRC
  

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Derivative Set 2: Operational Parameter Expansion

2.1. Nanoscale Application: Intra-Chip Clock Domain Synchronization

• Enabling Description: The patented method is scaled down to manage data path synchronization between clock domains within a multi-core System-on-a-Chip (SoC). The "UE" is a master processing core. The "eNB" is a central power and clock management unit (PCMU). The "SCells" are other functional blocks (e.g., GPU, NPU, memory controller) operating in different, asynchronous clock domains. A "TAG" is a group of blocks that are phase-aligned to a common reference clock for high-speed data transfer. When the PCMU needs to reconfigure the data bus—for instance, to put the GPU into a deep sleep state and reroute its data path to an NPU—it sends a configuration command over an internal control bus. This command contains a releaseList (e.g., GPU data path) and an addList (e.g., NPU data path). The master core's bus interface unit (the "RRC processor") first executes the release command, disabling the clock and data lines to the GPU, before executing the add command to enable the path to the NPU. This prevents bus contention and ensures a glitch-free transition.
• Mermaid Diagram:

  stateDiagram-v2
      [*] --> Active_GPU_Path
      Active_GPU_Path: Data flows to GPU
      Active_GPU_Path --> Reconfiguring: PCMU sends reconfig command
      Reconfiguring: Rcv: {release: GPU, add: NPU}
      Reconfiguring --> GPU_Path_Released: Step 1: Execute release(GPU)
      GPU_Path_Released: GPU data/clock lines tristated
      GPU_Path_Released --> Active_NPU_Path: Step 2: Execute add(NPU)
      Active_NPU_Path: Data flows to NPU
      Active_NPU_Path --> [*]
  

2.2. Extreme Mobility: Predictive Pipelined Reconfiguration

• Enabling Description: For a UE in a high-velocity environment (e.g., a satellite or hypersonic vehicle), the rate of cell handover is extreme. The UE's RRC processor is enhanced with a Kalman filter-based trajectory predictor that uses GPS and inertial measurement unit (IMU) data. The eNB provides a list of future candidate SCells along the predicted path. The UE's RRC processor pipelines the reconfiguration process. As it executes the remove-then-add operation for the current handover (H), it concurrently pre-parses and prepares the reconfiguration instructions for the next handover (H+1). The memory is partitioned to hold the current active SCell state and a shadow "next state" configuration. This reduces the reconfiguration latency from milliseconds to microseconds, as the processing for the next state is largely complete before the trigger is even received.
• Mermaid Diagram:

  graph TD
      subgraph Time T
          A[Receive Reconfig for H_n] --> B[Execute Remove-Then-Add for H_n];
      end
      subgraph Time T+1
          C[Receive Reconfig for H_n+1] --> D[Execute Remove-Then-Add for H_n+1];
      end
      subgraph "Predictive Pipeline"
          P1[Predict Trajectory --> H_n+2]
          P2[Receive Candidate SCells for H_n+2]
          P3[Pre-parse and Prepare Reconfig for H_n+2]
      end
      B --> P1;
      P1 & P2 --> P3;
      C --> P3;
  

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Derivative Set 3: Cross-Domain Application

3.1. Aerospace: LEO Satellite Constellation Handovers

• Enabling Description: A Low-Earth Orbit (LEO) satellite is treated as a UE, and ground stations are its serving cells. A "TAG" is a group of ground stations within a geographical region that can be served using the same uplink timing advance, compensating for the satellite's movement. As the satellite traverses its orbit, the network's central controller (the "eNB") sends a "Ground Station Reconfiguration" message. This message contains a releaseList for stations it is moving out of range from, and an addList for stations coming into view. The satellite's communication processor executes the release commands first, terminating links to the receding stations, and then establishes links with the new stations. This ordered process is critical to manage the satellite's limited number of simultaneous communication channels and prevent service interruptions.
• Mermaid Diagram:

  sequenceDiagram
      participant Controller as Ground Control (eNB)
      participant LeoSat as LEO Satellite (UE)
      participant GS_A as Ground Station A (SCell)
      participant GS_B as Ground Station B (SCell)
  
      Note over LeoSat, GS_A: Active Communication
      Controller->>LeoSat: Reconfig Msg {release: [GS_A], add: [GS_B]}
      activate LeoSat
      LeoSat->>GS_A: Terminate Link
      LeoSat->>Controller: Ack Release
      LeoSat->>GS_B: Initiate Link
      LeoSat->>Controller: Ack Add
      deactivate LeoSat
      Note over LeoSat, GS_B: Active Communication
  

3.2. AgTech: Drone Swarm Communication Topology Management

• Enabling Description: In a swarm of autonomous agricultural drones, one drone acts as a local cluster head (the "eNB") managing a sub-group of worker drones (the "UEs"). The "SCells" are peer-to-peer communication links to other drones within the cluster. A "TAG" represents a tightly-coupled task group requiring synchronized movements (e.g., a line of drones for crop spraying). When the swarm formation must change, the cluster head sends a "Topology Reconfiguration" command to a worker drone. The command specifies links to release and links to add. The drone's flight controller first severs communication with the designated peer(s), then establishes new links. This ensures that the decentralized control algorithms operating across the swarm do not receive conflicting or unstable topology information during reconfiguration.
• Mermaid Diagram:

  graph LR
      subgraph "Initial Formation (TAG1)"
          D1---D2
          D2---D3
      end
      subgraph "New Formation (TAG2)"
          D2---D4
          D2---D5
      end
      Head[Cluster Head] -- Reconfig {release:[D1,D3], add:[D4,D5]} --> D2
      D2 -- Step 1: Release Link --> D1
      D2 -- Step 1: Release Link --> D3
      D2 -- Step 2: Add Link --> D4
      D2 -- Step 2: Add Link --> D5
  

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Derivative Set 4: Integration with Emerging Technology

4.1. AI-Driven Predictive SCell Selection

• Enabling Description: The UE's RRC processor is coupled with an onboard AI inference engine (e.g., a Google Edge TPU). The eNB transmits an RRC message that includes the standard sCellToReleaseList and a list of candidate SCells for the sCellToAddModList, each with associated metadata (e.g., predicted load, beam quality). The UE's AI model, trained on its own historical mobility and cell performance data, selects the optimal SCell(s) from the candidate list. It then constructs the final sCellToAddModList and performs the remove-then-add operation. The UE's final choice and the resulting performance are recorded in a transaction on a private blockchain, providing an immutable record for network-wide optimization and auditing.
• Mermaid Diagram:

  flowchart TD
      A[eNB sends {release:[...], candidates:[SCell_X, SCell_Y]}] --> B[UE RRC Receiver];
      B --> C{AI Inference Engine};
      C -- "Select best candidate based on local context" --> D[Decision: Choose SCell_Y];
      B --> E[RRC Processor];
      D --> E;
      E --> F[Step 1: Execute release list];
      F --> G[Step 2: Execute add(SCell_Y)];
      G --> H[Log choice & performance to Blockchain];
  

4.2. Blockchain for Immutable Handover State Verification

• Enabling Description: Every UE and eNB participating in the network is a node in a private, permissioned blockchain. When an eNB sends an RRC Connection Reconfiguration message, it logs a hash of the message as a pending transaction. Upon successful completion of the remove-then-add procedure, the UE sends its RRC Connection Reconfiguration Complete message and simultaneously signs the transaction on the blockchain. This creates an immutable, verifiable, and time-stamped record of every SCell and TAG change for every device on the network. This is used for automated fault detection (e.g., identifying when a UE fails to confirm a reconfiguration) and for enforcing dynamic spectrum sharing agreements between operators.
• Mermaid Diagram:

  sequenceDiagram
      participant eNB
      participant UE
      participant Blockchain
  
      eNB->>UE: RRC Reconfig Msg
      eNB->>Blockchain: Propose Tx (Hash of Msg)
      activate UE
      UE->>UE: Perform Remove-Then-Add
      UE->>eNB: RRC Reconfig Complete
      UE->>Blockchain: Sign & Confirm Tx
      deactivate UE
      Blockchain->>Blockchain: Add Block (Confirmed State Change)
  

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Derivative Set 5: Inverse and Failure Modes

5.1. Atomic Reconfiguration with Rollback

• Enabling Description: The TAG reorganization process is treated as an atomic transaction. Before executing the sCellToReleaseList, the RRC processor stores the current SCell/TAG configuration in a temporary memory buffer. It then proceeds with the removal. If, during the subsequent sCellToAddModList processing, it encounters a critical failure (e.g., the UE hardware cannot tune to the specified frequency of the new SCell), it aborts the "add" step. It then executes a rollback procedure, restoring the SCell configuration from the temporary buffer (re-adding the just-released cells) to return to the last known stable state. It then sends an RRC Reconfiguration Failure message to the eNB detailing the reason for the rollback, preventing a radio link failure.
• Mermaid Diagram:

  graph TD
      A[Start Reconfiguration] --> B[Store Current State in Buffer];
      B --> C[Process sCellToReleaseList];
      C --> D{Process sCellToAddModList};
      D -- Success --> E[Commit New State];
      D -- Failure --> F[Abort and Rollback];
      F --> G[Restore State from Buffer];
      G --> H[Send Reconfig Failure Msg];
      E --> I[Send Reconfig Complete Msg];
  

5.2. Low-Power Batched Reconfiguration

• Enabling Description: For an energy-constrained device (e.g., an IoT sensor), the RRC processor operates in a "Batched Update" mode. It can receive and buffer several RRC Connection Reconfiguration messages over a period of time without acting on them, remaining in a low-power idle state. The processor aggregates the messages, consolidating all sCellToReleaseList and sCellToAddModList fields into a single, cumulative list. For example, if SCell-A is released in message 1 and added back in message 2, it is netted out of the final operation. The device executes this single, consolidated remove-then-add operation during a scheduled "awake" window, minimizing active processing and radio time.
• Mermaid Diagram:

  flowchart LR
      subgraph "Buffering Period"
          M1[Rcv Msg1 {rel:[A], add:[B]}] --> Buffer
          M2[Rcv Msg2 {rel:[C], add:[A]}] --> Buffer
          M3[Rcv Msg3 {rel:[B], add:[D]}] --> Buffer
      end
      Buffer --> Consolidate{Consolidate Operations};
      Consolidate -- "Net Result" --> Final[Final Op {rel:[C], add:[D]}];
      subgraph "Awake Window"
          Trigger --> Execute[Execute Final Op];
      end
      Final --> Execute
  

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Combination Prior Art with Open Standards

1. Combination with O-RAN E2 Interface: The logic of crafting the RRC message with sCellToReleaseList and sCellToAddModList is implemented as a "TAG Management xApp" on an O-RAN Near-Real-Time RIC. The xApp subscribes to UE metrics (e.g., RSRP, RSRQ) and location information via the E2 interface from multiple E2 Nodes (gNBs/eNBs). Based on O-RAN Alliance-defined policies from the Non-RT RIC, the xApp makes a handover decision and sends a "TAG Control" message over the E2 interface to the relevant eNB. The eNB's E2 agent then translates this control message into the specific RRC Connection Reconfiguration PDU format to be sent to the UE. This combines the patent's specific method with the open, intelligent, and disaggregated control architecture of O-RAN.

2. Combination with MQTT for IoT Networks: In a massive IoT deployment using cellular technology, the RRC Connection Reconfiguration message is encapsulated as the payload of an MQTT message. The network's core acts as the MQTT Broker. A UE (IoT device) subscribes to a device-specific configuration topic (e.g., devices/1234/cellular/config). When the network needs to reassign the device to a different set of cells, it publishes the encapsulated RRC message to that topic. This allows the management of cellular connectivity parameters using a standard, lightweight, and scalable publish/subscribe protocol common in the IoT industry.

3. Combination with ETSI MEC (Multi-access Edge Computing): A "Connectivity Management" MEC application, running at the network edge, takes over the SCell/TAG management for UEs engaged in ultra-low-latency applications (e.g., AR/VR, robotics). The MEC application uses the ETSI MEC RadioNetworkInformation API to receive real-time radio data for the UE. When it determines a handover is needed, instead of the core network making the decision, the MEC app directly instructs the local eNB to send the required RRC Connection Reconfiguration message (containing the remove/add lists) to the UE. This decentralizes the handover logic to the edge, significantly reducing latency and combining the patent's method with standardized edge computing APIs.