1 LTE
`
`The UMTS Long Term Evolution
`FROM THEORY TO PR.AC'TICE
`
`Edited by: Stefania Sesia • Issa1n Toufik • Mallhevv Baker
`
`SECOND EDITION
`
`Including Rdease IO for LTE-Advanced
`
`• ,~ ,
`
`I
`
`..
`
`·.-
`
`.',
`
`._
`
`Samsung Ex. 1013
`
`

`

`LTE - The UMTS
`Long Tertn Evolution
`
`From Theory to Practice
`
`Second Edition
`
`Stefania Sesia
`S7:£ricsson, France
`
`Issam Toufik
`ETSI, France
`
`Matthew Baker
`Alcatel-Lucent, UK
`
`@)WILEY
`
`A John Wiley &. Sons, Ltd., Pubucation
`
`Samsung Ex. 1013
`
`

`

`This edition first published 2011
`© 201 I John Wiley & Sons Ltd-
`
`Registered office
`John Wiiey & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ,
`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.wiley.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 retrkval 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 11gComiect LTE-equipped car.
`3GPP website reproduced by permission of© JGppTM.
`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
`vendor mentioned in this book. This publication is designed to provide accurate and authoritative
`information in regard to the subject matter covered. H 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.
`Libra1y of Congress Caraloging-in-Pubiication 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 978-0-470-66025-6 (hardback)
`L Universal Mobrle Telecommunications System. 2. Long-Term Evolution (Telecommunications)
`I. Toufik, lssam. IL Baker, Matthew (Matthew P.J.) III. 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: 9780470978511
`oBook ISBN: 9780470978504
`epub ISBN: 9780470978641
`Printed in Great Britain by CPI Antony Rowe, Chippenham, Wiltshire.
`
`Samsung Ex. 1013
`
`

`

`List of Acronyms
`
`• An asterisk indicates that the acronym can have different meanings depending on the
`context. The meaning is clearly indicated in the text when used.
`
`3GPP 3n1 Generation Partnership Project
`3GPP2 3ro Generation Partnership Pr~ject 2
`ABS Almost Blank Subframe
`AC Access Class
`ACI Adjacent Channel Interference
`
`ACIR Adjacent Channel Interference Ratio
`ACK Acknowledgement
`ACLR Adjacent Channel Leakage Ratio
`
`ACS Adjacent Channel Selectivity
`ADC Analogue to Digital Converter
`ADSL Asymmetric Digital Subscriber Line
`AGI Antenna Gain Imbalance
`A-GNSS Assisted Global Navigation Satellite
`System
`AM Acknowledged Mode
`AMC Adaptive Modulation and Coding
`AMPS Analogue Mobile Phone System
`AMR Adaptive MultiRate
`ANR Automatic Neighbour Relation
`
`ANRF Automatic Neighbour Relation Function
`A oA Angle-of-Arrival
`AoD Angle-of-Departure
`APN Access Point Name
`APP A-Posteriori Probability
`
`A RFCN Absolute Radio Frequency Channel
`Number
`
`A RIB Association of Radio Industries and
`Businesses
`ARP Almost Regular Pennutation•
`ARP Allocation and Retention Priority*
`ARQ Automatic Repeat reQuest
`AS Access Stratum•
`AS Angular Spread*
`A-SEM Additional SEM
`ATDMA Advanced TOMA
`ATIS Alliance for Telecommunications Industry
`Solutions
`AuC Authentication Centre
`AWGN Additive White Gaussian Noise
`DCC Base station Colour Code
`BCH Broadcast CHannel
`BCCH Broadcast Control CHannel
`BCJR Algorithm named after its inventors,
`Bahl, Cocke, Jelinek and Raviv
`BER Bit Error Rate
`BLER BLock Error Rate
`BM-SC Broadcast-Multicast Service Centre
`BP Belief Propagation
`BPRE Bits Per Resource Element
`bps bits per second
`BPSK Binary Phase Shift Keying
`BSIC Base Station Identific ation Code
`BSR Buffer Status Reports
`CAPEX CAPital EXpenditu re
`CAZAC Constant Amplitude Zero
`AutoCorrelation
`
`Samsung Ex. 1013
`
`

`

`xxxiv
`
`LIST OF ACRONYMS
`
`CB Circular Buffer
`CBF Coordinated Beamforming
`CC Component Carrier
`CCCH Common Control CHannel
`CCE Control Channel Element
`CCI Co-Channel Interference
`CCO Cell Change Order
`CCSA China Communications Standards
`Association
`CDD Cyclic Delay Diversity
`CDF Cumulative Distribution Function
`CDL Clustered Delay Line
`CDM Code Division Multiplex(ed/ing)
`CDMA Code Division Multiple Access
`C/1 Carrier-to-Interference ratio
`CID Cell ID
`CIF Carrier Indicator Field
`CF Contention-Free
`CFI Control Format Indicator
`CFO Carrier Frequency Offset
`CINR Carrier-to-Interference-and-Noise Ratio
`CIR Channel Impulse Response
`CM Cubic Metric
`CMAS Commercial Mobile Alert Service
`CMHH Constant Modulus HouseHolder
`CN Core Network
`CoMP Coordinated MultiPoint
`CODIT UMTS Code Division Tustbed
`COFDM Coded OFDM
`CP Cyclic Prefix
`CPICH Common Pllot CHannel
`CPR Common Phase Rotation
`CPT Control PDU Type
`CQI Channel Quality Indicator
`CRC Cyclic Redundancy Check
`CRE Cell Range Expansion
`C-RNTI Cell Radio Network Temporary
`Identifier
`
`CRS Common Reference Signal
`CS Circuit-Switched*
`CS Cyclic Shift"
`CSA Common Subframe Allocation
`CSG Closed Subscriber Group
`CSI Channel State Information ,-
`,,/
`CSI-RS Channel State Information RS
`CSIT Channel State Information at the
`Transmitter
`CTF Channel Transfer Function
`CVA Circular Viterbi Algorithm
`CVQ Channel Vector Quantization
`CW Continuous-Wave
`DAB Digital Audio Broadcasting
`DAC Digital to Analogue Converter
`DAI Downlink Assignment Index
`dB deci-Bel
`d.c. direct current
`DCCH Dedicated Control CHannel
`DCFB Direct Channel FeedBack
`DCI Downlink Control Information
`DFT Discrete Fourier Transform
`DFT-S-OFDM DFf-Spread OFDM
`Diffserv Differentiated Services
`DL DownLink
`DL-SCH DownLink Shared CHannel
`DMB Digital Mobile Broadcasting
`DM-RS DeModulation-RS
`DOA Direction Of Arrival
`DPC Dirty-Paper Coding
`DRB Data Radio Bearer
`DRX Discontinuous Reception
`DS-CDMA, Direct-Sequence Code Division
`Multiple Access
`DSP Digital Signal Processor
`DTCH Dedicated Traffic CHannel
`DTX Discontinuous Transmission
`DVB-H Digital Video Broadcasting - Handheld
`DVB-T Digital Video Broadcasting-Terrestrial
`DwPTS Downlink Pilot TimeSlot
`ECGI E-UTRAN Cell Global Identifier
`
`Samsung Ex. 1013
`
`

`

`LIST OF ACRONYMS
`
`ECM EPS Connection Management
`EDGE Enhanced Data rates for GSM Evolution
`EESM Exponential Effective SINR Mapping
`el CIC enhanced Inter-Cell Interference
`Coordination
`E:MEA Europe, Middle East and Africa
`EMM EPS Mobility Management
`eNodeB evolved NodeB
`EPA Extended Pedestrian A
`EPC Evolved Packet Core
`EPG Electronic Programme Guide
`ePHR extended Power Headroom Report
`EPS Evolved Packet System
`E-RAB E-UTRAN Radio Access Bearer
`E-SMLC Evolved Serving Mobile Location
`Centre
`ESP Encapsulating Security Payload
`ETSI European Telecommunications Standards
`Institute
`ETU Extended 'fypical Urban
`ETWS Earthquake and Tsunami Warning
`System
`E-UTRA Evolved-UTRA
`E-UTRAN Evolved-UTRAN
`EVA Extended Vehicular A
`EVM Error Vector Magnitude
`FACH Forward Access CHannel
`FB Frequency Burst
`FCC Federal Communications Commission
`FCCH Frequency Control CHannel
`FDD Frequency Division Duplex
`FOE Frequency-Domain Equalizer
`FDM Frequency Division Multiplexing
`FDJ.VIA Frequency Division Multiple Access
`FDSS Frequency-Domain Spectral Shaping
`FFT Fast Fourier Transform
`FI Framing Info
`FIR Finite Impulse Response
`FMS First Missing' SDU
`
`xxxv
`
`FSTD Frequency Switched Transmit Diversity
`FTP File Transfer Protocol
`FTTH Fibre-To-The-Home
`GBR Guaranteed Bit Rate
`GCL Generalized Chirp-Like
`GERAN GSM EDGE Radio Access Network
`GGSN Gateway GPRS Support Node
`GMSK Gaussian Minimum-Shift Keying
`GNSS Global Navigation Satellite System
`GPRS General Packet Radio Service
`GPS Global Positioning System
`GSM Global System for Mobile
`communications
`GT Guard Time
`GTP GPRS Tunnelling Protocol
`GTP-U GTP-User plane
`HARQ Hybrid Automatic Repeat reQuest
`HD-FOO Half-Duplex FDD
`HeNB Home eNodeB
`HFN Hyper Frame Number
`IDI. High Interference Indicator
`HLR Home Location Register
`HRPD High Rate Packet Data
`HSDPA High Speed Downlink Packet Access
`HSPA High Speed Packet Access
`HSPA+ High Speed Packet Access Evolution
`· HSS Home Subscriber Server
`HSUPA High Speed Uplink Packet Access
`HTTP HyperText Transfer Protocol
`ICI Inter-Ca1Tier Interference
`ICIC Inter-Cell Interference Coordination
`JDFT Inverse Discrete Fourier Transform
`JETF internet Engineering Task Force
`IFDMA Interleaved Frequency Division
`Multiple Access
`IFFT Inverse Fast Fourier Transform
`i.i.d. Independent identically disttibuted
`IM Implementation Margin
`IMD Inter-Modulation Distortion
`IMS IP Multimedia Subsystem
`
`Samsung Ex. 1013
`
`

`

`xx.xvi
`
`LIST OF ACRONYMS
`
`IMSI International Mobile Subscriber Identity
`IMT International Mobile Telecommunications
`InH Indoor Hotspot
`IP Internet Protocol
`IR Incremental Redundancy
`IRC Interference Rejection Combining
`ISD Inter-Site Distance
`ISi Inter-Symbol Interference
`IST-WINNER Information Society
`Technologies - Wireless world INitiative
`NEwRadio
`ITU International Telecommunication Union
`ITU-R ITU Radiocommunication sector
`J-TACS Japanese Total Access Communication
`System
`JT Joint Transmission
`LA Local Area
`LAC Local Area Code
`LB Long Block
`LBP Layered Belief Propagation
`LBRM Limited Buffer Rate Matching
`LCID Logical Channel ID
`LDPC Low-Density Parity Check
`L-GW LIPA GateWay
`LI Length Indicator
`LIPA Local IP Access
`LLR Log-Likelihood Ratio
`LMMSE Linear MMSE
`LNA Low Noise Amplifier
`LO Local Oscillator
`LOS Line-Of-Sight
`LPP LTE Positioning Protocol
`LS Least Squares
`LSF Last Segment Flag
`LTE Long-Term Evolution
`MA Metropolitan Area
`MAC Medium Access Control
`MAC-I Message Authentication Code for
`Integrity
`
`MAN Metropolitan Area Network
`MAP Maximum A posteriori Probability
`MBL Mobility Load Balancing
`MBMS Multimedia Broadcast/Multicast Service
`MBMS GW MBMS GateWay
`MBR Maximum Bit Rate
`MBSFN Multimedia Broadcast Single
`Frequency Network
`MCCH Multicast Control CHannel
`MCE Multicell Coordination Entity
`MCH Multicast CHannel
`MCL Minimum Coupling Loss
`MCS Modulation and Coding Scheme
`Mcps Megachips per second
`MDS Minimum Discernible Signal
`MDT Minimization of Drive Tests
`MeNB Macro eNodeB
`MIB Master Information Block
`MIMO Multiple-Input Multiple-Output
`MIP Mobile Internet Protocol
`MISO Multiple-Input Single-Output
`ML Maximum Likelihood
`MLD Maximum Likelihood Detector
`MME Mobility Management Entity
`MMSE Minimum MSE
`MO Mobile Originated
`MOP Maximum Output Power
`MPS Multimedia Priority Service
`M-PSK M-ary Phase-Shift Keying
`MQE Minimum Quantization Error
`MRB Multicast Radio Bearer
`MRC Maximum Ratio Combining
`M-RNTI MBMS Radio Network Temporary
`Identifier
`MRO Mobility Robustness Optimization
`MSA MCH Subframe Allocation
`MSAP MCH Subframe Allocation Pattern
`MSB Most Significant Bit
`MSD Maximum Sensitivity Degradation
`MSE Mean Squared Error
`
`Samsung Ex. 1013
`
`

`

`LIST OF ACRONYMS
`
`MSI MCH Scheduling Information
`MSISDN Mobile Station International
`Subscriber Directory Number
`MSP MCH Scheduling Period
`MSR Maximum Sensitivity Reduction
`MTC Machine-Type Communications
`MTCH Multicast Traffic CHannel
`MU-MIMO Multi-User MIMO
`MUE Macro User Equipment
`NACC Network Assisted Cell Change
`NACK Negative ACKnowledgement
`NACS NonAdjacent Channel Selectivity
`NAS Non Access Stratum
`NCC Network Colour Code
`NCL Neighbour Cell List
`NDI New Data Indicator
`NF Noise Figure
`NGMN Next Generation Mobile Networks
`NLM Network Listen Mode
`NLMS Normalized Least-Mean-Square
`NLOS Non-Line-Of-Sight
`NMT Nordic Mobile Telephone
`NNSF NAS Node Selection Function
`NodeB The base station in WCDMA systems
`NR Neighbour cell Relation
`NRT Neighbour Relation Table
`O&M Operation and Maintenance
`OBPD Occupied Bandwidth Power De-rating
`OBW Occupied BandWidth
`OCC Orthogonal Cover Code
`OFDM Orthogonal Frequency Division
`Multiplexing
`OFDMA O1thogonal Frequency Division
`Multiple Access
`OPEX OPerational Expenditure
`OSG Open Subscriber Group
`OTDOA Observed Time Difference Of Arrival
`01 Overload Indicator·
`
`xxxii
`
`OMA Open Mobile Alliance
`OOB Out-Of-Band
`P/S Parallel-to-Serial
`PA Power Amplifier
`PAN Personal Area Network
`PAPR Peak-to-Average Power Ratio
`PBCH Physical Broadcast CHannel
`PBR Prioritized Bit Rate
`PCC Policy Control and Charging*
`PCC Primary Component Carrier*
`PCCH Paging Control CHannel
`P-CCPCH Primary Common Control Physical
`CHannel
`PCEF Policy Control Enforcement Function
`PCell Primary serving Cell
`PCFICH Physical Control Format Indicator
`CHannel
`PCG Project Coordination Group
`PCH Paging CHannel
`PCI Physical Cell Identity
`P-CPICH Primary Common Pllot CHannel
`PCRF Policy Control and charging Rules
`Function
`PDCCH Physical Downlink Control CHannel
`PDCP Packet Data Convergence Protocol
`PDN Packet Data Network
`PDP Power Delay Profile
`POSCH Physical Downlink Shared CHannel
`PDU Protocol Data Unit
`PF Paging Frame
`PFS Proportional Fair Scheduling
`P-GW PDN GateWay
`PIDCH Physical Hybrid ARQ Indicator
`CHannel
`PHR Power Headroom Report
`PLL Phase-Locked Loop
`PLMN Public Land Mobile Network
`P-MCCH Primary MCCH
`PMCH Physical Multicast CHannel
`PMI Precoding Matrix Indicators
`PMIP Proxy MIP
`
`Samsung Ex. 1013
`
`

`

`xxxviii
`
`P"l Pseudo-Nobe
`PO Paging Occasion
`PRACH Physical Random Access CHannel
`PRB Physical Resource Block
`P-RNTI Paging RNTI
`PRG Precoder Resocirce block Group
`PRS Positioning Reference Signal
`PS Packet-Switched
`P-SCH Primary Synchronization CIIanncl
`PSD Power Spectral Density
`PSS Primary Synchronization Signal
`PTI Preecder Type lndication
`PlJCCH Physical Uplink Control CHanncl
`PUSCH Physical T.;plink Shared CHanncl
`PVI Precoding Vecror Indicator
`PWS Pubiie Warning System
`QAM Quadrature Amplitude Modulation
`QCI QoS Class Identifier
`QoS Quality-of-Service
`QPP Quadrntic Permutation Polynomial
`QPSK Quadrature Phase Shift Keying
`
`RA Random Access
`RAC Routing Area Colle
`RACH Random Access CHannel
`RAN Radio Access >cctwork
`RAR Random Acccs~ Response
`RA-RNTI Ram.lorn Access Radio Network
`Temporary Identifier
`
`RAT Radio Access Technology
`RB Re,ource Block
`RE Resource Element
`REG Resource Element Group
`RF Radio F~equency'
`RF Resegmentation Flag'
`RFC Request For Comments
`RI Rank Indicator
`RIM RAN Information Management
`RIT Radio Interface Technology
`
`LIST OF ACRONYMS
`
`RLC Radio Link Control
`RLF Radio Link Pailure
`RLS Recursive Least Squares
`RlVI Rate Matching"
`RM Reed-Muller
`Ri\ila Rurnl Macrocell
`RN Relay Node
`RNC Radio Netwo,k Controller
`RNTI Radio Network Temporary Identifier
`RNTP Relative Narrowhand Transmit Power
`ROHC RObust Header Compression
`RoT Rise over Thennal
`R-PDCCH Relay Physical Downlink Control
`Channel
`RPRF, Received Power per Resource Element
`RPF RePetilion Factor
`R-PLM:'.'l Registered PLMN
`RRC Radio Resource Control'
`RRC Root-Raised-Cosine
`RRH Remote Rudio Head
`RRM Radio Resource Management
`RS Reference Signal
`RSCP Received Signal Code Power
`RSRP Reference Signal Received Power
`RSRQ Reference Signal Received Quality
`RSSI Received Signal Strength Indicator
`RSTD Reference Signal Time Difference
`RTCP Real-lime Transp,)rt Conlrol Protocol
`RTD Round-Trip Delay
`RTP Real-lime Transport Protocol
`RTT Round-Trip Time
`RV Redundancy Version
`S/P Serial-to-Parallel
`SlAP S l Application Protocol
`SAE System Architecture Evolution
`SAP Service Access Point
`SAW Stop-And-Wait
`SB Short Block*
`SB Synchronization Burse
`SBP Systematic Bit Puncturing
`
`Samsung Ex. 1013
`
`

`

`I ~ .,,
`
`LIST OF ACRONYMS
`
`SCC Secondary Component Carrier
`SC-FDMA Single-Carrier Frequency Division
`Multiple Access
`SCH Synchronization CHannel
`SCM Spatial Channel Model
`SCME Spatial Channel Model Extension
`SCTP Stream Control Transmission Protocol
`SDMA Spatial Division Multiple Access
`SDO Standards Development Organization
`SOU Service Data Unit
`SeGW Secw·ity Gate Way
`SEM Spectrum Emission Mask
`SFBC Space-Frequency Block Code
`Sl<'DR Spurious-Free Dynamic Range
`SFN System Frame Number
`SGSN Serving GPRS Support Node
`S-GW Serving Gate Way
`SI System Information
`SIB System lnfonnation Block
`SIC Successive Interference Cancellation
`SIMO Single-Input Multiple-Output
`SINR Signal-to-Interference plus Noise Ratio
`SIP Session Initiation Protocol
`SIR Signal-to-Interference Ratio
`SI-RNTI System Information Radio Network
`Temporary Identifier
`SISO Single-Input Single-Output'
`SISO Soft-Input Soft-Output•
`SLP SUPL Location Platform
`S-MCCH Secondary MCCH
`SMS Short Message Service
`SN Sequence Number
`SNR Signal-to-Noise Ratio
`S O Segmentation Offset
`SON Self-Optimizing Networks
`SORTO Space Orthogonal-Resource Transmit
`Diversity
`SPA Sum-Product Algorithm
`
`xxxix
`
`SPS Semi-Persistent Scheduling
`SPS-C-RNTI Semi-Persistent Scheduling
`C-RNTI
`SR Scheduling Request
`S RB Signalling Radio Bearer
`S RIT Set of Radio Interface Technology
`SRNS Serving Raclio Ne twork Subsystem
`S RS Sounding Reference Signal
`S-SCH Secondary Syncronization CHannel
`SSS Secondary Synchronization Signal
`STBC Space-Time Block Code
`S-TMSI SAE-Temporary Mobile Subscriber
`Identity
`STTD Space-Time Transmit Diversity
`SU-MIMO Single-User MJMO
`SUPL Secure User Plane Location
`SVD Singular-Value Decomposition
`TA Tracking Area
`TAC Tracking Area Code
`TACS Total Access Communication System
`TAI Tracking Area Identity
`TB Transport Block
`TCP Transmission Control Protocol
`TDC Time-Domai n Coordination
`TDD Time Division Duplex
`TDL Tapped Delay Line
`· TDMA Time Division Multiple Access
`TD-SCOMA Time Division Synchronous Code
`Division Multiple Access
`TEID Tunnelling End ID
`TF Transport Format
`TFT Traffic Flow Template
`TM Transparent Mode
`TMD Transparent Mode Data
`TNL Transport Network Layer
`TNMSE Truncated Nonnalized Mean-Squared
`Error
`TPC Transmitter Power Control
`TPD Total Power De-rating
`TPMI Transmitted Precoding Matrix J..ndicator
`TR Tone Reservation
`
`Samsung Ex. 1013
`
`

`

`xl
`
`TSC Training Sequence Code
`
`TSG Technical Specification Group
`TTA Telecommunications Technology
`Association
`
`TTC Telecommunications Technology
`Committee
`TTFF Time Ttl First Fix
`TTl Transmission Time Interval
`TU Typical Urban
`UCI Cpl ink Control Information
`UDP Use, Datagram Protocol
`UE User Equipment
`l!L UpLink
`ULA Uniform Linear Array
`UL-SCH UpLink Shared CHannei
`L.M Unacknowledged Mode
`l!Ma l:rban Macroccll
`{;MB Ultra-1\fobile Broadband
`UMi Urban Micwcell
`LMTS Universal l\fobile Telecommunications
`System
`UP l:nitary Precoding
`UpPTS Uplink Pilot Timeslot
`VS Uncondated-Sca1tcrcd
`l'SIM Universal Subscriber Identity Module
`UTRA Universal Terrest1ial Radio Access
`
`LIST OF ACRONr7V[S
`
`UTRAN Universal Terrestrial Radio Access
`"-:ctwork
`
`VA Viterbi Algorithm
`
`VCR Virtual Circular Buffer
`
`V CO Voltage-Controlled Oscillator
`VoIP Voice-over-JP
`VRR Virtual Resource Block
`
`WA WideArea
`WAN Wide Arca Network
`\VCDiWA V/ideband Code Division Multiple
`Access
`'WFT \Vinograd Fourier Transform
`
`WG Working Group
`WiMAX Worldwide interoperability for
`r-.licrowave Accc&s
`
`\VJNNER Wireless world TNilia,ive NEw RaJio
`
`WLAN Wireless Local Area Network
`
`\VPD \Vavcform Power De-rating
`
`\VRC \Vorlcl Radiocommunication Conforence
`WSS Wide-Sense Stationary
`\VSSUS Wide-Sense Stationary Uncorrelated
`Scaltering
`
`ZC Zadotf-Chu
`ZCZ Zero Correlation Zone
`ZF Zero-Forcing
`
`ZFEP Zero-Forcing Equal Power
`
`Samsung Ex. 1013
`
`

`

`:t
`,i
`
`'(
`
`i:
`
`27
`
`Introduction to LTE-Advanced
`
`Dirk Gerstenberger
`
`27.1
`
`Introduction and Requirements
`
`With the completion ofLTE Release 8, 3GPP started to look into ways to further evolve LTE
`for the future, in order to build upon the existing LTE technology and to ensure that LTE
`remains the leading global standard for mobile broadband.
`Enhanced perfomrnnce can in principle be achieved in two ways - by using more
`radio spectrum, and by using the available spectrum more efficiently. The International
`Telecommunication Union (ITU) has taken steps to ensure that more radio spectrum will
`be available, globally whenever possible, for systems beyond the 3rd Generation. The World
`Radiocommunication Conference (W"RC) 2007 resulted in some new spectrum bands being
`ea1marked for mobile services. In order to satisfy the perceived needs and to ensure that
`effective use is made of spectrum allocations, in March 2008 the ITU Radiocommunication
`Sector (ITU-R) issued a 'circular letter' [Jr calling for submission of candidate Radio
`Interface Technologies (RITs). Successful proposals would fulfil the ITU-R's requirements
`for 1MT-Advanced1 (2).
`Key features of !MT-Advanced set out in the circular letter are:
`
`• A high degree of commonality of functionality worldwide, while retaining the
`flexibility to support a wide range of services and applications in a cost-efficient
`manner;
`• Compatibility of services within IMT and with fixed networks;
`• Capability of interworking with other radio access systems;
`• High quality mobile services, user equipment suitable for worldwide use, user-friendly
`applications, services and equipment, and worldwide roaming capability;
`
`1 lnternational Mobile Telecommw1ications - Advanced (following on from the lMT-2000 family of systems).
`
`LTE - 111e UMTS Long Tetm Evobitio11: Prom Theory to Practice, Second Edition.
`Stefania Sesia, lssam Toufik and Matthew Baker.
`© 2011 John Wiley & Sons. Ltd. Published 201 I by John Wiley & Sons. Ltd.
`
`Samsung Ex. 1013
`
`

`

`616
`
`LTE- THE UMTS LONG TERM EVOLUTION
`
`• Enhanced peak data rates to support advanced services and applications (100 Mbps for
`high mobility and l Gbps for low mobility were established as targets for research).
`
`The key radio access requirements set by ITU-R for !MT-Advanced for d ifferent
`deployment scenarios are summarized in Table 27.1. Note that the spectral efficiency
`requirements in downlink and uplink are defined on a per-cell basis, and no explicit peak
`data rate requirements are defined.
`
`/
`
`Table 27.1: Key radio access requirements ofIMT-Advanced for different deployment
`scenarios (see Figure 20.8 for details of the deployment scenarios).
`
`Parame ter
`Maximum Bandwidth
`
`Peak spectral efficiency
`(bps/Hz)
`
`Average spectral efficiency
`(bps/Hz/Cell)
`
`Cell-edge user
`spectral efficiency (bps/Hz)
`
`VoIP capacity
`(user/cell/MHz)
`User plane latency (ms)
`Control plane latency (ms)
`
`Uplink
`Downlink
`At least 40 MHz
`
`15
`
`6.75
`
`2.25 (Indoor Hotspot)
`3.0 (lndoor Hotspot)
`J .8 (Urban Micro)
`2.6 (Urban Micro)
`1.4 (Urban Macro)
`2.2 (Urban Macro)
`0.7 (Rural Macro)
`1. l (Rural Macro)
`0.07 (Indoor Hotspot)
`0. 1 (Indoor Hotspot)
`0.05 (Urban Micro)
`0.075 (Urban Micro)
`0.03 (Urban Macro)
`0.06 (Urban Macro)
`0.015 (Rural Macro)
`0.04 (Rural Macro)
`50 (Indoor Hotspot)/ 40 (Urban Micro and
`Urban Macro)/ 30 (Rural Macro)
`JO
`JOO
`
`In response to the call for proposals from ITU-R, a workshop of 3GPP TSG RAN2 took
`place in April 2008 to identify targets and potential techniques for further advancement of
`LT E, which led to a set of requirements being approved in May 2008 [3].
`These targeted advancements became LTE-Advanced, specified as LTE Release 10 and
`beyond. LTE-Advanced is the 3GPP candidate RIT for !MT-Advanced. It is designed to meet
`the requirements of mobile network operators for the evolution of LTE, and to exceed the
`!MT-Advanced requirements.
`3GPP's key radio-access targets for LTE-Advanced are outlined in Table 27.2. In addition,
`3GPP set requirements on backward compatibility with earlier releases of LTE, as discussed
`in more detai l in Section 27.3. T his allows network operators to continue serving existing
`LTE customers while their network equipment is progressively upgraded. Requirements on
`spectrum deployment and flexibility, coexistence with legacy Radio Access Technologies
`(RATs), and complexity and service support were also defined (3).
`
`2Tcchnica1 Specification Group Radio Access Network - see Section 1.1.3.
`
`Samsung Ex. 1013
`
`,,
`•'
`
`;~
`
`.\
`
`=~ ;, .,
`,: .,
`' :1-
`
`

`

`r ' i
`t
`! I
`t
`t
`l
`! ,.
`l I. f
`
`!
`
`!
`
`INTRODUCTION TO LTB-ADVANCED
`
`617
`
`Table 27.2: Key radio access targets for LTE-Advanced as set by 3GPP [4].
`Downlink I Uplink
`Up to 100 MHz
`
`Maximum Bandwidth
`
`Parameter
`
`Peak data rate (Mbps)
`
`Peak spectral efficiency (bps/Hz.)
`
`Average spectral efficiency
`(bps/Hz/Cell)
`
`Cell-edge user
`spectral efficiency (bps/Hz)
`
`VoIP capacity
`(user/cell/MHz)
`User plane latency (ms)
`Control plane latency
`(ms)
`
`500
`
`15
`
`1000
`30
`2
`2.6
`for 'Case l' for 'Case I'
`0.(cid:144)7
`for 'Case I'
`
`0.09
`for 'Case I '
`
`Exceeding LTE Release 8
`
`10
`50 (Idle to Active),
`10 (Dormant to Active)
`
`3GPP's targets for LTE-Advanced were set independently from the !MT-Advanced
`requirements; it can be seen that some of the 3GPP targets exceed the !MT-Advanced
`requirements, such as the peak spectral efficiency and the control plane latency targets. This
`is related both to the fact that LTE Release 8 already fulfils many of the IMT-Advanced
`requirements (see Chapter 26), and to the fact that LTE-Advanced is not limited to LTE
`Release IO but will also include new features in subsequent LTE releases . The ITU-R process
`called for complete descriptions of the !MT-Advanced candidates Lo be submitted by June
`2009, with submission of the final details including a performance evaluation following by
`October 2009. 3GPP documented its submission in (5).
`The 3GPP submission to ITU-R included an FDD3 and a TDD4 RIT component, which
`were develope<l with the goal of maximizing their commonality. Together, the FDD and TDD
`RITs comprise a 'Set ofRITs' (SRIT) . 3GPP's submission to ITU-R (6, 7) included detailed
`te.clmology characteristics, link budget analysis and information about supported services,
`spectrum and technical performance.
`An evaluation of LIB-Advanced was carried out by 18 companies in 3GPP, showing that
`LTE-Advanced completely satisfies the criteria set by the ITU-R for JMT-Advanced. The
`results of the evaluation are included in [7]. As a result, LTE-Advanced was accepted by the
`ITU as an JMT-Advanced technology in October 2010.
`
`3F re.quency Division Duplex.
`~Time Division Duplex.
`
`Samsung Ex. 1013
`
`,l
`. .. ,
`
`

`

`618
`27.2
`
`LTE - THE UMTS LONG TERM EVOLUTION
`Overview of the Main Features of LTE-Advanced
`
`The main components of LTE-Advanced that are added to LTE in Release 10 are:
`
`• Carrier aggregation;
`• Enhanced downlink multiple antenna transmission;
`• Uplink multiple antenna transmission;
`• Relaying;
`• Support for heterogeneous net.work deployments.
`
`Data rates of the order of I Gbps might theoretically be achieved using contiguous
`bandwidths of 40 MHz or more. However, competition for spectrum and fragmentation of the
`available spectrum makes it unrealistic to expect such large contiguous bandwidths in most
`cases. LTE-Advanced therefore makes use of carrier aggregation (see Chapter 28) to support.
`such large bandwidths. This also has the advantages of limiting the cost of equipment and
`enabling much of the technology developed for LTE Release 8 to be reused. Each 'component
`carrier' within an aggregation is designed to be fundamentally similar to an LTE Release 8
`carrier so that they can be configured in a backward-compatible way and used by legacy
`UEs if desired. Up to five component carriers with a bandwidth of up to 20 MHz each
`can be aggregated in LTE•Advanced to make efficient use of the available spectrum and
`achieve the desired total bandwidth and peak data rate . LTE-Advanced enables a va1iety of
`different arrangements of component carriers to be aggregated, including component carriers
`of the same or different bandwidths, adjacent o.r non-adjacent component carriers in the same
`frequency band, and component can-iers in different frequency bands. The physical layer
`mechanisms for carrier aggregation are largely independent of the frequency location of the
`component carriers; but in order to minimize the number of configurations that have to be
`supported and avoid unnecessary terminal implementation complexity, the set of supported
`scenarios is carefully prio1:itized in 3GPP. This is discussed in more detail in Section 28.4.3.
`LTE-Advanced can also make use of canier aggregation to support deployments of
`heterogeneous networks consisting of a layer of macrocells and a layer of small cells
`coexisting with at least one carrier being common between them. In such a deployment,
`transmissions from one cell can interfere strongly with the control channels of another, thus
`impeding scheduling and signalling. LTE-Advanced supports cross-carrier scheduling (see
`Section 28.3.1) to enable control signalling to be transmitted on one component carrier
`corresponding to data transmissions on another; in this way, control channel int.e1ference
`between macrocells and small cells can be avoided.
`Although the use oflarger bandwidths by means of carrier aggregation allows highe.r peak
`data rates to be achieved, it does not increase the spectral efficiency as is required by the peak
`spectral efficiency targets shown in Table 27.2. LTE-Advanced therefore supports enhanced
`downlink MIMO transmission, by increasing the number of antennas at the eNodeB and UE,
`and hence the maximm11 number of spatial transmission layers for Single-User MIMO (SU(cid:173)
`MIMO), from four in LTE Release 8 to eight. This may increase the multiplexing gain by a
`factor of two depending on the level of decorrelation between the antennas, and thus helps to
`achieve the spectral efficiency target of 30 bps/Hz. This is discussed in detail in Chapter 29.
`Similarly to lhe downlink, the number of spatial layers supported in the uplink for SU(cid:173)
`MIMO is increased from one to four in Release 10 in order to meet the peak spectral
`
`Samsung Ex. 1013
`
`

`

`INTRODUCTION TO LTE-ADVANCED
`
`619
`
`efficiency target of 15 bps/Hz. In addition, transmit diversity .is introduced for the uplink
`control signalling.
`In order to further improve the spectral efficiency, especially at the cell edge, a later release
`of LTE-Advanced may incorporate enhanced support for Coordinated MultiPoint (CoMP)
`schemes. CoMP transmission in the downlink entails the coordination of transmissions from
`multiple cells. This may take the form of coordinated scheduling to one or more UEs to
`reduce interference or to achieve spat.ia] multiplexing gain by benefiting from the macro(cid:173)
`diversity that results from the low correlation between geographically diverse base station
`sites. With an even higher degree of coordination, multisite beamforming approaches may be
`considered. Some further details can be found in Section 29.5. Release 10 supports enhanced
`reference signals to facilitate multicel1 measurements by the UEs. In the uplink, CoMP
`reception at different cells is already possible as part of the network implementation in LTE
`Release 8.
`In order to support deployments of LTE in parts of the network where a wired backhaul is
`not available or is veiy expensive, Relay Nodes (RNs) are supported by LTE-Advanced (see
`Chapter 30). An LTE-Advanced RN appears to the UEs as a Release 8 cell with its own cell
`ID. A UE receives and transmits all its control and data signals from and to the RN, while
`the RN separately uses LTE-Advanced technology to transfer control and data to and from a
`donor cell. The main characteristics aud challenges of relaying are explained in Chapter 30.
`
`27.3 Backward Compatibility
`
`LTE-Advanced is defined as an evolution of LTE which can also be deployed on new bands.
`Hence, one of the design targets for LTE-Advanced was backward