`
`The UMTSLong Term Evolution
`
`FROM THEORY TO PRACTICE
`
`Edited by: Stefania Sesia + Issam Toufik * Matthew Baker
`
`SyLOONIEDDIMNLO)NM
`
`Including Release 10 for LTE-Advanced
`
`Cadya
`
`— Pefitioners'
`
`TO?
`
`Ex?
`
`IPR2024-00137
`Petitioners' Ex. 1010
`
`Ex.1010.00001
`
`

`

`Ex.1010.00002
`
`Ex.1010.00002
`
`

`

`LTE – The UMTS Long Term Evolution
`
`Ex.1010.00003
`
`

`

`Ex.1010.00004
`
`Ex.1010.00004
`
`

`

`LTE – The UMTS
`Long Term Evolution
`From Theory to Practice
`
`Second Edition
`
`Stefania Sesia
`ST-Ericsson, France
`
`Issam Toufik
`ETSI, France
`
`Matthew Baker
`Alcatel-Lucent, UK
`
`A John Wiley & Sons, Ltd., Publication
`
`Ex.1010.00005
`
`

`

`This edition first published 2011
`© 2011 John Wiley & Sons Ltd.
`
`Registered office
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ,
`United Kingdom
`
`For details of our global editorial offices, for customer services and for information about how to apply
`for permission to reuse the copyright material in this book please see our website at www.wiley.com.
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`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 ngConnect LTE-equipped car.
`3GPP website reproduced by permission of © 3GPPTM.
`Wiley also publishes its books in a variety of electronic formats. Some content that appears in print
`may not be available in electronic books.
`
`Designations used by companies to distinguish their products are often claimed as trademarks. All
`brand names and product names used in this book are trade names, service marks, trademarks or
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`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 bibliographical references and index.
`ISBN 978-0-470-66025-6 (hardback)
`1. Universal Mobile Telecommunications System. 2. Long-Term Evolution (Telecommunications)
`I. Toufik, Issam. II. Baker, Matthew (Matthew P.J.) III. Title.
`TK5103.4883.S47 2011
`c
`621.3845 6-dc22
`
`2010039466
`
`A catalogue record for this book is available from the British Library.
`
`Print ISBN: 9780470660256 (H/B)
`ePDF ISBN: 9780470978511
`oBook ISBN: 9780470978504
`epub ISBN: 9780470978641
`
`Printed in Great Britain by CPI Antony Rowe, Chippenham, Wiltshire.
`
`Ex.1010.00006
`
`

`

`Dedication
`
`To my family.
`Stefania Sesia
`
`To my parents for their sacrifices and unconditional love. To my brother and sisters for their love and
`continual support. To my friends for being what they are.
`Issam Toufik
`
`To the glory of God, who ‘so loved the world that He gave His only Son, that whoever believes in Him
`shall not perish but have eternal life’. — The Bible.
`Matthew Baker
`
`Ex.1010.00007
`
`

`

`Ex.1010.00008
`
`Ex.1010.00008
`
`

`

`Contents
`
`Editors’ Biographies
`
`List of Contributors
`
`Foreword
`
`Preface
`
`Acknowledgements
`
`List of Acronyms
`
`xxi
`
`xxiii
`
`xxvii
`
`xxix
`
`xxxi
`
`xxxiii
`
`1
`
`1 Introduction and Background
`Thomas Sälzer and Matthew Baker
`1
`1.1 The Context for the Long Term Evolution of UMTS . . . . . . . . . . . . . .
`1
`1.1.1 Historical Context
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . .
`2
`1.1.2 LTE in the Mobile Radio Landscape . . . . . . . . . . . . . . . . . .
`5
`1.1.3 The Standardization Process in 3GPP . . . . . . . . . . . . . . . . .
`7
`1.2 Requirements and Targets for the Long Term Evolution . . . . . . . . . . . .
`7
`1.2.1
`System Performance Requirements
`. . . . . . . . . . . . . . . . . .
`1.2.2 Deployment Cost and Interoperability . . . . . . . . . . . . . . . . . 12
`1.3 Technologies for the Long Term Evolution . . . . . . . . . . . . . . . . . . . 14
`1.3.1 Multicarrier Technology .
`. . . . . . . . . . . . . . . . . . . . . . . 14
`1.3.2 Multiple Antenna Technology . . . . . . . . . . . . . . . . . . . . . 15
`1.3.3
`Packet-Switched Radio Interface . . . . . . . . . . . . . . . . . . . . 16
`1.3.4 User Equipment Categories
`. . . . . . . . . . . . . . . . . . . . . . 17
`1.3.5
`From the First LTE Release to LTE-Advanced . . . . . . . . . . . . . 19
`1.4 From Theory to Practice
`.
`.
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 20
`References .
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`. . . . . . . . . . . . . . . . . . . . . . . 21
`
`.
`
`Ex.1010.00009
`
`

`

`viii
`Part I Network Architecture and Protocols
`
`CONTENTS
`23
`
`25
`
`2 Network Architecture
`Sudeep Palat and Philippe Godin
`. . . . . . . . . . . . . . . . . . . . . . . 25
`.
`.
`.
`.
`2.1
`Introduction .
`.
`.
`.
`.
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 26
`.
`2.2 Overall Architectural Overview .
`. . . . . . . . . . . . . . . . . . . . . . . 27
`.
`2.2.1 The Core Network .
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 30
`.
`2.2.2 The Access Network .
`.
`. . . . . . . . . . . . . . . . . . . . . . . 31
`.
`2.2.3 Roaming Architecture .
`. . . . . . . . . . . . . . . . . . . . . . . 32
`.
`2.3 Protocol Architecture .
`.
`.
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 32
`.
`2.3.1 User Plane
`.
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 33
`.
`2.3.2 Control Plane .
`.
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . 34
`2.4 Quality of Service and EPS Bearers
`2.4.1 Bearer Establishment Procedure . . . . . . . . . . . . . . . . . . . . 37
`2.4.2
`Inter-Working with other RATs
`. . . . . . . . . . . . . . . . . . . . 38
`2.5 The E-UTRAN Network Interfaces: S1 Interface
`. . . . . . . . . . . . . . . 40
`2.5.1
`Protocol Structure over S1 . . . . . . . . . . . . . . . . . . . . . . . 41
`2.5.2
`Initiation over S1 .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 43
`2.5.3 Context Management over S1 . . . . . . . . . . . . . . . . . . . . . 43
`2.5.4 Bearer Management over S1 . . . . . . . . . . . . . . . . . . . . . . 44
`2.5.5
`Paging over S1 .
`.
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 44
`2.5.6 Mobility over S1 .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 45
`2.5.7 Load Management over S1 . . . . . . . . . . . . . . . . . . . . . . . 47
`2.5.8 Trace Function .
`.
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 48
`2.5.9 Delivery of Warning Messages . . . . . . . . . . . . . . . . . . . . . 48
`2.6 The E-UTRAN Network Interfaces: X2 Interface . . . . . . . . . . . . . . . 49
`2.6.1
`Protocol Structure over X2 . . . . . . . . . . . . . . . . . . . . . . . 49
`2.6.2
`Initiation over X2 .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 49
`2.6.3 Mobility over X2 .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 51
`2.6.4 Load and Interference Management Over X2 . . . . . . . . . . . . . 54
`2.6.5 UE Historical Information Over X2 . . . . . . . . . . . . . . . . . . 54
`2.7 Summary .
`.
`.
`.
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 55
`References .
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 55
`
`57
`
`3 Control Plane Protocols
`Himke van der Velde
`. . . . . . . . . . . . . . . . . . . . . . . 57
`.
`.
`.
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`.
`.
`.
`.
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`.
`.
`3.1
`Introduction .
`. . . . . . . . . . . . . . . . . . . . . . . 58
`.
`3.2 Radio Resource Control (RRC) .
`. . . . . . . . . . . . . . . . . . . . . . . 58
`.
`3.2.1
`Introduction .
`.
`.
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 59
`.
`3.2.2
`System Information .
`.
`.
`3.2.3 Connection Control within LTE . . . . . . . . . . . . . . . . . . . . 63
`3.2.4 Connected Mode Inter-RAT Mobility . . . . . . . . . . . . . . . . . 73
`3.2.5 Measurements
`.
`.
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 75
`3.2.6 Other RRC Signalling Aspects . . . . . . . . . . . . . . . . . . . . . 78
`3.3 PLMN and Cell Selection .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 78
`
`Ex.1010.00010
`
`

`

`CONTENTS
`
`ix
`
`.
`.
`.
`Introduction .
`3.3.1
`PLMN Selection .
`3.3.2
`3.3.3 Cell Selection .
`.
`.
`3.3.4 Cell Reselection .
`3.4 Paging .
`.
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`3.5 Summary .
`.
`.
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`References .
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`. . . . . . . . . . . . . . . . . . . . . . . 78
`. . . . . . . . . . . . . . . . . . . . . . . 79
`. . . . . . . . . . . . . . . . . . . . . . . 79
`. . . . . . . . . . . . . . . . . . . . . . . 80
`. . . . . . . . . . . . . . . . . . . . . . . 84
`. . . . . . . . . . . . . . . . . . . . . . . 86
`. . . . . . . . . . . . . . . . . . . . . . . 86
`
`87
`
`4 User Plane Protocols
`Patrick Fischer, SeungJune Yi, SungDuck Chun and YoungDae Lee
`4.1
`Introduction to the User Plane Protocol Stack . . . . . . . . . . . . . . . . . 87
`4.2 Packet Data Convergence Protocol (PDCP)
`. . . . . . . . . . . . . . . . . . 89
`4.2.1
`Functions and Architecture . . . . . . . . . . . . . . . . . . . . . . . 89
`4.2.2 Header Compression .
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 90
`4.2.3
`Security .
`.
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`. . . . . . . . . . . . . . . . . . . . . . 92
`4.2.4 Handover .
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 93
`4.2.5 Discard of Data Packets
`.
`. . . . . . . . . . . . . . . . . . . . . . . 95
`4.2.6
`PDCP PDU Formats .
`.
`. . . . . . . . . . . . . . . . . . . . . . . 97
`4.3 Radio Link Control (RLC)
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 98
`.
`4.3.1 RLC Entities .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 99
`4.3.2 RLC PDU Formats .
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 105
`4.4 Medium Access Control (MAC)
`.
`. . . . . . . . . . . . . . . . . . . . . . . 108
`.
`4.4.1 MAC Architecture .
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 108
`.
`4.4.2 MAC Functions .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 111
`4.5 Summary of the User Plane Protocols
`. . . . . . . . . . . . . . . . . . . . . 120
`References .
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 120
`
`.
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`.
`
`Part II Physical Layer for Downlink
`
`121
`
`123
`
`5 Orthogonal Frequency Division Multiple Access (OFDMA)
`Andrea Ancora, Issam Toufik, Andreas Bury and Dirk Slock
`5.1
`Introduction .
`.
`.
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 123
`5.1.1 History of OFDM Development
`. . . . . . . . . . . . . . . . . . . . 124
`5.2 OFDM .
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 125
`5.2.1 Orthogonal Multiplexing Principle . . . . . . . . . . . . . . . . . . . 125
`5.2.2
`Peak-to-Average Power Ratio and Sensitivity to Non-Linearity . . . . 131
`5.2.3
`Sensitivity to Carrier Frequency Offset and Time-Varying Channels . 133
`5.2.4 Timing Offset and Cyclic Prefix Dimensioning . . . . . . . . . . . . 135
`5.3 OFDMA .
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 137
`5.4 Parameter Dimensioning .
`.
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 139
`5.4.1
`Physical Layer Parameters for LTE . . . . . . . . . . . . . . . . . . 140
`5.5 Summary .
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 142
`References .
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`. . . . . . . . . . . . . . . . . . . . . . . 142
`
`Ex.1010.00011
`
`

`

`x
`6 Introduction to Downlink Physical Layer Design
`Matthew Baker
`. . . . . . . . . . . . . . . . . . . . . . . 145
`.
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`6.1
`Introduction .
`. . . . . . . . . . . . . . . . . . . . . . . 145
`6.2 Transmission Resource Structure .
`. . . . . . . . . . . . . . . . . . . . . . . 148
`6.3 Signal Structure .
`.
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`6.4
`Introduction to Downlink Operation . . . . . . . . . . . . . . . . . . . . . . 149
`References .
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`. . . . . . . . . . . . . . . . . . . . . . . 150
`
`145
`
`CONTENTS
`
`7 Synchronization and Cell Search
`Fabrizio Tomatis and Stefania Sesia
`. . . . . . . . . . . . . . . . . . . . . . . 151
`.
`.
`.
`7.1
`Introduction .
`.
`.
`.
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`.
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`7.2 Synchronization Sequences and Cell Search in LTE . . . . . . . . . . . . . . 151
`7.2.1 Zadoff–Chu Sequences .
`.
`. . . . . . . . . . . . . . . . . . . . . . . 155
`7.2.2
`Primary Synchronization Signal (PSS) Sequences . . . . . . . . . . . 157
`7.2.3
`Secondary Synchronization Signal (SSS) Sequences
`. . . . . . . . . 158
`7.3 Coherent Versus Non-Coherent Detection . . . . . . . . . . . . . . . . . . . 161
`References .
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`. . . . . . . . . . . . . . . . . . . . . . . 163
`
`151
`
`165
`
`8 Reference Signals and Channel Estimation
`Andrea Ancora, Stefania Sesia and Alex Gorokhov
`8.1
`Introduction .
`.
`.
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 165
`8.2 Design of Reference Signals in the LTE Downlink . . . . . . . . . . . . . . . 167
`8.2.1 Cell-Specific Reference Signals
`. . . . . . . . . . . . . . . . . . . . 168
`8.2.2 UE-Specific Reference Signals in Release 8 . . . . . . . . . . . . . . 171
`8.2.3 UE-Specific Reference Signals in Release 9 . . . . . . . . . . . . . . 171
`8.3 RS-Aided Channel Modelling and Estimation . . . . . . . . . . . . . . . . . 174
`8.3.1 Time-Frequency-Domain Correlation: The WSSUS Channel Model
`. 175
`8.3.2
`Spatial-Domain Correlation: The Kronecker Model . . . . . . . . . . 176
`8.4 Frequency-Domain Channel Estimation . . . . . . . . . . . . . . . . . . . . 178
`8.4.1 Channel Estimate Interpolation . . . . . . . . . . . . . . . . . . . . . 178
`8.4.2 General Approach to Linear Channel Estimation . . . . . . . . . . . 179
`8.4.3
`Performance Comparison .
`. . . . . . . . . . . . . . . . . . . . . . . 180
`8.5 Time-Domain Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . 181
`8.5.1
`Finite and Infinite Length MMSE . . . . . . . . . . . . . . . . . . . 182
`8.5.2 Normalized Least-Mean-Square . . . . . . . . . . . . . . . . . . . . 184
`8.6 Spatial-Domain Channel Estimation . . . . . . . . . . . . . . . . . . . . . . 184
`8.7 Advanced Techniques .
`.
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`References .
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`
`9 Downlink Physical Data and Control Channels
`Matthew Baker and Tim Moulsley
`. . . . . . . . . . . . . . . . . . . . . . . 189
`.
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`9.1
`Introduction .
`.
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`9.2 Downlink Data-Transporting Channels . . . . . . . . . . . . . . . . . . . . . 189
`9.2.1
`Physical Broadcast Channel (PBCH) . . . . . . . . . . . . . . . . . . 189
`9.2.2
`Physical Downlink Shared CHannel (PDSCH) . .
`. . . . . . . . . . . 192
`
`189
`
`Ex.1010.00012
`
`

`

`CONTENTS
`
`xi
`
`Physical Multicast Channel (PMCH) . . . . . . . . . . . . . . . . . . 196
`9.2.3
`9.3 Downlink Control Channels
`.
`.
`.
`. . . . . . . . . . . . . . . . . . . . . . . 196
`9.3.1 Requirements for Control Channel Design . . . . . . . . . . . . . . . 196
`9.3.2 Control Channel Structure . . . . . . . . . . . . . . . . . . . . . . . 198
`9.3.3
`. . . . . . . . 198
`Physical Control Format Indicator CHannel (PCFICH)
`9.3.4
`. . . . . . . . . . 200
`Physical Hybrid ARQ Indicator Channel (PHICH)
`9.3.5
`. . . . . . . . . . . . 202
`Physical Downlink Control CHannel (PDCCH)
`9.3.6
`PDCCH Scheduling Process . . . . . . . . . . . . . . . . . . . . . . 212
`References .
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`
`215
`
`10 Link Adaptation and Channel Coding
`Brian Classon, Ajit Nimbalker, Stefania Sesia and Issam Toufik
`10.1 Introduction .
`.
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`. . . . . . . . . . . . . . . . . . . . . . . 215
`10.2 Link Adaptation and CQI Feedback . . . . . . . . . . . . . . . . . . . . . . 217
`10.2.1 CQI Feedback in LTE .
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`10.3 Channel Coding .
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`10.3.1 Theoretical Aspects of Channel Coding . . . . . . . . . . . . . . . . 223
`10.3.2 Channel Coding for Data Channels in LTE . . . . . . . . . . . . . . 232
`10.3.3 Channel Coding for Control Channels in LTE . . . . . . . . . . . . . 244
`10.4 Conclusions .
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`References .
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`249
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`11 Multiple Antenna Techniques
`Thomas Sälzer, David Gesbert, Cornelius van Rensburg, Filippo Tosato, Florian
`Kaltenberger and Tetsushi Abe
`11.1 Fundamentals of Multiple Antenna Theory . . . . . . . . . . . . . . . . . . . 249
`11.1.1 Overview .
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`11.1.2 MIMO Signal Model .
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`11.1.3 Single-User MIMO Techniques
`. . . . . . . . . . . . . . . . . . . . 253
`11.1.4 Multi-User MIMO Techniques . . . . . . . . . . . . . . . . . . . . . 258
`11.2 MIMO Schemes in LTE .
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`11.2.1 Practical Considerations .
`. . . . . . . . . . . . . . . . . . . . . . . 263
`11.2.2 Single-User Schemes .
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`11.2.3 Multi-User MIMO .
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`11.2.4 MIMO Performance .
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`11.3 Summary .
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`References .
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`12 Multi-User Scheduling and Interference Coordination
`Issam Toufik and Raymond Knopp
`. . . . . . . . . . . . . . . . . . . . . . . 279
`.
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`12.1 Introduction .
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`12.2 General Considerations for Resource Allocation Strategies . . . . . . . . . . 280
`12.3 Scheduling Algorithms .
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`12.3.1 Ergodic Capacity .
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`12.3.2 Delay-Limited Capacity .
`. . . . . . . . . . . . . . . . . . . . . . . 285
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`279
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`xii
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`CONTENTS
`
`12.4 Considerations for Resource Scheduling in LTE . . . . . . . . . . . . . . . . 286
`12.5 Interference Coordination and Frequency Reuse . . . . . . . . . . . . . . . . 287
`12.5.1 Inter-eNodeB Signalling to Support Downlink Frequency-Domain
`ICIC in LTE .
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`12.5.2 Inter-eNodeB Signalling to Support Uplink Frequency-Domain
`ICIC in LTE .
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`12.5.3 Static versus Semi-Static ICIC . . . . . . . . . . . . . . . . . . . . . 291
`12.6 Summary .
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`References .
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`293
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`13 Broadcast Operation
`Himke van der Velde, Olivier Hus and Matthew Baker
`13.1 Introduction .
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`13.2 Broadcast Modes .
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`13.3 Overall MBMS Architecture .
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`13.3.1 Reference Architecture .
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`13.3.2 Content Provision .
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`13.3.3 Core Network .
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`13.3.4 Radio Access Network – E-UTRAN/UTRAN/GERAN and UE . . . 296
`13.3.5 MBMS Interfaces .
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`13.4 MBMS Single Frequency Network Transmission . . . . . . . . . . . . . . . 297
`13.4.1 Physical Layer Aspects .
`.
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`13.4.2 MBSFN Areas .
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`13.5 MBMS Characteristics .
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`13.5.1 Mobility Support
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`13.5.2 UE Capabilities and Service Prioritization . . . . . . . . . . . . . . . 303
`13.6 Radio Access Protocol Architecture and Signalling . . . . . . . . . . . . . . 304
`13.6.1 Protocol Architecture .
`.
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`13.6.2 Session Start Signalling .
`. . . . . . . . . . . . . . . . . . . . . . . 305
`13.6.3 Radio Resource Control (RRC) Signalling Aspects . . . . . . . . . . 306
`13.6.4 Content Synchronization .
`. . . . . . . . . . . . . . . . . . . . . . . 308
`13.6.5 Counting Procedure
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`.
`13.7 Public Warning Systems
`.
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`13.8 Comparison of Mobile Broadcast Modes . . . . . . . . . . . . . . . . . . . . 312
`13.8.1 Delivery by Cellular Networks . . . . . . . . . . . . . . . . . . . . . 312
`13.8.2 Delivery by Broadcast Networks . . . . . . . . . . . . . . . . . . . . 313
`13.8.3 Services and Applications
`. . . . . . . . . . . . . . . . . . . . . . . 313
`References .
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`Part III Physical Layer for Uplink
`
`14 Uplink Physical Layer Design
`Robert Love and Vijay Nangia
`14.1 Introduction .
`.
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`14.2 SC-FDMA Principles .
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`315
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`Ex.1010.00014
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`CONTENTS
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`xiii
`
`14.2.1 SC-FDMA Transmission Structure . . . . . . . . . . . . . . . . . . . 318
`14.2.2 Time-Domain Signal Generation . . . . . . . . . . . . . . . . . . . . 318
`14.2.3 Frequency-Domain Signal Generation (DFT-S-OFDM) . . . . . . . . 320
`14.3 SC-FDMA Design in LTE .
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`. . . . . . . . . . . . . . . . . . . . . . . 321
`14.3.1 Transmit Processing for LTE . . . . . . . . . . . . . . . . . . . . . . 321
`14.3.2 SC-FDMA Parameters for LTE . . . . . . . . . . . . . . . . . . . . 322
`14.3.3 d.c. Subcarrier in SC-FDMA . . . . . . . . . . . . . . . . . . . . . . 324
`14.3.4 Pulse Shaping .
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`14.4 Summary .
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`References .
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`327
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`15 Uplink Reference Signals
`Robert Love and Vijay Nangia
`. . . . . . . . . . . . . . . . . . . . . . . 327
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`15.1 Introduction .
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`15.2 RS Signal Sequence Generation .
`15.2.1 Base RS Sequences and Sequence Grouping . . . . . . . . . . . . . . 330
`15.2.2 Orthogonal RS via Cyclic Time-Shifts of a Base Sequence . . . . . . 330
`15.3 Sequence-Group Hopping and Planning . . . . . . . . . . . . . . . . . . . . 332
`15.3.1 Sequence-Group Hopping . . . . . . . . . . . . . . . . . . . . . . . 332
`15.3.2 Sequence-Group Planning . . . . . . . . . . . . . . . . . . . . . . . 333
`15.4 Cyclic Shift Hopping .
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`15.5 Demodulation Reference Signals (DM-RS)
`. . . . . . . . . . . . . . . . . . 335
`15.6 Uplink Sounding Reference Signals (SRS) . . . . . . . . . . . . . . . . . . . 337
`15.6.1 SRS Subframe Configuration and Position . . . . . . . . . . . . . . . 337
`15.6.2 Duration and Periodicity of SRS Transmissions . . . . . . . . . . . . 337
`15.6.3 SRS Symbol Structure .
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`15.7 Summary .
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`References .
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`343
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`16 Uplink Physical Channel Structure
`Robert Love and Vijay Nangia
`. . . . . . . . . . . . . . . . . . . . . . . 343
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`16.1 Introduction .
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`16.2 Physical Uplink Shared Data Channel Structure . . . . . . . . . . . . . . . . 344
`16.2.1 Scheduling on PUSCH .
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`. . . . . . . . . . . . . . . . . . . . . . . 345
`16.2.2 PUSCH Transport Block Sizes . . . . . . . . . . . . . . . . . . . . . 347
`16.3 Uplink Control Channel Design .
`. . . . . . . . . . . . . . . . . . . . . . . 348
`16.3.1 Physical Uplink Control Channel (PUCCH) Structure . . . . . . . . . 348
`16.3.2 Types of Control Signalling Information and PUCCH Formats . . . . 352
`16.3.3 Channel State Information Transmission on PUCCH (Format 2) . . . 353
`16.3.4 Multiplexing of CSI and HARQ ACK/NACK from a UE on PUCCH 355
`16.3.5 HARQ ACK/NACK Transmission on PUCCH (Format 1a/1b) . . . . 356
`16.3.6 Multiplexing of CSI and HARQ ACK/NACK in the Same (Mixed)
`PUCCH RB .
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`16.3.7 Scheduling Request (SR) Transmission on PUCCH (Format 1) . . . . 363
`16.4 Multiplexing of Control Signalling and UL-SCH Data on PUSCH . . . . . . 365
`16.5 ACK/NACK Repetition .
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`Ex.1010.00015
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`xiv
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`CONTENTS
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`. . . . . . . . . . . . . . . . . . . . . . . 367
`.
`.
`16.6 Multiple-Antenna Techniques
`16.6.1 Closed-Loop Switched Antenna Diversity . . . . . . . . . . . . . . . 367
`16.6.2 Multi-User ‘Virtual’ MIMO or SDMA . . . . . . . . . . . . . . . . . 368
`16.7 Summary .
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`References .
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`371
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`17 Random Access
`Pierre Bertrand and Jing Jiang
`. . . . . . . . . . . . . . . . . . . . . . . 371
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`17.1 Introduction .
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`17.2 Random Access Usage and Requirements in LTE . . . . . . . . . . . . . . . 371
`17.3 Random Access Procedure .
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`17.3.1 Contention-Based Random Access Procedure . . . . . . . . . . . . . 373
`17.3.2 Contention-Free Random Access Procedure . . . . . . . . . . . . . . 376
`17.4 Physical Random Access Channel Design . . . . . . . . . . . . . . . . . . . 376
`17.4.1 Multiplexing of PRACH with PUSCH and PUCCH . . . . . . . . . . 376
`17.4.2 The PRACH Structure .
`.
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`17.4.3 Preamble Sequence Theory and Design . . . . . . . . . . . . . . . . 385
`17.5 PRACH Implementation .
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`17.5.1 UE Transmitter .
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`17.5.2 eNodeB PRACH Receiver . . . . . . . . . . . . . . . . . . . . . . . 398
`17.6 Time Division Duplex (TDD) PRACH . . . . . . . . . . . . . . . . . . . . . 404
`17.6.1 Preamble Format 4 .
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`17.7 Concluding Remarks .
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`References .
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`407
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`18 Uplink Transmission Procedures
`Matthew Baker
`. . . . . . . . . . . . . . . . . . . . . . . 407
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`18.1 Introduction .
`. . . . . . . . . . . . . . . . . . . . . . . 407
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`18.2 Uplink Timing Control
`. . . . . . . . . . . . . . . . . . . . . . . 407
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`18.2.1 Overview .
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`18.2.2 Timing Advance Procedure . . . . . . . . . . . . . . . . . . . . . . . 408
`18.3 Power Control .
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`18.3.1 Overview .
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`18.3.2 Detailed Power Control Behaviour . . . . . . . . . . . . . . . . . . . 412
`18.3.3 UE Power Headroom Reporting . . . . . . . . . . . . . . . . . . . . 419
`18.3.4 Summary of Uplink Power Control Strategies . . . . . . . . . . . . . 420
`References .
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`Part IV Practical Deployment Aspects
`
`421
`
`19 User Equipment Positioning
`Karri Ranta-aho and Zukang Shen
`. . . . . . . . . . . . . . . . . . . . . . . 423
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`19.1 Introduction .
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`19.2 Assisted Global Navigation Satellite System (A-GNSS) Positioning . . . . . 425
`19.3 Observed Time Difference Of Arrival (OTDOA) Positioning . . . . . . . . . 426
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`423
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`Ex.1010.00016
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`CONTENTS
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`xv
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`. . . . . . . . . . . . . . . . . 427
`19.3.1 Positioning Reference Signals (PRS)
`19.3.2 OTDOA Performance and Practical Considerations . . . . . . . . . . 430
`19.4 Cell-ID-based Positioning .
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`19.4.1 Basic CID Positioning .
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`19.4.2 Enhanced CID Positioning using Round Trip Time and UE Receive
`Level Measurements .
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`19.4.3 Enhanced CID Positioning using Round Trip Time and Angle of
`Arrival
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`19.5 LTE Positioning Protocols
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`19.6 Summary and Future Techniques .
`. . . . . . . . . . . . . . . . . . . . . . . 435
`References .
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`437
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`20 The Radio Propagation Environment
`Juha Ylitalo and Tommi Jämsä
`. . . . . . . . . . . . . . . . . . . . . . . 437
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`20.1 Introduction .
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`20.2 SISO and SIMO Channel Models .
`. . . . . . . . . . . . . . . . . . . . . . . 439
`20.2.1 ITU Channel Model
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`20.2.2 3GPP Channel Model
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`20.2.3 Extended ITU Models
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`20.3 MIMO Channel Models .
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`20.3.1 SCM Channel Model .
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`20.3.2 SCM-Extension Channel Model
`. . . . . . . . . . . . . . . . . . . . 444
`20.3.3 WINNER Model
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`20.3.4 LTE Evaluation Model
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`20.3.5 Extended ITU Models with Spatial Correlation . . . . . . . . . . . . 448
`20.3.6 ITU Channel Models for IMT-Advanced . . . . . . . . . . . . . . . 449
`20.3.7 Comparison of MIMO Channel Models . . . . . . . . . . . . . . . . 453
`20.4 Radio Channel Implementation for Conformance Testing . . . . . . . . . . . 454
`20.4.1 Performance and Conformance Testing . . . . . . . . . . . . . . . . 454
`20.4.2 Future Testing Challenges . . . . . . . . . . . . . . . . . . . . . . . 454
`20.5 Concluding Remarks .
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`References .
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`457
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`21 Radio Frequency Aspects
`Moray Rumney, Takaharu Nakamura, Stefania Sesia, Tony Sayers and Adrian Payne
`21.1 Introduction .
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`21.2 Frequency Bands and Arrangements . . . . . . . . . . . . . . . . . . . . . . 459
`21.3 Transmitter RF Requirements .
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`21.3.1 Requirements for the Intended Transmissions . . . . . . . . . . . . . 462
`21.3.2 Requirements for Unwanted Emissions
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`21.3.3 Power Amplifier Considerations . . . . . . . . . . . . . . . . . . . . 471
`21.4 Receiver RF Requirements .
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`21.4.1 Receiver General Requirements . . . . . . . . . . . . . . . . . . . . 474
`21.4.2 Transmit Signal Leakage .
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`21.4.3 Maximum Input Level
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`21.4.4 Small Signal Requirements . . . . . . . . . . . . . . . . . . . . . . . 478
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`Ex.1010.00017
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`xvi
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`CONTENTS
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`21.4.5 Selectivity and Blocking Specifications . . . . . . . . . . . . . . . . 482
`21.4.6 Spurious Emissions .
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`21.4.7 Intermodulation Requirements . . . . . . . . . . . . . . . . . . . . . 489
`21.4.8 Dynamic Range .
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`21.5 RF Impairments .
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`21.5.1 Transmitter RF Impairments . . . . . . . . . . . . . . . . . . . . . . 492
`21.5.2 Model of the Main RF Impairments . . . . . . . . . . . . . . . . . . 495
`21.6 Summary .
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`References .
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`503
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`22 Radio Resource Management
`Muhammad Kazmi
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`22.1 Introduction .
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`22.2 Cell Search Performance .
`22.2.1 Cell Search within E-UTRAN . . . . . . . . . . . . . . . . . . . . . 505
`22.2.2 E-UTRAN to E-UTRAN Cell Global Identifier Reporting
`Requirements .
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