`
`
`
`
`
`
`
`
`
`
`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 1013-0001
`
`

`

`PTOISB/16 (09-04)
`Approved for use through 07/31/2008. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. OEPARTMENT OF CO~ERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of Information unless it displays a valid 0MB conl/'Qljllll!(!!:.er.
`a. O>
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET
`• aj'(O
`This is a re uest for filln a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53 c .
`::>~
`g
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`~
`
`Given Name (first and middle [if any))
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`INVENTOR(S)
`Family Name or Surname
`
`I.O
`
`OTTAWA, ONTARIO, CANADA
`WEN
`separately numbered sheets attached hereto
`Additional inventors are being named on the
`ONE
`TITLE OF THE INVENTION (500 characters max\:
`CLOSED LOOP MIMO SYSTEMS AND METHODS
`
`TONG
`
`Direct all correspondence to:
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`ENCLOSED APPLICATION PARTS (check all that app/Y)
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`0 Application Data Sheet. See 37 CFR 1. 76
`
`METHOD OF PAYMENT OF FILING FEES FOR THIS PROVISIONAL APPLICATION FOR PATENT
`
`FILING FEE
`
`200.00
`
`I
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`D Applicant claims small entity status. See 37 CFR 1.27.
`I 8mc11cl tSl
`D A check or money order is enclosed to cover the filing fees.
`D Payment by credit card. Form PTO-2038 ls attached.
`0 The Director is hereby authorized to charge filing fees or credit any overpayment to Deposit Account Number: 14-1315
`D The invention was made by an agency of the United States Government or under a contract with an agency of the United States
`D Yes, the name of the U.S. Government agency and the Government contract number are:
`. -
`SIGNATURE JrL .J. /~n,._,,
`
`A duplicative copy of this form is enclosed for fee processini:i.
`
`Government. No.
`
`Date Janua!X 10, 2005
`
`TELEPHONE 972-685-8442
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`lYPED or P~ED NAME JOHN D. CRANE
`
`REGISTRATION NO. 25231
`(if appropnate)
`Docket Number: 17546ROUS01P
`USE ONLY FOR FILING A PROVISIONAL APPL/CATION FOR PATENT
`This collection of information is required by 37 CFR 1.51. The informallon is required to obtain or retain a benefit by the public which Is to fde (and by the US PTO
`to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37-CFR 1.11 and 1.14. This collection is estimated to take 8 hours to complete,
`Including gathering, preparing, and submitting the Qlmpleted application form to the USPTO. Time will vary depending upon the Individual case. Ally comments
`on Iha amount of time you require to ccmplete 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. Oepartment 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.
`If you need assistance in completing the form, call 1-8fJO.PT0-9199 and select option 2.
`
`Copy provided by USPTO from the IFW IIT'i\l,.,,. . ., ....... .,.~- -~ ~~ M - · - ' •
`
`-
`
`ZTE, Exhibit 1013-0002
`
`

`

`PTO/SB/16 (09-04)
`Approved for use through 07/3112008. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Ad. of 1995, no persons are required to respond to a collection of lnfonnallon unless it displays a valid 0MB control number.
`
`I First Named Inventor
`
`ITONG,WEN
`
`PROVISIONAL APPLICATION COVER SHEET
`Additional Page
`
`I Docket Number 17546ROUS01P
`
`Given Name (first and middle [if anvn
`
`Family or Surname
`
`Residence
`(Citv and either State or Foreign Countrv)
`
`INVENTOR(S)/APPLICANT(S)
`
`MING
`
`JIANGLEI
`
`DONGS HENG
`
`HUA
`
`PEIYING
`
`JIA
`
`MA
`
`vu
`
`XU
`
`ZHU
`
`OTTAWA, ONTARIO, CANADA
`
`KANATA, ONTARIO, CANADA
`
`OTTAWA, ONTARIO, CANADA
`
`OTTAWA, ONTARIO, CANADA
`
`KANATA, ONTARIO, CANADA
`
`Number _ _.o,...N..,E.____ of ONE
`
`WARNING: Information on this form may become public. Credit card information should not be
`included on this form. Provide credit card information and authorization on PTO-2038.
`
`Copy provided by USPTO from the IFW lmaoe n1>tp1-,,..,.., -- ,.,,,,~,.,,,.,~~~
`
`ZTE, Exhibit 1013-0003
`
`

`

`J7546ROUS0IP
`
`1
`
`CLOSED LOOP MIMO SYSTEMS AND METHODS
`
`Field of the Invention
`
`This invention generally relates to the field of wireless communications. More
`specifically the inventions relate to closed loop MIMO systems and methods.
`
`Backgro~d of the Invention
`
`Known ways to facilitate wireless closed-loop MII\1O communications include
`broadband closed-loop MIMO and narrowband closed-loop MIMO as shown in Figure 1.
`Broadband closed-loop MIMO includes many sub-bands. Each of these sub-bands
`require MIMO channel feedback. As a result the feedback resources required for
`broadband closed-loop MIMO can become quite large. Narrowband closed-loop MIMO,
`by comparison, includes one or a few sub-bands which results in smaller feedback
`resources being required. Broadband and narrowband MIMO, therefore, have different
`applications. As will be apparent to one skilled in the art of MIMO communications,
`MJMO channel information feedback may be used for performing beam-forming.
`
`1n narrowband MIMO environments sounding can be achieved by compressing the
`channel matrix information and feeding it back via a highly protected feedback channel
`such as CQICH. In broadband MJMO environments, however, use of the CQICH is not
`efficle1~t for sounding.
`
`A need exists for an improved system ~d method for providing wireless closed-loop
`MIMO communications.
`
`Summary of the Invention
`
`It is an object of the invention to provide a closed-loop M™O system and method that
`uses pilot signals to perform channel sounding.
`
`It is an object of the invention to provide a closed-loop MIMO system and method
`including round trip channel sounding. In accordance with one embodiment of the
`invention the system and method are applied to the downlink channel. In accordance
`with another embodiment of the invention the system and method are applied to the
`uplink channel. In accordance with an embodiment of the invention the system and
`method are applied to both the downlink and uplink channels.
`
`It is an object of the invention to provide a closed-loop MIMO system and method that
`enables a basestation to estimate the downlink or uplink channels. In accordance with an
`embodiment of the in~ention that basestation may estimate both the downlink and uplink
`channels.
`
`Copy provided by USPTO from the IFW lma~e Dat~li~""" "" ""' 1
`"'"''"~~~
`
`ZTE, Exhibit 1013-0004
`
`

`

`17546ROUS0IP
`
`2
`
`It is an object of the invention to provide a closed-loop MIMO system and method that
`enables a basestation to separate the downlink or uplink channels. In accordance with an
`embodiment of the invention the basestation may separate the downlink and uplink
`channels.
`
`It is an object of the invention to provide a closed-loop MIMO system and method
`including a sounding pilot arrangement.
`
`It is an object of the invention to provide a closed-loop MIMO system and method for
`facilitating broad-band beam-forming.
`
`It is an object of the invention to provide a closed-loop MIMO system and method where
`broad-band sounding can be perfonned in the frequency domain.
`
`It is an object of the invention to provide a closed-loop MIMO system and method that
`enables a mobile subscriber station to send a sounding symbol and insert transponder
`pilot samples received from the downlink channel therein.
`
`It is an object of the invention to provide a closed-loop MIMO ~ystem and method that is
`applicable to time division duplexing.
`
`It is an object of the invention to provide a closed-loop MIMO system and method that is
`applicable to frequency division duplexing.
`
`It is an object of the invention to pl'C~vide a closed-loop MIMO system ancl method that
`allows calibration of the transmiL and receive RF chains
`
`Detailed Description of Embodiments of the Invention
`
`The following describes embodiments of broad-band closed loop MIMO systems and
`methods for use in accordance with the IEEE 802.16( e) and IEEE 802.11 (n) standards
`which standards which are hereby incorporated by reference. The broader inventions set
`out in the summary and claims are not limited in this regard, however, and may be
`applicable to other wireless environments including those operating in accordance with
`the 3GPP and 3GPP2 standards.
`
`Figure 2 shows broad-band closed loop MIMO communications in terms of time and
`frequency in accordance with an embodiment of the invention.
`
`Figure 3 shows a schematic diagram of a closed-loop MIMO architecture in accordance
`with an embodiment of the invention including round trip pilot relay channel sounding.
`
`Figure 4 shows a down link pilot, uplink pilot, pre-code pilot, transponder pilot
`construction for a SISO arrangement. As depicted therein the following set of pilots may
`be used for the sounding pilots: downlink pilot; uplink pilot; pre-code pilot; and
`
`Copy provided by USPTO from the IFW lmacie O;:,,,P""'..,. -- "i:w,rM-"
`
`ZTE, Exhibit 1013-0005
`
`

`

`l 7546ROUS0 IP
`
`3
`
`transponder pilot. According to this embodiment of the invention the channel estimation
`may be performed on the basestation and mobile subscriber station (MSS), or at the
`basestation alone, to estimate the following: downlink channel only; uplink channel only;
`or combined downlink/uplink channeJ (composite channel). This allows for
`simplification of the MSS receiver by avoiding the channel estimation step. This may be
`enabled by the pre-coded pilot.
`
`Figure 4a shows a down link pilot, uplink pilot, pre-code pilot, transponder pilot
`construction for a SISO arrangement. As depicted therein the down link pilot
`transmission in Figure 4 may be replaced by the pre-coded pilot. This allows for
`simplification of the MSS receiver by avoiding the channel estimation step.
`
`Figure 5 shows a down link pilot, uplink pilot, pre-code pilot and transponder pilot
`construction for a SIMO lx2 arrangement in accordance with an embodiment of the
`invention. As depicted therein the foUowing set of pilots are used for the sounding pilots:
`downlink pilot; uplink pilot; pre-code pilot; and transponder pilot. According to this
`embodiment of the invention the channel estimation may be performed on the basestation
`and mobile subscriber station (MSS),or at the basestation alone, to estimate the
`following: downlink channel only; uplmk channel only; or combined downlink/uplink
`channel (composite channc:l). Th.is allow~ foJ simplification of the MSS receiver by
`avoid the channel estimation step. This may be enabled by the pre-coded pilot.
`
`Figure 6 shows a down link pi1ot, upJink pilot, pre-code pilot and transponder pi]ot
`construction for a MISO 2x 1 arrangement in accordance with an embodiment of the
`invention.
`
`Figure 7 shows a down link pilot, uplink pilot, pre-code pilot and transponder pilot
`construction for a MIMO 2x2 arrangement in accordance with an embodiment of the
`invention.
`
`Figure 8 shows a down link pilot, uplink pilot, pre-code pilot and transponder pilot
`construction for a MIMO 4x2 arrangement in accordance with an embodiment of the
`invention.
`
`Figure 9 shows a down link pilot, uplink pilot, pre-code pilot and transponder pilot
`construction for a MIMO 4x4 arrangement in accordance with an embodiment of the
`invention.
`
`In accordance with another embodiment of the invention pre-coded pilots for closed-loop
`MIM:O sub-channel transmissions are described.
`
`In general, pilots are broadcasted to and shared by all MSSs. To support some closed(cid:173)
`loop MIMO schemes, however, pilots dedicated to a specific MSS may be required to
`allow MSS specific precoding. According to the IEEE 802.16e/D5 standard. the
`construction of subchannels in the optional AMC zone are different for different transmit
`
`Copy provided by USPTO from the IFW lmaoe Dafa~P"'"" "" nc1~?1?nnt:
`
`ZTE, Exhibit 1013-0006
`
`

`

`17546ROUS01P
`
`4
`
`antennas. For example, for 2-antenna transmit diversity transmission, the data
`subchannel is either (a) lx6 (1 bin for six symbols) or (b) 3x2 (3 bins for 2 symbols). For
`more than 2 antenna transmit diversity transmission, the data subchannel takes (c) 2x6 (2
`bins for 6 symbols).
`
`In accordance with an embodiment of the invention pilots can be MSS dedicated within
`each subchannel. Accordingly MSS specific pre-coding may be applied in each
`subchanncl. Also, MSSs may detect the received data based on its dedicated pilots witliin
`the subchannel assigned.
`
`Figure 10 shows a pre--coded pilot design for a 2-antenna basestation (BS) for optional
`AMC in accordance with an embodiment of the invention.
`
`Figure 11 shows a second pre-coded pilot design for a 2-antenna basestation (BS) for
`optional AMC in accordance with an embodiment of the invention.
`
`Figure 12 shows a pre-coded pilot design for a 3-antenna basestation (BS) for optional
`AMC in accordance with an embodiment of the invention.
`
`Figure 13 shows a pilot design for a 4-antenna basestation (BS) for optional AMC in
`alX:ordance with an embodiment of th~ iu v~utiou.
`
`I
`
`In accordance with another embodiment of the invention a pre-coded pilot design for the
`PUSC zone is provided. For PUSC the symbol is first divided into basic clusters. Pilots
`and data carriers are allocated within each cluster. According to IEEE 802.16d/D5, a
`permutation is used when allocating the data carriers to a sub-channel. The data carriers
`in each cluster may be assigned to different MSSs, therefore, pilots may be used by
`multiple MSSs. To support the dedicated pilots to closed-loop MSSs operating in PUSC
`mode, the permutation procedure to partition the sub-carriers into sub-channels is
`disabled or is allowed to apply to the PUSC sub-channel within a single user. Each sub- ·
`channel includes 48 data carriers from two-clusters.
`
`Figure 14 shows a pre-coded pilot design for a 2-antenna BS for PUSC zone in
`accordance with an embodiment of the invention. ·
`
`Figure 15 shows a pre-coded pilot design for a 4-antenna BS for PUSC zone in
`accordance with an embodiment of the invention.
`
`Figure 16 shows a concatenation of STC/MJ.M:O with a beam~former in accordance with
`an embodiment of the invention.
`
`Figure 17 shows a closed loop STC/MIMO arrangement with beam-former structure in
`accordance with an embodiment of the invention.
`
`Figure 18 shows a closed loop STC/MIMO 3-transmit antenna arrangement in
`accordance with an embodiment of the invention.
`
`Copy provided by USPTO from the IFW lmaoA 111*'""" .. "" "" "" 1~" 1"nn.-
`
`ZTE, Exhibit 1013-0007
`
`

`

`I 7546ROUSOI P
`
`5
`
`Figure 19 shows a closed loop STCIMIMO 4-transmit antenna arrangement in
`accordance with an embodiment of the invention.
`
`Figure 20 shows a closed loop STC/MIMO 4-transmit antenna arrangement in
`accordance with an embodiment of the invention.
`Embodiments of the invention for high speed mobility applications are also described.
`According to an embodiment MSSs measure the long-term inter-antenna correlation and
`feedback antenna weights.
`
`According to an embodiment of the invention STTD antenna assignment with power
`weighting may be used. This reduces inter-code interference and reduces the feedback
`bandwidth required.
`
`For a MISO arrangement the weights may be provided as follows.
`
`- Beam-forming:
`
`- Antenna selection:
`
`- STTD:
`
`Figure 21 shows an embodiment of the invention for purposes of a high speed mobility
`application. According to this embodiment of the invention one may randomly assign
`through the code book. According to another embodiment one may select the code-word
`cycle through the code book.
`
`According to another embodiment one may exploit the benefits of both. For example,
`when a channel changes slowly, beam-forming provides a SNR gain, while STTD
`provides diversity gain ( on the symbol level) which improves FEC perfonnance
`(especially for higher code rates). Then, when a channel changes quickly one can
`degenerate to an S'ITD system which will preserve protection against fading.
`
`Figure 22 shows a binary unitary beam-forming matrix in accordance with an
`embodiment of the invention.
`·
`
`In accordance with an embodiment of the invention unitary code book addressing is
`provided. The unitary code book or generic code book including vectors/matrices for
`beam-fanning may be designed based on a number of designs including Grassmanian or
`Hochwald techniques.
`
`Copy provided by USPTO from the IFW Im,,.,.,,.'"'"'*"'""'"'""'~- ""''J"''"' __ _
`
`ZTE, Exhibit 1013-0008
`
`

`

`l 7546ROUS01P
`
`6
`
`The large code book space includes many code-words that can achieve less beam(cid:173)
`forming Joss. Need more bits for feedback the index of the code-word.
`
`The codebook address may be labeled based on pre-determined criteria.
`
`MIMO channel variation imposes certain constraints on the code space. A sub-space
`may be formed in the code-book space.
`
`Figure 23 provides unitary code book addressing criteria in accordance with an
`embodiment of the invention. The code book sub-space is organized as correlation
`measurement. Many other metrics for vector/matrix may be applied. According to an
`embodiment of the invention:
`• Code book size: 64
`• Beam-forming matrix: 4x3
`• Correlation calculation: abs(trace( codebook_0' *codebook_k))
`
`According to an embodiment of the invention a l st.codebook index feedhack is provided.
`Several options for this feedback exist including:
`• The 1st feedback is based on a codebook of entry size 8. In this instance the
`number of bits is 3.
`• The 1 ~, feedback is based on a codebook of entry size 64. In this instance the
`number of bits is 6.
`According to one embodiment of the invention a codebook size of 8 is a subset of the
`codebook of size:: 64. According to an embodiment of the invention, lht: I st foc:c.lback is
`the index as opposed to the delta.
`
`According to an embodiment of the invention a differential index feedback is provided in
`Figure 24. The differential index is representative of the sub-space searching. According
`to this embodiment the channel will not change very fast. Therefore, the indices of
`consecutive feedbacks will not be far from the previous feed-back.
`
`For purposes of providing context for the above, Figure 25 shows a base station
`controller (BSC) 10 which controls wireless communications·within multiple cells 12,
`which cells are served by corresponding base stations (BS) 14. In general, each base
`station 14 facilitates communications using OFDM with mobile terminals t 6, which are
`within the ceIJ 12 associat~d with the corresponding base station 14. The movement of
`the mobile terminals 16 in relation to the base stations 14 results in significant fluctuation
`in channel conditions. As illustrated, the base stations 14 and mobile terminals 16 may
`include multiple antennas to provide spatial diversity for c~mmunications.
`
`A high level overview of the mobile terminals 16 and base stations 14 of the present
`invention is provided prior to delving into the structural and functional details of the
`preferred embodiments. With reference to Figure 26, a base station 14 configured
`according to one embodiment of the present invention is iIIustrated. The base station 14
`generally includes a control system 20, a baseband processor 22, transmit circuitry 24,
`receive circuitry 26, multiple antennas 28, and a network interface 30. The receive
`
`Copy provided by USPTO from the IFW ,...,,,.,.., n .... .,.1- ..... - -~ -~M,.,,.~--
`
`ZTE, Exhibit 1013-0009
`
`

`

`J7546ROUS0JP
`
`7
`
`circuitry 26 receives radio frequency signals bearing information from one or more
`remote transmitters provided by mobile terminals 16 (illustrated in Figure 27).
`Preferably, a low noise amplifier and a filter (not shown) cooperate to amplify and
`remove broadband interference from the signal for processing. Downconversion and
`digitization circuitry (not shown) will then downconvert the filtered, received signal to an
`intennediate or baseband frequency signal, which is then digitized into one or more
`digital streams.
`·
`
`The baseband processor 22 processes the digitized received signal to extract the
`information or data bits conveyed in the received signal. This processing typically
`comprises demodulation, decoding, and error correction operations. As such, the
`baseband processor 22 is generally implemented in one or more digital signal processors
`(DSPs) or application-specific integrated circuits (ASICs). The received information is
`then sent across a wireless network via the network interface 30 or transmitted to another
`mobile tenninaJ 16 serviced by the base station 14.
`
`On the transmit side, the baseband processor 22 receives digitized data, which may
`represent voice, data, or control information, from the network interface 30 under the
`control of control system 20, and encodes the data for transmission. The encoded data is
`output to the transmit circuitry 24, where it is modulated by a carrier signal having a
`desired transmit fn:~ut:ucy or fo::yut:udt:s. A power amplifier (not shown) will amplify
`the modulated carrier signal to a level appropriate for transmission, and deliver the
`modulated carrier signal to the antennas 28 through a matching network (not shown).
`Modulation and processing details are described in greater detail below.
`·
`
`With reference to Figure 27, a mobile terminal 16 configured according to one
`embodiment of the present invention is illustrated. Similarly to the base station 14. the
`mobile terminal 16 wm inc1ude a contro1 system 32, a baseband processor 34, transmit
`circuitry 36, receive circuitry 38, multiple antennas 40, and user interface circuitry 42.
`The receive circuitry 38 receives radio frequency signals bearing information from one or
`more base stations 14. Preferably, a low noise amplifier and a filter (not shown)
`cooperate to amplify and remove broadband interference from the signal for processing.
`Downconversion and digitization circuitry (not shown) will then downconvert the
`filtered, received signal to an intermediate or baseband frequency signal, which is then
`digitized into one or more ~igital streams.
`
`The baseband processor 34 processes the digitized received signal to extract the
`information or data bits conveyed in the received signal. This processing typically
`comprises demodulation, decoding, and error correction operations, as will be discussed
`on greater detail below. The baseband processor 34 is generally implemented in one or
`more digital signal processors (DSPs) and application specific integrated circuits
`(ASICs).
`
`For transmission, the baseband processor 34 receives digitized data, which may represent
`voice, data, or control information, from the control system 32, which it encodes for
`transmission. The encoded data is output to the transmit circuitry 36, where it is used by
`
`Copy provided by USPTO from the IFW lmaae Datab;:.a~A n,. n,;1-t?/?Mc
`
`ZTE, Exhibit 1013-0010
`
`

`

`17546ROUS01P
`
`8
`
`a modulator to modulate a carrier signal that is at a desired transmit frequency or
`frequencies. A power amplifier (not shown) will amplify the modulated carrier signal to
`a level appropriate for transmission, and deliver the modulated carrier signal to the
`antennas 40 through a matching network (not $hown). Various modulation and
`processing techniques available to those skilled in the art are applicable to the present
`invention.
`
`In O:f.DM modulation, the transmission band is divided into multiple, orthogonal carrier
`waves. Each carrier wave is modulated according to the digital data to be transmitted.
`· Because OFDM divides the transmission band into multiple carriers, the bandwidth per
`carrier decreases and the modulation time per carrier increases. Since the multiple
`carriers are transmitted in parallel, the transmission rate for the digital data, or symbols,
`on any given carrier is lower than when a single carrier is used •
`
`. OFDM modulation requires the perfonnance of an Inverse Fast Fourier Transform (IFFf)
`on the information to be transmitted. For demodulation, the performance of a Fast
`Fourier Transform (FFf) on the received signal is required to recover the transmitted
`information. In practice, the JFFf and FFf are provided by digital signal processing
`carrying out an Inverse Discrete Fourier Transform (IDFI') and Discrete Fourier
`Transform (DFr), respectively. Accordingly, the characterizing feature of OFDM
`modulalion is that mthogonal ca.rri~i WdVi;:, m~ gen~rat~d for multiple bands within a
`transmission channel. The modulated signals are digital signals having a relatively low
`transmission rate and capable of staying within their respective bands. The individual
`carrier waves are not modulated directly by the digital signals. Instead, all carrier waves
`are modulated at once by IFFf pr~es:,ing.
`
`In the preferred embodiment, OFDM is used for at least the downlink transmission from
`the base stations 14 to.the mobile tenninals 16. Each base station 14 is equipped with n
`transmit antennas 28, and each mobile terminal 16 is equipped with m receive antennas
`40. Notably, the respective antennas can be used for reception and transmission using
`appropriate duplexers or switches and arc so labeled only for clarity.
`
`With reference to Figure 28, a logical OFDM transmission architecture is provided
`according to one embodiment. Initially, the base station controller 10 will send data to be
`transmitted to various mobile terminals 16 to the base station 14. The base station 14
`may use the CQis associated with the mobile terminals to schedule the data for
`transmission as well as select appropriate coding and modulation for transmitting the
`scheduled data. The CQis may be directly from the mobile terminals 16 or_ detennined at
`the base station 14 based on information provided by the mobile terminals 16. In either
`case, the CQI for each mobile tenninal 16 is a function of the degree to which the channel
`amplitude (or response) varies across the OFDM frequency band.
`
`The scheduled data 44, which is a stream of bits, is scrambled in a manner reducing the
`peak-to-average power ratio associated with the data using data scrambling logic 46. A
`cyclic redundancy check (CRC) for the scrambled data is determined and appended to the
`scrambled data using CRC adding logic 48. Next, channel coding is performed using
`
`Copy provided by USPTO from the IFW lmat1P. r, ... ,.i..,.,..,. -- ",,.,J,.,,,.,_,._
`
`ZTE, Exhibit 1013-0011
`
`

`

`17546ROUS01P
`
`9
`
`channel encoder logic 50 to effectively add redundancy to the data to facilitate recovery
`and error correction at the mobile tenninal 16. Again, the channel coding for a particular
`mobile terminal 16 is based on the CQI. The channel encoder logic 50 uses known Turbo
`encoding techniques in one embodiment. The encoded data is then processed by rate
`matching logic 52 to compensate for the data expansion associated with encoding.
`
`Bit interleaver Jogic 54 systematicalJy reorders the bits in the encoded data to minimize
`the loss of consecutive data bits. The resultant data bits arc systematically mapped into
`corresponding symbols depending on the chosen baseband modulation by mapping logic
`56. Preferably, Quadrature Amplitude Modulation (QAM) or Quadrature Phase Shift
`Key (QPSK) modulation is used. The degree of modulation is preferably chosen based
`on the CQI for the particular mobile terminal. The symbols may be systematically
`reordered to further bolster the immunity of the transmitted signal to periodic data loss
`caused by frequency selective fading using symbol interleaver logic 58.
`
`At this point, groups of bits have been mapped into symbols representing locations in an
`amplitude and phase constellation. When spatial diversity is desired, blocks of symbols
`are then processed by space-time block code (STq encoder logic 60, which modifies the
`symbols in a fashion making the transmitted signals more resistant to interference and
`more readily decoded at a mobile terminal 16. The STC encoder logic 60 will process
`ll.tc:: im;oming ~ymbols and provide n outpuu; wuc::~pou<liug Lo th~ uumber of transmit
`antennas 28 for the base station 14. The controJ system 20 and/or baseband processor 22
`will provide a mapping control signal to control STC encoding. At this point, assume the
`symbols for the n outputs are representative of the data to be transmitted and capable of
`being recovered by the mobile terminal 16. See A.F. Naguib, N. Seshaclri, and A.R.
`Calderbank, "Applications of space-time codes and imerference suppression for high
`capacity and high data rate wireless systems," Thirty-Second Asilomar Conference on
`Signals, Systems & Computers, Volume 2, pp. 1803-1810, 1998, which is incorporated
`herein by reference in its entirety.
`
`For the present example, assume the base station 14 has two antennas 28 (n=2) and the
`STC encoder logic 60 provides two output streams of symbols. Accordingly, each of the
`symbol streams output by the STC encoder logic 60 is sent to a corresponding IFFT
`processor 62, illustrated separately for ease of understanding. Those skilled in the art wi11
`recognize that one or more processors may be used to provide such digital signal
`processing, alone or in combination with other processing described herein. The IFFr
`processors 62 will preferably operate on the respective symboJs to provide an inverse
`Fourier Transform. The output of the 1FFf processors 62 provides symbols in the time
`domain. The time domain symbols are grouped into frames, which are associated with a
`prefix by like insertion logic 64. Each of the resultant signals is up-converted in the
`digital domain to an intermediate frequency and converted to an analog signal via the
`corresponding digital up-conversion (DUC) and digital-to-analog (DIA) conversion
`circuitry 66. The resultant (analog) signals are then simultaneously modulated at the
`desired RF frequency, amplified, and transmitted via the RF circuitry 68 and antennas 28.
`Notably, pilot signals known by the intended mobile terminal 16 are scattered among the
`
`Copy provided by USPTO from the IFW lm12""' n ... .,1-.,,. .. - ,.~ ,.,.,.,., .. ,M~-
`
`ZTE, Exhibit 1013-0012
`
`

`

`17546ROUS01P
`
`10
`
`sub-carriers. The mobile terminal 16, which is discussed in detail below, will use the
`. pilot signals for channel estimation.
`
`Reference is now made to Figure 29 to illustrate reception of the transmitted signals by a
`mobile tenninal 16. Upon arrival of the transmitted signals at each of the antennas 40 of
`the mobile terminal Hi, the respective signals are demodulated and amplified by
`corresponding RF circuitry 70. For the sake of conciseness and clarity, only one of the
`two receive paths is described and illustrated in detail. Analog-to-digital (ND) converter
`and down-conversion circuitry 72 digitizes and downconverts the analog signal for digital
`processing. The i-esultant digitized signal may be used by automatic gain control
`circuitry {AGC) 74 to control the gain of the amplifiers in the RF circuitry 70 based on
`the received signal level.
`
`Initially, the digitized signal is provided to synchronization logic 76, which includes
`coarse synchronization logic 78, which buffers several OFDM symbols and calculates an
`auto-correlation between the two successive OFDM symbols. A resultant time index
`corresponding to the maximum of the correlation result detennines a fine synchronization
`search window, which is used by fine synchronization logic 80 to detennine a precise
`framing starting position based on the headers. The output of the fine synchronization
`logic 80 facilitates frame acquisition by frame alignment logic 84. P~oper framing
`al.igum~ul .is .impullaul _i,o that subsequent FFf processing prov.idt:ii. .u.1 ac\;urali::
`conversion trom the time to the frequency domain. The fine synchronization algorithm is
`based on the correlation between the received pilot signals carried by the headers and a
`local copy of the known pilot data.· Once frame alignment acquisition occurs, the prefix
`of the OF