3G Evolution
`
`HSPA and LTE for
`Mobile Broadband
`
`Evolved Wireless, LLC Exhibit 2001
`ZTE/HTC v. Evolved Wireless IPR2016-00757
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`

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`3G EVOLUTION: HSPA AND LTE FOR MOBILE BROADBAND
`
`Exhibit 2001-002
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`This page intentionally left blank
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`Exhibit 2001-003
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`

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`3G Evolution
`
`HSPA and LTE for Mobile Broadband
`
`Erik Dahlman, Stefan Parkvall, Johan Sköld and Per Beming
`
`AMSTERDAM • BOSTON (cid:129) HEIDELBERG (cid:129) LONDON (cid:129) NEW YORK (cid:129) OXFORD
`
`PARIS (cid:129) SAN DIEGO (cid:129) SAN FRANCISCO (cid:129) SINGAPORE (cid:129) SYDNEY (cid:129) TOKYO
`
`Academic Press is an imprint of Elsevier
`
`Exhibit 2001-004
`
`

`

`Academic Press is an imprint of Elsevier
`Linacre House, Jordan Hill, Oxford, OX2 8DP
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`
`First edition 2007
`
`Copyright © 2007. Erik Dahlman, Stefan Parkvall, Johan Sköld and Per Beming. Published by Elsevier
`Ltd. All rights reserved
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`The right of Erik Dahlman, Stefan Parkvall, Johan Sköld and Per Beming to be identified as the authors
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`
`British Library Cataloguing in Publication Data
`3G evolution : HSPA and LTE for mobile broadband
`1. Broadband communication systems – Standards 2. Mobile
`communication systems – Standards 3. Cellular telephone
`systems – Standards
`I. Dahlman, Erik
`621.3’8456
`
`Library of Congress Number: 2007925578
`
`ISBN: 9780123725332
`
`For information on all Academic Press publications
`visit our web site at books.elsevier.com
`
`Typeset by Charon Tec Ltd (A Macmillan Company), Chennai, India,
`www.charontec.com
`
`Printed and bound in Great Britain
`
`07
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`08
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`09
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`10
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`11 10 9 8 7 6 5 4 3 2 1
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`Exhibit 2001-005
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`

`

`Contents
`
`List of Figures
`
`List of Tables
`
`Preface
`
`Acknowledgements
`
`List of Acronyms
`
`Part I: Introduction
`
`xiii
`
`xxiii
`
`xxv
`
`xxvii
`
`xxix
`
`3
`1 Background of 3G evolution
`1.1 History and background of 3G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
`1.1.1 Before 3G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
`1.1.2 Early 3G discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
`1.1.3 Research on 3G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
`1.1.4 3G standardization starts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
`1.2 Standardization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
`1.2.1 The standardization process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
`1.2.2 3GPP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
`1.2.3 IMT-2000 activities in ITU. . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 11
`1.3 Spectrum for 3G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
`
`17
`2 The motives behind the 3G evolution
`2.1 Driving forces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
`2.1.1 Technology advancements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
`2.1.2 Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 19
`2.1.3 Cost and performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
`2.2 3G evolution: two Radio Access Network approaches and
`an evolved core network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
`2.2.1 Radio Access Network evolution . . . . . . . . . . . . . . . . . . . . . . . . . 23
`2.2.2 A evolved core network: System Architecture
`Evolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
`
`Part II: Technologies for 3G Evolution
`
`31
`3 High data rates in mobile communication
`3.1 High data rates: fundamental constraints . . . . . . . . . . . . . . . . . . . . . . . . . 31
`3.1.1 High data rates in noise-limited scenarios. . . . . . . . . . . .. . . . . . 33
`
`v
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`Exhibit 2001-006
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`vi
`
`Contents
`
`3.1.2 Higher data rates in interference-limited scenarios . . . . . . . . . . 35
`3.2 Higher data rates within a limited bandwidth: higher-order
`modulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 36
`3.2.1 Higher-order modulation in combination with
`channel coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
`3.2.2 Variations in instantaneous transmit power. . . . . . . . . . .. . . . . . 38
`3.3 Wider bandwidth including multi-carrier transmission . . . . . . . . . . . . . 39
`3.3.1 Multi-carrier transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
`
`45
`4 OFDM transmission
`4.1
`Basic principles of OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
`4.2 OFDM demodulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
`4.3 OFDM implementation using IFFT/FFT processing . . . . . . . . . . . . . 48
`4.4
`Cyclic-prefix insertion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
`4.5
`Frequency-domain model of OFDM transmission . . . . . . . . . . . . . . . 53
`4.6
`Channel estimation and reference symbols . . . . . . . . . . . . . . . . . . . . . . 54
`4.7
`Frequency diversity with OFDM: importance of channel coding. . . . . . 55
`4.8
`Selection of basic OFDM parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
`4.8.1 OFDM subcarrier spacing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
`4.8.2 Number of subcarriers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
`4.8.3 Cyclic-prefix length . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
`4.9 Variations in instantaneous transmission power . . . . . . . . . . . . . . . . . . 60
`4.10 OFDM as a user-multiplexing and multiple-access scheme . . . . . . . 61
`4.11 Multi-cell broadcast/multicast transmission and OFDM . . . . . . . . . . 63
`
`67
`5 Wider-band ‘single-carrier’ transmission
`5.1
`Equalization against radio-channel frequency selectivity . . . . . . . . . 67
`5.1.1 Time-domain linear equalization . . . . . . . . . . . . . . . . . . . . . . . . . 68
`5.1.2 Frequency-domain equalization . . . . . . . . . . . . . . . . . . . . . . . . . . 70
`5.1.3 Other equalizer strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
`5.2 Uplink FDMA with flexible bandwidth assignment . . . . . . . . . . . . . . 73
`5.3 DFT-spread OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 75
`5.3.1 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
`5.3.2 DFTS-OFDM receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
`5.3.3 User multiplexing with DFTS-OFDM . . . . . . . . . . . . . . . . . . . . 79
`5.3.4 DFTS-OFDM with spectrum shaping . . . . . . . . . . . . . . . . . . . . 80
`5.3.5 Distributed DFTS-OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
`
`83
`6 Multi-antenna techniques
`6.1 Multi-antenna configurations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
`6.2
`Benefits of multi-antenna techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
`6.3 Multiple receive antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
`6.4 Multiple transmit antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
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`Exhibit 2001-007
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`

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`Contents
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`vii
`
`6.4.1 Transmit-antenna diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
`6.4.2 Transmitter-side beam-forming . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
`6.5 Spatial multiplexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
`6.5.1 Basic principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
`6.5.2 Pre-coder-based spatial multiplexing . . . . . . . . . . . . . . . . . . . . 102
`6.5.3 Non-linear receiver processing . . . . . . . . . . . . . . . . . . . . . . . . . . 104
`
`107
`7 Scheduling, link adaptation and hybrid ARQ
`7.1 Link adaptation: Power and rate control . . . . . . . . . . . . . . . . . . . . . . . . 108
`7.2 Channel-dependent scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
`7.2.1 Downlink scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
`7.2.2 Uplink scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
`7.2.3 Link adaptation and channel-dependent scheduling
`in the frequency domain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
`7.2.4 Acquiring on channel-state information . . . . . . . . . . . . . . . . . . 117
`7.2.5 Traffic behavior and scheduling . . . . . . . . . . . . . . . . . . . . . . . . . 119
`7.3 Advanced retransmission schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
`7.4 Hybrid ARQ with soft combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
`
`Part III: HSPA
`
`129
`8 WCDMA evolution: HSPA and MBMS
`8.1 WCDMA: brief overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
`8.1.1 Overall architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
`8.1.2 Physical layer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
`8.1.3 Resource handling and packet-data session . . . . . . . . . . . . . . . 139
`
`141
`9 High-Speed Downlink Packet Access
`9.1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
`9.1.1 Shared-channel transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
`9.1.2 Channel-dependent scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . 142
`9.1.3 Rate control and higher-order modulation . . . . . . . . . . . . . . . . 144
`9.1.4 Hybrid ARQ with soft combining. . . . . . . . . . . . . . . . . . .. . . . . 144
`9.1.5 Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
`9.2 Details of HSDPA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
`9.2.1 HS-DSCH: inclusion of features in WCDMA Release 5. . . . . 146
`9.2.2 MAC-hs and physical-layer processing . . . . . . . . . . . . . . . . . . . 149
`9.2.3 Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
`9.2.4 Rate control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
`9.2.5 Hybrid ARQ with soft combining. . . . . . . . . . . . . . . . . . .. . . . . 155
`9.2.6 Data flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
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`Exhibit 2001-008
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`viii
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`Contents
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`9.2.7 Resource control for HS-DSCH . . . . . . . . . . . . . . . . . . . .. . . . . 159
`9.2.8 Mobility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
`9.2.9 UE categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
`9.3 Finer details of HSDPA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
`9.3.1 Hybrid ARQ revisited: physical-layer processing . . . . . . . . . . 164
`9.3.2 Interleaving and constellation rearrangement. . . . . . . . .. . . . . 168
`9.3.3 Hybrid ARQ revisited: protocol operation . . . . . . . . . . . . . . . . 170
`9.3.4 In-sequence delivery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
`9.3.5 MAC-hs header . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
`9.3.6 CQI and other means to assess the downlink quality . . . . . . . 175
`9.3.7 Downlink control signaling: HS-SCCH . . . . . . . . . . . . . . . . . . 178
`9.3.8 Downlink control signaling: F-DPCH . . . . . . . . . . . . . . . . . . . . 180
`9.3.9 Uplink control signaling: HS-DPCCH . . . . . . . . . . . . . . . . . . . 181
`
`185
`10 Enhanced Uplink
`10.1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
`10.1.1
`Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
`10.1.2 Hybrid ARQ with soft combining . . . . . . . . . . . . . . . . . . . 188
`10.1.3 Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
`10.2 Details of Enhanced Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
`10.2.1 MAC-e and physical layer processing . . . . . . . . . . . . . . . 193
`10.2.2
`Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
`10.2.3
`E-TFC selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
`10.2.4 Hybrid ARQ with soft combining . . . . . . . . . . . . . . . . . . . 203
`10.2.5
`Physical channel allocation . . . . . . . . . . . . . . . . . . . . . . . . . 208
`10.2.6
`Power control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
`10.2.7 Data flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
`10.2.8
`Resource control for E-DCH . . . . . . . . . . . . . . . . . . . . . . . 210
`10.2.9 Mobility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
`10.2.10 UE categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
`10.3 Finer details of Enhanced Uplink . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 213
`10.3.1
`Scheduling – the small print . . . . . . . . . . . . . . . . . . . . . . . . 213
`10.3.2
`Further details on hybrid ARQ operation . . . . . . . .. . . . . 222
`10.3.3
`Control signaling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
`
`239
`11 MBMS: multimedia broadcast multicast services
`11.1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
`11.1.1 Macro-diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
`11.1.2 Application-level coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 245
`11.2 Details of MBMS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 246
`11.2.1 MTCH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 246
`11.2.2 MCCH and MICH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
`11.2.3 MSCH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 249
`
`Exhibit 2001-009
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`

`

`Contents
`
`ix
`
`251
`12 HSPA Evolution
`12.1 MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
`12.1.1 HSDPA-MIMO data transmission . . . . . . . . . . . . . . . . . . . 252
`12.1.2
`Rate control for HSDPA-MIMO . . . . . . . . . . . . . . . . . . . . 255
`12.1.3 Hybrid ARQ with soft combining for HSDPA-
`MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 256
`Control signaling for HSDPA-MIMO . . . . . . . . . . . . . . . 256
`12.1.4
`12.1.5 UE capabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
`12.2 Higher-order modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
`12.3 Continuous packet connectivity . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 259
`12.3.1 DTX – reducing uplink overhead . . . . . . . . . . . . . . .. . . . . 261
`12.3.2 DRX – reducing UE power consumption . . . . . . . .. . . . . 263
`12.3.3 HS-SCCH-less operation: downlink overhead
`reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
`Control signaling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
`12.3.4
`12.4 Enhanced CELL_FACH operation . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
`12.5 Layer 2 protocol enhancements . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 268
`12.6 Advanced receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
`12.6.1 Advanced UE receivers specified in 3GPP . . . . . . . . . . . . 269
`12.6.2 Receiver diversity (type 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
`12.6.3 Chip-level equalizers and similar receivers (type 2). . . . . 270
`12.6.4 Combination with antenna diversity (type 3) . . . . . .. . . . . 271
`12.6.5 Interference cancellation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
`12.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
`
`Part IV: LTE and SAE
`
`277
`13 LTE and SAE: introduction and design targets
`13.1 LTE design targets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278
`13.1.1 Capabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278
`13.1.2 System performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
`13.1.3 Deployment-related aspects . . . . . . . . . . . . . . . . . . . . .. . . . . 281
`13.1.4 Architecture and migration . . . . . . . . . . . . . . . . . . . . . . . . . . 283
`13.1.5 Radio resource management . . . . . . . . . . . . . . . . . . . . . . . . . 284
`13.1.6 Complexity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
`13.1.7 General aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 285
`13.2 SAE design targets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
`
`14 LTE radio access: an overview
`14.1 Transmission schemes: downlink OFDM and uplink
`SC-FDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
`14.2 Channel-dependent scheduling and rate adaptation . . . . . . . . . . . . 290
`14.2.1 Downlink scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
`14.2.2 Uplink scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
`
`289
`
`Exhibit 2001-010
`
`

`

`x
`
`Contents
`
`14.2.3 Inter-cell interference coordination . . . . . . . . . . . . . . . . . . . 293
`14.3 Hybrid ARQ with soft combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
`14.4 Multiple antenna support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
`14.5 Multicast and broadcast support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
`14.6 Spectrum flexibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 295
`14.6.1 Flexibility in duplex arrangement . . . . . . . . . . . . . . . . . . . . 296
`14.6.2 Flexibility in frequency-band-of-operation . . . . . . . . . . . . 297
`14.6.3 Bandwidth flexibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
`
`299
`15 LTE radio interface architecture
`15.1 RLC: radio link control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
`15.2 MAC: medium access control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
`15.2.1 Logical channels and transport channels . . . . . . . . . . . . . . 303
`15.2.2 Downlink scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
`15.2.3 Uplink scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
`15.2.4 Hybrid ARQ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 309
`15.3 PHY: physical layer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312
`15.4 LTE states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 314
`15.5 Data flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
`
`317
`16 LTE physical layer
`16.1 Overall time-domain structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
`16.2 Downlink transmission scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
`16.2.1 The downlink physical resource . . . . . . . . . . . . . . . . . . . . . . 319
`16.2.2 Downlink reference signals . . . . . . . . . . . . . . . . . . . . . . . . . . 323
`16.2.3 Downlink transport-channel processing . . . . . . . . . . . . . . . 326
`16.2.4 Downlink L1/L2 control signaling . . . . . . . . . . . . . . . . . . . 333
`16.2.5 Downlink multi-antenna transmission . . . . . . . . . . . . . . . . 336
`16.2.6 Multicast/broadcast using MBSFN . . . . . . . . . . . . . .. . . . . 339
`16.3 Uplink transmission scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
`16.3.1 The uplink physical resource . . . . . . . . . . . . . . . . . . . .. . . . . 340
`16.3.2 Uplink reference signals . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 344
`16.3.3 Uplink transport-channel processing . . . . . . . . . . . . . . . . . . 350
`16.3.4 Uplink L1/L2 control signaling . . . . . . . . . . . . . . . . . . . . . . 351
`16.3.5 Uplink timing advance . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 353
`
`357
`17 LTE access procedures
`17.1 Cell search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
`17.1.1 Cell-search procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
`17.1.2 Time/frequency structure of synchronization signals. . . . . 359
`17.1.3 Initial and neighbor-cell search . . . . . . . . . . . . . . . . . .. . . . . 360
`17.2 Random access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
`17.2.1 Step 1: Random access preamble transmission . . . . . . . . . 363
`17.2.2 Step 2: Random access response . . . . . . . . . . . . . . . . . . . . . 367
`17.2.3 Step 3: Terminal identification . . . . . . . . . . . . . . . . . . . . . . . 368
`
`Exhibit 2001-011
`
`

`

`Contents
`
`xi
`
`17.2.4 Step 4: Contention resolution . . . . . . . . . . . . . . . . . . . . . . . . 368
`17.3 Paging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369
`
`371
`
`18 System Architecture Evolution
`18.1 Functional split between radio access network and core
`network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 372
`18.1.1 Functional split between WCDMA/HSPA radio
`access network and core network . . . . . . . . . . . . . . . .. . . . . 372
`18.1.2 Functional split between LTE RAN and core
`network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
`18.2 HSPA/WCDMA and LTE radio access network . . . . . . . . . . . . . . . 374
`18.2.1 WCDMA/HSPA radio access network . . . . . . . . . . . . . . . . 374
`18.2.2 LTE radio access network . . . . . . . . . . . . . . . . . . . . . . . . . . . 380
`18.3 Core network architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 382
`18.3.1 GSM core network used for WCDMA/HSPA . . . . . . . . . . 382
`18.3.2 The ‘SAE’ core network: the Evolved Packet Core . . . . . 386
`18.3.3 WCDMA/HSPA connected to Evolved Packet Core. . . . . 388
`
`Part V: Performance and Concluding Remarks
`
`393
`19 Performance of 3G evolution
`19.1 Performance assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393
`19.1.1 End-user perspective of performance . . . . . . . . . . . . . . . . . 394
`19.1.2 Operator perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
`19.2 Performance evaluation of 3G evolution . . . . . . . . . . . . . . . . . . . . . . 396
`19.2.1 Models and assumptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
`19.2.2 Performance numbers for LTE with 5 MHz
`FDD carriers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
`19.3 Evaluation of LTE in 3GPP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402
`19.3.1 LTE performance requirements . . . . . . . . . . . . . . . . . . . . . . 402
`19.3.2 LTE performance evaluation . . . . . . . . . . . . . . . . . . . . . . . . . 403
`19.3.3 Performance of LTE with 20 MHz FDD carrier . . . . . . . . 404
`19.4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
`
`407
`20 Other wireless communications systems
`20.1 UTRA TDD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407
`20.2 CDMA2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
`20.2.1 CDMA2000 1x . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410
`20.2.2 1x EV-DO Rev 0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
`20.2.3 1x EV-DO Rev A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412
`20.2.4 1x EV-DO Rev B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
`20.2.5 1x EV-DO Rev C (UMB) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414
`20.3 GSM/EDGE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 416
`20.3.1 Objectives for the GSM/EDGE evolution . . . . . . . . . . . . . 416
`
`Exhibit 2001-012
`
`

`

`xii
`
`Contents
`
`20.3.2 Dual-antenna terminals . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 418
`20.3.3 Multi-carrier EDGE. . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 418
`20.3.4 Reduced TTI and fast feedback . . . . . . . . . . . . . . . . . . . . . . 419
`20.3.5 Improved modulation and coding . . . . . . . . . . . . . . . .. . . . . 420
`20.3.6 Higher symbol rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
`20.4 WiMAX (IEEE 802.16) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
`20.4.1 Spectrum, bandwidth options and duplexing
`arrangement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
`20.4.2 Scalable OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
`20.4.3 TDD frame structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
`20.4.4 Modulation, coding and Hybrid ARQ . . . . . . . . . . . . . . . . 424
`20.4.5 Quality-of-service handling . . . . . . . . . . . . . . . . . . . . . . . . . . 425
`20.4.6 Mobility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 426
`20.4.7 Multi-antenna technologies . . . . . . . . . . . . . . . . . . . . . . . . . . 427
`20.4.8 Fractional frequency reuse . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
`20.5 Mobile Broadband Wireless Access (IEEE 802.20) . . . . . . . . . . . . 427
`20.6 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
`
`431
`21 Future evolution
`21.1 IMT-Advanced . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
`21.2 The research community . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 433
`21.3 Standardization bodies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433
`21.4 Concluding remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433
`
`References
`
`Index
`
`435
`
`445
`
`Exhibit 2001-013
`
`

`

`2
`The motives behind the
`3G evolution
`
`Before entering the detailed discussion on technologies being used or
`considered for the evolution of 3G mobile communication, it is important to
`understand the motivation for this evolution: that is, understanding the underlying
`driving forces. This chapter will try to highlight some of the driving forces giving
`the reader an understanding of where the technical requirements and solutions are
`coming from.
`
`2.1 Driving forces
`
`A key factor for success in any business is to understand the forces that will drive
`the business in the future. This is in particular true for the mobile-communication
`industry, where the rapid growth of the number of subscribers and the global pres-
`ence of the technologies have attracted several new players that want to be
`successful. Both new operators and new vendors try to compete with the existing
`operators and vendors by adopting new technologies and standards to provide new
`and existing services better and at a lower cost than earlier systems. The existing
`operators and vendors will, of course, also follow or drive new technologies to
`stay ahead of competition. Thus, there is a key driving force in staying competitive
`or becoming competitive.
`
`the development in areas like digital cam-
`From the technical perspective,
`eras and color displays enables new fancier services than the existing
`mobile-communication services. To be able to provide those services, the mobile-
`communication systems need to be upgraded or even replaced by new mobile-
`communication technologies. Similarly,
`the technical advancement in digital
`processors enables new and more powerful systems that not only can provide
`the new services, but also can provide the existing successful services better and
`
`17
`
`Exhibit 2001-014
`
`

`

`18
`
`3G Evolution: HSPA and LTE for Mobile Broadband
`
`to a lower cost than the dominant mobile-communication technologies of today.
`Thus, the key drivers are:
`• staying competitive;
`• services (better provisioning of old services as well as provisioning of new
`services);
`• cost (more cost-efficient provisioning of old services as well as cost-effective
`provisioning of new services).
`
`The technology advancement is necessary to provide new and more advanced
`services at a reasonable cost as well as to provide existing services in a better and
`more cost-efficient way.
`
`2.1.1 Technology advancements
`
`Technology advancements in many areas make it possible to build devices that
`were not possible 20, 10, or even 5 years ago. Even though Moore’s law1 is
`not a law of physics, it gives an indication of the rapid technology evolution for
`integrated circuits. This evolution enables faster processing/computing in smaller
`devices at lower cost. Similarly, the rapid development of color screens, small
`digital cameras, etc. makes it possible to envisage services to a device that were
`seen as utopia 10 years ago. For an example of the terminal development in the
`past 20 years, see Figure 2.1.
`
`The size and weight of the mobile terminals have been reduced dramatically
`during the past 20 years. The standby and talk times have also been extended dra-
`matically and the end users do not need to re-charge their devices every day. Simple
`
`Figure 2.1 The terminal development has been rapid the past 20 years.
`
`1 Moore’s law is an empirical observation, and states that with the present rate of technological development, the
`complexity of an integrated circuit, with respect to minimum component cost, will double in about 18 months.
`
`Exhibit 2001-015
`
`

`

`The motives behind the 3G evolution
`
`19
`
`black-and-white (or brown-and-gray) numerical screens have evolved into color
`screens capable of showing digital photos at good quality. Mega-pixel-capable
`digital cameras have been added making the device more attractive to use. Thus,
`the mobile device has become a multi-purpose device, not only a mobile phone
`for voice communications.
`
`the mobile-
`In parallel to the technical development of the mobile devices,
`communication technologies are developed to meet the demands of the new
`services enabled, and also to enable them wireless. The develo