PROFESSIONAL
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`cdma2000
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`for 3G MOBILE NETWORKS
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`MICROSOFT- EXHIBIT 1030
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`*Designing the 3G Mobile
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`MICROSOFT CORP. ET AL. v.
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`PROFESSIONAL
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`W-CDMA"
`cdma2000
`
`for 3G MOBILE NETWORKS
`
`¢/MT-2000
`
`*Linking GSM and
`W-CDMAsystems
`
`*Designing the 3G Mobile
`
`Communications Network
`
`
`
`MR. KARIM * MOHSEN SARRAF
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`Team-Fly®
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`TEA M FLY
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`

`

`W-CDMA
`and
`cdma2000 for
`3G Mobile
`Networks
`
`M.R. Karim
`and
`M. Sarraf
`
`McGraw-Hill
`New York Chicago San Francisco Lisbon
`London Madrid Mexico City Milan New Delhi
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`
`

`

`McGraw-Hill
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`Copyright © 2002 by M.R. Karim and Lucent Technologies, Inc.0-07 All rights reserved. Manufactured in the United States of America.
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`DOI: 10.1036/0071409564
`
`

`

`iii
`
`To our families
`
`Rahima, Razi, and Nayeem
`—MRK
`
`Maryam, Artin, and Shawhin
`—MS
`
`

`

`ABOUT THE AUTHORS
`
`M. R. Karim, formerly a Distinguished Member of Technical Staff of Bell
`Laboratories, was a member of the original team that developed the world’s
`first cellular system. He has published in the areas of mobile communica-
`tions and packet switching, and is author of the book ATM Technology and
`Services Delivery (Prentice Hall, 1999).
`
`Mohsen Sarraf received his Ph.D. degree in 1986 from the University of
`Southern California. He joined Bell Laboratories in 1987 where he has
`been involved in various aspects of communications systems. He has
`worked on wireless systems from design and implementation to project
`leadership during the last ten years. Currently he is the Director of
`Advanced Multimedia Communications Department of Bell Labs.
`
`Copyright 2002 M.R. Karim and Lucent Technologies. Click Here for Terms of Use.
`
`

`

`For more information about this book, click here.
`
`CONTENTS
`
`Preface
`
`Acknowledgments
`
`Foreword
`
`Chapter 1
`
`Introduction
`
`Early Systems
`The Cellular System
`TDMA System
`IS-54 and IS-136
`GSM
`cdmaOne (Based on IS-95-A and IS-95-B)
`Personal Communications System
`Third-Generation (3G) Wireless Technology
`3G Requirements
`Evolution to 3G Systems
`Summary
`References
`
`Chapter 2
`
`Propagation Characteristics of a Mobile Radio Channel
`
`Large-Scale Variations
`Signal Variations in Free Space
`Variations in Urban Areas Due to Terrain and Clutter
`Signal Variations in Suburban and Rural Areas
`Variation of the Local Mean Signal Level
`Propagation Model
`Short-term Variations of the Signal
`Effect of Short-term Variations
`Coherence Bandwidth and Power Delay Profiles
`Simulation Model of a Mobile Radio Channel
`Summary
`References
`
`Chapter 3
`
`Principles of Wideband CDMA (WCDMA)
`
`Multiple Access Schemes
`FDMA
`TDMA
`Spread Spectrum Multiple Access
`
`xi
`
`xiii
`
`xv
`
`1
`
`2
`4
`9
`9
`11
`13
`15
`16
`18
`21
`23
`25
`
`27
`
`29
`29
`31
`35
`36
`39
`41
`45
`46
`49
`52
`52
`
`55
`
`56
`57
`58
`59
`
`Copyright 2002 M.R. Karim and Lucent Technologies. Click Here for Terms of Use.
`
`

`

`vi
`
`Contents
`
`CDMA Technology
`Direct-Spread CDMA Principles
`Capacity of a CDMA System
`3G Radio Transmitter Functions
`Speech Encoding
`Channel Coding
`Convolutional Encoder
`Decoding Convolutional Codes
`Punctured Codes
`Channel Encoders for UMTS
`Interleavers
`Modulation
`Demodulation of a Phase Modulated Signal
`Spreading
`Walsh Codes
`Scrambling Codes
`Receiver
`Receiver Structure
`Hard and Soft Decision
`Viterbi Decoding
`Multipath Diversity in CDMA
`Rake Receiver
`Multiuser Detection
`Smart Antennas
`Summary
`Appendix A—Viterbi Decoding
`of Convolutional Codes
`Appendix B—Modulation
`QPSK
`Offset QPSK (OQPSK)
`Differential QPSK (DQPSK)
`Appendix C—Multiuser Detection Using Viterbi Algorithm
`References
`
`Chapter 4
`
`cdmaOne and cdma2000
`
`cdmaOne
`Spectrum Allocation
`Physical Channels
`Reverse Channel Transmit Functions
`Forward Channel Functions
`
`60
`60
`63
`67
`69
`71
`71
`76
`76
`76
`78
`79
`80
`82
`82
`83
`90
`90
`91
`93
`94
`95
`98
`101
`106
`
`107
`110
`110
`111
`111
`113
`116
`
`121
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`122
`122
`123
`124
`127
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`

`

`Contents
`
`vii
`
`Power Control
`Handoff in IS-95
`cdma2000
`System Features
`The Protocol Stack
`Physical Channels
`Forward Channel Transmit Functions
`Reverse Channel Transmit Functions
`Summary
`References
`
`Chapter 5
`
`The GSM System and General Packet Radio
`Service (GPRS)
`
`GSM System Features
`System Architecture
`Speech Encoder
`Channel Encoder
`Interleaving
`Modulation Technique—GMSK
`Logical Channels
`GSM Frame and Slot Structure
`Data Services in GSM
`General Capabilities and Features of GPRS
`GPRS Network Architecture
`GPRS Protocol Stacks
`Packet Structures
`Logical Channels
`Packet Transmission Protocol
`Summary
`References
`
`130
`133
`137
`137
`140
`143
`146
`147
`149
`151
`
`153
`
`155
`157
`162
`163
`165
`166
`169
`171
`173
`174
`175
`177
`180
`181
`182
`186
`187
`
`Chapter 6
`
`Universal Mobile Telecommunications System (UMTS)
`
`189
`
`System Features
`Wireless Network Architecture
`Radio Interface Protocol Stack—An Overview
`Physical Layer
`Overview of Physical Layer Functions
`Transport Channels
`Physical Channels
`Packet Mode Data
`Mapping of Transport Channels to Physical Channels
`
`190
`193
`195
`198
`199
`203
`206
`214
`215
`
`

`

`viii
`
`Contents
`
`Physical Layer Procedures
`Spreading and Modulation
`Physical Layer Measurements
`MAC Layer Protocol
`Overview
`MAC Procedures
`MAC Layer Data Formats
`Radio Link Control Protocol
`RLC Functions
`RLC Protocol Description
`Packet Data Convergence Protocol (PDCP)
`Overview
`Header Compression
`Broadcast/Multicast (BMC) Protocol
`Radio Resource Control Protocol
`RRC Functions
`Management of RRC Connections
`Handover
`Summary
`References
`General Systems Descriptions
`Overview of the UE-UTRAN Protocols
`Physical Layer
`Layer 2 and Layer 3 Protocols
`Protocols at Different Interface Points
`Miscellaneous Specifications of Interest
`Other References
`Web Sites
`
`Chapter 7
`
`Evolution of Mobile Communication Networks
`
`Review of 3G Requirements [1]-[4]
`Network Evolution
`First-Generation Network
`Second-Generation Networks
`2G⫹ Networks
`3G Network
`All-IP Network
`Summary
`References
`
`215
`223
`230
`232
`232
`234
`236
`237
`237
`240
`245
`245
`246
`246
`247
`247
`249
`250
`254
`256
`256
`256
`257
`257
`257
`258
`259
`259
`
`261
`
`262
`264
`264
`266
`268
`270
`271
`273
`274
`
`

`

`Contents
`
`ix
`
`Chapter 8
`
`Call Controls and Mobility Management
`
`Protocol Stacks in Access and Core Networks
`GSM
`UMTS
`Call Controls
`Summary
`References
`
`Chapter 9 Quality of Service (QoS) in 3G Systems
`
`Introduction
`Overview of the Concepts
`Classification of Traffic
`UMTS Service Attributes
`Requesting QoS—RSVP Protocol
`Admission Control
`Admission Control Strategies
`Resource Allocation
`Policing
`Providing Requested QoS
`Differentiated Services (DiffServ)
`RSVP for Mobile Systems
`Summary
`References
`
`Chapter 10 Network Planning and Design
`
`Network Design
`Spectrum Requirements
`Link Budget Calculation
`Frequency Planning
`Analog and TDMA Systems
`CDMA System
`Cellular System Growth
`Cell Splitting
`Overlay Design
`Summary
`Appendix A—Traffic Capacity of a Network
`References
`
`277
`
`279
`279
`282
`291
`295
`296
`
`297
`
`298
`300
`301
`304
`309
`315
`315
`317
`318
`320
`323
`325
`329
`329
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`331
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`334
`334
`337
`343
`343
`347
`347
`348
`348
`351
`351
`352
`
`

`

`x
`
`Chapter 11 Beyond 3G
`
`Driving Force Behind 4G
`Applications and Features of 4G
`Technologies
`Other Considerations
`References
`
`Appendix
`
`List of Abbreviations and Acronyms
`
`Index
`
`Contents
`
`355
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`356
`358
`360
`361
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`363
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`375
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`Team-Fly®
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`TEA M FLY
`
`

`

`PREFACE
`
`At the time we were working on third-generation (3G) wireless sys-
`tems at Lucent Technologies, we realized that there were not many
`books available on this topic. ITU-R had defined four 3G systems,
`and published a set of standards in 1999. In most cases, our only
`sources of information were these standards, which were necessarily
`quite elaborate and were not available as a single document. The
`purpose of this book is to fill that void and provide a comprehensive
`description of 3G systems. The standards specify air interfaces based
`upon both wideband CDMA (W-CDMA) and wideband TDMA. How-
`ever, since W-CDMA is the preferred interface, we have chosen to
`deal with W-CDMA and more specifically cdma2000 and UMTS
`FDD. Technologies used in 3G and necessary background material
`required to understand and, in some instances, develop a 3G system
`are presented. The treatment of topics is neither too detailed nor too
`brief, and our expectation is that a wide spectrum of readers—
`systems engineers, engineering managers, people who are new in
`this area but want to understand the system, and even designers—
`will find the book useful.
`The book is organized as follows. We begin by tracing, in Chapter
`1, the evolution of mobile telephony from analog systems (that
`is, Advanced Mobile Phone Service [AMPS]) through the second gen-
`eration (2G) systems of the nineties and leading up to 3G systems.
`Included in this chapter is an overview of 3G capabilities, features,
`and requirements.
`Knowledge of the propagation characteristics of a mobile radio
`channel is essential to the understanding and design of a cellular
`system. As such, an overview of this topic is presented in Chapter 2.
`Chapter 3 describes the basic principles of wideband CDMA and
`deals with various topics that, in essence, provide the physical layer
`functionalities of a 3G system.
`cdmaOne and cdma2000 are the subject matter of Chapter 4.
`Because cdma2000 is an evolution of cdmaOne, uses the same core
`network standards (that is, IS-41) as cdmaOne, and may coexist with
`this system, we begin with a synopsis of cdmaOne and follow it up
`with a description of cdma2000.
`
`Copyright 2002 M.R. Karim and Lucent Technologies. Click Here for Terms of Use.
`
`

`

`xii
`
`Preface
`
`Chapter 5 is devoted to GSM and General Packet Radio Service
`(GPRS). The reasons we have included these two systems are the fol-
`lowing: Both GSM and UMTS share the same core network and use
`the same Mobile Application Part (MAP) protocol of Signaling Sys-
`tem 7. Similarly, the packet mode data services in UMTS and the
`associated network entities and protocols have been harmonized
`with those of GPRS. Thus, even though there are significant differ-
`ences in the air interface standards of UMTS Terrestrial Radio
`Access Network (UTRAN) and GSM, a description of GSM and GPRS
`may be helpful to the reader in this context.
`UMTS is described in Chapter 6, where, among other things, we
`discuss the protocols of different layers, synchronization schemes,
`power controls, and handover procedures.
`Since packet mode data is an important aspect of 3G, existing core
`networks, which are built around a circuit-switch fabric, work in con-
`junction with routers and gateways to provide packet mode data ser-
`vices. In fact, because of high volume data transfer requirements in
`next generation systems, the core network is evolving to an all-IP
`architecture. Chapter 7 describes the evolution of mobile communi-
`cation networks.
`Chapter 8 touches briefly on call controls and mobility manage-
`ment in wireless networks. To help the reader understand this topic
`better, a brief description of protocol stacks at various interface
`points is also included.
`Chapter 9 deals with the quality of service (QoS) concepts as they
`relate to 3G, provides the reader with a basic understanding of the
`subject, and discusses the need for implementing a flexible resource
`management scheme in the network that will provide mobile sta-
`tions with an end-to-end QoS across all-IP networks.
`Network planning and design issues, such as spectrum require-
`ments, link budget calculation, frequency planning, and cellular
`growth, are presented in Chapter 10.
`We conclude the book with our reflections, in Chapter 11, on what
`may come about beyond 3G, discuss the driving force behind the evo-
`lution of the fourth-generation (4G) system, and mention some tech-
`nologies that might play a key role in the development of 4G.
`
`

`

`The GSM System and General Packet Radio Service (GPRS)
`
`177
`
`I Gateway GPRS Support Node (GGSN) GGSN provides an
`interface between a GPRS network and any external network
`such as a packet-switched public data network (PSPDN). Thus,
`as an example, whenever a PSPDN has a packet to send to a
`PLMN, it comes first to the GGSN. The gateway GSN contains
`the routing information of all mobile stations attached to it and
`forwards an incoming packet appropriately en route to its
`destination. It may request information from an HLR or provide
`information to the HLR when necessary. Both SGSN and GGSN
`have IP routing functionality, and as such may be connected
`together by an IP router.
`
`In the current version of cellular systems (that is, 2G⫹), GPRS is
`supported by adding packet-handling capabilities to the base station
`controller. This is done by means of an interface called packet control
`unit (PCU) as shown in Figure 5-14. In a fully evolved 3G system, the
`interface to a GPRS network would be integrated into the UTRA BSS.
`
`GPRS Protocol Stacks
`
`The GPRS protocol stacks required in a mobile station, BSS, SGSN,
`and GGSN, are shown in Figure 5-15. Although the networking
`
`Figure 5-14
`Support of GPRS in
`2G⫹ networks
`
`BTS
`
`BSC
`
`MSC
`
`VLR
`
`PSTN/ISDN
`
`HLR
`
`PCU
`
`SGSN
`
` The Internet
`
`GGSN
`
`

`

`178
`
`Figure 5-15
`GPRS protocol
`stacks at a few
`reference points
`
`MS
`
`Um
`
`Gb
`
`BSS
`
`Gn
`
`SGSN
`
`Gi
`
`GGSN
`
`Chapter 5
`
`Application
`
`IP/X.25
`
`SNDCP
`
`LLC
`
`RLC
`
`MAC
`
`Relay
`
`Relay
`
`BSSGP
`RLC
`
`SNDCP
`LLC
`BSSGP
`
`Frame Relay
`MAC
`
`Frame Relay
`
`GTP
`TCP/UDP
`
`IP
`
`L2
`
`RLC
`RLC
`MAC
`MAC
`
`IP/X.25
`
`GTP
`TCP/UDP
`
`IP
`L2
`
`GSM Physical
`Layer
`
`GSM Physical
`Layer
`
`Physical Layer
`
`Physical Layer
`
`Physical Layer
`
`Physical Layer
`
`protocol is shown in the figure to be either IP or X.25, GPRS is fully
`capable of supporting applications based on any standard data pro-
`tocol.
`GPRS protocols at various layers are thoroughly described in Ref-
`erences [14]—[22]. Here, we provide only a short description of the
`protocol at each layer:
`
`I Subnetwork Dependent Convergence Protocol (SNDCP) SNDCP,
`which, in the protocol hierarchy, lies between the network layer
`(that is, IP/X.25) and the LLC layer, takes the network layer
`PDUs (corresponding to different protocols) and converts them
`into a format that is suitable for transmission over the
`underlying radio interface network. For example, if the protocol
`at the layer above it is IP, the SNDCP will take the IP packet,
`compress its header, and pass it to the LLC layer. Similarly,
`when it receives a packet from the LLC layer, it may
`decompress the header and pass it to the IP layer. User packets
`may have variable lengths and are segmented, if necessary.
`Both acknowledged and unacknowledged data transfer is
`possible. Other functions performed at this layer include
`I Data transfer using negotiated QoS profiles
`I Security and encryption of user data and control to provide
`protection against eavesdropping
`I Logical Link Control (LLC) The data link layer at the mobile
`station (the Um reference point) consists of two sublayers: the
`
`

`

`The GSM System and General Packet Radio Service (GPRS)
`
`179
`
`upper sublayer known as LLC and the lower sublayer consisting
`of a radio link control (RLC) and a MAC sublayer. The LLC
`sublayer is based on the link access procedures of the ISDN D
`channel (LAPD) and supports procedures for the following:
`I Unacknowledged data transfer. The Frame Relay protocol is a
`subset of LAPD procedures using the unacknowledged
`information transfer mode.
`I Acknowledged data transfer.
`I Flow control.
`I Error recovery using sequence numbering in the acknowledged
`transfer mode.
`I Ciphering of logical link PDUs in both acknowledged and
`unacknowledged transfer modes.
`I RLC The RLC protocol provides a reliable transmission of data
`blocks over the air interface using a selective automatic repeat
`request (ARQ)-type procedure, where data blocks received in
`error are retransmitted by the source.
`I MAC The MAC sublayer controls access of the physical
`medium by mobile stations using a slotted Aloha scheme by
`resolving contention among multiple users or among multiple
`applications of an individual user and then granting the
`requested access in a manner that ensures efficient utilization of
`bandwidth.
`In GPRS, address and control
`I GPRS Tunneling Protocol (GTP)
`information are added to protocol data units so that they can be
`routed within a PLMN or between two PLMNs. The protocol that
`defines this process is known as the GTP.5 Simultaneous
`
`5The term tunneling is used to mean encapsulating an original packet with a new
`header. Its use is quite common in packet-switched networks. Suppose that an IPv6
`packet has to be sent over a network that is using the older IPv4 protocol. In this case,
`we could take the original IPv6 packet, add the IPv4 header to it, and send the result-
`ing packet over the network. That would be called tunneling. Another example is IP
`over ATM where an IP packet, when it first enters an ATM device, is encapsulated
`with an 8-octet header before it is sent out over ATM.
`
`