ung and David J.Goodman [|
`
`Single Carrier
`
`A NewAir Interface for Long Term Evolution
`
`
`
`
`
`
`
`
`Wiley Series on
`Wireless Communications
`and Mobile Computing
`
`@)WILEY
`
`|ean LOZ
`APPLEINC. / Page 1 of 13
`
` Ex. 1102
`APPLE INC. / Page 1 of 13
`
`

`

`Wiley Series on Wireless Communications and Mobile Computing
`Series Editors: Dr Xuemin (Sherman) Shen, University of Waterloo, Canada
`Dr Yi Pan, Georgia State University, USA
`
`Othertitles in this series
`
`Mi8ié and Mi8i¢: Wireless Personal Area Networks: Performance, Interconnections and
`Security with LEEE 802.154, January 2008 987-0-470-5 1847-2
`
`Takagi and Walke: Spectrum Requirement Planning in Wireless Communications: Model
`and Methodologyfor IMT-Advanced, April 2008 987-0-470-98647-9
`
`Pérez-Fontén and Marifio Espifieira: Modeling the Wireless Propagation Channel: A
`Simulation Approach with MATLAB®, August 2008 987-0-470-72785-0
`
`Ippolito: Satellite Communications Systems Engineering: Atmospheric Effects, Satellite
`Link Design and System Performance, September 2008 978-0-470-72527-6
`
`Lin and Sou: Charging for Mobile All-IP Telecommunications, September 2008
`
`The ‘Wiley Series on Wireless Communications and Mobile Computing’ is a series of
`comprehensive, practical and timely books on wireless communication and network
`systems. The series focuses on topics ranging from wireless communication and coding
`theory to wireless applications and pervasive computing. The booksoffer engineers and
`other technical professional, researchers, educators, and advanced students in thesefields
`invaluable insight into the latest developments and cutting-edge research,
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`
`
`
`
`
`
`
`
`
`
`
`
`987-0-470-77565-3
` Hart, Tao, Zhou: IEEE 802.16; Multi-hop Relay, March 2009 978-0-470-99399-6
`978-0-470-51212-8
` Qian, Muller, Chen: Security in Wireless Networks and Systems, May 2009
`
`978-0-470-77307-9
`Wang, Kondi, Luthra, Ci: 4G Wireless Video Communications, May 2009
`
`978-0-470-77065-8
`Shen, Cai, Mark: Multimedia for Wireless Internet — Modeling and Analysis, May 2009
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`Scalable Coordination and Data Communication, August 2009 978-0-470-17082-3
` Stojmenovie: Wireless Sensor and Actuator Networks: Algorithms and Protocols for
`
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`
`Ex. 1102
`APPLEINC. / Page 2 of 13
`
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`APPLE INC. / Page 2 of 13
`
`

`

` » Computing
`
`SINGLE CARRIER
`FDMA
`A NEW AIR INTERFACE FOR
`LONG TERM EVOLUTION
`
`Hyung G. Myung
`
`Qualcomm/Flarion Technologies, USA
`
`David J. Goodman
`
`Polytechnic University, USA
`
`‘anada
`
`1g’ is a series of
`1 and network
`
`-ation and coding
`fer engineers and
`lents in these fields
`ch.
`
`rconnections and
`
`unications: Model
`
`mt Channel; A
`0)
`
`Effects, Satellite
`27-6
`
`iber 2008
`
`'0-99399-6
`
`1009
`
`109
`
`ralysis, May 2009
`
`Protocols for
`470-17082-3
`
`(WILEY
`
`A John Wiley andSons, Ltd, Publication
`
`
`
`|pean LO
`APPLEINC. / Page 3 of 13
`
` Ex. 1102
`APPLE INC. / Page 3 of 13
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`

`

` This edition first published 2008.
`
`Myung, Hyung G.
`Single carrier FDMA: a new air interface for long term evolution / Hyung G. Myung, David J.
`Goodman.
`p.cm.
`Includes bibliographical references and index.
`ISBN 978-0-470-72449-1 (cloth)
`1. Wireless communication systems.
`1939-
`II. Title.
`TK5103.2.H983 2008
`621.384-de22
`
`200802744 1
`
`A catalogue record for this book is available from the British Library.
`
`ISBN 978-0-470-72449-1 (HB)
`
`Typeset in 11/13pt Times by Aptara Inc., New Delhi, India.
`Printed in Singapore by Markono Print Media Pte Ltd
`
`Ex. 1102
`APPLEINC. / Page 4 of 13
`
`© 2008 John Wiley & Sons, Ltd.
`
`Registeredoffice
`John Wiley & Sons Ltd, The Atrium, Southem Gate, Chichester, West Sussex, PO19 8SQ, United
`Kingdom
`
`Fordetails of our globaleditorial 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 right of the authorto be identified as the author of this work has been asserted in accordance with
`the Copyright, Designs and Patents Act 1988.
`
`All rights reserved. No 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
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`
`Wiley also publishes its books in a variety of electronic formats. Some content that appears in print
`maynotbe available in electronic books.
`
`Designations used by companiesto distinguish their products are often claimed as trademarks. All
`brand names and product namesusedin 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, 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
`
`2. Mobile communication systems.
`
`I. Goodman, David J.,
`
` Ex. 1102
`APPLE INC. / Page 4 of 13
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`

`

`ry
`
`11
`
`12
`
`13
`
`15
`15
`
`15
`16
`21
`23
`24
`
`25
`26
`
`29
`
`Contents
`
`Preface
`
`Introduction
`Generations
`Standards
`Cellular Standards Organizations 3GPP and 3GPP2
`TEEE Standards
`Advanced Mobile Wireless Systems Based on FOMA
`15.1 IEEE 802.16e-Based Mobile WiMAX
`15.2 3GPP2 Ultra Mobile Broadband
`15.3 3GPP Long Term Evolution
`1.5.4 Summary and Comparison ofMobile WiMAX,
`LTE and UMB
`Figures of Merit
`Frequency Division Technology in Broadband Wireless
`Systems
`References
`
`Channel Characteristics and Frequency Multiplexing
`Introduction
`Radio Channel Characteristics
`2.2.1 Physics ofRadio Transmission
`2.2.2 Effects of Extraneous Signals
`2.2.3 Transmitting and Receiving Equipment
`2.2.4 Radio Propagation Models
`Orthogonal Frequency Division Multiplexing
`2.3.1 Signal Processing
`2.3.2 Advantages and Weaknesses
`
`1 1
`
`.1
`
`1.2
`1.3
`1.4
`1.5
`
`1.6
`1.7
`
`2.1
`2.2
`
`2.3
`
`PO19 8SQ, United
`
`tion about how to
`website at
`
`ted in accordance with
`
`etrieval system, or
`2, recording or
`988, without the prior
`
`that appears in print
`
`as trademarks, All
`<$, trademarks or
`| with any product or
`and authoritative
`ng that the publisher
`r expert assistance is
`
`Myung, David J.
`
`Goodman, DavidJ.,
`
`200802744 1
`
`
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`2.4 Single Carrier Modulation with Frequency Domain
`Equalization
`2.4.1 Frequency Domain Equalization
`2.4.2. Comparison with OFDM
`2.5 Summary
`References
`
`Single Carrier FDMA
`3
`3.1 Introduction
`3.2 SC-FDMASignal Processing
`3.3 Subcarrier Mapping
`3.4 Time Domain Representation of SC-FDMASignals
`3.4.1 Time Domain Symbols of IFDMA
`3.4.2 Time Domain Symbols of LFDMA
`3.4.3 Time Domain Symbols of DFDMA
`3.4.4 Comparison of Subcarrier Mapping Schemes
`3.5 SC-FDMAand Orthogonal Frequency Division Multiple
`Access
`3.6 SC-FDMAand CDMAwith Frequency Domain
`Equalization
`3.7 Single Carrier Code-Frequency Division Multiple Access
`(SC-CFDMA)
`3.8 Summary
`References
`
`30
`30
`32
`34
`35
`
`37
`37
`38
`42
`44
`45
`47
`48
`48
`
`50
`
`53
`
`55
`57
`59
`
`SC-FDMAin 3GPP Long Term Evolution
`4
`4.1 Introduction
`4.1.1 3GPP Technical Specifications
`4.1.2 Contents of the Physical Layer Technical Specifications
`4.2 Protocol Layers and Channels
`4.3 Uplink Time and Frequency Structure
`4.3.1 Frames and Slots
`4.3.2 Resource Blocks
`4.4 Basic Uplink Physical Channel Processing
`4.5 Reference (Pilot) Signal Structure
`4.6 Summary
`References
`Appendix — List of 3GPP LTE Standards
`
`61
`61
`61
`62
`63
`67
`67
`69
`71
`76
`77
`78
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
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`

`30
`30
`32
`34
`35
`
`37
`37
`S
`
`2
`44
`45
`47
`48
`48
`
`50
`
`53
`
`55
`S7
`59
`
`61
`61
`61
`62
`63
`67
`fe
`71
`76
`77
`78
`78
`
`iple
`
`CESS
`
`fications
`
`5 Channel Dependent Scheduling
`5.1 Introduction
`5.2 SC-FDMAPerformance Measures
`5.3 Scheduling Algorithms
`5.4 Channel Models used in Scheduling Studies
`5.5 Channel-Dependent Scheduling Simulation Studies
`5.5.1 Schedules Based on Perfect Channel State Information
`5.5.2 Schedules Based on Delayed Channel State Information
`5.5.3 Discussion of Scheduling Studies
`5.6 Summary
`References
`
`6 MIMOSC-FDMA
`6.1 Introduction
`6.2 Spatial Diversity and Spatial Multiplexing in MIMO
`Systems
`6.3 MIMO Channel
`6.4 SC-FDMATransmit Eigen-Beamforming with Unitary
`Precoding
`6.4.1 Impact of Imperfect Feedback: Precoder
`Quantization/Averaging
`6.4.2 Impact of Imperfect Feedback: Feedback Delay
`6.5 SC-FDMASpatial Diversity
`6.6 Summary
`References
`
`Peak Power Characteristics of a SC-FDMASignal
`7
`7.1 Introduction
`7.2 Peak Power Characteristics of a Single Carrier Signal
`7.3 PAPR of Single Antenna Transmission Signals
`7.4 PAPR of Multiple Antenna Transmission Signals
`7.5 Peak Power Reduction by Symbol Amplitude Clipping
`7.6 Summary
`References
`Simulation of a SC-FDMASystem Using MATLAB®
`8
`8.1 Introduction
`8.2 Link Level Simulation of SC/FDE
`8.3 Link Level Simulation of SC-FDMA
`8.4 Peak-to-Average PowerRatio Simulation of SC-FDMA
`
`83
`83
`88
`91
`93
`95
`96
`101
`103
`105
`105
`
`107
`107
`
`108
`109
`
`111
`
`113
`115
`117
`117
`120
`
`123
`123
`124
`128
`132
`136
`141
`142
`143
`143
`143
`146
`149
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`

`8.5 Summary
`References
`Appendix — Simulation Codes
`MATLAB®Simulation Codes for SCIFDE
`MATLAB® Simulation Codes for SC-FDMA(Link Level)
`MATLAB® Simulation Codes for SC-FDMA and
`OFDMA (PAPR)
`
`Appendix B: Derivations of the Upper Boundsin Chapter 7
`B.1 Derivation of Equations (7.9) and (7.10) in Chapter 7
`B.2 Derivations of Equations (7.13) and (7.14) in Chapter 7
`
`Appendix C: Deciphering the 3GPP LTESpecifications
`
`150
`150
`151
`15]
`155
`
`159
`
`165
`165
`167
`
`171
`171
`172
`
`175
`
`179
`
`183
`
`Appendix A: Derivation of Time Domain Symbols of
`Localized FDMAandDistributed FOMA
`A.1 Time Domain Symbols of LFDMA
`A.2. Time Domain Symbols of DFDMA
`
`
`
`Appendix D: Abbreviations
`
`Index
`
`Ex. 1102
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`

`

`2é Minimum
`
`ror equalization
`
`19, 20
`output 108-11
`
`frequency
`lexing
`ator 146
`al frequency
`le access
`
`ivision multiple
`
`ivision
`—30
`
`‘age powerratio
`ratio
`
`ismission
`
`ransmission
`
`5 rate
`
`4, 175-6
`|
`
`3,4
`2, 64
`lL, 126, 129
`; Network
`
`resource element 69-70
`resource element mapping 71-4
`resource grid 69-70
`RLC,see radio link control
`RNS, see Radio Network System
`root-raised cosine pulse 129
`RRC,see radio resource control
`RS, see reference signal
`
`SC/FDE,see single carrier with
`frequency domain equalization
`SC/EFDElink level simulator 143-5
`SC-CFDMA,see single carrier
`code-frequency division
`multiple access
`SC-FDMA,seesingle carrier
`frequency division multiple
`access
`
`SC-FDMAsimulator
`link level simulator 146-9
`PAPRsimulator 149-50
`SC-FDMAspatial diversity 117,
`119-20
`SC-FDMAspatial multiplexing 111-7
`shadowing 17-8
`single carrier code-frequency division
`multiple access 55-6
`single carrier frequency division
`multiple access 37-9
`single carrier with frequency domain
`equalization 30-4
`singular value decomposition 110
`SM,see spatial multiplexing
`smooth limiter 137
`soft limiter 136-7
`sounding reference signal 76—7, 89
`spatial multiplexing 108
`subcarrier mapping 42-4
`SVD,see singular value decomposition
`symbol amplitude clipping 136-41
`
`transform precoding 71, 73-4
`transmission time interval 67, 68
`
`111-2
`
`transport channels 64, 65, 66
`TTI, see transmission time interval
`TU6 channel, see typical urban 6-path
`channel
`TxBF,see transmit eigen-beamforming
`typical urban 6-path channel
`83
`
`Ultra Mobile Broadband 8
`UMB, see Ultra Mobile Broadband
`UMTS, see Universal Mobile
`Telecommunications System
`unitary precoding 111-2
`Universal Mobile Telecommunications
`System 4
`Universal Terrestrial Radio Access 9
`Universal Terrestrial Radio Access
`Network4, 9
`uplink pilot time slot 68
`UpPTS, see uplink pilot time slot
`utility 91
`UTRA,see Universal Terrestrial Radio
`Access
`UTRAN,see Universal Terrestrial
`Radio Access Network
`
`WCDMA, see wideband code division
`multiple access
`wideband code division multiple
`access 2
`wide-sense stationary uncorrelated
`scattering 24
`WiMAX 6
`WiMAX Forum 7
`wireless local area network 6
`wireless metropolitan area network 7
`WLAN,see wireless local area
`network
`WMAN,see wireless metropolitan
`area network
`
`WSSUS, see wide-sense stationary
`uncorrelated scattering
`
`Ex. 1102 APPLEINC. / Page 9 of 13
`
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`

`

`Appendix C
`
`Deciphering the 3GPP LTE
`Specifications
`
`Unless you are really familiar with the LTE standardization process, it
`is rather difficult to understand how things actually work just by reading
`through the specifications. Since a technical specification is merely a de-
`scription of a guideline for interoperability, it does not necessarily explain
`any rationale or background information for choice of the specific method-
`ologies or parameters.
`One wayto find a more detailed description of the specific methodology
`or parameter in the specification is to go through the contribution papers
`(called technical documents, or tdocs) that 3GPP uploads on their meeting
`website. 3GPP has different work groups working on different aspects of
`the radio interface and network architecture. The Technical Specification
`Group Radio Access Networks (TSG RAN) is whereall the radio air in-
`terface specifications are handled andit has five working groups (WG)as
`described in Table C.1.
`Table C.2 highlights the LTE specifications and their corresponding
`working groups.
`are
`and MAC layer components
`layer
`Most of
`the physical
`at
`and the meeting information is
`discussed in RANI meetings
`http://www.3gpp.org/ftp/Specs/html-info/Meetings-R1.htm. Figure C.1 is
`a screenshotof the website.
`If you goto this site, there is a columncalled “First & Last tdoc” (tdoc =
`technical document) as shown in Figure C.1. This is the paper numberthat
`identifies each contribution paper. If you click on the link, it directs you
`to the ftp site where you can accessall the tdocs of the particular meeting.
`
`
`Single Carrier FDMA: A NewAirInterface for Long Term Evolution Hyung G. Myung and David J. Goodman
`© 2008 John Wiley & Sons, Ltd
`
`APPLEINC. / Page 10 of 13
`
`Ex. 1102
`
` Ex. 1102
`APPLE INC. / Page 10 of 13
`
`

`

`RAN WGI (RANI)_Layer 1 (Physical layer) specification
`RAN WG2 (RAN2)
`Layer 2 (MAC, RLC)andlayer3 specification
`RAN WG3 (RAN3) Overall UTRANarchitecture.
`RAN WG4 (RAN4)_Radio performanceandprotocol aspects
`RAN WG5 (RANS) Mobile terminal conformancetesting
`
`
`
`
`
`Since the tdocs are uploaded in zip files without any title (only the tdoc
`numbers are specified in the file name), you would have to look at the
`excel spreadsheet of the tdoc list (provided at the bottom ofthe list) to
`know whichis which. Tdoc numbersare in the form of Rx-yyzzzz where x
`is the RAN work group number, yy is the year of the meeting, and zzzz is
`the cumulative numberassigned to the document. For example, R1-081165
`refers to the document 1165 of RAN1 meeting in the year 2008.
`It may be daunting to go through each tdoc list spreadsheet for each
`meeting becausethelist is usually very long list (300 ~ 400) and notor-
`ganized by subject. What you can dois first read the meeting summary
`report that summarizes the discussions and decisions from the meeting by
`subject. You can find the meeting report by following “Files” link and then
`“Report” link. From the meeting report, you can find out about the deci-
`sions made and the relevant tdocs. Once you know the tdoc number, you
`can locate the link from the “First & last tdoc’” column and access it from
`there.
`
`Table C.2 LTE specifications andtheir
`corresponding working groups
`
`
`
` Document number Working group
`
`36.1xx
`36.2xx
`36.3xx
`36.4xx
`36.5xx
`36.8xx
`36.902
`36.913
`36.938
`36.942
`36.956
`
`RAN4
`RANI
`RAN2
`RAN3
`RANS5
`RAN4
`RAN3
`RAN
`RAN4
`RAN4
`RAN4
`
`
`
`
`
`
`
`APPLEINC. / Page 11 of 13
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`
`

`

`rt
`
`ecification
`
`ects
`S
`
`
`
`
`3GPP meetings for group R1
`
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`Pa
`
`
`
`Click here to go to the Llalsons page.
`
`First & Last tdoc
`‘Meeting |
`;
`Title
`|
`maeg eensk anes CETERA Register Ponticipants| Files
`
`|
`.
`Jton dveciary I
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`loanttag
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`
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`of the list) to 2009-01-12|2009-01-16Ris el ‘Regsler ics
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`YyZZZZ where x
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`Prague
`3
`2008-11-10
`2008-11-44
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`
`
`Figure C.1 Screenshot of the 3GPP RANI meeting information website at
`http://www.3gpp.org/ftp/Specs/html-info/Meetings-R1.htm
`
`For example, the channel coding schemespecified in TS 36.212 uses
`quadratic permutation polynomial (QPP) interleaver. Let’s say we want to
`find more details of the QPP interleaver. By searching through the meeting
`reports, we can find that there was a decision to adopt the QPP interleaver
`in RANI meeting #47b. The document that proposes this method is R1-
`070483 and other related documentsarelisted as well in the meeting report.
`Bylookingat the listed documents, we can understand more about the QPP
`interleaver that is new in LTE channel coding.
`
`APPLEINC. / Page 12 of 13
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`

`

`Single Carrier Frequency Division Multiple Access (SC-FDMA)is a novel method of radio
`transmission under consideration for deploymentin future cellular systems; specifically,
`in 3rd Generation Partnership Project Long Term Evolution (3GPP LTE) systems. SC-FDMAhas
`drawngreat attention from the communications industry as an attractive alternative to
`Orthogonal Frequency Division Multiple Access (OFDMA),
`Single Carrier FDMA places SC-FDMAin the wider context of wireless communications,
`providing the reader with an in-depth tutorial on SC-FDMA technology. The book introduces
`the reader to this new multiple access technique that utilizes single carrier modulation
`along with orthogonal frequency multiplexing and frequency domain equalization, plusits
`applications in communications settings. It considers the similarities with and differences from
`orthogonal frequency division modulation, multiplexing, and multiple access used extensively
`in cellular, broadcasting, and digital subscriber loop applications. Particular reference is made
`to the peak powercharacteristics of an SC-FDMAsignal as an added advantage over OFDMA.
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`APPLEINC. / Page 13 of 13
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`Cover design by Dan Jubb
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`vwney
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`ISBN 978-0-470-72449-1
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`Mil2
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`|pean LO
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`| and Mobile Computing
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`Single Carrier
`
`A NewAir Interface for Long Term Evolution
`
`| Hyung G. Myung, Qualcomm/Flarion Technologies, USA
`David J. Goodman, Polytechnic University, USA
`
`Key features:
`Provides an extensive overview of the principles of SC-FDMAandits relation to other
`transmission techniques.
`Explains how the details of a specific implementation influence the tradeoffs among
`various figures of merit.
`Describes in detail the configuration of the SC-FDMAuplink transmission scheme
`published by 3GPP.
`Featureslink level simulation of an uplink SC-FDMA system using MATLAB®.
`
`This is an essential text for industry engineers who are researching and developing 3GPP LTE
`systems. It is suitable for engineers designing wireless network equipment, handsets, data cards,
`modules, chipsets, and test equipment as well as those involvedin designing LTE infrastructure.
`It would also be ofinterest to academics, graduate students, and industry researchers involved in
`advanced wireless communications, as well as business analysts who follow the cellular market.
`
` Ex. 1102
`APPLE INC. / Page 13 of 13
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