3GPP TR 36.912 V9.0.0 (2009-09)
`
`Technical Report
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Feasibility study for
`Further Advancements for E-UTRA (LTE-Advanced)
`(Release 9)
`
`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.
`
`
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organizational Partners' Publications Offices.
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`IPR2022-00648
`Apple EX1021 Page 1
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`3GPP TR 36.912 V9.0.0 (2009-09)
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`Keywords
`LTE, Radio
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`3GPP
`
`Postal address
`
`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`Internet
`http://www.3gpp.org
`
`Copyright Notification
`
`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2009, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
`
`UMTS™ is a Trade Mark of ETSI registered for the benefit of its members
`3GPP™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`LTE™ is a Trade Mark of ETSI currently being registered for the benefit of its Members and of the 3GPP Organizational Partners
`GSM® and the GSM logo are registered and owned by the GSM Association
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`3GPP TR 36.912 V9.0.0 (2009-09)
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`Contents
`Foreword ............................................................................................................................................................ 6
`1
`Scope ........................................................................................................................................................ 7
`2
`References ................................................................................................................................................ 7
`3
`Definitions, symbols and abbreviations ................................................................................................... 8
`3.1
`Definitions ........................................................................................................................................................... 8
`3.2
`Symbols ............................................................................................................................................................... 8
`3.3
`Abbreviations ....................................................................................................................................................... 8
`4
`Introduction .............................................................................................................................................. 8
`5
`Support of wider bandwidth ..................................................................................................................... 8
`5.1
`General ................................................................................................................................................................. 8
`5.2
`User Plane ............................................................................................................................................................ 9
`5.2.1
`Structure ......................................................................................................................................................... 9
`5.2.2
`MAC ............................................................................................................................................................ 10
`5.2.3
`RLC .............................................................................................................................................................. 10
`5.2.4
`PDCP ............................................................................................................................................................ 10
`5.3
`Control plane ..................................................................................................................................................... 10
`5.3.1
`Structure ....................................................................................................................................................... 10
`5.3.2
`RRC procedures ........................................................................................................................................... 10
`5.3.3
`Idle mode procedures ................................................................................................................................... 11
`6
`Uplink transmission scheme .................................................................................................................. 11
`6.1
`Uplink spatial multiplexing ............................................................................................................................... 11
`6.2
`Uplink multiple access ....................................................................................................................................... 12
`6.3
`Uplink reference signals .................................................................................................................................... 12
`7
`Downlink transmission scheme ............................................................................................................. 12
`7.1
`Downlink spatial multiplexing .......................................................................................................................... 12
`7.1.1
`Feedback in support of downlink spatial multiplexing ................................................................................ 13
`7.2
`Downlink reference signals ............................................................................................................................... 13
`7.3
`Downlink transmit diversity .............................................................................................................................. 14
`8
`Coordinated multiple point transmission and reception ........................................................................ 14
`8.1
`Downlink coordinated multi-point transmission ............................................................................................... 14
`8.2
`Uplink coordinated multi-point reception ......................................................................................................... 14
`9
`Relaying ................................................................................................................................................. 14
`9.1
`General ............................................................................................................................................................... 14
`9.2
`Architecture ....................................................................................................................................................... 15
`9.3
`Relay-eNodeB link ............................................................................................................................................ 15
`9.3.1
`Resource partitioning for relay-eNodeB link ............................................................................................... 15
`9.3.2
`Backward compatible backhaul partitioning ............................................................................................... 16
`9.3.3
` Backhaul resource assignment ................................................................................................................... 16
`10
`Improvement for latency ........................................................................................................................ 17
`10.1
`Improvement for C-Plane latency ...................................................................................................................... 17
`10.2
`Improvement for U-Plane latency ..................................................................................................................... 17
`11 Radio transmission and reception .......................................................................................................... 18
`11.1
`RF scenarios ...................................................................................................................................................... 18
`11.1.1
`Deployment scenarios .................................................................................................................................. 18
`11.2
`Common requirements for UE and BS .............................................................................................................. 18
`11.2.1
`Carrier Aggregation ..................................................................................................................................... 18
`11.2.1.1 Bandwidth configuration of component carriers ....................................................................................... 18
`11.2.1.2 Carrier spacing between component carriers ............................................................................................. 18
`11.2.2
`Operating bands ........................................................................................................................................... 18
`11.3
`UE RF requirements .......................................................................................................................................... 19
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`General ......................................................................................................................................................... 19
`11.3.1
`Transmitter characteristics ........................................................................................................................... 20
`11.3.2
` Transmitter architecture ........................................................................................................................ 20
`11.3.2.1
` Transmit power ..................................................................................................................................... 21
`11.3.2.2
` Output power dynamics ........................................................................................................................ 21
`11.3.2.3
` Transmit signal quality ......................................................................................................................... 22
`11.3.2.4
`Output RF spectrum emissions .............................................................................................................. 22
`11.3.2.5
` Adjacent Channel Leakage ratio ..................................................................................................... 22
`11.3.2.5.1
` Spurious emission (UE to UE co-existence) ................................................................................... 22
`11.3.2.5.2
` Transmit intermodulation ..................................................................................................................... 22
`11.3.2.6
`Receiver characteristics ............................................................................................................................... 22
`11.3.3
` Receiver architecture ............................................................................................................................ 23
`11.3.3.1
`Receiver Sensitivity ................................................................................................................................ 23
`11.3.3.2
`Selectivity ............................................................................................................................................... 23
`11.3.3.3
`Blocking performance ............................................................................................................................ 24
`11.3.3.4
`Spurious response ................................................................................................................................... 24
`11.3.3.5
`Intermodulation performance ................................................................................................................. 24
`5.3.3.6
` Spurious emission ................................................................................................................................. 24
`11.3.3.7
`BS RF requirements ........................................................................................................................................... 24
`11.4
`General ......................................................................................................................................................... 24
`11.4.1
`Transmitter characteristics ........................................................................................................................... 25
`11.4.2
`Base Station output power ...................................................................................................................... 25
`11.4.2.1
`Transmitted signal quality ...................................................................................................................... 25
`11.4.2.2
`Unwanted emissions ............................................................................................................................... 25
`11.4.2.3
`Transmitter spurious emissions .............................................................................................................. 25
`11.4.2.4
`Receiver characteristics ............................................................................................................................... 26
`11.4.3
`Reference sensitivity level ..................................................................................................................... 26
`11.4.3.1
`Adjacent Channel Selectivity (ACS), narrow-band blocking, Blocking, Receiver intermodulation ..... 26
`11.4.3.2
`Performance requirements ...................................................................................................................... 26
`11.4.3.3
`12 Mobility enhancements .......................................................................................................................... 26
`13
`TS 36.133 [17] requirements enhancements .......................................................................................... 27
`14 MBMS Enhancements ........................................................................................................................... 27
`15
`SON Enhancements ............................................................................................................................... 27
`16
`Self-Evaluation Report on "LTE Release 10 and beyond (LTE-Advanced)" ....................................... 27
`16.1
`Peak spectral efficiency ..................................................................................................................................... 28
`16.2
`C-plane latency .................................................................................................................................................. 29
`16.2.1
`Idle to Connected ......................................................................................................................................... 29
`16.2.2
`Dormant to Active ........................................................................................................................................ 30
`16.3
`U-Plane latency .................................................................................................................................................. 31
`16.4
`Spectral efficiency and user throughput ............................................................................................................ 31
`16.4.1
`Cell spectral efficiency and cell-edge spectral efficiency ............................................................................ 31
`16.4.1.1
`Indoor ..................................................................................................................................................... 31
`16.4.1.2
`Microcellular .......................................................................................................................................... 32
`16.4.1.3
`Base coverage urban ............................................................................................................................... 33
`16.4.1.4
`High speed .............................................................................................................................................. 34
`16.4.2
`Number of supported VoIP users ................................................................................................................. 36
`16.4.3
`Mobility traffic channel link data rates ........................................................................................................ 36
`16.5
`Handover Performance ...................................................................................................................................... 37
`16.5.1
`Intra-frequency handover interruption time ................................................................................................. 39
`16.5.2
`Inter-frequency handover interruption time within a spectrum band .......................................................... 39
`16.5.3
`Inter-frequency handover interruption time between spectrum bands ........................................................ 39
`16.6
`Spectrum and bandwidth ................................................................................................................................... 39
`16.6.1
`Deployment in IMT bands ........................................................................................................................... 39
`16.6.2
`Bandwidth and channel bandwidth scalability ............................................................................................ 39
`16.7
`Services .............................................................................................................................................................. 39
`16.8
`Conclusions of the Self-Evaluation ................................................................................................................... 40
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`Simulation model .................................................................................................................. 41
`Annex A:
`A.1 General assumption ................................................................................................................................ 41
`A.2 CoMP assumption for evaluation ........................................................................................................... 43
`A.3
` Detailed simulation results ................................................................................................................... 43
`Latency performance of Rel-8 ............................................................................................. 44
`Annex B:
`B.1 C-plane latency ...................................................................................................................................... 44
`B.1.1
`Transition IDLE to CONNECTED ................................................................................................................... 44
`B.1.1.1
`FDD frame structure .................................................................................................................................... 44
`B.1.1.2
`TDD frame structure .................................................................................................................................... 45
`B.1.2
`Transition Dormant to Active ............................................................................................................................ 46
`B.1.2.1
`FDD frame structure .................................................................................................................................... 47
`B.1.2.1.1
`Uplink initiated transition, synchronized ............................................................................................... 47
`B.1.2.1.2
`Uplink initiated transition, unsynchronized ........................................................................................... 47
`B.1.2.1.3
`Downlink initiated transition, synchronized .......................................................................................... 47
`B.1.2.1.4
`Downlink initiated transition, unsynchronized ...................................................................................... 47
`B.1.2.2
`TDD frame structure .................................................................................................................................... 48
`B.1.2.2.1
`Uplink initiated transition, synchronized ............................................................................................... 48
`B.1.2.2.2
`Uplink initiated transition, unsynchronized ........................................................................................... 48
`B.1.2.2.3
`Downlink initiated transition, synchronized .......................................................................................... 49
`B.1.2.2.4
`Downlink initiated transition, unsynchronized ...................................................................................... 49
`B.2 U-plane latency ...................................................................................................................................... 50
`B.2.1
`FDD frame structure .......................................................................................................................................... 50
`B.2.2
`TDD frame structure .......................................................................................................................................... 51
`ITU-R Submission Templates ............................................................................................. 54
`Annex C:
`C.1
` Description template – characteristics (4.2.3.2) ................................................................................... 54
`C.2 Description template – link budget (4.2.3.3) ......................................................................................... 54
`C.3 Compliance templates for services (4.2.4.1), for spectrum (4.2.4.2), technical performance
`(4.2.4.3) .................................................................................................................................................. 54
`Change history ...................................................................................................................... 55
`Annex D:
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`3GPP TR 36.912 V9.0.0 (2009-09)
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`Foreword
`This Technical Report has been produced by the 3rd Generation Partnership Project (3GPP).
`
`The contents of the present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
`identifying change of release date and an increase in version number as follows:
`
`Version x.y.z
`
`where:
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`x
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`the first digit:
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`1 presented to TSG for information;
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`2 presented to TSG for approval;
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`3 or greater indicates TSG approved document under change control.
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`y
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`the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
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`z
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`the third digit is incremented when editorial only changes have been incorporated in the document.
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`3GPP TR 36.912 V9.0.0 (2009-09)
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`Scope
`1
`This document is related to the technical report for the study item "Further advancements for E-UTRA" [1].
`
`This activity involves the Radio Access work area of the 3GPP studies and has impacts both on the Mobile Equipment
`and Access Network of the 3GPP systems.
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`This document is intended to gather all technical outcome of the study item, and draw a conclusion on way forward.
`
`In addition this document includes the results of the work supporting the3GPP submission of "LTE Release 10 &
`beyond (LTE-Advanced)"to the ITU-R as a candidate technology for the IMT-Advanced.
`
`References
`2
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
`• References are either specific (identified by date of publication, edition number, version number, etc.) or
`non-specific.
`
`• For a specific reference, subsequent revisions do not apply.
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`• For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document
`(including a GSM document), a non-specific reference implicitly refers to the latest version of that document in
`the same Release as the present document.
`
`[1]
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`[2]
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`[3]
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`[4]
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`[5]
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`[6]
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`[7]
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`[8]
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`[9]
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`[10]
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`[11]
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`[12]
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`[13]
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`[14]
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`Contribution to 3GPP TSG RAN meeting #45 RP-090735: "Revised SID on LTE-Advanced".
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`3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
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`3GPP TR 36.913: "Requirements for Evolved UTRA (E-UTRA) and Evolved UTRAN
`(E-UTRAN)".
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`3GPP TS 23.203: "Policy and charging control architecture".
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`3GPP TS 36.101: "User Equipment (UE) radio transmission and reception".
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`3GPP TS 36.104: "Base Station (BS) radio transmission and reception".
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`Report ITU-R M.2133: "Requirements, evaluation criteria and submission templates for the
`development of IMT-Advanced" (Approved 2008-11).
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`Report ITU-R M.2134: "Requirements related to technical performance for IMT-Advanced radio
`interface(s)" (Approved 2008-11).
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`Report ITU-R M.2135: "Guidelines for evaluation of radio interface technologies for
`IMT-Advanced" (Approved 2008-11).
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`Document ITU-R IMT-ADV/3: "Correction of typographical errors and provision of missing texts
`of IMT-Advanced channel models in Report ITU-R M.2135" (July 2009).
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`Document ITU-R IMT-ADV/2 Rev 1: "Submission and evaluation process and consensus
`building" (Approved 2008-10).
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`3GPP TS 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer
`procedures"
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`Contribution to 3GPP TSG RAN meeting #45 RP-090744: "TR36.912 Annex A3: Self evaluation
`results".
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`Contribution to 3GPP TSG RAN meeting #45 RP-090745: "TR36.912 Annex C1: Updated
`characteristics template".
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`[17]
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`Contribution to 3GPP TSG RAN meeting #45 RP-090746: "TR36.912 Annex C2: Link budget
`template".
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`Contribution to 3GPP TSG RAN meeting #45 RP-090747: "TR36.912 Annex C3: Compliance
`template".
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`3GPP TS 36.133: "Evolved Universal Terrestrial Radio Access (E-UTRA); Requirements for
`support of radio resource management".
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`Note:
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`The RAN meeting contributions referenced above are provided with the present Technical Report.
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` 3
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`Definitions, symbols and abbreviations
`
`Definitions
`3.1
`For the purposes of the present document, the terms and definitions given in TR 21.905 [2] apply.
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`Symbols
`
`3.2
`Void
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`Abbreviations
`3.3
`For the purposes of the present document, the abbreviations defined in 3GPP TS 21.905 [2] and the following apply:
`
`CoMP
`MBMS
`MU-MIMO
`RIT
`SON
`SRIT
`SU-MIMO
`
`Coordinated MultiPoint
`Multimedia Broadcast/Multicast Service
`Multi User Multiple Input Multiple Output
`Radio Interface Technology
`Self Organising Networks
`Set of Radio Interface Technologies
`Single User Multiple Input Multiple Output
`
`
`Introduction
`4
`At the 3GPP TSG RAN #39 meeting, the Study Item description on "Further Advancements for E-UTRA (LTE-
`Advanced)" was approved [1]. The study item covers technology components to be considered for the evolution of E-
`UTRA, e.g. to fulfil the requirements on IMT-Advanced. This technical report covers all RAN aspects of these
`technology components.
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`5
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`Support of wider bandwidth
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`General
`5.1
`LTE-Advanced extends LTE Rel.-8 with support for Carrier Aggregation, where two or more component carriers
`(CCs) are aggregated in order to support wider transmission bandwidths up to 100MHz and for spectrum aggregation.
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`It shall be possible to configure all component carriers which are LTE Rel-8 compatible, at least when the aggregated
`numbers of component carriers in the UL and the DL are same. Not all component carriers may necessarily be LTE Rel-
`8 compatible.
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`A terminal may simultaneously receive or transmit one or multiple component carriers depending on its capabilities:
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`3GPP TR 36.912 V9.0.0 (2009-09)
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`- An LTE-Advanced terminal with reception and/or transmission capabilities for carrier aggregation can
`simultaneously receive and/or transmit on multiple component carriers.- An LTE Rel-8 terminal can receive
`and transmit on a single component carrier only, provided that the structure of the component carrier follows the
`Rel-8 specifications.
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`Carrier aggregation is supported for both contiguous and non-contiguous component carriers with each component
`carrier limited to a maximum of 110 Resource Blocks in the frequency domain using the LTE Rel-8 numerology
`
`It is possible to configure a UE to aggregate a different number of component carriers originating from the same eNB
`and of possibly different bandwidths in the UL and the DL. In typical TDD deployments, the number of component
`carriers and the bandwidth of each component carrier in UL and DL will be the same.
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`Component carriers originating from the same eNB need not to provide the same coverage.
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`The spacing between centre frequencies of contiguously aggregated component carriers shall be a multiple of 300 kHz.
`This is in order to be compatible with the 100 kHz frequency raster of LTE Rel-8 and at the same time preserve
`orthogonality of the subcarriers with 15 kHz spacing. Depending on the aggregation scenario, the n*300 kHz spacing
`can be facilitated by insertion of a low number of unused subcarriers between contiguous component carriers.
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`5.2
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`User Plane
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`Structure
`5.2.1
`Compared to the Layer 2 structure of LTE Rel-8, the multi-carrier nature of the physical layer is only exposed to the
`MAC layer for which one HARQ entity is required per CC. The Layer 2 structure for the downlink is depicted on
`Figured 5.2.1-1 below.
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`Radio Bearers
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`PDCP
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`ROHC
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`Security
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`ROHC
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`Security
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`ROHC
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`Security
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`ROHC
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`Security
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`RLC
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`Segm.
`ARQ etc
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`...
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`Segm.
`ARQ etc
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`Segm.
`ARQ etc
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`...
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`Segm.
`ARQ etc
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`Logical Channels
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`Scheduling / Priority Handling
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`MAC
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`Multiplexing UE1
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`Multiplexing UEn
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`HARQ
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`...
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`HARQ
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`HARQ
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`...
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`HARQ
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`Transport Channels
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`CC1
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`...
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`CCx
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`CC1
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`...
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`CCy
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`Figure 5.2.1-1: Layer 2 Structure for the DL
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`The Layer 2 structure for the uplink is depicted on Figured 5.2.1-2 below.
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`3GPP TR 36.912 V9.0.0 (2009-09)
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`Radio Bearers
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`Logical Channels
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`PDCP
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`ROHC
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`Security
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`ROHC
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`Security
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`RLC
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`Segm.
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`Segm.
`ARQ etc
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`Scheduling / Priority Handling
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`Multiplexing
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`HARQ
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`HARQ
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`CC1
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`CCx
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`Transport Channels
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`Figure 5.2.1-2: Layer 2 Structure for the UL
`
`5.2.2 MAC
`From a UE perspective, the Layer 2 aspects of HARQ are kept Rel-8 compliant unless modifications provide significant
`gains. There is one transport block