FLM
`2016
`063751
`
`ung and David J. Goodman D D D
`
`Sing le Carrier
`FDMA
`
`A New Air Interface for Long Term Evolution
`
`Samsung Ex. 1205, 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
`
`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 books offer engineers and
`other technical professional, researchers, educators, and advanced students in these fields
`invaluable insight into the latest developments and cutting-edge research.
`
`Other titles in this series
`
`Misic and Misic: Wireless Personal Area Networks: Pe,formance, Interconnections and
`Sernrity with IEEE 802 .15.4, January 2008 987-0-470-51847-2
`
`Takagi and Walke: Spectrum Requirement Planning in Wireless Communications: Model
`and Methodology for !MT-Advanced, April 2008 987-0-470-98647-9
`
`Perez-Fontan 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 Pe,formance, September 2008 978-0-470-72527-6
`
`Lin and Sou: Charging for Mobile All-JP Telecommunications, September 2008
`987-0-470-77565-3
`
`Hart, Tao, Zhou: IEEE 802.16) Multi-hop Relay, March 2009 978-0-470-99399-6
`
`Qian, Muller, Chen: Sernrity in Wireless Networks and Systems, May 2009
`978-0-470-51212-8
`
`Wang, Kondi, Luthra, Ci: 4G Wireless Video Communications, May 2009
`978-0-4 70-77307-9
`
`Shen, Cai, Mark: Multimedia for Wireless Internet-Modeling and Analysis, May 2009
`978-0-4 70-77065-8
`
`Stojmenovic: Wireless Sensor and Actuator Ne/11'orks: Algorithms and Protocols for
`Scalable Coordination and Data Communication, August 2009 978-0-470-17082-3
`
`Samsung Ex. 1205, Page 2 of 13
`
`

`

`! Computing
`
`'a11ada
`
`1g' is a series of
`1 and network
`~ation and coding
`ffer engineers and
`lents in these fields
`ch.
`
`rco1111ectio11s and
`
`11111icatio11s: Model
`
`m Channel: A
`-0
`
`· Effects, Satellite
`i27-6
`
`1ber 2008
`
`'0-99399-6
`
`1009
`
`109
`
`ralysis, May 2009
`
`Protocols for
`470-17082-3
`
`SINGLE CARRIER
`FDMA
`A NEW AIR INTERFACE FOR
`LONG TERM EVOLUTION
`
`Hyung G. Myung
`
`Qualcomm/Flarion Technologies, USA
`
`David J. Goodman
`Polytechnic University, USA
`
`@?)WILEY
`
`A John Wiley and Sons, Ltd, Publication
`
`Samsung Ex. 1205, Page 3 of 13
`
`

`

`This edition first published 2008.
`,lJ 2008 John Wiley & Sons, Ltd.
`
`Registered office
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, POI 9 8SQ, United
`Kingdom
`
`For details of our global editorial offices, for customer services and for information about how to
`apply for permission to reuse the copyright material in this book please see our website at
`www.wiley.com.
`
`The right of the author to 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
`permission of the publisher.
`
`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
`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 ofConf!,ress Cata/ogi11g-i11-P11b/icatio11 Data
`
`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-l (cloth)
`I. Wireless communication systems. 2. Mobile communication systems.
`1939-
`IL Title.
`TK5l03.2.H983 2008
`62 l .384-dc22
`
`I. Goodman, David J.,
`
`2008027441
`
`A catalogue record for this book is available from the British Library.
`
`ISBN 978-0-470-72449-l (HB)
`
`Typeset in l l/13pt Times by Aptara Inc., New Delhi, India.
`Printed in Singapore by Markono Print Media Pte Ltd
`
`Samsung Ex. 1205, Page 4 of 13
`
`

`

`PO19 8SQ, United
`
`,tion about how to
`website at
`
`ted in accordance with
`
`etrieval system, or
`?, recording or
`988, without the prior
`
`that appears in print
`
`as trademarks. All
`<s, trademarks or
`I with any product or
`and authoritative
`ng that the publisher
`r expert assistance is
`
`Myung, David J.
`
`Goodman, David J.,
`
`2008027441
`
`Contents
`
`Preface
`
`Introduction
`1
`1.1 Generations
`1.2 Standards
`1.3 Cellular Standards Organizations 3GPP and 3GPP2
`1.4 IEEE Standards
`1.5 Advanced Mobile Wireless Systems Based on FDMA
`1.5.1 IEEE 802.16e-Based Mobile WiMAX
`1.5.2 3GPP2 Ultra Mobile Broadband
`1.5.3 3GPP Long Term Evolution
`1.5.4 Summary and Comparison of Mobile WiMAX,
`LTEandUMB
`1.6 Figures of Merit
`1. 7 Frequency Division Technology in Broadband Wireless
`Systems
`References
`
`2 Channel Characteristics and Frequency Multiplexing
`2.1 Introduction
`2.2 Radio Channel Characteristics
`2.2.1 Physics of Radio Transmission
`2 .2 .2 Effects of Extraneous Signals
`2 .2 .3 Transmitting and Receiving Equipment
`2.2.4 Radio Propagation Models
`2.3 Orthogonal Frequency Division Multiplexing
`2 .3 .1 Signal Processing
`2 .3 .2 Advantages and Weaknesses
`
`ix
`
`1
`1
`3
`3
`6
`6
`6
`8
`8
`
`10
`11
`
`12
`13
`
`15
`15
`15
`16
`21
`23
`24
`25
`26
`29
`
`Samsung Ex. 1205, Page 5 of 13
`
`

`

`vi
`
`Contents
`
`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
`
`3 Single Carrier FDMA
`3 .1 Introduction
`3.2 SC-FDMA Signal Processing
`3.3 Subcarrier Mapping
`3.4 Time Domain Representation of SC-FDMA Signals
`3.4.1 Time Domain Symbols of lFDMA
`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-FDMA and Orthogonal Frequency Division Multiple
`Access
`3.6 SC-FDMA and CDMA with Frequency Domain
`Equalization
`3.7 Single Carrier Code-Frequency Division Multiple Access
`(SC-CFDMA)
`3.8 Summary
`References
`
`4 SC-FDMA in 3GPP Long Term Evolution
`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
`4.7 Appendix - List of 3GPP LTE Standards
`
`30
`30
`32
`34
`35
`
`37
`37
`38
`42
`44
`45
`47
`48
`48
`
`50
`
`53
`
`55
`57
`59
`
`61
`61
`61
`62
`63
`67
`67
`69
`71
`76
`77
`78
`78
`
`Samsung Ex. 1205, Page 6 of 13
`
`

`

`Contents
`
`Contents
`
`30
`30
`32
`34
`35
`
`37
`37
`38
`42
`44
`45
`47
`48
`48
`
`50
`
`53
`
`55
`57
`59
`
`61
`61
`, 61
`62
`63
`67
`67
`69
`71
`76
`77
`78
`78
`
`:iple
`
`:cess
`
`'fications
`
`5 Channel Dependent Scheduling
`5.1 Introduction
`5.2 SC-FDMA Performance 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 Pe1fect 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 MIMO SC-FDMA
`6.1 Introduction
`6.2 Spatial Diversity and Spatial Multiplexing in MIMO
`Systems
`6.3 MIMO Channel
`6.4 SC-FDMA Transmit Eigen-Beamforming with Unitary
`Precoding
`6.4.1 Impact of lmpe,fect Feedback: Precoder
`Quantization/Averaging
`6.4.2 Impact of lmpe1fect Feedback: Feedback Delay
`6.5 SC-FDMA Spatial Diversity
`6.6 Summary
`References
`
`7 Peak Power Characteristics of a SC-FDMA Signal
`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
`
`8 Simulation of a SC-FD MA System Using MATLAB®
`8.1 Introduction
`8.2 Link Level Simulation of SC/FDE
`8.3 Link Level Simulation of SC-FDMA
`8.4 Peak-to-Average Power Ratio Simulation of SC-FDMA
`
`vii
`
`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
`
`Samsung Ex. 1205, Page 7 of 13
`
`

`

`viii
`
`Contents
`
`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 A: Derivation of Time Domain Symbols of
`Localized FDMA and Distributed FDMA
`A.l Time Domain Symbols ofLFDMA
`A.2 Time Domain Symbols of DFDMA
`
`Appendix B: Derivations of the Upper Bounds in 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 LTE Specifications
`
`Appendix D: Abbreviations
`
`Index
`
`150
`150
`151
`151
`155
`
`159
`
`165
`165
`167
`
`171
`171
`172
`
`175
`
`179
`
`183
`
`Samsung Ex. 1205, Page 8 of 13
`
`

`

`Index
`
`Index
`
`185
`
`error
`
`~e minimum
`ror equalization
`
`19,20
`output 108-11
`
`frequency
`lexing
`lator 146
`al frequency
`le access
`livision multiple
`
`ivision
`-30
`
`:age power ratio
`ratio
`
`1smission
`
`ransmission
`
`5 rate
`
`4, 175-6
`I
`3,4
`,2, 64
`I, 126, 129
`; Network
`
`resource block 69-71
`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/FDE link level simulator 143-5
`SC-CFDMA, see single carrier
`code-frequency division
`multiple access
`SC-FDMA, see single carrier
`frequency division multiple
`access
`SC-FDMA simulator
`link level simulator 146-9
`PAPR simulator 149-50
`SC-FDMA spatial diversity 117,
`119-20
`SC-FD MA spatial 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
`
`transmit eigen-beamforming
`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
`Network 4, 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
`WiMAX6
`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
`
`Samsung Ex. 1205, Page 9 of 13
`
`

`

`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(cid:173)
`scription of a guideline for interoperability, it does not necessarily explain
`any rationale or background information for choice of the specific method(cid:173)
`ologies or parameters.
`One way to 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 where all the radio air in(cid:173)
`terface specifications are handled and it has five working groups (WG) as
`described in Table C.l.
`Table C.2 highlights the LTE specifications and their corresponding
`working groups.
`layer components are
`layer and MAC
`Most of the physical
`is at
`information
`the meeting
`in RAN 1 meetings and
`discussed
`http://www.3gpp.org/ftp/Specs/html-info/Meetings-R l .htm. Figure C. I is
`a screenshot of the website.
`If you go to this site, there is a column called "First & Last tdoc" (tdoc =
`technical document) as shown in Figure C. l. This is the paper number that
`identifies each contribution paper. If you click on the link, it directs you
`to the ftp site where you can access all the tdocs of the particular meeting.
`
`Sin&le Ca11 io FDMA : A Nell' Air /11te1face for Long Term £1•u/11tio11 Hyung G . Myung and David J. Goodman
`© 2008 John Wiley & So ns, Ltd
`
`Samsung Ex. 1205, Page 10 of 13
`
`

`

`176
`
`Single Carrier FDMA
`
`Table C.1 TSG RAN work groups
`
`RAN WGl (RANl)
`RAN WG2 (RAN2)
`RAN WG3 (RAN3)
`RAN WG4 (RAN4)
`RAN WG5 (RANS)
`
`Layer 1 (Physical layer) specification
`Layer 2 (MAC, RLC) and layer 3 specification
`Overall UTRAN architecture.
`Radio performance and protocol aspects
`Mobile terminal conformance testing
`
`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 of the list) to
`know which is which. Tdoc numbers are 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 number assigned to the document. For example, R 1-081165
`refers to the document 1165 of RAN 1 meeting in the year 2008.
`It may be daunting to go through each tdoc list spreadsheet for each
`meeting because the list is usually very long list (300 ~ 400) and not or(cid:173)
`ganized by subject. What you can do is 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(cid:173)
`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 and their
`corresponding working groups
`
`Document number
`
`Working group
`
`36.lxx
`36.2xx
`36.3xx
`36.4xx
`36.Sxx
`36.Sxx
`36.902
`36.913
`36.938
`36.942
`36.956
`
`RAN4
`RANl
`RAN2
`RAN3
`RANS
`RAN4
`RAN3
`RAN
`RAN4
`RAN4
`RAN4
`
`Samsung Ex. 1205, Page 11 of 13
`
`

`

`;le Carrier FDMA
`
`Appendix C
`
`177
`
`11
`ecification
`
`ects
`
`(only the tdoc
`to look at the
`of the list) to
`yyzzzz where x
`ing, and zzzz is
`>le, Rl-081165
`008.
`,sheet for each
`)0) and not or(cid:173)
`~ting summary
`the meeting by
`" link and then
`tbout the deci(cid:173)
`c number, you
`access it from
`
`Click here to go to the!!' Liaisons page .
`i Uttllf ~ [
`'
`,...re !
`' I
`JGPPRAN1'59
`iJGPPRAN1#5B(cid:173)
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`'mivi,,(cid:173)
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`
`3GPP meetings for group Rl
`
`Start
`
`.....
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`I
`• d>di::..,-:._~::,. R-sltiff ParU~nr, FOe11
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`
`2009--01-12
`
`2009-0 )-16
`
`2008-1110
`
`:DOl-1114
`
`2008-09-29
`
`2008-10-03
`
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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-R 1. htm
`
`For example, the channel coding scheme specified 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 RANl meeting #47b. The document that proposes this method is Rl-
`070483 and other related documents are listed as well in the meeting report.
`By looking at the listed documents, we can understand more about the QPP
`interleaver that is new in LTE channel coding.
`
`Samsung Ex. 1205, Page 12 of 13
`
`

`

`1111\\\i\~!ii\\\lW~i\\~ l\\\\\i\i\"l\\\\
`\\\ 0 il23 955 936 0
`
`~ Wi,~y :>eries on
`
`Wireless Communications
`and Mobile Computing
`
`~
`
`Single Carrier FDMA
`
`A New Air Interface for Long Term Evolution
`D Hyung G. Myung, Qualcomm!Flarion Technologies, USA
`David J. Goodman, Polytechnic University, USA
`
`Single Carrier Frequency Division Multiple Access (SC-FDMA) is a novel method of radio
`transmission under consideration for deployment in future cellular systems; specifically,
`in 3rd Generation Partnership Project Long Term Evolution (3GPP LTE) systems. SC-FDMA has
`drawn great attention from the communications industry as an attractive alternative to
`Orthogonal Frequency Division Multiple Access (OFDMA).
`
`Single Carrier FDMA places SC-FDMA in 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, plus its
`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 power characteristics of an SC-FDMA signal as an added advantage over OFDMA.
`
`Key features:
`Provides an extensive overview of the principles of SC-FDMA and its 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-FDMA uplink transmission scheme
`published by 3GPP.
`Features link 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 involved in designing LTE infrastructure.
`It would also be of interest to academics, graduate students, and industry researchers involved in
`advanced wireless communications, as well as business analysts who follow the cellular market.
`
`ISBN 978-0-470-72449-1
`
`ll I,
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`Samsung Ex. 1205, Page 13 of 13
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