PTO/SB/16 (12-08)
`Approved for use through 06/30/2010. 0MB 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~ displays a valid 0MB control number.
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET- Page 1 of 2
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c).
`Express Mail Label No._F_il_c.e_d_E_l_ec_t_ro_n_ic_a_l__,_ly __________________ _
`
`SAMSl0-00587
`
`Given Name (first and middle [if any])
`
`INVENTOR(S)
`Family Name or Surname
`
`Thomas David
`
`Krishna
`
`Young-Han
`
`Jinkyu
`
`Novlan
`
`Sayana
`
`Nam
`
`Han
`
`Residence
`(City and either State or Foreign Country)
`
`Dallas, Texas
`
`Garland, Texas
`
`Richardson, Texas
`
`Allen, Texas
`
`0
`Additional inventors are being named on the
`separately numbered sheets attached hereto.
`TITLE OF THE INVENTION (500 characters max):
`
`CODEBOOK SUBSET RESTRICTION FOR 2-DIMENSIONAL ADVANCED ANTENNA
`SYSTEMS
`
`Direct al/ correspondence to:
`CORRESPONDENCE ADDRESS
`~ The address corresponding to Customer Number:
`OR
`
`106809
`
`I
`
`(cid:143) Firm or
`
`Individual Name
`Address
`
`I
`
`City
`
`Country
`
`I State
`I Zip
`I Telephone
`I Email
`ENCLOSED APPLICATION PARTS (check all that apply)
`(cid:143) CD(s), Number of CDs
`(cid:143) Other (specify)
`
`(cid:143) Application Data Sheet. See 37 CFR 1.76
`(cid:143) Drawing(s) Number of Sheets
`
`41
`~ Specification (e.g. description of the invention) Number of Pages
`Fees Due: Filing Fee of $220 ($110 for small entity). If the specification and drawings exceed 100 sheets of paper, an application size fee is
`also due, which is $270 ($135 for small entity) for each additional 50 sheets or fraction thereof. See 35 U.S.C. 41 (a)(1 )(G) and 37 CFR 1.16(s).
`
`METHOD OF PAYMENT OF THE FILING FEE AND APPLICATION SIZE FEE FOR THIS PROVISIONAL APPLICATION FOR PATENT
`
`is enclosed to cover the filing fee and application size fee (if applicable).
`
`250.00
`
`I
`
`I
`
`TOTAL FEE AMOUNT($)
`
`(cid:143) Applicant claims small entity status. See 37 CFR 1.27.
`(cid:143) A check or money order made payable to the Director of the United States Patent and Trademark Office
`(cid:143) Payment by credit card. Form PTO-2038 is attached.
`~ The Director is hereby authorized to charge the filing fee and application size fee (if applicable) or credit any overpayment to Deposit
`50-0208
`Account Number:
`USE ONLY FOR FILING A PROVISIONAL APPL/CATION FOR PATENT
`This collection of information is required by 37 CFR 1.51. 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 1.11 and 1.14. This collection is estimated to take 8 hours to complete, including
`gathering, preparing, and submitting the completed application 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, VA22313-1450.
`/fyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`IPR2022-00464
`Apple EX1012 Page 1
`
`

`

`PROVISIONAL APPL/CATION COVER SHEET
`Page 2 of2
`
`PTO/SB/16 (12-08)
`Approved for use through 06/30/2010. 0MB 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 displays a valid 0MB control number.
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United States Government.
`[gj No.
`D Yes, the name of the U.S. Government agency and the Government contract number are: ______________ _
`
`WARNING:
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
`numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required by
`the USPTO to support a petition or an application. If this type of personal information is included in documents submitted to the
`USPTO, petitioners/applicants should consider redacting such personal information from the documents before submitting them
`to the USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after publication of
`the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application) or issuance of
`a patent. Furthermore, the record from an abandoned application may also be available to the public if the application is
`referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization forms
`PTO-2038 submitted for payment purposes are not retained in the application file and therefore are not publicly available.
`
`TELEPHONE 972-628-3600
`
`Date July 12, 2012
`
`REGISTRATION NO. 60,236
`-~ - - - - - -
`(if appropriate)
`Docket Number: 2012.07.022.SR0
`
`IPR2022-00464
`Apple EX1012 Page 2
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`CODEBOOK SUBSET RESTRICTION FOR 2-DIMENSIONAL ADVANCED ANTENNA
`SYSTEMS
`
`Inventor(s):
`
`Thomas David Novlan
`Dallas
`390 E. Oakenwald St. #448
`Dallas County
`Texas 75203
`Citizenship: US
`
`Krishna Sayana
`Garland
`2121 W. Campbell Rd. #921
`Dallas County
`Texas 75044
`Citizenship:
`
`India
`
`Young-Han Nam
`Richardson
`280 W. Renner Rd. #821
`Collin County
`Texas 75080
`Citizenship: Republic of Korea
`
`Jinkyu-Han
`Allen
`804 Panther Ln.
`Collin County
`Texas 75013
`Citizenship: Republic of Korea
`
`Assignee:
`
`Samsung Electronics Co., Ltd.
`129, Samsung-ro, Yeontong-gu
`Suwon-si, Gyeonggi-do
`Republic of Korea 443-742
`
`Munck Wilson Mandala, LLP
`P.O. Drawer 800889
`Dallas, Texas 75380
`(972) 628-3600
`
`IPR2022-00464
`Apple EX1012 Page 3
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`CODEBOOK SUBSET RESTRICTION FOR 2-DIMENSIONAL ADVANCED ANTENNA
`SYSTEMS
`
`PROVISIONAL PATENT APPLICATION
`
`[0001]
`
`The following documents and standards descriptions are
`
`hereby incorporated into the present disclosure as if fully set
`
`forth herein:
`
`[0002]
`
`REFl -3GPP TS 36.211 vl0.1.0, "E-UTRA, Physical channels
`
`and modulation."
`
`[0003]
`
`REF2 - 3GPP TS 36.212 vl0.1.0, "E-UTRA, Multiplexing and
`
`Channel coding."
`
`[0004]
`
`REF3
`
`- 3GPP TS 36.213 vl0.1.0, "E-UTRA, Physical Layer
`
`Procedures."
`
`[0005]
`
`This disclosure considers codebook designs and associated
`
`feedback for multi-user (MU) MIMO transmissions from transmission
`
`points equipped with 2-dimensional
`
`(2D) active antenna array
`
`depicted in Figure 1. Here, transmission points (TPs) are network
`
`nodes can transmit downlink signals and receive uplink signals in a
`
`cellular network, examples of which include base stations, NodeBs,
`
`enhanced NodeBs (eNBs) remote radio heads (RRHs), etc. On the other
`
`hand, an entity controlling at
`
`least one TP
`
`is called the
`
`controller, the network or eNB in this disclosure. Each active
`
`L:\SAMSl0\00587
`
`- 1 -
`
`IPR2022-00464
`Apple EX1012 Page 4
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`antenna array may have separate base band, which could dynamically
`
`control the antenna weights in frequency selective manner.
`
`[0006]
`
`The transmission point depicted in Figure 1 has N (=NH x
`
`Nv)
`
`2D active antenna elements, and the N antenna elements are
`
`placed in 2D grid of NH x Nv. The horizontal spacing between any two
`
`closest antenna elements is denoted by dH, and the vertical spacing
`
`between any two closest antenna elements is denoted by dv.
`
`[0007]
`
`Figure 2 defines the azimuth and elevation angles to UE k
`
`from
`
`the TP equipped with 2D antenna array.
`
`In
`
`the example
`
`placement shown in the figure, antenna elements are placed in a
`
`rectangle on XZ plane in an orthogonal XYZ coordinate system. The
`
`origin of the coordinate system is placed at the center of the
`
`rectangle. The azimuth (horizontal) angle 0,,for UE k is defined as
`
`the angle between Y axis and the projection vector of a straight
`
`line between the TP and UE k to the XY plane. On the other hand,
`
`the elevation (vertical) angle <A is defined as the angle between Y
`
`axis and the projection vector of the straight line to the YZ
`
`plane.
`
`[0008]
`
`In cellular networks, the network utilizes UEs' channel
`
`state information (CSI) to schedule time-frequency resources, to
`
`select precoders and modulation and coding schemes (MCS) for each
`
`L:\SAMSl0\00587
`
`- 2
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 5
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`individual UE. To facilitate the UEs 1 CSI estimation, the network
`
`can configure and transmit CSI reference signals (CSI-RS). At the
`
`same
`
`time, each UE can be configured to feed back estimated
`
`precoding matrix information (PMI), channel quality information
`
`(CQI) and rank information (RI), by receiving and processing the
`
`CSI-RS. Traditionally, the UEs 1 CSI feedback is designed to mainly
`
`target horizontal CSI associated with the azimuth angles. For
`
`example, PMI/CQI feedback for downlink beamforming in LTE informs
`
`the eNB the horizontal direction (or the azimuth angle) along which
`
`the UE receives the strongest signal and the associated channel
`
`strength. When active antenna array elements are introduced in the
`
`vertical domain as well, the necessity of vertical CSI feedback
`
`emerges.
`
`[0009]
`
`The
`
`codebook used
`
`for
`
`feedback
`
`can be designed
`
`considering a 64 antenna MIMO system. However codebook design needs
`
`to be simplified to facilitate reasonable codebook size and also
`
`acceptable computational complexity at the UE receivers.
`
`[0010]
`
`Some observations can be made regarding the channel
`
`behavior corresponding to a 2D active antenna array. The overall
`
`transmit covariance matrix corresponding to all the 64 antennas in
`
`an 8x8 array, may be separated into
`
`two components using a
`
`Kronecker decompositions as an approximation,
`
`L:\SAMSl0\00587
`
`-
`
`3
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 6
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`[0011]
`
`[0012]
`
`V
`
`R64x64 = R8x8 ® R8x8
`It can be
`shown
`
`H
`
`that
`
`the precoder can also be
`
`approximated into horizontal and vertical components,
`
`[0013]
`
`[0014]
`
`where n is the rank of transmission.
`
`[0015]
`
`In the release-lo specification of LTE, UE feedbacks a
`
`CQI in addition to the PMI and RI, which corresponds to a supported
`
`MCS level that can be supported reliably by the UE, with a certain
`
`target error probability. The feedback designs in Release-10 are
`
`optimized for single user MIMO.
`
`[0016]
`
`Multi-user MIMO corresponds to a
`
`transmission scheme,
`
`where a transmitter can transmit data to two or more UEs at the
`
`same time/frequency resource, by relying on spatial separation of
`
`the corresponding user's channels. With smaller number of transmit
`
`antennas, the number of users that can be supported is limited.
`
`Since the number of transmit antennas supported in Release-lo is
`
`limited to a maximum of eight antennas, the designs are optimized
`
`for multi-user MIMO support for the case of
`
`two user MU-MIMO
`
`transmission with a single stream per each UE.
`
`[0017]
`
`However, with MU-MIMO,
`
`the MCS
`
`to be used by
`
`the
`
`scheduler for each user needs to be determined at the eNB. The MCS
`
`that can be supported reliably for each UE is dependent on co-
`
`L:\SAMSl0\00587
`
`- 4
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 7
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`channel PMI corresponding to the co-scheduled UE. On one hand, for
`
`scheduling flexibility transmitter may pair a user with any other
`
`UE.
`
`[0018]
`
`Assuming a typical configuration of two receiver antennas
`
`at the UE, SU-MIMO up to rank 2 can be supported. Further, it is
`
`expected that MU-MIMO
`
`is only scheduled by an eNB when
`
`the
`
`performance is better than the SU-MIMO. This means that scheduled
`
`users have good spatial separation. It was found that single user
`
`CQI
`
`(SU-CQI) was an acceptable approximate MU-CQI for determination
`
`of MCS at the eNB.
`
`[0019]
`
`However, for MIMO with large number of transmit antennas
`
`(NT>NR),
`
`the spatial rank of SU-MIMO transmission is limited by the
`
`number of receive antennas. Hence, MU-MIMO is used most of the
`
`time. So, methods must be defined to compute MU-CQI at the UE. The
`
`eNB predictions of MCS may not be accurate since the receiver
`
`implementation
`
`specific
`
`algorithms
`
`like
`
`interference
`
`cancellation/suppression also need to be accurately reflected in
`
`any MU-CQI calculation. MU-MIMO operation is illustrated in Figure
`
`3.
`
`[0020]
`
`In wireless
`
`communication
`
`standards
`
`such as LTE,
`
`efficient PMI selection is desired to reduce control information
`
`overhead and reduce complexity at the receiver. As a result, noting
`
`L:\SAMSl0\00587
`
`-
`
`5
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 8
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`that certain PMI
`
`indices are
`
`infrequently selected or never
`
`selected, codebook subset restriction has been specified in LTE to
`
`let a UE report PMI within the codebook subset configured by the
`
`serving eNB. This can be accomplished, for example, by utilizing a
`
`bitmap, which is signalled via higher layer in a DE-specific
`
`manner. A bit value of zero in the bitmap indicates that the PMI
`
`and RI reporting is not allowed to correspond to the precoder
`
`associated with the bit. The number of bits in the codebook subset
`
`restriction bitmap is determined by the number of precoders allowed
`
`in both the configured DE-specific transmission mode and the number
`
`of antenna ports.
`
`[0021]
`
`The introduction of multi-user (MU) MIMO transmissions
`
`supporting large numbers of users due
`
`to transmission points
`
`equipped with 2-dimensional (2D) antenna arrays with large numbers
`
`of elements further motivates the need for efficient PMI selection
`
`and feedback techniques. The amount of overhead required grows with
`
`both the number of users and antenna elements compared to previous
`
`LTE releases only supporting a maximum of eight transmit antenna
`
`elements.
`
`[0022]
`
`As mentioned previously in the introduction, codebook
`
`design can take advantage of the spatial structure of the channel
`
`resulting
`
`from
`
`the
`
`2D MIMO
`
`antenna array
`
`transmissions.
`
`L:\SAMSl0\00587
`
`- 6
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 9
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`Differentiation between the horizontal and vertical dimensions can
`
`be used for flexible and efficient codebook design and also has
`
`implications on
`
`the PMI selection and feedback. Due
`
`to
`
`the
`
`variation in network user geographic distributions, users will
`
`experience different angles of elevation and azimuth relative to
`
`the transmission point. However the azimuth distribution and the
`
`elevation distribution in many cases are expected to be quite
`
`different and in fact may be uncorrelated. For example, since
`
`transmission points are typically mounted
`
`several stories above
`
`ground, while the users (especially those outdoors) are located on
`
`the ground plane, the typical elevation angle range can be expected
`
`to range within a 45 degree range for most users. However other
`
`users (in high-rise buildings or in hilly terrain) may experience
`
`much larger elevation angles with respect to the transmit point.
`
`Figure 4 gives an example of an exemplary deployment.
`
`[0023]
`
`As evident in Figure 4, the range of 8F representing the
`
`elevation angle range experienced by the outdoor UEs
`
`is much
`
`smaller than the elevation angle range experienced by all the UEs,
`
`represented by 8c. Codebooks may be designed to sample the entire
`
`spatial domain (based on a sampled DFT for example) . Thus one
`
`method for improving the efficiency of vertical PMI selection and
`
`reducing CQI computation complexity would be to restrict the UE to
`
`L:\SAMSl0\00587
`
`- 7
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 10
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`searching through the codebook only over those precoders that
`
`correspond to
`
`relevant spatial domain.
`
`[0024]
`
`Embodiment 1 [General subset restriction]:
`
`[0025]
`
`In one embodiment of the current disclosure (V-PMI subset
`
`restriction), subset restriction of Vertical PMI
`
`(V-PMI)
`
`is
`
`performed by first restricting the total number of unique V-PMI
`
`indications M that can be reported to be less than or equal to the
`
`total number of possible precoding matrices N.
`
`[0026]
`
`Example: An 8x8 antenna array at the eNB decomposes the
`
`precoder into 8xl vertical and 8xl horizontal vectors. If N = 16
`
`the UE would need to determine which of the N vertical precoding
`
`matrices produces the best CQI (in combination with H-PMI) and then
`
`indicate this to the eNB
`
`(using a
`
`log2N sized bit field for
`
`example). However if M
`
`4, the UE only measures CQI on the subset
`
`restricted matrices and only reports its selection using a log2M
`
`bit field, resulting in an reduction in feedback overhead and CQI
`
`computation complexity.
`
`[0027]
`
`Method 1: The indication of subset restricted or non-
`
`subset restricted PMI selection modes is configurable by the
`
`network.
`
`[0028]
`
`Example: Using the prior example, if N = 16 the eNB uses
`
`a
`
`log2N bit field in a higher-layer configuration message
`
`to
`
`L:\SAMSl0\00587
`
`- 8
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 11
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`indicate to the UE the desired value of M. If M
`
`N, effectively
`
`subset restriction is not configured.
`
`[0029]
`
`Example:
`
`eNB
`
`can
`
`send
`
`a DE-specific higher-layer
`
`configuration message (e.g., in a RRC layer) for the indication.
`
`[0030]
`
`Example:
`
`eNB can send a cell-specific higher-layer
`
`configuration message
`
`(e.g.,
`
`in the MIB or an SIB)
`
`for
`
`the
`
`indication.
`
`[0031]
`
`Example: When a UE has not received the indication
`
`regarding the subset restriction, the UE shall assume that M = N.
`
`[0032]
`
`Method 2: Codebook subset restriction is dynamically
`
`configured with control channel signalling. In one method, for
`
`aperiodic CSI requests, an additional bit-field is used to indicate
`
`the value of M. In one method, this field may be present or absent
`
`depending on the higher layer indication of the configuration of
`
`either the subset restricted or the non-subset restricted PMI
`
`selection modes.
`
`[0033]
`
`Method 3: The number of subset restricted PMI matrices, M
`
`is configurable by the network.
`
`[0034]
`
`Example: Using the prior example, if N = 16 the eNB uses
`
`a
`
`log2 N bit field in a higher-layer configuration message
`
`to
`
`indicate to the UE the desired value of M. If M = N, effectively
`
`subset restriction is not configured.
`
`L:\SAMSl0\00587
`
`-
`
`9
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 12
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`[0035]
`
`Example: When
`
`a
`
`UE
`
`has
`
`received
`
`the
`
`indication
`
`configuring the value of M,
`
`the UE shall feedback M-bit PMI
`
`according
`
`to
`
`the configuration. Figure
`
`5
`
`illustrates
`
`the
`
`configuration. Before a UE receives the configuration, M=N=16, or 4
`
`bits. When the UE is configured to use M=4,
`
`the UE feeds back 2-bit
`
`PMI; when the UE is re-configured to use M=2, the UE feeds back 1-
`
`bit PMI.
`
`[0036]
`
`Example: Mis configurable per CSI process. Here, CSI
`
`process 1 for CC-1 can be described as in the following:
`
`[0037]
`
`CSI process 1 for CC-1{
`
`[0038]
`
`Channel part: one NZP CSI-RS
`
`[0039]
`
`Interference part: one IMR
`
`[0040]
`
`PUCCH reporting mode and timing
`
`[0041]
`
`PUSCH reporting mode
`
`[0042]
`
`where CC is a component carrier (equivalently a serving
`
`cell).
`
`[0043]
`
`Method 4: The set of V-PMI matrices corresponding to the
`
`M subset restricted matrices are configured by the eNB.
`
`[0044]
`
`Example: Using the prior example, the eNB uses the PMI
`
`mapping field given in a higher-layer configuration message given
`
`by the table below to indicate to the UE the desired M=4 precoding
`
`matrices out of the total N=16.
`
`L:\SAMSl0\00587
`
`- 10 -
`
`IPR2022-00464
`Apple EX1012 Page 13
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`[0045]
`
`In one method, the PMI indication field as described in
`
`the above example is indicated with control signalling, e.g. as
`
`part of an aperiodic CSI request.
`
`[0046]
`
`Method 5: The set of V-PMI matrices corresponding to the
`
`M subset restricted matrices are pre-determined and fixed at the
`
`UE.
`
`[0047]
`
`Embodiment 2 [Feedback type based subset restriction]:
`
`[0048]
`
`Depending on the deployment scenario, considering user
`
`mobility and the structure of the antenna array,
`
`the wireless
`
`channel experienced between the transmission point and the UE will
`
`experience short-term and long-term fluctuations. As a result there
`
`is a tradeoff between the requirement to have frequent reports of
`
`the CSI/PMI/CQI in order to track and respond to channel conditions
`
`and the resulting transmission overhead.
`
`[0049]
`
`In one embodiment of the current disclosure, subset
`
`restriction is configured based on the type of user feedback.
`
`[0050]
`
`The periodicity of the feedback is one parameter than can
`
`be adapted by the network in response. Since it provides a method
`
`for reducing overhead and complexity, PMI subset restriction is a
`
`desirable
`
`feature
`
`for periodic
`
`feedback
`
`reports which are
`
`configured to regularly track the channel. Aperiodic feedback on
`
`the other hand is expected to be configured much less frequently
`
`L:\SAMSl0\00587
`
`- 11 -
`
`IPR2022-00464
`Apple EX1012 Page 14
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`and subset restriction may not be desired, since overhead reduction
`
`is not as important and the aperiodic reports can be utilized to
`
`sample
`
`the entire precoding space to ensure that
`
`the subset
`
`selected for the periodic reports still results in acceptable
`
`performance. If other precoding vectors outside of the subset are
`
`found to provide better CQI, then the network may update the subset
`
`restriction set for the UE. With this observation, the following
`
`method is proposed.
`
`[0051]
`
`Method 1: Subset restriction is applied only in the case
`
`of periodic feedback and non-subset restriction is employed in the
`
`case of aperiodic feedback.
`
`[0052]
`
`Example: This behaviour is signalled to a UE through a
`
`control or higher-layer CSI/PMI reporting field exemplified by the
`
`following table:
`
`[0053]
`
`Method 2: Subset restriction is applied only in the case
`
`of aperiodic feedback and non-subset restriction is employed in the
`
`case of periodic feedback.
`
`[0054]
`
`Method 3: Subset restriction is configured by a single
`
`set of parameters for both periodic and aperiodic feedback. The
`
`benefit of a single set of a parameters could be to reduce the UE
`
`implementation complexity.
`
`L:\SAMSl0\00587
`
`- 12 -
`
`IPR2022-00464
`Apple EX1012 Page 15
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`[0055]
`
`Method 4: Subset restriction is configured independently
`
`for both periodic and aperiodic feedback.
`
`[0056]
`
`Embodiment 3 [Sampling based subset restriction]:
`
`[0057]
`
`One method
`
`for determining
`
`the
`
`subset
`
`restricted
`
`precoding matrices is to sample from the larger codebook using a
`
`predetermined method. A DFT-based codebook,
`
`for example
`
`lends
`
`itself to a sampling implementation.
`
`[0058]
`
`In Release-lo specification of LTE, a double codebook
`
`structure is used for the 8Tx antenna configuration. A DFT codebook
`
`is used for the four-element ULA. Sampling of a larger DFT codebook
`
`is used to reduce codebook size in some case.
`
`[0059]
`
`More specifically as captured by the 3GPP in the table
`
`below from CR 36.213:
`
`[0060]
`
`text from 36.213 -
`
`[0061]
`
`For 8 antenna ports, each PMI value corresponds to a pair
`
`of codebook indices given in Table 7 .2 .4-1, 7 .2 .4-2, 7 .2 .4-3,
`
`7.2.4-4, 7.2.4-5, 7.2.4-6, 7.2.4-7, or 7.2.4-8, where
`
`the
`
`quantities <pn and v111 are given by
`
`[0062]
`
`'f'/1
`
`, 11 = ejm1/2
`vm = [1
`
`ej2mn/32
`
`ej4mn/32
`
`ej6mn/32 f
`
`[0063]
`
`as follows: For 8 antenna ports {15,16,17,18,19,20,21,22}, a first
`
`PMI
`
`value of
`
`L:\SAMSl0\00587
`
`n1 E { 0,1,···,f(v)-1}
`- 13 -
`
`and
`
`a
`
`second
`
`PMI
`
`value of
`
`IPR2022-00464
`Apple EX1012 Page 16
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`n2 E {0,1,···,g(v)-l}corresponds to the codebook indices n1 and n2 given in
`
`Table 7.2.4-j with v equal to the associated RI value and where j
`
`= v ,
`
`f ( v) = { 16,16,4,4,4,4,4,1 } and g ( v) = { 16,16,16,8,1,l,1,1} .
`
`[0064]
`
`In some cases codebook subsampling is supported.
`
`The
`
`sub-sampled codebook for PUCCH mode 1-1 submode 2 is defined in
`
`Table 7.2.2-lD for first and second precoding matrix indicator 4
`
`and½-
`
`Joint encoding of rank and first precoding matrix indicator
`
`i1 for PUCCH mode 1-1 submode 1 is defined in Table 7. 2. 2-lE. The
`
`sub-sampled codebook for PUCCH mode 2-1 is defined in Table 7.2.2-
`
`lF for the second precoding matrix indicator½-
`
`[0065]
`
`end text from 36.213 -
`
`[0066]
`
`Sampling in this manner can be directly related to the
`
`spatial characteristics of
`
`the channel environment. A coarse
`
`sampling of the codebook would give a broad representation of the
`
`vertical spatial dimension. Fine
`
`sampling selects possible
`
`precoding matrices from a spatially localized subset.
`
`[0067]
`
`In one embodiment of
`
`the current disclosure, subset
`
`restriction is obtained by coarse or fine sampling from the set of
`
`possible precoding matrices.
`
`[0068]
`
`Example: Consider the network environment of Fig. 4 and
`
`the codebook structure in Fig. 6. In the case of coarse sampling,
`
`each precoder spans a large vertical range (8c for example in Fig.
`- 14 -
`
`L: \SAMSl0\00587
`
`IPR2022-00464
`Apple EX1012 Page 17
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`4). A size-64 DFT codebook is sampled by a factor of Kc= 8
`
`(PMI
`
`index i corresponds to DFT codebook index I= Si). This results in
`
`a subsampled codebook of size N=8, and each resulting codeword
`
`represents a 180/N = 22.5° range in the vertical direction. Subset
`
`restriction can be further applied with Mc= 2 (corresponding to a
`
`45° vertical range) and the UE only selects either PMI index O or 1
`
`based on the resulting CQI.
`
`[0069]
`
`In the case of fine sampling the subsampling factor is
`
`only KF
`
`2
`
`(PMI index i corresponds to DFT index I= 2i). Thus,
`
`the subsampled codebook is of size N=32, and each resulting
`
`codeword represents a 180/N
`
`5.625°
`
`range
`
`in
`
`the vertical
`
`direction. With MF= 4, the subset of precoding matrices represent
`
`a 180 degree range in the vertical domain. With fine sampling the 4
`
`possible precoders represent a 22.5° degree vertical range.
`
`[0070]
`
`It is noted that an m-th 8-antenna-port DFT precoder out
`
`of a DFT codebook of size N is represented by:
`
`[0071]
`
`v = 1 e.1 c
`·e
`[
`
`m
`
`[0072]
`
`and it corresponds to an angle of 0c =2mn/N.
`
`[0073]
`
`Method 1: Coarse and fine sampling factors (KF and KC)
`
`and subset restriction search spaces (MF and MC) can be separately
`
`configured and adapted by the network.
`
`L:\SAMSl0\00587
`
`- 15 -
`
`IPR2022-00464
`Apple EX1012 Page 18
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`[0074]
`
`Method 2: Coarse and fine sampling factors (KF and KC)
`
`and subset restriction search spaces
`
`(MF and MC) can be jointly
`
`configured and adapted by the network.
`
`[0075]
`
`Example: Considering
`
`the example of Figure 6,
`
`the
`
`following sampling/subset restriction bit field can be indicated to
`
`the UE via a higher layer signalling message to the UE:
`
`[0076]
`
`Method 3: Coarse sampling parameters
`
`(KC, Mc)
`
`are
`
`preconfigured and not adapted by the network.
`
`[0077]
`
`Method 4: Fine
`
`sampling parameters
`
`(KF, MF)
`
`are
`
`preconfigured and not adapted by the network.
`
`[0078]
`
`Method 5: The subset restriction search space for fine
`
`sampling is determined based upon
`
`the coarse sampling subset
`
`restriction search space.
`
`[0079]
`
`Method 6: When eNB configures the fine sampling to a UE,
`
`it configures a fine codebook subset restriction search space,
`
`e.g., in terms of a corresponding coarse PMI (or PMic)
`
`index.
`
`[0080]
`
`Example: Considering the example of Figure 6, coarse
`
`sampling is first applied with Kc
`
`8 Mc= 2. If PMI index O is
`
`found to provide the highest CQI it is selected and reported to
`
`eNB. Subsequently, if fine sampling is configured (KF = 2, MF= 4),
`
`the configured fine-sampled subset corresponds to the same region
`
`of the codebook (or same spatial interpretation). For example if
`
`L:\SAMSl0\00587
`
`- 16 -
`
`IPR2022-00464
`Apple EX1012 Page 19
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`coarse codeword 0 corresponds to a 0°-22.5° vertical range, fine
`
`codewords 0-3 correspond to ranges of 0°-5.625°, 5.625° - 11.25°,
`
`11.25°-16.875° and 16.875°-22.5° respectively, as shown in the table
`
`below.
`
`[0081]
`
`Method 7: Subset restriction is only applied for fine
`
`sampling (i.e., a UE should always assume KC= MC).
`
`[0082]
`
`Example: Considering the example of Figure 6, coarse
`
`sampling is first applied with KC= MC= 8. If PMI
`
`index 0 is
`
`found to provide the highest CQI it is selected and reported to
`
`eNB. Subsequently, if fine sampling is configured (KF = 2, MF= 4),
`
`the configured fine-sampled subset corresponds to the same region
`
`of the codebook (or same spatial interpretation).
`
`[0083]
`
`Method 8: Subset restriction is only applied for coarse
`
`sampling.
`
`[0084]
`
`Embodiment 4 [Sliding window based subset restriction]:
`
`[0085]
`
`In one embodiment of the current disclosure, only a
`
`single large codebook is used and corresponding K and M are
`
`defined. Additionally another parameter C is defined.
`
`[0086]
`
`Method 1: C is the beginning of the subset codebook.
`
`[0087]
`
`Method 2: C is the center of the subset codebook.
`
`L:\SAMSl0\00587
`
`-
`
`1 7
`
`-
`
`IPR2022-00464
`Apple EX1012 Page 20
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`[0088]
`
`Example: A codebook may be configured with N
`
`64
`
`elements. In one example, M=16, C = 17. The corresponding codebook
`
`subset is{17,18,19, ... 32}.
`
`[0089]
`
`Method 1: Mand N are fixed and only C is configurable. C
`
`may be configured by higher layer signaling.
`
`[0090]
`
`Method 2: N is fixed and Mand Care configurable.Mand
`
`C may be configured by higher layer signaling.
`
`[0091]
`
`Method 3: One or more of Mand Care indicated by control
`
`signaling.
`
`[0092]
`
`Method 4: Whether to use a sampled subset codebook or a
`
`sliding window subset codebook may be configurable by the network.
`
`[0093]
`
`Method 5: Both codebook sampling and widowing may be
`
`supported simultaneously using four parameters, N, M, C and a
`
`sampling factor K which applies over the selected subset.
`
`[0094]
`
`Example: N = 64, M=8, C=17, K=2 as shown in Figure 8
`
`below
`
`[0095]
`
`Embodiment 5 [Configuration of Hand V-PMI]
`
`[0096]
`
`In one embodiment of the current disclosure, multiple
`
`methods are described for configuring codebook subsets for V-PMI.
`
`These methods can be used to configure codebook subsets for both H(cid:173)
`
`PMI and V-PMI.
`
`L:\SAMSl0\00587
`
`- 18 -
`
`IPR2022-00464
`Apple EX1012 Page 21
`
`

`

`DOCKET NO. 2012.07.022.SR0
`
`PROVISIONAL PATENT
`
`[0097]
`
`Method
`
`1: One or more parameters NH, MH, KH, CH, ,
`
`NV,MV,KV,CV, are configured by higher layer signaling
`
`[0098]
`
`Method
`
`2: One or more
`
`parameters NH, MH, KH, CH, ,
`
`NV,MV,KV,CV, are configured by control signaling.
`
`[0099]
`
`Method
`
`3: One or more parameters NH, MH, KH, CH,,
`
`NV,MV,KV,CV, are configured by higher layer signaling and one or
`
`more remaining parameters are configured by control signaling.
`
`[00100] Method 4: Multiple predefined sets of these parameters
`
`can be jointly designed to target a fixed total codebook size.
`
`[00101]
`
`Embodiment 6 [Bit-map signaling]:
`
`[00102]
`
`Codebook subset restriction can be signalled to a UE by
`
`using a bitmap in a DE-specific manner. A bit value of zero in the
`
`bitmap
`
`indicates
`
`that
`
`the PMI
`
`reporting
`
`is not allowed
`
`to
`
`correspond to the precoder associated with the bit. The number of
`
`bits in the codebook subset restriction bitmap N is determined by
`
`t