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`I, Rachel J. Watters, am a librarian, and the Head of Resource Sharing for the
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`General Library System, Memorial Library, located at 728 State Street, Madison,
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`TechSearch ("WTS"), an interlibrary loan department at the University of Wisconsin(cid:173)
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`since 1998, starting as a graduate student employee in the Kurt F. Wendt Engineering
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`Library and WTS, then as a librarian in Interlibrary Loan at Memorial Library. I began
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`professional employment at WTS in 2002 and became WTS Director in 2011. In 2019,
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`I became of Head of Resource Sharing for UW-Madison's General Library System. I
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`Wisconsin-Madison. Through the course of my studies and employment, I have
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`This Declaration relates to the dates of receipt and availability of the following:
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`Ho Ima, H. and Toskala, A. (Eds.) (2009). LTE for UMTS -
`OFDMA and SC-FDMA Based Radio Access. Chichester, U.K. :
`John Wiley & Sons.
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`Standard operating procedures for materials at the University of Wisconsin(cid:173)
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`Madison Libraries. When a volume was received by the Library, it would be checked
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`Declaration of Rachel J. Watters on Authentication of Publication
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`in, added to library holdings records, and made available to readers as soon after its
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`arrival as possible. The procedure normally took a few days or at most 2 to 3 weeks.
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`LTE for UMTS - OFDMA and SC-FD MA Based Radio Access (2009) publication,
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`SC-FDMA Based Radio Access (2009) publication after it was cataloged by searching
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`these statements were made with the knowledge that willful false statements and the like
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`Declaration of Rachel J. Watters on Authentication of Publication
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`so made are punishable by fine or imprisonment, or both, under Section 1001 of Title 18
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`of the United States Code.
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`Date: February 8, 2021
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`Memorial Library
`728 State Street
`Madison, Wisconsin 53706
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`
`
`CATEhi
`
`Bi earemelvuin
`OFDMA and SC-FDMA
`
`
`
`Based Radio Access Harri Holma and Antti Toskala
`
`
`Samsung Ex. 1018
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`

`

`OFDMA and SC-FDMA
`Based Radio Access
`
`111111111111111)111111111111111111111111111111111111
`b89103331732a
`
`Harri Holma and Antti Toskala, Nokia Siemens Networks, Finland
`
`From the editors of the highly successful WCDMA for UMTS, this new book
`gives a complete and up-to-date overview of Long Term Evolution (LTE) in
`a systematic and clear manner. It starts with an in-depth explanation of the
`background and standardization process before moving on to examine the
`system architect~re evolution (SAE). The basics of air interface modulation
`choices are introduced and key subjects such as 3GPP LTE physical layer
`and protocol solutions are described. Mobility aspects and radio resource
`management together with radio and° end-to-end performance are assessed.
`The voice solution and voice capacity in LTE are also illustrated. Finally, the
`main differences between LTE TDD and FOO modes are examined and HSPA
`evolution in 3GPP Releases 7 and 8 is described.
`
`LTE for UMTS is one of the first
`books to provide a comprehensive
`guide to the standards and
`technologies of LTE.
`
`Key features of the book include:
`
`LTE for UMTS
`OFDMA and SC-FDMA
`Based Radio Access,,,/
`
`/4
`/;,,,,-(cid:173)
`Harri Halma and Antti Toska'la.
`
`.
`
`t Covers all the key aspects of LTE
`in a systematic manner
`t Presents full description of 3GPP
`,·
`/~
`Release 8 LTE
`t Examines the expected performan~~·
`ofLTE
`/~
`t ~ritten by experts activsjy. i.9.vol~ed _
`
`::::~:::~
`
`od,ct
`
`ffiWILEY
`
`wiky.com
`
`TK
`5103.4883
`. L78
`2009
`
`Samsung Ex. 1018
`
`

`

`LTE for UMTS -
`OFDMA and SC-FDMA Based
`Radio Access
`
`Edited by
`
`Harri Holma and Antti Toskala
`
`both of Nokia Siemens Networks, Finland
`
`John Wiley & Sons, Ltd
`
`Samsung Ex. 1018
`
`

`

`This edi1ion first published 2009
`© 2009 John Wiley & Sons Ltd.
`
`Registeretl office
`John Wiley & Sons Ltd. The Atrium, Southern Gale, Chichester, West Sussex, POI 9 8SQ, United Kingdom
`For details of our global editorial offices, for customer services and for infonnation about how to apply for
`pcnnission to re use 1he copyright material in this book please sec our website at www.wiley.com.
`The right of the author 10 be identified as the author of this work has been asserted in accordance with the
`Copyright, Designs and Patents Act 1988.
`All rights reserved. No pan of this publication may be reproduced, stored in a retrieval system, or 1ransmitted, in
`any form or by any means, electronic, mechanical, photocopying. recording or otherwise, except as permitted by 1he
`UK Copyright, Designs and Patents Act 1988, wi1hout the prior permission of the publisher.
`Wiley also publishes its books in a variety of elec1ronic fonna1s. Some conten1 that appears in print may not be
`available in elcc1ronic books.
`Designmions used by companies to distinguish their products arc often c laimed as trndemarks. All brand names
`and product names used in 1his book are trade names, service marks, trademarks or registered trademarks of
`their respective owners. The publisher is 1101 associated with any product or ,·cndor mentioned in 1his book. This
`publication is designed to provide accurate and au1horitative 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 cxperl assisiance is required, the services of a competent professional should be sought.
`LTE is a trademark, registered by ETSI for the benefi1 of the 3GPP Panners
`
`Library of Congress Ca1a/ogi11g-i11-P11blicmio11 Data
`LTE for UMTS-OFDMA and SC-FDMA based radio access/ edited by Harri Holma. Anni Toskala.
`p. cm.
`Includes bibliographical references and index.
`ISBN 978-0-470-99401-6 (cloth : alk. paper) I. Universal Mobile Telecommunica1ions System. 2. Wireless
`communication systems--Standards. 3. Mobile communication systems--Standards. 4. Global system for mobile
`communications. I. Holma, 11.irri, 1970- II. Toskala, Anni.
`TKS 103.4883.L78 2009
`62 I .3845'6--dc22
`
`2008052792
`
`A catalogue record for this book is available from the British Library.
`
`ISBN 978-0-470-99401-6 (I 1/B)
`Set in 10/12 pl Times by Sparks, Oxford - www.sparkspublishing.com
`Printed and bound in Great Britain by CPI Antony Rowe, Chippcnl1am, UK
`
`General Library System
`University of Wisconsin • Madison
`728 State Street
`Madison, WI 53706·1494
`U.S.A.
`
`Samsung Ex. 1018
`
`

`

`-
`
`W~NDT
`TK
`,S-/03. yt~ .J.
`L rt>_,
`2001
`
`Contents
`
`Preface
`
`Acknowledgements
`
`List of Abbreviations
`
`1
`
`Introduction
`Harri Holma and Antti Toskala
`1.1 Mobile Voice Subscriber Growth
`1.2 Mobile Data Usage Growth
`1.3 Wireline Technologies Evolution
`1.4 Motivation and Targets for LTE
`1.5 Overview of LTE
`1.6
`3GPP Family of Technologies
`1.7 Wireless Spectrum
`1.8 New Spectrum Identified by WRC-07
`1.9
`LTE-Advanced
`
`2
`
`LTE Standardization
`Antti Toskala
`Introduction
`2.1
`2.2 Overview of 3GPP Releases and Process
`2.3
`LTE Targets
`2.4
`LTE Standardization Phases
`2.5
`Evolution Beyond Release 8
`2.6
`LTE-Advanced for !MT-Advanced
`2.7
`LTE Specifications and 3GPP Structure
`References
`
`3
`
`System Architecture Based on 3GPP SAE
`Atte Uinsisalmi and Antti Toskala
`System Architecture Evolution in 3GPP
`3.1
`3.2 Basic System Architecture Configuration with only E-UTRAN Access Network
`
`xiii
`
`xv
`
`xvii
`
`1
`
`I
`2
`3
`4
`5
`7
`8
`10
`11
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`13
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`13
`13
`14
`16
`18
`19
`21
`22
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`23
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`Contents
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`3.3.3
`
`3.4.3
`
`vi
`
`3.3
`
`3.4
`
`3.5
`
`3.6
`
`3.7
`
`3.2.1 Overview of Basic System Architecture Configuration
`3.2.2 Logical Elements in Basic System Architecture Configuration
`Self-configuration of SI-MME and X2 interfaces
`3.2.3
`3.2.4
`Interfaces and Protocols in Basic System Architecture Configuration
`3.2.5 Roaming in Basic System Architecture Configuration
`System Architecture with E-UTRAN and Legacy 3GPP Access Networks
`3.3.1 Overview of 3GPP Inter-working System Architecture Configuration
`3.3.2 Additional and Updated Logical Elements in 3GPP Inter-working System
`Architecture Configuration
`Interfaces and Protocols in 3GPP Inter-working System Architecture
`Configuration
`Inter-working with Legacy 3GPP CS Infrastructure
`3.3.4
`System Architecture with E-UTRAN and Non-3GPP Access Networks
`3.4.1 Overview of 3GPP and Non-3GPP Inter-working System Architecture
`Configuration
`3.4.2 Additional and Updated Logical Elements in 3GPP Inter-working System
`Architecture Configuration
`Interfaces and Protocols in Non-3GPP Inter-working System Architecture
`Configuration
`50
`3.4.4 Roaming in Non-3GPP Inter-working System Architecture Configuration 51
`Inter-working with cdma2000® Access Networks
`51
`3.5.1 Architecture for cdma2000® HRPD Inter-working
`5 1
`3.5.2 Additional and Updated Logical Elements for cdma2000® HRPD Inter-
`working
`Protocols and Interfaces in cdma2000® HRPD Inter-working
`3.5.3
`Inter-working with cdma2000® lxRTT
`3.5.4
`IMS Architecture
`3.6.1 Overview
`3.6.2
`Session Management and Routing
`3.6.3 Databases
`3.6.4
`Services Elements
`3.6.5
`Inter-working Elements
`PCC and QoS
`3.7.l
`PCC
`3.7.2 QoS
`References
`
`25
`26
`34
`35
`39
`40
`40
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`42
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`44
`44
`45
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`45
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`47
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`54
`55
`56
`56
`56
`58
`59
`59
`59
`60
`60
`63
`65
`
`4
`
`Introduction to OFDMA and SC-FDMA and to MIMO in LTE
`Antti Toskala and Timo Lunttila
`Introduction
`4.1
`LTE Multiple Access Background
`4.2
`4.3 OFDMA Basics
`4.4
`SC-FDMA Basics
`4.5 MIMO Basics
`4.6
`Summary
`References
`
`67
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`67
`67
`70
`76
`80
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`Contents
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`5
`
`5.7
`
`5.9
`
`Physical Layer
`Antti Toskala, Timo Lunttila, Esa Tiirola, Kari Hooli and Juha Korhonen
`Introduction
`5.1
`Transport Channels and Their Mapping to the Physical Channels
`5.2
`5.3 Modulation
`5.4 Uplink User Data Transmission
`5.5 Downlink User Data Transmission
`5.6 Uplink Physical Layer Signaling Transmission
`5.6.1
`Physical Uplink Control Channel (PUCCH)
`5.6.2
`PUCCH Configuration
`5.6.3 Control Signaling on PUSCH
`5.6.4 Uplink Reference Signals
`PRACH Structure
`5.7.1
`Physical Random Access Channel
`5.7.2
`Preamble Sequence
`5.8 Downlink Physical Layer Signaling Transmission
`5.8.l
`Physical Control Format Indicator Channel (PCFICH)
`5.8.2
`Physical Downlink Control Channel (PDCCH)
`5.8.3
`Physical HARQ Indicator Channel (PHICH)
`5.8.4 Downlink Transmission Modes
`5.8.5
`Physical Broadcast Channel (PBCH)
`5.8.6
`Synchronization Signal
`Physical Layer Procedures
`5.9.1 HARQ Procedure
`5.9.2 Timing Advance
`5.9.3
`Power Control
`5.9.4
`Paging
`5.9.5 Random Access Procedure
`5.9.6 Channel Feedback Reporting Procedure
`5.9.7 Multiple Input Multiple Output (MIMO) Antenna Technology
`5.9.8 Cell Search Procedure
`5.9.9 Half Duplex Operation
`5.10 UE Capability Classes and Supported Features
`5.11 Physical Layer Measurements
`5.11.1 eNodeB Measurements
`5.11.2 UE Measurements and Measurement Procedure
`5.12 Physical Layer Parameter Configuration
`5.13 Summary
`References
`
`6
`
`LTE Radio Protocols
`Antti Toskala and Woonhee Hwang
`6.1
`Introduction
`6.2
`Protocol Architecture
`6.3 Medium Access Control
`6.3.1
`Logical Channels
`6.3.2 Data Flow in MAC Layer
`
`vii
`
`83
`
`83
`83
`85
`86
`89
`93
`94
`97
`101
`103
`109
`109
`110
`112
`112
`113
`115
`115
`116
`117
`117
`118
`119
`119
`120
`120
`123
`129
`130
`130
`131
`132
`132
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`6.4
`
`6.5
`6.6
`
`6.7
`
`6.8
`6.9
`
`Radio Link Control Layer
`RLC Modes of Operation
`6.4.1
`6.4.2 Data Flow in RLC Layer
`Packet Data Convergence Protocol
`Radio Resource Control (RRC)
`6.6. 1 UE States and State Transitions Including Inter-RAT
`6.6.2 RRC Functions and Signaling Procedures
`X2 Interface Protocols
`6.7.1 Handover on X2 Interface
`Load Management
`6.7.2
`Early UE Handling in LTE
`Summary
`References
`
`7
`
`7.3
`
`Mobility
`Chris Callender; Harri Ho/ma, Jarkko Koskela and Jussi Reu11ane11
`Introduction
`7 .1
`7.2 Mobility Management in Idle State
`7.2. 1 Overview of Idle Mode Mobility
`7.2.2 Cell Selection and Reselection Process
`Tracking Area Optimization
`7.2.3
`Intra-LTE Handovers
`Procedure
`7.3.1
`Signaling
`7.3.2
`7.3.3 Handover Measurements
`7.3.4 Automatic Neighbor Relations
`7.3.5 Handover Frequency
`7.3.6 Handover Delay
`Inter-system Handovers
`7.4
`7.5 Differences in E-UTRAN and UTRAN Mobility
`Summary
`7.6
`References
`
`8
`
`Radio Resource Management
`Harri Ho/ma, Troels Kolding, Daniela Laselva, Klaus Pedersen, Claudio Rosa
`and lngo Viering
`Introduction
`8.1
`8.2 Overview of RRM Algorithms
`8.3 Admission Control and QoS Parameters
`8.4 Downlink Dynamic Scheduling and Link Adaptation
`Layer 2 Scheduling and Link Adaptation Framework
`8.4.1
`Frequency Domain Packet Scheduling
`8.4.2
`8.4.3 Combined Time and Frequency Domain Scheduling Algorithms
`Packet Scheduling with MlMO
`8.4.4
`8.4.5 Downlink Packet Scheduling Illustrations
`8.5 Uplink Dynamic Scheduling and Link Adaptation
`SignaUng to Support Uplink Link Adaptation and Packet Scheduling
`8.5.1
`
`Contents
`
`143
`144
`145
`145
`146
`147
`148
`158
`159
`160
`162
`162
`163
`
`165
`
`165
`166
`166
`167
`169
`170
`170
`171
`174
`174
`175
`177
`177
`178
`179
`180
`
`181
`
`181
`181
`182
`184
`184
`185
`187
`188
`189
`192
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`Contents
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`8.6
`
`8.5.2 Uplink Link Adaptation
`8.5.3 Uplink Packet Scheduling
`Interference Management and Power Settings
`8.6. l Downlink Transmit Power Settings
`8.6.2 Uplink Interference Coordination
`8.7 Discontinuous Transmission and Reception (DTX/DRX)
`8.8 RRC Connection Maintenance
`8.9
`Summary
`References
`
`9
`
`Performance
`Harri Holma, Pasi Kinnunen, Istvan Z. Kovacs, Kari Pajukoski, Klaus Pedersen
`and Jussi Reunanen
`Introduction
`Layer l Peak Bit Rates
`Terminal Categories
`Link Level Performance
`9.4. l Downlink Link Performance
`9.4.2 Uplink Link Perfonnance
`Link Budgets
`Spectral Efficiency
`9.6.l
`System Deployment Scenarios
`9.6.2 Downlink System Performance
`9.6.3 Uplink System Performance
`9.6.4 Multi-antenna MIMO Evolution Beyond 2x2
`9.6.5 Higher Order Sectorization (Six Sectors)
`9.6.6
`Spectral Efficiency as a Function of LTE Bandwidth
`9.6.7
`Spectral Efficiency Evaluation in 3GPP
`9.6.8 Benchmarking LTE to HSPA
`Latency
`9.7.1 User Plane Latency
`LTE Reforming to GSM Spectrum
`9.8
`9.9 Dimensioning
`9.10 Capacity Management Examples from HSPA Networks
`9.10.1 Data Volume Analysis
`9.10.2 Cell Performance Analysis
`9.11 Summary
`References
`
`9.1
`9.2
`9.3
`9.4
`
`9.5
`9.6
`
`9.7
`
`10
`
`Voice over IP (VoIP)
`Harri Holma, Juha Kallio, Markku Kuusela, Petteri Lunden, Esa Malkamaki,
`Jussi Ojala and Haiming Wang
`Introduction
`10. l
`10.2 VoIP Codecs
`10.3 VoIP Requirements
`10.4 Delay Budget
`10.5 Scheduling and Control Channels
`
`ix
`
`199
`200
`204
`205
`206
`207
`209
`209
`210
`
`213
`
`213
`213
`216
`217
`217
`219
`222
`224
`224
`228
`231
`234
`238
`240
`242
`243
`244
`244
`246
`247
`249
`250
`252
`256
`257
`
`259
`
`259
`259
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`Contents
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`10.6 LTE Voice Capacity
`10.7 Voice Capacity Evolution
`10.8 Uplink Coverage
`10.9 Circuit Switched Fallback for LTE
`10.10 Single Radio Voice Call Continuity (SR-VCC)
`10.11 Summary
`References
`
`11
`
`Performance Requirements
`Andrea Ancora, Jwajlo Ange low, Dominique Brun.el, Chris Callender, Harri
`Holma, Peter Muszynski, Earl McCune and Laurent Noel
`Introduction
`11.1
`11.2 Frequency Bands and Channel Arrangements
`11.2. I Frequency Bands
`11.2.2 Channel Bandwidth
`11.2.3 Channel Arrangements
`11.3 eNodeB RF Transmitter
`11.3.1 Operating Band Unwanted Emissions
`11.3.2 Coexistence with Other Systems on Adjacent Carriers Within the Same
`Operating Band
`11.3.3 Coexistence with Other Systems in Adjacent Operating Bands
`11.3.4 Transmitted Signal Quality
`11.4 eNodeB RF Receiver
`11.4. l Reference Sensitivity Level
`11.4.2 Dynamic Range
`11.4.3
`In-channel Selectivity
`11.4.4 Adjacent Channel Selectivity (ACS) and Narrow-band Blocking
`11.4.5 Blocking
`11.4.6 Receiver Spurious Emissions
`11.4.7 Receiver Intermodulation
`11.5 eNodeB Demodulation Performance
`11.5.1 PUSCH
`11.5.2 PUCCH
`11.5.3 PRACH
`11.6 UE Design Principles and Challenges
`11.6. l
`Introduction
`11.6.2 RF Subsystem Design Challenges
`11.6.3 RF- Baseband Interface Design Challenges
`11.6.4 LTE vs HSDPA Baseband Design Complexity
`11.7 UE RF Transmitter
`11.7 .1 LTE UE Transmitter Requirement
`11.7 .2 LTE Transmit Modulation Accuracy, EVM
`11.7 .3 Desensitization for Band and Bandwidth Combinations (Desense)
`11.7.4 Transmitter Architecture
`11.8 UE RF Receiver Requirements
`11.8. l Reference Sensitivity Level
`11.8.2 Introduction to UE Self-desensitization Contributors in FDD UEs
`
`265
`271
`273
`275
`277
`280
`281
`
`283
`
`283
`283
`283
`285
`287
`288
`288
`
`290
`292
`295
`300
`300
`301
`301
`303
`304
`306
`306
`307
`307
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`310
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`311
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`Contents
`
`J 1.8.3 ACS, Narrowband Blockers and ADC Design Challenges
`11.8.4 EVM Contributors: A Comparison Between LTE and WCDMA
`Receivers
`11.9 UE Demodulation Performance
`11.9.1 Transmission Modes
`11.9.2 Channel Modeling and Estimation
`11.9.3 Demodulation Performance
`11 .10 Requirements for Radio Resource Management
`11.10.1 Idle State Mobility
`11.10.2 Connected State Mobility when DRX is Not Active
`11.10.3 Connected State Mobility when DRX is Active
`11. l 0.4 Handover Execution Performance Requirements
`11. 11 Summary
`References
`
`12
`
`LTE TDD Mode
`Che Xiangguang, Troels Kolding, Peter Skov, Wang Haiming and Antti Toskala
`Introduction
`12.1
`12.2 LTE TDD Fundamentals
`12.2.l LTE TDD Frame Structure
`12.2.2 Asymmetric Uplink/Downlink Capacity Allocation
`12.2.3 Co-existence with TD-SCDMA
`12.2.4 Channel Reciprocity
`12.2.5 Multiple Access Schemes
`12.3 TDD Control Design
`12.3.1 Common Control Channels
`12.3.2 Sounding Reference Signal
`12.3.3 HARQ Process and Timing
`12.3.4 HARQ Design for UL TTI Bundling
`12.3.5 UL HARQ-ACK/NACK Transmission
`12.3.6 DL HARQ-ACK/NACK Transmission
`12.3.7 DL HARQ-ACK/NACK Transmission with SRI and/or CQI over
`PUCCH
`12.4 Semi-persistent Scheduling
`12.5 MIMO and Dedicated Reference Signals
`12.6 LTE TDD Performance
`12.6. 1 Link Performance
`12.6.2 Link Budget and Coverage for TDD System
`12.6.3 System Level Performance
`12.6.4 Evolution of LTE TDD
`12.7 Summary
`References
`
`13
`
`HSPA Evolution
`Harri Holma, Karri Ranta-aho and Antti Toskala
`Introduction
`13.1
`13.2 Discontinuous Transmission and Reception (DTX/DRX)
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`xi
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`341
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`348
`352
`352
`354
`356
`358
`360
`360
`362
`363
`364
`364
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`367
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`367
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`37 1
`372
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`376
`379
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`380
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`381
`381
`383
`385
`386
`386
`389
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`397
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`xii
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`13.3 Circuit Switched Voice on HSPA
`13.4 Enhanced FACH and RACH
`13.5 Downlink MJMO and 64QAM
`13.6 Dual Carrier HSDPA
`13.7 Uplink 16QAM
`13.8 Layer 2 Optimization
`13.9 Single Frequency Network (SFN) MBMS
`13.10 Architecture Evolution
`13.11 Summary
`References
`
`Index
`
`Contents
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`401
`404
`405
`407
`409
`410
`411
`412
`414
`415
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`LTE for UMTS: OFDMA and SC-FDMA based ra
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`oskala. Wiley, Chichester, U.K. : 2009 [0470994
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