PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`Application Number
`
`FTRW-01176US0
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2:
`Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`Inventor Information:
`Inventor
`Legal Name
`Prefix) Given Name
`Pengfei
`Residence Information (Select One)
`San Diego
`City
`
`1
`
`Remove
`
`Middle Name
`
`US Residency
`State/Province
`
`CA
`
`Family Name
`Kia
`Non US Residency
`Active US Military Service
`US
`Country of Residencd
`
`Suffix
`
`vv
`
`Mailing Address of Inventor:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`City
`Postal Code
`
`Plano
`
`75024
`
`2
`
`Inventor
`Legal Name
`Prefix Given Name
`Young
`Residence Information (Select One)
`San Diego
`City
`
`State/Province
`us
`Country i
`
`x
`
`Remove
`
`Middle Name
`Hoon
`(@ US Residency
`State/Province
`
`CA
`
`Family Name
`Kwon
`Non US Residency
`Active US Military Service
`US
`Country of Residencd
`
`Suffix
`
`Mailing Address of Inventor:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`City
`Postal Code
`
`150024
`
`Plano
`
`Inventor
`Legal Name
`Prefix) Given Name
`Bin
`Residence Information (Select One) @ US Residency
`
`Middle Name
`
`EFS Web 2.2.12
`
`State/Province
`us
`Country i
`
`Remove
`
`Family Name
`Liu
`Non US Residency
`
`Active US Military Service
`
`Suffix
`¥
`
`Samsung Exhibit 1012, Page 1 of 59
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01176US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`City
`
`San Diego
`
`State/Province
`
`CA
`
`Country of Residencd
`
`US
`
`Plano
`
`Add
`
`Remove Email
`
`Mailing Address of Inventor:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`State/Province
`City
`us
`Postal Code
`150024
`Country i
`Inventors Must Be Listed - Additional
`Inventor Information blocks may be
`All
`generated within this form by selecting the Add button.
`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`An Address is being provided for the correspondence Information of this application.
`Customer Number
`36309
`Email Address
`
`patents@vierramagen.com
`
`Add Email
`
`Application Information:
`Title of the Invention
`BEAM FAILURE RECOVERY REQUEST
`Small Entity Status Claimed [_]
`Attorney Docket Number
`FTRW-01176US0
`Provisional
`Application Type
`Subject Matter
`Utility
`Total Number of Drawing Sheets (if any)
`Filing By Reference:
`Only complete this section when filing an application by reference under 35 U.S.C. 111(c) and 37 CFR 1.57(a). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate section(s) below (i.e., "Domestic Benefit/National Stage Information" and "Foreign Priority Information").
`
`Suggested Figure for Publication (if any)
`
`8
`
`For the purposes of a filing date under 37 CFR 1.53(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
`Application number of the previously
`Filing date (YYYY-MM-DD)
`Intellectual Property Authority or Country
`filed application
`
`Publication Information:
`[_] Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`Request Not to Publish. | hereby request that the attached application not be published under
`35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen months after filing.
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 2 of 59
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01176US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below. If both sections are completed the customer
`Number will be used for the Representative Information during processing.
`
`Please Select One:
`Customer Number
`
`@
`
`Customer Number
`
`US Patent Practitioner
`
`Limited Recognition (37 CFR 11.9)
`
`0136309
`
`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) or indicate
`National Stage entry from a PCT application. Providing benefit claim information in the Application Data Sheet constitutes
`the specific reference required by 35 U.S.C. 119(e) or 120, and 37 CFR 1.78.
`When referring to the current application, please leave the "Application Number' field blank.
`Prior Application Status
`
`v
`
`Remove
`Filing or 371(c) Date
`(YYYY-MM-DD)
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
`
`Add
`
`vv
`
`Foreign Priority Information:
`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`constitutes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.55. When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX)! the information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55{i)(1) and (2). Under the PDX program, applicant bears the ultimate
`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1).
`
`Application Number
`
`Cou ntry'
`
`Filing Date (YYYY-MM-DD)
`
`Remove
`Access Code (if applicable)
`
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
`
`Add
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 3 of 59
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01176US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`16, 2013.
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
`16, 2013, will be examined under the first inventor to file provisions of the AIA.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 4 of 59
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01176US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`Authorization or Opt-Out of Authorization to Permit Access:
`
`When this Application Data Sheet is properly signed and filed with the application, applicant has provided written
`authority to permit a participating foreign intellectual property (IP) office access to the instant application-as-filed (see
`paragraph Ain subsection 1 below) and the European Patent Office (EPO) access to any search results from the instant
`application (see paragraph B in subsection 1 below).
`
`Should applicant choose not to provide an authorization identified in subsection 1 below, applicant must opt-out of the
`authorization by checking the corresponding box A or B or both in subsection 2 below.
`NOTE: This section of the Application Data Sheet is ONLY reviewed and processed with the INITIAL filing of an
`application. After the initial filing of an application, an Application Data Sheet cannot be used to provide or rescind
`authorization for access by a foreign IP office(s).
`Instead, Form PTO/SB/39 or PTO/SB/69 must be used as appropriate.
`
`1. Authorization to Permit Access by a Foreign Intellectual Property Office(s)
`A. Priority Document Exchange (PDX) - Unless box A in subsection 2 (opt-out of authorization) is checked, the
`undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO), the Japan Patent Office
`(JPO), the Korean Intellectual Property Office (KIPO), the State Intellectual Property Office of the People's Republic of
`China (SIPO), the World Intellectual Property Organization (WIPO), and any other foreign intellectual property office
`participating with the USPTO in a bilateral or multilateral priority document exchange agreement in which a foreign
`application claiming priority to the instant patent application is filed, access to: (1) the instant patent application-as-filed
`and its related bibliographic data, (2) any foreign or domestic application to which priority or benefit is claimed by the
`instant application and its related bibliographic data, and (3) the date of filing of this Authorization. See 37 CFR 1.14(h)
`(1).
`B. Search Results from U.S. Application to EPO - Unless box B in subsection 2 (opt-out of authorization) is checked,
`the undersigned hereby grants the USPTO authority to provide the EPO access to the bibliographic data and search
`results from the instant patent application when a European patent application claiming priority to the instant patent
`application is filed. See 37 CFR 1.14{h)(2).
`The applicant is reminded that the EPO's Rule 141(1) EPC (European Patent Convention) requires applicants to submit a
`copy of search results from the instant application without delay in a European patent application that claims priority to
`the instant application.
`
`2. Opt-Out of Authorizations to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Applicant DOES NOT authorize the USPTO to permit a participating foreign IP office access to the instant
`If this box is checked, the USPTO will not be providing a participating foreign IP office with
`[_] application-as-filed.
`any documents and information identified in subsection 1A above.
`B. Applicant DOES NOT authorize the USPTO to transmit to the EPO any search results from the instant patent
`[_] application. If this box is checked, the USPTO will not be providing the EPO with search results from the instant
`application.
`NOTE: Once the application has published or is otherwise publicly available, the USPTO may provide access to the
`application in accordance with 37 CFR 1.14.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 5 of 59
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01176US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`Applicant Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR
`to have an assignment recorded by the Office.
`
`Remove
`Applicant
`1
`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`Clear
`
`Assignee
`
`Legal Representative under 35 U.S.C. 117
`
`Joint Inventor
`
`Person who shows sufficient proprietary interest
`@ Person to whom the inventor is obligated to assign.
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
`
`Name of the Deceased or Legally Incapacitated Inventor:
`If the Applicant is an Organization check here.
`XI
`Organization Name
`Futurewei Technologies, Inc.
`Mailing Address Information For Applicant:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`Plano
`City
`Cou ntry US
`Phone Number
`Email Address
`
`State/Province
`Postal Code
`Fax Number
`
`TX
`75024
`
`Additional Applicant Data may be generated within this form by selecting the Add button.
`
`Add
`
`Assignee Information including Non-Applicant Assignee Information:
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title
`37 of CFR to have an assignment recorded by the Office.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 6 of 59
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01176US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`1
`
`Assignee
`Complete this section if assignee information, including non-applicant assignee information, is desired to be included on the patent
`application publication. An assignee-applicant identified in the "Applicant Information" section will appear on the patent application
`publication as an applicant. For an assignee-applicant, complete this section only if identification as an assignee is also desired on the
`patent application publication.
`
`If the Assignee or Non-Applicant Assignee is an Organization check here.
`Organization Name
`
`Futurewei Technologies, Inc.
`Mailing Address Information For Assignee including Non-Applicant Assignee:
`Address 1
`Address 2
`City
`Countryi
`Phone Number
`
`6340 Legacy Drive
`Suite 175
`Plano
`
`US
`
`Remove
`XI
`
`TX
`75024
`
`State/Province
`Postal Code
`Fax Number
`
`Email Address
`Additional Assignee or Non-Applicant Assignee Data may be generated within this form by
`selecting the Add button.
`
`Add
`
`Signature:
`Remove
`NOTE: This Application Data Sheet must be signed in accordance with 37 CFR 1.33(b). However, if this Application
`Data Sheet is submitted with the INITIAL filing of the application and either box A or B is not checked in
`subsection 2 of the "Authorization or Opt-Out of Authorization to Permit Access" section, then this form must
`also be signed in accordance with 37 CFR 1.14(c}.
`This Application Data Sheet must be signed by a patent practitioner if one or more of the applicants is a juristic
`entity (e.g., corporation or association). If the applicant is two or more joint inventors, this form must be signed by a
`patent practitioner, all joint inventors who are the applicant, or one or more joint inventor-applicants who have been given
`power of attorney (e.g., see USPTO Form PTO/AIA/81) on behalf of all joint inventor-applicants.
`See 37 CFR 1.4(d) for the manner of making signatures and certifications.
`
`Signature
`
`VKevin R. Spivak/
`
`Date (YYYY-MM-DD) 2011-08-10
`
`First Name
`
`Kevin
`
`Last Name
`
`Spivak
`
`Registration Number
`
`43148
`
`Additional Signature may be generated within this form by selecting the Add button.
`
`Add
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 7 of 59
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01176US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`Title of Invention
`
`BEAM FAILURE RECOVERY REQUEST
`
`This collection of information is required by 37 CFR 1.76. The information is required to obtain or retain a benefit by the public which
`is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This
`collection is estimated to take 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to
`complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 8 of 59
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to a patent
`(1) the general authority for the collection of this information
`application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that:
`is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and
`Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S.
`Patent and Trademark Office may not be able to process and/or examine your submission, which may result in termination of proceedings or abandonment of
`the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1
`
`2.
`
`3
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552) and the Privacy
`Act (5 U.S.C. 552a). Records from this system of records may be disclosed to the Department of Justice to determine whether the Freedom of
`Information Act requires disclosure of these records.
`
`Arecord from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative
`tribunal, including disclosures to opposing counsel in the course of settlement negotiations.
`
`Arecord in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom
`the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.
`
`Arecord in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in order to perform
`acontract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C.
`552a(m).
`
`A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use,
`to the International Bureau of the World Intellectual Property Organization, pursuant to the Patent CooperationTreaty.
`
`A record in this system of records may be disclosed, as a routine use, to ancther federal agency for purposes of National Security review (35 U.S.C. 181)
`and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)}.
`
`A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, during an
`inspection of records conducted by GSA as part of that agency's responsibility to recommend improvements in records management practices and
`programs, under authority of44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of
`records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about
`individuals.
`
`Arecord from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant to 35 U.S.C.
`122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use,
`to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspections or an issued patent.
`
`Arecord from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency, if the USPTO becomes
`aware of a violation or potential viclation of law or regulation.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1012, Page 9 of 59
`
`

`

`Internet
`
`150
`
`OtherNetworks
`
`160
`
`CoreNetwork
`
`130
`
`140
`PSTN
`
`FIG.1
`
`117
`
`gNB170B
`
`110C
`
`RAN120B
`
`1101
`
`gNB170A
`
`1104
`
`RAN120A
`
`100
`
`Samsung Exhibit 1012, Page 10 of 59
`
`

`

`FIG.3
`
`DL/ULTX/RX
`
`308
`
`Access
`Random
`
`306
`
`Information
`
`System
`Receive
`
`304
`
`Search
`InitialCell
`
`302
`
`FIG.2
`
`2/7
`
`202
`
`204
`
`Samsung Exhibit 1012, Page 11 of 59
`
`

`

`FIG.4B
`
`FIG.4A
`
`DL/ULbeamfailure
`
`404
`
`SF
`
`DLbeamfailureonly
`
`404
`
`NF
`
`Downlink(DL)/Uplink(UL)
`
`beampair
`
`ANN1
`
`Vil
`
`Downlink(DL)/Uplink(UL)
`
`beampair
`
`\\\Uplink(UL)beampair
`
`Downlink(DL)beampain//
`
`402
`
`402
`
`3/7
`
`Samsung Exhibit 1012, Page 12 of 59
`
`

`

`4/7
`
`Does PUCCH-BFRQ come earlier
`than BRACH-BFRQ?
`502
`
`Yes
`
`No
`
`y
`
`Use PUCCH
`504
`
`Use BRACH
`506
`
`FIG. 5A
`
`t1+TWO
`
`>|
`
`PUCCH-BFRQ
`
`BRACH-BFRQ
`
`>|
`
`t1
`
`12
`
`Response expected
`Before t2
`
`Response expected
`After t2
`
`FIG. 5B
`
`BRACH-BFRQ
`
`PUCCH-BFRQ
`
`t2
`
`t1
`
`FIG. 5C
`
`time
`
`time
`
`Samsung Exhibit 1012, Page 13 of 59
`
`

`

`5/7
`
`Send
`PUCCH-BFRQ
`
`Send
`BRACH-BFRQ
`
`Wait for
`PUCCH-BFRP
`
`Wait for
`BRACH-BFRP
`
`t1
`
`t2
`
`t3
`
`t4
`
`time
`
`(t1 <t2 <3 <t4)
`
`FIG. 6
`
`Samsung Exhibit 1012, Page 14 of 59
`
`

`

`User Equipment 700
`
`/O
`708
`
`Base Station 750
`
`Processor
`158
`
`6/7
`
`\/e
`
`71 0
`
`Transceiver
`102
`
`Processor
`104
`
`Memory
`106
`
`FIG. 8A
`
`760
`
`Ve
`
`Transmitter
`152
`
`Receiver
`154
`
`Memory
`156
`
`FIG. 8B
`
`Samsung Exhibit 1012, Page 15 of 59
`
`

`

`TT
`
`800
`
`801
`
`870
`
`CPU
`810
`
`Mass Storage
`830
`
`Network
`Interface
`850
`
`Network
`880
`
`FIG. 9
`
`Memory
`820
`
`Detecting Module
`821A
`
`Sending Module
`821B
`
`Indicating Module
`821C
`
`Transmitting
`Module
`821D
`
`Receiving Module
`821E
`
`10
`Interface
`860
`
`Samsung Exhibit 1012, Page 16 of 59
`
`

`

`Draft Application
`Privileged & Confidential
`
`ABSTRACT
`
`he disclosure relates to technology for beam failure recovery in user equipment,
`comprising detecting a beam failure event between the user equipment and a base
`station; and sending a first beam failure recovery request (BFRQ) to the base station upon
`detection of the beam failure, wherein the first BFRQ is sent using one of a physical uplink
`channel (PUCCH) and a beam failure random access channel (BRACH), the first BFRQ
`is sent using the PUCCH when a PUCCH-BFRQ opportunity (PBO) response arrives
`before Cca BRACH-BFRQ opportunity (BBO), and the first BFRQ is sent using the BRACH
`when the PBO response arrives after the BBO.
`
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`Samsung Exhibit 1012, Page 17 of 59
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`

`

`Draft Application
`Privileged & Confidential
`
`CLAIMS
`
`What is claimed is:
`A method for beam failure recovery in user equipment, comprising:
`1.
`detecting a beam failure event between the user equipment and a base station;
`
`and
`
`sending a first beam failure recovery request (BFRQ) to the base station upon
`detection of the beam failure, wherein the first BFRQ is sent using one of a physical uplink
`channel (PUCCH) and a beam failure random access channel (BRACH),
`the first BFRQ is sent using the PUCCH when a PUCCH-BFRQ opportunity (PBO)
`response arrives before a BRACH-BFRQ opportunity (BBO), and
`the first BFRQ is sent using the BRACH when the PBO response arrives after the
`
`BBO.
`
`The method of claim 1, further comprising searching for a PUCCH-beam
`2.
`failure recovery response (BFRP) within a response time.
`
`The method of claim 2, wherein
`3.
`the PUCCH-BFRQ arrives at a first time and the BRACH-BFRQ arrives at a second
`time, and
`the PUCCH-BFRQ is sent at the first time when the PBO response is expected
`before the BBO at the second time, unless a sum of the first time and the response time
`exceeds the second time.
`
`The method of claim 1, further comprising:
`4.
`sending a second BFRQ from the user equipment to the base station for the same
`beam failure event: and
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`Samsung Exhibit 1012, Page 18 of 59
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`

`

`Draft Application
`Privileged & Confidential
`indicating to the base station that the first and second BFRQs correspond to the
`same beam failure event.
`
`5.
`
`The method of claim 4, wherein the indicating includes one of:
`marking the second BFRQ as secondary in time or order,
`placing a pointer to the first BFRQ in the second BFRQ indicating that the
`first and second BFRQs correspond to the same beam failure event, and
`placing a beam failure event ID in the first BFRQ and the second BFRQ with
`the same beam failure event ID.
`
`The method of claim 4, further comprising
`6.
`receiving first and second beam failure recovery responses (BFRPs) from the base
`station, wherein the BFRP includes one of:
`a mark in the second BFRP as secondary as secondary in time or order,
`a pointer in the second BFRP to the first BFRP indicating that the first and
`second BFRPs correspond to the same beam failure event, and
`a beam failure event ID in the first and second BFRPs with the same beam
`failure event ID.
`
`A device for beam failure recovery in user equipment, comprising:
`1.
`a non-transitory memory storage comprising instructions; and
`one or more processors in communication with the memory, wherein the one or
`more processors execute the instructions to:
`detect a beam failure event between the user equipment and a base station;
`
`and
`
`send a first beam failure recovery request (BFRQ) to the base station upon
`detection of the beam failure, wherein the first BFRQ is sent using one of a physical
`
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`Samsung Exhibit 1012, Page 19 of 59
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`

`

`Draft Application
`Privileged & Confidential
`uplink channel (PUCCH) and a beam failure random access channel (BRACH),
`the first BFRQ is sent using the PUCCH when Cca PUCCH-BFRQ opportunity
`(PBO) arrives before a BRACH-BFRQ opportunity (BBO), and
`the first BFRQ is sent using the BRACH when the PBO response arrives
`after the BBO.
`
`A non-transitory computer-readable medium storing computer instructions
`8.
`that when executed by one or more
`for beam failure recovery in user equipment,
`processors, cause the one or more processors to perform the steps of:
`detecting a beam failure event between the user equipment and a base station;
`
`and
`
`sending a first beam failure recovery request (BFRQ) to the base station upon
`detection of the beam failure, wherein the first BFRQ is sent using one of a physical uplink
`channel (PUCCH) and a beam failure random access channel (BRACH),
`the first BFRQ is sent using the PUCCH when a PUCCH-BFRQ opportunity (PBO)
`arrives before a BRACH-BFRQ opportunity (BBO), and
`the first BFRQ is sent using the BRACH when the PBO response arrives after the
`
`BBO.
`
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`Samsung Exhibit 1012, Page 20 of 59
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`

`

`Draft Application
`Privileged & Confidential
`
`Provisional Application
`
`Beam Failure Recovery Request
`
`Inventors:
`
`Pengfei Xia
`Young Hoon Kwon
`Bin Liu
`
`FIELD
`
`[0001] The disclosure generally relates to wireless communication networks, and in
`particular, to recovering from a beam failure between user equipment and a base station.
`
`BACKGROUND
`
`[0002]As the demand for capacity in mobile broadband communications increases
`drastically every year, wireless communication systems are increasing their capability of
`In next generation systems, such as fifth generation (5G)
`handling mobile traffic.
`such as millimeter-wave
`advanced communications,
`(mm-wave)
`technologies,
`communications, with potential multigigabit-per-second data rates are candidate
`technologies to increase overall capacity and transmission speeds. Highly directional
`beamforming antennas are necessary at both the base station (BS) and mobile station
`(MS) to compensate for the high attenuation in the mm-wave frequency band and to
`extend its transmission range.
`
`85524629US01
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`Samsung Exhibit 1012, Page 21 of 59
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`

`Draft Application
`Privileged & Confidential
`[0003] A misalignment between transmitting (Tx) and receiving (Rx) beams may cause a
`significant loss in the received power, especially for systems with narrow beams, and
`To avoid such beam failure, beam alignment
`in mm-wave
`in beam failure.
`result
`communication systems is necessary to find the best beam pair from all possible beam
`pairs for maximum beamforming efficiency. However, when a beam failure occurs, a
`reporting and recovery mechanism is employed to report and recover from the failure.
`During the 3GPP TSG RAN WG1 #89,
`it was agreed upon to support a non-contention
`based channel based on the Physical Random Access Channel (PRACH) and the
`Physical Uplink Control Channel
`for beam failure recovery
`(PUCCH)
`request
`transmission.
`
`BRIEF SUMMARY
`
`[0004] According to one aspect of the present disclosure, there is provided a method for
`including detecting a beam failure event
`beam failure recovery in user equipment,
`between the user equipment and a base station; and sending a first beam failure recovery
`request (BFRQ) to the base station upon detection of the beam failure, wherein the first
`BFRQ is sent using one of a physical uplink channel (PUCCH) and a beam failure random
`access channel (BRACH), the first BFRQ is sent using the PUCCH when a PUCCH-
`BFRQ opportunity (PBO) response arrives before a BRACH-BFRQ opportunity (BBO),
`and the first BFRQ is sent using the BRACH when the PBO response arrives after the
`BBO.
`[0005] Optionally, in any of the preceding aspects, the method further includes searching
`for a PUCCH-beam failure recovery response (BFRP) within a response time.
`
`85524629US01
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`Samsung Exhibit 1012, Page 22 of 59
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`

`

`Draft Application
`Privileged & Confidential
`in any of the preceding aspects, the PUCCH-BFRQ arrives at a first
`[0006] Optionally,
`time and the BRACH-BFRQ arrives at a secon