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. 1016
`
`IPR2022-00464
`Apple EX1016 Page 1
`
`

`

`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. 1016
`
`IPR2022-00464
`Apple EX1016 Page 2
`
`

`

`This edition first published 2011
`© 2011 John \Viley & Sons Ltd_
`
`Registered o,_ffice
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, P019 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 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 11gConnect LIB-equipped car.
`3GPP website reproduced by permission of© 3GPPTM_
`
`\Viley also publishes its books in a variety of electronic formats. Some content that appears in print
`may nor 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, servkc 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 amhoritative
`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-Publication Data
`
`Sesia, Stefania.
`LTE-the UMTS long term evolution; from theory to practice/ Stefania Sesia, Issam Toufik,
`Matthew Baker. - 2nd ed.
`p.cm.
`Includes bibliographicul references and index.
`ISBN 978-0-470-66025-6 (hardback)
`L Universal Mobtle Telecommunications System. 2. Long-Term Evolution (Telecommunications)
`L Toufik, Issam. IL Baker, Matthew (Matthew P.J.) Ill. Title.
`TK5103.4883.S47 201 I
`62 l .3845'6-dc22
`
`2010039466
`
`A catalogue record for this book is available from the British Library.
`
`Print ISBN: 9780470660256 (H/B)
`ePDF ISBN: 978047097851 l
`oBook ISBN: 9780470978504
`epub ISBN: 9780470978641
`
`Printed in Great Britain by CPI Antony Rowe, Chippenham, Wiltshire.
`
`IPR2022-00464
`Apple EX1016 Page 3
`
`

`

`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
`
`AN RF 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
`
`ARIB 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 CHarrnel
`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 Identification Code
`BSR Buffer Status Reports
`CAPE X CAPital EXpenditure
`CAZAC Constant Amplitude Zero
`AutoCorrelation
`
`Samsung Ex. 1016
`
`IPR2022-00464
`Apple EX1016 Page 4
`
`

`

`________ , ,,,~,---·---===--------------------
`
`xxxiv
`
`LIST OF ACRONYMS
`
`CB Circular Buffer
`CBF Coordinated Beamform.ing
`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 POU 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
`OS-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 - Turrestrial
`DwPTS Downlink Pilot TimeSlot
`ECGI E-UTRAN Cell Global Identifier
`
`IPR2022-00464
`Apple EX1016 Page 5
`
`

`

`LIST OF ACRONYMS
`
`E CM 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-R AB E-UTRAN Radio Access Bearer
`E-SMLC Evolved Serving Mobile Location
`Centre
`ESP Encapsulating Security Payload
`ETSI European Telecommunications Standards
`Institute
`ET U 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 FD D
`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
`I CI Inter-Ca1Tier Interference
`ICI C 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. 1016
`
`IPR2022-00464
`Apple EX1016 Page 6
`
`

`

`xx.xvi
`
`LIST OF ACRONYMS
`
`IMSI International Mobile Subscriber Identity
`IMT International Mobile Telecommunications
`InB 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-Tenn 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
`MCCB 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 A!Jocation
`MSAP MCH Subframe Allocation Pattern
`MSB Most Significant Bit
`MSD Maximum Sensitivity Degradation
`MSE Mean Squared Error
`
`IPR2022-00464
`Apple EX1016 Page 7
`
`

`

`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 01thogonal 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
`
`IPR2022-00464
`Apple EX1016 Page 8
`
`

`

`xxxviii
`
`PN Pseudo-Noise
`PO Paging Occasion
`PRACH Physical Random Access CHannel
`PRB Physical Resource Block
`P-RNTI Paging RNTI
`PRG Precoder Resomce block Group
`PRS Positioning Refere'Jce Signal
`
`PS Packet-Switched
`P-SCH Primary Synchronization CI Ianncl
`PSD Power Spectral Density
`PSS Primary Synchronization Signal
`PT! Prcccder Type lndication
`Pl.JCCH Physical Uplink Control Cllanncl
`PUSCH Physical l,;plink Shared CHannel
`PVI Precoding Vector Indicator
`
`PWS Public Warning System
`QAM Quadrature Amplitude Modulation
`QCI QoS Class Identifier
`QoS Quality-of-Service
`QPP Quadratic Permutation Polynomial
`QPSK Quadrature Phase Shift Keying
`RA Random Access
`RAC Roming Area Code
`RACH Random Access CHannel
`RAN Radio Access >ictwork
`RAR Random Access Response
`RA-RNTI Random Access Radio Network
`Temporary Identifier
`RAT Radio Access Technology
`RR Resource Block
`RE Resource Element
`
`REG Resource Element Group
`RF Radio Frequency'
`RF Resegmentation Flag·
`RFC Request For Comments
`RI Rank Indicator
`RIM RAN Information Management
`RIT Radio Interface Teclmology
`
`LIST OF ACRONYMS
`
`RLC Radio Link Control
`RLF Radio Link Pailurc
`RLS Recursive Least Squares
`RlVI Rate Matching·
`RM Reed-Muller·
`Rl\ila Rural Macrocell
`RN Relay Node
`RNC Radio Netwo,.k Controller
`RNTI Radio Network Tempornry Identifier
`RNTP Relative Narrowband Trnnsmit Power
`ROHC RObust Header Compression
`RoT Rise over Thcnnal
`R-PDCCH Relay Physical Do'Nnlink Control
`Channel
`RPRE Received Power per Resource Element
`RPF RePetition Factor
`R-PlAI"l Registered PLMN
`RRC Radio Resource Control·
`RRC Root-Raised-Cosine'
`RRH Remote Radio 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 Transport Comm! Protocol
`RTD Round-Trip Delay
`RTP Real-time Transport Protocol
`RTT Round-Trip Time
`RV Rednnda:icy Version
`S/P Serial-to-Parnllel
`SlAP S l Application Protocol
`SAE System Architecture Evolution
`SAP Service Access Point
`SAW Stop-And-Wait
`SB Short Block*
`SB Synchronization Bu,-st*
`SBP Systematic Bil Punctllring
`
`IPR2022-00464
`Apple EX1016 Page 9
`
`

`

`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 Radio 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-Domain Coordination
`TDD Time Division Duplex
`TDL Tapped Delay Line
`· TDMA Time Division Multi ple 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. 1016
`
`IPR2022-00464
`Apple EX1016 Page 10
`
`

`

`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 lntervai
`TU Typical Urban
`UCI Cpl ink Control Information
`·cnP Use, Datagram Protocol
`UE l'ser Equipment
`CL UpLink
`ULA Uniform Linear Array
`UL-SCH UpLink Shared CHannei
`LM Unacknowledged Mode
`Cl\fa l: rban Macrocell
`
`{_;i\ffi Ultra-1\fohik Broadband
`
`UMi Urban Microcell
`LMTS Universal Mobile Telecommunications
`System
`UI:' L:nitary Precoding
`Upl'TS l'plink Pilot Timeslot
`CS UnconelatcJ-Scattcrcd
`l:SIJ'vI universal Subscriber Identity Module
`lJTRA Universal Terrest1ial Radio .Access
`
`LIST OF ACRONY!V[S
`
`UT RAN Universal Terrestrial Radio Access
`'\'ctwork
`
`VA Viterbi Algorithm
`VCB Vi11ual Circular Buffer
`
`V CO Voltage-Controlled Oscillator
`VoIP Voice-over-JP
`VRB Virtual Resource Block
`
`WA WideArea
`\VAN Wide Arca Nctv,ork
`\VCDivIA V/ideband Code Division Multiple
`Access
`\VFT 'Winograd Fourier Transform
`
`\VG Working Group
`
`WE\,IAX Worldwide interoperability for
`Microwave Acce&s
`\VINNER Wireless world TNitiative NEw Radio
`
`WLAN Wireless Local Area Network
`\VPD \Vavcform Power De-rating
`\VRC \Vorlcl Radiocommunication Conference
`
`WSS Wide-Sense Stationary
`\VSSUS Wide-Sense Stationary Cncorrclated
`Scattering
`ZC Zadoff-Chu
`ZCZ Zero Conclation Zone
`ZF Zero-Forcing
`ZFEP Zero-Forcing Equal Power
`
`IPR2022-00464
`Apple EX1016 Page 11
`
`

`

`29
`
`Multiple Antenna Techniques for
`LTE=Advanced
`
`Alex Gorokhov, Amir Fmrajidana, Kapil Bhattad, Xiliang
`Lu.o and Stefan Geirhofer
`
`Multiple antenna techniques play a key role in LTE-Advaneed. In the downlink. the goals
`arc to support higher data rates than LTE Releases 8 and 9 through high-order Single-User
`Multiple-Input Multiple-Output <SU-MIMO), and higher spectrrrl efficiency via enhanced
`Multi-User MIJvIO (MU-1vIIMO) techniques. To support these advances, new reference
`signals and enhanced UE feedback are introduced. In the uplink, SU-MHv10 is introuuced,
`and the control channel performance is enhanced using transmit diversity.
`This chapter explains the techniques adopted for Release 10 and gives some insight into
`additional Mt\10 enhancement features that may be developed in future releases of LTE(cid:173)
`Advancecl.
`
`29.1 Downlink Reference Signals
`
`As discussed in detail in Section 8.2, LTE Release 8 provides cell-specific Reference Signals
`(RSs). also known as Common Reference Signals (CRSs) for up lo 4 antenna ports. Cell(cid:173)
`specific RSs are used hy UEs both lo perform channel estimation for demodulation of dala
`and to derive feedback on the quality and spatial properties of the downlink radio channel.
`Together ,vith signalling of the prccoder used for data transmissions to the UE. the four
`cell-specific RS ports enable spatinl multiplexing of up to four layers using codebook(cid:173)
`based precoding. as exp1ained in Section 11.2.2.2. LTE Relense 9 additionally supports
`two-layer beamforming spatial multiplexing using precoded UE-spccific RSs. which enable
`non-codebook-based prccoding to be used, as explained in Section l l.2.2.3.
`
`LTE The UMTS Long Term El'o!ution: From 11ieorv to Practice, Second Edition.
`Stefania Ssosia, Issam Toufik and \rlatthew Baker.
`© 2011 John Wiley & Sons. Ltd. Published 2011 by John Wiley & Sons, Ltd
`
`IPR2022-00464
`Apple EX1016 Page 12
`
`

`

`6S2
`
`LTE - THE UIVJ.TS LONG TERM EVOLUTION
`
`For LTE-Advanced, downlink SU-MIMO transmission is extended to support up to
`eight spatial layers. and for this purpose the precoded VE-specific RS approach is further
`developed f'or the data demodulation. This has the advantage that transmission of the new
`Release 10 UE-specitic RSs can be limited to only those Resource Blocks (RBs) where
`they are needed for demodulation, thus avoiding incurring a large overhead across the whole
`system bandwidth (as would have been the case wi,h an extension to the ccll-spec:ific RSs.
`which would also have adversely impacted 'legacy' pre-Release 10 UEs that.arc unaware of
`the new RS structure).
`In addition, in order to enahle the GE to estimate and feed back the Channel State
`Information (CSI) corresponding to up to eight antenna ports across a wide band,vidth, new
`RSs referred to as CSI-RSs are provided. Since CSI-RSs are used only for feedback purposes
`they can be sparse and incur only a small overhead.
`These two new types of RS arc explained in detail in the following subsections.
`
`29.1.1 Downlink Reference Signals for Demodulation
`
`In the same way as the UE-specific R.Ss of earlier releases (sec Sections 8.2.3 and 8.2.3 ), the
`extended DE-specific RSs of LTE-Advanced are embedded in the RBs used for the Physical
`Downlink Shared CHannel (PDSCH) for a specific UE. The UE-specific RSs for each layer
`undergo the same preceding as the data symbols, and therefore there is no need for explicit
`signalling of precoding information to the UE. A variety of multi-antenna beamforrning
`techniques can thererore he supported efficiently and transparently to the UE.
`The pattern of Resource Elements (REs) designed for the new UE-spccific R.Ss had to
`satisfy certain criteria. Firstly, it had to avoid overlapping with the cell-specific R.Ss and the
`control channels in order lo ensure backward compatibility. Secondly, the VE-specific RSs
`of different layers should be orthogonally multiplexed to avoid inter-layer RS interference
`degrading the channel estimation accuracy: this could in principle be achieved by assigning
`cli!Terent sets of REs lo !he RSs of different layers (hy Frequency-Division and/or Time(cid:173)
`Division Multiplexing FDM/TDM), and/or by Code Division Multiplexing (CDM). CDM
`has the advantages of more flexible power balancing across different layers and potentially
`heller interfcrenceestimation accuracy in JVIV-lVIHvIO scenarios.
`For Release l 0, the VE-specific RS paltern for up to 2 layers (referred to as 'rank-
`2' transmission) is identical to that defined in Release 9, in order to ensure backward
`compatibility. For up to 4 layers, the pattern is obtained hy ex.tending the Release 9 rank-
`2 UE-spccific RS pallern in a hybrid CDM/PDM fashion. as shown in Figure 29.1 (a) (for the
`case of the normal Cyclic Prefix (CP) lcngth) 1• The four precoded layers (antenna ports 7--10)
`are grouped into two groups of 2 REs, with the same length-2 Walsh-Hadamard Orthogonal
`Cover Codes (OCC) as in Release 9 (i.e. [l, l] and [1, -1]) being used to multiplex the
`layers within each group. The UE-spccitic R.Ss in different groups arc frequency-multiplexed
`on adjacent subcarricrs. This pattern has been shown to provide reasonable pcri'onnance for
`a variety of channel conditions and UE speeds [2, 3].
`
`1 By following the same p,inciples, similar patterns are defined m Release IO for the case of the extended CP and
`for the Downlink Pilot TimeSlot (DwPTS) field of the special mixed downlink-uplin'~ subframe in TDD operation
`- sec [ 1, Section 6. to.3]. Use of the extended CP with more than two UE-spccific antcnna ports is not supported in
`Release :0.
`
`IPR2022-00464
`Apple EX1016 Page 13
`
`

`

`MULTIPLE ANTENNA TECHNIQUES FOR LYE-ADVANCED
`
`653
`
`V ' /
`
`V
`
`',/
`
`V 'V
`
`l2J COM Group 1: layers 0, 1
`
`~ COM Group 2: layers 2. 3
`
`~ LTE CRS
`
`(a) Rank 1-4 pattern.
`
`1/,, r/.
`.\Ji\ >00
`
`1;21 COM Group 1: layers o, 1, 4, 6
`!i&j COM Group 2: layers 2, 3. 5,7
`
`~ LTECRS
`
`'" ..,,
`
`'V'V
`
`(b) Rank 5- 8 pattern.
`
`Figure 29. 1: Release 10 DE-specific RS patterns.
`
`For 8-layer transmission (antenna ports 7- 14), the DE-specific RS structure of Figure
`29. l (a) is further extended using hybrid CDM/FDM with two CDM groups each using a
`Walsh-Hadamard OCC of length 4 as shown in Figure 29. l(b). Exactly the same set of REs
`are used as for the rank-4 case, with the DE-specific RSs for each layer now being spread
`across four REs, all having the same frequency location but differenL time locations within
`the subframe. This approach maintains the power-balancing property of the rank-4 design
`and is optimized for pedestrian mobility - the most likely scenar.io for 8-Jayer SD-MIMO.
`The length-2 and length-4 OCCs have a nested structure (the OCC of length two is nested
`into the OCC of length four) which ensures backward compatibility with the Release 9
`design.
`The mapping of the OCCs to REs is shown in Figure 29.2 for the case of norn1al CP. T he
`mapping for odd and even RBs (in the frequency domain) is different in order to provide
`orthogonality in both time and frequency. Such orthogonality improves the performance of
`channel estimation in higher Doppler scenarios and reduces the inter-subcanier .interference
`across the two CDM groups in the presence of frequency offsets. This OCC mapping also
`enables power balancing across OFDW symbols by peak power randomization (4).
`The RS sequence for up to 8 layers is the same as in Release 9 (as described in Section
`8.2.3), except that for antenna ports 9-14 only one sequence initialization is possible.
`
`2Orthogonal Frequency Division Multiplexing.
`
`Samsung Ex. 1016
`
`IPR2022-00464
`Apple EX1016 Page 14
`
`

`

`654
`
`LTE - THE UMTS LONG TERM EVOLUTION
`
`IZJ
`lllEI
`l?!J
`
`COM Group 1
`
`COM Group 2
`
`LTECRS
`
`(0
`a::
`0.
`-0
`"O
`0
`
`rD
`Ct'.
`a.
`C
`<I) > w
`
`•
`
`b
`
`- I
`.I
`I
`1 - I
`
`•
`
`w{ I :Ji
`
`,.
`
`✓
`
`C
`
`d
`
`-I - l
`I
`- I
`
`~
`
`Figure 29.2: Length-4 OCC mapping to REs.
`
`29.1.2 Downlink Reference Signals for Estimation of Channel State
`Informatioq (CSI-RS)
`The main goal of CSI-RSs is to obtain channel state feedback for up to eight transmit antenna
`ports to assist the eNodeB in its precoding operations. Release 10 supports transmission of
`CSI-RS for I, 2, 4 and 8 transmit antenna ports. CSI-RSs also enable the UE to estimate the
`CSI for multiple cell~ rather than just its serving cell, to support future multicell cooperative
`transmission schemes (see Section 29.5.1).
`The following general design principles can be identified for the CSI-RS:
`
`• In the frequ'ency domain, uniform spacing of CSI-RS locations is highly desirable, as
`explained in Chapter 8.
`• In the time domain, it is desirable to minimize the number of subframes containing
`CSI-RS, so that a UE can estimate the CSI for different antenna ports and even different
`cells with a minimal wake-up duty cycle when the UE is in Discontinuous Reception
`(DRX) mode, to preserve battery life.
`• The overall CSI-RS overhead involves a trade-off between accurate CSI estimation for
`efficient operation and minimizing the impact on legacy pre-Release 10 UEs which
`are unaware of the presence of CSI-RS and whose data ·are punctured by the CSI-RS
`transmissions. Figure 29.3 shows that a CSI-RS density of one RE per RB per antenna
`port is a good choice, as the throughput degradation compared to ideal CS! estimation
`is negligible.
`""
`• CSI-RSs of different antenna ports within a cell, and, as far as possible, from different
`cells, should be orthogonally multiplexed to enable accurate CSI estimation.
`
`~ ,;
`
`Samsung Ex. 1016
`
`IPR2022-00464
`Apple EX1016 Page 15
`
`

`

`MULTIPLE ANTENNA TECHNIQUES FOR LYE-ADVANCED
`
`655
`
`• To ensure backward compatibility, CSI-RSs should avoid REs used for cell-specific
`RSs and control channels, as well as avoiding REs used for the Release 10 UE-specific
`RSs.
`
`TU channel, 3 km/h, Sx2
`4500,---;======= , ; - - - - , - - - - - - , - - - - , - - - - - - ,
`. . . ... . , .. ,, .. ,.
`, . , ' ' ' . ... . .. .... .,,.,.--:"":
`: .,,,,...,,._,,,,,.
`
`4000
`
`3500
`
`'[ 3000
`
`.r:, t 2500
`c..
`j 2000
`! 1500
`
`1000
`
`/"'
`. . . . . .
`,
`/
`.
`.
`··············· ··· ··· ···· ······· ···-····
`· · ·~· ···
`... ... ... :........... . ......... : .... /~if~ ..... .
`.
`~
`.
`. ..... ; /?', ,
`
`:
`.
`
`, ..
`,,,.;:'.,
`. ,,
`:_:::;:: __ .... _~i,~:; _·;:_·_:._.,_·:-f.,:'·~ ' ' ',,. ........
`.. ,: ....... , ...... i·········· ··
`500
`.
`'
`o~---~---~---~---~---~--~
`-s
`O
`10
`15
`20
`25
`5
`Average subcarricr SNR. per Rx Antenna (d.B)
`
`Figure 29.3: Throughput performance with a CSI-RS density of 1 RE per RB per antenna
`port: uncorrelated 8x2 SU-MIMO, 5 MHz, Typical Urban channel model, 3 km/h.
`
`Taking these considerations into account, the CSI-RS patterns selected for Release IO are
`shown in Figure 29.4. CDM codes oflength 2 are used, so that CSI-RSs on two antenna ports
`share two REs on a given subcarrier.
`The pattern shown in Figure 29.4(a) can be used in both frame structure I (FDD)3 and
`frame structure 2 (TDD).4 In Figure 29.4, the REs used for CSI-RSs are labelled using two
`letters, the first indicating the cell index and the second referring to the antenna ports of the
`CSI-RS transmitted on that RE. These patterns follow a 'nested' structure, meaning that the
`REs used in the case of two CSI-RS antenna ports are a subset of those used for four and
`eight antenna ports; this helps to simplify the implementation. The total number of supported
`antenna ports is 40, which can be used to give a frequency-reuse factor of 5 between cells
`with 8 antenna ports per cell, or a factor of 20 in the case of 2 antenna ports. It can be seen
`that collisions may occur with REs used for the UE-specific RS antenna ports defi.ned in
`Release 8 for PDSCH transmission mode 7 (see Section 8.2.2); it may therefore be desirable
`to avoid sche