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`ERIC-1035
`Ericsson v. IV, IPR2014-01195
`Page 1 of 22
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`ERIC-1035
`Page 2 of 22
`
`
`
`Methods and Apparatus for Multi-Carrier
`Communications with Variable Channel
`Bandwidth
`
`Xiaodong Li, Titus Lo, Kemin Li, and Haiming Huang
`
`1 Background of the Invention
`
`A broadband wireless communication device should be able to roam from one geographic region
`to another over the world. However, wireless communication spectra are heavily regulated and
`controlled by individual countries or regional authorities. It is inevitable that each country or
`region will have its own spectral band for broadband wireless communications that is different in
`frequency and bandwidth from others. Furthermore, even within a country or region, a wireless
`operator may own and operate on a broadband spectrum that is different in frequency and
`bandwidth from other operators. The difference in bandwidth presents a unique challenge in
`designing a broadband wireless communication system with flexibility that works for different
`bandwidths.
`
`One of the advantages of a multi-carrier communication system is that it can be designed with a
`certain degree of flexibility. In a multi-carrier communication system such as multi-carrier code
`division multiple access (MC-CDMA) and orthogonal frequency division multiple access
`(OFDMA), information data are multiplexed on subcarriers that are mutually orthogonal in the
`frequency domain. The design flexibility lies in the manipulablility of the parameters, such as the
`number of subcarriers and the sampling frequency. For example, by using a different sampling
`frequency a DVB-T device is capable of receiving signals broadcasted from a DVB-T station
`that is operating on a 6-, 7-, or 8-MHz bandwidth.
`
`The present invention is intended to provide a practical and feasible solution for multi-carrier
`communication with variable channel bandwidth.
`
`2 Summary of the Invention
`
`This invention describes the methods and apparatus for multi-carrier communication with
`variable channel bandwidth. The multi-carrier system mentioned in this invention can be of any
`special formats such as Orthogonal Frequency Division Multiplexing (OFDM), Orthogonal
`Frequency Division Multiple Access (OFDMA), or Multi-Carrier Code Division Multiple
`Access (MC-CDMA). The invention can be applied to eitherTime Division Duplexing (TDD) or
`Frequency Division Duplexing (FDD). Without lost of generality, OFDMA is taken as an
`example to illustrate the present invention.
`
`Rei-. 0. I 4/30/200./
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Propricrnry
`
`ERIC-1035
`Page 3 of 22
`
`
`
`In accordance with aspects of certain embodiments of the variable bandwidth OFDMA (VB(cid:173)
`OFDMA) system, the time frame structure and the OFDM symbol structure of the
`communication interface is maintained the same for different channel bandwidth. The variable
`channel bandwidth is realized by adjusting the number of usable subcarriers.
`
`In accordance with yet other embodiments of the VB-OFDMA system, a core band (CB) is
`defined and reserved for the primary state of radio operation, where critical, essential, and
`important radio control signals, along with some data, are transmitted within the CB. The full(cid:173)
`bandwidth is used for normal radio operation.
`
`In accordance with aspects of the VB-OFDM system, automatic bandwidth recognition (ABR)
`enables a receiver to automatically recognize the operating bandwidth when it enters in to an
`operating environment or service area of a particular frequency and channel bandwidth.
`
`In accordance with other embodiments of the VB-OFDMA system, preambles are constructed
`either using a direct sequence in the time domain or using an OFDM symbol which corresponds
`to a particular pattern in the frequency domain. The preambles occupy either the entire band or
`only the core band.
`
`In accordance with yet other embodiments of the VB-OFDMA system, multi-modes are devised
`to handle an exceptionally wide range of variation in bandwidth.
`
`3 Brief Description of the Drawings
`
`The present invention will be thoroughly understood from the detailed description given below
`and from the accompanying drawings of various embodiments of the invention, which, however,
`should not be taken to limit the invention to the specific embodiments, but are for explanation
`and understanding only.
`
`Figure 1: The radio resource is divided into small units in both the frequency and time domains:
`subchannels and time slots. Subchannels are formed by subcarriers. The basic structure
`of a multi-carrier signal in the time domain is made up of time slots.
`
`Figure 2: The relationship is shown between the sampling frequency, the channel bandwidth, and
`the usable subcarriers. For a given bandwidth of a spectral band or channel (Bch), the
`number of usable subcarriers is finite and limited, whose value depends on the size of
`the FFT and the sampling frequency {fs).
`
`Figure 3: The basic structure of a multi-carrier signal in the frequency domain is made up of
`subcarriers. Data subcarriers can be grouped into subchannels in a particular way. Each
`subchannel may be set at a different power level.
`
`Figure 4: The basic structure of a multi-carrier signal in the time domain is generally made up of
`time frames, time slots, and OFDM symbols. A frame consists of a number of time
`slots, whereas each time slot is comprised of one or more OFDM symbols. The OFDM
`
`Rei·. O. l 4/30/:!.0(1.1
`
`WALUELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`2
`
`ERIC-1035
`Page 4 of 22
`
`
`
`time domain waveform is generated by applying the inverse-fast-Fourier-transform
`(IFFT) to the OFDM signals in the frequency domain. A copy of the last portion of the
`time waveform, known as the cyclic prefix (CP), is inserted at the beginning of the
`waveform itself to form the OFDM symbol.
`
`Figure 5: A cellular wireless network is comprised of a plurality of cells, in each of which the
`coverage is provided by a base station (BS). Within each coverage area, there are
`distributed mobile stations. A base station is connected to the backbone of the network
`via a dedicated link and also provides radio links to the mobile stations within its
`coverage.
`
`Figure 6: The variable channel bandwidth is realized by adjusting the number of usable
`subcarriers, whose spacing is set constant. In this realization, a particular number of
`usable subcarriers constitute a channel with a certain bandwidth. The width of the core
`band is less than the smallest channel bandwidth.
`
`Figure 7: A time-domain windowing function can be applied to the OFDM symbols to shape the
`spectrum to conform to a given spectral mask. This process is independent of the
`operating bandwidth.
`
`Figure 8: A preamble is designed to occupy either the entire operating bandwidth or only the
`core band.
`
`Figure 9: The entire range (e.g., from 5 Mhz to 40 MHz) ofbandwidth variation is divided into
`smaller trunks (e.g., 5-10 MHz, 10-20 MHz, 20-40 MHz, in sizes). Each trunk is
`handled in one particular mode. The mode for the lowest range of bandwidth is labeled
`as the fundamental mode and other modes are called higher modes (Mode 1, Mode 2,
`etc.).
`
`4 Detailed Description
`
`4.1 Multi-Carrier Signal Format
`
`The physical media resource (e.g., radio or cable) in a multi-carrier communication system can
`be divided in both the frequency and time domains, as depicted in Figure I . This canonical
`division provides a high flexibility and fine granularity for resource sharing.
`
`The basic structure of a multi-carrier signal in the frequency domain is made up of subcarriers.
`For a given bandwidth of a spectral band or channel (Bch), the number of usable subcarriers is
`finite and limited, whose value depends on the size of the FFT and the sampling frequency (fs)
`and the effective bandwidth (Beff), as depicted in Figure 2. There are three types of subcarriers, as
`illustrated in Figure 3.
`
`1. Data subcarriers, which carries information data;
`
`Rei·. 0.1 4/30/::00./
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`WALBELL TECHNOLOGIES, INC.
`Confidential anti Proprietary
`
`ERIC-1035
`Page 5 of 22
`
`
`
`2. Pilot subcarriers, whose phases and amplitudes are predetermined and made known to all
`receivers and which are used for assisting system functions such as estimation of system
`parameters; and
`
`3. Silent subcarriers, which have no energy and are used for guard bands and DC carrier.
`
`The data subcarriers can be arranged into groups called subchannels to support scalability and
`multiple-access. The subcarriers forming one subchannel may or may not be adjacent to each
`other. Each user may use some or all of the subchannels. A subchannel formed by the contiguous
`subcarriers is called a congregated (or clustered) subchannel. A congregated subchannel may
`have a different power level from others.
`
`The basic structure of a multi-carrier signal in the time domain is generally made up of time
`frames, time slots, and OFDM symbols, as depicted in Figure 4. A frame consists of a number of
`time slots, whereas each time slot is comprised of one or more OFDM symbols. The OFDM time
`domain waveform is generated by applying the inverse-fast-Fourier-transform (IFFT) to the
`OFDM signals in the frequency domain. A copy of the last portion of the time waveform, known
`as the cyclic prefix (CP), is inserted in the beginning of the waveform itself to form the OFDM
`symbol.
`
`The downlink transmission in each frame begins with a downlink preamble, which can be the
`first one or more OFDM symbols in the first DL slot. The DL preamble is used a base station to
`broadcast signals for radio network information such as synchronization and cell identification.
`
`Similarly, uplink transmission can begin with a uplink preamble, which can be the first one or
`more OFDM symbols in the first UL slot. The UL preamble is used by mobile stations to carry
`out the functions such as initial ranging during power up and handoff, periodic ranging, and
`bandwidth request, channel sounding to assist downlink scheduling or advanced antenna
`technologies, and other radio functions.
`
`4.2 Cellular Wireless Networks
`
`In a cellular wireless network, the geographical region to be serviced by the network is normally
`divided into smaller areas called cells. In each cell the coverage is provided by a base station.
`Thus, this type of structure is normally referred to as the cellular structure (Figure 5). Within
`each coverage area, there are located mobile stations to be used as an interface between the users
`and the network. A base station is connected to the backbone of the network, usually by a
`dedicated link. A base station also serves as a focal point to distribute information to and collect
`information from its mobile stations by radio signals.
`
`In a wireless network, there are a number of base stations, each of which provides coverage to its
`designated area, normally called a cell. If a cell is divided in to sectors, from system engineering
`point of view each sector can be considered as a cell. In this context, the terms "cell" and
`"sector" are interchangeable.
`
`Rei·, 0. I 4/30/::0M
`
`WA LU ELL TECHNOLOGIES, fNC.
`Confidential and Proprietary
`
`4
`
`ERIC-1035
`Page 6 of 22
`
`
`
`4.3 Variable Bandwidth OFDMA
`
`In accordance with aspects of certain embodiments of VB-OFDMA, the spacing between
`adjacent subcarriers is set constant and the variable channel bandwidth is realized by adjusting
`the number of usable subcarriers. In other words, the same OFDM symbol structure is used and
`the ratio between the sampling frequency and the number ofFFT/IFFT is kept constant. In such
`a realization, a specific number of usable subcarriers constitute a channel of a certain bandwidth.
`For example, in Figure 6 is illustrated the signal structure in the frequency domain for a
`communication system with parameters specified in Table 1. The numbers of usable subcarriers
`are determined based on the assumption that effective bandwidth is 90% of the channel
`bandwidth.
`
`Table 1 System parameters
`
`Sampling freq.
`
`FFT size
`
`Subcarrier spacing
`
`11.52 MHz
`
`1024 points
`
`11.25 kHz
`
`Channel bandwidth
`
`lOMHz
`
`8MHz
`
`6MHz
`
`5MHz
`
`# of usable subcarriers
`
`800
`
`640
`
`480
`
`400
`
`In this realization, using the invariant OFDM symbol structure allows the use of the same design
`parameters for signal manipulation in the time-domain for a variable bandwidth. For example, in
`an embodiment depicted in Figure 7, a particular windowing design is employed to shape the
`spectrum to conform to a given spectral mask.
`
`4.4 Radio Operation via Core Band
`
`Radio control and operation signaling is realized through the use of a core band (CB). A core
`band, centered at the operating center frequency, is defined as the frequency segment that must
`be less than or equal to the smallest operating channel bandwidth among all the possible spectral
`bands that the receiver is designed to operate. For example, for a system that is intended to work
`at 5-, 6-, 8-, and 10-Mhz, the width of its CB can .be set to be 4 MHz, as shown in Figure 6. The
`rest of the bandwidth is called sideband (SB).
`
`In one embodiment, critical, essential, and important radio control signals such as preambles,
`ranging signals, bandwidth request, bandwidth allocation, etc. are transmitted within the CB. In
`addition to the essential control channels, a set of data channels and their related dedicated
`control channels are placed within the CB. This ensures the basic radio operation to be
`maintained with the use of the CB. Such a basic operation constitutes the primary state of
`operation. When entering into the network, a mobile station starts with the primary state and
`
`Rei-. O. J 4/30/::.00./
`
`WALUELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`5
`
`ERIC-1035
`Page 7 of 22
`
`
`
`transits to the normal full-bandwidth operation to include the sidebands for additional data and
`radio control channels.
`
`In accordance with the embodiments of this invention, a preamble occupies only the CB, called
`the essential preamble (EP), as depicted in Figure 8. The EP alone will be necessary and
`sufficient for the basic radio operation. The EP can either be a direct sequence in the time
`domain with its frequency response confined within the CB, or be an OFDM symbol
`corresponding to a particular pattern in the frequency domain within the CB. In either case, the
`EP sequences must possess the following desired properties:
`
`1. The autocorrelation of an EP sequence must exhibit a relatively large ratio between its
`correlation peak and sidelobe level.
`
`2. The cross-correlation coefficient between two different EP sequences must be
`significantly small with respect to the power of the EP sequences.
`
`3. The peak-to-average ratio of an EP sequence must be relatively small.
`
`4. The number ofEP sequences that exhibit the above three properties must be relatively
`large.
`
`In an embodiment, the auxiliary preamble (AP), which occupies the SB, can be added (appended
`in the frequency domain or superimposed in the time domain) to the EP to form a full-bandwidth
`preamble (FP). The FP sequences must possess the following desired properties.
`
`1. The autocorrelation of an FP sequence must exhibit a relatively large ratio between its
`correlation peak and sidelobe level.
`
`2. The cross-correlation coefficient between two different FP sequences must be
`significantly small with respect to the power of the FP sequences.
`
`3. The peak-to-average ratio of an FP sequence must be relatively small.
`
`4. The number ofFP sequences that exhibit the above three properties must be relatively
`large,
`
`In yet another embodiment, the formation of an FP by adding an AP must allow the operation
`where a base station broadcasts the FP and a mobile station use its corresponding EP to access
`this base station. Consequently, The FP sequences must possess the following desired properties:
`
`1. The correlation of an FP sequence and its corresponding EP must exhibit a relatively
`large ratio between its correlation peak and sidelobe level.
`
`2. The cross-correlation coefficient between an FP sequence and any EP sequence other
`than its corresponding one must be significantly small with respect to its power.
`
`3. The peak-to-average ratio of an FP sequence must be relatively small.
`
`Rt~'" 0. 1 4/30/::.00.J
`
`WALBELL TECHNOLOGIES, INC.
`Confokntial and Propri.::rnry
`
`ERIC-1035
`Page 8 of 22
`
`
`
`4. The number of FP sequences that exhibit the above three properties must be relatively
`large.
`
`4.5 Automatic Bandwidth Recognition (ABR)
`
`The VB-OFDMA receiver is capable of automatically recognizing the operating bandwidth
`when it enters in an operating environment or service area of a particular frequency and channel
`bandwidth. The bandwidth information can be disseminated in a variety of forms to enable ABR.
`A number of embodiments in accordance with the principles of the present invention are
`provided below.
`
`4.5.1 Based on Center Frequency
`
`In one embodiment, a mobile station, when entering in an environment or area that supports the
`VB operation or services, will scan the spectral bands of different center frequencies. If it detects
`the presence of a signal, by using envelope detection, received signal strength indicator (RSSI),
`or other detection methods, in a spectral band of a particular center frequency, it can determine
`the operating channel bandwidth by bandwidth-center frequency association such as table
`lookup. A table such as Table 2 is stored in the receiver. Based on the center frequency that it
`has detected, it looks up the value of the channel bandwidth from the table.
`
`Table 2 Center frequency and its corresponding bandwidth
`
`Center frequency
`
`Channel Bandwidth
`
`2.31 GHz
`
`2.56 GHz
`
`2.9G
`
`lOMHz
`
`6MHz
`
`8MHz
`
`4.5.2 Based on Downlink Signaling
`
`In another embodiment, the system provides the bandwidth information via the means of
`downlink signaling, such as using a broadcasting channel or a preamble. When entering into a
`VB network, the mobile stations will scan the spectral bands of different center frequencies, in
`which the receiver is designed to operate. It will decode the bandwidth information contained in
`the broadcasting channel or preamble.
`
`4.6 Multi-Mode VB-OFDMA
`
`In accordance with the principles of this invention, multi-modes are devised for a VB-OFDMA
`system to handle an exceptionally wide range of variation in channel bandwidth. The entire
`
`Rei·. 0.1 4/30/200./
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Propricwry
`
`ERIC-1035
`Page 9 of 22
`
`
`
`range of variation in bandwidth is divided into smaller trunks (not necessarily in equal size),
`each of which will be dealt with in one particular mode, as depicted in Figure 9. The mode for
`the lowest range of bandwidth is labeled as the fundamental mode and other modes are called
`higher modes (Mode 1, Mode 2, ... ). The sampling frequency of the higher modes is the
`multiples of that of the fundamental mode. Iri the higher modes, the FFT size can be multiplied
`in accordance with the sampling frequency, thereby maintaining the time duration of the OFDM
`symbol structure. For example, the parameters for a case of multi-mode design are given in
`Table 3, Alternatively, a higher mode can also be realized by maintaining the FFT size and
`shortening the OFDM symbol duration accordingly. Yet another higher-mode realization is to
`both increase the FFT size and shorten the symbol duration accordingly. The width of the CB in
`a multi-mode VB-OFDMA system must be less than or equal to the smallest bandwidth in the
`fundamental mode.
`
`Table 3 System parameters
`
`Mode 1
`
`Fundamental-Mode
`
`23.04MHz
`
`2048 points
`
`11.52 MHz
`
`1024 points
`
`11.25 kHz
`
`Sampling freq.
`
`FFT size
`
`Subcarrier spacing
`
`Channel bandwidth (MHz)
`
`20
`
`18
`
`15
`
`12
`
`10
`
`8
`
`6
`
`5
`
`# of usable subcarriers
`
`1600 1440 1200 960
`
`800
`
`680
`
`480
`
`400
`
`Rei·. 0.1 4/30/~00./
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`\VALIJELL TECHNOLOGIES, INC
`Confidt"nrial and Propriernry
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`8
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`ERIC-1035
`Page 10 of 22
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`ERIC-1035
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`
`
`• • • • ·-• • • • • • . . . . " ....
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`ERIC-1035
`Page 12 of 22
`
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`ERIC-1035
`Page 13 of 22
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`ERIC-1035
`Page 14 of 22
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`ERIC-1035
`Page 15 of 22
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`ERIC-1035
`Page 16 of 22
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`ERIC-1035
`Page 17 of 22
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`ERIC-1035
`Page 18 of 22
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`ERIC-1035
`Page 19 of 22
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`ERIC-1035
`Page 20 of 22
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`ARTIFACT SHEET
`
`Enter artifact number below. Artifact number is application number+
`artifact type code (see list below)+ sequential letter (A, B, C ... ). The first
`artifact folder for an artifact type receives the letter A, the second B, etc ..
`Examples: 59123456PA, 5912 456PB, 59123456ZA, 59123456ZB
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`; CJ :.;-
`Indicate quantity of a single n e of artifact received but not scanned. Create
`individual artifact folder/box and artifact number for each Artifact Type.
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`D
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`Artifact Type Code: P
`
`CD(s) containing:
`computer program listing
`Doc Code: Computer
`pages of specification
`and/or sequence listing
`and/or table
`ArtifacµYpe Code: S
`Doc Code: Artifact
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`content unspecified or combined
`Doc Code: Artifact
`Artifact Type Code: U
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`D
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`D
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`[$]
`D
`D
`D
`D
`D
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`D
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`Stapled Set(s) Color Documents or B/W Photographs
`Doc Code: Artifact Artifact Type Code: C
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`Microfilm(s)
`Doc Code: Artifact Artifact Type Code: F
`
`Video tape(s)
`Doc Code: Artifact Artifact Type Code: V
`
`Model(s)
`Doc Code: Artifact Artifact Type Code: M
`
`Bound Document( s)
`Doc Code: Artifact Artifact Type Code: B
`
`Confidential Information Disclosure Statement or Other Documents
`marked Proprietary, Trade Secrets, Subject to Protective Order,
`Material Submitted under MPEP 724.02, etc.
`Doc Code: Artifact Artifact Type Code X
`
`Other, description: - - - - - - - - - - - - - - - (cid:173)
`Doc Code: Artifact Artifact Type Code: Z
`
`March 8, 2004
`
`ERIC-1035
`Page 21 of 22
`
`
`
`PATENT APPLICATION SERIAL NO.
`
`--------
`
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`FEE RECORD SHEET
`
`OS/05/2004 JBALINAH 00000054 60567233
`01 FC:2005
`80.00 OP
`
`PT0-1556
`(5/87)
`
`·u.s. Govemment Pllntlng Office: 2002- -.mtee033
`
`ERIC-1035
`Page 22 of 22