IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`Janne Peisa, et al.
`In re Patent of:
`10,484,915 Attorney Docket No.: 39843-0095IP1
`U.S. Patent No.:
`November 19, 2019
`
`Issue Date:
`Appl. Serial No.: 16/211,399
`
`Filing Date:
`December 6, 2018
`
`Title:
`Identifying a beam for accessing a target cell of a wireless handover
`
`
`
`Mail Stop Patent Board
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`PETITION FOR INTER PARTES REVIEW OF UNITED STATES PATENT
`NO. 10,484,915 PURSUANT TO 35 U.S.C. §§ 311–319, 37 C.F.R. § 42
`
`
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`TABLE OF CONTENTS
`
`I. 
`
`II. 
`
`REQUIREMENTS FOR IPR UNDER 37 C.F.R. § 42.104 ............................ 1 
`A.  Grounds for Standing Under 37 C.F.R. § 42.104(a)................................. 1 
`B.  Challenge Under 37 C.F.R. § 42.104(b) and Relief Requested ............... 1 
`C.  Claim Construction under 37 C.F.R. §§ 42.104(b)(3) .............................. 2 
`SUMMARY OF THE ‘915 PATENT ............................................................. 2 
`A.  Brief Description ....................................................................................... 3 
`B.  Summary of the Prosecution History of the ’915 Patent .......................... 3 
`III.  THE CHALLENGED CLAIMS ARE UNPATENTABLE ............................ 4 
`A.  GROUNDS 1-2 – Agiwal in view of TS36.331 (Ground 1) and Agiwal
`in view of TS36.331 and Murray (Ground 2) renders obvious claims 1-
`3, 6-10, and 13-15 ..................................................................................... 4 
`1.  Overview of Agiwal (EX-1005) ...................................................... 4 
`2.  Overview of TS36.331 (EX-1008) .................................................. 9 
`3. 
`Combination of Agiwal with TS36.331 ........................................ 11 
`4.  Overview of Murray (EX-1009) ................................................... 12 
`5. 
`Combination of Agiwal with Murray ............................................ 15 
`6.  Agiwal in view of TS36.331 (Ground 1) and Agiwal in view of
`TS36.331 and Murray (Ground 2) renders obvious Claims 1-3, 6-
`10, 13-15 ........................................................................................ 17 
`[1Pre] A method performed by a wireless device for handover, the
`method comprising: ............................................................................. 17 
`[8 Pre] A wireless device for handover comprising: ........................... 17 
`[1a] receiving an RRC connection reconfiguration message from a
`source network node associated with a source cell, ............................ 19 
`[8a] a wireless interface configured to receive an RRC connection
`reconfiguration message from a source network node associated with a
`source cell, ........................................................................................... 20 
`[1b/8b] the RRC connection reconfiguration message comprising an
`identification of a target cell and access information associated with
`the target cell, ....................................................................................... 21 
`[1c/8c] wherein the target cell is different than the source cell and
`comprises one or more beams to be transmitted by the target cell and
` .............................................................................................................. 25 
`[1d/8d] the access information comprises beam related information
`that comprises common random access configuration information
`
`i
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`associated with the one or more beams and dedicated random access
`configuration information associated with the one or more beams; .... 26 
`[1e] identifying at least one beam transmitted from the target cell from
`among the one or more beams of the target cell based on the
`identification of the target cell and the access information from the
`RRC connection reconfiguration message; and, .................................. 29 
`[8e] processing circuitry configured to identify at least one beam
`transmitted from the target cell from among the one or more beams of
`the target cell based on the identification of the target cell and the
`access information from the RRC connection reconfiguration message;
`and, ....................................................................................................... 32 
`[8f] an input and output interface configured to receive input
`information and provide output information; ...................................... 33 
`[8g] a power source configured to provide power to the wireless
`interface, processing circuity and input and output interface; and ...... 35 
`[1f] accessing the target cell using the identified at least one beam. .. 37 
`[8h] wherein the wireless interface is further configured to access the
`target cell using the identified at least one beam. ................................ 38 
`[2/9] wherein the target cell is associated with a second network node,
`the second network node being different than the source network node.
` .............................................................................................................. 38 
`[3/10] wherein the access information comprises Random Access
`Channel (RACH) information. ............................................................ 39 
`[6] wherein accessing the target cell using the identified at least one
`beam comprises accessing the target cell using a contention based
`random access procedure. .................................................................... 40 
`[13] the wireless interface configured to access the target cell using the
`identified at least one beam is configured to access the target cell
`using a contention based random access procedure. ........................... 40 
`[7] wherein accessing the target cell using the identified at least one
`beam comprises accessing the target cell without first reading system
`information associated with the target cell. ......................................... 42 
`[14] the wireless interface configured to access the target cell using the
`identified at least one beam is configured to access the target cell
`without first reading system information associated with the target
`cell. ....................................................................................................... 42 
`
`ii
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`[15Pre] A wireless communication system for handover, the system
`comprising: .......................................................................................... 43 
`[15a] at least two network nodes; ........................................................ 44 
`[15b] at least one wireless device wirelessly connected to a first of the
`at least two network nodes; .................................................................. 44 
`[15c] wherein the first network node is configured to: determine
`access information associated with a second of the at least two
`network nodes for the at least one wireless device; and; ..................... 45 
`[15d] prepare the access information associated with the second
`network node to be transmitted to the at least one wireless device; and;
` .............................................................................................................. 46 
`[15e] wherein the at least one wireless device is configured to: receive
`an RRC connection reconfiguration message from the first network
`node, ..................................................................................................... 47 
`[15f] the handover message comprising an identification associated
`with the second network node and the access information associated
`with the second network node and ....................................................... 48 
`[15g] comprises beam related information that comprises common
`random access configuration information associated with the one or
`more beams and dedicated random access configuration information
`associated with the one or more beams; .............................................. 48 
`[15h] identify and select at least one beam from the second network
`node; and; ............................................................................................. 48 
`[15i] access the second network node using the identified and selected
`at least one beam based on the access information from the handover
`message. ............................................................................................... 48 
`B.  GROUND 3 – Abedini renders obvious claims 1-5, 7-12, 14 and 15 .... 48 
`1.  Overview of Abedini (EX-1010) ................................................... 48 
`2.  Abedini renders obvious Claims 1-5, 7-12, 14 and 15 .................. 54 
`[1Pre] A method performed by a wireless device for handover, the
`method comprising: ............................................................................. 54 
`[8 Pre] A wireless device for handover comprising: ........................... 54 
`[1a] receiving an RRC connection reconfiguration message from a
`source network node associated with a source cell, ............................ 58 
`
`iii
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`[8a] a wireless interface configured to receive an RRC connection
`reconfiguration message from a source network node associated with a
`source cell, ........................................................................................... 60 
`[1b/8b] the RRC connection reconfiguration message comprising an
`identification of a target cell and access information associated with
`the target cell, ....................................................................................... 62 
`[1c/8c] wherein the target cell is different than the source cell and
`comprises one or more beams to be transmitted by the target cell and
` .............................................................................................................. 64 
`[1d/8d] the access information comprises beam related information
`that comprises common random access configuration information
`associated with the one or more beams and dedicated random access
`configuration information associated with the one or more beams; .... 66 
`[1e] identifying at least one beam transmitted from the target cell from
`among the one or more beams of the target cell based on the
`identification of the target cell and the access information from the
`RRC connection reconfiguration message; and, .................................. 68 
`[8e] processing circuitry configured to identify at least one beam
`transmitted from the target cell from among the one or more beams of
`the target cell based on the identification of the target cell and the
`access information from the RRC connection reconfiguration message;
`and, ....................................................................................................... 69 
`[8f] an input and output interface configured to receive input
`information and provide output information; ...................................... 71 
`[8g] a power source configured to provide power to the wireless
`interface, processing circuity and input and output interface; and ...... 71 
`[1f] accessing the target cell using the identified at least one beam. .. 72 
`[8h] wherein the wireless interface is further configured to access the
`target cell using the identified at least one beam. ................................ 73 
`[2/9] wherein the target cell is associated with a second network node,
`the second network node being different than the source network node.
` .............................................................................................................. 74 
`[3/10] wherein the access information comprises Random Access
`Channel (RACH) information. ............................................................ 75 
`
`iv
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`[4a/11a] wherein the target cell has at least two beams and the access
`information comprises an indication of allowed beams associated with
`the target cell, ....................................................................................... 75 
`[4b/11b] the allowed beams comprising fewer than all of the beams of
`the target cell. ....................................................................................... 76 
`[5/12] wherein the access information includes a random access
`preamble mapped to each of the allowed beams of the target cell. ..... 77 
`[7] wherein accessing the target cell using the identified at least one
`beam comprises accessing the target cell without first reading system
`information associated with the target cell. ......................................... 78 
`[14] the wireless interface configured to access the target cell using the
`identified at least one beam is configured to access the target cell
`without first reading system information associated with the target
`cell. ....................................................................................................... 78 
`[15Pre] A wireless communication system for handover, the system
`comprising: .......................................................................................... 79 
`[15a] at least two network nodes; ........................................................ 80 
`[15b] at least one wireless device wirelessly connected to a first of the
`at least two network nodes; .................................................................. 82 
`[15c] wherein the first network node is configured to: determine
`access information associated with a second of the at least two
`network nodes for the at least one wireless device; and ...................... 83 
`[15d] prepare the access information associated with the second
`network node to be transmitted to the at least one wireless device; and
` .............................................................................................................. 84 
`[15e] wherein the at least one wireless device is configured to: receive
`an RRC connection reconfiguration message from the first network
`node, ..................................................................................................... 85 
`[15f] the handover message comprising an identification associated
`with the second network node and the access information associated
`with the second network node and ....................................................... 85 
`[15g] comprises beam related information that comprises common
`random access configuration information associated with the one or
`more beams and dedicated random access configuration information
`associated with the one or more beams; .............................................. 85 
`
`v
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`[15h] identify and select at least one beam from the second network
`node; and .............................................................................................. 85 
`[15i] access the second network node using the identified and selected
`at least one beam based on the access information from the handover
`message. ............................................................................................... 85 
`IV.  PAYMENT OF FEES – 37 C.F.R. § 42.103 ................................................. 86 
`V. 
`CONCLUSION .............................................................................................. 86 
`VI.  MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1) ......................... 86 
`A.  Real Party-In-Interest Under 37 C.F.R. § 42.8(b)(1) .............................. 86 
`B.  Related Matters Under 37 C.F.R. § 42.8(b)(2) ....................................... 86 
`C.  Lead And Back-Up Counsel Under 37 C.F.R. § 42.8(b)(3) ................... 86 
`D.  Service Information ................................................................................ 86 
`
`
`
`vi
`
`

`

`
`
`EX-1001
`
`EX-1002
`
`EX-1003
`
`EX-1004
`
`EX-1005
`
`EX-1006
`
`EX-1007
`
`EX-1008
`
`EX-1009
`
`EX-1010
`
`EX-1011
`
`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`
`EXHIBITS
`
`U.S. Patent No. 10,484,915 to Janne Peisa, et al. (“’915 patent”)
`
`Excerpts from the Prosecution History of the ’915 Patent
`(“Prosecution History”)
`
`Declaration of Dr. Zhi Ding
`
`Curriculum Vitae of Dr. Zhi Ding
`
`U.S. Patent Application Publication No. 2017/0251460 to
`Agiwal et al. (“Agiwal”)
`
`U.S. Provisional Patent Application No. 62/334,660 of Agiwal
`(“Agiwal-Prov1”)
`
`RESERVED
`
`3GPP TS 36.331 V12.10.0 (2016-06), 3rd Generation
`Partnership Project; Technical Specification Group Radio
`Access Network; Evolved Universal Terrestrial Radio Access
`(E-UTRA); Radio Resource Control (RRC); Protocol
`specification (Release 12) (“TS36.331”)
`
`International Application Publication No. WO 2014/078676 to
`Murray et al. (“Murray”)
`
`U.S. Patent Application Publication No. 2018/0115990 to
`Abedini et al. (“Abedini”)
`
`U.S. Provisional Patent Application No. 62/411,400 of Abedini
`(“Abedini-Prov1”)
`
`EX-1012
`
`RESERVED
`
`vii
`
`

`

`EX-1013
`
`EX-1014
`
`EX-1015
`
`EX-1016
`
`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`Declaration of Friedhelm Rodermund
`
`RESERVED
`
`Qiu, L., Huang, Y. and Zhu, J., “Fast acquisition scheme and
`implementation of PRACH in WCDMA system,” IEEE 54th
`Vehicular Technology Conference. VTC Fall 2001.
`Proceedings (Cat. No. 01CH37211) (Vol. 3, pp. 1701-1705).
`IEEE.
`
`K. Dimou et al., “Handover within 3GPP LTE: Design
`Principles and Performance,” 2009 IEEE 70th Vehicular
`Technology Conference Fall, Anchorage, AK, USA, 2009, pp.
`1-5, doi: 10.1109/VETECF.2009.5378909
`
`
`
`
`
`viii
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`Samsung Electronics Co., Ltd. (“Petitioner” or “Samsung”) petitions for
`
`Inter Partes Review (“IPR”) of claims 1-15 (“Challenged Claims”) of U.S. Patent
`
`No. 10,484,915 (“’915 patent”).
`
`I.
`
`REQUIREMENTS FOR IPR UNDER 37 C.F.R. § 42.104
`A. Grounds for Standing Under 37 C.F.R. § 42.104(a)
`Samsung certifies that the ’915 Patent is available for IPR. Samsung is not
`
`barred or estopped from requesting this review.
`
`B. Challenge Under 37 C.F.R. § 42.104(b) and Relief
`Requested
`Samsung requests an IPR of the Challenged Claims on the grounds below.
`
`Additional explanation and support for each ground of rejection is provided in the
`
`Declaration of Dr. Zhi Ding (see EX-1003, ¶¶20-258), referenced throughout this
`
`Petition.
`
`’915 Patent Claims
`Ground
`Ground 1 1-3, 6-7
`
`103 Basis
`Agiwal in view of TS36.331
`
`Ground 2 8-10, 13-15
`
`Agiwal in view of TS36.331 and Murray
`
`Ground 3 1-5, 7-12, 14-15
`
`Abedini
`
`As shown below, each reference pre-dates November 4, 2016 (“Critical
`
`Date”), which is the earliest date to which the ’915 patent claims priority.1
`
`
`1 Petitioner does not concede that the ’915 Patent is entitled to the claimed priority.
`
`1
`
`

`

`Agiwal
`
`Reference
`US Pub. No.
`2017/0251460
`
`TS36.331 TS 36.331 V12.10.0
`(2016-08)
`
`International
`Application
`Publication No.
`WO2014/078676
`
`US Pub. No.
`2018/0115990
`
`Murray
`
`Abedini
`
`
`
`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`Date
`Section
`102(a)(2)
`February 26, 2016
`(Filing date of US provisional
`application 62/300,333
`(“Agiwal-Prov1”))
`
`July 1, 2016
`
`102(a)(1)
`
`May 22, 2014
`
`
`102(a)(1)
`
`102(a)(2)
`
`October 21, 2016
`(Filing date of US provisional
`applications 62/411,400
`(“Abedini-Prov1”))
`
`C. Claim Construction under 37 C.F.R. §§ 42.104(b)(3)
`A claim subject to IPR is given its “ordinary and customary meaning” “as
`
`understood by one of ordinary skill in the art and the prosecution history pertaining
`
`to the patent.” 37 C.F.R. § 42.100(b). For purposes of this proceeding only,
`
`Samsung submits that all terms should be given their plain meaning. See EX-1003,
`
`¶¶56-57.
`
`II.
`
`SUMMARY OF THE ‘915 PATENT
`
`2
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`
`A. Brief Description
`The ’915 patent proclaims disclosure of a method performed by a wireless
`
`device for handover in beam-based wireless communications systems. See
`
`EX-1001, 1:15-62. In particular, the ’915 patent describes a method in which a
`
`wireless device, which can be a user equipment (UE) (e.g., a mobile phone),
`
`receives a handover message from a serving base station, for connecting to a target
`
`base station. See, e.g., id., 1:30-2:30, 5:25-49, 12:55-13:67, and FIGS. 2-4 and 6.
`
`Disclosed examples of base stations are evolved NodeBs (eNBs) and
`
`next-generation NodeBs (gNBs). See id. The handover message includes a target
`
`base station identity and random access channel parameters for beams of the target
`
`base station. See id. The wireless device selects a beam associated with the target
`
`base station identity determined from the handover message, and connects, using
`
`the random access parameters, to the target base station on the selected beam. See
`
`id. See also EX-1003, ¶¶42-50.
`
`B.
`Summary of the Prosecution History of the ’915 Patent
`In its only response during original prosecution of the ’915 patent, Applicant
`
`amended the independent claims to clarify that the received message is an “RRC
`
`connection reconfiguration message” comprising both common and dedicated
`
`random access configuration information. EX-1002, 27-32. In an interview,
`
`Applicant allegedly explained that “common and dedicated random access
`
`3
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`configuration information . . . is not equivalent to access information for
`
`omnidirectional or directional signals.” EX-1002, 33. Responsively, in allowing
`
`the ’915 patent, the Examiner remarked how then-applied prior art did not teach an
`
`RRC connection reconfiguration message with both common and dedicated
`
`random access configuration. EX-1002, 12.
`
`And yet, unlike the then-applied art, references advanced in Grounds 1-3 of
`
`this petition demonstrate the obviousness of RRC connection reconfiguration
`
`messages with both common and dedicated random access configuration. See
`
`EX-1003, ¶¶51-55.
`
`III. THE CHALLENGED CLAIMS ARE UNPATENTABLE
`A. GROUNDS 1-2 – Agiwal in view of TS36.331 (Ground 1)
`and Agiwal in view of TS36.331 and Murray (Ground 2)
`renders obvious claims 1-3, 6-10, and 13-15
`1. Overview of Agiwal (EX-1005)
`Agiwal discloses methods leveraging random access techniques to connect a
`
`wireless device to a base station in a wireless communication system. See EX-
`
`1005, Title, Abstract, ¶¶[0009-19] and ¶¶[0066-92]. Agiwal’s FIG. 1 (below)
`
`illustrates a next-generation wireless communications system in which the
`
`disclosed methods are realized. Id., ¶¶[0009-10]. This system includes “low
`
`frequency (LF) macro” and “high frequency (HF) small cells,” respectively served
`
`by a LF base station (LF-BS) and HF base stations (HF-BS). Id. Agiwal refers to
`
`a wireless device as a “[m]obile station (MS)” or a “user equipment (UE),” and
`
`4
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`notes that the MS/UE “first connects with the LF-BS ([also] referred to as master
`
`BS-MeNB) and then the LF-BS adds the HF-BS ([also] referred to as secondary
`
`BS-SeNB) … to serve the MS.” Id., ¶[0010], ¶¶[0066-70]; see also id., ¶[0018];
`
`EX-1003, ¶¶58-59.
`
`EX-1005, FIG. 1 (annotated)
`
`
`
`Agiwal teaches that the disclosed random access methods are applicable to
`
`handover, in which “the MS connects with the [LF]-BS before it is handed over to
`
`another HF-BS ([also] referred to as target eNB). In this case the MeNB in the
`
`description is a source eNB and the SeNB []is a target eNB.” EX-1005, ¶[0070].
`
`Agiwal’s FIG. 5 illustrates one such handover method for “a beamformed
`
`random access procedure,” in which a source base station, MeNB 502, enables UE
`
`5
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`501 to connect to a target base station, SeNB 503. Id., ¶¶[0087-92] and FIG. 5
`
`(below). At operation 513, MeNB 502 sends, to UE 501, a “RRC connection
`
`reconfiguration” message, which includes common and dedicated random access
`
`channel configurations (HF RACH Config) for SeNB 503. Id. At operation 514,
`
`UE 501 identifies the best downlink (DL) transmit (TX) and corresponding receive
`
`(RX) beams, and at operations 517a/517, accesses SeNB 503 using the TX beam.
`
`Id. See also EX-1003, ¶¶60-61.
`
`
`
`EX-1005, FIG. 5 (annotated)
`
`(a) Dynamic Drinkware analysis
`Agiwal-Prov1 is incorporated in its entirety in Agiwal. See EX-1005,
`
`6
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`¶[0001]. Thus, the disclosure of Agiwal-Prov1 is part of Agiwal and any citation
`
`to disclosure of Agiwal-Prov1 represents citation to disclosure in Agiwal itself.
`
`Agiwal-Prov1 supports at least Agiwal’s claim 1, as shown below. See EX-1003,
`
`¶62. Accordingly, Agiwal is entitled to Agiwal-Prov1’s February 26, 2016, filing
`
`date. See Cisco v. Capella, IPR2014-01276, Paper 40, 22 (P.T.A.B. 2016) (citing
`
`Dynamic Drinkware v. National Graphics, 800 F.3d 1375 (Fed. Cir. 2015)).
`
`
`
`A method of performing a random access by an
`apparatus in a wireless communication system, the
`method comprising:
`Agiwal-Prov1 discloses “method[s] of performing random access in [a]
`
`beam-formed system.” EX-1006, Title, 21 (emphasis added). Agiwal-Prov1’s
`
`FIG. 1 illustrates one such “wireless communication system,” in which a “UE
`
`communicates with both master BS/eNB and Secondary BS/eNB.” Id., 22-24 and
`
`FIG. 1. With respect to FIGS. 16A-19C, Agiwal-Prov1 discloses one or more
`
`methods performed by a UE for “random access in beamformed system.” Id., 49-
`
`59 and FIGS. 16A-19C. See also EX-1003, ¶¶63-64.
`
`
`
`identifying a first downlink (DL) reception (RX) beam
`based on a measurement on a beam measurement
`signal;
`For the random access method of FIGS. 16A-16B, Agiwal-Prov1 discloses
`
`that the “UE first determines the UL TX beam for PRACH transmission. In one
`
`embodiment, UE measures the beamformed beam measurement signal
`
`7
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`transmitted by BS and determines the best DL RX beam.” EX-1006, 50-51
`
`(emphasis added) and FIGS. 16A-16B. See also EX-1003, ¶¶65-66.
`
`
`
`identifying a first uplink (UL) transmission (TX) beam
`corresponding to the identified first DL RX beam; and
`Agiwal-Prov1 discloses that, following determining the “best DL RX beam,”
`
`the “UE uses [determines] the UL TX beam reciprocal (same or same
`
`direction) to DL RX beam.” EX-1006, 50 (emphasis added) and FIG. 16B
`
`(below). See also EX-1003, ¶¶67-68.
`
`EX-1006, FIG. 16B (annotated)
`
`
`
`8
`
`

`

`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`transmitting at least one random access preamble for
`an RX sweeping at a base station, using the identified
`first UL TX beam based on a first power.
`Agiwal-Prov1 discloses that, upon identifying the UL TX beam reciprocal to
`
`
`
`the best DL RX beam, the UE “transmits PRACH [preamble] using UL TX
`
`beam one or more times using the power ‘P’ wherein UE may transmit multiple
`
`times for RX beam sweeping at BS.” EX-1006, 50 (emphasis added) and FIG.
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`16B (below). See also EX-1003, ¶¶69-70.
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`
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`EX-1006, FIG. 16B (annotated)
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`2. Overview of TS36.331 (EX-1008)
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`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`TS36.331 is a Technical Specification (TS) from the 3rd Generation
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`Partnership Project (3GPP), specifying “the Radio Resource Control (RRC)
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`protocol for the radio interface between UE and the [Evolved Universal Terrestrial
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`Radio Access Network (E-UTRAN)],” i.e., LTE, a wireless network technology
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`applicable to the’915 patent. See EX-1008, Title and §§1-4; EX-1001, 4:30-5:36;
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`EX-1003, ¶71. TS36.331 was publicly available no later than July 1, 2016,
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`qualifying as prior art for the ’915 patent under 35 USC §102(a)(1). See EX-1013,
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`¶20. As demonstrated, TS36.331 was uploaded to the public 3GPP ftp server no
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`later than July 1, 2016, and an interested skilled person would have been made
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`aware in a public email distribution list, or accessed the server location using
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`online search engines. Id., ¶¶21-52; see also id., ¶¶1-19. During prosecution of
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`the ’915 patent, a later version—14.0.0—of TS36.331 was disclosed by the
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`Applicant, but not substantively considered by the examiner. See EX-1004, pp 48-
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`65. See also EX-1003, ¶72.
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`Being a technical standard, TS36.331 provides a detailed formal description
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`of the RRC network protocol implemented by E-UTRAN network devices, e.g., by
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`UEs and eNBs. Id., ¶73. The document notes that, in some cases, the network,
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`e.g., eNB, provides system information parameters to the UE via dedicated
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`signaling “within an RRCConnectionReconfiguration message,” which is used
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`to “modify an RRC connection, e.g. … to perform handover.” EX-1008,
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`10
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`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`§5.2.1.1 and §5.3.5.1 (emphasis added). Handover of the UE from a source eNB to
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`a target eNB due to mobility is controlled, in part, using “mobilityControlInfo”
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`information element (IE) in the RRCConnectionReconfiguration message. Id.,
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`§5.3.1.3 and §6.2.2, 182-185. TS36.331 discloses that the mobilityControlInfo IE
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`includes parameters for the target eNB, such as “a physical cell identity indicated
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`by targetPhysCellId,” and access information such as
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`“radioResourceConfigCommon” and “rach-ConfigDedicated.” Id., §5.3.5.4 and
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`§6.3.4, 302-304. See also EX-1003, ¶73.
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`3.
`Combination of Agiwal with TS36.331
`Agiwal notes that the wireless communication system in which its disclosed
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`methods are applicable includes a “4th-generation (4G)+5G system.” EX-1005,
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`¶[0068]; see also supra §III(A)(1). A person of ordinary skill in the art (POSITA)2
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`would have known that 4G refers to E-UTRAN (LTE) communication systems,
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`which is the communication technology to which TS36.331 is directed. See EX-
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`1003, ¶74. Indeed, Agiwal discloses that, for the random access methods, “MeNB
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`502 transmits the RRC Connection Reconfiguration including the received HF
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`RACH Config to a UE 501,” which sends a “‘RRC Connection Reconfiguration
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`2 See EX-1003, ¶¶20-22.
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`11
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`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`Complete’ message” in response. EX-1005, ¶¶[0088-90] (emphasis added); EX-
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`1003, ¶74.
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`Agiwal, however, does not describe the RRC Connection Reconfiguration
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`message in detail, nor other protocol messages exchanged in its methods. A
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`POSITA looking to implement Agiwal’s random access procedure would have
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`sought to understand the structure of the RRC Connection Reconfiguration
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`message and other related messages discussed in Agiwal, and motivated to look at
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`various standards documents related to Agiwal’s technologies, such as various
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`3GPP specifications for E-UTRAN. See EX-1003, ¶75. A POSITA would
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`specifically have looked at TS36.331, the technical standard that specifies the RRC
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`protocol, including detailing various message structures, such as
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`RRCConnectionReconfiguration and RRCConnectionReconfigurationComplete.
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`Id.; see also EX-1008, §6.2.2, 182-186. Accordingly, to fully understand the RRC
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`protocol used in Agiwal’s random access procedure, a POSITA would have been
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`motivated to look at Agiwal and TS36.331 together, combining their teachings.
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`See EX-1003, ¶76.
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`4. Overview of Murray (EX-1009)
`Murray discloses techniques “for channel evacuation of a shared spectrum
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`channel” for a “wireless transmit receive unit (WTRU)” in a wireless network. See
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`EX-1009, Title and Abstract. With respect to FIG. 1A (below), Murray provides
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`Attorney Docket No. 39843-0095IP1
`IPR of U.S. Patent No. 10,484,915
`an example multiple access communications system that includes “[WTRUs] 102a,
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`102b, 102c, and/or 102d ([collectively referred] to as WTRU 102)” and “base
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`stations 114a, 114b [that are] configured to wirelessly interface with at least one of
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`the WTRUs 102a, 102b, 102c, 102d to facilitate access to one or more
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`communication networks.” Id., ¶¶[0045-48], FIG. 1A. A WTRU can be a UE or a
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`mobile station, while a base station can be “a Node-B, an eNode B,” among others.
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`Id. The b