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`Attorney Docket No.
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`TRANSMITTAL LETTER TO THE UNITED STATES
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`11574US05
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`DESIGNATED/ELECTED OFFICE (DO/EO/US)
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`CONCERNING A SUBMISSION UNDER 35 U.S.C. 371
`Priority Date Claimed
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`International Application No.
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`PCT/US2017/032069
`May 11, 2016
`Title of Invention
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`DISTRIBUTED CONTROL IN WIRELESS SYSTEMS
`First Named Inventor
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`Yugeswar DEENOO et al.
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`U.S. Applicaticn No. (if known, see 37 CFR 1.5)
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`Amendments lo Hie claims under PCT Article 19 are atlact;ed (not required if communicaled by tt1e lnlemational Bureau)
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`7.
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`Englist1 translation of annexes {f\rticle 19 and/or 34 amendments only) of the International Preliminary Examination Report is
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`A substitute specificalion. NOTE: A substitute specification cannot include claims. See 37 CFR 1. 125(b).
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`Applicant herewith submits to the United States Designated/Elected Office (DO/EO/US) the following items and other information.
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`1. � Tl1is is an express request to tJegin national examination procedures (35 lJS.C. 371{f)) NOTE: The express request under
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`national fee, copy of the International Application and English translation thereof (if required), and the oatt1 or declaration of the
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`previously communicated by the lntemalional Bureau or was filed in the United States Recei\�ng Office (RO/US}).
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`An English language translation of the International Application (35 U.S.C. 371 (c)(2))
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`4. f\n oath or declaration of !he inventor(s) (35 U.S.C. 371 {c){4))
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`Items 5 to 8 below concern amendments made in the international phase.
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`PCT Article 19 and 34 amemlments
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`5.
`{35 U.S.C. 371 {c)(3)).
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`English translation ofU1e PCT Article 19 mnendment is attached (35 U.S.C 371 (c)(3)).
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`attached {35 U.S.C. 371 {c}(5)).
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`34. phase under PCT Article 8b. D Do no! enler !he amendment made in the international
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`sequence listing in text format was indicaled on the PCT Request as pmt oftt;e international Application and the sequence listing
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`: �"s co:lect1on of 1nforma!,on 1s required by 37 CrR 1 414 and 1 .491-1 .492. The mfom1at:on 1s requ1rea to obtain or re!a,n a benefit by the public. w�11ch 1s to file
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`FORMS TO THIS ADDRESS. SEND TO: Mail Stop PCT, Coninilssioner for Patents, P.O. Box 1450. Alexandria, VA 22313-1450.
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`IPR2022-00468
`Apple EX1016 Page 1
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`

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`PT0-1390 (01-18)
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`Approved for use tt1rough 8/,Vi/2019. 0MB 0651-0021
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`U.S. APPLN. No. (if known -see 37 CFR 1.5) INTERNATIONAL APPLICATION No.
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`PCT /US2017 /032069 11574US05
`17.
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`Basic national fee (37 CFR 1 492(a)) ... .. , .... .. , . . , .. .. , .... .. , . . , .. .. , .... .. , . .... . , .... .. , . . , .. .. . $300
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`IPR2022-00468
`Apple EX1016 Page 2
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`

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`PTO-1390 (01-18)
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`Approved for use through 8/,Vi/2019. 0MB 0651-0021
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`U.S Patent and Tradeniark Office; U.S DEPARTMENT OF COMMERCE
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`NOTE: Where an appropriate time limit under 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.137(a} or (b}) must be
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`Signature I/Bradley D. Lytle/
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`[Page 3 of 3]
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`Date I 11/06/2018
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`Reaistration No.I40 0?3
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`1
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`IPR2022-00468
`Apple EX1016 Page 3
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`ISGSYS 13091 WO0l
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`DISTRIBUTED CONTROL IN \VIRELESS SYSTEMS
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`CROSS-REI,�ERENCE TO RELATED APPLICATIONS
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`!·.nr'l •. l cc}
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`This application claims the benefit of ll.S. Provisional Patent Application No.
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`62/442,317 filed on January 4, 2017; U.S. Provisional Patent Application No. 62/416,499, filed
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`on November 2, 2016; US. Provisional Patent Application No. 62/400,810, filed on Septernber
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`28, 2016: and U.S. Provisional Patent Application No. 62/334,704, filed on May 11, 2016, the
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`contents of all of ,vhich being hereby incorporated by reference as if fully set-forth herein in their
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`respective entirety, for all purposes.
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`BACKGROUND
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`100021 Mobile commw1ications
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`continue to evolve. A fifth generation may be referred to as
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`5G. A previous (legacy) generation of rnobile comnn.mication rnay be, for example, fourth
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`generation (4G) long term evolution (LTE).
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`SUMMARY
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`[0003] Systems, procedures, and instrumentalities (e.g., aspects of entities, interfaces and/or
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`procedures in a ·wireless tnmsmit/receive 1.mit (WTRU) and/or network layers Ll, L2, 13) are
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`disclosed for distributed control in wireless systems, such as 5G flexible radio access technolo1:,ry
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`(RAT) (5gFLEX). Example procedures are provided for WTRU and net\vork operation
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`associated with a distributed control plane architecture, connectionless data tnmsfer and/or
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`dedicated system information acquisition. Distributed control may be provided, for example, by
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`replicating a plurality of access control functions (ACFs) using a plurality of instances in a
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`plurality of different transmission/reception points (TRPs) with multi-connectivity. The plurality
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`of TRPs may concurrently provide control services to a WTRU. Centralized control functions
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`may manage core network connectivity and/or a plurality of user plane instances for the WTRlJ
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`a.ndior may facilitate coordination between the p lurality of ACF instances for the WTRU in the
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`plurality of different TRPs of the WTRU's configuration. For example, there may be a first
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`- l -
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`IPR2022-00468
`Apple EX1016 Page 4
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`ISGSYS 13091 WO0l
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`access plane between the WTRU and a first TRP that provides a first ACF for the WTRU, a
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`second access plane between the WTRU and a second TRP that provides a second ACF for the
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`WTRll, a RAN central control plane between the WTRU and a first RAN central control
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`function (RCCF) a.nd/or a RAN central user plane betvveen the WTRU and a RA.N central user
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`function (RCUF).
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`[0004] A WTRU may use assistance information for beamformed system infom1ation
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`delivery. Assistance information may be detem1ined and/or transmitted.
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`[0005] A WTRU may detennine when to apply and/or activate on-demand system
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`information. A WTRU may determine when to delete and/or deactivate on-demand system
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`information.
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`[0006] A WTRU may have saved instructions in memory executable by a processor and/or
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`received from a wireless network via a message (e.g., rules) for triggering a system information
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`("Sf') request procedure. A WTRU may also have saved instructions in memory executable by a
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`processor a.ndior received from a wireless network via a message for performing an SI request,
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`(e.g., using a random access channel "RACH"), and/or rnsg3 and/or handling of networks.
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`[0007] A wireless transmit/receive unit (WTRU) may be in communication \vith a
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`communication network. The WTRU may comprise a memory. The WTRU may comprise a
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`processor. The processor may he configured to determine to request one or more system
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`information (SI) messages from the communication network. The processor may be configured
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`to detennine if a transmission of the one or more SI message from the communication network
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`will utilize at least one heamformed commw1ication based on one or more comrrnmication
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`parameters. The WTRU may comprise a transceiver. The transceiver rnay be configured to
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`receive at least one of the one or more SI messages from the communication network via the at
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`least one beamformed commw1ication.
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`[0008] A wireless transmit/receive lmit (WTRU) may be in cormmmication ·with a
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`communication network. The WTRU may comprise a memory. The WTRU may comprise a
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`processor. The processor may be configured to determine to request one or more system
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`information (SI) messages from the comrrnmication network. The processor may be configured
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`to conduct a bearn sweep operation of one or more downlink (DL) beams transrnitted from the
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`communication network. The processor may be configured to identify at least one DL beam of
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`the one or more DL beams via which to receive the one or more on-demand SI messages based at
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`least in part on the beam sweep operation. The processor may he configured to determine one or
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`more uplink (UL) resources with wfoch to communicate information for the WTRU reception of
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`the one or more on-demand Sl messages. The information for the WTRU reception may include
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`- 2 -
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`IPR2022-00468
`Apple EX1016 Page 5
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`ISGSYS 13091 WO0l
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`the at least one DL beam The processor may be configured to initiate the request for the one or
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`more on-demand SI messages from the communication network. The WTRU may compiise a
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`transceiver. The transceiver may be configured to send the request for the one or more on­
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`demand SI messages to the commw1ication network using the one or more UL resources. The
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`request may include the infrm:nation for the WTRU reception of the one or more on-demand SI
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`messages. The transceiver may be configured to receive at least one of the one or more on­
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`demand SI messages from the comrrnmication network via the at least one DL beam.
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`[0009] A wireless transrnit/recei ve unit (WTRU) may be in communication with a
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`communication network. The WTRU may comprise a memory. The WTRlJ may comprise a
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`transceiver. The transceiver may be configured to receive system information (Sl) from the
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`communication network at a first-time instance. The WTRU may comprise a processor. The
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`processor may be configured to determine a first-reference identifier (ID) that corresponds to at
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`least some of the SI of the first-time instance. The processor may be configured to detem1ine a
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`first-value identifier (ID) that corresponds to the at least some of the SI of the first-time instance.
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`The processor may be configured to associate the first-reference ID and/or the first-value ID with
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`the at least some of the SI of the first-time instance. The processor may be configured to utilize
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`the at least some of the SI of the first-time instance in communication \Vith the communication
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`network. The processor may be configured to search the memory for stored SI of a previous­
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`time instance that is associated with the same first-reference ID of the at least some of the SI of
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`the first-time instance. The processor may be configured to store the at least some of the Sl of
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`the first-time instance upon no stored SI of the previous-time instance a<;sociated with the same
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`first-reference ID being fmmd. The processor may be configured to replace stored Si of the
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`previous-time instance associated with the same first-reference ID ,:vith the at least some of the
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`Sl of the first-time instance upon a value 1D associated with the stored Sl of the previous-time
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`instance associated ·with the sarne first-reference ID being different from the first-value TD.
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`[001 O] A wireless transmit/receive unit (WTRU) may be in communication with a
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`communication network. The WTRU may comprise a memory. The WTRll may comprise a
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`processor. The processor may be configured to determine to request other system information
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`(other-SI) from the comrnunication network. The WTRU rnay be configured to initiate the
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`request for the other-SI from the communication network as part of a Radom Access Channel
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`(RACH) procedure. The WTRU may comprise a transceiver. The transceiver may be
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`configured to transmit a RACH signal. The RACH signal may include the request for the other­
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`SI in a random access preamble of the RACH signal. The processor may be configured to
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`monitor for a message that includes a minimum Sl from the communication network for a
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`- 3 -
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`IPR2022-00468
`Apple EX1016 Page 6
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`

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`ISGSYS 13091 WO0l
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`predetermined period of time following the transmission of the RACFf signal. Tiie processor
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`may be configured to detennine if the requested other-SI is included in the message that includes
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`the minimum Sl upon a detection of the message that includes the minimum SL The processor
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`may initiate one or more retransmissions of the RACH signal the message that includes the
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`in a is determined to not be included , and/or the other-SI
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`minirnum SI not being detected
`detected message that includes the minimum SI.
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`BRIEF DESCRIPTION OF THE DRAWINGS
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`100111 FIG. lA is a system diagram
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`of an example comrrnmications system in which one or
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`more disclosed embodiments may be implemented.
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`[0012] FIG. lB is a system diagram of an example WTRlJ that may be used within the
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`communications system illustrated in FIG. lA.
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`[0013] FIG. 1 C is a system diagram of an exarnple radio access network and an example core
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`network that may be used vvithin the communications system illustrated in FIG. lA.
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`[0014] FIG. lD is a system diagram of another example radio access network and another
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`example core network that may be used within the communications system illustrated in FIG. IA
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`[0015] FIG. lE is a system diagrarn
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`of another example radio access network and another
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`example core network that may be used within the communications system illustrated in FIG. lA
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`[0016] FIG. 2 is an example of transmission bandvvidths.
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`[0017] FIG. 3 is an exarnple of flexible spectrum allocation.
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`[0018] FIG. 4 is an example of types of assistance modes.
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`[0019] FIG. 5 is an exan1ple oftri-plane architecture.
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`100201 FIG. 6 is an example
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`(SI) and other-Si.
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`of non-overlapping windows for minimum-system information
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`[0021] FIG. 7 is an example of overlapping windows for other-SI and minimum-SI.
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`[0022] FIG. 8A and 8B together illustrate an exan1ple of an on-demand SI request in a
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`bean1formed context.
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`llETAILED DESCRIPTION
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`[0023] A detailed desciiption of illustrative embodiments will now be desciibed with
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`reference to the v arious Figures. Although this description provides a detailed example of
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`- 4 -
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`IPR2022-00468
`Apple EX1016 Page 7
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`

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`ISGSYS 13091 WO0l
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`possible implementations, ii should be noted that the details are intended to be examples and in
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`no \Vay limit the scope of the application.
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`[0024] FIG. lA is a diagram of an example communications system 100 in which one or
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`more disclosed embodiments may be implemented. The communications system 100 may be a
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`multiple access system that provides content, such as voice, data, video, messaging, broadcast,
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`etc., to multiple wireless users. The communications system 100 may enable multiple wireless
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`users to access such content through the sharing of system resources, including wireless
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`bandvvidth. For example, the communications system l 00 rnay employ one or more channel
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`access methods, such as code division multiple access (CDMA), time division multiple access
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`(TDMA), frequency division multiple access (FDMA), orthogonal FDMA (OFDMA), single­
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`carrier FDMA (SC-FDMA), and the like.
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`[0025] As shcwm in FIG. lA, the communications system 100 may include wireless
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`transrnit/receive units (WTRUs), e.g., WTRUs, 102a, 102b, 102c, and/or 102d (which generally
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`or collectively may be referred to as WTRU 102), a radio access net,.vork (RAN) 103/104/105, a
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`core network 106/107 / l 09, a public switched telephone network (PSTN) 108, the internet 1 J 0,
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`and other networks 112, though it will be appreciated that the disclosed embodiments
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`contemplate any number ofWTRlls, base stations, networks, and/or network elements. Each of
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`the WTRUs 102a, 102b, 102c, 102d may be any type of device configured to operate a.ndior
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`communicate in a wireless environment. By way of example, the WTRUs 102a, 102b, 102c,
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`102d may he configured to transmit and/or receive wireless signals and may include user
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`equipment (UE), a mobile station, a fixed or mobile subscriber unit, a pager, a cellular telephone,
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`a personal digital assistant (PDA), a srnartphone, a laptop, a netbook, a personal computer, a
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`wireless sensor, consumer electronics, and the like.
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`[0026] The communications system 100 may also include a base station 114a and a base
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`station 114b. Each of the base stations 114a, 1 l 4b may be any type of device configured to
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`wirelessly interface with at least one of the WTRUs 102a, 102b, 102c, 102d to facilitate access to
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`one or more communication networks, such as the core network 106/107 /109, the Internet 110,
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`a.ndior the networks 112. By way of example, the base stations l l4a, 114b may be a base
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`transceiver station (BTS), a Node-R an eNode B, a Home Node B, a Home eNode B, a site
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`controller, an access point ( AP), a wireless router, and the like. While the base stations 114a,
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`114b are each depicted as a single element, it ,.vill be appreciated that the base stations 114a,
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`114b may include any number of interconnected base stations and/or network elements.
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`[0027] The base station 114a may be part of the RAN 103/l 04/ 10.5, which may also include
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`other base stations and/or net'·.vork elements (not shm;yn), such as a base station controller (BSC),
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`- 5 -
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`IPR2022-00468
`Apple EX1016 Page 8
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`

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`ISGSYS 13091 WO0l
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`a radio network controller (RNC), relay nodes, etc. TI1e base station J 14a and/or the base station
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`114b may be configured to transmit and/or receive vvireless sir:,111als ,:vithin a particular
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`geographic region, which may be referred to as a cell (not shmvn). The cell may further be
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`divided into cell sectors. For example, the cell associated with the base station 114a may be
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`divided into three sectors. Thus, in some embodiments, the base station l l 4a may include three
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`transceivers, e.g., one for each sector of the cell. ln another embodiment, the base station 114a
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`may employ multiple-input multiple output (MIMO) technology and, therefore, may utilize
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`multiple transceivers for each sector of the cell.
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`[0028] The base stations 114a, 114b may communicate with one or more of the WTRUs
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`102a, 102b, 102c, 102d over an air interface 115/116/117, ,vhich may be any suitable ,vireless
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`communication link (e.g., radio frequency (RF), microwave, infrared (IR), ultraviolet (UV),
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`visible light, etc.) The air interface 115/116/ 117 may be established using any suitable radio
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`access technolo§,,y (RAT).
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`I 0029l More specifically, as noted above, the communications system 100 may be a multiple
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`access system and may employ one or more channel access schemes, such as CDMA, TDMA,
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`FDMA, OFDMA, SC-FDMA, and the like. For example, the base station 114a in the RAN
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`103/104/105 and the WTRUs 102a, 102b, 102c may implement a radio technology such as
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`Universal Mobile Telecommw1ications System (UMTS) Terrestrial Radio Access (UTRA),
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`which may establish the air interface 115/ 116/117 using w�deband CDMA (WCDMA).
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`WCDMA may include communication protocols such as High-Speed Packet Access (HSP A)
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`a.ndlor Evolved HSPA (HSPA+). HSP A may include High-Speed Downlink Packet Access
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`(HSDPA) and/or i-Iigh-Speed Uplink Packet Access (HSUPA).
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`[0030] In another embodiment, the base station 114a and the WTRUs 102a, 102b, 102c may
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`implement a radio technology such as Evolved UMTS Terrestrial Radio Access (E-UTRA),
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`which rnay establish the air interface 115/116/l l 7 using Long Term Evolution (LTE) and/or
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`LTE-Advanced (LTE-A).
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`[003 l] In other embodiments, the base station 114a and the WTRUs 102a, 102b, 102c may
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`implement radio technologies such as IEEE 802.16 (e.g., Worldwide Interoperability for
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`Microwave Access (WiMAX)), CDMA2000, CDMA2000 1X, CDMA2000 EV-DO, Interirn
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`Standard 2000 (IS-2000), Interim Standard 95 (IS-95), Interim Standard 856 (IS-856), Global
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`System for Mobile communications (GSM), Enhanced Data rates for GSM Evolution (EDGE),
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`GSM EDGE (GERAN), and the like.
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`[0032] The base station 114b in FIG. 1A may be a wireless router, Home Node B, Home
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`eNode B, or access point, for example, and may utilize any suitable RAT for facilitating wireless
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`- 6 -
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`IPR2022-00468
`Apple EX1016 Page 9
`
`

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`ISGSYS 13091 WO0l
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`connectivity in a localized area, such as a place of business, a home, a vehicle, a campus, and the
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`like. In some embodiments, the base station 114b and the WTRUs 102c, 102d may implement a
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`radio technology such as IEEE 802. l l to establish a wireless local area network (WLAN). In
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`another embodiment, the base station 114b and the WTRUs 102c, 102d may implement a radio
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`technology such as IEEE 802.15 to establish a ·wireless personal area network (WPAN). In yet
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`another embodiment, the base station 114b and the WTRlJs 102c, 102d may utilize a cellular­
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`based RAT (e.g., WCDMA, CDMA2000, GSM, LTE, LTE-A, etc.) to establish a picocell or
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`femtocell. As shown in FIG. J A, the base station 114b may have a direct connection to the
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`Internet 110. Thus, the base station 114b may not be required to access the Internet 110 via the
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`core network 106/107 /109.
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`[0033] The RAN 103/104/105
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`may be in communication with the core network 106/107 /109,
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`vvhich may be any type of network configured to provide voice, data, applications, and/or voice
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`over internet protocol (VoIP) services to one or more of the WTRUs 102a, 102b, 102c, 102d. For
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`example, the core net,.vork l 06/107 /109 may provide call control, hilling services, mobile
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`location-based services, pre-paid calling, Internet connectivity, video distribution, etc., and/or
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`perform high-level secrnity functions, such as user authentication. Although not shown in FIG
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`lA, it will be appreciated that the RAN 103/104/105 and/or the core net'.vork 106/107/109 may
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`be in direct or indirect communication with other RANs that employ the same RAT as the RAN
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`103/104/105 or a different RAT For example, in addition to being connected to the RAN
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`103/104/105, which may be utilizing an E-UTRA radio technology, the core network
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`106/107 /109 may also be in commw1ication with another RAN (not shown) employing a GSM
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`radio technology
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`[0034] The core network 106/107/109 may also sen,e as a gateway for the WTRlJs 102a,
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`102b, 102c, 102d to access the PSTN 108, the Internet 110, and/or other networks 112. The
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`PSTN 108 may include circuit-switched telephone networks that provide plain old telephone
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`service (POTS). The Internet 110 may include a global system of interco