`
`Chin-Chun AA ;
`Peter Gould )) ) )
`
`/
`
`~
`
`Samsung Ex. 1009, Page 1 of 521
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`GSM, cdmaOne and 3G SystemsRaymond SteeleChairman,Multiple Access Communications Ltd,Southampton, UKChin-Chun LeeProfessor of Commmunications,Da-Yeh University, Chang-Hwa, TaiwanPeter GouldDirector,Multiple Access Communications Ltd,Southampton, UKJOHN WILEY & SONS, LTDChichester • Weinheim • New York • Brisbane • Singapore • Toronto
`
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`Copyright © 2001 by John Wiley & Sons Ltd Baffins Lane, Chichester, West Sussex, PO19 1UD, England National 01243 779777 International (+44) 1243 779777e-mail (for orders and customer service enquiries): cs-books@wiley.co.ukVisit our Home Page on http://www.wiley.co.ukor http://www.wiley.comAll Rights Reserved. No part of this publication may be reproduced, stored in a retrieval system, ortransmitted, in any form or by any means, electronic, mechanical, photocopying, recording, scanning orotherwise, except under the terms of the Copyright Designs and Patents Act 1988 or under the terms of alicence issued by the Copyright Licensing Agency, 90 Tottenham Court Road, London, W1P 9HE, UK,without the permission in writing of the Publisher, with the exception of any material supplied specificallyfor the purpose of being entered and executed on a computer system, for exclusive use by the purchaser ofthe publication. Neither the authors nor John Wiley & Sons Ltd accept any responsibility or liability for loss or damageoccasioned to any person or property through using the material, instructions, methods or ideas containedherein, or acting or refraining from acting as a result of such use. The authors and Publisher expresslydisclaim all implied warranties, including merchantability of fitness for any particular purpose. There willbe no duty on the authors of Publisher to correct any errors or defects in the software. Designations used by companies to distinguish their products are often claimed as trademarks. In allinstances where John Wiley & Sons is aware of a claim, the product names appear in initial capital orcapital letters. Readers, however, should contact the appropriate companies for more complete informationregarding trademarks and registration.Other Wiley Editorial OfficesJohn Wiley & Sons, Inc., 605 Third Avenue,New York, NY 10158-0012, USAWiley-VCH Verlag GmbHPappelallee 3, D-69469 Weinheim, GermanyJacaranda Wiley Ltd, 33 Park Road, Milton,Queensland 4064, AustraliaJohn Wiley & Sons (Canada) Ltd, 22 Worcester RoadRexdale, Ontario, M9W 1L1, CanadaJohn Wiley & Sons (Asia) Pte Ltd, 2 Clementi Loop #02-01,Jin Xing Distripark, Singapore 129809British Library Cataloguing in Publication DataA catalogue record for this book is available from the British LibraryISBN 0 471 49185 3Produced from PostScript files supplied by the authorsPrinted and bound in Great Britain by Bookcraft (Bath) LtdThis book is printed on acid-free paper responsibly manufactured from sustainable forestry,in which at least two trees are planted for each one used for paper production.
`
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`Contents
`
`Prefaceix
`
`1 Introduction to Cellular Radio
`. . . . . . . . . . .
`1.1 A Single Cell
`.
`. . . . . . . . . . .
`. . . . . . . . . . .
`1.2 Multiple Cells .
`. . . . . . . . . . .
`. . . . . . . . . . .
`1.2.1 Hexagonal cells . . . . . . .
`. . . . . . . . . . .
`1.2.2
`Sectorisation . . . . . . . .
`. . . . . . . . . . .
`1.3 The TDMA Radio Interface . . . . .
`1.3.1 Multiple access procedure for TDMA . . . . . .
`1.3.2 The TDMA radio link . . .
`. . . . . . . . . . .
`1.4 The CDMA Radio Interface
`. . . .
`. . . . . . . . . . .
`1.4.1 Binary phase shift keying . .
`. . . . . . . . . . .
`1.4.2
`Spectrum spreading . . . . .
`. . . . . . . . . . .
`1.4.3 The spread signal . . . . . .
`. . . . . . . . . . .
`1.4.4 Multiple CDMA users . . .
`. . . . . . . . . . .
`1.4.5
`Simple capacity equation . .
`. . . . . . . . . . .
`1.4.6 Cellular CDMA . . . . . . .
`. . . . . . . . . . .
`1.5 Cellular Network Architecture . . .
`. . . . . . . . . . .
`1.5.1
`Physical and logical channels
`. . . . . . . . . .
`1.5.2 Traffic and signalling channels . . . . . . . . . .
`1.5.3 Network topology . . . . .
`. . . . . . . . . . .
`1.5.4 Making a call to a mobile subscriber . . . . . . .
`
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`. . . . . . . . . .
`
`2 The GSM System
`. . . . . . . . . . .
`. . . . . . . . . . .
`2.1
`Introduction . .
`2.2 An Overview of the GSM Network Architecture . . . . .
`
`. . . . . . . . . .
`. . . . . . . . . .
`
`1
`2
`7
`9
`13
`15
`15
`18
`26
`27
`30
`35
`37
`39
`41
`54
`54
`54
`56
`58
`
`65
`65
`68
`
`Samsung Ex. 1009, Page 4 of 521
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`v
`

`

`vi
`
`CONTENTS
`
`69
`. . . . . . . . . .
`. . . . . . . . . . .
`2.2.1 The mobile station . . . . .
`72
`. . . . . . . . . .
`. . . . . . . . . . .
`2.2.2 The base station subsystem .
`73
`. . . . . . . . . .
`2.2.3 The mobile services switching centre . . . . . .
`73
`. . . . . . . . . .
`2.2.4 The GSM network databases . . . . . . . . . . .
`75
`. . . . . . . . . .
`2.2.5 The management of GSM networks . . . . . . .
`76
`. . . . . . . . . .
`2.3 The GSM Radio Interface . . . . . .
`. . . . . . . . . . .
`77
`. . . . . . . . . .
`2.3.1 The GSM modulation scheme . . . . . . . . . .
`80
`. . . . . . . . . .
`2.3.2 The GSM radio carriers
`. .
`. . . . . . . . . . .
`84
`. . . . . . . . . .
`2.3.3 The GSM power classes . .
`. . . . . . . . . . .
`85
`. . . . . . . . . .
`2.3.4 The GSM bursts
`. . . . . .
`. . . . . . . . . . .
`89
`. . . . . . . . . .
`2.3.5 The GSM receiver
`. . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 102
`2.3.6
`Physical and logical channels
`. . . . . . . . . .
`2.3.7 Mapping logical channels onto physical channels . . . . . . . . . . 107
`2.3.8 The GSM frame structure
`.
`. . . . . . . . . . .
`. . . . . . . . . . 108
`2.3.9
`Speech transmission . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 114
`2.3.10 User data transmission . . .
`. . . . . . . . . . .
`. . . . . . . . . . 124
`2.3.11 Control data transmission .
`. . . . . . . . . . .
`. . . . . . . . . . 126
`2.3.12 Ciphering of control data . .
`. . . . . . . . . . .
`. . . . . . . . . . 129
`2.4 Control of the radio resource . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 129
`2.4.1 Cell selection . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 130
`2.4.2
`Idle mode . . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 132
`2.4.3 Access mode . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 133
`2.4.4 Handover . . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 135
`2.4.5
`Power control . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 142
`2.4.6
`Frequency hopping . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 143
`2.5 Security Issues
`. . . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 145
`2.5.1
`Introduction . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 145
`2.5.2
`PIN code protection . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 145
`2.5.3 Authentication . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 146
`2.5.4 Encryption . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 147
`2.5.5 The temporary mobile subscriber identity (TMSI) . . . . . . . . . . 147
`
`3 Capacity of GSM Systems
`. . . . . . . . . . .
`. . .
`3.1 List of Mathematical Symbols
`. . . . . . . . . . .
`3.2
`Introduction . .
`. . . . . . . . . . .
`3.3 Macrocellular GSM Network: Up-link Transmissions . .
`3.3.1 The SIR for omnidirectional macrocells . . . . .
`3.3.2 The SIR for sectorised macrocells . . . . . . . .
`
`151
`. . . . . . . . . . 151
`. . . . . . . . . . 153
`. . . . . . . . . . 154
`. . . . . . . . . . 154
`. . . . . . . . . . 160
`
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`CONTENTS
`
`vii
`
`3.4 Macrocellular GSM Network: Down-link Transmissions . . . . . . . . . . 167
`3.4.1 The SIR for omnidirectional macrocells . . . . .
`. . . . . . . . . . 167
`3.4.2 The SIR for sectorised macrocells . . . . . . . .
`. . . . . . . . . . 170
`3.5 Macrocellular GSM Network: Capacity . . . . . . . . .
`. . . . . . . . . . 177
`3.5.1 Effect of sectorisation on teletraffic . . . . . . .
`. . . . . . . . . . 179
`3.5.2
`Summary of the performance of the macrocellular GSM network . . 180
`3.6 Microcellular GSM Network . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 183
`3.6.1
`Path loss and shadow fading in city street microcells
`. . . . . . . . 185
`3.6.2 Up-link SIR values for a cross-shaped microcellular network . . . . 186
`3.6.3 Up-link SIR values for rectangular-shaped microcells
`. . . . . . . 189
`3.6.4 Microcellular GSM network capacity . . . . . .
`. . . . . . . . . . 193
`3.6.5
`Irregular-shaped microcells .
`. . . . . . . . . . .
`. . . . . . . . . . 194
`
`4 The cdmaOne System
`. . . . . . . . . . .
`4.1
`Introduction . .
`. . . . . . . . . . .
`. . . . . . . . . . .
`4.2 The cdmaOne Radio Interface . . .
`. . . . . . . . . . .
`4.2.1 Operating frequencies
`. . .
`4.2.2 The cdmaOne Forward link . . . . . . . . . . .
`4.2.3 The cdmaOne reverse link .
`. . . . . . . . . . .
`4.3 Control of the Radio Resources . . .
`. . . . . . . . . . .
`4.3.1 Cell selection . . . . . . . .
`. . . . . . . . . . .
`4.3.2 The idle mode and paging .
`. . . . . . . . . . .
`4.3.3 The access procedure . . . .
`. . . . . . . . . . .
`4.3.4 Handover . . . . . . . . . .
`. . . . . . . . . . .
`4.3.5 Hard handover
`. . . . . . .
`. . . . . . . . . . .
`4.3.6
`Power control . . . . . . . .
`. . . . . . . . . . .
`
`205
`. . . . . . . . . . 205
`. . . . . . . . . . 206
`. . . . . . . . . . 206
`. . . . . . . . . . 209
`. . . . . . . . . . 248
`. . . . . . . . . . 271
`. . . . . . . . . . 271
`. . . . . . . . . . 273
`. . . . . . . . . . 274
`. . . . . . . . . . 275
`. . . . . . . . . . 281
`. . . . . . . . . . 281
`
`5 Analysis of IS-95
`. . . . . . . . . . .
`. . .
`5.1 List of Mathematical Symbols
`. . . . . . . . . . .
`5.2
`Introduction . .
`. . . . . . . . . . .
`. . . . . . . . . . .
`5.3 CDMA in a Single Macrocell . . . .
`. . . . . . . . . . .
`5.3.1 The up-link system . . . . .
`. . . . . . . . . . .
`5.3.2 The down-link system . . .
`. . . . . . . . . . .
`5.4 CDMA Macrocellular Networks . .
`. . . . . . . . . . .
`5.4.1 The up-link system . . . . .
`. . . . . . . . . . .
`5.4.2 The down-link system . . .
`5.4.3 Down-link with orthogonal codes
`. . . . . . . .
`5.4.4 Effect of sectorisation . . .
`. . . . . . . . . . .
`5.4.5 The capacity of the IS-95 CDMA in macrocells .
`
`285
`. . . . . . . . . . 285
`. . . . . . . . . . 289
`. . . . . . . . . . 290
`. . . . . . . . . . 290
`. . . . . . . . . . 303
`. . . . . . . . . . 308
`. . . . . . . . . . 309
`. . . . . . . . . . 322
`. . . . . . . . . . 332
`. . . . . . . . . . 337
`. . . . . . . . . . 339
`
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`v iii
`
`CONTENTS
`
`5.5
`
`5.4.6 The effect of channel coding on CDMA systems
`5.4.7
`Summary . . . . . . . . . .
`. . . . . . . . . . .
`IS-95 Street Microcellular Networks . . . . . . . . . . .
`5.5.1 Up-link system and signal model . . . . . . . . .
`5.5.2
`Performance of the up-link .
`. . . . . . . . . . .
`5.5.3 Down-link system and signal model
`. . . . . . .
`5.5.4
`Performance of the down-link . . . . . . . . . .
`5.5.5 Capacity of IS-95 in street microcells . . . . . .
`5.5.6
`Summary . . . . . . . . . .
`. . . . . . . . . . .
`5.6 Power Control in CDMA Systems .
`. . . . . . . . . . .
`5.6.1 Channel model
`. . . . . . .
`. . . . . . . . . . .
`5.6.2 Estimation of the received signal power . . . . .
`. . . . . . . . . . .
`5.6.3 Estimation of Eb=I0 . . . . .
`5.6.4 Estimation of Eb=I0 for RAKE receivers . . . . .
`5.6.5
`Power control scheme . . .
`. . . . . . . . . . .
`5.6.6
`Simulations and results . . .
`. . . . . . . . . . .
`5.6.7
`Summary . . . . . . . . . .
`. . . . . . . . . . .
`
`. . . . . . . . . . 340
`. . . . . . . . . . 342
`. . . . . . . . . . 344
`. . . . . . . . . . 345
`. . . . . . . . . . 348
`. . . . . . . . . . 362
`. . . . . . . . . . 364
`. . . . . . . . . . 367
`. . . . . . . . . . 369
`. . . . . . . . . . 370
`. . . . . . . . . . 370
`. . . . . . . . . . 371
`. . . . . . . . . . 375
`. . . . . . . . . . 376
`. . . . . . . . . . 377
`. . . . . . . . . . 381
`. . . . . . . . . . 393
`
`404
`6 Evolution of GSM and cdmaOne to 3G Systems
`. . . . . . . . . . 404
`6.1
`Introduction . .
`. . . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 404
`6.1.1 The generation game . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 407
`6.1.2
`IMT-2000 spectrum . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 407
`6.2 Evolution of GSM . . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 410
`6.2.1 High speed circuit-switched data . . . . . . . . .
`. . . . . . . . . . 411
`6.2.2 The general packet radio service . . . . . . . . .
`6.2.3 The enhanced data rates for GSM evolution (EDGE)
`. . . . . . . . 420
`6.3 The Universal Mobile Telecommunication System . . . .
`. . . . . . . . . . 422
`6.3.1 The UTRA FDD mode . . .
`. . . . . . . . . . .
`. . . . . . . . . . 426
`6.3.2 UTRA TDD system . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 467
`6.4 Evolution of IS-95 to cdma2000 . .
`. . . . . . . . . . .
`. . . . . . . . . . 486
`6.4.1
`Forward link . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 488
`6.4.2 Reverse link . . . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 494
`6.4.3
`cdma2000 TDD . . . . . . .
`. . . . . . . . . . .
`. . . . . . . . . . 498
`
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`Preface
`
`This book is concerned with the description and analysis of the global second generation
`(2G) mobile radio systems: the Global System of Mobile Communications (GSM) and
`cdmaOne. A subsidiary goal is to examine how these two systems will evolve into third
`generation (3G) ones with their requirement to support multimedia mobile radio commu-
`nications. The motivation for this book originated when we were asked to compare the
`capacities of GSM and, as cdmaOne was known then, IS-95. The multiple access method
`used by GSM is time division multiple access (TDMA), and this represented a significant
`change from the first generation (1G) analogue systems that operated with frequency divi-
`sion multiple access (FDMA). IS-95 had a more complex radio interface than GSM, em-
`ploying code division multiple access (CDMA). Engineers at that time often held strong
`and somewhat uncompromising views regarding multiple access methods. We preferred
`CDMA from a spectral efficiency point of view, although that does not mean that CDMA
`should be deployed in preference to TDMA as there are many complex performance and
`economic factors to be considered when deciding on the type of system to select.
`GSM was deployed before cdmaOne and is the market leader, entrenched in many parts
`of the world. Its success is due to numerous factors: its advanced backbone network, the in-
`troduction of subscriber identity modules (SIMs) that decoupled handsets from subscribers,
`its good security system, the low cost equipment due to open (i.e. public) interfaces, the
`relentless programme of evolution that has yielded substantial gains in spectral efficiency
`compared with the basic GSM system, and so on.
`cdmaOne started as a radio interface. It was a bold step to use CDMA at a time when few
`thought CDMA could work in a cellular environment. But it did so, acquiring the necessary
`backbone network, and became a global standard offering tough competition to GSM. It
`is also worthy of note that Europe, which had designed and promoted GSM, has opted for
`wideband CDMA for its third generation (3G) networks.
`Our cardinal objectives in this book are to present to the reader detailed descriptions
`
`i x
`
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`

`of the basic GSM and cdmaOne systems, mainly from the radio interface point of view;
`as well as accompanying analyses. Our first chapter is designed to provide background
`material on TDMA, CDMA and cellular radio networks. The reader knowledgeable in
`mobile radio should omit reading this chapter and proceed directly to Chapter 2 which
`describes the basic GSM system. Chapter 3 provides an analysis of the performance of
`GSM networks. The same method of system description followed by a chapter dedicated
`to mathematical analysis is applied for cdmaOne in Chapters 4 and 5, respectively. The
`final chapter endeavours to describe how GSM is evolving to provide higher bit rate circuit-
`switched channels and packet transmissions that will have an ability to provide a range of
`multimedia services. The Universal Mobile Telecommunications System (UMTS) is then
`described, followed by a discussion of the evolution of cdmaOne to cdma2000. Both UMTS
`and cdma2000 are 3G systems.
`The authors express their gratitude to those who have helped them in the gestation of this
`book. In particular they thank Dr Sheyam Lal Dhomeja for proof reading Chapters 2 and
`5, Denise Harvey for her typing and helping to get the book to fruition, our colleagues at
`Multiple Access Communications Ltd for providing snipits of knowledge when required,
`and last, but not least, our loved ones for providing the support all authors need.
`
`Samsung Ex. 1009, Page 9 of 521
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`x
`

`

`GSM, cdmaOne and 3G Systems. Raymond Steele, Chin-Chun Lee and Peter Gould
`Copyright © 2001 John Wiley & Sons Ltd
`Print ISBN 0-471-49185-3 Electronic ISBN 0-470-84167-2
`
`eter Gould
`Wiley & Sons Ltd
`
`Chapter 1
`
`Introduction to Cellular Radio
`
`This book is concerned with two digital mobile radio systems: the global system for mo-
`bile communications (GSM); and a code division multiple access (CDMA) system that
`was originally known as the American interim standard 95, or IS-95 and is now called cd-
`maOne [1–7]. While GSM was conceived and developed through the concerted efforts of
`regulators, operators and equipment manufacturers in Europe, cdmaOne owes its existence
`to one dynamic Californian company, Qualcomm Inc. The authors have been involved
`with both the pan-European mobile radio system, which became GSM, and the Qualcomm
`CDMA system for a number of years. The GSM system predates cdmaOne.
`The two systems are very different. The radio interface of GSM relies on time division
`multiple access (TDMA), which means that its radio link is very different to that of cd-
`maOne. Also GSM is a complete network specification, from the subscriber unit through
`to the network gateway. Indeed its fixed network component is perhaps its most advanced
`feature [1,2]. cdmaOne, by contrast, has a more complex and advanced radio interface, and
`only later were fixed network issues addressed [3, 7].
`In the chapters to follow, the GSM and cdmaOne systems will be described and analysed
`while the final chapter deals with their evolution to third generation systems. This chapter is
`meant to provide background information on cellular radio [1–11]. The reader who is well
`acquainted with the fundamentals of mobile radio communications should therefore bypass
`this chapter.
`For the reader who has elected to read this chapter we should state at the outset that
`our goal is to provide a clear exposition of the concepts of the subject rather than detailed
`analyses, which will follow in the later chapters. The first point to make is that a mobile
`radio network has a radio interface that enables a mobile station (MS) to communicate
`with the fixed part of the mobile network. Both components, the radio interface that fa-
`cilitates user mobility, and the fixed network that enables the mobile to communicate with
`
`1
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`

`2
`
`CHAPTER1. INTRODUCTIONTOCELLULARRADIO
`
`other users via the public switch telephone network (PSTN) or the integrated services dig-
`ital network (ISDN), are radically dissimilar and complex. This means that to have a good
`appreciation of mobile radio requires a wide knowledge that includes speech coding, chan-
`nel coding, interleavers, radio modems, radio propagation, antennas, channel equalisation,
`RAKE receivers, diversity techniques, radio planning of cells, the significance of signal-to-
`interference ratios (SIRs), bit error rate (BER), teletraffic issues, protocol stacks, location
`databases, signalling systems, encryption, authentication procedures, switching, packetisa-
`tion techniques, and so on. If some of these subjects are dealt with from a standing start in
`other chapters they will not be dealt with here. Neither will they be considered if they are
`outside the confines of this text. What we will consider here are topics that are needed when
`we come to our discussions of GSM and cdmaOne.
`There are many ways of describing cellular radio, and the two most obvious are a bottom-
`up approach, or a top-down one. The former starts with the basic principles of radio prop-
`agation, to the concept of a cell, then clusters of cells to the radio links and multiple access
`methods, to setting-up, maintaining, and clearing-down of calls. The top-down approach
`is essentially the reverse process, starting with the big picture and ending up with radio
`propagation issues. We have opted for the bottom-up approach, building on concept after
`concept, until the overall concept of the network can be appreciated. Our starting point is
`the notion of a single cell.
`
`1.1 A Single Cell
`
`Consider a base station (BS) having an antenna located on a tower radiating an electromag-
`netic signal to a mobile station (MS). The received signal depends on many factors. The
`output port of the BS equipment delivers power at the appropriate radio frequency (RF) into
`the cable connected to the antenna. There are losses in the cable, e.g. a 40 W RF signal
`at the BS equipment may yield only 16 W of radiated power. The BS antenna is usually
`directional, which means that power is directed over a solid angle rather than over all an-
`gles. This means that compared with isotropic radiator there is a gain G(θ
`φ) of power in
`the θ and φ directions, where θ and φ are angles measured in the vertical and horizontal
`directions, respectively.
`As the transmitted energy spreads out from the BS, the amount of power the MS antenna
`can receive diminishes [12, 13]. The mobile’s antenna is usually located only one to two
`metres above the ground whereas the BS antenna may be at a height from several metres
`to in excess of a hundred metres. The heights of the antenna affect the path loss, i.e. the
`difference in the received signal power at the MS antenna compared with the BS transmitted
`power. The path loss (PL) is usually measured in decibels (dB). As an example, for the plane
`earth model there are two paths, a direct line-of-sight (LOS) path and a ground-reflected
`
`;
`
`Samsung Ex. 1009, Page 11 of 521
`
`

`

`1.1. ASINGLECELL
`
`path. The expression for PL is
`
`d2 (cid:19)2
`PL = (cid:18) hT hR
`
`GT (θ
`
`;
`
`φ)GR(θ
`
`;
`
`φ);
`
`3
`
`(1.1)
`
`where hT and hR are the heights of the transmitting and receiving antennas, respectively, d
`φ) are the gains of the
`is the distance between the two antennas, and GT (θ
`φ) and GR(θ
`transmitter and receiving antenna, respectively. When written in decibels, the path loss, Lp,
`becomes
`
`;
`
`;
`
`Lp = 10 log10 PL
`= 20 log10 hT + 20 log10 hR (cid:0) 40 log10 d
`φ):
`+ 10 log10 GT (θ
`φ) + 10 log10 GR(θ
`
`;
`
`;
`
`(1.2)
`
`This equation is only valid when
`
`d >
`
`;
`
`(1.3)
`
`2πhT hR
`λ
`where λ is the wavelength of the radiated wave.
`The plane earth model is useful but may deviate significantly from reality. In the plane
`earth model, Lp decreases at 40 dB per decade increase in distance, i.e.
`if the distance
`increases by 10 times, the path loss will increase by 40 dB. This rate is often used in prac-
`tical situations, although measurements show it may be closer to 35 dB per decade.
`If
`the transmitted power is sufficiently high a MS will often travel beyond the LOS of the
`BS antenna. When a mobile goes behind a large building the average received power will
`decrease and when it emerges from the building that casts the electromagnetic shadow, the
`average received power will rise. The fading due to large obstacles that produce electromag-
`netic shadows is called shadow fading. As a result of this fading effect, as the MS travels
`away from the BS the received power at the MS and the BS is subjected to considerable
`variations. These variations due to shadowing effects can be represented by a log-normal
`distribution of a shadow fading random variable ζ. Specifically we introduce this variable
`into Equation (1.2) to give
`
`Lp = 20 log10 hT + 20 log10 hR (cid:0) 40 log10 d + ζ
`+ 10 log10 GT (θ;φ) + 10 log10 GR(θ;φ);
`where ζ is measured in decibels and may be positive or negative.
`In this book we will often use the expression for received signal power as
`
`S(dB) = 10 log10 P (cid:0) 10n log10 d + ζ
`
`(1.4)
`
`(1.5)
`
`Samsung Ex. 1009, Page 12 of 521
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`

`4
`
`CHAPTER1. INTRODUCTIONTOCELLULARRADIO
`
`or, when not in decibels, the expression becomes
`
`S = Pd(cid:0)n10ζ=10
`
`;
`
`(1.6)
`
`where P is the transmitted power from the BS and n is called the exponent of the PL.
`Observe that when we employ Equations (1.5) or (1.6), the terms relating to antenna heights
`and antenna gains are absent. This is because we often ignore the effects associated with the
`antennas on the path loss when we are concerned with signal-to-interference ratios (SIRs)
`since these parameters tend to cancel out on the signal and interference paths. Equation (1.6)
`is used extensively in Chapters 3 and 5.
`The MS is not only subjected to shadow fading, but also to small scale fading, i.e. due
`to the received signal changing in amplitude and phase as a consequence of a small change
`in the spatial separation (e.g. fraction of a wavelength) between the MS and its BS [4].
`This occurs because the MS is travelling through an electromagnetic field, receiving more
`than one version of the same transmitted signal that travelled via different paths. Each
`path results in a component of the received signal that has a specific attenuation and phase
`orientation. The received signal at the MS is therefore the vector sum of all these multipath
`signals. The vector sum may be large at one instant and a small movement of the MS
`may result in the multipath signal being very small. This variation often takes place over a
`distance of half a wavelength which is only (3 (cid:2) 108)=(2 (cid:2) 109) = 15 cm for a 1 GHz radio
`frequency carrier.
`If the received paths are close together in time, we may represent the channel impulse
`function by a single delta function whose amplitude is Rayleigh distributed while its phase
`has a uniform distribution. The Fourier transform of a delta function is a flat spectrum.
`Since the weighting of the delta function varies due to the fading, the magnitude of the flat
`spectrum changes, and the condition is known as flat fading. This means all the frequencies
`in the received signal fade together and by the same amount.
`Often we have a path arriving in the vicinity of the MS and subjected to local scattering
`producing a single delta function that is Rayleigh distributed. Then another ray arrives yield-
`ing another delta function that is also Rayleigh distributed. This process of each received
`ray causing a group of scattered rays that can be represented by a Rayleigh distributed delta
`function yields a channel impulse response that is itself made up of a number of impulses
`or delta functions at epochs 0, τ1, τ2; : : :, as shown in Figure 1.1. Since each delta function
`is fading independently the spectrum of the radio channel no longer fades uniformly for all
`frequencies. This type of fading is called frequency selective fading, which means that in
`the time domain the depths of the fades are, in general, much less than for flat fading. In
`the latter case the fading can be very deep, typically up to 40 dB, and this may cause bursts
`of symbol errors. As a consequence, having a wideband channel means that the signal is
`less likely to drop below the receiver sensitivity for a given transmitted power compared
`
`Samsung Ex. 1009, Page 13 of 521
`
`

`

`1.1. ASINGLECELL
`
`5
`
`with a narrow band channel. However, the wideband channel has a wider impulse response,
`and since the received signal is the convolution of the transmitted signal with the impulse
`response of the radio channel, one data symbol is smeared into other symbols. This effect,
`called intersymbol interference (ISI), requires the receiver to un-smear the symbols. This
`is achieved using a channel equaliser in GSM and a RAKE receiver in cdmaOne. We will
`return to channel equalisation and RAKE receivers in some detail in later sections.
`As a MS travels away from the BS, the received signal at the MS decreases as the path
`loss increases. The received signal will also exhibit large scale (shadowing) fading and small
`scale fading. Figure 1.2 shows an example of the variations in the received signal level (in
`dBs) as the MS travels. The dotted line represents the change in received signal level due
`to shadow fading. The rapid changes in the received signal level are the consequence of
`small scale fading, which for a particular carrier frequency depends on the MS speed. The
`faster the MS travels, the more rapid is the fading. A stationary MS may be in a deep fade.
`Fortunately the effect of small scale fading can be effectively combatted in modern digital
`mobile radio systems. Shadow fading and path loss is another matter.
`Having passed through the radio channel, the RF signal transmitted by the BS will arrive
`at the MS antenna. This will usually connect directly into the receiver input but, unlike the
`BS, there are no cable losses. The antenna will be omni-directional whereby it is able to
`capture signal energy equally from all directions in the horizontal plane. In the case of a
`handheld MS, the signal may be attenuated by the user’s body before arriving at the antenna,
`and network operators generally include a margin in their planning procedures to account
`for body loss.
`As the MS travels there is a change in the frequency of the received carrier on each path
`due to the Doppler effect. For a MS travelling in a direction making an angle αi with
`respect to a signal received on the ith path, the carrier frequency is changed from fc to
`
`Magnitude
`
`τ
`
`1
`
`τ
`
`2
`
`0
`
`τ
`
`3
`
`τ
`
`4
`
`time
`
`Figure 1.1: Magnitude of wideband channel impulse response, measured from the arrival of the first
`path.
`
`Samsung Ex. 1009, Page 14 of 521
`
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`

`6
`
`CHAPTER1. INTRODUCTIONTOCELLULARRADIO
`
`-40
`
`-50
`
`-60
`
`-70
`
`-80
`
`-90
`
`-100
`
`-110
`
`-120
`
`-130
`
`Received signal level (dBm)
`
`0
`
`0.2
`
`0.6
`0.4
`Time (s)
`
`0.8
`
`1
`
`Figure 1.2: Combined shadow and fast fading.
`
`fc + (ν=λ) cosαi, where ν is the speed of the MS and λ is the wavelength of the carrier
`(= 3 (cid:2) 108= fc m). Therefore, not only does each path in the received signal experience a
`different attenuation and phase shift, it is also subjected to a change in carrier frequency that
`can be positive or negative depending on αi. The Doppler power spectral density (PSD) is
`parabolic about the carrier to frequencies fc (cid:6) (ν=λ) when the probability density function
`(PDF) of αi is uniform, i.e. rays arrive at the MS from all directions with equal probability.
`In general there are only a few rays and their direction is often restricted, e.g. by local
`buildings. In this case the Doppler spectrum will be non-monotonic and rapidly changing.
`Fast changes in the Doppler spectrum manifest themselves as fast changes in the radio
`channel impulse response. Again, mobile radio equipment is well able to combat Doppler
`effects, unless the MS speed is excessive, e.g. in very high-speed trains.
`So far we have considered a mobile travelling away from a BS and the received signal
`level decreasing with increasing BS to MS distance. The MS continues its travels with
`its receiver combating the fast fading, Doppler effects and channel dispersion due to its
`good design. The MS has a noise floor, which is reached when the mobile has travelled
`sufficiently far from the BS such that the receiver noise dominates the received signal level
`and the receiver behaves as if no signal is being received. Before this extreme condition
`is reached there is a received signal threshold known as the receiver sensitivity. When
`the received signal level is above this level, the bit error rate (BER) is acceptably low.
`Conversely, when the received signal level drops below the receiver sensitivity, the MS is
`
`Samsung Ex. 1009, Page 15 of 521
`
`

`

`1.2. MULTIPLECELLS
`
`7
`
`no longer able to receive signals of an acceptable quality from the BS. The point in space at
`which this threshold occurs represents a boundary point for the down-link or forward link,
`i.e. the transmissions from the BS to the MS.
`the transmission from the MS to the BS?
`What about the up-link or reverse link, i.e.
`The two links are never the same. They are similar in GSM and rad