`
`
`
`
`
`
`
`
`
`
`This file wrapper was thoroughly reviewed by
`our technical staff. The File History Jacket
`Cover and Table of Contents page is missing
`from the original USPTO file history.
`
`This has been brought to your attention so that
`you will know it has not been overlooked.
`
`
`ZTE, Exhibit 1010-0001
`
`

`

`15:48
`
`From-Fetherstonhauah LP
`
`'
`
`+6132328440
`
`T-568
`
`P.004
`
`F-465 ,
`0
`~(X)
`PTO/SB/16(~~
`Approved for use through 04/30/2003. 0MB 0651-003 •
`
`Please1ypeaplusslgn(+)inside1hlsb0x- r;7
`q-
`o
`0
`U.S, Patent and Trademark Office; U.S. DEPARTMENT OF COMMERC O ~C')
`.
`Uneferlhe Paperwork RaduCllonAct of 11195, no persons arc required 10 respond 10 a collecrlon of informauon unless II displays a valid OMl3 control number. CO
`r-
`00
`...- -
`q-0
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET
`0
`q c:t>CO
`....
`This Is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c).
`
`INVENTORlS
`
`~"'
`c
` Gjven Name (first and middle [If any])
`Residence
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`(Citv and either State or Forei11n Countrv)
`MING
`JIA
`Ottawa, Ontario, Canada
`MA
`JIANGLEI
`Kanata, Ontario, Canada
`ZHU
`PEIYING
`Kanata, Ontari~, Canada
`TONG
`Ottawa, Ontario, Canada
`WEN
`~ Additional inventotS are being 11:imed on rht~ ~paratety numbered ~heets attached hareto
`TITLE OF THE INVENTION {280 characters max)
`SYSTEMS AND METHODS FOR OFDMA SPACE TIME CODING SUB• CHANNEL MAPPING AND POWER CONTROL
`
`-~
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`ZTE, Exhibit 1010-0002
`
`

`

`Aua-13-94
`
`15:48
`
`From-Fetherstonhauah LP
`
`+6132328440
`
`T-568
`
`P.005
`
`F-465
`
`PROVISIONAL APPLICATION COVER SHEET
`Additional Page
`
`PTO/SB/16 (8-00)
`Apprt1vad ror use 1hroug11 10/31/2002. OMS 0851-0032
`U.S. Patent and Trademark Office; lJ.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduclion Act o 1995, no plll'Sons are required to resoond to a oolleclion of lnronnalion unless II r:.tls '""" a valid 0MB control number.
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`71493-1308 /aba
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`inside this box -
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`Type a plu$ sign (+) I
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`
`I
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`Doeket Number
`
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`Given Name (first and middle !if anvn
`CLAUDE
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`Familv or Surname
`ROYER
`XU
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`Residence
`f(".ilv an!'! .,;fh<>P $f,ota nr~="'Lt,wi..;inhv"'-..\----1
`
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`
`Number_!_ of
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`be included on this form. Provide credit card information and authorl:zation on PTO-2038.
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`Coov orovided bv USPTO from the IFW Image Database on 09/12/2005
`
`ZTE, Exhibit 1010-0003
`
`

`

`Aua-13-04
`
`\>
`
`15:48
`
`From·Fetherstonhauah LP
`
`l7269ROUS0l.P
`
`+6132328440
`
`T-568
`
`P.006
`
`F-465
`
`- 1 -
`
`Systems and Methods for OFDMA Space Time coding Sub-Channe1
`Mapping and Power control
`
`Description
`
`The existing.specification of IBEE802.16e has
`5 deficiencies in the following areas:
`
`power ·balanced space time code for odd number of
`transmit antennas;
`
`antenna/sub-channel allocation for the multi-user;
`
`closed-loop power control for the Space time coding;
`
`10 and
`
`continuous pilot allocation for multiple antennas.
`
`Embodiments of the invention provide solutions for a
`power balanced space time code for odd number of transmit
`antennas,.antenna/sub-channel allocation for the multi-user,
`is closed-loop power control for the Space time coding, and
`continuous pilot allocation for multiple antennas. Any
`combination of one or more of these solutions may be included
`in a given imp1ementation.
`
`20
`
`In particular, for power balanced space time code for
`odd number of transmit antennas code aggregation is performed
`in three dimensions (time/space/frequency).
`
`To perform antenna/sub-channel allocation for the
`multi-user, a multi-user antenna/sub-channel loading criteria
`is provided and utilized.
`
`25
`
`To perform closed-loop power control for the Space
`time coding, a method of multi-bit power control is provided.
`
`rnnu nrouided bv USPTO from the IFW Image Database on 09/12/2005
`
`ZTE, Exhibit 1010-0004
`
`

`

`Aua-13-04
`'
`
`15:48
`
`From-Fetherstonhauah LP
`
`+6132328440
`
`T-568
`
`P.007
`
`F-465
`
`17269ROUS0lP
`
`- 2 -
`
`To provide a continuous pilot allocation for multiple
`antennas, an antenna mapping is provided to allow to assist the
`receiver operation.
`
`Attached slides 1 to 38 provide details of a
`s plurality of specific embodiments of the invention.
`
`Each embodiment is generalizable to an arbitrary
`number of sub-carriers-'and/or an arbitrary number of transmit
`antennas/receive ·antennas as will be apparent to one skilled in
`the art. Embodiments provide transmitters adapted to generate
`10 signals containing the disclosed transmit code-sets/sub-car:rie_r
`allocations, methods of transmitting such signals, receivers
`adapted to receive such transmissions, and methods of receiving
`and decoding such signals.
`
`15
`
`Numerous modifications and variations of the present
`invention are possible in light of the above teachings. It is
`therefore to be understood that within the scope of the
`appended claims, the invention may be practiced otherwise than
`as specifically described herein.
`
`"
`
`l"'nnu nrl"luided bv USPTO from the IFW Image Database on 09/12/2005
`
`ZTE, Exhibit 1010-0005
`
`

`

`Aui-13-04
`il
`
`15:49
`
`From-Fetherstonhauih LP
`
`l.7269ROUS01.P
`
`.. ,
`
`WE CLAIM:
`
`+613232844D
`
`T-569
`
`P.009
`
`F-465
`
`- 3 -
`
`A method/transmitter/receiver adapted to implement
`1.
`the subject matter of one of slides l. to 38, or any combination
`of two or more of slides 1 to 38.
`
`s 2.
`A method/transmitter/receiver adapted to implement a
`generalization to an arbitrary number of antennas and/or sub(cid:173)
`carriers of the subject matter of one of slides 1 to 38, or any
`combination of two or more of slides 1 to 3·9 .
`
`rnnu nrovided bv USPTO from the IFW Image Database on 09/12/2005
`
`ZTE, Exhibit 1010-0006
`
`

`

`Aua-13-04
`o\
`
`15:48
`
`From·Fetherstonhauah LP
`
`+6132328440
`
`T-568
`
`P.009
`
`F-465
`
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`Conv nrovided bv USPTO from the IFW Image Database on 09/12/2005
`
`ZTE, Exhibit 1010-0007
`
`

`

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`• Multi-bit closed loop :power control for OFDMA sub-
`
`-FDD/H-FDD
`-MIMO
`-StSO/SIMO
`channel
`
`• Antenna and OFDMA Sub-channel Allocation for
`
`-Variable Rate Space Time Code
`-OFDMA pilot mapping space time processing
`-OFDMA mapping and pre-coding
`
`• Space Time Code
`
`Contents
`
`:,
`
`-Criteria
`multi-user network
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`ZTE, Exhibit 1010-0008
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`-Only partial space diversity is achieved due to its overweighting
`-Power is imbalanced within the code block.
`
`on the 2nd .transmit antenna.
`
`-Antenna-2 has double opportunity to transmit signals than the
`
`other 2 antennas.
`
`• Prior Art Jssues:
`
`-Power is balanced
`-Fufl space diversity is achieved within the code block.
`-Each antenna has equal opportunity to transmit signals.
`
`• Objective:
`Mapping on odd number of Antennas
`Principle of Space Time Code
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`ZTE, Exhibit 1010-0009
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`
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`
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`
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`
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`Embodiment 1.2
`
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`Rate=2, 3 Transm~t Antennas
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`
`

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`• Provide additional diversity within coherence band, with three different
`
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`
`® Set-2 ® Set-3
`®} Code ®} Code
`•••••••
`
`Sub-carriers
`
`lb} Code
`
`(fillJ} Set-1
`
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`Space Time Code sub-carrier mapping for 3 Transmit Antennas
`
`Embodiment 1.3
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`
`

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`diversity gain into the system -against channel matrix illness
`
`-For the Open loop case: use aH 3 code sets to introduce addjtionaf
`
`-For the Open loop case: use two most correlated channels for STTD
`
`transmission.
`
`• The idea is:
`
`either coded layers, the system performance degrades.
`If the channel of uncoded rayer is correlated with the channel of
`orthogonal layer.
`
`•
`
`• Interference exists between the STTD code and the non(cid:173)
`• Within an STTD code, no inter-symbol interference exist.
`
`• Code set construction consist of orthogonal STTD and non(cid:173)
`
`orthogonal parts
`
`Code Set Selection for Open Loop and Closed Loop
`
`Embodiment 1.4
`
`(D
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`ZTE, Exhibit 1010-0013
`
`

`

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`
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`
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`
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`
`ofV-BLAST
`
`• Since one layer is STTD encoded, the performance of a ZF algorithm
`• A zero-forcing algorithm can be used for rate-2 STTD decoding.
`
`BLAST)
`should be relatively eraser to an ML algorithm (compared to V(cid:173)
`
`Decoding method for rate-2, STTD with 3 transmit antennas
`
`Embod,iment 2.1
`
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`ZTE, Exhibit 1010-0014
`
`

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`• Since the complexity of a ZF decoder is dominated by
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`Rate--1, 4-transmit antenna Pre-Coding Constellation
`Embodiment 3.2
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`QAM with different number. of points.
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`the proposed met od is exemplified for 64QAM;
`rate 64QAM is su~gested, thus in the following,
`Any QAM constellation can be used. For high data
`
`seventeen bits of data.
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`point have odd parity.
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`satisfies the even parity condition, the decoding is complete, else go to the step three.
`Step two: for , determine , the closet points from constellation points to . If the total parity of the labels for, • and
`steps two and three of the algorithm can be simplified by using Wagner Rule Decoding method as follows:
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`Embodiment 3.4
`
`ZTE, Exhibit 1010-0020
`
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`For 2k OFDMA mode, each constant pilot-set contain 12 sub-carriers
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`be used to track the frequency draft and the SIR measurement
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`• 2. Estimate SIR
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`• Current design for four antennas is not optimal for high-speed MSS
`• Current design_ doesn't cover three antennas case
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`regarding to frequency offset tracking
`
`-Symbol 3: antenna 2 uses ConstantSet#O and antenna 3 uses ConstantSet#1
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`• Symbol 0: antenna O uses ConstantSet#O and antenna 1 uses ConstantSet#1
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`Four antennas (modified)
`
`• Symbol 3: antenna O uses ConstantSet#O and antenna 3 uses ConstantSet#1
`• Symbol 2: antenna O uses ConstantSet#O and antenna 3 uses ConstantSet#1
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`• Symbol O: antenna O uses ConstantSet#O and antenna 1 uses ConstantSet#1
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`power when the sub-channels assigned to it do not cover all symbols
`Even for MSS in the active state, this also increases the processing
`-For MSS in the .standby state, this will increase power consumption
`all the symbols during the measurement time slot
`
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`
`-The same SNR measurement method based on TPS can be applied if
`measure channel quality
`
`suitable sequence is used to modulate constant-location pilots
`
`• The locations of the constant-location pilots for FUSC are defined in
`
`Table 309a,b,c for 2048-FT, 1024-FFT and 512-FFT respectively
`
`Embodiment 5.2
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`r(cid:173) .....
`C .,
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`.... -0
`
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`
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`
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`
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`
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`
`21
`
`• No impact to existing sub-channel definitions, because for FU-SC DL,
`
`exclusively for data. (8.4.6)
`carriers which are divided into sub-channefs that are used
`the pilot tones are located first and what remains are data sub(cid:173)
`
`• For 512-FFT, the positions of the constant-location pilots:
`
`k = 1,2, ..... 6
`
`64k+1
`
`• For 2048-FFT, the positions of 24 constant-location pilots:
`-Subset FFT can be applied to extract constant-location pilots
`
`• Modify the definitions of the constant-location pilot in Table 309a,b
`
`-Let the separations of the sub-carriers assigned to constant-rocation
`and c
`
`pilot be power of 2
`
`Embodiment 5.3
`
`• For 1024-FFT, the positions of the constant-location pilots:
`k = 1.,2, ..... 24 (the index of sub-carrier starts from 0)
`
`k = 1,2, ..... 11
`
`64(k+1)-1
`
`64(k+2)-1
`
`~ 0
`Ill :.:
`
`U1
`
`0
`~
`0
`)
`I
`I
`r
`i
`·l
`J
`
`ZTE, Exhibit 1010-0027
`
`

`

`~ en
`....
`
`OI
`
`22
`
`...... Ct
`Ct ... Ct
`
`-v
`
`en
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`
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`
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`
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`
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`
`Q
`c:n
`OI
`
`9c
`
`9b
`
`9a
`
`fading channel
`frequency selective
`more robust for faster
`
`• Embodiment 9c ;s
`
`higher speed
`while 9b can support
`compared to 9b,
`STTD better
`
`-9a can support 4x4
`
`embodiment 9c
`overhead compared to
`9b has rower pilot
`
`• Embodiment 9a and
`
`four transmit antennas
`OFDM system with
`patterns for MIMO
`
`• Variable~location pilot
`
`Variable-location Pilot for the OFDMA PUSC
`Embodiment 5.4
`
`~
`
`> C
`
`....
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`
`Ct
`
`"11 a .. 0
`
`~ 5:
`~
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`
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`
`(D
`
`(D
`
`~
`3
`~
`:1'
`3
`
`ZTE, Exhibit 1010-0028
`
`

`

`OJ
`~
`C>
`
`..... I -OJ
`
`UI
`
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`
`UI
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`
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`
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`
`23
`
`• To use the combination of the primitive in both space and time to
`
`construct variable space time coding rate
`
`-G1 ,G2,G3,G4
`-Four transmit antennas:
`-G1,G2,G3
`-Three transmit antennas:
`-G1, G2
`-Two transmit antennas:
`codes:
`
`• The basic primitive of Space time codes consist of a set of primitive
`
`Variable Rate Space Time Code Extension
`Embodiment 6.1
`
`~
`0 co ::.
`
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`0
`0
`
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`
`!
`
`1, ._ . ._
`
`ZTE, Exhibit 1010-0029
`
`

`

`CJI
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`
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`
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`
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`
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`
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`
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`
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`
`R=3/2
`
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`
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`
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`
`G1 G1
`
`G1 G1
`
`G2
`
`L=4
`
`R=2
`
`G1 G1
`
`G1 G1
`
`G1 G1
`
`R=1
`
`G2
`
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`
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`
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`G2
`
`i=
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`X
`
`L=3
`
`Antenna index
`
`2-
`ansmit-Antenna Codes
`E
`mbodiment 6.2
`
`~
`3
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`ZTE, Exhibit 1010-0030
`
`

`

`CD en
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`
`L=4
`
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`
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`
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`
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`
`G1 G1 G1
`
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`
`R=3/2
`
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`
`G3
`
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`
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`
`G1
`
`G2
`
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`
`L=4
`
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`
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`
`G1 G1 G1
`
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`
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`
`R=5/2
`
`G1 G1 G1
`
`G1 G1 G1
`
`G1
`
`G1
`
`G2
`
`Embodiment 6.3
`
`3-Transmit-Antenna Codes
`
`!
`D l
`
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`
`ZTE, Exhibit 1010-0031
`
`

`

`UI
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`
`.(cid:173)
`
`26
`
`2.00
`
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`
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`
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`
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`
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`
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`
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`
`1.47
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`
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`2.00
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`
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`
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`
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`
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`
`1.09
`
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`
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`
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`
`1.33
`
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`
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`
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`
`1.43
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`
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`
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`
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`
`1.20
`
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`
`1.07
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`
`1.20
`
`1.23
`
`15
`14
`
`13
`12
`11
`
`10
`
`9
`8
`7
`6
`5
`4
`3
`2
`
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`0 ' 0
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`r
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`' I
`
`j
`
`Code Rates ( R )
`
`Block Length ( L)
`
`2-Transmit-Antenna Code Set and Coding Rate
`
`· Embodiment 6.4
`
`.•
`
`ZTE, Exhibit 1010-0032
`
`

`

`.... I
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`C> ... DI
`
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`
`MSS-1
`
`.
`
`Sub-channel Sub-channel
`
`MSS .. 1
`
`MSS-2
`
`Transmit Sub-MIMO User, Power and Sub-Channel Allocation
`
`Embodiment 7 .1
`
`27
`
`~ User data sub-carrier
`
`~ Null sub-carrier
`
`r:xx:tX)
`
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`
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`
`ZTE, Exhibit 1010-0033
`
`

`

`~ -en
`CD .. C> ... cn
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`
`28
`
`channels.
`transmitting power on good channels, while avoiding poor
`
`-
`
`• Quasi-water-filling over antennas/sub-channels:
`• Simple MIMO decoder.
`
`-different users may select different antenna group.
`diversity;
`
`~ 0
`5 :.:
`' l
`
`~
`
`111
`
`• Antennas/sub-channels selection is based on multi-user
`
`l
`
`-Less feedback traffic, better feedback protection.