Exhibit 1006.02
`
`ZTE Corporation and ZTE (USA) Inc.
`
`

`
`TS 25.201 V2.1.0 (1999-06)
`
`Technical Specification
`
`3"’ Generation Partnership Project (3GPP);
`Technical Specification Group (TSG)
`Radio Access Network (RAN);
`Working Group 1 (WG1);
`Physical layer - General description
`
`The present document has been developed within the 3"‘ Generation Partnership Project (3GPP T“) and may be further elaborated for the purposes of 3GPP.
`
`The present document has not been subject to any approval process by the 3GPP Organisational Partners and shall not be implemented.
`This Specification is provided for future development work within 3GPP only. The Organisational Panners accept no liability for any use ofthis Specification.
`Specifications and reports for implementation of the 3GPPT“ system should be obtained via the 3GPP Organisational Partners‘ Publications Offices.
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00001
`
`

`
`Physical layer - General description
`
`TS 25.201 V2.1.0 (1999-06)
`
`Reference
`
`<Workitem> (<Shorl'fi|ename>.PDF)
`
`Keywords
`<keyword[, keyword]>
`
`3GPP
`
`Postal address
`
`Office address
`
`Internet
`
`secretariat@3gpp.org
`Individual copies of this deliverable
`can be downloaded from
`
`http://vwvw.3gpp.org
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00002
`
`

`
`Physical layer - General description
`
`3
`
`TS 25.201 V2.1.0 (1999-06)
`
`Co nte nts
`
`Intellectual Property Rights .............................................................................................................................. ..4
`
`Foreword .......................................................................................................................................................... ..4
`
`1
`
`2
`
`3
`3.1
`
`3.2
`3.3
`
`4
`4.1
`4. 1 .1
`
`4.1.2
`4.2
`4.2.1
`4.2.2
`4.2.3
`4.2.4
`4.2.5
`
`5
`5.1
`
`5.2
`5.3
`5.4
`5.5
`5.6
`5.7
`5.8
`5.9
`5.10
`5.11
`5.12
`
`Scope ...................................................................................................................................................... ..5
`
`References .............................................................................................................................................. ..5
`
`Definitions, symbols and abbreviations ................................................................................................. ..5
`Definitions ....................................................................................................................................................... .. 5
`
`Symbols ........................................................................................................................................................... .. 6
`Abbreviations ................................................................................................................................................... .. 6
`
`General description of Layer 1 ............................................................................................................... ..7
`Relation to other layers .................................................................................................................................... .. 7
`General Protocol Architecture .................................................................................................................... .. 7
`
`Service provided to upper layer ................................................................................................................. .. 7
`General description of Layer 1 ........................................................................................................................ .. 7
`Multiple Access .......................................................................................................................................... .. 8
`Coding and interleaving ............................................................................................................................. .. 8
`Modulation and spreading .......................................................................................................................... .. 9
`Transmission and reception........................................................................................................................ .. 9
`Physical layer procedures ........................................................................................................................... .. 9
`
`Document structure of physical layer specification ............................................................................. .. 10
`Overview ....................................................................................................................................................... .. 10
`
`25.201: Physical layer — General description ................................................................................................ .. 10
`S1.02: User Equipment physical layer capabilities ........................................................................................ .. 10
`25.21 1: Physical channels and mapping of transport channels onto physical channels (FDD) ..................... .. 10
`25.212: Multiplexing and channel coding (FDD) .......................................................................................... .. 10
`25.213: Spreading and modulation (FDD) .................................................................................................... .. 1 1
`25.214: Physical layer procedures (FDD) ...................................................................................................... .. 1 1
`25.221: Physical channels and mapping of transport channels onto physical channels (TDD) .................... .. 1 1
`25.222: Multiplexing and channel coding (TDD) ......................................................................................... .. 1 1
`25.223: Spreading and modulation (TDD) .................................................................................................... .. 1 1
`25.224: Physical layer procedures (TDD) ..................................................................................................... .. 12
`25.231: Physical layer - Measurements ......................................................................................................... .. 12
`
`History ............................................................................................................................................................ .. 13
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00003
`
`

`
`Physical layer - General description
`
`4
`
`TS 25.201 V2.1.0 (1999-06)
`
`Intellectual Property Rights
`
`
`
`Foreword
`
`This Technical Specification has been produced by the 3GPP.
`
`The contents of the present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents ofthis TS, it will be re-released by the TSG with an identifying
`change of release date and an increase in version number as follows:
`
`Version 3.y.z
`
`where:
`
`x
`
`the first digit:
`
`1
`
`2
`
`3
`
`presented to TSG for information;
`
`presented to TSG for approval;
`
`Indicates TSG approved document under change control.
`
`y
`
`2
`
`the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
`
`the third digit is incremented when editorial only changes have been incorporated in the specification;
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00004
`
`

`
`Physical layer - General description
`
`5
`
`TS 25.201 V2.1.0 (1999-06)
`
`1
`
`Scope
`
`This specification gives a general description of the physical layer of the UTRA Radio interface. This specification also
`describes the document structure of the 3GPP physical layer specifications, i.e. TS 25.200 series. The TS 25.200 series
`specifies the Uu point for the 3G mobile system, and defines the minimum level of specifications required for basic
`connections in terms of mutual connectivity and compatibility.
`
`2
`
`References
`
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
`[1]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`[7]
`
`[8]
`
`[9]
`
`[10]
`
`[11]
`
`[12]
`
`[13]
`
`[14]
`
`3GPP RAN S1.02 iV1.0.0i: “User Eiuiiment ihisical laier capabilities”
`
`3GPP TS 25.211 : “Physical channels and mapping of transport channels onto physical channels (FDD)”
`
`3GPP TS 25.212: “Multiplexing and channel coding (FDD)”
`
`3GPP TS 25.213: “Spreading and modulation (FDD)”
`
`3GPP TS 25.214: “Physical layer procedures (FDD)”
`
`3GPP TS 25.221 : “Physical channels and mapping of transport channels onto physical channels (TDD)”
`
`3GPP TS 25.222: “Multiplexing and channel coding (TDD)”
`
`3GPP TS 25.223: “Spreading and modulation (TDD)”
`
`3GPP TS 25.224: “Physical layer procedures (TDD)”
`
`3GPP TS 25.231: “Physical layer - Measurements”
`
`3GPP TS 25.301: “Radio Interface Protocol Architecture”
`
`3GPP TS 25.302: “Services provided by the physical layer”
`
`3GPP TS 25.101: “UE Radio transmission and reception (FDD)”
`
`3GPP TS 25.102: “UE Radio transmission and reception (TDD)”
`
`3
`
`Definitions, symbols and abbreviations
`
`3.1
`
`Definitions
`
`For the purposes of the present document, the [following] terms and definitions [given in
`
`and the following] apply.
`
`<defined term>: <definition>.
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00005
`
`

`
`Physical layer - General description
`
`6
`
`TS 25.201 V2.1.0 (1999-06)
`
`example: text used to clarify abstract rules by applying them literally.
`
`3.2
`
`Symbols
`
`For the purposes of the present document, the following symbols apply:
`
`<symbol>
`
`<EXplanation>
`
`3.3
`
`Abbreviations
`
`For the purposes of the present document, the following abbreviations apply:
`
`BER
`BS
`
`CCTrCH
`DCA
`DCH
`
`DS-CDMA
`FDD
`FEC
`FER
`
`GSM
`Ll
`L2
`L3
`LAC
`MAC
`
`Mcps
`ODMA
`PCS
`PHS
`QPSK
`RACH
`
`RF
`RLC
`RRC
`SAP
`
`SCH
`SIR
`TDD
`TDMA
`TFCI
`UE
`UMTS
`UTRA
`
`Bit Error Rate
`Base Station
`
`Coded Composite Transport Channel
`Dynamic channel allocation
`Dedicated Channel
`
`Direct-Sequence Code Division Multiple Access
`Frequency Division Duplex
`Forward Error Correction
`Frame Error Rate
`
`Global System for Mobile Communication
`Layer 1 (physical layer)
`Layer 2 (data link layer)
`Layer 3 (network layer)
`Link Access Control
`Medium Access Control
`
`Mega Chip Per Second
`Opportunity Driven Multiple Access
`Personal Communications System
`Persona Handyphone System
`Quaternary Phase Shift Keying
`Random Access Channel
`
`Radio Frequency
`Radio Link Control
`Radio Resource Control
`Service Access Point
`
`Synchronisation Channel
`Signal-to-Interference Ratio
`Time Division Duplex
`Time Division Multiple Access
`Transport-Format Combination Indicator
`User Equipment
`Universal Mobile Telecommunications System
`UMTS Terrestrial Radio Access
`
`WCDMA
`
`Wide-band Code Division Multiple Access
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00006
`
`

`
`Physical layer - General description
`
`7
`
`TS 25.201 V2.1.0 (1999-06)
`
`4
`
`General description of Layer 1
`
`4.1
`
`Relation to other layers
`
`4.1.1 General Protocol Architecture
`
`Radio interface which is prescribed by this specification means the Uu point between User Equipment (UE) and
`network. The radio interface is composed of Layers 1, 2 and 3. Layer 1 is based on WCDMA technology and the TS
`25.200 series describes the Layer-1 specification. Layers 2 and 3 of the radio interface are described in the TS 25.300
`and 25.400 series, respectively.
`
`Fig. 5-1 Radio interface protocol architecture around the physical layer
`
`Radio Resource Control (RRC)
`
`
`
`.
`Logical channels
`
`Transport charmels
`
`
`
`I111
`
`Physical layer
`
`
`
`E E1
`
`"
`g
`0.)
`
`2 T
`
`2
`‘E
`8
`
`Layer 3
`
`Layer 2
`
`Layer 1
`
`Figure 4-1 shows the UTRA radio interface protocol architecture around the physical layer (Layer 1). The physical
`layer interfaces the Medium Access Control (MAC) sub-layer of Layer 2 and the Radio Resource Control (RRC) Layer
`of Layer 3. The circles between different layer/sub-layers indicate Service Access Points (SAPs). The physical layer
`offers different Transport channels to MAC. A transport channel is characterized by how the information is transferred
`over the radio interface. MAC offers different Logical channels to the Radio Link Control (RLC) sub-layer of Layer 2.
`A logical channel is characterized by the type of information transferred. Physical channels are defined in the physical
`layer. There are two duplex modes: Frequency Division Duplex (FDD) and Time Division Duplex (TDD). In the FDD
`mode a physical channel is characterized by the code, frequency and in the uplink the relative phase (I/Q). In the TDD
`mode the physical channels is also characterized by the timeslot. The physical layer is controlled by RRC.
`
`4.1.2
`
`Service provided to upper layer
`
`The physical layer offers data transport services to higher layers. The access to these services is through the use of
`transport channels via the MAC sub-layer. The physical layer is expected to perform the following functions in order to
`provide the data transport service. See also TS 25.302.
`
`0 Macrodiversity distribution/combining and soft handover execution
`
`0
`
`0
`
`Error detection on transport channels and indication to higher layers
`
`FEC encoding/decoding of transport channels
`
`0 Multiplexing of transport channels and demultiplexing of coded composite transport channels
`
`0
`
`Rate matching (data multiplexed on DCH)
`
`0 Mapping of coded composite transport channels on physical channels
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00007
`
`

`
`Physical layer - General description
`
`8
`
`TS 25.201 V2.1.0 (1999-06)
`
`0
`
`Power weighting and combining of physical channels
`
`0 Modulation and spreading/demodulation and despreading of physical channels
`
`0
`
`0
`
`0
`
`0
`
`Frequency and time (chip, bit, slot, frame) synchronisation
`
`Radio characteristics measurements including FER, SIR, Interference Power, etc., and indication to higher
`layers
`
`Closed-loop power control
`
`RF processing
`
`When network elements (UEs and network) provide compatible service bearers (for example support a speech bearer)
`they should be assured of successful interworking. Moreover, different implementation options of the same (optional)
`feature would lead to incompatibility between UE and network. Therefore, this shall be avoided.
`
`4.2
`
`General description of Layer 1
`
`4.2.1
`
`Multiple Access
`
`The access scheme is Direct-Sequence Code Division Multiple Access (DS-CDMA) with information spread over
`approximately 5 l\/{Hz bandwidth, thus also often denoted as Wideband CDMA (WCDMA) due that nature.
`
`UTRA has two modes, FDD (Frequency Division Duplex) & TDD (Time Division Duplex), for operating with paired
`and unpaired bands respectively. The possibility to operate in either FDD or TDD mode allows for efficient utilisation
`of the available spectrum according to the frequency allocation in different regions. FDD and TDD modes are defined
`as follows;
`
`FDD: A duplex method whereby uplink and downlink transmissions use two separated radio frequencies. In the
`FDD, each uplink and dowr1link uses the different frequency band. A pair of frequency bands which have
`specified separation shall be assigned for the system.
`
`TDD: A duplex method whereby uplink and downlink transmissions are carried over same radio frequency by
`using synchronised time intervals. In the TDD, time slots in a physical channel are divided into transmission and
`reception part. Information on uplink and downlink are transmitted reciprocally.
`
`In UTRA TDD there is TDMA component in the multiple access in addition to DS-CDMA. Thus the multiple access
`has been also often denoted as TDMA/CDMA due added TDMA nature.
`
`The carrier separation is 4.6-5 l\/{Hz depending on the deployment scenario with 200 kHz carrier raster. A 10 ms radio
`frame is divided into 16 0.625 ms slots. A physical channel is therefore defined as a code (or number of codes) and
`additionally in TDD mode the sequence of 0.625 ms time slots completes the definition ofa physical channel. The both
`UTRA modes use 72-frame multiframe structure. The resultin lon er frame duration is under discussion (hyperframe
`etc.>
`
`The information rate of the channel varies with the symbol rate being derived from the 4.096 M chips/s chip rate and
`the spreading factor. Spreading factors are from 256 to 4 with FDD uplink, from 512 to 4 with FDD dowr1link, and
`from 16 to 1 for TDD uplink and downlink. Thus the respective modulation symbol rates vary from 1.024 M symbols/s
`to 16 k symbols/s (8 k symbols/s) for FDD uplink (dowr1link), and for TDD the momentary modulation symbol rates
`shall vary from 4.096 M symbols/s to 256 k symbols/s.
`
`Furthermore, relaying between nodes can be used by means of Opportunity Driven Multiple Access (ODMA) in TDD
`mode.
`
`4.2.2
`
`Coding and interleaving
`
`For the channel coding in UTRA two options are supported:
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00008
`
`

`
`Physical layer - General description
`
`9
`
`TS 25.201 V2.1.0 (1999-06)
`
`0
`
`0
`
`Convolutional coding, either 1/2 rate or 1/3 rate for packet data and services requiring quality level 10'3 or
`lower over the physical layer with forward error correction (FEC).
`
`Turbo coding, for the services requiring higher than 10'3 quality level.
`
`4.2.3
`
`Modulation and spreading
`
`The UTRA modulation scheme is QPSK. Pulse shaping is specified in the TS 25.100 series.
`
`With CDMA nature the spreading (& scrambling) process is closely associated with modulation. In UTRA different
`families of spreading codes are used to spread the signal.
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`For separating channels from same source, channelisation codes derived with the code tree structure as given
`in TS 25.213 and 25.223 are used.
`
`For separating different base station the following solutions are supported:
`
`FDD mode: Gold codes with 10
`chips, as defined in TS 25.213‘,
`
`'
`
`'
`
`'
`
`'
`
`length 241-1
`
`TDD mode: Scrambling codes with the length 16 used as defined in TS 25.223.
`
`For separating different UEs the following code families are defined:
`
`FDD mode: Gold codes with 10 ms period, or altematively S(2) codes 256 chip period;
`
`TDD mode: codes with period of 16 chips and midamble sequences of different length depending on the
`environment.
`
`4.2.4
`
`Transmission and reception
`
`UTRA uses paired/unpaired frequency bands. The detail frequency bands are described in TS 25.101 and 25.102.
`Several power classes are being defined currently.
`
`4.2.5
`
`Physical layer procedures
`
`There are several physical layer procedures involved with UTRA operation. Such a procedures covered by physical
`layer description are:
`
`1)
`
`2)
`
`3)
`
`4)
`
`5)
`
`6)
`
`The power control, with both fast closed loop and slow ualit
`loo for FDD mode and for TDD mode open
`loop power control together with slow closed loop;
`Handover measurements for handover within UTRA. Specific features being determined in addition to the
`relative strength of the base station, for the FDD mode the timing relation between for the base stations for
`support of asynchronous soft handover;
`
`The measurement irocedures for ireiaration for handover to GSM900/GSM1800;‘
`
`The measurements procedures for UE before random access process;
`
`Dynamic Channel Allocation (DCA) with TDD mode operation;
`
`ODMA specific procedures such as probing.
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00009
`
`

`
`Physical layer - General description
`
`10
`
`TS 25.201 V2.1.0 (1999-06)
`
`5
`
`Document structure of physical layer specification
`
`5.1
`
`Overview
`
`The physical layer specification consists oftwo general documents (25.201, S1.02), four FDD mode documents
`(25211 through 25.214), four TDD mode documents (25221 through 25.224), and one special issue document
`(25.231).
`
`5.2
`
`25.201: Physical layer — General description
`
`The scope is to describe:
`
`0
`
`0
`
`0
`
`the contents of the Layer ldocuments (25.200 series);
`
`where to find information;
`
`a general description of Layer 1.
`
`5.3
`
`81.02: User Equipment physical layer capabilities
`
`The scope is to describe:
`
`0
`
`the physical layer capabilities of the UE.
`
`5.4
`
`25.211: Physical channels and mapping of transport
`channels onto physical channels (FDD)
`
`The scope is to establish the characteristics of the Layer-1 transport channels and physical channels in the FDD mode,
`and to specify:
`
`0
`
`0
`
`0
`
`0
`
`0
`
`the different transport channels that exist;
`
`which physical channels exist;
`
`what is the structure of each physical channel, slot format etc.;
`
`relative timing between different physical channels in the same link, and relative timing between uplink and
`downlink;
`
`mapping of data onto the physical channels.
`
`5.5
`
`25.212: Multiplexing and channel coding (FDD)
`
`The scope is to describe multiplexing, channel coding and interleaving in the FDD mode, and to specify:
`
`0
`
`0
`
`0
`
`0
`
`0
`
`coding and multiplexing of transport channels into CCTrCHs;
`
`channel coding altematives;
`
`coding for Layer 1 control information, such as TFCI;
`
`the different interleavers;
`
`how is rate matching done;
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00010
`
`

`
`Physical layer - General description
`
`11
`
`TS 25.201 V2.1.0 (1999-06)
`
`0
`
`multiplexing.
`
`5.6
`
`25.213: Spreading and modulation (FDD)
`
`The scope is to establish the characteristics of the spreading and modulation in the FDD mode; and to specify:
`
`0
`
`0
`
`0
`
`0
`
`0
`
`the spreading (channelization plus scrambling);
`
`generation of channelization and scrambling codes;
`
`generation of RACH preamble codes;
`
`generation of SCH synchronisation codes;
`
`modulation.
`
`(RF channel arrangements and Pulse shaping are specified in TS 25.101)
`
`5.7
`
`25.214: Physical layer procedures (FDD)
`
`The scope is to establish the characteristics of the physical layer procedures in the FDD mode; and to specify:
`
`0
`
`0
`
`0
`
`5.8
`
`power control procedures;
`
`random access procedure;
`
`paging procedure.
`
`25.221: Physical channels and mapping of transport
`channels onto physical channels (TDD)
`
`The scope is to establish the characteristics of the Layer-l transport channels and physical channels in the TDD mode;
`and to define:
`
`0
`
`0
`
`0
`
`0
`
`transport channels;
`
`physical channels; structure and contents;
`
`timing relationship between physical channels;
`
`mapping of data to the physical channels.
`
`5.9
`
`25.222: Multiplexing and channel coding (TDD)
`
`The scope is to describe multiplexing; channel coding and interleaving in the TDD mode; and to specify:
`
`0
`
`0
`
`0
`
`0
`
`channel coding;
`
`interleaving;
`
`rate matching;
`
`multiplexing.
`
`5.10
`
`25.223: Spreading and modulation (TDD)
`
`The scope is to establish the characteristics of the spreading and modulation in the TDD mode; and to specify:
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00011
`
`

`
`Physical layer - General description
`
`12
`
`TS 25.201 V2.1.0 (1999-06)
`
`0
`
`0
`
`0
`
`data modulation;
`
`spreading;
`
`generation of codes.
`
`(RF channel arrangements and Pulse shaping are specified in TS 25.102)
`
`5.11
`
`25.224: Physical layer procedures (TDD)
`
`The scope is to establish the characteristics of the physical layer procedures in the TDD mode; and to specify:
`
`0
`
`0
`
`0
`
`0
`
`0
`
`BS synchronisation;
`
`Dynamic channel allocation (DCA);
`
`timing advance;
`
`power control procedures;
`
`idle mode tasks.
`
`5.12
`
`25.231: Physical layer — Measurements
`
`The scope is to specify:
`
`0
`
`0
`
`0
`
`the measurements that Layer 1 is to perform;
`
`reporting of measurements to higher layers and network;
`
`handover measurements; idle-mode measurements etc.
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00012
`
`

`
`Physical layer - General description
`
`13
`
`TS 25.201 V2.1.0 (1999-06)
`
`History
`
`V1 .0.0
`
`V1 .0.1
`
`Document history
`
`1999-02-12
`
`New document merged from ETSI & ARIB, produced jointly by the editors. To be
`updated after the conclusions from Ad Hocs. Forwarded to TSG/RAN/WG1 for
`agreement.
`
`1999-03-05
`
`Agreed by 3GPP TSG.
`
`1999-03-17
`
`Update References and Section 6 “Document structure”. Remove Section 7.3
`“Elements for layer-to-layer communication”.
`
`V1.1.0
`
`1999-03-24
`
`Approved by 3GPP/TSG/RAN/WG1. Update the document titles of S1.11, S121,
`and S1.31.
`
`V1.1.1
`
`1999-04-20
`
`Add sentences proposed in R1-99255 into Section 7.1.2. Reflect Turbo coding
`working assumptions. Approved by 3GPP RAN WG1.
`
`TS 25.201
`V2.0.0
`
`1999-04-23
`
`Endorsed by 3GPP TSG RAN as TS 25.201 v2.0.0.
`
`V2.0.1
`
`1999-06-04
`
`Remove Pulse shaping and Frequency band descriptions; Correct Specification
`numbers; Revise the protocol architecture description. Renumber Chapters 6 and 7.
`
`V2.1.0
`
`1999-06-04
`
`Approved by 3GPP TSG RAN WG1.
`
`V 2.1.0
`
`1999-06-22
`
`Endorsed by TSG-RAN
`
`Editor for TS 25.201, Physical Layer — General Description, is:
`
`Takashi Mochizuki
`
`NEC Corporation
`E“‘a“—
`This document is written in Microsoft Word 97.
`
`3GPP
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.02-00013