The UMTS Long Term Evolution
`F R () fvl T l I E () Ry T () p R 1\ C T I (: r
`
`Edited by: Stefania Sesia • Issam Toufik • Matthew Baker
`
`SECC)Nl) El)ITIC)N
`
`Including Release 10 for LTE-Advanced
`
`~WILEY
`
`Samsung Ex. 1008
`1 of 126
`
`

`

`LTE - The UMTS
`Long Term Evolution
`
`From Theory to Practice
`
`Second Edition
`
`Stefania Sesia
`
`ST-Ericsson, France
`
`Issam Toufik
`
`ETSI, France
`
`Matthew Baker
`
`Alcatel-Lucent, UK
`
`~WILEY
`
`A John Wiley & Sons, Ltd., Publication
`
`Samsung Ex. 1008
`2 of 126
`
`

`

`This edition first published 2011
`© 2011 John Wiley & Sons Ltd.
`
`Registered office
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Su ssex, PO 19 8SQ,
`United Kingdom
`For detail s of our global editorial offices, for customer services and for information about how to apply
`for permi ssion to reuse the copyright material in thi s book please see our website at www.wiley.com.
`The ri g hts of the authors to be identified as the authors of this work have been asserted in accordance
`with the Copyright, Designs and Patents Act 1988.
`All rights reserved . No part of thi s publication may be reproduced, stored in a retrieva l system, or
`transmitted, in any form or by any means, electronic, mechanical , photocopying , recording or
`otherwise, except as permitted by the UK Copyright, Designs and Patents Act 1988, without the prior
`permission of the publi sher.
`Photograph on cover courtesy of Alcatel-Lucent, from the ngConnect LTE-equipped car.
`3GPP website reproduced by permission of© 3GPP™ .
`Wiley also publishes its books in a variety of electronic formats. Some content that appears in print
`may not be available in electronic books.
`Designation s used by companies to distingui sh their products are often cl a imed as trademarks. All
`brand names and product names used in this book are trade names, service mark s, trademarks or
`regi stered trademarks of their respective owners . The publi sher is not associated with any product or
`vendor mentioned in this book. This publication is designed to provide accurate and authoritative
`information in regard to the subject matter covered. It is sold on the understanding that the publisher is
`not engaged in rendering professiona l services. If professional advice or other expert assistance is
`required, the services of a competent profess iona l should be sought.
`Library of Congress Cataloging-in-Publication Data
`
`Sesia, Stefania.
`LTE-the UMTS long term evolution : from theory to practice/ Stefania Sesia, lssam Toufik ,
`Matthew Baker. - 2nd ed.
`p. cm.
`Includes bibliographica l references and index .
`ISBN 978-0-470-66025-6 (hardback)
`l. Universal Mobile Telecommunications System . 2. Long-Term E volution (T elecommunications)
`I. Toufik, lssam . II . Baker, Matthew (Matthew P.J .) Ill . Title.
`TK5103.4883 .S47 2011
`62 l .3845'6-dc22
`
`2010039466
`
`A catalogue record for thi s book is available from the British Library.
`Print ISBN: 9780470660256 (H/B)
`ePDF ISBN : 9780470978511
`oBook ISBN : 9780470978504
`epub ISBN: 9780470978641
`Printed in Great Britain by CPI Antony Rowe, Chippenham , Wiltshire.
`
`Samsung Ex. 1008
`3 of 126
`
`

`

`Contents
`
`
`
`
`Editors’ Biographies
`
`
`
`List of Contributors
`
`
`Foreword
`
`
`
`Preface
`
`
`
`Xxi
`
`xxiii
`
`XXVii
`
`xxix
`
`
`
`1
`
`1.1
`
`Acknowledgements
`
`
`
`List of Acronyms
`
`
`
`
`
`
`
`1
`Introduction and Background
`ThomasSdlzer and Matthew Baker
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`1
`The Context for the Long Term Evolutionof UMTS ..............
`
`
`
`
`
`
`
`1.1.1 Historical Context 2.2... ee 1
`
`
`
`
`
`
`LYEin the Mobile Radio Landscape...............00.
`1.1.2
`
`
`
`
`
`
`
`
`
`1.1.3.
`The Standardization Process in3GPP ............. 0.004
`
`
`
`
`
`7
`1.2 Requirements and Targets for the Long Term Evolution ............,
`
`
`
`
`
`System Performance Requirements ...............-0.4 7
`1.2.1
`
`
`
`
`
`
`
`1.2.2 Deployment Cost and Interoperability ................. 12
`
`
`
`1.3. Technologies for the Long Term Evolution... .............004 14
`
`
`
`
`1.3.1 Multicarrier Technology . 2... 0... ee ee 14
`
`
`
`
`1.3.2 Multiple Antenna Technology ........0...-..0.00004 15
`
`
`
`
`
`Packet-Switched Radio Interface... 0... ee ee 16
`1.3.3
`
`
`
`
`
`
`
`
`1.3.4 User Equipment Categories 2... 0... . 0. ee 17
`
`
`
`
`
`
`From the First LTE Release to LTE-Advanced.
`. 2... ..00..
`1.3.5
`19
`
`1.4 From Theory to Practice 2... 20
`References. 2.0.es 21
`
`XXxi
`
`XXxxiii
`
`2
`5
`
`|
`
`|
`
`Samsung Ex. 1008
`4 of 126
`
`Samsung Ex. 1008
`4 of 126
`
`

`

`viii
`
`
`
`
`
`Part Network Architecture and Protocols
`
`
`
`CONTENTS
`
`23
`
`25
`
`2.3.
`
`
`
`
`
`
`2 Network Architecture
`
`
`
`
`Sudeep Palat and Philippe Godin
`
`
`2.1
`Introduction...2 ee 25
`
`
`
`
`2.2 Overall Architectural Overview. 2... 26
`
`
`
`
`The Core Network .. 2... 0.00.0.0 27
`2.2.1.
`
`
`
`
`2.2.2
`The Access Network .. 0.0.0.0... 30
`
`
`
`Roaming Architecture... 2.0... 2. ee ee 31
`2.2.3
`
`
`Protocol Architecture...0. 32
`
`
`
`
`2.3.1 UserPlane 2... 32
`
`
`
`2.3.2 ControlPlane..2... 33
`
`
`
`
`
`
`
`
`2.4 Quality of Service and EPS Bearers 2... 0 ee 34
`
`
`
`
`Bearer Establishment Procedure ........... 00000 eae 37
`2.4.1
`
`
`
`
`
`
`2.4.2
` Inter-Working with otherRATs ......... 0.0.0.2 0008.4
`38
`
`
`
`
`
`
`
`2.5 The E-UTRAN Network Interfaces: Sl Interface .............-.. 40
`
`
`
`
`
`2.5.1.
`Protocol Structure overS1 2... 0.0.0. 00 2. eee ee 4]
`
`
`
`
`2.5.2
`InitiationoverSl .. 0... ee 43
`
`
`
`
`
`Context ManagementoverS] 2... 0... 0.00. eee ee 43
`2.5.3
`
`
`
`
`
`2.5.4 Bearer ManagementoverSl .........0. 0... 0005 eae 44
`
`
`
`
`PagingoverS] 2... 44
`2.5.5
`
`
`
`
`2.5.6 MobilityoverSl 2... ee 45
`
`
`
`
`
`Load Management overSl... 0... .. 0.0000. 2 eee eee AT
`2.5.7
`
`
`
`Trace Function .. 0...0. 48
`2.5.8
`
`
`
`
`
`2.5.9 Delivery of Warning Messages... 2. 2 ee ee 48
`
`
`
`
`
`
`2.6 The E-UTRAN Network Interfaces: X2 Interface ............... 49
`
`
`
`
`
`2.6.1
`Protocol Structure over X22... 2... ee 49
`
`
`
`
`2.6.2
`InitiationoverX2. 0.00. 49
`
`
`
`
`2.6.3 Mobility overX200. 51
`
`
`
`
`
`
`
`2.6.4
`Load and Interference Management Over X2.............. 54
`
`
`
`
`
`2.6.5 UE Historical Information Over X2 .......0.0. 000002 eee 54
`
`
`2.7)
`Summary .2. 55
`
`References...0 55
`
`
`
`57
`
`
`
`
`3 Control Plane Protocols
`
`
`
`Himke van derVelde
`
`
`3.1
`Introduction...0. 57
`
`
`
`
`
`3.2 Radio Resource Control (RRC)... 2... 58
`
`
`Introduction. 2... 0. ee 58
`3.2.1
`
`
`
`3.2.2
`SystemInformation. ..0... 59
`
`
`
`
`
`3.2.3. Connection Control within LTE .................0.. 63
`
`
`
`
`3.2.4 Connected Mode Inter-RAT Mobility ...............4. 73
`
`
`
`3.2.5 Measurements
`.. 0... ee 75
`
`
`
`
`
`3.2.6 Other RRC Signalling Aspects... 2... 0.0.00... 0000005 78
`
`
`
`
`
`3.3 PLMNandCell Selection... 2... 0. ee 78
`
`Samsung Ex. 1008
`5 of 126
`
`Samsung Ex. 1008
`5 of 126
`
`

`

`CONTENTS
`
`
`
`ix
`
`
`
`3.3.1
`Introduction...0... 78
`
`
`
`PLMN Selection ... 2... 0.0.0. 000 ee ee ee 79
`3.3.2
`
`
`
`3.3.3 CellSelection.
`.2... 719
`
`
`
`
`3.3.4 CellReselection
`.. 2... 0... 80
`
`
`3.4 Paging... ee 84
`
`
`Summary 2... ee 86
`3.5
`
`References.2. ee 86
`
`87
`
`4.1
`
`
`
`
`
`4 User Plane Protocols
`
`
`
`
`
`
`
`
`Patrick Fischer, SeungJune Yi, SungDuck Chun and YoungDae Lee
`
`
`
`
`
`
`
`
`Introduction to the User Plane Protocol Stack ..............000. 87
`
`
`
`
`
`
`
`4.2 Packet Data Convergence Protocol (PDCP) .................. 89
`
`
`
`
`Functions and Architecture... 2... ee 89
`4.2.1
`
`
`
`4.2.2 HeaderCompression .. 2... 90
`
`
`Security. 2... ee ee 92
`4.2.3
`
`
`4.2.4 Handover...0. 93
`
`
`
`
`
`
`4.2.5. Discardof Data Packets ... 2... 0... 000.2 eee eee 95
`
`
`
`4.2.6
`PDCPPDU Formats .........0 0.00.00 000 eee 97
`
`
`
`
`
`4.3 Radio Link Control (RLC) 2... 0.0.00. 000. ee 98
`
`
`
`RLCEntities ... 2... 0. ee 99
`4.3.1
`
`
`
`4.3.2 RLCPDU Formats... 0... 0.00.00. 2 ee es 105
`
`
`
`
`4.4 Medium Access Control (MAC) 2... 0.0.0.0. 108
`
`
`4.4.1 MAC Architecture 2... 0.2 108
`
`
`44.2 MAC Functions...
`.0... 111
`
`
`
`
`
`
`4.5
`Summary of the User Plane Protocols ............- 0.0000 120
`References. 0.0 120
`
`
`
`
`
`Part If Physical Layer for Downlink
`
`
`
`121
`
`
`
`123
`
`
`
`
`
`
`
`5 Orthogonal Frequency Division Multiple Access (OFDMA)
`
`
`
`
`
`
`
`
`Andrea Ancora, Issam Toufik, Andreas Bury and Dirk Slock
`
`5.1. Introduction... ee 123
`
`
`
`
`5.1.1 History of OFDM Development .......0........2.000. 124
`
`5.2 OFDM...1... 125
`
`
`
`5.2.1. Orthogonal Multiplexing Principle... .......2.....0.. 125
`
`
`
`
`
`
`
`
`
`5.2.2
`Peak-to-Average PowerRatio and Sensitivity to Non-Linearity ... . 131
`
`
`
`
`
`
`
`
`
`Sensitivity to Carrier Frequency Offset and Time-Varying Channels
`. 133
`5.2.3
`
`
`
`
`
`
`Timing Offset and Cyclic Prefix Dimensioning ............ 135
`5.2.4
`
`5.3 OFDMA... 2... ee 137
`
`
`5.4
`Parameter Dimensioning .......... 0.00000 eee ee eee 139
`
`
`
`
`
`Physical Layer Parameters forLTE ..............000. 140
`5.4.1
`
`Summary2... 142
`5.5
`References.2... 142
`
`Samsung Ex. 1008
`6 of 126
`
`Samsung Ex. 1008
`6 of 126
`
`

`

`CONTENTS
`
`
`
`
`
`
`
`
`Introduction to Downlink Physical Layer Design
`
`Matthew Baker
`
`6.1
`Introduction. 2... ee 145
`
`
`
`6.2 Transmission Resource Structure. 2... 145
`
`
`Signal Structure... 148
`6.3
`
`
`
`
`6.4
`Introduction to Downlink Operation 2... 0. ee 149
`References.2. 150
`
`145
`
`
`
`X 6
`
`
`
`
`
`
`7 Synchronization and Cell Search
`
`
`
`
`Fabrizio Tomatis and Stefania Sesia
`
`7.1 Introduction...ee 151
`
`
`
`
`
`
`
`7.2
`Synchronization Sequences and Cell Searchin LTE 1... .......00.0. 15]
`
`
` Zadoff-Chu Sequences... 2... 0.0.0 2 ee 155
`7.2.1
`
`
`
`
`
`7.2.2
`Primary Synchronization Signal (PSS) Sequences. .......... 157
`
`
`
`
`
`Secondary Synchronization Signal (SSS) Sequences ........, 158
`7.2.3,
`
`
`
`
`7.3 Coherent Versus Non-Coherent Detection .......... 0.0.0 0000.4 161
`References.0. 163
`
`151
`
`165
`
`
`
`
`
`
`
`8 Reference Signals and Channel Estimation
`
`
`
`
`
`
`Andrea Ancora, Stefania Sesia and Alex Gorokhov
`
`8.1
`Introduction.2... 165
`
`
`
`
`
`
`
`
`8.2 Design of Reference Signals in the LTE Downlink. ..........0.0..0. 167
`
`
`
`Cell-Specific Reference Signals ...............-.-0004 168
`8.2.1
`
`
`
`
`
`
`8.2.2 UE-Specific Reference Signals in Release8 ...........02.. 17]
`
`
`
`
`
`
`8.2.3. UE-Specific Reference Signals in Release9............00,4 17]
`
`
`
`
`
`8.3 RS-Aided Channel Modelling and Estimation ................. 174
`
`
`
`
`
`
`
`Time-Frequency-Domain Correlation: The WSSUS Channel Model
`. 175
`8.3.1
`
`
`
`
`
`8.3.2
`Spatial-Domain Correlation: The Kronecker Model... ....... 176
`
`
`Frequency-Domain Channel Estimation .... 0.0.0... 00000008. 178
`
`
`
`Channel Estimate Interpolation... 2... ..0..2.0 2.00000. 178
`8.4.1
`
`
`
`
`
`
`8.4.2 General Approach to Linear Channel Estimation ........... 179
`
`
`Performance Comparison... 0... 180
`8.4.3.
`
`
`
`8.5 Time-Domain Channel Estimation... 2.2.0.0... 0.00000 0004 181
`
`
`
`
`
`Finite and Infinite Length MMSE ...........00-. 0000.4 182
`8.5.1
`
`
`8.5.2 Normalized Least-Mean-Square .......0.... 00000008. 184
`
`
`
`Spatial-Domain Channel Estimation... 0.0.0.0. ee ee 184
`8.6
`
`
`8.7 Advanced Techniques...
`. 0... ee 185
`References. 2... ee 186
`
`
`
`8.4
`
`
`
`
`
`
`
`9 Downlink Physical Data and Control Channels
`
`
`
`
`MatthewBaker and Tim Moulsley
`
`9.1 Introduction... 189
`
`
`
`9,2 Downlink Data-Transporting Channels... 2. ee 189
`
`
`
`
`Physical Broadcast Channel (PBCH)..............000. 189
`9.2.1
`
`
`
`
`
`9.2.2
`Physical Downlink Shared CHannel (PDSCH)............. 192
`
`189
`
`
`
`SamsungEx. 1008
`7 of 126
`
`Samsung Ex. 1008
`7 of 126
`
`

`

`CONTENTS
`
`
`
`xi
`
`
`
`
`
`9.2.3.
`Physical Multicast Channel (PMCH).................. 196
`
`
`
`
`9.3. Downlink Control Channels
`. 2... 2... ee 196
`
`
`
`
`
`Requirements for Control Channel Design... ............ 196
`9.3.1
`
`
`
`9.3.2 Control Channel Structure .. 2... 198
`
`
`
`
`
`
`Physical Control Format Indicator CHannel (PCFICH) ........ 198
`9.3.3.
`
`
`
`
`
`
`9.3.4
`Physical Hybrid ARQ Indicator Channel (PHICH) .......... 200
`
`
`
`
`
`Physical Downlink Control CHannel (PDCCH) ............ 202
`9.3.5
`
`
`
`PDCCH Scheduling Process... 0... 212
`9.3.6
`References.
`20. 214
`
`215
`
`
`
`
`
`
`
`10 Link Adaptation and Channel Coding
`
`
`
`
`
`
`
`
`Brian Classon, Ajit Nimbalker, Stefania Sesia and Issam Toufik
`
`10.1 Introduction... 2... ee ee 215
`
`
`
`
`
`10.2 Link Adaptation and CQI Feedback .............. 00000004 217
`
`
`
`
`10.2.1 CQI FeedbackinLTE ....... 0... 0.0.00. eee eee 218
`
`
`10.3 Channel Coding...2. 223
`
`
`
`
`
`10.3.1 Theoretical Aspects of Channel Coding ................ 223
`
`
`
`
`
`
`
`10.3.2 Channel Coding for Data Channelsin LTE .............. 232
`
`
`
`
`
`
`
`10.3.3. Channel Coding for Control Channelsin LTE .. 2... 0.0000. 244
`
`10.4 Conclusions... ee ee 245
`References. 2... ee 246
`
`249
`
`
`
`
`
`11 Multiple Antenna Techniques
`
`
`
`
`
`
`
`
`
`
`Thomas Salzer, David Gesbert, Cornelius van Rensburg, Filippo Tosato, Florian
`
`
`
`Kaltenberger and Tetsushi Abe
`
`
`
`
`
`11.1 Fundamentals of Multiple Antenna Theory... ........0.... 0004 249
`
`11.1.1 Overview... ee 249
`
`
`
`11.1.2 MIMO Signal Model... 2... 2... ee 252
`
`
`
`11.1.3. Single-User MIMO Techniques ...............0000. 253
`
`
`
`11.1.4 Multi-User MIMO Techniques... ......0.0. 0.2004 ee 258
`
`
`
`
`11.2 MIMOSchemesinLTE...........0.. 0.00000 0b eee eee 262
`
`
`11.2.1 Practical Considerations ............0..... 000040. 263
`
`
`11.2.2 Single-User Schemes...
`. 2.0.0.0... . 000000. eee eee 264
`
`
`11.2.3. Multi-User MIMO .......0.0.02020.0 00.020 274
`
`
`11.2.4 MIMO Performance ..... 0.0... 0.0002 pee ee eee 276
`
`11.3 Summary . 2... ee 276
`References.2... 277
`
`
`
`
`
`
`12 Multi-User Scheduling and Interference Coordination
`
`
`
`
`Issam Toufik and Raymond Knopp
`
`12.1 Introduction...2... 279
`
`
`
`
`
`
`12.2 General Considerations for Resource Allocation Strategies .......... 280
`
`
`12.3 Scheduling Algorithms .. 0.0...0. 283
`
`
`12.3.1 Ergodic Capacity .. 0... ee 283
`
`
`12.3.2 Delay-Limited Capacity .. 2... 0... es 285
`
`279
`
`
`
`Samsung Ex. 1008
`8 of 126
`
`Samsung Ex. 1008
`8 of 126
`
`

`

`xii
`
`CONTENTS
`
`293
`
`
`
`
`
`
`
`12.4 Considerations for Resource Schedulingin LTE... ...........0.. 286
`
`
`
`
`
`12.5 Interference Coordination and Frequency Reuse... .........0004 287
`
`
`
`
`
`
`12.5.1 Inter-eNodeB Signalling to Support Downlink Frequency-Domain
`
`
`ICICinLTE 2... 290
`
`
`
`
`
`
`12.5.2 Inter-eNodeB Signalling to Support Uplink Frequency-Domain
`
`
`IClCinLTE 2... 290
`
`
`
`
`12.5.3 Static versus Semi-StaticICIC .. 1. ee 291
`
`12.6 Summary .2... 291
`References... 292
`
`
`
`13 Broadcast Operation
`
`
`
`
`
`
`
`
`Himke van der Velde, Olivier Hus and Matthew Baker
`
`13.1 Introduction©... 293
`
`
`13.2 Broadcast Modes ..2... 293
`
`
`
`13.3. Overall MBMS Architecture 2... ee 295
`
`
`13.3.1 Reference Architecture...
`. 2... 0... ee 295
`
`
`13.3.2 Content Provision.2... 295
`
`
`13.3.3 Core Network.2... 296
`
`
`
`
`
`
`
`13.3.4 Radio Access Network — E-UTRAN/UTRAN/GERAN and UE .. . 296
`
`
`13.3.5 MBMS Interfaces... 2... 0.0.00 .0000 02 ee 297
`
`
`
`
`
`13.4 MBMSSingle Frequency Network Transmission .............0.4 297
`
`
`
`13.4.1 Physical Layer Aspects... 0. ee 297
`
`
`13.4.2 MBSFN Areas 2... ee 301
`
`
`13.5 MBMS Characteristics 2...0 303
`
`
`13.5.1 Mobility Support... 0. ee 303
`
`
`
`
`
`13.5.2 UE Capabilities and Service Prioritization... ...........-. 303
`
`
`
`
`
`
`13.6 Radio Access Protocol Architecture and Signalling .............. 304
`
`
`13.6.1 Protocol Architecture. 2... ee ee 304
`
`
`
`
`13.6.2 Session Start Signalling 2... 0... ee 305
`
`
`
`
`
`
`13.6.3 Radio Resource Control (RRC) Signalling Aspects .......... 306
`
`
`13.6.4 Content Synchronization... 2... 0200.00.00 02 eee 308
`
`
`
`13.6.5 Counting Procedure 2... 0. ee 310
`
`
`
`
`13.7 Public Warning Systems 2... 1. ee 312
`
`
`
`
`
`13.8 Comparison of Mobile Broadcast Modes... 2... 0.0... ee ee 312
`
`
`
`
`13.8.1 Delivery by Cellular Networks... 0.000000... 00 000004 312
`
`
`
`
`13.8.2 Delivery by Broadcast Networks... 2.0.00... 00000004 313
`
`
`
`13.8.3. Servicesand Applications
`. 0... ee 313
`References2. 314
`
`Part 1=Physical Layer for Uplink 315
`
`
`
`
`
`
`
`
`
`
`
`
`14 Uplink Physical Layer Design
`
`
`
`
`Robert Love and Vijay Nangia
`
`14.) Introduction... 317
`
`
`14.2 SC-FDMAPrinciples... 318
`
`317
`
`Samsung Ex. 1008
`9 of 126
`
`Samsung Ex. 1008
`9 of 126
`
`

`

`CONTENTS
`
`
`
`xiii
`
`
`
`
`14.2.1
`SC-FDMATransmission Structure... 2... ..2.-0.0..0.0000.4 318
`
`
`
`14.2.2 Time-Domain Signal Generation... ............20004 318
`
`
`
`
`14.2.3. Frequency-Domain Signal Generation (DFT-S-OFDM)........ 320
`
`
`
`
`14.3 SC-FDMA DesigninLTE .........0. 0.000.000.0000 000 G 32]
`
`
`
`
`14.3.1 Transmit Processing forLTE.. 2.0... ....0.0 0.0.20 000. 321
`
`
`
`
`14.3.2 SC-FDMA Parameters forLTE ............... 2.2000. 322
`
`
`
`
`14.3.3. dic. Subcarrier in SC-FDMA .................000.0. 324
`
`
`14.3.4 Pulse Shaping...2... 324
`
`14.4 Summary2... 325
`References.2. 326
`
`18
`
`
`
`327
`
`
`
`
`Uplink Reference Signals
`
`
`
`
`Robert Love and Vijay Nangia
`
`15.1 Introduction...2... 327
`
`
`
`
`
`.. 2... 0.0000 0.000000 000. 328
`15.2 RS Signal Sequence Generation
`
`
`
`
`
`
`15.2.1 Base RS Sequences and Sequence Grouping. ............. 330
`
`
`
`
`
`
`
`
`15.2.2 Orthogonal RS via Cyclic Time-Shifts of a Base Sequence ..... . 330
`
`
`
`
`15.3 Sequence-Group Hopping and Planning ................0004 332
`
`
`15.3.1 Sequence-Group Hopping ..............2. 0.0.00 004 332
`
`
`15.3.2 Sequence-Group Planning ....... 0.000... eee eee 333
`
`
`
`15.4 Cyclic Shift Hopping .. 2... ee en 333
`
`
`
`
`
`15.5 Demodulation Reference Signals (DM-RS) ..............000. 335
`
`
`
`
`
`15.6 Uplink Sounding Reference Signals (SRS)... ...0.000..0..00004 337
`
`
`
`
`
`15.6.1 SRS Subframe Configuration and Position. .............. 337
`
`
`
`
`
`
`15.6.2 Duration and Periodicity of SRS Transmissions ............ 337
`
`
`
`15.6.3 SRS Symbol Structure... 2.0... ee ee ee 2 338
`
`15.7 Summary .2... 340
`References.0. 34]
`
`16
`
`
`
`
`
`343
`
`
`
`
`Uplink Physical Channel Structure
`
`
`
`
`Robert Love and Vijay Nangia
`
`16.1 Introduction...2. ee 343
`
`
`
`
`
`
`16.2 Physical Uplink Shared Data Channel Structure ................ 344
`
`
`
`16.2.1 SchedulingonPUSCH ........0.0 02.20.00... ee eee 345
`
`
`
`
`16.2.2. PUSCH Transport Block Sizes...0. 347
`
`
`
`
`
`16.3 Uplink Control Channel Design
`. 2... 0... ee ee 348
`
`
`
`
`
`
`16.3.1 Physical Uplink Control Channel (PUCCH) Structure... ...... 348
`
`
`
`
`
`
`
`
`
`16.3.2 Types of Control Signalling Information and PUCCH Formats .. .
`. 352
`
`
`
`
`
`
`
`
`16.3.3 Channel State Information Transmission on PUCCH (Format 2)
`.
`.
`. 353
`
`
`
`
`
`
`
`
`
`
`
`16.3.4 Multiplexing of CSI and HARQ ACK/NACKfrom a UE on PUCCH 355
`
`
`
`
`
`
`
`
`16.3.5 HARQ ACK/NACKTransmission on PUCCH (Format la/Ib)
`. 356
`.
`.
`.
`
`
`
`
`
`
`
`
`
`
`16.3.6 Multiplexing of CSI and HARQ ACK/NACKin the Same (Mixed)
`
`PUCCHRB.2... 363
`
`
`
`
`
`
`
`
`
`16.3.7 Scheduling Request (SR) Transmission on PUCCH (Format 1).
`. 363
`.
`.
`
`
`
`
`
`
`
`
`
`16.4 Multiplexing of Control Signalling and UL-SCH Dataon PUSCH ...... 365
`
`
`16.5 ACK/NACK Repetition. 2... ee 367
`
`SamsungEx. 1008
`10 of 126
`
`Samsung Ex. 1008
`10 of 126
`
`

`

`XIV
`
`CONTENTS
`
`371
`
`
`
`
`16.6 Multiple-Antenna Techniques 2...0 367
`
`
`
`
`16.6.1 Closed-Loop Switched Antenna Diversity... ......--+..-. 367
`
`
`
`
`
`16.6.2 Multi-User ‘Virtual’ MIMO or SDMA... 2.0... ee eee 368
`
`16.7 Summary ..2... 369
`References.
`66. 369
`
`
`
`17 Random Access
`
`
`
`
`Pierre Bertrand and Jing Jiang
`
`17.1 Introduction... 371
`
`
`
`
`
`
`
`17.2 Random Access Usage and Requirementsin LTE ..............4.4 371
`
`
`
`17.3 Random Access Procedure... 1... 372
`
`
`
`
`17.3.1 Contention-Based Random Access Procedure... .......... 373
`
`
`
`
`17.3.2 Contention-Free Random Access Procedure... .......0.0.0, 376
`
`
`
`
`
`17.4 Physical Random Access Channel Design .. 2... 2.0 ee ee ee 376
`
`
`
`
`
`
`
`17.4.1 Multiplexing of PRACH with PUSCH and PUCCH.......... 376
`
`
`
`17.4.2 The PRACH Structure... 0... ee 377
`
`
`
`
`
`17.4.3 Preamble Sequence Theory and Design ............004. 385
`
`
`17.5 PRACH Implementation .. 0... 2.000.002. 20 eee eee eee 396
`
`
`17.5.1 UE Transmitter...0. 397
`
`
`
`17.5.2 eNodeB PRACH Receiver 2...0. 398
`
`
`
`
`
`17.6 Time Division Duplex (TDD) PRACH . 2... 2. ee es 404
`
`
`
`17.6.1 Preamble Format4 .. 2...2 404
`
`
`17.7 Concluding Remarks
`..2.0 405
`References. 2... ee 406
`
`
`
`
`18 Uplink Transmission Procedures
`
`Matthew Baker
`
`18.1 Introduction... 0... ee 407
`
`
`
`18.2 Uplink Timing Control 2. ee 407
`
`18.2.1 Overview... 407
`
`
`
`18.2.2 Timing Advance Procedure... 0... ee 408
`
`
`18.3 PowerControl.2... 411
`
`18.3.1 Overview .0. All
`
`
`
`
`18.3.2 Detailed Power Control Behaviour... 0... ee A412
`
`
`
`
`18.3.3 UE Power Headroom Reporting .............. 00000, 419
`
`
`
`
`
`
`18.3.4 Summary of Uplink Power Control Strategies... 00. ee, 420
`References... ee 420
`
`407
`
`
`
`
`
`
`Part IV Practical Deployment Aspects
`
`
`
`
`19 User Equipment Positioning
`
`
`
`
`Karri Ranta-aho and Zukang Shen
`
`19.1 Introduction... 423
`
`
`
`
`
`
`
`19.2 Assisted Global Navigation Satellite System (A-GNSS) Positioning ..... 425
`
`
`
`
`
`
`
`19.3 Observed Time Difference Of Arrival (OTDOA) Positioning ......... 426
`
`421
`
`A23
`
`Samsung Ex. 1008
`11 of 126
`
`Samsung Ex. 1008
`11 of 126
`
`

`

`CONTENTS
`
`XV
`
`
`
`
`
`
`19.3.1 Positioning Reference Signals (PRS) ...............4. 427
`
`
`
`
`
`19.3.2 OTDOA Performance and Practical Considerations .......... 430
`
`
`
`19.4 Cell-[D-based Positioning
`. 2... 0.0... 2 ee 431
`
`
`
`19.4.1 Basic CID Positioning .. 2... 0.0. eee 431
`
`
`
`
`
`
`
`
`
`
`19.4.2 Enhanced CID Positioning using Round Trip Time and UE Receive
`
`Level Measurements .. 2.... 431
`
`
`
`
`
`
`
`
`
`
`19.4.3 Enhanced CID Positioning using Round Trip Time and Angle of
`
`Arrival2 432
`
`
`
`
`19.5 LTE Positioning Protocols
`. 2... 0... ee 433
`
`
`
`
`19.6 Summary and Future Techniques... 2... ee ee es 435
`References. 2.
`00 436
`
`20
`
`
`
`
`
`437
`
`
`
`
`The Radio Propagation Environment
`
`
`
`
`Juha Ylitalo and Tommi Jdmsda
`
`20.1 Introduction...0. ee 437
`
`
`
`
`
`20.2 SISO and SIMO Channel Models... 2... 2 ee 438
`
`
`
`
`20.2.1 ITU Channel Model
`.. 1.0... 0... ee ee 439
`
`
`
`
`20.2.2 3GPP Channel Model
`... 2... ee 440
`
`
`
`20.2.3 ExtendedITU Models ............. 2.0.0.0 0000005 440
`
`
`
`20.3 MIMO Channel Models... 0...2 44]
`
`
`
`20.3.1 SCM Channel Model... ........2..0.. 0.00000 ee 442
`
`
`
`20.3.2 SCM-Extension Channel Model... 0.0... ..... 00.000. 444
`
`
`20.3.3 WINNER Model... 0... ee 445
`
`
`
`20.3.4 LTE Evaluation Model ..... 0.0.0.0... 0000002 ee eae 446
`
`
`
`
`
`
`20.3.5 Extended ITU Models with Spatial Correlation ............ 448
`
`
`
`
`
`
`20.3.6 ITU Channel Models forIMT-Advanced ............0.. 449
`
`
`
`
`
`20.3.7 Comparison of MIMO Channel Models ..............0.. 453
`
`
`
`
`
`
`20.4 Radio Channel Implementation for Conformance Testing ........... 454
`
`
`
`
`20.4.1 Performance and Conformance Testing ..............0.. 454
`
`
`
`20.4.2 Future Testing Challenges ... 2... 0... ee ee 454
`
`
`20.5 Concluding Remarks .. 0...0 ee 455
`References.
`20. ee 455
`
`21
`
`
`
`457
`
`
`
`
`Radio Frequency Aspects
`
`
`
`
`
`
`
`
`
`
`Moray Rumney, Takaharu Nakamura, Stefania Sesia, Tony Sayers and Adrian Payne
`
`21.1 Introduction... 457
`
`
`
`
`21.2 Frequency Bands and Arrangements... 2... ee es 459
`
`
`
`21.3 Transmitter RF Requirements... 2... ee 462
`
`
`
`
`
`21.3.1 Requirements for the Intended Transmissions ............. 462
`
`
`
`
`21.3.2 Requirements for Unwanted Emissions ............-00.4 467
`
`
`
`21.3.3 Power Amplifier Considerations .............0-.. 00004 47]
`
`
`
`21.4 Receiver RF Requirements .... 2.0.0.0... 2000 cee ee eee 474
`
`
`
`21.4.1 Receiver General Requirements
`.. 2.0.0... 0.0. e eeu 474
`
`
`
`21.4.2 Transmit Signal Leakage... . 0... ee 475
`
`
`
`21.4.3 Maximum InputLevel ...........0. 00.0000. 0000. 477
`
`
`
`21.4.4 Small Signal Requirements... ... 0.0.0.0... 00 eee 478
`
`SamsungEx. 1008
`12 of 126
`
`Samsung Ex. 1008
`12 of 126
`
`

`

`
`
`XVi
`
`CONTENTS
`
`503
`
`
`
`
`
`21.4.5 Selectivity and Blocking Specifications ...........02040. 482
`
`
`21.4.6 Spurious Emissions...1... 488
`
`
`21.4.7 Intermodulation Requirements... 2... 2... pee ee ee 489
`
`
`21.4.8 Dynamic Range...0... 49]
`
`
`21.5 RFImpairments. 2... 0.0 ee 492
`
`
`
`21.5.1 Transmitter RF Impairments... 0... 0.0... ee ee ee 492
`
`
`
`
`
`
`21.5.2 Model ofthe Main RF Impairments ...............0..0. 495
`
`21.6 Summary2... 500
`References. 6... ee 501
`
`
`
`Radio Resource Management
`
`Muhammad Kazmi
`
`22.1 Introduction... 503
`
`
`
`22,2 Cell Search Performance .2... 505
`
`
`
`
`22.2.1 Cell Search within E-UTRAN .........0. 0.000002 505
`
`
`
`
`
`
`
`22.2.2, E-UTRANto E-UTRANCell Global Identifier Reporting
`Requirements .0... 509
`
`
`
`
`
`22.2.3 E-UTRAN to UTRAN Cell Search. 2. 2 ee, 510
`
`
`
`
`
`22.2.4 E-UTRAN to GSM Cell Search » 2... ee 511
`
`
`
`
`22.2.5 Enhanced Inter-RAT Measurement Requirements ........... 512
`
`
`22.3 Mobility Measurements...2... 513
`
`
`22.3.1 E-UTRAN Measurements .......0..-. 00002 eee eae 513
`
`
`
`22.3.2 UTRAN Measurements
`.. 0...0. 514
`
`
`
`
`
`22.3.3 GSM Measurements: GSM Carrier RSSE .. 2... 516
`
`
`
`22.3.4 CDMA2000 Measurements 2.0... ee 516
`
`
`
`
`
`
`22.4 UE Measurement Reporting Mechanisms and Requirements ......... 516
`
`
`
`
`
`22.4.1 E-UTRAN EventTriggered Reporting Requirements ......... 517
`
`
`
`22.4.2 Inter-RAT Event-Triggered Reporting ... 0.0.0... ..0.005 517
`
`
`22.5 Mobility Performance... 0. ee ee OB
`
`
`
`
`
`22.5.1 Mobility Performance in RRC_IDLE State .............. 518
`
`
`
`
`
`22.5.2 Mobility Performance in RRC_CONNECTEDState ......... 522
`
`
`
`
`
`22.6 RRC Connection Mobility Control Performance... 2... ..0...0.000. 525
`
`
`
`
`22.6.1 RRC Connection Re-establishment .............0.000. 525
`
`
`22.6.2 Random Access... 1.0 525
`
`
`
`
`22.7 Radio Link Monitoring Performance .. 2... 0.0. 000 eee eee 526
`
`
`
`
`In-syne and Out-of-syne Thresholds ........0......008. 526
`22.7.1
`
`
`
`22.7.2 Requirements without DRX 2... 2... ee ee 527
`
`
`
`22.7.3 Requirements withDRX .... 0.00000. ee ee 527
`
`
`
`22.7.4 Requirements during Transitions... ......0...0.-..0000., 527
`
`
`22.8 Concluding Remarks
`..1... 528
`20 529
`References.
`
`
`
`
`Paired and Unpaired Spectrum
`
`Nicholas Anderson
`
`23.1 Introduction... 53]
`
`
`23.2 Duplex Modes...0. ee 532
`
`531
`
`
`
`22
`
`
`
`23
`
`Samsung Ex. 1008
`13 of 126
`
`Samsung Ex. 1008
`13 of 126
`
`

`

`
`
`
`
`24
`
`
`
`25
`
`CONTENTS
`
`
`
`
`
`
`
`
`
`23.3 Interference Issues in Unpaired Spectrum ..............20004 533
`
`
`
`
`23.3.1 Adjacent Carrier Interference Scenarios .. 2... 0-0... ee 535
`
`
`
`
`23.3.2 Summary of Interference Scenarios ...............04.4 543
`
`
`
`
`23.4 Half-Duplex System Design Aspects... ................... 544
`
`
`
`
`23.4.1 Accommodation of Transmit-Receive Switching ........... 544
`
`
`
`
`
`
`
`23.4.2 Coexistence between Dissimilar Systems ............-.., 547
`
`
`
`
`
`
`23.4.3, HARQ and Control Signalling for TDD Operation .......... 548
`
`23.4.4 Half-Duplex FDD (HD-FDD) Physical Layer Operation ....... 551
`
`
`
`23.5 Reciprocity2... 552
`
`
`
`
`23.5.1 Conditions for Reciprocity .. 2... ee 554
`
`
`
`
`23.5.2 Applications of Reciprocity .................0000. 558
`23.5.3. Summary of Reciprocity Considerations... 2... 0.000000. 561
`References.0. 562
`
`
`
`
`
`
`Picocellis, Femtocells and Home eNodeBs
`
`
`
`Philippe Godin and Nick Whinnett
`
`
`
`
`
`24.1 Introduction... 563
`24.2 Home eNodeB Architecture
`.. 2... 0... 564
`
`
`
`24.2.1 Architecture Overview . 2... ee 564
`
`
`24.2.2 Functionalities 2... 565
`
`
`
`
`24.2.3 Mobility 2.2...0. 566
`
`
`
`
`
`24.2.4 Local IP Access Support... 2. 2 ee 568
`
`
`24.3 Interference Management for Femtocell Deployment ............. 569
`
`
`
`
`24.3.1 Interference Scenarios
`. 2... 570
`24.3.2 Network Listen Mode ...... 2.0... 0000 eee eee 574
`
`
`
`
`
`
`
`24.4 RF Requirements for Small Cells... 2.0 ee ee 574
`
`
`24.4.1 Transmitter Specifications ... 0.0... ee ee 575
`
`
`
`24.4.2 Receiver Specifications. 2... ee 576
`
`
`
`
`
`24.4.3 Demodulation Performance Requirements. ..............578
`24.4.4 Time Synchronization for TDD Operation... .........00. 579
`
`24.55 Summary ..0. 580
`References...0. 580
`
`
`Self-Optimizing Networks
`
`Philippe Godin
`
`
`
`
`
`
`25.1 Introduction...0. 58]
`
`25.2 Automatic Neighbour Relation Function(ANRF) ........0.....40., 582
`
`
`
`
`
`
`25.2.1 Inta-LTEANRF ... 2... 0... ee ee ee. S82
`
`
`
`
`25.2.2 Automatic Neighbour Relation Table ...............0.., 583
`. 1... 0... ee ee 583
`25.2.3 Inter-RATor Inter-Frequency ANRF.
`
`
`
`
`
`
`
`
`
`
`25.3 Self-Configuration of eCNodeB and MME... 2... 2. ee 584
`
`
`
`
`
`
`
`25.3.1 Self-Configuration of eCNodeB/MMEover Sl... ......0.004 585
`
`
`
`
`
`
`25.3.2 Self-Configuration of IP address and X2 interface... .....0.. 585
`25.4 Automatic Configuration of Physical Cell Identity... ......0.004., 587
`
`
`
`
`25.5 Mobility Load Balancing Optimization... 2.2... 0... ....0 0040. 587
`
`581
`
`xvii
`
`563
`
`SamsungEx. 1008
`14 of 126
`
`Samsung Ex. 1008
`14 of 126
`
`

`

`XViii
`
`CONTENTS
`
`
`
`
`.. 1... ee 588
`25.5.1 Intra-LTE Load Exchange
`
`
`
`
`25.5.2 Intra-LTE Handover Parameter Optimization ...........-- 589
`
`
`
`25.5.3 Inter-RAT Load Exchange ... 2... 0 ee ee 590
`
`
`
`
`
`25.5.4 Enhanced Inter-RAT Load Exchange .......... 000004 - 590
`
`
`
`25.6 Mobility Robustness Optimization©... 591
`
`
`25.6.1 Too-Late Handover...0... 59]
`
`
`
`25.6.2 Coverage Hole Detection... 6... 0. ee 591
`
`
`25.6.3 Too-Early Handover... 1... ee 592
`
`
`
`
`
`25.6.4 Handoverto an Inappropriate Cell ©.0 592
`
`
`
`25.6.5 MRO Verdict Improvement... 2... ee 593
`
`
`
`
`
`25.6.6 Handover to an Unprepared Cell 2... 2. ee es 594
`
`
`
`
`.. 2... 0... 0.2 ee eeee 594
`25.6.7 Unnecessary Inter-RAT Handovers
`
`
`
`
`
`
`25.6.8 Potential Remedies for Identified Mobility Problems ......... 595
`
`
`
`
`
`25.7 Random Access CHannel (RACH) Self-Optimization ............. 595
`
`
`25.8 Energy Saving.6. 596
`
`
`
`
`
`25.9 Emerging New SON Use Cases...0 597
`References.6... 598
`
`
`
`599
`
`
`
`
`26 LTE System Performance
`
`Tetsushi Abe
`
`26.1 Introduction...2. ee 599
`
`
`
`
`
`
`26.2 Factors Contributing to LTE System Capacity ................. 599
`
`
`
`. 2... 1 ee 600
`26.2.1 Multiple Access Techniques
`
`
`
`
`
`26.2.2 Frequency Reuse and Interference Management. ........... 600
`
`
`
`
`26.2.3 Multiple Antenna Techniques
`.. 1... 0 ee ee 601
`
`
`
`26.2.4 Semi-Persistent Scheduling 2.2... 0. ee ee ee 601
`
`
`
`
`
`
`
`
`
`26.2.5 Short Subframe Duration and Low HARQ Round Trip Time... .
`. 602
`
`
`26.2.6 Advanced Receivers 2... 602
`
`
`
`
`26.2.7 Layer 1 and Layer 2 Overhead... 1... ee 602
`
`
`
`26.3 LTE Capacity Evaluation 2... ee 603
`
`
`
`
`
`26.3.1 Downlink and Uplink Spectral Efficiency ...........004. 605
`
`
`
`26.3.2 VoIP Capacity 2... 608
`
`
`
`
`
`
`26.4 LTE Coverage and Link Budget 2... ee ee ees 608
`
`26.5 Summary . 6... ee 610
`References... 611
`
`
`Part V LTE-Advanced
`
`
`
`613
`
`
`
`
`
`
`27 Datroduction to LTE-Advanced
`
`Dirk Gerstenberger
`
`
`
`27.1 Introduction and Requirements... 0.6 615
`
`
`
`
`
`
`
`27.2. Overview of the Main Features of LTE-Advanced .........--2.4.. 618
`
`
`27.3 Backward Compatibility 2...0 619
`
`
`27.4 Deployment Aspects 2...0. 620
`
`
`
`
`27.5 UE Categories for LTE-Advanced 2.0... 0 ee ee 621
`
`615
`
`Samsung Ex. 1008
`15 of 126
`
`Samsung Ex. 1008
`15 of 126
`
`

`

`CONTENTS
`
`
`
`xix
`
`References.2... 622
`
`
`
`623
`
`
`
`28 Carrier Aggregation
`
`
`
`
`Juan Montojo and Jelena Damnjanovic
`
`28.1 Introduction... 623
`
`
`
`
`
`... 0... 0.00.2... 0000008 624
`28.2 Protocols for Carrier Aggregation
`
`
`
`
`
`
`
`
`28.2.1 Initial Acquisition, Connection Establishment and CC Management
`. 624
`
`
`
`28.2.2 Measurements and Mobility ...............000000. 625
`
`
`
`28.2.3 User Plane Protocols .. 0... ee 628
`
`
`
`28.3 Physical Layer Aspects... ee 631
`
`
`
`28.3.1 Downlink Control Signalling. 2... 0.0.0.0... ....0. 2000. 63]
`
`
`
`28.3.2 Uplink Control Signalling 2... 0... 0.0.00 000000 2G 636
`
`
`
`28.3.3 Sounding Reference Signals ........0..0..000-0-0 00008 642
`
`
`
`28.3.4 Uplink Timing Advance
`. 0... ee 642
`
`
`
`. 2... 2. ee ee 642
`28.3.5 Uplink Power Control
`
`
`
`
`
`28.3.6 Uplink Multiple Access Scheme Enhancements ............ 644
`
`
`
`
`
`28.4 UE Transmitter and Receiver Aspects ......... 0.000000 4 eae 648
`
`
`
`
`
`
`28.4.1 UE Transmitter Aspects of Carrier Aggregation. .........2.. 648
`
`
`
`
`
`
`28.4.2 UE Receiver Aspects of Carrier Aggregation ............. 648
`
`
`
`
`28.4.3 Prioritized Carrier Aggregation Scenarios ............... 649
`
`28.5 Summary2. 650
`References.2. 650
`
`
`
`651
`
`
`
`
`
`
`29 Multiple Antenna Techniques for LTE-Advanced
`
`
`
`
`
`
`
`
`
`
`Alex Gorokhov, Amir Farajidana, Kapil