DECLARATION OF THE UNIVERSITY OF TEXAS AT AUSTIN
`LIBRARIES REGARDING THE “LTE – THE UMTS LONG TERM
`EVOLUTION: FROM THEORY TO PRACTICE” REFERENCE
`
`OPEN RECORDS REQUEST NO. R001064-010521
`
`I, Sean O’Bryan declare as follows:
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`1.
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`I am over the age of 18, have never been convicted of a felony or
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`crime of moral turpitude and am legally competent to make this
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`declaration. I have personal knowledge of the matters stated herein.
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`2.
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`I am a librarian at Perry-Castaneda Library (“Library”) located within
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`the University of Texas, Austin, TX.
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`I have been employed by the library for 19 years.
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`I am familiar with the routine record-keeping practices of the library.
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`The library’s records that are regularly maintained in the course of its
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`operation reflects that “LTE – the UTMS Long Term Evolution: from Theory to
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`Practice” 2nd ed. by Stefania Sesia, Issam Toufik, and Mathew Baker is in the
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`library’s collection. According to our records, this item was catalogued on
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`December 5, 2011.
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`6.
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`A true and accurate copy of the cataloging record for “LTE – the
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`UTMS Long Term Evolution: from Theory to Practice” 2nd ed. is attached as
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`Exhibit A.
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`7.
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`At the time of the acquisition of “LTE – the UMTS Long Term
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`Evolution: from Theory to Practice” 2nd ed., the library typically made newly
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`catalogued items available to the public with __3____ business days of cataloging.
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`8.
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`I have reviewed the portions of “LTE – the UMTS Long Term
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`Evolution: from Theory to Practice” 2nd ed. in Exhibit B and they reflect a true and
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`accurate copy of the corresponding portions of the item as it exists in the Library.
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`
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`Note: In January 2020, UT Libraries completed a migration/implementation of a
`new Library Service Platform (ExLibris’ Alma Library Service) as our catalog of
`record. Prior to January 2020, Innovative Interfaces’ Sierra ILS was employed as
`our catalog. Prior to 2007, UT Libraries employed a locally developed catalog
`system (UTCAT/UTNetCat). All accession data required migration to this new
`platform from two previous systems and was required to be archived in available
`fields in the new Alma system. The “catalog date” was archived in MARC field
`998 |b.
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`I declare under penalty of perjury that the foregoing is true and correct.
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`Executed on January 11, 2021.
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`Sean O’Bryan
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`Assistant Director of Access
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`University of Texas Libraries
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`3
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`Exhibit A
`Exhibit A
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`04681cam 42200637 a 4500
`991032615369706011
`201771111121731.0
`
`10091452011 enkab b 001 0 eng
`—|a 2010039466
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`7_\a.015499599 |2 Uk
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`— a 9780470660256 (hardback)
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`ja 0470978503
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`LDR
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`082
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`245
`10 |a LTE— the UMTSlong term evolution: |b from theory to practice / |c Stefania Sesia, Issam Toufik, Matthew Baker.
`250
`__|a 2nd ed.
`260
`__ la Chichester, West Sussex: |b Wiley, |c 2011.
`300
`— la xl, 752 p.: |bill., map; |e 25 cm.
`—|a Includesbibliographical references and index.
`—|a “Where this bookis exceptionalis that the readerwill not just learn how LTE worksbut why it works" Adrian Scrase, ETSI Vice-President, International Partnership Projects Following on the successofthefirst
`edition, this bookis fully updated, covering the latest additions to LTE and the key features of LTE-Advanced.This book builds on the successofits predecessor, offering the same comprehensive system-level
`understanding built on explanationsof the underlying theory, now expanded to include complete coverage of Release 9 and the developing specifications for LTE-Advanced. The bookis a collaborative effort of more
`than 40 key experts representing over 20 companiesactively participating in the development of LTE, as well as academia. The book highlights practical implications,illustrates the expected performance, and draws
`comparisons with the well-known WCDMA/HSPAstandards. The authors not only pay special attention to the physicallayer, giving an insight into the fundamental concepts of OFDMA-FDMAand MIMO,but also cover
`the higher protocol layers and system architecture to enable the reader to gain an overall understanding of the system. Key New Features: Comprehensively updated with the latest changes of the LTE Release 8
`specifications, including improved coverage of Radio Resource Management RF aspects and performance requirements. Provides detailed coverage of the new LTE Release 9 features, including: eMBMS,dual-layer
`beamforming,user equipment positioning, home eNodeBs / femtocells andpico cells and self-optimizing networks. Evaluates the LTE system performance. Introduces LTE-Advanced, explaining its context and
`motivation, as well as the key new features including: carrier aggregation, relaying, high-order MIMO, and Cooperative Multi-Point transmission (CoMP). Includes an accompanying website containing a completelist of
`acronymsrelated to LTE and LTE-Advanced,with a brief description of each This bookis an invaluable reference forall research and development engineers invalved in implementation of LTE or LTE-Advanced, as well
`as graduate and PhD students in wireless communications. Network operators, service providers and R&D managers will also find this book insightful."— |c Provided by publisher.
`—|a "LTE — The UMTSLong Term Evolution, SecondEdition builds on the successofits predecessor, offering an updated treatment of the new LTE standard"— |c Providedby publisher.
`_O |a Universal Mobile Telecommunications System.
`_0 Ja Long-Term Evolution (Telecommunications)
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`07 [a Zellulares Mobilfunksystem. |0 (DE-588c)4387563-4 |2 swd
`1_la Toufik, Issam.
`1_|a Baker, Matthew |q (Matthew P. J.)
`__|a .b78299755|b 06-25-15 |c 10-04-11
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`00 Ja 621.3845/6 |2 22
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`__ a TEC041000|2 bisacsh
`_ a ZN 6560 [2 rvk
`1_|a Sesia, Stefania.
`
`
`
`520
`
`520
`650
`
`650
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`650
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`700
`907
`915
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`YEP LivaryServicesYANK457004
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`_ aPrOmptCa
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` ATK10349839472e115202451 15900077 |eg RADcomerion07o-p$0.0|g--s-€10 33OpBGS0
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`a2 DIMA
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`cntfp
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`The UMTSLong Term Evolution
`
`Seer PrP ORY TO PRACTICI!I
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`Edited by: Stefania Sesia * Issam Toufik * Matthew Baker
`
`SECOND EDITION
`
`WILEY
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`
`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
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`Samsung Ex. 1019
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`This edition first published 2011
`© 2011 John Wiley & Sons Ltd.
`
`Registered office
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ,
`United Kingdom
`Fordetails of our globaleditorial offices, for customer services and for information about how to apply
`for permissionto reuse the copyright material in this book please see our website at www.wiley.com.
`Therights of the authors to be identified as the authors of this work have beenasserted in accordance
`with the Copyright, Designs and Patents Act 1988.
`All rights reserved. No part ofthis publication may be reproduced, stored in a retrieval 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 publisher.
`Photograph on cover courtesy of Alcatel-Lucent, from the ngConnect LTE-equipped car.
`3GPPwebsite reproduced by permission of © 3GPP™.,
`Wiley also publishes its books in a variety of electronic formats. Some content that appearsin print
`maynotbe available in electronic books.
`Designations used by companiesto distinguish their products are often claimed as trademarks. All
`brand names and product namesusedin this book are trade names, service marks, trademarks or
`registered trademarksoftheir respective owners. The publisheris not associated with any product or
`vendor mentionedin 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 publisheris
`not engagedin rendering professional services. If professional advice or other expert assistance is
`required, the services of a competent professional should be sought.
`Library of Congress Cataloging-in-Publication Data
`Sesia, Stefania.
`LTE-the UMTSlongterm evolution : from theory to practice / Stefania Scsia, Issam Toufik,
`Matthew Baker.— 2nd ed.
`p. cm.
`Includes bibliographical references and index.
`ISBN 978-0-470-66025-6 (hardback)
`1. Universal Mobile Telecommunications System.2. Long-Term Evolution (Telecommunications)
`L. Toufik, Issam. II. Baker, Matthew (MatthewPJ.) III. Title.
`TK5103.4883.847 2011
`621.3845'6—dce22
`
`2010039466
`
`A catalogue record for this 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.
`
`
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`Contents
`
`Editors’ Biographies
`
`List of Contributors
`
`Foreword
`
`Preface
`
`Acknowledgements
`
`List of Acronyms
`
`xxi
`
`xxiii
`
`xxvii
`
`xxix
`
`xxxi
`
`xxxiii
`
`1
`
`1
`
`Introduction and Background
`Thomas Sälzer and Matthew Baker
`1.1 The Context for the Long Term Evolution of UMTS......................................... 1
`1.1.1 Historical Context ................................................................................. 1
`1.1.2 LTE in the Mobile Radio Landscape..................................................... 2
`1.1.3 The Standardization Process in 3GPP.................................................. 5
`1.2 Requirements and Targets for the Long Term Evolution.................................. 7
`System Performance Requirements ..................................................... 7
`1.2.1
`1.2.2 Deployment Cost and Interoperability.................................................. 12
`1.3 Technologies for the Long Term Evolution........................................................ 14
`1.3.1 Multicarrier Technology........................................................................ 14
`1.3.2 Multiple Antenna Technology............................................................... 15
`1.3.3 Packet-Switched Radio Interface........................................................... 16
`1.3.4 User Equipment Categories .................................................................. 17
`1.3.5 From the First LTE Release to LTE-Advanced...................................... 19
`1.4 From Theory to Practice .................................................................................... 20
`References....................................................................................................................... 21
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`viii
`Part I Network Architecture and Protocols
`
`CONTENTS
`23
`
`25
`
`2 Network Architecture
`Sudeep Palat and Philippe Godin
`Introduction.......................................................................................................... 25
`2.1
`2.2 Overall Architectural Overview........................................................................... 26
`2.2.1 The Core Network................................................................................. 27
`2.2.2 The Access Network.............................................................................. 30
`2.2.3 Roaming Architecture........................................................................... 31
`2.3 Protocol Architecture.......................................................................................... 32
`2.3.1 User Plane ............................................................................................. 32
`2.3.2 Control Plane.......................................................................................... 33
`2.4 Quality of Service and EPS Bearers ................................................................. 34
`2.4.1 Bearer Establishment Procedure............................................................ 37
`Inter-Working with other RATs ........................................................... 38
`2.4.2
`2.5 The E-UTRAN Network Interfaces: SI Interface ................................................. 40
`Protocol Structure over S1.................................................................... 41
`2.5.1
`Initiation over SI.................................................................................... 43
`2.5.2
`2.5.3 Context Management over S1 .............................................................. 43
`2.5.4 Bearer Management over S1................................................................. 44
`2.5.5 Paging over SI....................................................................................... 44
`2.5.6 Mobility over S1.................................................................................... 45
`2.5.7 Load Management over S1..................................................................... 47
`2.5.8 Trace Function....................................................................................... 48
`2.5.9 Delivery of Warning Messages.............................................................. 48
`2.6 The E-UTRAN Network Interfaces: X2 Interface.................................................49
`2.6.1 Protocol Structure over X2..................................................................... 49
`Initiation over X2.................................................................................... 49
`2.6.2
`2.6.3 Mobility over X2.................................................................................... 51
`2.6.4 Load and Interference Management Over X2..................................... 54
`2.6.5 UE Historical Information Over X2.........................................................54
`2.7 Summary............................................................................................................. 55
`References...................................................................................................................... 55
`
`57
`
`3 Control Plane Protocols
`Himke van der Velde
`3.1
`Introduction.......................................................................................................... 57
`3.2 Radio Resource Control (RRC)........................................................................... 58
`Introduction.............................................................................................. 58
`3.2.1
`3.2.2 System Information................................................................................. 59
`3.2.3 Connection Control within LTE........................................................... 63
`3.2.4 Connected Mode Inter-RAT Mobility......................................................73
`3.2.5 Measurements ....................................................................................... 75
`3.2.6 Other RRC Signalling Aspects.............................................................. 78
`3.3 PLMN and Cell Selection.................................................................................... 78
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`CONTENTS
`ix
`Introduction.............................................................................................. 78
`3.3.1
`3.3.2 PLMN Selection.................................................................................... 79
`3.3.3 Cell Selection.......................................................................................... 79
`3.3.4 Cell Reselection .................................................................................... 80
`3.4 Paging................................................................................................................... 84
`3.5 Summary............................................................................................................. 86
`References....................................................................................................................... 86
`
`87
`
`4 User Plane Protocols
`Patrick Fischer, SeungJune Yi, SungDuck Chun and YoungDae Lee
`Introduction to the User Plane Protocol Stack.................................................. 87
`4.1
`4.2 Packet Data Convergence Protocol (PDCP) ..................................................... 89
`Functions and Architecture..................................................................... 89
`4.2.1
`4.2.2 Header Compression.............................................................................. 90
`4.2.3 Security.................................................................................................... 92
`4.2.4 Handover................................................................................................. 93
`4.2.5 Discard of Data Packets ........................................................................ 95
`4.2.6 PDCP PDU Formats.................................................................................. 97
`4.3 Radio Link Control (RLC)................................................................................. 98
`4.3.1 RLC Entities........................................................................................... 99
`4.3.2 RLC PDU Formats....................................................................................105
`4.4 Medium Access Control (MAC).......................................................................... 108
`4.4.1 MAC Architecture....................................................................................108
`4.4.2 MAC Functions..........................................................................................Ill
`4.5 Summary of the User Plane Protocols.................................................................120
`References......................................................................................................................... 120
`
`Part II Physical Layer for Downlink
`
`121
`
`123
`
`5 Orthogonal Frequency Division Multiple Access (OFDMA)
`Andrea Ancora, Issam Toufik, Andreas Bury and Dirk Slock
`Introduction.............................................................................................................123
`5.1
`5.1.1 History of OFDM Development..............................................................124
`5.2 OFDM......................................................................................................................125
`5.2.1 Orthogonal Multiplexing Principle...........................................................125
`5.2.2 Peak-to-Average Power Ratio and Sensitivity to Non-Linearity .... 131
`5.2.3 Sensitivity to Carrier Frequency Offset and Time-Varying Channels . 133
`5.2.4 Timing Offset and Cyclic Prefix Dimensioning.....................................135
`5.3 OFDMA...................................................................................................................137
`5.4 Parameter Dimensioning.......................................................................................139
`5.4.1 Physical Layer Parameters for LTE ........................................................140
`5.5 Summary................................................................................................................142
`References......................................................................................................................... 142
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`X
`6
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`CONTENTS
`
`Introduction to Downlink Physical Layer Design
`Matthew Baker
`Introduction............................................................................................................ 145
`6.1
`6.2 Transmission Resource Structure...........................................................................145
`6.3 Signal Structure...................................................................................................... 148
`6.4
`Introduction to Downlink Operation....................................................................149
`References.........................................................................................................................150
`
`145
`
`7 Synchronization and Cell Search
`Fabrizio Tomatis and Stefania Sesia
`Introduction............................................................................................................ 151
`7.1
`7.2 Synchronization Sequences and Cell Search in LTE...........................................151
`7.2.1 Zadoff-Chu Sequences............................................................................. 155
`7.2.2 Primary Synchronization Signal (PSS) Sequences..................................157
`7.2.3 Secondary Synchronization Signal (SSS) Sequences............................158
`7.3 Coherent Versus Non-Coherent Detection...........................................................161
`References.........................................................................................................................163
`
`151
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`165
`
`8 Reference Signals and Channel Estimation
`Andrea Ancora, Stefania Sesia and Alex Gorokhov
`Introduction.............................................................................................................165
`8.1
`8.2 Design of Reference Signals in the LTE Downlink.............................................. 167
`8.2.1 Cell-Specific Reference Signals..............................................................168
`8.2.2 UE-Specific Reference Signals in Release 8........................................... 171
`8.2.3 UE-Specific Reference Signals in Release 9........................................... 171
`8.3 RS-Aided Channel Modelling and Estimation.................................................... 174
`8.3.1 Time-Frequency-Domain Correlation: The WSSUS Channel Model . 175
`8.3.2 Spatial-Domain Correlation: The Kronecker Model...............................176
`8.4 Frequency-Domain Channel Estimation..............................................................178
`8.4.1 Channel Estimate Interpolation................................................................. 178
`8.4.2 General Approach to Linear Channel Estimation..................................179
`8.4.3 Performance Comparison.......................................................................... 180
`8.5 Time-Domain Channel Estimation....................................................................... 181
`Finite and Infinite Length MMSE...........................................................182
`8.5.1
`8.5.2 Normalized Least-Mean-Square..............................................................184
`8.6 Spatial-Domain Channel Estimation.................................................................... 184
`8.7 Advanced Techniques............................................................................................. 185
`References......................................................................................................................... 186
`
`9 Downlink Physical Data and Control Channels
`Matthew Baker and Tim Moulsley
`9.1
`Introduction.............................................................................................................189
`9.2 Downlink Data-Transporting Channels................................................................. 189
`Physical Broadcast Channel (PBCH)........................................................189
`9.2.1
`9.2.2 Physical Downlink Shared CHannel (PDSCH)........................................ 192
`
`189
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`xi
`9.2.3 Physical Multicast Channel (PMCH)........................................................196
`9.3 Downlink Control Channels ................................................................................. 196
`9.3.1 Requirements for Control Channel Design..............................................196
`9.3.2 Control Channel Structure.......................................................................198
`9.3.3 Physical Control Format Indicator CHannel (PCFICH)........................ 198
`9.3.4 Physical Hybrid ARQ Indicator Channel (PHICH).............................. 200
`9.3.5 Physical Downlink Control CHannel (PDCCH).................................... 202
`9.3.6 PDCCH Scheduling Process................................................................... 212
`References.........................................................................................................................214
`
`215
`
`10 Link Adaptation and Channel Coding
`Brian Classon, Ajit Nimbalker, Stefania Sesia and Issam Toufik
`10.1 Introduction............................................................................................................ 215
`10.2 Link Adaptation and CQI Feedback....................................................................217
`10.2.1 CQI Feedback in LTE .............................................................................218
`10.3 Channel Coding......................................................................................................223
`10.3.1 Theoretical Aspects of Channel Coding.................................................223
`10.3.2 Channel Coding for Data Channels in LTE ...........................................232
`10.3.3 Channel Coding for Control Channels in LTE....................................... 244
`10.4 Conclusions............................................................................................................ 245
`References.........................................................................................................................246
`
`249
`
`11 Multiple Antenna Techniques
`Thomas Sälzer, David Gesbert, Cornelius van Rensburg, Filippo Tosato, Florian
`Kaltenberger and Tetsushi Abe
`11.1 Fundamentals of Multiple Antenna Theory......................................................... 249
`11.1.1 Overview...................................................................................................249
`11.1.2 MIMO Signal Model...............................................................................252
`11.1.3 Single-User MIMO Techniques............................................................. 253
`11.1.4 Multi-User MIMO Techniques.................................................................258
`11.2 MIMO Schemes in LTE........................................................................................262
`11.2.1 Practical Considerations..........................................................................263
`11.2.2 Single-User Schemes............................................................................... 264
`11.2.3 Multi-User MIMO................................................................................... 274
`11.2.4 MIMO Performance................................................................................ 276
`11.3 Summary................................................................................................................276
`References.........................................................................................................................277
`
`12 Multi-User Scheduling and Interference Coordination
`Issam Toufik and Raymond Knopp
`12.1 Introduction............................................................................................................ 279
`12.2 General Considerations for Resource Allocation Strategies.............................. 280
`12.3 Scheduling Algorithms..........................................................................................283
`12.3.1 Ergodic Capacity.......................................................................................283
`12.3.2 Delay-Limited Capacity.......................................................................... 285
`
`279
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`xii
`
`CONTENTS
`12.4 Considerations for Resource Scheduling in LTE.................................................286
`12.5 Interference Coordination and Frequency Reuse.................................................287
`12.5.1 Inter-eNodeB Signalling to Support Downlink Frequency-Domain
`ICIC in LTE ............................................................................................ 290
`12.5.2 Inter-eNodeB Signalling to Support Uplink Frequency-Domain
`ICIC in LTE ............................................................................................ 290
`12.5.3 Static versus Semi-Static ICIC................................................................ 291
`12.6 Summary...............................................................................................................291
`References........................................................................................................................ 292
`
`293
`
`13 Broadcast Operation
`Himke van der Velde, Olivier Hus and Matthew Baker
`13.1 Introduction............................................................................................................293
`13.2 Broadcast Modes...................................................................................................293
`13.3 Overall MBMS Architecture................................................................................295
`13.3.1 Reference Architecture.............................................................................295
`13.3.2 Content Provision...................................................................................... 295
`13.3.3 Core Network............................................................................................ 296
`13.3.4 Radio Access Network - E-UTRAN/UTRAN/GERAN and UE . . .296
`13.3.5 MBMS Interfaces...................................................................................... 297
`13.4 MBMS Single Frequency Network Transmission..............................................297
`13.4.1 Physical Layer Aspects.............................................................................297
`13.4.2 MBSFN Areas......................................................................................... 301
`13.5 MBMS Characteristics......................................................................................... 303
`13.5.1 Mobility Support...................................................................................... 303
`13.5.2 UE Capabilities and Service Prioritization..............................................303
`13.6 Radio Access Protocol Architecture and Signalling...........................................304
`13.6.1 Protocol Architecture................................................................................ 304
`13.6.2 Session Start Signalling ..........................................................................305
`13.6.3 Radio Resource Control (RRC) Signalling Aspects.............................. 306
`13.6.4 Content Synchronization..........................................................................308
`13.6.5 Counting Procedure ................................................................................ 310
`13.7 Public Warning Systems ...................................................................................... 312
`13.8 Comparison of Mobile Broadcast Modes............................................................. 312
`13.8.1 Delivery by Cellular Networks................................................................ 312
`13.8.2 Delivery by Broadcast Networks............................................................. 313
`13.8.3 Services and Applications.......................................................................313
`References.........................................................................................................................314
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`Part III Physical Layer for Uplink
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`315
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`14 Uplink Physica