throbber
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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`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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`Exhibit A
`Exhibit A
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`
`245 10 la LTE— the UMTS long term evolution :lb from theory to practice .f |c Stefania Sesia. Issam Touflk, Matthew Baker.
`250 _ Ia 2nd ed.
`260 7 la Chichester, West Sussex : lb Wiley, IC 2011.
`300 7 la xl, 752 p. : |b ill., map ,' IC 25 cm.
`504 _ |a Includes bibliographical references and index.
`_ |a "‘Where this book is exceptional is that the reader will not Just learn how LTE works but why it works' Adrian Scrase, EI'SI Vice-President, International Partnership Projects Following on the success of the first
`edition, this book is fully updated, covering the latest additions to LTE and the key features of LTEeAdvanced. This book builds on the success of its predecessor, offering the same comprehensive systerrrlevel
`understanding built on explanations of the underlying theory. now expanded to include complete coverage of Release 9 and the developing specifications for LTE-Advanced. The book is a collaborative effort of more
`than 40 key experts representing over 20 companies actively participating in the development of LTE as well as academia. The book highlights practical implications, illustrates the expected performance and draws
`comparisons with the wellknown WCDMNHSPA standards. The authors not only pay special attention to the physical layer, giving an insight into the fundamental concepts of OFDMAeFDMA and MIMO. but also cover
`520 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 E
`specifications, including improved coverage of Radio Resource Management RF aspects and performance requirements. Provides detailed coverage of the new LTE Release 9 features. including: eMEMS, dualilayer
`beamforming. user equipment positioning. home eNodeBs I femtocells and pico 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 MIMQ and Cooperative MultI-Pointtransmission {CoMP). Includes an accompanying website containing a complete list of
`acronyms related to LTE and LTEeAdvanced, with a brief description of each This book is an invaluable reference forall research and development engineers involved in implementation of LTE or LTEAdvanced, as well
`as graduate and PhD students in wireless communications. Network operators, service providers and R&D managers will also find this book insightfulf— |c Provided by publisher.
`510 _ |a 'LTE—11Ie UMTS Long Term Evolution, Second Edition builds on the success of its predecessor, offering an updated treatment of the new LTE standard'— |c Provided by publisher.
`650 70 la Universal MobileTelecnmmurrications System.
`650 70 la LongTerm Evoluan (Telecommunications)
`650 77 la TECHNOLOGY 81 ENGINEERING I Telecommunications |2 bisacsh
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`650 07 la UTRA. ID {DE’EBBCWSI 709743 I2 swd
`650 07 la Zellulares Mobilfunlcsystem. l0 {DE-588043575634 l2 swd
`700 1_|a Toufik,lssam.
`7m 1_ la Baker, Matthew Iq {Matthew F! J.)
`907 7 la .h78299755 lb 06’2515Ic 100411
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`The UMTS Long Term Evolution
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`:9;th s‘mwnza' m a s H 1
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`ir-deiexd by: Stefania Sesia ° Issam Toufik - Matthew Baker
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`MW) ”mm
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`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
`
`Alculel-Lucent, UK
`
`.WILEY
`A John Wiley & Sons, Ltd., Publication
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`
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`This edition first published 201 I
`© 2011 John Wiley & Sons Ltd.
`
`Registered ofl‘ice
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, P019 SSQ,
`United Kingdom
`
`For details of our global editorial offices, for customer services and for information about how to apply
`for permission to reuse the copyright material in this book please see our website at www.wilcy.com.
`The rights 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 this 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 Alcatcl—Lucent, from the ngConnect LTE—equipped car,
`36?? website reproduced by permission of © 3GPPTM.
`Wiley also publishes its books in a variety of electronic formats. Some content that appears in print
`may not be available in electronic books.
`Designations used by companies to distinguish their products are often claimed as trademarks. All
`brand names and product names used in this book are trade names, service marks, trademarks or
`registered trademarks of their respective owners. The publisher is not associated with any product or
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`information in regard to the subject matter covered. It is sold on the understanding that the publisher is
`not engaged in 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-Publicati0n Data
`Sesia, Stefania.
`LTE—the UMTS long term evolution : from theory to practice / Stefania Sesia, Issam Toufik.
`Matthew Baker.— 2nd ed.
`p. cm.
`Includes bibliographical references and index.
`ISBN 978»04470-66025-6 (hardback)
`1. Universal Mobile Telecommunications System. 2. Long—Term Evolution (Telecommunications)
`1. Toufik, Issam. 11. Baker, Matthew (Matthew Pl.) 111. Title.
`TK5103.4883.S47 2011
`621 .3845’6 —dc22
`
`2010039466
`
`A catalogue record for this book is available from the British Library.
`Print ISBN: 9780470660256 (H/B)
`ePDF ISBN: 978047097851 1
`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
`
`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
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`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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`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.................................................

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