4g mobile broadband evolution-rel 10 rel 11 and beyond october 2012

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On the 3GPP release 8 and 9

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Page 1: 4G Mobile Broadband Evolution-Rel 10 Rel 11 and Beyond October 2012

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Page 2: 4G Mobile Broadband Evolution-Rel 10 Rel 11 and Beyond October 2012

www.4gamericas.org October 2012 Page 1

CONTENTS

PREFACE.............................. ....................................................................................................................... 5

1 INTRODUCTION ....................................................................................................................................... 9

2 PROGRESS FROM RELEASE 99 TO RELEASE 10 AND BEYOND: UMTS/EVOLVED HSPA

(HSPA+) AND LTE/EPC/LTE-ADVANCED ............................................................................................... 11

3 THE GROWING DEMANDS FOR WIRELESS DATA APPLICATIONS................................................ 28

3.1 WIRELESS INDUSTRY FORECASTS ........................................................................................ 30

3.2 WIRELESS DATA REVENUE ....................................................................................................... 32

3.3 MOBILE BROADBAND DEVICES ................................................................................................ 34

3.4 MOBILE BROADBAND APPLICATIONS ................................................................................... 36

3.5 SMALL CELL GROWTH ................................................................................................................ 39

3.6 SPECTRUM INITIATIVES .................................................................................................................... 42

3.7 SUMMARY ........................................................................................................................................... 44

4 STATUS AND HIGHLIGHTS OF RELEASE 8 AND RELEASE 9: EVOLVED HSPA (HSPA+) AND

LTE/EPC ..........................................................................................................................................45

4.1 VoLTE ................................................................................................................................................ 47

5 STATUS OF RELEASE 10: HSPA+ ENHANCEMENTS AND LTE-ADVANCED ................................. 50

5.1 LTE-ADVANCED FEATURES AND TECHNOLOGIES ...................................................................... 50

5.1.1 Support of Wider Bandwidth ....................................................................................................... 50

5.1.2 Uplink Transmission Enhancements .......................................................................................... 53

5.1.3 Downlink Transmission Enhancements ...................................................................................... 55

5.1.4 Relaying ...................................................................................................................................... 57

5.1.5 Heterogeneous Network Support (eICIC) ................................................................................... 61

5.1.6 MBMS Enhancements ................................................................................................................ 63

5.1.7 Son Enhancements..................................................................................................................... 63

5.1.8 Vocoder Rate Adaptation ............................................................................................................ 65

5.2 HSPA+ ENHANCEMENTS FOR RELEASE 10 .................................................................................. 66

5.2.1 Four carrier HSDPA Operation ................................................................................................... 66

5.2.2 Summary of 3GPP Supported Band Combinations for Multicarrier HSDPA .............................. 68

5.3 NETWORK AND SERVICES RELATED ENHANCEMENTS .............................................................. 70

5.3.1 Home NodeB/eNodeB Enhancements ....................................................................................... 70

5.3.2 LIPA/SIPTO ................................................................................................................................ 70

5.3.3 Fixed Mobile Convergence Enhancements ................................................................................ 74

5.3.4 Machine-to-Machine Communications ....................................................................................... 76

5.3.5 Single Radio Voice Call Continuity ............................................................................................. 78

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5.3.6 IMS Service Continuity (ISC) and IMS Centralized Services (ICS) ............................................ 80

5.3.7 Interworking with Wi-Fi ............................................................................................................... 81

5.3.8 UICC ........................................................................................................................................... 82

5.3.9 IP-Short-Message-Gateway Enhancements for CPM-SMS Interworking .................................. 84

5.3.10 Lawful Interception LI10 in Release 10 ...................................................................................... 85

5.4 RELEASE-INDEPENDENT FEATURES ............................................................................................. 85

5.4.1 Band Combinations for LTE-CA ................................................................................................. 85

6 RELEASE 11 – HSPA+ AND LTE-ADVANCED ENHANCEMENTS .................................................... 87

6.1 STATUS OF TIMELINE FOR RELEASE 11 ........................................................................................ 87

6.2 LTE-ADVANCED ENHANCEMENTS .................................................................................................. 87

6.2.1 Coordinated Multi-Point Transmission and Reception ............................................................... 87

6.2.2 Carrier Aggregation..................................................................................................................... 92

6.2.3 Further Heterogeneous Networks Enhancements (feICIC) ........................................................ 93

6.2.4 Uplink Enhancements ................................................................................................................. 93

6.2.5 Downlink Enhancements ............................................................................................................ 93

6.2.6 Relaying Enhancements ............................................................................................................. 94

6.2.7 MBMS Service Continuity and Location Information .................................................................. 94

6.2.8 Further SON Enhancements ...................................................................................................... 94

6.2.9 Signalling and Procedure for Interference Avoidance for In-device Coexistence ...................... 99

6.3 HSPA+ ENHANCEMENTS ................................................................................................................. 100

6.3.1 Downlink Enhancements .......................................................................................................... 100

6.3.2 Uplink Enhancements ............................................................................................................... 102

6.3.3 Cell_Fach Improvements .......................................................................................................... 103

6.4 NETWORK AND SERVICES RELATED ENHANCEMENTS ........................................................... 104

6.4.1 Machine-Type Communication (MTC) ...................................................................................... 104

6.4.2 Network Provided Location Information for IMS (NetLoc) ........................................................ 110

6.4.3 SRVCC Enhancements ............................................................................................................ 111

6.4.4 SIPTO Service Continuity of IP Data Session (SIPTO_SC) ..................................................... 114

6.4.5 Policy Control Framework Enhancement: Application Detection control and QoS Control Based

on Subscriber Spending Limits (QoS_SSL) ............................................................................. 115

6.4.6 Non-Voice Emergency Services (NOVES) ............................................................................... 117

6.4.7 Fixed Mobile Convergence ....................................................................................................... 118

6.4.8 Interworking with WI-Fi Enhancements .................................................................................... 119

6.4.9 UICC (Smart Card) Enhancements .......................................................................................... 119

6.4.10 Lawful Intercept Enhancements ............................................................................................... 120

6.4.11 Further HomeNB/eNodeB Enhancements ............................................................................... 120

6.4.12 IMS Service Continuity and IMS Centralized Services Enhancements .................................... 120

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6.5 RELEASE INDEPENDENT FEATURES ........................................................................................... 120

6.5.1 New Frequency Bands ................................................................................................................ 121

6.5.2 New CA and DC Combinations ................................................................................................... 121

7 PLANS FOR RELEASE 12 ................................................................................................................. 123

7.1 TARGET TIMELINE FOR RELEASE 12 ............................................................................................ 123

7.2 HIGHLIGHTS OF RELEASE 12 PLANNING WORKSHOPS ............................................................ 124

7.2.1 LTE Small Cell/Heterogeneous Networks Enhancements .......................................................... 124

7.2.2 LTE Multi-Antenna/Site Enhancements....................................................................................... 129

7.2.3 New LTE Procedures to Support Diverse Traffic Types.............................................................. 130

7.2.4 Other Areas of Interest ................................................................................................................ 131

7.3 RELEASE INDEPENDENT FEATURES ........................................................................................... 139

7.3.1 New Frequency Bands ................................................................................................................ 139

7.3.2 New CA and DC Combinations ................................................................................................... 139

8 CONCLUSIONS .................................................................................................................................... 140

APPENDIX A: DETAILED MEMBER PROGRESS AND PLANS ON RELEASE 99 THROUGH

RELEASE 10: UMTS-HSPA+ AND LTE/LTE-ADVANCED .................................................................... 141

APPENDIX B: UPDATE OF RELEASE 9 STATUS: EVOLVED HSPA (HSPA+) AND LTE/EPC

ENHANCEMENTS .................................................................................................................................... 155

B.1 HSPA+ ENHANCEMENTS ................................................................................................................ 155

B.1.1 Non-contiguous Dual-Cell HSDPA (DC-HSDPA) ....................................................................... 155

B.1.2 MIMO + DC-HSDPA .................................................................................................................... 156

B.1.3 Contiguous Dual-Cell HSUPA (DC-HSUPA) .............................................................................. 156

B.1.4 Transmit Diversity Extension for Non-MIMO UES ...................................................................... 157

B.2 LTE ENHANCEMENTS ..................................................................................................................... 157

B.2.1 IMS Emergency over EPS ........................................................................................................ 157

B.2.2 Commercial Mobile Alert System (CMAS) over EPS ............................................................... 159

B.2.3 Location Services over EPS ..................................................................................................... 164

B.2.4 Circuit-Switched (CS) Domain Services over EPS ................................................................... 168

B.2.5 MBMS for LTE .......................................................................................................................... 173

B.2.6 Self-Organizing Networks (SON) .............................................................................................. 180

B.2.7 Enhanced Downlink Beamforming (dual-layer) ........................................................................ 181

B.2.8 Vocoder Rate Adaptation for LTE ............................................................................................. 182

B.3 OTHER RELEASE 9 ENHANCEMENTS .......................................................................................... 184

B.3.1 Architecture Aspects for Home NodeB/eNodeB ....................................................................... 184

B.3.2 IMS Service Continuity ............................................................................................................. 188

B.3.3 IMS Centralized Services ......................................................................................................... 188

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B.3.4 UICC (Smart Card): Enabling M2M, Femtocells and NFC ....................................................... 189

APPENDIX C: 3GPP MOBILE BROADBAND GLOBAL DEPLOYMENT STATUS - HSPA/HSPA+/LTE190

APPENDIX D: ACRONYM LIST .............................................................................................................. 221

ACKNOWLEDGMENTS ........................................................................................................................... 233

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PREFACE

Around three quarters of the world‘s inhabitants now have access to a mobile phone. The number of

mobile subscriptions in use worldwide, both pre-paid and post-paid, has grown from fewer than 1 billion in

2000 to over 6 billion in 2012, of which nearly 5 billion are in developing countries. Ownership of multiple

subscriptions is becoming increasingly common, suggesting that their number will soon exceed that of the

human population. The resource of mobile communications could almost be compared to other invaluable

resources like potable water and tillable soil as it advances human and economic development from

providing basic access to health information to making cash payments, spurring job creation, and

stimulating citizen involvement in democratic processes. At the grassroots level, such success may be

attributed to the careful science of technology standards developed by the 3rd Generation Partnership

Project (3GPP).

3G Americas, now 4G Americas, has annually published a white paper to provide the most current

understanding of the 3GPP standards work, beginning in 2003 with a focus on Release 1999 (Rel-99)

through February 2011 and the publication of 4G Mobile Broadband Evolution: 3GPP Release 10 and

Beyond - HSPA+, SAE/LTE and LTE-Advanced. The latter paper provided detailed discussions of

Release 10 (Rel-10) including the significant new technology enhancements to LTE/EPC (called LTE-

Advanced) that successfully met all of the criteria established by the International Telecommunication

Union Radiotelecommunication Sector (ITU-R) for the first release of IMT-Advanced. 3GPP Mobile

Broadband Evolution: Release 10, Release 11 and Beyond - HSPA, SAE/LTE and LTE-Advanced is

focused on LTE-Advanced and HSPA+ in Release 11 (Rel-11), and key technology innovations such as

Co-ordinated Multi-Point (CoMP), Carrier Aggregation enhancements, enhanced ICIC, HSPA+

enhancements (8-carrier HSDPA, UL dual antenna beamforming/MIMO, DL multi-point transmission, etc.)

and support of Machine Type Communications (MTC). An updated status of Rel-10 and a high-level view

of plans for Release 12 (Rel-12) are also provided in the white paper.

The standards work by 3GPP, the foundation of the world‘s mobile broadband infrastructure, is poised to

deliver international communications technologies to the masses. In the words of ITU Secretary-General,

Dr. Hamadoun I. Touré, ―We are all aware that there is no longer any part of modern life on planet earth

that is not directly impacted by ICTs and by the work we do here at ITU. In the second decade of the 21st

century, in a world with over six billion mobile cellular subscriptions and more than 2.4 billion people

online, ITU‘s work permeates into every business, every government office, every hospital and school,

and every household.‖1

―Let us make no mistake: broadband is not just about high-speed Internet connectivity and accessing

more data, faster. Broadband is a set of transformative technologies, which are fundamentally changing

the way we live – and which can help ensure sustainable social and economic growth not just in the rich

world, but in every country, rich and poor, developed and developing,‖ stated Dr. Touré. ―Broadband will

change the world in a million ways. Some of these we can predict, but most of the changes will come as a

complete surprise to us – in just the same way that the harnessing of electrical power led to the

unexpected building of skyscrapers, made possible with electrically-powered elevators, or the invention of

1 State of the Union Address, ITU Council, Geneva, Switzerland, 4 July 2012.

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dozens of different sorts of labor-saving devices, from washing machines to hairdryers to toasters. So

broadband, too, will deliver unexpected and unpredictable benefits.‖2

Leading this progress is the GSM family of technologies, which is interchangeably called the 3GPP family

of technologies as they are based on the evolution of standards developed for GSM, EDGE, UMTS,

HSPA, HSPA+, LTE and LTE-Advanced. Network enhancements of mobile broadband HSPA+ continue

to progress in the commercial market today and the LTE revolution has arrived.

Source: Informa Telecoms & Media Subscriber Forecast, 2Q 2012

Figure 1.1. Global HSPA-LTE Subscriber Growth Forecast.

On a global basis, subscriptions to HSPA mobile broadband are growing rapidly. There were 900 million

global subscriptions for HSPA at of the end of December 2011, rising to 1 billion by 2Q 2012. This

number is expected to reach 2.8 billion by the end of 2015.3 There were 476 commercial HSPA networks

in 181 countries worldwide reported in September 2012.4

The ecosystem for HSPA is particularly vibrant. As of July 2012, there were a reported 3,362 HSPA

devices available worldwide from 271 suppliers, of which 245 included HSPA+ and 417 supported LTE.5

It may be helpful to consider the historical development of the 3GPP UMTS standards. Beginning with the

inception of UMTS in 1995, UMTS was first standardized by the European Telecommunications

Standards Institute (ETSI) in March 2000 when specifications were functionally frozen in Rel-99. This first

release of the Third Generation (3G) specifications was essentially a consolidation of the underlying GSM

specifications and the development of the new Universal Terrestrial Radio Access Network (UTRAN). The

2 Broadband for All, Keynote Speech, Stockholm, Sweden, 25 June 2012.

3 World Cellular Information Service Forecast, Informa Telecoms & Media, June 2012.

4 Global Deployment Status HSPA-LTE, See Appendix C, 4G Americas, 1 September 2012.

5 GSA Fast Facts, 11 July 2012.

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foundations were laid for future high-speed traffic transfer in both circuit-switched and packet-switched

modes. The first commercial launch (of FOMA, a derivation of UMTS) was by Japan's NTT DoCoMo in

2001.

In March 2001, a follow up release to Rel-99 was standardized in 3GPP, termed Release 4 (Rel-4), which

provided minor improvements of the UMTS transport, radio interface and architecture.

The rapid growth of UMTS led to a focus on its next significant evolutionary phase, namely Release 5

(Rel-5), which was frozen March to June 2002. 3GPP Rel-5 – first deployed in 2005 – had many

important enhancements that were easy upgrades to the initially deployed Rel-99 UMTS networks. Rel-5

provided wireless operators with the improvements needed to offer customers higher-speed wireless data

services with vastly improved spectral efficiencies through the HSDPA feature. In addition to HSDPA, Rel-

5 introduced the IP Multimedia Subsystem (IMS) architecture that promised to greatly enhance the end-

user experience for integrated multimedia applications and offer mobile operators a more efficient means

for offering such services. UMTS Rel-5 also introduced the IP UTRAN concept to recognize transport

network efficiencies and reduce transport network costs.

Release 6 (Rel-6), functionally frozen December 2004 to March 2005, defined features such as the uplink

Enhanced Dedicated Channel (E-DCH), improved minimum performance specifications for support of

advanced receivers at the terminal and support of multicast and broadcast services through the

Multimedia Broadcast/Multicast Services (MBMS) feature. E-DCH was one of the key Rel-6 features that

offered significantly higher data capacity and data user speeds on the uplink compared to Rel-99 UMTS

through the use of a scheduled uplink with shorter Transmission Time Intervals (TTIs as low as 2 ms) and

the addition of Hybrid Automatic Retransmission Request (HARQ) processing. Through E-DCH, operators

benefitted from a technology that provided improved end-user experience for uplink intensive applications

such as email with attachment transfers or the sending of video (for example, videophone or sending

pictures). In addition to E-DCH, UMTS Rel-6 introduced improved minimum performance specifications

for the support of advanced receivers. Examples of advanced receiver structures include mobile receive

diversity, which improves downlink spectral efficiency by up to 50 percent, and equalization, which

significantly improves downlink performance, particularly at very high data speeds. UMTS Rel-6 also

introduced the MBMS feature for support of broadcast/multicast services. MBMS more efficiently

supported services where specific content is intended for a large number of users such as streaming

audio or video broadcast.

Release 7 (Rel-7) moved beyond HSPA in its evolution to HSPA+ and also the standardization of Evolved

EDGE; the final Stage 3 was functionally frozen in December 2007. The evolution to 3GPP Rel-7

improved support and performance for real-time conversational and interactive services such as Push-to-

Talk Over Cellular (PoC), picture and video sharing, and Voice and Video over Internet Protocol (VoIP)

through the introduction of features like Multiple-Input Multiple-Output (MIMO), Continuous Packet

Connectivity (CPC) and Higher Order Modulations (HOMs). These Rel-7 enhancements are called

Evolved HSPA or HSPA+. Since the HSPA+ enhancements are fully backwards compatible with Rel-

99/Rel-5/Rel-6, the evolution to HSPA+ was made smooth and simple for operators.

Release 8 (Rel-8) specifications, frozen in December 2008, included enhancements to the Evolved HSPA

(HSPA+) technology, as well as the introduction of the Evolved Packet System (EPS) which consists of a

flat IP-based all-packet core (SAE/EPC) coupled with a new OFDMA-based RAN (E-UTRAN/LTE).

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Note: The complete packet system consisting of the E-UTRAN and the EPC is called the EPS. In this

paper, the terms LTE and E-UTRAN will both be used to refer to the evolved air interface and radio

access network based on OFDMA, while the terms SAE and EPC will both be used to refer to the evolved

flatter-IP core network. Additionally, at times EPS will be used when referring to the overall system

architecture.

While the work towards completion and publication of Rel-8 was ongoing, planning for content in Release

9 (Rel-9) and Release 10 (Rel-10) began. In addition to further enhancements to HSPA+, Rel-9 was

focused on LTE/EPC enhancements. Due to the aggressive schedule for Rel-8, it was necessary to limit

the LTE/EPC content of Rel-8 to essential features (namely the functions and procedures to support

LTE/EPC access and interoperation with legacy 3GPP and 3GPP2 radio accesses) plus a handful of high

priority features (such as Single Radio Voice Call Continuity [SRVCC], generic support for non-3GPP

accesses, local breakout and CS fallback). The aggressive schedule for Rel-8 was driven by the desire

for fast time-to-market LTE solutions without compromising the most critical feature content. 3GPP

targeted a Rel-9 specification that would quickly follow Rel-8 to enhance the initial Rel-8 LTE/EPC

specification. Rel-9 was functionally frozen in December 2009.

At the same time that these Rel-9 enhancements were being developed, 3GPP recognized the need to

develop a solution and specification to be submitted to the ITU-R for meeting the IMT-Advanced

requirements. Therefore, in parallel with Rel-9 work, 3GPP worked on a study item called LTE-Advanced,

which defined the bulk of the content for Rel-10, to include significant new technology enhancements to

LTE/EPC for meeting the very aggressive IMT-Advanced requirements. In October 2009, 3GPP proposed

LTE-Advanced at the ITU-R Working Party 5D meeting as a candidate technology for IMT-Advanced and

one year later in October 2010, LTE-Advanced was agreed by ITU-R Working Party 5D as having met all

the requirements for IMT-Advanced. Working Party 5D then completed development of Recommendation

ITU-R M.2012: Detailed specifications of the terrestrial radio interfaces of International Mobile

Telecommunications Advanced (IMT-Advanced), incorporating the detailed technical specifications of the

LTE-Advanced as one of the two approved radio interfaces. Recommendation ITU-R M.2012 received

final approval by the Member States countries in ITU-R at the Radiocommunication Assembly in January

2012. Rel-10 was functionally frozen in March 2011.

This white paper will provide detailed information on 3GPP Rel-10 including HSPA+ enhancements and

the introduction of LTE-Advanced; Rel-11 including further HSPA+, LTE-Advanced and Multi-RAT related

enhancements and other release independent features for which specifications were functionally frozen in

September 2012; and planning for Release 12 (Rel-12) and beyond. Rel-12 is targeted for a functional

freeze date of June 2014. This paper has been prepared by a working group of 4G Americas' member

companies and the material represents the combined efforts of many leading experts from 4G Americas‘

membership.

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1 INTRODUCTION

Mobile Broadband demand is at an all-time high thanks to the combination of more data-hungry devices

and higher service expectations on the part of users. As of June 2012, there was an estimated 5.63

billion 3GPP subscriptions worldwide. Projections through 2016 indicate an order of magnitude increase

in global mobile data traffic. Consequently, this is driving the need for continued innovations in wireless

data technologies to provide more capacity and higher quality of service. 3GPP technologies have

evolved from GSM-EDGE, to UMTS-HSPA-HSPA+, to LTE and soon LTE-Advanced, in order to provide

increased capacity and user experience. But even with these technology evolutions, the exponential rate

of growth in wireless data usage puts further pressure to continue driving innovations into the 3GPP

family of technologies.

The 3GPP evolution will continue in the coming years with further enhancements to HSPA/HSPA+ and to

LTE/LTE-Advanced. 3GPP froze the core specification for Rel-10 in March 2011, which provides further

enhancements to the HSPA+ technology and the introduction of LTE-Advanced. For HSPA, Rel-10

introduced support for four-carrier HSDPA as well as additional dual-carrier frequency combinations. For

LTE, Rel-10 introduced key features and capabilities needed to meet the IMT-Advanced requirements

specified by the ITU. Some of the key LTE-Advanced features introduced in Rel-10 include Carrier

Aggregation (CA), multi-antenna enhancements (for up to 8X8 MIMO), support for relays and

enhancements to Self Organizing Networks (SON), Multimedia Broadcast/Multicast Service (MBMS) and

heterogeneous networks. Other Rel-10 enhancements that are more network and service oriented and

that apply to both UMTS-HSPA and LTE include architecture improvements for Home (e)NBs such as

femtocells), local IP traffic offloading, optimizations for machine-to-machine (M2M) communications and

SRVCC enhancements.

With the completion of Rel-10, focus in 3GPP turned to Rel-11, for which the core specifications were

frozen in September 2012 and added feature functionality and performance enhancements to both

HSPA/HSPA+ and LTE/LTE-Advanced. For HSPA, Rel-11 introduces new features such as 8-carrier

HSDPA, DL Multi-Flow Transmission, DL 4-branch MIMO, UL dual antenna beamforming and UL MIMO

with 64QAM. For LTE, Rel-11 provides enhancements to the LTE-Advanced technologies introduced in

Rel-10, such as enhancements to CA, heterogeneous networks, relays, MBMS and SON. Rel-11 also

introduces the Co-ordinated Multi-Point (CoMP) feature for enabling coordinated scheduling/beamforming

and MIMO across eNBs. Finally, Rel-11 introduces several network and service related enhancements

such as enhancements to Machine Type Communications (MTC), IMS related enhancements, Wi-Fi

integration related enhancements, H(e)NB enhancements, etc., most of which apply to both HSPA and

LTE.

As work on 3GPP Rel-11 neared completion, focus began on Rel-12 planning. With a targeted functional

freeze date of June 2014, work on Rel-12 is expected to ramp up at the end of 2012 and be the focus of

work in 2013. Some of Rel-12 will consist of unfinished work from Rel-11, but there will also be new ideas

and features introduced in Rel-12. However, there is general agreement that Rel-12 will be mainly an

evolution of the LTE and LTE-Advanced technologies. At the time of this writing, some main themes for

areas of Rel-12 focus include enhancements to LTE small cell and heterogeneous networks, LTE multi-

antennas (therefore, MIMO and Beamforming) and LTE procedures for supporting diverse traffic types.

In addition to these themes, other areas of interest include enhancements to support multi-technology

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(including Wi-Fi) integration, MTC enhancements, SON/MDT enhancements, support for device-to-device

communication, advanced receiver support and HSPA+ enhancements including interworking with LTE.

This paper will first discuss the deployment progress and near term deployment plans for the 3GPP family

of technologies, focused mainly on UMTS/HSPA/HSPA+ and LTE. Section 3 will then discuss wireless

forecasts and trends in packet data growth, devices, applications and deployment models. A brief

summary of Rel-8/Rel-9 LTE/EPC is provided in Section 4 for background, with a detailed discussion of

the enhancements introduced in Rel-9 in Appendix B of this document. A detailed description of Rel-10

HSPA+ enhancements and LTE-Advanced features is provided in Section 5, followed by details on the

HSPA+ and LTE/LTE-Advanced enhancements introduced in Rel-11 in Section 6. The paper concludes

with a discussion of the initial work on Rel-12 in Section 7.

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2 PROGRESS FROM RELEASE 99 TO RELEASE 10 AND BEYOND: UMTS/EVOLVED

HSPA (HSPA+) AND LTE/EPC/LTE-ADVANCED

This section summarizes the commercial progress of the 3GPP standards with primary focus on Rel-8

through Rel-10 and includes several important milestones in the industry. It is historical in nature, building

to the success of LTE as the next generation global mobile industry standard and the ongoing

commercialization of LTE-Advanced.

Leading manufacturers and service providers worldwide support the 3GPP evolution and to illustrate the

rapid progress and growth of UMTS, participating 4G Americas member companies have each provided

detailed descriptions of recent accomplishments on Rel-8 through Rel-10, which are included in Appendix

A of this white paper. A number of these technology milestones are also summarized in this section.

In November 2003, HSDPA was first demonstrated on a commercially available UMTS base station in

Swindon, U.K., and was first commercially launched on a wide-scale basis by Cingular Wireless (now

AT&T) in December 2005 with notebook modem cards, followed closely thereafter by Manx Telecom and

Telekom Austria. In June 2006, "Bitė Lietuva" of Lithuania became the first operator to launch HSDPA at

3.6 Mbps, which at the time was a record speed. As of September 2012, there were more than 476

commercial HSPA networks in 181 countries with 80 additional operators with networks planned, in

deployment or in trial with HSPA (see Appendix C). Nearly all UMTS deployments are upgraded to HSPA

and the point of differentiation has passed; references to HSPA are all-inclusive of UMTS.

Figure 2.1. HSPA – HSPA+ Timeline 2000-2013.

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Initial network deployments of HSDPA were launched with PC data cards in 2005. HSDPA handsets were

made commercially available in 2Q 2006 with HSDPA handhelds first launched in South Korea in May

2006 and later in North America by Cingular (now AT&T) in July 2006. In addition to offering data

downloads at up to 1.8 Mbps, the initial handsets offered such applications as satellite-transmitted Digital

Multimedia Broadcasting (DMB) TV programs, with two to three megapixel cameras, Bluetooth, radios

and stereo speakers for a variety of multimedia and messaging capabilities.

Mobilkom Austria completed the first live HSUPA demonstration in Europe in November 2006. One

month later, the first HSUPA mobile data connection on a commercial network (3 Italia) was established.

In 2007, Mobilkom Austria launched the world‘s first commercial HSUPA and 7.2 Mbps HSDPA network

in February, followed by commercial 7.2 USB modems in April and 7.2 data cards in May. There were

numerous announcements of commercial network upgrades to Rel-6 HSUPA throughout 2H 2007 and as

of December 2008, there were 60 commercial networks and 101 operators who had already announced

plans to deploy HSUPA.6 AT&T was the first U.S. operator to deploy enhanced upload speeds through

HSUPA on its HSPA networks in 2007 with average user upload speeds between 500 kbps and 1.2 Mbps

and average user download speeds ranging up to 1.7 Mbps.

Uplink speeds for HSUPA increased from peak 2 Mbps initially, up to 5.8 Mbps using 2 milliseconds (ms)

Transmission Time Interval (TTI). HSUPA eliminates bottlenecks in uplink capacity, increases data

throughput and reduces latency – resulting in an improved user experience for applications such as

gaming, VoIP, etc.

The ecosystem of HSPA devices continues to expand and evolve. As of August 2012, 271 suppliers

commercially offered 3,362 devices,7 including smartphones, data cards, notebooks, wireless routers,

USB modems and embedded modules and supporting speeds up to 42 Mbps on the downlink.

Over the course of 2006 to 2007, there was significant progress on Rel-7 standards, which were finalized

in mid-2007. Rel-7 features were commercially introduced as HSPA+ and trials of HSPA+ began as early

as 3Q 2007 including several planned commercial announcements made in the 2007 to 2008 timeframe.

The world‘s first data call using HSPA+ was completed in July 2008 achieving a data transfer rate of more

than 20 Mbps in a 5 MHz channel. The industry‘s first HSPA+ Rel-7 chipset was launched in early 2009,

which set the state for the first commercial launch of HSPA+ by Telstra. In February 2009, Telstra in

Australia became the first operator in the world to launch Rel-7 HSPA+ using the 850 MHz band and a

data card, and one month later in Austria, Mobilkom launched in the 2100 MHz band; both operators

initially provided peak theoretical downlink speeds of 21 Mbps. Rogers was the first mobile operator in

the Americas region to commercially launch HSPA+ at 21 Mbps in July 2009, more than doubling the

speeds of its HSPA network. By the end of 2009, there were 38 commercial launches of HSPA+ in 24

countries including Rogers, Telus and Bell Canada in Canada as well as T-Mobile USA in North America.

By the end of 2010, the number of commercial launches of HSPA+ had risen to 103 worldwide in 54

countries (see Appendix C for a list of commercial HSPA+ networks). That number stood at 233

6 Ibid.

6 Mobile TV: Applications, Devices & Opportunities 2012 – 2016, Juniper Resea

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commercial HSPA+ networks (21 Mbps or higher peak theoretical speeds) in 112 countries as of August

2012.

In November 2011, T-Mobile USA announced that its HSPA+ network at 21 Mbps covered more than 200

million people in 208 markets including dual-carrier HSPA+ at 42 Mbps available for nearly 180 million

Americans in 163 markets. In February 2012, T-Mobile announced a $4 billion 4G network evolution plan,

which included the installation of new equipment at 37,000 cell sites, and deploying HSPA+ at 42 Mbps in

its PCS 1900 MHz band and initiating the deployment of LTE in 2013. In the second quarter of 2012, T-

Mobile USA announced an agreement with Verizon Wireless for the purchase and exchange of certain

Advanced Wireless Services (AWS) spectrum licenses (subject to regulatory approval), which would

improve T-Mobile‘s network coverage in 15 of the top 25 markets in the U.S.. T-Mobile also completed the

AWS license transfers (from the AT&T deal break-up) that will expand T-Mobile‘s coverage in 12 of the

top 20 U.S. markets. Additionally, T-Mobile announced a spectrum exchange agreement with Leap

Wireless International, Inc. that will further 4G coverage in four states.

By November 2010, 80 percent of the AT&T mobile network had been upgraded to HSPA+ Rel-7 and

covered 250 million POPs. AT&T introduced modems that could use both HSPA+ and LTE in 2010 in

preparation for their planned LTE deployment in 2011. By July 2012, AT&T commercially offered LTE in

47 markets covering a total of 80 million people. AT&T‘s HSPA+ and LTE high-speed networks jointly

cover more than 260 million Americans. AT&T also announced planned deployment of Voice over LTE

(VoLTE) services in 2013 or when the standards work and product commercialization is ready.

Figure 2.2. The Evolutionary Steps of HSPA+.

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HSPA and HSPA+ offer operators a great amount of flexibility and network upgrades. HSPA and HSPA+

are the leading mobile broadband technology worldwide today and for the next decade, even as LTE

commercialization is escalating. The breakdown of HSPA and HSPA+ network deployments as of

September 1, 2012 is as follows:

HSPA (7.2 or 14.4) 243 deployments Rel-6

HSPA+ (21 Mbps) 144 deployments Rel-7

HSPA+ (28 Mbps) 7 deployments Rel-7

HSPA+ (42 Mbps) 83 deployments Rel-8

There are a total of 233 commercial HSPA+ networks in 112 countries as of September 1, 2012.

Advantages of HSPA+ include its cost-efficient scaling of the network for rapidly growing data traffic

volumes, the ability to work with all HSPA devices, and improved end-user experience by reducing

latency. The majority of HSPA operators have deployed HSPA+, and in fact, the percentage of HSPA

operators who have commercially launched HSPA+ was at 49 percent by September 1, 2012.

The industry‘s first HSPA+ Rel-7 chipset was launched in early 2009, smartphones with HSPA+

technology emerged in the first quarter of 2010 and there were 245 HSPA+ ready mobile broadband

devices announced by August 2012.8

Rel-7 HSPA+ networks are sometimes also deployed with MIMO antenna systems providing yet another

upgrade in performance benefits. In July 2009, TIM Italy launched the world‘s first HSPA+ network using

MIMO offering peak theoretical download speeds of 28 Mbps. Other operators have chosen to deploy

MIMO with HSPA+; however, most HSPA+ deployments as of August 2012 are deployed without MIMO.

(See Appendix C for a list of deployments with MIMO.)

A leading vendor implemented a bundle of Rel-7 standards-based features that delivers Continuous

Packet Connectivity (CPC) and by reducing network interference, the feature set provides five times more

uplink capacity. This enables operators to support more smartphone users on HSPA+ networks.

Most leading operators moved forward with deployment of Rel-7 HSPA+. Nearly all vendors have existing

NodeB modules that are already HSPA+ capable and the activation is done on a software basis only. This

solution is part of a converged RAN strategy with building blocks to evolve or renovate legacy networks

towards LTE. Converged BTS with Software Defined Radio (SDR) modules consisting of:

Converged Controller

Converged O&M and tools

Converged inter-technology mobility features

Converged transport

8 Ibid.

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Vendors enhanced network quality with advances such as flat IP femtocells, enabling operators to

provide comprehensive in-building or in-home coverage. Mobile broadband femtocells are offered by

many leading manufacturers, and although operator deployments were slower than initially anticipated,

Vodafone (UK), China Unicom, AT&T and Verizon, were among those operators offering customers the

option for potentially improved in-building coverage by the fourth quarter of 2009. Many more operators

moved to a converged broadband environment through the proliferation of small cells in 2010, extending

the technology from residential gateways to the enterprise and into the metropolitan areas. Most

femtocells in 2009 supported the Rel-6 standard; in 2010 companies provided UICC for femtocells to

implement Rel-9 features. The introduction of femtocells is an early step in the move toward small cell

architectures, which will play a major role in the introduction of Rel-8 LTE networks.

In 2012, small cell announcements became more prevalent. For example, Telenor deployed 3G small cell

technology in the 11 countries in which it operates across Scandinavia, Central and Eastern Europe, and

Asia, to improve mobile broadband coverage in homes, offices and public locations. Telefonica is

enhancing in-building mobile broadband coverage through the use of femtocells in Europe and South

America.

IMS serves as the cornerstone for next-generation blended lifestyle services. Vendors are supporting IMS

development across multiple frequency bands to deliver valuable applications and services. Mobile

softswitches – compliant with 3GPP Rel-4, Rel-5, Rel-6 and Rel-7 architecture – that were in the market

in 2009 support a smooth evolution to VoIP and IMS. CS core inter-working with SIP call control, and

end-to-end VoIP support, with or without IMS, can deliver mobile voice service with up to 70 percent

savings in operating expenditures, according to a leading vendor. Some vendors‘ IMS solutions optimize

core network topology by moving from vertically implemented services towards common session control,

QoS policy management and charging control. IMS intuitive networks are device, application and end-

user aware, resulting in the creation of an ecosystem of best-in-breed real-time multimedia applications

and services. IMS solutions, such as the service enhancement layer, allow for integration of a set of

software technologies that enable wireless, wireline and converged network operators to create and

deliver simple, seamless, secure, portable and personal multimedia services to their customers. VoIP

platforms have been developed for deployments across all types of networks that support Web Services

Software Development Kits (SDKs), which enable operators to combine communications services with the

IT world. Signalling overlay solutions for fixed and mobile operators provide number portability and SS7

signalling capabilities. They also offer a variety of features to help operators protect their networks against

SMS fraud and SMS spam.

AT&T was one of the most aggressive operators in the IMS segment of the market, having deployed the

technology for its U-Verse offering that allows customers to integrate mobile services via a broadband

connection powering in-home Internet, TV and wired phone services. AT&T further integrated its wireless

service into the mix, through apps for select smartphones that enable subscribers to control their TV

digital video recorder or watch programs on their MIDs (Mobile Internet Devices).

In general, wireless carriers have been very slowly moving towards IMS deployments for a variety of

reasons. Wireless industry analysts have noted that the slow adoption rate has been mostly due to a lack

of need for IMS to this point and with the adoption of LTE this will change. One leading vendor reports 93

IMS contracts for commercial launch, including 61 with live traffic as of August 2012 in the Americas,

Europe, Asia-Pacific and Africa with mobile and fixed network implementations. All-IP network

transformation helps operators reduce cost and improve service capability, flexibility and convenience for

customers and involves IMS and IP softswitching solutions.

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Market research firm Infonetics Research reported that IMS networks continued to be deployed by fixed-

line operators, mobile operators, and cable operators; fixed line VoIP service was the mainstay of IMS

deployments, of the 21 respondents interviewed for the report, all of whom had IMS core equipment in

their networks as a requirement for participating in the Infonetics survey. Mobile services were reported to

be growing in importance; 71 percent of respondents plan to offer RCS/e, more than half plan to offer

VoLTE, and about a third will offer VoIP over 3G (for example, VoHSPA) and mobile messaging.

Mobile TV services were launched by several carriers worldwide, particularly in Japan and South Korea

by 2010. According to ABI Research analysis, several factors have hindered the widespread deployment

and adoption of mobile cellular and broadcast TV services up to 2010. However, the market inhibitors

were addressed and worldwide adoption began accelerating in 2012. The barriers for mobile TV were: a

lack of TV content (free and simulcast local and national programs), limited analog-to-digital TV

transitions in most regions that would allow broadcasters to simulcast mobile and terrestrial TV services

and the throughput speeds and latency performance that was adequate for quality mobile TV service.

Juniper Research reported that the number of streamed mobile TV users on smartphones will increase to

240 million by 2014, and according to report author Charlotte Miller, ―the smartphone really allows the

consumer to transport the TV experience out of the home, allowing them to view live and on-demand

content while on the move. The ubiquity of free Wi-Fi also allows users of these services to access

content without the threat of bill shock – driving take up of streamed mobile TV services across all Wi-Fi-

enabled mobile devices.‖9

The advent of video applications creates needs for additional solutions for operators. A leading company

specializes in enabling operators to both manage and monetize the growth in mobile video consumption

by managing network congestion, analyzing user behavior and creating customized data plans that match

subscriber habits. They offer a video optimization solution that enables operators to manage congestion

when it occurs in localized hotspots rather than requiring brute force compression of all video on the

network at all times. Web optimizer uses compression, caching and transcoding techniques to increase

data transfer rates over wireless data networks while decreasing the amount of traffic flowing over the

network. It delivers faster browsing speeds and more immediate access to content while conserving

valuable bandwidth. With the increase of subscriber-aware policy management since Rel-8, the web

optimizer has the ability to enforce specific optimization triggers based on PCRF decisions through the

standard Gx interface.

The speed and latency barrier has been addressed by the evolution of HSPA+ and the deployment of

LTE. Peak theoretical speeds of up to 84 Mbps and 12 Mbps on the uplink will be supported by HSPA+,

and Rel-10 will bring the throughput rates even higher. These speeds are achieved by combining new

higher order modulation technology (64QAM), together with 2X2 MIMO antenna technology and later with

dual-carrier. In addition, LTE will provide an additional enhancement as IMS begins to take hold.

Juniper cites another driver for mobile TV growth as the continued integration of mobile services into Pay-

TV packages. Tablets can offer a richer viewing experience when used alongside traditional television by

allowing the user to access supplementary information such as plot synopses and actor biographies.

These devices also enable users to view Pay-TV content or to watch catch-up services when away from

home, extending the reach of traditional TV services. According to Juniper‘s Miller, ―Consumers are

9 Mobile TV: Applications, Devices & Opportunities 2012 – 2016, Juniper Research, 8 May 2012.

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already accustomed to timeshifting thanks to DVRs such as TiVo and Sky+; what mobile TV allows them

to do is placeshift. This allows users to watch their Pay-TV content anytime, anywhere and on any device

- the TV experience is no longer confined to the home.‖10

After 3GPP approved specifications for Rel-8 standards in January 2008, work continued throughout the

year, and in December 2008, the completed final standards on HSPA+, LTE and EPC/SAE

enhancements were functionally frozen.

Rel-8 HSPA evolution at 42 Mbps was first demonstrated at CTIA Wireless 2008 using a form-factor

handheld device. The industry‘s first dual-carrier HSPA+ Rel-8 chipset was launched in August 2010.

The improved speed allowed operators to leverage existing network infrastructure to meet the growing

consumer appetite for advanced multimedia services. Some operators chose to deploy HSPA+ with

higher order modulation and forestall MIMO. They achieved excellent advances and benefits, with speeds

up to 21 Mbps without deploying MIMO. In Rel-9, HSPA+ was further enhanced and was demonstrated at

56 Mbps featuring multi-carrier and MIMO technologies in Beijing at P&T/Wireless & Networks Comm

China in 2009.

As operators evolve their networks toward LTE and EPS architecture and consider software solutions,

they can build upon the capabilities of their proven HLR to incorporate carrier-grade RADIUS AAA for

packet-switched traffic, Diameter-based AAA and HSS support for the IMS core. Inclusive functional

suites take full advantage of the communications and media software solutions to ensure data-level

coherence and behavioral consistency of the overall mobility management solution across all access

domains and technology generations. Linked with pan-generational mobility and data management

products that are able to service multiple fixed and mobile access domains, operators can leverage the

CMS Policy Controller to assure Quality of Service (QoS) and provide a fine degree of control for service

offerings consistent with the Open Mobile Alliance (OMA) and 3GPP Rel-8 specifications.

The increasing traffic challenge for operators is how to manage their network traffic. Solutions are being

offered for agile intelligent mobile networks, including solutions like web optimizers that will support Rel-8

and beyond networks by using compression, caching and transcoding techniques to increase data

transfer rates while decreasing the amount of traffic flowing over the network. Web and media optimizing

are intelligent, content-aware solutions that work to automatically trigger optimization when the network

reaches pre-determined thresholds. Media optimization will address the growing richness of the mobile

internet video content.

LTE lab trials between vendors and operators for the Evolved Packet Core (EPC) or System Architecture

Evolution (SAE) began in 2007, including support for an integrated Voice Call Continuity (VCC) solution

for GSM-WLAN handover. In November 2007, LTE test calls were completed between infrastructure

vendors and device vendors using mobile prototypes representing the first multivendor over-the-air LTE

interoperability testing initiatives. Field trials in realistic urban deployment scenarios were created for LTE

as early as December 2007, and with a 2X2 MIMO antenna system, the trials reached peak data rates of

up to 173 Mbps and more than 100 Mbps over distances of several hundred meters. Trials demonstrated

that future LTE networks could run on existing base station sites.

10 Mobile TV: Applications, Devices and Opportunities 2012 - 2016, Juniper Research, 8 May 2012.

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Many lab and field trials for LTE were conducted in 2008. As of the end of 2009, more than 100 operators

had indicated their intentions to trial or deploy LTE and that number grew to more than 350 operators by

September of 2012 (for a complete list of LTE commitments, see Appendix C). TeliaSonera launched the

first commercial LTE networks in Oslo, Norway and Stockholm, Sweden in December 2009. In September

2012, the milestone of 100 commercial LTE networks, including nine TD-LTE networks, was achieved.

For detailed information of the progress of commercialization of the 3GPP standards by leading

companies, see Appendix A.

Figure 2.3. LTE-LTE Advanced Timeline 2008-2014.11

Live 2X2 LTE solutions in 20 MHz for Rel-8 were demonstrated in 2008. Among the new exciting

applications demonstrated on LTE networks at various bands, including the new 1.7/2.1 GHz AWS band,

were: HD video blogging, HD video-on-demand and video streaming, multi-user video collaboration, video

surveillance, online gaming and even CDMA-to-LTE handover showing the migration possible from

CDMA and EV-DO to LTE.

One of key elements of the LTE/EPC network is the new enhanced base station, or Evolved NodeB

(eNodeB), per 3GPP Rel-8 standards. This enhanced BTS provides the LTE interface and performs radio

resource management for the evolved access system. The eNodeB base stations offer a zero footprint

LTE solution, address the full scope of wireless carriers‘ deployment needs and provide an advanced LTE

RAN solution to meet size and deployment cost criteria. The flexible eNodeB LTE base stations support

FDD or TDD and are available in a range of frequencies from 700 MHz to 2.6 GHz with bandwidths from

1.4 MHz to 20 MHz. The first Rel-8 compliant LTE eNodeB ready for large-scale commercial deployment

11 LTE-LTE Advanced Timeline, 4G Americas and Informa Telecoms & Media, July 2012.

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was launched in July 2009, and is capable of supporting a peak theoretical rate of up to 150 Mbps on the

downlink.

The eNodeB features enhanced coverage and capacity for improved performance, superior power

efficiency for reduced energy consumption, lower total cost of ownership, and advanced Self-Organizing

Network (SON) implementation to help operators build and operate their LTE networks at a lower cost.

SON aims to leapfrog to a higher level of automated operation in mobile networks and is part of the move

to LTE in Rel-8. Benefits of SON include its ability to boost network quality and cut OPEX. Traffic patterns

in cellular networks are changing quickly with mobile data closing in on voice services; therefore, an

intelligent network with the ability to quickly and autonomously optimize itself could sustain both network

quality and a satisfying user experience. In this context, the term Self-Organizing Network is generally

taken to mean a cellular network in which the tasks of configuring, operating, and optimizing are largely

automated. Radio access elements account for a large share of cellular networks‘ installation, deployment

and maintenance costs. This is why efforts to introduce SON focus on the network‘s radio access assets

first. A 2006 decision by the Next Generation Mobile Networks (NGMN) Alliance was instrumental in

driving development of SON. NGMN singled out SON as a key design principle for the next-generation

mobile network, and published a specifications paper in 2008. Hence, SON was often associated with

LTE technology. And as a consequence, while drafting LTE specifications, 3GPP introduced SON in Rel-

8. Subsequent 3GPP Releases further covered SON specifications, starting with auto-configuration

functions.

In October 2009, T-Mobile completed testing on the world‘s first LTE Self-Organizing Network in

Innsbruck, Austria. Perhaps among the more exciting milestones in 2009 was TeliaSonera‘s December

14 launch of the world‘s first commercial LTE networks in both Sweden and Norway. With network speeds

capable of delivering HD video services, this major achievement was supported by two leading vendors.

3GPP technologies operate in a wide range of radio bands. As new spectrum opportunities become

available, 3GPP updates its technical specifications for these new bands. The 3GPP standards support

37 spectrum bands for LTE and there were 13 spectrum bands being used for LTE commercial

deployments as of mid-year 2012. There are further opportunities for standardizing LTE for more

spectrum bands by introducing 3GPP technologies in frequency bandwidths smaller than 5 MHz (for

example, the 450 MHz) spectrum bands (due to LTE support for carrier bandwidths down to 1.4 MHz).

Such a wide selection of bands benefits operators because it provides more flexibility.

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Table 2.1. E-UTRA frequency bands.12

E-UTRA

Operating

Band

Uplink (UL) operating band

BS receive

UE transmit

Downlink (DL) operating band

BS transmit

UE receive

Duplex

Mode

FUL_low – FUL_high FDL_low – FDL_high

1 1920 MHz – 1980 MHz 2110 MHz – 2170 MHz FDD

2 1850 MHz – 1910 MHz 1930 MHz – 1990 MHz FDD

3 1710 MHz – 1785 MHz 1805 MHz – 1880 MHz FDD

4 1710 MHz – 1755 MHz 2110 MHz – 2155 MHz FDD

5 824 MHz – 849 MHz 869 MHz – 894MHz FDD

61 830 MHz – 840 MHz 875 MHz – 885 MHz FDD

7 2500 MHz – 2570 MHz 2620 MHz – 2690 MHz FDD

8 880 MHz – 915 MHz 925 MHz – 960 MHz FDD

9 1749.9 MHz – 1784.9 MHz 1844.9 MHz – 1879.9 MHz FDD

10 1710 MHz – 1770 MHz 2110 MHz – 2170 MHz FDD

11 1427.9 MHz – 1447.9 MHz 1475.9 MHz – 1495.9 MHz FDD

12 699 MHz – 716 MHz 729 MHz – 746 MHz FDD

13 777 MHz – 787 MHz 746 MHz – 756 MHz FDD

14 788 MHz – 798 MHz 758 MHz – 768 MHz FDD

15 Reserved Reserved FDD

16 Reserved Reserved FDD

17 704 MHz – 716 MHz 734 MHz – 746 MHz FDD

18 815 MHz – 830 MHz 860 MHz – 875 MHz FDD

19 830 MHz – 845 MHz 875 MHz – 890 MHz FDD

20 832 MHz – 862 MHz 791 MHz – 821 MHz

21 1447.9 MHz – 1462.9 MHz 1495.9 MHz – 1510.9 MHz FDD

22 3410 MHz – 3490 MHz 3510 MHz – 3590 MHz FDD

23 2000 MHz – 2020 MHz 2180 MHz – 2200 MHz FDD

24 1626.5 MHz – 1660.5 MHz 1525 MHz – 1559 MHz FDD

25 1850 MHz – 1915 MHz 1930 MHz – 1995 MHz FDD

26 814 MHz – 849 MHz 859 MHz – 894 MHz FDD

27 807 MHz – 824 MHz 852 MHz – 869 MHz FDD

28 703 MHz – 748 MHz 758 MHz – 803 MHz FDD

...

33 1900 MHz – 1920 MHz 1900 MHz – 1920 MHz TDD

34 2010 MHz – 2025 MHz 2010 MHz – 2025 MHz TDD

35 1850 MHz – 1910 MHz 1850 MHz – 1910 MHz TDD

36 1930 MHz – 1990 MHz 1930 MHz – 1990 MHz TDD

37 1910 MHz – 1930 MHz 1910 MHz – 1930 MHz TDD

38 2570 MHz – 2620 MHz 2570 MHz – 2620 MHz TDD

39 1880 MHz – 1920 MHz 1880 MHz – 1920 MHz TDD

40 2300 MHz – 2400 MHz 2300 MHz – 2400 MHz TDD

41 2496 MHz – 2690 MHz 2496 MHz – 2690 MHz TDD

42 3400 MHz – 3600 MHz 3400 MHz – 3600 MHz TDD

43 3600 MHz – 3800 MHz 3600 MHz – 3800 MHz TDD

44 703 MHz – 803 MHz 703 MHz – 803 MHz TDD

Note 1: Band 6 is not applicable.

12 3GPP TS 36.104 V11.2.0 (2012-09).

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Depending on regulatory aspects in different geographical areas, radio spectrum for mobile

communication is available in different frequency bands, in different sizes and comes as both paired and

unpaired bands. Consequently, when the work on LTE started in late 2004 with 3GPP setting the

requirements on what the standard should achieve, spectrum flexibility was established as one of the

main requirements, which included the possibility to operate in different spectrum allocations ranging from

1.4 MHz up to 20 MHz, as well as the possibility to exploit both paired and unpaired spectrum. In

essence, this meant that the same solutions should be used for FDD and TDD whenever possible in

order to provide a larger economy of scale benefit to both LTE FDD and LTE TDD.

LTE operating in both FDD and TDD modes on the same base station was first demonstrated in January

2008. By using the same platform for both paired and unpaired spectrum, LTE provides large economies

of scale for operators. In September of 2009, the LTE/SAE Trial Initiative (LSTI), a global collaboration at

the time between 39 vendors and operators, completed a LTE TDD proof of concept. The tests achieved

the industry‘s peak spectral efficiency target of 5 bps/Hz downlink and 2.5 bps/Hz uplink in a live air test

using prototype equipment while 2X2 MIMO delivered 40 Mbps and 7.3 bps/Hz spectral efficiency. LTE

TDD has similar high performance as LTE FDD in spectral efficiency, latency, etc. and is widely

considered as the natural evolution of TD-SCDMA with great potential for economies of scale and scope

in infrastructure and devices due to the important Chinese operator and vendor support of TD-SCDMA

and LTE TDD.

China Mobile announced that it was jointly implementing tests with relevant operators to set up TD-

SCDMA LTE TDD trial networks in 2010 and investing in research and development to build the

ecosystem. In collaboration with China‘s Ministry of Industry and Information Technology (MIIT), Phase I

field trials and a full feature set TD-LTE lab trial supported 3GPP Rel-8. All major pavilions at the World

Expo 2010 Shanghai China had indoor coverage with TD-LTE (Rel-8) and China Mobile launched the

world‘s first trial TD-LTE network in May 2010. The first TD-LTE dongle was also unveiled at Shanghai

Expo. Another first at Shanghai for TD-LTE was the first high-definition video call including handover with

a TD-LTE device from a leading manufacturer in August 2010. In 2011, the world‘s first LTE

FDD/TDD/UTS/GSM/CDMA multimode data card was released. In 2012, the first commercial LTE TDD

3.5 GHz CPE was announced by a leading vendor and UKB in Britain deployed the first 3.5 GHz LTE

TDD commercial network while Bharti in India deployed the largest 2.3 GHz LTE TDD commercial

network.

The first multi-mode LTE chipsets were sampled in November 2009, supporting both LTE Frequency

Division Duplex (FDD) and LTE Time Division Duplex (TDD) including integrated support for Rel-8 CD-

HSPA+ and EV-DO Rev B, helping to provide the user with a seamless mobile broadband experience. By

mid-2012, processors included LTE Rel-8 multimode modems as a fully integrated feature incorporating

all seven of the world‘s major cellular standards (LTE FDD, TD-LTE, UMTS-HSPA, EV-DO, CDMA1x, TD-

SCDMA and GSM/EDGE).

One vendor was supporting China Mobile‘s LTE network with the launch of the world‘s first multi-standard

USB modem and uFI (hotspot), which supported both FD-LTE and TD-LTE networks in August 2012.

Another vendor announced a single-chip LTE world modem that supports both TD and FD-LTE. These

devices are significant as they are the indicative of China Mobile and Clearwire‘s deployment of TD-LTE

on unpaired spectrum in the 2.5 GHz band. (The majority of operators in the U.S. have chosen to deploy

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FD-LTE such as AT&T, T-Mobile and Verizon.) Clearwire will look to China Mobile to help drive scale and

bring down prices on TD-LTE devices going forward. A recent report from Ovum predicts 25 percent of all

LTE connections will include TD-LTE by 2016.13

As of September 2012, there were nine commercial deployments of TD-LTE reported, including UK

Broadband, Sky Brazil, NBN Co, (Australia), 3 Sweden, Aero 2 (Poland), Bharti Airtel (India), Softbank

(Japan) and Mobily and STC in Saudi Arabia.

The world‘s first triple mode LTE modem was introduced in February 2010, which is compatible with all

three major network standards: GSM, UMTS and LTE (supporting Rel-8). By April 2012, the number of

devices supporting LTE had grown to 347, of which 250 were announced in the past year. Smartphones

(64) and tablets (31) represented the majority of device growth, with routers (131), dongles (64), modules

(41), notebooks (13), notebooks (13), PC cards (2), and a femtocell (1) offering a full variety.14

Of those

devices, 217 operate on HSPA, HSPA+ or DC-HSPA+ networks (91 support DC-HSPA+) and 108

support EV-DO networks. The majority of the LTE devices operate in the 700 MHz band; there are also

many devices that operate in the 2600 MHz and 1800 MHz spectrum bands. There were also 53 LTE

TDD capable devices among the 347 total devices reported in April 2012, and that number was also

growing.15

Rel-8 User Interface Control Channels to LTE networks in the U.S. and around the world were provided in

2010 enabling Over the Air (OTA) remote application and file management over Hypertext Transfer

Protocol Secure HTTP(S). This migration away from the traditional UICC updates over (Short Message

Service) SMS enables greater efficiency and reduced cost of operation with higher availability.

In order to make LTE licensing as fair and reasonable as possible, in April 2008, a joint initiative was

announced by leading vendors Alcatel-Lucent, Ericsson, NEC, NextWave Wireless, Nokia, Nokia

Siemens Networks and Sony Ericsson to enhance the predictability and transparency of (Intellectual

Property Rights) IPR licensing costs in future 3GPP LTE/SAE technology. The initiative included a

commitment to an IPR licensing framework to provide more predictable maximum aggregate IPR costs for

LTE technology and enable early adoption of this technology into products.

The readiness of LTE to deliver mission critical communications for public safety has been demonstrated

in the U.S., leading the way to the establishment of a nationwide LTE broadband network (Rel-8). An LTE

data call was successfully completed over 700 MHz Band 14, the spectrum earmarked for public safety

agencies in the U.S. The first live test of a real-time first responder LTE network was completed in July

2012 in Florida and covered four states. Charlotte, North Caroline deployed its LTE public safety network

in the 700 MHz band with the help of a leading vendor; Houston, Texas is now also is expanding an LTE

700 MHz public safety network. In a February 22, 2012 tax-cut bill, the U.S. government called for NTIA

to establish a service provider, called First Responder Network Authority (FirstNet), to operate a 700 MHz

LTE public safety network and deliver services on it to approximately 60,000 federal, state and local

agencies. FirstNet will have more stringent coverage requirements than the typical commercial mobile

operator. It will need to cover 95 percent of the U.S., including all 50 states, the District of Columbia, and

13 ZTE Boast First Multi-Standard LTE Hotspot, USB Modem, Wireless Week, 17 August 2012.

14 GSA confirms 347 LTE user devices, with smartphones and tablets leading growth, GSA, 4 April 2012.

15 GSA confirms 347 LTE user devices, with smartphones and tablets leading growth, GSA, 4 April 2012.

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all territories, including places such as Guam and the Marianas Islands in the Pacific. The system will also

have to cover 98 percent of the U.S. population.

Outside of the U.S., countries in Europe, Asia-Pacific and some parts of South America, are considering

the 400MHz frequency band which is currently used by public safety agencies for their TETRA and

TETRAPOL communications systems.

E911 calls over LTE are being supported by adding LTE node functionality to existing location service

platforms by a leading vendor.

The IMS Core in wireless and wireline networks began moving from vertically implemented services

towards common session control, QoS policy management and charging control in 2009.

The first operators to launch Voice over LTE (VoLTE) services were MetroPCS in the U.S, and South

Korean mobile operator SK Telecom (SKT) in August 2012. Several operators have announced plans to

deploy VoLTE as early as the first half of 2013 including AT&T, Verizon, and Clearwire in the U.S. T-

Mobile is also considering VoLTE in conjunction with the launch of its LTE network in 2013. It has

already launched an IMS-based WiFi calling capability on certain of its handsets.16

Operators with LTE commercially deployed as of August 2012 were not using LTE for voice services. It is

technically feasible to transfer VoLTE calls to an operator's legacy network, but it requires operators to

support Dual Radio or Single Radio Voice Call Continuity (SRVCC) technology. Supporting SRVCC adds

an additional layer of complexity to both handsets and the underlying LTE network, a technology valued

for its simplicity. For example, CDMA operators are using LTE for only data services and falling back on

legacy CDMA networks for voice services. Leading vendors demonstrated SRVCC at MWC 2012, a

critical feature aimed at facilitating successful VoLTE deployment.

For many operators, VoLTE service will support more than just voice calls. Smartphones compatible with

VoLTE service will be able to handle a variety of rich communications services, such as video calls,

multimedia messaging and instant-message style presence indicators.

"In the first quarter of 2012 we saw the largest order of IMS core equipment and application server

licenses on record … a clear sign that operators in North America are gearing up for voice over LTE

deployments," said Diane Myers, principal analyst for VoIP and IMS at Infonetics. The firm's research

showed that North American operators led in carrier VoIP and IMS spending during the first quarter of

2012, with outlays up 76 percent year-over-year. As operators gear up to offer VoLTE over the next five-

plus years, Myers said, "large equipment orders will be sporadic and the IMS market will continue to be

lumpy."17

Exact Ventures reported that the IMS Core market nearly tripled year-over-year in the first quarter of 2012

in major part due to significant VoLTE deployments in North America. "While the IMS Core market

showed very strong growth during the quarter it is still a relatively small market, accounting for just 10

percent of the total -- wireline plus wireless -- voice core market," said Greg Collins, Founder and

16 MetroPCS silences SK’s LTE voice launch, GSMA Mobile Business Briefing, 8 August 2012.

17 North American VoLTE Preparations Propel IMS Spending, Fierce Broadband Wireless, 23 May 2012.

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Principal Analyst at Exact Ventures. "The transition away from circuit switching to an all IP core network

based on IMS is just beginning and is expected to last well over a decade."18

Evolved Packet Core (EPC) is the IP-based core network defined by 3GPP in Rel-8 for use by LTE and

other access technologies. The goal of EPC is to provide simplified all-IP core network architecture to

efficiently give access to various services such as the ones provided in IMS. EPC consists essentially of a

Mobility Management Entity (MME), a Serving Gateway (S-GW) that interfaces with the E-UTRAN and a

PDN Gateway (P-GW) that interfaces to external packet data networks. EPC for LTE networks were

announced by numerous vendors beginning in February 2009, allowing operators to modernize their core

data networks to support a wide variety of access types using a common core network. EPC solutions

typically include backhaul, network management solutions, video solutions that monetize LTE investment

and a complete portfolio of professional services.

One leading vendor‘s installed Mobile Softswitch Solution (MSS) base of over 330 commercial networks

provides a strong foundation for growth through expansion and enables smooth evolution towards

VoLTE. Some vendors have a complete end-to-end solution portfolio (MSS, IMS-MMTel, EPC,

LTE/GSM/UMTS RAN) for providing telecom grade voice and video calling over LTE based on VoLTE

and circuit switched fallback (CSFB). As an example, a Single EPC solution can provide a series of

business solutions including bandwidth management, content delivery, smartphone signalling

optimization and network visualization, helping operators to easily evolve their networks from a pipe to a

smart mobile broadband network. Current Single RAN/EPC solutions support Rel-10 specifications and

will be compliant with Rel-11 specifications in 2014. A Single RAN Advanced LTE product in the market

integrates small cells (based on Rel-10 standardization); EPC (Rel-8); and VoLTE (Rel-9); as well as

professional services as part of its offering to network operators.

Dell‘Oro Group reported in August 2012 that significant growth is being driven by VoLTE projects which

exceeded $209 million over the previous four quarters on devices such as IMS Core devices and

Telephone Application Servers. ―The most important trend underway in the telecom voice market is

VoLTE. It is stimulating significant spending both in the wireless infrastructure, but also in the wireline

infrastructure,‖ said Chris DePuy, Analyst at Dell‘Oro. Three operators were commercially operating

VoLTE by the third quarter of 2012.19

Gabriel Brown, a senior analyst at Heavy Reading, wrote a white paper entitled, LTE/SAE & the Evolved

Packet Core: Technology Platforms & Implementation Choices, which provides insight into the key

considerations for EPC.

―Evolved Packet Core is critical to capturing the cost and performance benefits of LTE,‖ noted Brown. ―It

introduces demanding new requirements to the mobile core network and must support the robust mix of

services operators need to maximize return on LTE infrastructure investment. Suppliers with deep

expertise in both wireless and IP networking technology are well positioned to deliver and support this

leading edge equipment.‖

18 Voice-over-LTE Drives IMS Core Market in 1Q12, According to Exact Ventures, Fierce Wireless, 23 May 2012.

19 Voice over LTE Infrastructure Revenues Topped $200 Million in the Past Year, Cellular-News, 17 August 2012.

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Telstra, Australia was first to go live in September 2011 with a combined GSM, UMTS-HSPA, LTE core

and triple-access SGSN-MME pool based on a leading vendor‘s portfolio thereby leading in the

commercialization of the EPC.

The M2M market is beginning to develop in all areas. To support the development of M2M standards, a

new global organization called oneM2M was established by seven of the world‘s leading information and

communication technology (ICT) Standards Development Organizations (SDOs) in July 2012. The new

organization will develop specifications to ensure the global functionality of M2M — allowing a range of

industries to effectively take advantage of the benefits of this emerging technology. The specifications

developed by oneM2M will provide a common platform to be used by communications service providers

to support applications and services as diverse as smart grid, the connected car, eHeatlh and

telemedicine, enterprise supply chain, home automation and energy management and public safety. The

initial goal will be to confront the critical need for a common M2M Service Layer, which can be readily

embedded within various hardware and software, and relied upon to connect the myriad of devices in the

field with M2M application servers worldwide. Ultimately, the work of one M2M will drive multiple

industries towards the goals of lowering operating and capital expenses, shortening time-to-market,

creating mass-market economies of scale, simplifying the development of applications, expanding and

accelerating global business opportunities and avoiding standardization overlap.20

M2M Identity Modules (MIM) with Rel-9 M2M Form Factors (MFF) were being shipped around the world

in 2010 for devices now embarking wireless in vehicles and harsh environments where humidity and

vibration would not allow the traditional 2FF and 3FF to perform to the requirements. These MFF MIM

also include additional software features to enable the expected life expectancy for such devices.

In addition to the work by 3GPP in developing the standards for LTE (Rel-8 through Rel-12), other

organizations are also spearheading efforts to successfully deliver LTE to the global market. The LSTI

has provided support to ensure timely development of the LTE ecosystem. Early co-development and

testing with chipset, device and infrastructure vendors helped accelerate comprehensive interworking and

interoperability activities and the availability of the complete ecosystem. Some manufacturers support a

complete in-house ecosystem providing LTE chipsets, handsets and CPE, backhaul solutions and

experience in the deployment of OFDM/LTE mobile broadband networks.

While 3GPP Rel-9 focused on enhancements to HSPA+ and LTE, Rel-10 focuses on the next generation

of LTE for the ITU‘s IMT-Advanced requirements; both releases were developed nearly simultaneously by

3GPP standards working groups. One of the most significant industry milestones in recent years was the

final ratification by the ITU of LTE-Advanced (Rel-10) as 4G IMT-Advanced in November 2010.

Vendors anticipate that the steps in progress for HSPA+ will lead up to 168 Mbps peak theoretical

downlink throughput speeds and more than 20 Mbps uplink speeds in Rel-10. In 2010, the world‘s first

HSPA+ data call with a peak throughput of 112 Mbps was demonstrated by a leading vendor.

Vendors are already progressing beyond LTE with the next generation of technologies in Rel-10 for IMT-

Advanced, called LTE-Advanced, demonstrating that the evolution of LTE is secured and future-proof.

Detailed information on the progress of LTE-Advanced is provided in Section 5 of this paper.

20 Leading ICT Standards Development Organizations Launch oneM2M, ATIS press release, 24 July 2012.

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Milestones have already been achieved in the commercialization of Rel-10 and beyond. As early as

December 2008, researchers conducted the world‘s first demonstration of Rel-10 LTE-Advanced

technology, breaking new ground with mobile broadband communications beyond LTE. A leading

infrastructure company‘s researchers successfully demonstrated Relaying technology proposed for LTE-

Advanced in Germany. The demonstration illustrated how advances to Relaying technology could further

improve the quality and coverage consistency of a network at the cell edge – where users were furthest

from the mobile broadband base station. Relaying technology – which can also be integrated in normal

base station platforms – is cost-efficient and easy to deploy as it does not require additional backhaul.

The demonstration of LTE-Advanced indicated how operators could plan their LTE network investments

knowing that the already best-in-class LTE radio performance, including cell edge data rates, could be

further improved and that the technological development path for the next stage of LTE is secure and

future-proof.

Additionally, performance enhancements were achieved in the demonstration by combining an LTE

system supporting a 2X2 MIMO antenna system and a Relay station. The Relaying was operated in-

band, which meant that the relay stations inserted in the network did not need an external data backhaul;

they were connected to the nearest base stations by using radio resources within the operating frequency

band of the base station itself. The improved cell coverage and system fairness, which means offering

higher user data rates for, and fair treatment of, users distant from the base station, allows operators to

utilize existing LTE network infrastructure and still meet growing bandwidth demands. The LTE-Advanced

demonstration used an intelligent demo Relay node embedded in a test network forming a FDD in-band

self-backhauling solution for coverage enhancements. With this demonstration, the performance at the

cell edge could be increased up to 50 percent of the peak throughput.

In March 2010, LTE-Advanced was demonstrated with the world‘s fastest downlink speed of up to 1.2

Gbps with a prototype product containing some projected Rel-10 features. Another vendor recorded a

world speed record of 1.3 Gbps for TD-LTE and 1.4 Gbps for FD-LTE (Rel-10).

The industry‘s first live field tests of Coordinated Multipoint Transmission (CoMP), a new technology

based on network MIMO, were conducted in Berlin in October 2009. CoMP will increase data

transmission rates and help ensure consistent service quality and throughput on LTE wireless broadband

networks as well as on 3G networks. By coordinating and combining signals from multiple antennas,

CoMP will make it possible for mobile users to enjoy consistent performance and quality when they

access and share videos, photos and other high-bandwidth services whether they are close to the center

of an LTE cell or at its outer edges.

Next-generation modem processors to support both LTE-Advanced Rel-10 and HSPA+ Rel-9 features

have been announced by at least one leading vendor, and will support LTE carrier aggregation and the

full peak data rates of 150 Mbps for LTE Category 4 across a wide range of spectrum combinations. They

will also support DC-HSUPA which effectively doubles 3G data rates in the uplink. These modem

processors also support the Dual Band/Dual Cell HSPA+ feature, which enables HSPA+ operators to

aggregate 42 Mbps peak downlink user data rates across two frequency bands, such as 900 and 2100

MHz.

The LTE heterogeneous network 3GPP work item was completed and approved in Rel-10, and has been

demonstrated at numerous industry events including MWC 2012 with:

Focus on co-channel heterogeneous network scenarios and small cell expansion

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Enabling features such as time-domain resource partitioning (inter-cell interference coordination

eICIC)

Performance specifications established by the work group for the required advanced receiver

devices

Vendors are making tremendous progress with commercial products to support the heterogeneous

networks and the small cell architecture of the future networks. Telefonica and a leading vendor

demonstrated the world‘s first heterogeneous network comprised of LTE macrocells and metrocells

operating at 2.6 GHz in shared spectrum in February 2012. Vodaphone implemented an LTE-Advanced

heterogeneous network solution on an LTE network in Spain that featured small base station products,

cell radius virtual extensions and co-channel interference suppression.

In optimizing networks for the tremendous data traffic overload, Wi-Fi offload is being addressed by the

industry as a complementary solution to the mobile network. One vendor‘s branded lightRadio Wi-Fi

makes it easy for smartphones, tablets and other connected devices to move seamlessly between cellular

networks and hotspots at home, in coffee shops and other locations.

Other developments for LTE and LTE-Advanced include the following:

World‘s first launch of ANR into commercial use on LTE network in Cologne (February 2012)

World‘s first SingleRAN WiMAX/LTE commercial network (Mobily in Saudi Arabia)

World‘s first SingleSON trial on Hong Kong‘s GUL network (June 2012)

World‘s first inter-band LTE-Advanced Carrier Aggregation (10 MHz @ 800 MHz and 20 MHz @

2.6 GHz) conducted by Vodaphone with peak DL rates over 225 Mbps

World‘s first LTE-Advanced Carrier Aggregation (20 MHz @ 2.6 GHz and 20 MHz @ 2.6 GHz,

4x4 MIMO) based on LTE TDD with peak DL rates over 520 Mbps by leading vendor

The key elements of success for new technologies include a cohesive ecosystem -- working together --

including networks, devices and applications. This is now extending into partnerships in vertical and

horizontal industries soon to be impacted by the growth of M2M. Infrastructure vendors are partnering

with many leading application vendors, OEMs and content providers to make sure operators can fully

exploit an LTE network‘s potential to increase operator revenues. Foundries have been established by

many companies to innovate and develop successful business opportunities utilizing mobile technology.

All of this success is centered on the technology standards developed by 3GPP as a global platform for

connectivity.

Detailed information on the progress of the 3GPP standards by members of 4G Americas is presented in Appendix A of this white paper.

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3 THE GROWING DEMANDS FOR WIRELESS DATA APPLICATIONS

―Mobile data services are well on their way to becoming necessities for many network

users. Mobile voice service is already considered a necessity by most, and mobile data,

video, and TV services are fast becoming an essential part of consumers‘ lives. Used

extensively by consumer as well as enterprise segments, with impressive updates in both

developed and emerging markets, mobility has proven to be transformational. Mobile

subscribers are growing rapidly and bandwidth demand due to data and video is

increasing. Mobile M2M connections continue to increase. The next 5 years are projected

to provide unabated mobile video adoption despite uncertain macroeconomic conditions

in many parts of the world. Backhaul capacity must increase so mobile broadband, data

access, and video services can effectively support consumer usage trends and keep

mobile infrastructure costs in check.21

Deploying next-generation mobile networks requires greater services portability and

interoperability. With the proliferation of mobile and portable devices, there is an

imminent need for networks to allow all these devices to be connected transparently, with

the network providing high-performance computing and delivering enhanced real-time

video and multimedia. This openness will broaden the range of applications and

services.‖22

Data traffic significantly outweighs voice traffic; it more than doubled in 2011 and is expected to more

than double again in 2012, according to Cisco‘s Visual Networking Index. The proliferation of high-end

handsets, tablets and laptops on mobile networks is a major generator of traffic because these devices

offer the consumer content and application not supported by previous generations of mobile devices.23

With the success factors of high-speed mobile broadband networks, Internet-friendly handheld devices

(smartphones) and a wide variety of applications in place, consumer adoption curves for wireless data are

showing the ―hockey stick‖ effect on charts and, as wireless voice ARPU hits the flat rate ceiling, data

ARPU is proving to be the next big growth engine for mobile operators.

21 Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update 2011-2014, Cisco, 14 February 2012.

22 Ibid.

23 Ibid.

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Figure 3.1. Global Mobile Data Traffic 2011 to 2016.24

In its annual Visual Networking Index Forecast 2011-2016, Cisco Systems reported that global mobile

data traffic will grow 110 percent year-over-year during 2012. The report predicts that mobile data traffic

will grow at a compound annual growth rate of 78 percent from 2011 to 2016, which is equivalent to the

consumption of 10.8 Exabytes per month by the end of 2016 (see Figure 3.1).25

The exponential increase in data consumption will be driven by powerful smartphones and tablets

capable of running on average speeds of 5.244 Mbps on LTE and Wi-Fi networks.26

According to Cisco,

4G LTE will represent only 6 percent of connections, but 36 percent of total traffic by the end of the five-

year forecast period.27

In the U.S. alone, Chetan Sharma reported that the overall data consumption in the U.S. market in 2012

is expected to exceed 2000 Petabytes or 2 Exabytes. The smartphone data consumption at some

operators is averaging close to 850 MB/month and as this moves to the 1 GB range with family data plans

kicking in, data tiers are expected to get bigger both in GBs and dollar amount.28

Sharma further predicts

that mobile data traffic is likely to slow down to roughly 80 percent after doubling for the last five years

and that in 2012, voice traffic will dip below 10 percent of the overall traffic.

24 Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update, Cisco, 14 February 2012.

25 Cisco: Mobile Data Traffic to Grow 110 percent in 2012, Newsfactor, 14 February 2012.

26 Ibid.

27 Ibid.

28 US Mobile Data Market Update Q2 2012, Chetan Sharma, 13 August 2012.

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Considering that there were an estimated 5.63 billion 3GPP subscriptions worldwide by June 2012,

including an estimated one billion HSPA subscriptions, the tremendous opportunity for the uptake of

wireless data services and applications is clear.29

In this section, the growing demands for wireless data are demonstrated by examples of increased

operator ARPU from data services, uptake of mobile broadband applications for consumers and the

enterprise and analysts‘ predictions for their growth as well as the introduction of a greater variety of

wireless data devices such as smartphones, tablets and machine–to-machine (M2M) or connected

devices.

Using AT&T as an example for the growth rate of mobile data traffic, over the past five years, AT&T‘s

wireless data traffic has grown 20,000 percent.30

According to John Donovan, senior executive vice

president -- AT&T technology and network operations, ―Running year-end numbers that show the same

result as previous years is typically a sign of stability. But when the year-end numbers show a doubling of

wireless data traffic from 2010 to 2011 – and you‘ve seen at least a doubling every year since 2007 – the

implications are profound.‖ He added that the growth is now driven primarily by smartphones. Add to that

new customer additions and the continuing trend of upgrades from feature phones to smartphones, and

you have a wireless data tsunami.31

With the demand for mobile data outpacing forecasts, the industry urgently needs to support the effort to

find more spectrum. FCC Chairman Julius Genachowski has warned that that the explosion in innovation

in mobile computing could come to a halt if the government cannot provide more bandwidth to mobile

broadband carriers and their customers.32

―Almost three years ago we started sounding the alarm, at the time to some debate,‖ Genachowski said

at the 2012 CES conference. ―But in a world of tablets, smartphones, and now machine-to-machine

communications, the debate has been settled. The plain fact is that aggregate demand is increasing at a

very rapid pace, while [spectrum] supply is flat.‖33

3.1 WIRELESS INDUSTRY FORECASTS

Mobile data traffic is growing at an incredible rate. According to industry analyst Chetan Sharma, in an

attempt to stay ahead of the demand, significant planning needs to go into dealing with the bits and bytes

that are already exploding. New technical and business solutions will be needed to manage the growth

and profit from the services.34

The U.S. has become ground zero for mobile broadband consumption and

data traffic management evolution, according to industry analyst Chetan Sharma. Data traffic has

surpassed voice traffic and the current usage and data consumption trends are pushing wireless carriers

to accelerate their plans for next-generation services and develop long-term strategies to address

network congestion issues.35

29 World Cellular Information Service, Informa Telecoms & Media, June 2012.

30 Wireless Data Volume on our Network Continues to Double Annually, AT&T Innovation Space, 14 February 2012.

31 Ibid.

32 At CES, FCC chair warns of mobile ‘spectrum crunch’ -- for the third time. CNET, 12 January 2012.

33 Ibid.

34 State of the Global Mobile Union 2012. Chetan Sharma, April 2012.

35 US Mobile Data Market Update Q2 2010, Chetan Sharma, 10 August 2010.

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Forecasts by Infonetics show that total mobile broadband subscribers will pass the 6 billion mark in 2012

and approach 7 billion by 2016.36

Infonetics also projects that more than 200 million traditional voice

access lines will get dropped over the next five years as people continue to ―cut the cord.‖37

There will be

a continuing shift in the percentage of 3G mobile broadband versus 2G connections. Informa Telecoms &

Media predicts that by the end of 2017, the global 3G mobile broadband market will include over 5 billion

subscriptions, of which 4.7 billion will be 3GPP family technologies with 91 percent share of market as

shown in Figure 3.2. This substantial number of mobile broadband connections will serve to feed the

growth of data services.38

Figure 3.2. Mobile Broadband Forecast 2017.39

A wave in Internet connectivity growth is being driven by the cellular industry; according to research from

the Pew Internet and American Life Project, 17 percent of cell phone owners do most of the online

browsing on their phones rather than a computer or other device.40

Cisco predicts that the number of

mobile-connected devices will exceed the number of people on earth by the end of 2012.41

Data traffic continues to increase across all global networks, and a report by iGR forecasts 16 times

growth in global mobile traffic from 433,000 terabytes per month in 2011 to nearly 7 million terabytes per

36 Mobile Broadband Subscribers up 50%. Infonetics. 16 June 2012.

37 Ibid.

38 WCIS+ Subscription Forecast Tool. Informa Telecoms & Media, May 2012.

39 Ibid.

40 Report: Internet Access Skyrockets on Mobile. WirelessWeek. 27 June 2012.

41 The Number Of Mobile Devices Will Exceed World’s Population By 2012 (& Other Shocking Figures). Tech Crunch, 14 February

2012.

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month in 2016. This forecast is for mobile data networks, including 3G and 4G LTE, but does not include

Wi-Fi traffic offloaded from the macro network.42

In its February 2012 Visual Networking Index, Cisco estimates that mobile video will generate much of the

mobile traffic growth through 2016.43

Cisco reported that mobile video traffic was 52 percent of the traffic

by the end of 2011.44

Mobile video is predicted to grow at a CAGR of 90 percent between 2011 and 2016.

Cisco further predicts that of the 10.8 Exabytes per month crossing the mobile network by 2016, 7.6

Exabytes will be due to video.45

Perhaps one of the more interesting commentaries on the mobile industry comes from analyst Chetan

Sharma: ―In the last couple years, the realization in the industry set is that mobile is going to really

dominate the world. Very quickly, we are at another pivot point wherein the mobile first doctrine is going

to move to mobile only. It is not that the desktop world will disappear into oblivion. Far from it. But the

investments, strategy, and execution will be driven by mobile. In 3 to 5 years, with few exceptions, if a

company is not doing the majority of its digital business on mobile, it is going to be irrelevant. There are

already several data points to support the theory. Leading apps and services like Facebook, Twitter,

Pandora are already operating in the world where mobile is driving the majority of their user engagement.

Expedia, Fandango and others are seeing the early signs of migration into the mobile dominated world.

Starting soon we will start to see businesses with mCommerce Revenues > eCommerce Revenues.‖46

3.2 WIRELESS DATA REVENUE

Without question, the mobile world is shifting from voice to data as mobile operators migrate subscribers

to data service plans and smartphones.47

Total global mobile data revenues surpassed $300 billion in

2011.48

Infonetics Research forecasts that the mobile services market will grow to $976 billion by 2016,

with a large portion of the growth coming from mobile broadband services.49

The U.S. continues to be a strong market for operator data revenues. The U.S. average industry

percentage contribution of data to overall ARPU exceeded the 40 percent mark in the first quarter of 2012

and is likely to exceed the 50 percent mark in 2013, according to industry analyst Chetan Sharma. In the

first quarter of 2012, data revenues at Verizon Wireless, AT&T and T-Mobile USA grew 19 percent year

over year to $14.2 billion, representing 41 percent of service revenues.50

U.S. data revenues grew to 42

percent in the second quarter of 2012.51

Chetan Sharma predicts that in early 2013, one should expect

data and voice revenues will be roughly equal for the U.S. carriers.52

42 New iGR study forecasts that Global Mobile Data Traffic will reach 7 million terabytes per month by 2016. iGR. 27 June 2012.

43 Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update, 2011-2016. 14 February 2012.

44 Ibid.

45 Ibid.

46 U.S Mobile Data Market Update Q2 2012, Chetan Sharma, 13 August 2012.

47 Mobile Broadband to push mobile services to $976 bn. CIOL, 16 July 2012.

48 Chetan Sharma State of the Global Mobile Union 2012. Chetan Sharma, April 2012.

49 Mobile Broadband to push mobile services to $976 bn. CIOL, 16 July 2012.

50 Verizon’s Share Data: Good for Industry, but Some Customers Will Bail. Vision2Mobile, 13 July 2012.

51 US Mobile Data Market Update Q2 2012, Chetan Sharma, 13 August 2012.

52 US Mobile Data Traffic to Top 1 Exabyte, GigaOm, 7 November 2010.

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Sharma reported that the U.S. mobile data market grew 5 percent quarter over quarter and 19 percent

year over year to reach $19.3 billion in 2Q 2012.53

Data is now more than 40 percent of the U.S. mobile

industry service revenue. Sharma forecasts that for the year 2012, mobile data revenues in the U.S.

market will reach $80 billion.54

AT&T‘s total wireless revenues, which include equipment sales, were up 4.8 percent year over year to

$16.4 billion. Wireless data revenues – driven by Internet access, access to applications, messaging and

related services – increased by $1.0 billion, or 18.8 percent from the year-earlier quarter to $6.4 billion.

Postpaid data ARPU reached $28.04, up 14.1 percent from the 2Q 2011. AT&T sold 5.1 million

smartphones in the second quarter, representing 77 percent of postpaid device sales. At the end of the

quarter 61.9 percent or 43.1 million of AT&T‘s postpaid subscribers had smartphones, up from 49.9

percent or 34.1 million a year earlier. AT&T‘s ARPU for smartphones is twice that of non-smartphone

subscribers. More than one-third of AT&T‘s postpaid smartphone customers use a 4G-capable device.55

T-Mobile USA‘s total branded contract ARPU was $57.35 in the second quarter of 2012 and data ARPU

increased 14.6 percent year-on-year to $19.16 representing 33.4 percent of total revenues. 3G/4G

smartphones sold increased 31 percent year-on-year and accounted for 71 percent of units sold and 54

percent of total customers.56

In Canada, Rogers Wireless had data revenue growth of 13 percent at the second quarter of 2012 and

net postpaid subscriber additions totaled 87,000, helping drive wireless data revenue to now comprise 39

percent of wireless network revenue compared to 35 percent in the same quarter last year. During the

second quarter, Rogers Wireless activated 629,000 smartphones, of which approximately 36 percent

were for new subscribers. This resulted in subscribers with smartphones, who typically generate ARPU

nearly twice that of voice only subscribers, representing 63 percent of the overall postpaid subscriber

base as of June 30, 2012, up from 48 percent as of June 30, 2011.57

Latin America ended 2Q 2012 with an average mobile penetration of 111 percent represented by 655

million subscriptions. The three major wireless players are America Movil with a 35 percent market share

(230 million subscriptions), followed by Telefonica with a 26 percent (173 million subscriptions) and TIM

with a 14 percent (92 million subscriptions).58

According to Informa Telecoms & Media, the average data contribution to service revenues in Latin

America by the end of 2011 amounted to 25 percent representing nearly US$6 Billion. The highest data

contribution was reported from Argentina (50 percent) followed by Venezuela (36 percent), Mexico (30

percent), Ecuador (28 percent), Brazil (26 percent), Peru (25 percent), Colombia (23 percent) and Chile

(22 percent). The average monthly ARPU at the end of 2011 in Latin America was US$14.59

America Movil‘s 2Q 2012 results reported that at constant exchange rates, second quarter revenues

increased 6.3 percent year-on-year led by mobile data and by Pay-TV revenues, up 32 percent and 23

percent respectively. On the other hand, Telefonica‘s 2Q 2012 results reported that growth of mobile

53 US Mobile Data Market Update Q1 2012. Chetan Sharma, May 2012

54 Ibid.

55 AT&T Second Quarter Financial Results, AT&T, 24 July 2012

56 T-Mobile USA Reports Second Quarter 2012 Operating Results, 9 August 2012.

57 Rogers Report Second Quarter 2012 Financial and Operating Results. Rogers Communications, 24 July 2012.

58 Informa Telecoms & Media, Data Metrics, June 2012.

59 Ibid.

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broadband services remained as a key growth driver, with a year-on-year increase in mobile data

revenues of 27.3 percent (25.9 percent during the quarter), now accounting for 29 percent of mobile

service revenues (up three percentage points year-on-year). Rising connectivity revenues bolstered the

growing importance of non-SMS data revenues, which accounted for 55 percent of data revenues (up two

percentage points year-on-year).60

3.3 MOBILE BROADBAND DEVICES

As of February 2012, 50 percent of Americans adults own a smartphone, up from 36 percent in February

2011.61

The U.S. is the leading market for mobile broadband and serves as an indication of what is in

store for other markets. Current estimates of global smartphone penetration range from around 10 to 15

percent and continue to rise.62

In other words, the opportunity that lies ahead is still substantial.

In the second quarter of 2012, smartphone penetration exceeded 50 percent for the first time in the U.S.

Market and smartphone sales continued at a brisk pace crossing the 70 percent mark (of devices sold) in

that same quarter.63

Total subscriptions for data-heavy devices reached around 850 million at the end of

2011 and are expected to reach around 3.8 billion in 2017 according to estimates by Ericsson. This

includes smartphones, mobile PCs and tablets with cellular connectivity.64

According to CTIA, participating carriers reported 295 million wireless data-capable devices on their

networks at year-end 2011, equivalent to 95 percent of all reported units and representing an increase

from 270 million reported as of year-end 2010.65

More than 111.5 million of those reported devices are

smartphones and more than 20.2 million are wireless-enabled laptops, tablets or wireless broadband

modems.66

The cellular industry is driving a wave in Internet connectivity growth; the global number of Internet

connected devices surpassed the number of connected computers in 2010 and continues to grow at a

much faster rate.67

Cisco predicts that by the end of 2012, there will be more Internet-connected mobile

devices that people on earth.68

The quantities and variety of HSPA devices continue to explode. As of July 2012, there were a reported

3,362 commercial HSPA devices launched worldwide from 271 suppliers.69

Announcements regarding

commercial HSPA+ handsets began in 2010 and by July 2012, there were 245 HSPA+ devices launched.

HSPA+ modems already offer peak theoretical download speeds of up to 21 Mbps and the first 42 Mbps

devices entered the market late in 2010.

60 Informa Telecoms & Media, Data Metrics, June 2012.

61 50 Wireless Facts. CTIA, May 2012.

62US Smartphone Penetration hits 50 percent. Business Insider Intelligence, 30 March 2012.

63 US Mobile Data Market Update Q2 2012, Chetan Sharma, 13 August 2012.

64 Traffic and Market Report, Ericsson, June 2012.

65 Reply Comments of CTIA - The Wireless Association in the Matter of Wireless Telecommunications Bureau Seeks Comment on

the State of Mobile Wireless Competition. CTIA, 30 April 2012. 66

Ibid. 67

Internet Connected Devices About to Pass the 5 Billion Milestone. IMS Research, 19 August 2010. 68

Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update, 2011-2016. 14 February 2012. 69

Fast Facts, GSA, 11 July 2012.

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LTE subscriptions continue to be big drivers behind data applications and devices, with LTE smartphone

sales accounting for 7 percent of all smartphone sales in 4Q 2011, according to NPD Group. As of July

2012, there were a reported 417 LTE user devices launched by 67 suppliers. This includes 267 LTE-

HSPA, HSPA+ or DC-HSPA+ devices; 83 LTE smartphones including frequency/ carrier variants; and 68

user devices that can operate in TDD mode.70

"The overall market for tablets continues to grow significantly with household penetration increasing for

the foreseeable future," said Kevin Tillmann, senior research analyst, Consumer Electronics Association.

"Rarely has a new device category been so quickly embraced by consumers, businesses and

education."71

Ownership rates for tablet computers reached 29 percent in the second quarter of 2012, according to

research by CEA, an increase of nine percentage points from the end of the previous quarter.

Approximately two-thirds of online consumers expect to purchase a tablet sometime in the future, with

nearly half (45 percent) planning to purchase a tablet within the next two years. Unit sales of tablets in the

U.S. are expected to reach 68.5 million in 2012.72

Consumers continue to use their tablets primarily for entertainment activities and watching movies was

the most popular use of a tablet according to the CEA report. However, social networking climbed to the

second most popular activity in the second quarter 2012, surpassing reading books, which fell to fourth;

listening to music remained third.73

The spread of mobile broadband networks, the emergence of new mobile device categories and the

expansion of mobile service propositions is establishing an "Internet of things" (IOT). Within the next

decade, billions of new devices will be connected to mobile networks, providing consumers and

businesses with an array of applications, services and experiences. This will usher in the "Connected

Future" in which users are always connected, anywhere, and at any time.

Products such as game consoles, ATMs and a host of other M2M applications, eBook readers, digital

picture frames and connected cameras have already illustrated the possibilities in creating new mobile

computing categories for the enterprise and consumer. In a world where some experts and companies

foresee a future of 50 billion connected devices by 2020,74

there is good reason to anticipate that the

variety and quantity of connected devices will only be limited by the imagination. Yankee Group predicted

that a new segment of Connected Devices, including enterprise machine to machine (M2M) connections,

tablets and eReaders, will grow to more than 800 million units by 2015.75

Forecasts indicate that the worldwide tablet marketplace will continue to see rapid growth. It is estimated

to be much bigger in 2012, with worldwide sales forecast to total 118.9 million units in 2012, a 98 percent

70 Fast Facts, GSA, 11 July 2012

71 USA Ownership of Tablet Computers Increases, Cellular-News, 31 July, 2012.

72 Ibid.

73 Ibid.

74 M2M: The Direct Opportunity for Rural and Small, Facilities-Based Mobile Operators. WirelessWeek 03 July 2012.

75 Mobile Broadband Connected Future: From Billions of People to Billions of Things. Yankee Group and 4G Americas, October

2011.

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increase from 2011 sales of 60 million units, according to Gartner Inc.76

Forrester Research believes that

760 million tablets will be sold in 2016, a 46 percent compound annual growth rate.77

Figure 3.3. Bandwidth Drivers.

The dramatic increase in bandwidth is exemplified in Figure 3.3, where the combined effect of

sophisticated devices and rich applications results in typical monthly usage of 1.8 Gigabytes (GB).

3.4 MOBILE BROADBAND APPLICATIONS

The mobile phone continues to be the device of choice for communication whether via voice, SMS, IM, or

MMS/video, thereby creating communities of like-minded users who readily create, distribute and

consume content. It is also rapidly becoming an important source of consumption of entertainment, news,

social networking and ad content as well as content generation, whether via video recordings,

photographs or audio recordings. Mobile now ranks first in media consumption among Americans with 2.4

hours of the reported 9 hours average Americans spent consuming media on mobile devices -- this is

more than a quarter of time spent on mobile, outpacing TV (2.35 hours), PCs (1.6 hours) and any other

channel. According to InMobi, mobile has been thoroughly adopted across the U.S. consumer market

due in large part to three convenience factors. Sixty-five percent of users say they prefer mobile because

"it's easy to use," 56 percent say that they use mobile most because it's constantly with them, and finally

many agree that a mobile device is a more private way to consume information and communicate. These

76 Gartner Says Worldwide Media Tablets Sales to Reach 119 Million Units in 2012. Gartner, 10 April 2012.

77 Deloitte: Mobile Britons using multiple tablets. CBR, 16 July 2012.

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factors align to make mobile easy to use while doing other activities -- 70 percent use their mobile device

while watching TV, confirming it's an always-on connected device.78

According to a market study by Informa Telecoms & Media, in 2016 mobile phone users will (on average)

consumer 6.5 times as much video, over eight times as much music or social media, and nearly 10 times

as many games as in 2011.79

Mobile messaging continues to be a major traffic driver and its growth continues to progress at a healthy

pace. While SMS and MMS messaging traffic will continue to grow, it is doing so at a much slower pace

than most other mobile data services. Globally, Informa forecasts that SMS traffic will total 9.4 trillion

messages by 2016, up from 5.9 trillion messages in 2011. However, SMS‘s share of global mobile

messaging traffic will fall from 64.1 percent in 2011 to 42.1 percent in 2016. At the same time, global

mobile instant messaging traffic will increase from 1.6 trillion messages in 2011 to 7.7 trillion messages in

2016, doubling its share of global messaging traffic from 17.1 percent in 1022 to 34.6 percent in 2016.80

Even with the increased use of instant messaging, SMS remains the heavy hitter of mobile, with a 14

percent increase in the number of SMS messages sent in 2011 compared with 2010.

More than 2 trillion SMS messages were sent in the U.S. in 2011, which equates to more than 6 billion

SMS messages sent per day. Text messaging users send or receive an average of 35 messages per day.

Although by 2017 SMS will be less dominate in mobile content spending than today, it will still remain

significant.81

To say that the number and usage of mobile apps are increasing is a huge understatement. As

smartphone penetration grows, average mobile users will consume 14 times more megabytes of

applications by 2016, according to Informa Telecoms & Media. The average smartphone has 22 apps and

the average feature phone has 10 apps.82

Every day, 46 million mobile applications are downloaded from

Apple‘s App Store83

and this is consistent with an increasing number of app downloads at other stores.

The pace of new app development far exceeds the release of other kinds of media content. ―Every week

about 100 movies get released worldwide, along with about 250 books,‖ said Anindya Datta, the founder

and chairman of Mobilewalla. ―That compares to the release of around 15,000 apps per week.‖84

According to Mobilewalla, two weeks before the release of app No. 1,000,000, an average of 543 apps

were released each day for Android-based devices, and an average of 745 apps hit the market daily for

the iPhone, iPad and iTouch. The total for the two weeks across the Apple, Android, BlackBerry and

Windows platforms was 20,738.85

In addition to the increasing number of apps, the increase of high-bandwidth apps like video are creating

greater network demands. Users no longer are limited to watching low-resolution, non-bandwidth-

intensive videos on their mobile devices; now the Apple iPad and new-generation mobile tablets have the

78 Mobile Reigns Supreme in U.S.A. Media Consumption, Cellular-News, 15 August 2012.

79 Top Three Data Traffic Sources on Mobile Phones. Digital Lifescapes, 28 May 2012.

80 SMS will remain more popular than mobile messaging apps over next five years. FierceMobileContent, 29 May 2012.

81 SMS usage remains strong in the US: 6 billion SMS messages are sent each day. Forrester Blogs, 19 June 2012.

82 50 Wireless Quick Facts. CTIA, May 2012.

83 46M apps are downloaded from Apple’s App Store every day. Kleiner Perkins Claufield and Byers partner Mary Meeker,

VentureBeat, 30 May 2012. 84

One Million Mobile Apps, and Counting at a Fast Pace. The New York Times, 11 December 2011. 85

Ibid.

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ability to strain mobile networks with heavy video data consumption. Additionally, large-screen mobile

devices are increasing demand for high-quality mobile video. According to Yankee Group, half of iPad

owners watch full-length TV episodes, indicating that consumers are no longer limited to watching clips or

music videos on devices.86

Juniper Research forecasts by 2014 the number of streamed mobile TV users on smartphones will

increase to 240 million87

and that growing user satisfaction with mobile TV on tablets will push average

monthly viewing times to 186 minutes per month in 2014.88

Juniper Research reports that as users

become more accustomed to viewing content on tablets, and as a wider range of content becomes

available on tablets, consumers will increase their viewing times. This increase will be most apparent in

North America where there is already significant mobile TV usage, and where internet TV services such

as Hulu and Netflix are extremely popular. A tablet is the ideal device for consuming mobile TV content as

its large screen size and intuitive user interface allows almost everyone to browse for and watch

content.89

Mobile users will consume 6.5 times as much video by 2016, over eight times as much music and social

media, and nearly 10 times as many games.90

According to mobile analytics software company Flurry

Analytics, in 1Q 2012, mobile gaming app sessions for iOS and Android devices worldwide grew 20.5

times over the level observed in 1Q 2010.91

A report by InMobi found that U.S. mobile users are acclimating to mobile ads; mobile ads now have the

largest impact throughout the purchase process for U.S. consumers with 59 percent of consumers saying

they are influenced by mobile ads, followed by 57 percent influenced by TV ads. Mobile advertising is

proving to be effective as the majority of these users admit they have been introduced to something new

via their mobile device (53 percent) and a significant number are ending up buying goods on their mobile

device (21 percent), making mobile media consumption the most influential channel for U.S. consumers‘

purchasing decision process from beginning to end.92

Mobile advertising drives mobile buying. In less than one year m-commerce grew 21 percent -- up from

38 percent to 59 percent since 4Q 2011. Commerce behavior is extending past digital goods, and now

includes physical goods, services and bill payments and it is predicted that 71 percent of users will spend

money on a mobile related activity over the next year. Anne Frisbie, Vice President and Managing

Director, North America for InMobi comments, "We expect the trend of ever increasing media

consumption on mobile devices to continue, and even accelerate as advances in mobile rich media

deepens user engagement by offering a better overall user experience. Marketers are taking notice and

are increasingly investing in mobile to target consumers where they are spending most of their time

consuming media."93

Cellular machine-to-machine (M2M) connections will exhibit explosive growth between 2012 and 2020,

according to research by Strategy Analytics. Cellular M2M connections will increase from 277 million in

86 Tablets, More Content Power Mobile Video Growth. Mediapost, 28 June 2012.

87 240 million Mobile Smartphone Users to Stream TV Services by 2014. Juniper Research, 8 May 2012.

88 Mobile TV Viewing to Reach 3 Hours per Month on Tablets by 2014. Juniper Research, 6 March 2012.

89 Ibid.

90 Mobile data traffic takes off, outpacing revenue opportunities. Mobile Marketer, 16 May 2012.

91Smartphones Growth Paves Way for Mobile Video Explosion. eMarketer, 5 June 2012.

92 Mobile Reigns Supreme in USA Media Consumption, Cellular-News, 15 August 2012.

93 Ibid.

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2012 to 2.5 billion in 2020, a constant annual growth rate (CAGR) of 30 percent according to projections.

―We seem to have been at the cusp of an explosion in M2M for many years, without it being realized, but

finally changes are happening that will enable the M2M market to show real growth over the forecast

period,‖ stated report author Andrew Brown.94

Vertical markets have been taking major steps to make use of the benefits offered by the mobile

computing space. Significant work is taking place in areas such as mHealth, mRetail, mCommerce,

mEducation, mEnergy, and others. Innovative startups have made use of the computing capabilities of

devices to turn them into full-fledge medical instruments.

Strategy Analytics‘ director of mobility Kevin Burden commented, ―Whether monitoring patients or smart

meters, the ubiquity of mobile data combined with M2M service capabilities is enabling real world

changes that help us more effectively distribute resources, as well as proactively understand the world

around us.‖ Strategy Analytics points out primary vertical market growth in mHealth in both developed

and developing countries as well as in both dedicated devices and mobile handsets; smart metering and

telematics are also cited as key drivers to M2M growth.95

In July 2012, a new standards body was launched to accelerate the smooth deployment of M2M services.

The organization, oneM2M, was established to develop the technical specifications for future M2M

services, allowing the industry to benefit from greater interoperability. The specifications developed by

oneM2M will provide a common platform that can be used by communications service providers to

support applications and services such as the smart grid, connected car, eHealth and telemedicine, the

enterprise supply chain, home automation and energy management and public safety.96

Further comment by Andrew Brown of Strategy Analytics supports this development for standardization,

―Carriers‘ development of global connectivity platforms, efforts to standardize the M2M service layer, such

as the [one] M2M initiative and government regulation, will all help to realize the potential of the M2M

market.‖97

As previously covered in this section, data traffic is expected to continue growing significantly. The

introduction of laptops, tablets and high-end mobile handsets onto mobile networks is a key driver of

traffic, since they offer content and applications not supported by the previous generations of mobile

devices. The industry is faced with development of solutions to address the good news of explosive

mobile traffic. One solution is the reconfiguration of networks to include small cells.

3.5 SMALL CELL GROWTH

The fast-growing wireless data usage discussed in this section is placing high throughput/capacity

demands on current 3G macro networks and is expected to place similar high capacity demands on LTE

as LTE is deployed. Further, the demand for higher user speeds leads to coverage challenges, especially

for indoor users. While enhancements to HSPA (through HSPA+) and LTE (through LTE-Advanced) will

94 Research: Cellular M2M Connections to Grow 30% a Year to 2020, telecompetitor.com, 15 August 2012.

95 Ibid.

96 ICT standards bodies herald launch of oneM2M. TelecomEngine, 25 July 2012.

97 Research: Cellular M2M Connections to Grow 30% a Year to 2020, telecompetitor.com, 15 August 2012.

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help address these high throughput/capacity demands, small cell solutions will serve as an additional

means of addressing the fast-growing wireless data usage demands.

Small cells are low-power wireless access points that operate in licensed spectrum, are operator-

managed and feature edge-based intelligence.

Source: www.smallcellforum.org

Figure 3.4. Types of Small Cells.

Types of small cells, shown in Figure 3.4, include femtocells, picocells, microcells and metrocells– broadly

increasing in size from femtocells (the smallest) to microcells/metrocells (largest). According to Small Cell

Forum, small cells are expected to grow from 3.2 million in 2012 to 62.4 million by 2016 – a 2000 percent

(or 20x) increase – constituting 88 percent of all base stations globally.98

Femtocells are very low-power small cellular base stations that are typically deployed in residential/home

environments, or sometimes in enterprise settings, using broadband connections for backhaul and are

intended to extend coverage and offload the mobile macro network, particularly through indoor

deployments (typically covering less than 50 meters). Femtocells constituted over 80 percent of the 4.6

million small cells deployed globally across the 41 operator deployments as of June 2012 – compared to

5.6 million conventional macrocells. By the close of 2012, an expected 6.4 million small cells will be

deployed – 86 percent of which will be femtocells – thus outnumbering the predicted 6 million macrocells

worldwide. Femtocells will alone outnumber all macrocells by 1Q 2013.99

Picocells/metrocells/microcells range in power but are generally higher power than femtocells, and have a

wide range of application from indoor deployments for larger businesses/enterprises or shopping malls

(typically covering less than 200 meters) to filling holes in macrocell coverage (typically covering about 1

km) as well as for offloading macro traffic. The architecture for pico/metro/microcells also can vary, where

some solutions are built up from the femtocell architecture (therefore, H(e)NB architecture) while others

are built down from the macro architecture. However, unlike femtocells for home/residential,

pico/metro/microcells are owned and managed by a mobile network operator and typically used in public

or open access areas to augment the capacity or coverage of a larger macro network (although can also

be used for large enterprise applications with closed access). Available in both indoor and outdoor

versions, many pico/metro/microcells are plug-and-play capable and use Self-Organizing Network (SON)

technology to automate network configuration and optimization, significantly reducing network planning,

deployment and maintenance costs. While indoor versions use an existing broadband connection to

backhaul traffic to a core network, outdoor versions may be opportunistically deployed to take advantage

98 Small Cell Forum, 28 February 2012.

99 Small Cell Forum, 26 June 2012.

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of existing wireline or wireless sites and backhaul infrastructure, such as Fiber to the Node (FTTN), Fiber

to the Home (FTTH), Very-high-speed Digital Subscriber Line (VDSL) street cabinets and DSL backbone.

Since pico/metro/microcells use licensed spectrum and are part of the MSP‘s larger mobility network, they

provide the same trusted security and quality of service (QoS) as the macro network. With seamless

handovers, users can roam from metrocells to the macro network and the reverse. Pico/Metro/Microcells

also deliver the same services as the macro network (for example, voice, SMS and multimedia services),

and support APIs that may be used for developing new, innovative services. In short, metrocells promise

to be the ideal small cells for network offloading.

Informa Telecoms & Media expects the small cell market to experience significant growth, reaching just

under 60 million femtocell access points in the market by 2015 (see Figure 3.5). LTE is expected to be

the biggest driver for small cells, which will be predominantly deployed for coverage and capacity in high

traffic areas.

Figure 3.5. Small Cell and Macrocell Forecasts.

The small cell market saw numerous developments in 2012. This included femtocell (residential small

cells) deployments from Vodafone Portugal, 3 U.K, Free in France, and regional U.S. operator Mosaic

Telecom, while Telefonica planned to deploy small cells across its European and South American territories

and China Mobile began a rollout of femtocells in 2012.

In the public access small cell market, SK Telecom rolled out the world‘s first LTE small cell deployment

while AT&T, Sprint and China Mobile have all committed to rolling out 3G small cell services – AT&T and

Sprint planned to launch late in 2012. Verizon Wireless also announced intentions to launch LTE public access

small cells in the future while Sprint expected to launch its first LTE designs closer to the end of 2012.100

100 Small Cell Forum, 26 June 2012.

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The introduction of small cells creates a new architecture for mobile operators. This small cell architecture

is a key component of the heterogeneous networks that are discussed later in this paper.

Clearly operators are looking to small cell solutions as a means for addressing the fast-growing wireless

data usage demands and provide higher data rates/better quality of experience to the end-users. The

combination of HSPA+ enhancements, LTE-Advanced, Wi-Fi and 2G/3G/4G small cells are all viewed as

important technologies for addressing future wireless data usage growth, which is not predicted to level

off anytime soon.

3.6 SPECTRUM INITIATIVES

Another clear indication of the growing demands for wireless data is the push towards freeing up

spectrum for mobile broadband use. One perfect example is in the U.S. where the National Broadband

Plan put forward by the U.S. administration in March 2010 calls for freeing up 500 MHz of spectrum for

mobile broadband use in the next 10 years, including 300 MHz in the next five years between 225 MHz

and 3.7 GHz. This is in response to the demand for mobile broadband services, which has already been

widely reported in this section of the white paper.

In the first quarter of 2012, Congress passed legislation authorizing the FCC to conduct incentive

auctions for TV Broadcast Spectrum. This set the pathway for allowing the FCC the authority to

repurpose and repackage TV broadcast spectrum in the United States by providing the FCC with the

mechanism to hold auctions and share the auction proceeds with broadcasters who would voluntarily

relinquish their spectrum holdings. This is expected to provide up to 120 MHz of spectrum for the mobile

broadband wireless industry. The incentive auction method is thought by many pundits to be the first of its

kind in trying to allocate underutilized spectrum to the wireless industry in hopes of alleviating some of the

spectrum crisis in the U.S.

Additionally, in April 2012, U.S. House of Representatives Cliff Stearns (R-FL) and Representative Doris

Matsui (D-CA) introduced a bill that addressed the ideal solution for mobile broadband spectrum in the

1755-1780 MHz band by repurposing this band from federal use to commercial use. In the Efficient Use

of Government Spectrum Act of 2012, the Stearns-Matsui bill calls for the pairing of this band with the

internationally harmonized block of spectrum at 2155–2180 MHz, which the U.S. government has already

identified for auction and licensing for mobile broadband by February 2015. A separate working group led

by Greg Walden (R-OR) and Ranking Member Anna Eshoo (D-CA), called the Federal Spectrum Working

Group, was formed in April 2012 to examine how the federal government can use the U.S. airwaves more

efficiently. In support of working cooperatively with the U.S. Federal Government to find efficient ways to

use valuable spectrum, on behalf of CTIA and the wireless industry, T-Mobile USA filed a request for

special temporary authority (STA) with the FCC to test the deployment of commercial mobile broadband

service in the 1755-1780 MHz spectrum band. The STA would allow the industry and government to work

together to fully understand the challenges and opportunities of utilizing this spectrum band.

Thus, a great opportunity for the U.S. and the entire Americas region (North, Central and South America)

is the 1755-1780 MHz matched with 2155-2180 MHz spectrum band, which would be an extension of the

AWS-1 band that is being allocated throughout the Americas. In the U.S., the 2155-2180 MHz band is

already unencumbered and ready to be auctioned and initially licensed by February 2015. The wireless

industry needs the cooperation of the U.S. government to clear or share the 1755-1780 MHz band to get

to an internationally harmonized pairing. In general, the 1700/2100 MHz AWS spectrum band is already

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recognized by CITEL as a mobile wireless spectrum allocation and LTE could potentially be deployed in

this band in most countries in the Americas region.

Government leaders in the U.S., from President Obama and Congress, to the FCC Commissioners

openly acknowledge the impending spectrum crunch and the necessity to allocate additional spectrum

resources to continue mobile broadband opportunities for a positive economic impact and to meet

societies growing mobile broadband demands.

In the case of the U.S., the spectrum crunch is fast approaching and there is very little spectrum inventory

currently available to be auction for the wireless industry. The FCC notes in a 2010 engineering report

that a spectrum deficit of 275 MHz will occur by 2014. Credit Suisse reported in 2011 that wireless

networks in the U.S. were already operating at 80 percent capacity. Other third party reports offer similar

data of a spectrum crunch within the next two to five years. The figure below outlines and highlights the

challenges that lie ahead for the U.S. in providing spectrum for the mobile broadband industry.

Figure 3.7. Spectrum Availability and Pipeline.101

101 CTIA - The Wireless Association Mid-Year 2011.

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3.7 SUMMARY

As quoted in the Fiscal Year 2013 Budget of the U.S. Government, ―The advances in wireless technology

and the adoption of and reliance on wireless devices in daily commercial and personal life have been

dramatic. High-speed, wireless broadband is fast becoming a critical component of business operations

and economic growth. The United States needs to lead the world in providing broad access to the fastest

networks possible. To do that, however, requires feeing up of transmission rights to underutilized portions

of the spectrum currently dedicated to other private and Federal uses.‖102

While technology is moving forward to deliver more connected devices and richer content and

applications, the number of subscriptions continues to grow along with an exponential increase in data

traffic thereby creating significant network capacity concerns for wireless operators. Operators are

increasing capacity in a number of ways to cope with the growth, including adding base stations and cell

sites, reallocating spectrum, improving backhaul through the addition of more T1s, and deploying fiber.

Coverage continues to improve with network upgrades as some operators make a huge effort to deploy

HSPA, HSPA+ and LTE in more spectrum bands. And it is the evolution of the 3GPP technology

standards and the rapid commercialization of products to support the standards that will offer next-

generation solutions.

102 Fiscal Year 2013 Budget of the U.S. Government.

http://www.whitehouse.gov/sites/default/files/omb/budget/fy2013/assets/budget.pdf

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4 STATUS AND HIGHLIGHTS OF RELEASE 8 AND RELEASE 9: EVOLVED HSPA

(HSPA+) AND LTE/EPC

3GPP Rel-8 provided significant new capabilities, through not only enhancements to the WCDMA

technology, but with the addition of OFDM technology through the introduction of LTE as well. On the

WCDMA side, Rel-8 provided the capability to perform 64QAM modulation with 2X2 MIMO on HSPA+, as

well as the capability to perform dual carrier operation for HSPA+ (therefore, carrier aggregation across

two 5 MHz HSPA-HSPA+ carriers). Both of these enhancements enabled the HSPA+ technology to reach

peak rates of 42 Mbps. Rel-8 also introduced E-DCH enhancements to the common states (URA_PCH,

CELL_PCH and CELL_FACH) in order to improve data rates and latency and introduced discontinuous

reception (DRX) to significantly reduce battery consumption.

In addition to enhancing HSPA-HSPA+, Rel-8 also introduced the Evolved Packet System (EPS)

consisting of a new flat-IP core network called the Evolved Packet Core (EPC) coupled with a new air

interface based on OFDM called Long Term Evolution (LTE) or Evolved UTRAN (E-UTRAN). In its most

basic form, the EPS consists of only two nodes in the user plane: a base station and a core network

Gateway (GW). The node that performs control-plane functionality (MME) is separated from the node that

performs bearer-plane functionality (Gateway). The basic EPS architecture is illustrated in Figure 4.1. The

EPS architecture was designed to not only provide a smooth evolution from the 2G/3G packet

architectures consisting of NodeBs, RNCs, SGSNs and GGSNs, but also provide support for non-3GPP

accesses (for example, Wi-Fi), improved policy control and charging, a wider range of QoS capabilities,

advanced security/authentication mechanisms and flexible roaming.

In Rel-8, LTE defined new physical layer specifications consisting of an OFDMA based downlink and an

SC-FDMA103

based uplink that supports carrier bandwidths from 1.4 MHz up to 20 MHz. Rel-8 defined

options for both FDD and TDD LTE carriers. Rel-8 also defined a suite of MIMO capabilities supporting

open and closed loop techniques, Spatial Multiplexing (SM), Multi-User MIMO (MU-MIMO) schemes and

Beamforming (BF). Because OFDMA and SC-FDMA are narrowband based technologies, LTE supports

various forms of interference avoidance or coordination techniques called Inter-Cell Interference

Coordination (ICIC).

Finally, Rel-8 provided several other enhancements related to Common IMS, Multimedia Priority Service,

support for packet cable access and service brokering, VCC enhancements, IMS Centralized Services

(ICS), Service Continuity (SC) voice call continuity between LTE-HSPA VoIP and CS domain (called

Single Radio VCC or SRVCC) and User Interface Control Channel enhancements.

103 SC-FDMA was chosen for the uplink instead of OFDMA in order to reduce peak-to-average power ratios in device amplifiers,

thus improving battery life.

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Figure 4.1. Basic EPS Architecture (based on 3GPP TS 23.401).

After the Rel-8 core specification was frozen in December of 2008, focus in 3GPP turned to Rel-9, for

which the core specification was frozen in December 2009. Rel-9 added feature functionality and

performance enhancements to both HSPA and LTE.

For HSPA, Rel-9 introduced support for uplink dual-cell, as well as the capability to enable downlink dual-

cell deployments across non-contiguous frequency bands. Also added in Rel-9 was the support of

simultaneous MIMO and DC-HSPA operation, as well as enhancements to the transmit diversity modes to

improve performance with non-MIMO capable devices.

For LTE, several Rel-9 features and capabilities were added to enhance upon the initial Rel-8 LTE

technology, specifically:

The support of emergency services, location services and emergency warning broadcast

services. These features are critical for introducing VoIP over LTE because they are required for

VoLTE to meet e911 requirements

Enhancements (particularly for idle mode camping) to the Circuit Switched FallBack (CSFB)

feature that was introduced in Rel-8

MBMS to enable broadcast capabilities over LTE

SON enhancements to optimize handover performance, improve load balancing capabilities

(within LTE and between LTE and 2G/3G), optimize RACH performance and improve energy

savings

S5

IP

Services

SGi

GW

MME

S11

S1-U

eNode

B

S1-MME

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The support of dual layer beamforming to improve peak rates when in beamforming mode

The support of vocoder rate adaptation based on cell loading

Architecture enhancements in support of Home NodeB/eNodeB (therefore, femtocells)

IMS enhancements to IMS Centralized Services and IMS Service Continuity

USIM enhancements for M2M, femtocells and NFC

Detailed discussions of these Rel-9 HSPA+ and LTE enhancements are provided in Appendix B.

4.1 VOLTE

With the support of emergency and location services in Rel-9, interest in Voice over LTE (VoLTE) has

increased. This is because the Rel-9 enhancements to support e911 were the last step to enable VoLTE

(at least in countries that mandate e911) since the Rel-8 specifications already included the key LTE

features required to support good coverage, high capacity/quality VoLTE. There are two main features in

Rel-8 that focus on the coverage, capacity and quality of VoLTE: Semi-Persistent Scheduling (SPS) and

TTI Bundling.

SPS is a feature that significantly reduces control channel overhead for applications that require

persistent radio resource allocations such as VoIP. In LTE, both the DL and UL are fully scheduled since

the DL and UL traffic channels are dynamically shared channels. This means that the physical DL control

channel (PDCCH) must provide access grant information to indicate which users should decode the

physical DL shared channel (PDSCH) in each subframe and which users are allowed to transmit on the

physical UL shared channel (PUSCH) in each subframe. Without SPS, every DL or UL physical resource

block (PRB) allocation must be granted via an access grant message on the PDCCH. This is sufficient

for most bursty best effort types of applications, which generally have large packet sizes and thus

typically only a few users must be scheduled each subframe. However, for applications that require

persistent allocations of small packets (therefore, VoIP), the access grant control channel overhead can

be greatly reduced with SPS.

SPS therefore introduces a persistent PRB allocation that a user should expect on the DL or can transmit

on the UL. There are many different ways in which SPS can setup persistent allocations, and Figure 4.2

below shows one way appropriate for VoLTE. Note that speech codecs typically generate a speech

packet every 20 ms. In LTE, the HARQ interlace time is 8 ms which means retransmissions of PRBs that

have failed to be decoded can occur every 8 ms. Figure 4.2 shows an example where a maximum of five

total transmissions (initial transmission plus four retransmissions) is assumed for each 20 ms speech

packet with two parallel HARQ processes. This figure clearly shows that every 20 ms a new ―first

transmission‖ of a new speech packet is sent. This example does require an additional 20 ms of buffering

in the receiver to allow for four retransmissions, but this is generally viewed as a good tradeoff to

maximize capacity/coverage (compared to only sending a maximum of two retransmissions).

The example in Figure 4.2 can be applied to both the DL and UL and note that as long as there are

speech packets arriving (therefore, a talk spurt) at the transmitter, the SPS PRBs would be dedicated to

the user. These PRB resources can be reassigned to other users, once speech packets stop arriving

(therefore silence period), When the user begins talking again, a new SPS set of PRBs would be

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assigned for the duration of the new talkspurt. Note that dynamic scheduling of best effort data can occur

on top of SPS, but the SPS allocations would take precedent over any scheduling conflicts.

Figure 4.2. Example of Semi-Persistent Scheduling.104

TTI bundling is another feature in Rel-8 that improves the UL coverage for VoLTE. LTE defined 1 ms

subframes as the Transmission Time Interval (TTI), which means scheduling occurs every 1 ms. Small

TTIs are good for reducing round trip latency, but do introduce challenges for UL VoIP coverage. This is

because on the UL, power/Hz is maximized when a user sends a single PRB spanning 180 kHz of tones.

This is critical on the UL since the user transmit power is limited, so maximizing the power/Hz improves

coverage. The issue is that since the HARQ interlace time is 8 ms, the subframe utilization is very low

(1/8). In other words, 7/8 of the time the user is not transmitting. Therefore, users in poor coverage areas

could be transmitting more power when a concept termed TTI bundling (explained in the next paragraph)

is deployed.

While it is true that one fix to the problem is to just initiate several parallel HARQ processes to fill in more

of the 7/8 idle time, this approach adds significant IP overhead since each HARQ process requires its

own IP header. Therefore, TTI bundling was introduced in Rel-8 which combines four subframes into a

single 4 ms TTI. This allowed for a single IP header over a bundled 4 ms TTI that greatly improved the

subframe utilization (from 1/8 to 4/8) and thus the UL coverage (by more than 3 dB).

104 Source: Alcatel-Lucent.

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This section has provided a high level overview of the key features and capabilities introduced in 3GPP

Rel-8 and Rel-9. The focus of the remainder of this paper is on Rel-10, Rel-11 and beyond; updated

status and significant details of Rel-8 can be found in the February 2010 white paper by 3G Americas,

3GPP Mobile Broadband Innovation Path to 4G: Release 9, Release 10 and Beyond: HSPA+, LTE/SAE

and LTE-Advanced,105

while updated status and significant details on Rel-9 can be found in Appendix B

of this paper.

105 3GPP Mobile Broadband Innovation Path to 4G: Release 9, Release 10 and Beyond: HSPA+, LTE/SAE and LTE-Advanced, 3G

Americas, February 2010.

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5 STATUS OF RELEASE 10: HSPA+ ENHANCEMENTS AND LTE-ADVANCED

5.1 LTE-ADVANCED FEATURES AND TECHNOLOGIES

3GPP LTE Rel-10 and beyond, also known as LTE-Advanced, is intended to meet the diverse

requirements of advanced applications that will become common in the wireless marketplace in the

foreseeable future. It will also dramatically lower the Capital Expenses (CAPEX) and Operating Expenses

(OPEX) of future broadband wireless networks. Moreover, LTE-Advanced will provide for backward

compatibility with LTE and will meet or exceed all IMT-Advanced requirements.

This section will discuss the enabling technologies of LTE-Advanced Rel-10. The organization of the

discussion is as follows: Section 5.1.1 will focus on the support of wider bandwidth. Section 5.1.2 and

5.1.3 will examine uplink and downlink enhancements, respectively. Section 5.1.4 will discuss the support

for Relays in the LTE-Advanced network. Section 5.1.5 will detail the support of heterogeneous network.

Section 5.1.6 will present MBMS enhancements and Section 6.1.7 will discuss the SON enhancements.

Section 5.1.8 will expound on the vocoder rate enhancements.

5.1.1 SUPPORT OF WIDER BANDWIDTH

Carrier Aggregation (CA) has been identified as a key technology that will be crucial for LTE-Advanced in

meeting IMT-Advanced requirements. The need for CA in LTE-Advanced arises from the requirement to

support bandwidths larger than those currently supported in LTE (up to 20 MHz) while at the same time

ensuring backward compatibility with LTE. Consequently, in order to support bandwidths larger than

20 MHz, two or more component carriers are aggregated together in LTE-Advanced. An LTE-Advanced

terminal with reception capability beyond 20 MHz can simultaneously receive transmissions on multiple

component carriers. An LTE Rel-8 terminal, on the other hand, can receive transmissions on a single

component carrier (CC) only, provided that the structure of the component carrier follows the Rel-8

specifications.

The spectrum aggregation scenarios can be broadly classified into three categories:

1. Intra-band adjacent

2. Intra-band non-adjacent

3. Inter-band

Examples of these scenarios are provided in Figure 5.1.

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Figure 5.1. Spectrum Aggregation Scenarios for FDD.

For LTE Rel-10 CA, each component carrier aggregated together is a LTE Rel-8 carrier. That is, each

component carrier uses the LTE Rel-8 numerology and occupies a maximum of 110 physical resource

blocks. Both contiguous component carriers and non-contiguous component carriers are supported. The

exact CA scenarios will be determined by RAN 4 in a release-independent manner as discussed in

Section 5.4.

In LTE Rel-10, both symmetric as well as asymmetric CA are supported. In symmetric CA, the numbers of

DL and UL component carriers are the same. In asymmetric CA, the number of DL and UL carriers is

different. For simplicity, LTE Rel-10 only supports asymmetrical CA where the number of DL carriers is

greater than or equal to the number of UL carriers. In TDD deployments, however, the number of

component carriers in UL and DL is typically the same.

For the MAC to PHY mapping strategy, separate transport blocks, HARQ entities, and HARQ feedback

are supported for each component carrier. This allows for maximum reuse of Rel-8 functionalities and

better HARQ performance due to carrier component-based link adaptation. This strategy also implies that

the uplink transmission format (when CA is supported in the UL) is a multi-carrier transmission consisting

of an aggregation of single carrier DFT-S-OFDM (NxDFT-S-OFDM) illustrated in Figure 5.2. Note that

since asymmetric CA is supported, it is possible for a single UL DFT-S-OFDM carrier to support multiple

DL CCs.

Network

B

Network

A

Network

C

Network

D

Network

B

Network

A

Network

C

Network

D

EUTRA – FDD UL

Band j

EUTRA – FDD DL

Band j

Network

A

Network

A

Network

C

Network

D

Network

A

Network

A

Network

C

Network

D

Network

B

Network

A

Network

C

Network

D

Network

B

Network

A

Network

C

Network

D

EUTRA – FDD UL

Band j

EUTRA – FDD DL

Band j

Network

A

Network

A

Network

C

Network

A

Network

A

Network

A

Network

C

Network

A

Intra-Band

Adjacent

Intra-Band

Non-Adjacent

Network

B

Network

A

Network

C

Network

D

EUTRA – FDD UL

Band j

Network

A

Network

A

Network

C

Network

A

Inter-Band

EUTRA – FDD UL

Band k

Network

B

Network

A

Network

C

Network

D

EUTRA – FDD DL

Band j

Network

A

Network

A

Network

C

Network

A

EUTRA – FDD DL

Band k

Scenario C

Scenario B

Scenario ANetwork A resources

combined with Network B

UL

UL

UL

UL

UL

UL

DL

DL

DL

DL

Network A resources

combined with Network D

Network A resources

combined with Network D

Combined Combined

Combined Combined

Combined Combined

DL

DL

UL

UL

DL

DL

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Freq.Freq.

Modulated data

DFT

FFTIFFT

DFT

FFTIFFT

DFT

FFTIFFT

DFT

FFTIFFT

Component carrierComponent carrier

Figure 5.2. An Illustration of NxDFT-S-OFDM (i.e. UL CA).

With respect to downlink control signalling, per-carrier scheduling grant is used. Additionally, each grant

also contains a Carrier Indication Field (CIF) that indicates the carrier to which the grant applies to enable

cross-carrier scheduling. The CIF field is added to the existing Rel-8 DCI formats. The per-carrier

scheduling has the following advantages: 1) it allows several DCI formats to the same UE for different

component carriers; and 2) it facilitates dynamic grant-based traffic channel load-balancing among the

component carriers on a sub-frame by sub-frame basis.

The PUCCHs corresponding to all DL CCs are transmitted on the Primary Component Carrier (PCC).

Multi-bit HARQ feedback signalling format and Channel State Information (CSI) signalling for multiple DL

CCs are supported in Rel-10. For specific UEs, Uplink Control Information (UCI) can also be transmitted

simultaneously on PUCCH and PUSCH. The power control and UE power headroom reporting are

enhanced to support flexible UE power amplifier implementation for diverse CA scenarios.

Figure 5.3 demonstrates the performance benefits of CA between 700 MHz and the AWS band (1.7/2.1

GHz) under lightly loaded conditions106

. Under lightly loaded conditions, CA devices can take advantage

of unused resources across two carriers rather than being restricted to only using resources from a single

carrier as with Rel-8 and Rel-9. Figure 5.3 shows that the median user experienced throughput can

nearly double under lightly loaded conditions with CA.

106 Mobile Broadband Explosion: The 3GPP Wireless Evolution, Rysavy Research and 4G Americas, August 2012.

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Figure 5.3. Performance Benefits of CA.107

5.1.2 UPLINK TRANSMISSION ENHANCEMENTS

In order to be fully IMT-Advanced compliant for uplink peak spectral efficiency, the LTE uplink must be

extended with the support for uplink MIMO (multi-layer). The extension of the uplink currently under study

in 3GPP can be roughly classified into two categories: 1) techniques relying on channel reciprocity; and 2)

techniques not relying on channel reciprocity. Among the techniques that use channel reciprocity are

Beam Forming (BF), SU-MIMO and MU-MIMO. With these techniques, the enhanced NodeB (eNB)

processes a sounding reference signal from the UE to determine the channel state and assumes that the

channel as seen by the eNB is the same as that seen by the UE (channel reciprocity) and forms

transmission beams accordingly. It is important to note that since the transmitter has information about

the channel, the transmitter may use this information to generate weights for antenna

weighting/precoding. These techniques are especially suited for TDD.

The channel non-reciprocity techniques can be further separated into open-loop MIMO (OL-MIMO),

closed-loop MIMO (CL-MIMO) and MU-MIMO. OL-MIMO is used in the case where the transmitter has no

knowledge of the Channel-State Information (CSI). Since the UE has no knowledge of the CSI from the

eNB, these techniques cannot be optimized for the specific channel condition seen by the eNB receiver

107 Source: Alcatel-Lucent.

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but they are robust to channel variations. Consequently, these techniques are well suited to high-speed

mobile communications. OL-MIMO can be classified into Transmit Diversity (TXD) and Spatial

multiplexing (SM) techniques. The TXD techniques will increase diversity order which may result in

reduced channel variation and improved system coverage. These techniques include Transmit Antenna

Switching (TAS), Space-Frequency Block Coding (SFBC), Cyclic Delay Diversity (CDD) and Frequency

Shift Transmit Diversity (FSTD). SM techniques allow multiple spatial streams that are transmitted sharing

the same time-frequency resource.

In the case where the eNB sends CSI to the UE, CL-MIMO can be used to significantly increase spectral

efficiency. CL-MIMO utilizes the CSI feedback from the eNB to optimize the transmission for a specific

UE‘s channel condition. As a result of this feedback, it is vulnerable to sudden channel variations. In

general, CL-MIMO has better performance than OL-MIMO in low-speed environments. SM techniques

can also be used to significantly increase the spectral efficiency of CL-MIMO. The multiple spatial streams

are separated by an appropriate receiver processing (for example, using successive interference

cancellation [SIC]). This processing can increase peak data rates and potentially the capacity due to high

SINR and uncorrelated channels. The SM techniques can be classified into Single-Codeword (SCW) and

Multiple-Codewords (MCW) techniques. In the former case, the multiple streams come from one turbo

encoder, which can achieve remarkable diversity gain. In the latter case, when multiple streams are

encoded separately, an SIC receiver can be used to reduce the co-channel interference between the

streams significantly.

Specifically for Rel-10, the uplink enhancements are divided into three major areas:

1. Inclusion of TxD for uplink control information transmission via Physical Uplink Control Channel

(PUCCH). The Spatial Orthogonal-Resource Transmit Diversity (SORTD) mode was selected for

many PUCCH formats where the same modulation symbol from the uplink channel is transmitted

from two antenna ports, on two separate orthogonal resources.

2. SU-MIMO Physical Uplink Shared Channel (PUSCH) transmission with two transmission modes:

a single antenna port mode that is compatible with the LTE Rel-8 PUSCH transmission and a

multi-antenna port mode that offers the possibility of a two and a four antenna port transmission

(see Figure 5.4). Discussions are ongoing in 3GPP regarding the refinements of PUSCH multi-

antenna port transmission such as handling rank-1 transmissions, the SRS options, the UCI

multiplexing on PUSCH as well as the precoder design for retransmissions.

3. Uplink Reference Signals (RS). The UL reference signal structure in LTE-Advanced will retain the

basic structure of that in Rel-8 LTE. Two types of reference signals were enhanced:

Demodulation Reference Signals (DM RS) and Sounding Reference Signals (SRS). The

demodulation reference signal is used by the receiver to detect transmissions. In the case of

uplink multi-antenna transmission, the precoding applied for the demodulation reference signal is

the same as the one applied for the PUSCH. Cyclic shift (CS) separation is the primary

multiplexing scheme of the demodulation reference signals. Orthogonal Cover Code (OCC)

separation is also used to separate DM RS of different virtual transmit antennas. The sounding

reference signal is used by the receiver to measure the mobile radio channel. The current

understanding is that the sounding reference signal will be non-precoded and antenna-specific

and for multiplexing of the sounding reference signals, the LTE Rel-8 principles will be reused.

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Figure 5.4. Rel-10 supports up to 4 layer transmission on the UL.108

5.1.3 DOWNLINK TRANSMISSION ENHANCEMENTS

In order to improve the SU-MIMO spatial efficiency of the downlink, the LTE downlink SM has been

enhanced to support up to eight layers per component carrier in LTE Rel-10. The maximum number of

codewords supported remains two (see Table 5.1).

LTE-Advanced will extend the downlink reference signal structure of Rel-8 LTE. In particular, a user-

specific demodulation reference signal for each layer has been proposed. This reference signal will be

mutually orthogonal between the layers at the eNB. Moreover, cell-specific reference signals that are

sparse in frequency and time targeted for CSI estimation have also been proposed.

More specifically in LTE Rel-10, a new transmission mode (TM-9) is defined supporting SU-MIMO up to

rank 8 and dynamic switching between SU and MU-MIMO. Downlink Control Information (DCI) format 2C

is used and 3-bits are used as shown in the following table to index the combination of layer, antenna port

and scrambling identity.

108 Source: Alcatel-Lucent.

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Table 5.1. Antenna Port(s), Scrambling Identity and Number of Layers Indication for

Format 2C of TM-9.109

The Channel State Information (CSI) reporting is also planned to be enhanced with multiple reporting

modes supporting CSI via PUCCH and PUSCH. Precoding Matrix Index (PMI) granularity, Channel

Quality Indications (CQI) sub-band reporting, and multistage reporting methods are among the topics

discussed in the modes of configuring CSI reports.

In terms of reference signals, the CSI-RS is defined to help the UE estimate the DL channel. Its

configuration is cell-specific and up to eight CSI RS ports can be used. In TM-9, the UE may use the CSI-

RS only for channel estimation. For CQI feedback, it may use CRS and/or CSI-RS. For TM1-TM8, it

continues to use CRS for channel estimation. Figure 5.5 summarizes the SU-MIMO progression from

Rel-8 through Rel-10.

Figure 5.5. Evolution to eight Layer DL Transmission in Rel-10.110

109 Table 5.3.3.1.5C-1, 3GPP TS 36.212.

2 layer BF in Rel-9 with 8

antennas

8 layer BF in Rel-10 with 8

antennas

1 layer BF in Rel-8 with 4

antennas

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5.1.4 RELAYING

Recently, there has been an upsurge of interest on multi-hop transmission in LTE-Advanced.

Consequently, the concept of Relay Node (RN) has been introduced in LTE Rel-10 to enable

traffic/signalling forwarding between eNB and UE to improve the coverage of high data rates, cell edge

coverage and to extend coverage to heavily shadowed areas in the cell or areas beyond the cell range. It

provides throughput enhancement especially for the cell edge users and offers the potential to lower the

CAPEX and OPEX by keeping the cell sizes relatively large by limiting the number of macro sites.

The relay nodes are wirelessly connected to the radio access network via a donor cell. The RN is

connected to the donor eNB via the Un interface and the UEs are connected to the RN via the Uu

interface as shown in Figure 5.6. The Un connections can be either in-band or out-band. In an in-band

connection, the eNB-to-relay link shares the same band with the direct eNB-to-UE link within the donor

cell. In this case, Rel-8 UEs should have the ability to connect to the donor cell. For out-band connection,

on the other hand, the eNB-to-relay connection is in a different band than the direct eNB-to-UE link.

eNB

RN

UE

Uu

Un

Figure 5.6. A Diagrammatic Representation of a Relay Network.111

The types of relays that were studied in 3GPP during the LTE Rel-10 timeframe can be roughly separated

by the layers within the protocol stack architecture that are involved in the relay transmission:

Layer 1 (L1) Relay. Also called Amplify-and-Forward Relay, Layer 1 (L1) Relay is simple and

easy to implement through RF amplification with relatively low latency. The noise and

interference, however, are also amplified along with the desired signal. Moreover, strict isolation

between radio reception and transmission at RN is necessary to avoid self-oscillation, which limits

its practical applications.

Layer 2 (L2) Relay. Layer 2 (L2) Relay performs the decode-and-forward operation and has

more freedom to achieve performance optimization. Data packets are extracted from RF signals,

110 Mobile Broadband Explosion: The 3GPP Wireless Evolution, Rysavy Research and 4G Americas, August 2012.

111 Source: Alcatel-Lucent.

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processed and regenerated and then delivered to the next hop. This kind of relay can eliminate

propagating the interference and noise to the next hop, so it can reinforce signal quality and

achieve much better link performance.

Layer 3 (L3) Relay. Also called Self-Backhauling, Layer 3 (L3) Relay has less impact to eNB

design and it may introduce more overhead compared with L2 Relay.

From the point of view of UE knowledge, the relays that were studied in 3GPP can be classified into two

types; transparent and non-transparent. In transparent relay, the UE is not aware that it is communicating

with the eNB via a relay. Transparent relay was proposed for the scenarios where it is intended to

achieve throughput enhancement of UEs located within the coverage of the eNB with less latency and

complexity but it may also be used for filling in coverage holes. In non-transparent relay the UE is aware

that it is communicating with the eNB via an RN. All of the data traffic and control signal transmission

between eNB and UE are forwarded along the same relay path. Although non-transparent relaying is

applicable for almost all cases, wherever the UE is, within the coverage of eNB or coverage holes, it may

not be an efficient way for all scenarios, because both the data and control signalling are conveyed

multiple times over the relay links and the access link of a relay path.

Depending on the relaying strategy, a relay may be part of the donor cell or it may control cells of its own.

In the case where the relay is part of the donor cell, the relay does not have a cell identity of its own. At

least part of the RRM is controlled by the eNodeB to which the donor cell belongs, while other parts of the

RRM may be located in the relay. In this case, a relay should preferably support LTE Rel-8 UEs, as well

as LTE Rel-10 UEs. Smart repeaters, Decode-and-Forward Relays and different types of L2 Relays are

examples of this type of relaying.

In the case where the relay is in control of cells of its own, the relay controls one or several cells and a

unique physical-layer cell identity is provided in each of the cells controlled by the relay. The same RRM

mechanisms are available and from a UE perspective there is no difference in accessing cells controlled

by a relay and cells controlled by a ―normal‖ eNodeB. The cells controlled by the relay should also

support LTE Rel-8 UEs. Self-Backhauling (L3 Relay) uses this type of relaying.

The following describes the different types of relays have been defined in 3GPP112

, but it should be noted

that not all types of relays have been adopted in the Rel-10 standards specifications:

A so-called ―Type 1‖ relay node is an in-band relaying node characterized by the following:

It controls cells, each of which appears to a UE as a separate cell distinct from the donor cell

Each cell shall have its own Physical Cell ID (defined in LTE Rel-8) and the relay node shall

transmit its own synchronization channels, reference symbols, etc.

In the context of single-cell operation, the UE will receive scheduling information and HARQ

feedback directly from the relay node and send its control channels (SR/CQI/ACK) to the relay

node

It appears as a Rel-8 eNodeB to Rel-8 UEs (therefore, it will be backwards compatible)

112 3GPP TR 36.814, Further advancements for E-UTRA physical layer aspects, 2010.

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To LTE-Advanced UEs, it should be possible for a Type 1 relay node to appear differently than a

Rel-8 eNodeB to allow for further performance enhancement

It can be understood from these characteristics that a Type 1 relay is a L3 relay.

―Type 1a‖ and ―Type 1b‖ relay nodes are Type 1 relays with the following exceptions:

A Type 1a relay node operates out of band; that is the band for the Un and UU links are on

different bands

A Type 1b relay nodes is a full duplex Type 1 relay node

A so-called ―Type 2‖ relay node has also been proposed. A Type 2 relay is an in-band relay node

characterized by the following:

It does not have a separate Physical Cell ID and thus would not create any new cells

It is transparent to Rel-8 UEs; a Rel-8 UE is not aware of the presence of a Type 2 relay node

It can transmit PDSCH

At the very least, it does not transmit CRS and PDCCH

Specifically, LTE-Advanced will support the so-called Type 1 and Type 1a transparent relay node in the

standard.

In order to allow in-band backhauling of the relay traffic on the relay-eNB link, some resources in the time-

frequency space are set aside for this link and cannot be used for the access link on the respective node.

For LTE Rel-10, the following scheme will be supported for this resource partitioning:

The general principle for resource partitioning for Type 1 relay are:

eNB → RN and RN → UE links are time division multiplexed in a single frequency band and only

one is active at any one time

RN → eNB and UE → RN links are time division multiplexed in a single frequency band and only

one is active at any one time

With respect to the multiplexing of backhaul links,

The eNB → RN transmissions and RN → eNB transmissions are carried out in the DL frequency

band and UL frequency band, respectively, for FDD systems

The eNB → RN transmissions and RN → eNB transmissions are carried out in the DL subframes

of the eNB and RN and UL subframes of the eNB and RN, respectively, for TDD systems

Two relay timing scenarios are defined in LTE Rel-10. The first scenario is with the timing at the relay so

that the Un and Uu subframe timing are aligned to within one OFDM symbol. In particular the Un subframe

timing may be ahead of the Un subframe timing in order to provide the switching time necessary for the

relay to switch between transmission and reception. The second timing scenario is for the Uu subframe

timing at the relay to align with the sub frame timing of the DeNB. This case is similar to the current

network timing for LTE TDD.

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A new control channel, R-PDCCH is defined for the Type 1 relay. This is because the UEs are expecting

the RN to transmit the PDCCH in the first few OFDM symbols of the subframe and so the RN will not be

able to receive the PDCCH from the DeNB. Consequently, the new R-PDCCH is defined such that the

time-frequency resources that it uses do not coincide with neither the RN‘s nor the DeNB‘s PDCCH. The

exact time-frequency resources that it occupies are configurable by the DeNB and both frequency-

localized and distributed configurations are possible.

The PDSCH is used for the data transmission in the Un link. However, it should be noted that in LTE Rel-

10, carrier aggregation in the Un link is not supported.

5.1.4.1 PERFORMANCE

Figure 5.7 shows the possible system performance gain determined from system simulation from using

relays in an LTE-Advanced system. The assumptions of the simulations were consistent with that agreed

to in 3GPP.113

The simulation scenario considered is Case One: 2X2 MIMO, three Type 1 RNs per cell

and with 25 UEs per cell. The eNB can schedule the RNs on six subframes and schedule UEs on 10

subframes while the RN can schedule UEs on four subframes. The results show that significant gain in

both the cell edge and cell average throughputs are possible with only three relay nodes per cell. Note

that additional gain is possible with additional relay nodes in the system with more antennas at the eNB

and/or the relay and a better backhauling design.

Figure 5.7. The Potential System Gain in LTE-A with Relays. 114

113 3GPP TR 36.814, Further Advancements for E-UTRA, Physical layer Aspects.

114 Further information on these results can be found in 3GPP R1-100270.

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5.1.5 HETEROGENEOUS NETWORK SUPPORT (EICIC)

Heterogeneous networks can be characterized by deployments where small cells are placed as an

underlay throughout a macrocell deployment. These small cells include micro, pico, Remote Radio Heads

(RRH), relay and femto nodes. Due to their lower transmit power and smaller physical size, small cells

can reduce site acquisition requirements and installation cost. Small cells can be flexibly deployed in

semi-planned or unplanned manner in areas where capacity is needed. Therefore, heterogeneous

networks offer a cost-effective and scalable approach for capacity growth by improving spectral efficiency

per unit area.

The most challenging aspect in the deployment of heterogeneous networks is the interference issues

generated by sharing the carrier with the overlaid macro nodes, when operators have limited spectrum for

LTE deployment. Enhanced Inter-Cell Interference Coordination (eICIC) has been defined in LTE Rel-10

to support non-carrier aggregation-based heterogeneous networks.

In a co-channel deployment of mixed macro and small cells, the large disparity (for example >=10dB)

between the transmit power levels of macro and small cells implies that the downlink coverage of a low

power node is much smaller than that of a macro base station. The interference from macrocell signals to

control channel and data channel transmissions of small cells may severely diminish the capability to

offload traffic from macrocells. Therefore, it is desirable to balance the load between macro and small

cells by allowing expansion of the coverage of low power nodes and subsequently increase cell splitting

gains. This concept is referred to as range expansion, which is illustrated in Figure 5.8.

Figure 5.8. Heterogeneous Network Small Cell Range Expansion.

Rel-8 and Rel-9 support range expansion up to about 3dB bias, due to the control channel performance

limitation. To support larger bias towards small cells, LTE Rel-10 defines almost blank subframes (ABS)

by which macro base station can reserve some subframes for small cells. The macro only transmits CRS

Macrocell

Picocell Picocell

Range Expansion Range Expansion

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and PSS/SSS/PBCH signals in an ABS to enable full backward compatibility with legacy UEs, and does

not transmit other traffic or control data. As a result, Rel-10 UEs in the range expansion areas of small

cells can be served by small cells in ABS subframes. Rel-10 has defined the messages over X2 interface

that macro and small cells can exchange over backhaul for ABS allocation coordination. An example ABS

allocation is illustrated in Figure 5.9. Note that small cells can use all subframes to serve the UEs in the

non-expansion footprint, with no limitation from ABS allocation. In addition, the time-domain resource

partitioning can be adaptively changed for better load balancing based on number of users and traffic

loading in macro and small cells.

0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9

0 1 2 3 4 5 6 7 8 9 0

Pico DL

Macro DL 2 6 0 1 2 3 4 5 6 7 8 92 6

Data served on subframe Data not served on subframe

Figure 5.9. ABS Subframe Partitioning (50 percent-50 percent) between Macro and Small Cells.

Subframe specific measurement and reports are needed to support the time domain interference

variations expected in the heterogeneous networks eICIC operation. In particular, the Radio Link

Management, Radio Resource Management and Channel State Information measurements for LTE Rel-

10 UEs are restricted to certain subframes. RRC signalling is used to inform the UE across which

resources interference can be averaged for the measurement reports.

For the scenario where operators have multiple LTE carriers, carrier aggregation-based approach is

possible. Cross-carrier scheduling is used to avoid the interference of PDCCH between macro cell and

small cell (Figure 5.10). In particular, the PDCCH to schedule the multiple component carriers in a macro

cell is located in one component carrier while the PDCCH to schedule the multiple component carriers in

the small cell is located in another component carrier.

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Figure 5.10. Heterogeneous Network Support using Carrier Aggregation.115

5.1.6 MBMS ENHANCEMENTS

LTE Rel-10 MBMS enhancements provide the capability for the network to manage individual MBMS

services depending on the number of users interested in a particular MBMS service and also to prioritize

different MBMS services depending on the relative priority of those services when there are not enough

resources for transmission of those MBMS services. An MBMS counting function was introduced that

allows counting the number of connected mode users that are either receiving a particular MBMS service

or are interested in receiving a particular MBMS service. Only users with Rel-10 devices in connected

mode can be counted. Rel-10 idle users and users with Rel-9 devices are not accounted in the counting

results. The MBMS counting function is controlled by the Multi-cell/multicast Coordination Entity (MCE)

and it allows the MCE to enable or disable MBSFN transmission for the service. In support of these new

MCE functions, new Rel-10 M2 Interface procedures to suspend and resume a MBMS service and to

send a MBMS counting request and obtain MBMS counting results have been introduced. In Rel-10, the

prioritization of different MBMS services is also done by the MCE since the MCE is responsible for

deciding the allocation of radio resources for MBSFN transmissions. In this way, the MCE can pre-empt

radio resources used by an ongoing MBMS service(s) in the MBSFN area according to Allocation and

Retention Priority (ARP) of different MBMS radio bearers.

5.1.7 SON ENHANCEMENTS

SON technologies have been introduced in Rel-8/Rel-9 to help decrease the CAPEX and OPEX of the

system. The initial SON features in Rel-8 and Rel-9 assist operators in deploying LTE networks with

clusters of eNBs in existing 2G/3G legacy networks to meet the initial coverage requirements. As LTE

networks expand towards more ubiquitous coverage, operator focus will shift towards network growth and

optimizing the capacity and coverage in a heterogeneous environment with macros, micros, picos and

115 3GPP TR 36.814 v9.0.0, Further advancements for E-UTRA physical layers aspects.

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femtos, with 2G and 3G RATs, and with multiple carriers per RAT. Features are being standardized in

3GPP Rel-10 that offer additional opportunities to further optimize the performance of heterogeneous

networks and further reduce OPEX. The following enhancements to existing SON features and new SON

features are being considered in Rel-10 SON.

Mobility Load Balancing. Enhancements to the Rel-9 inter-RAT load balancing signalling mechanisms

support load balancing between 2G, 3G and 4G networks to better utilize the air interface capacities of

the pooled RF carriers. The specific goals of these enhancements is to improve the reliability of mobility

load balancing in intra-LTE scenarios and improve the functionality of the mobility load balancing in inter-

RAT scenarios.

Mobility Robustness Optimization. Rel-10 defines enhancements to detect connection failures and

provide information needed for possible corrective actions in cases that were not supported in Rel-9, such

as the case of unsuccessful handover. Also, part of the MRO enhancement is enabling the detection of

unnecessary inter-RAT handovers and reporting that event back to the source eNB.

Inter-cell Interference Coordination. Rel-8 ICIC is the coordinated frequency resource allocation

between neighboring cells to reduce interference. Coordination of interference through fractional

frequency reuse can enhance cell edge rates. Self-configuration and self-optimization of control

parameters of RRM ICIC schemes for UL and DL allows proper tuning of ICIC configuration parameters,

such as reporting thresholds/periods and resource preference configuration settings, in order to make the

ICIC schemes effective with respect to operators‘ requirements. Enhancements to interference

coordination/shaping (ICIC) SON mechanisms are being considered in deployment scenarios with

macrocells and femtocells. Studies in Rel-10 have shown dominant interference conditions when Non-

Closed Subscriber Group (CSG)/CSG users are in close proximity of femtocells.

Coverage and Capacity Optimization. Coverage and Capacity Optimization techniques are being

studied in 3GPP to provide continuous coverage and optimal capacity of the network. Support for

coverage and capacity optimization is realized through minimization of drive test procedures, which could

be expensive and limited in their use. The performance of the network can be obtained via key

measurement data and adjustments can then be made to improve the network performance. For

instance, call drop rates will give an initial indication of the areas within the network that have insufficient

coverage and then traffic counters can be used to identify capacity problems. Based on these

measurements, the network can optimize the performance by trading off capacity and coverage. Specific

procedures include the capability to collect connected and idle mode UE measurements at the eNB via

call trace procedures. These measurements can then be processed to identify capacity needs and

coverage holes.

Cell Outage Compensation. The configuration changes, for compensating a cell outage, influence the

network performance. Operator policies may range from only providing coverage, up to guaranteeing high

quality in the network. Policies could be different for various cells in the network and may vary for cell

outage situations and normal operation situations. Furthermore, the policies may be declared differently

depending on the time/day of the week. A general framework for defining an operator policy, taking into

account the above mentioned aspects, is being discussed in 3GPP.

Energy Savings. Energy savings mechanisms will aid the deployment of increasing numbers of cells

through the autonomous switch-off decision in basestations. 3GPP has defined such mechanisms along

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with accompanying features where neighboring eNBs are informed about switch-off. Where neighboring

eNBs can request switch-on is being considered in 3GPP in inter-RAT deployment scenarios.

Self-Healing. Self-healing mechanisms mitigate the faults, which could be solved automatically by

triggering appropriate recovery actions. The self-healing functionality also monitors the execution of the

recovery action/s and decides the next step accordingly. 3GPP is examining the triggers and recovery

aspects of self-healing mechanisms for different types of faults.

Minimization of Drive Tests (MDT). Traditional drive test procedures to determine coverage for various

locations is expensive in terms of staff, time and equipment needed. Rel-10 initiated work on defining

automated solutions, including involving UEs in the field to reduce the operator costs for network

deployment and operation. The concept of Drive Test (DT) substitution is to use actual UE data to

substitute for DT to help measure coverage vs. position, etc. In addition, UE data can in some areas

improve upon conventional DT by helping measure dropped calls versus position. Furthermore,

coordinated acquisition of UE and network data provides significant potential for surpassing DT in a more

fundamental way. 3GPP has concluded that it is feasible to use control plane solutions to acquire the

information from devices.

3GPP Rel-10 defined two modes of reporting for the MDT measurements, namely, Immediate MDT and

Logged MDT. A UE in connected mode is configured with Immediate MDT that implies immediate

reporting. A UE in idle mode of operation is configured with Logged MDT.

Specific measurements supported for Immediate MDT performance and for logged MDT for E-UTRAN

are specified in Rel-10. MDT measurement collection task are specified to be initiated in two distinct ways

namely Management based MDT and Signalling based MDT.

Rel-10 has specified that the MDT data reported from UEs and the RAN may be used to monitor and

detect coverage problems in the network including coverage hole, weak coverage, pilot pollution,

overshoot coverage, coverage mapping, UL coverage.

5.1.8 VOCODER RATE ADAPTATION

The main focus in Rel-10 for Vocoder Rate Adaptation was to study and specify agreed enhancements to

existing (pre Rel-10) codec selection and codec rate adaptation based on network loading conditions and

operator policies over UTRA and E-UTRA. Considered were the definition of the signalling and

interfaces:

To perform codec selection based on network loading conditions and operator policies (as exemplified in the previous section) at call setup over both UTRA and E-UTRA

To perform codec data rate adaptation (if possible for the selected codec and needed by the service) based on network loading conditions at call setup over UTRA

To perform codec data rate adaptation (if possible for the selected codec and needed by the service) for non-voice RTP-based services based on network loading conditions at call setup over E-UTRA (S4)

To perform codec data rate adaptation (if possible for the selected codec and needed by the service) based on network loading indications during an on-going call over both UTRA and E-UTRA (SA4)

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Support of codec rate adaptation by IMS Core Network entities (for example, MGCF/MGW, IBCF/TrGW, etcetara)

Setting of Maximum Bit Rate (MBR) to be greater than the Guaranteed Bit Rate (GBR) over E-UTRA

5.2 HSPA+ ENHANCEMENTS FOR RELEASE 10

5.2.1 FOUR CARRIER HSDPA OPERATION

Motivated by surging traffic volumes and growing demand for increased data rates, support for non-

contiguous four carrier HSDPA (4C-HSDPA) operation was introduced in Rel-10. Relying on the same

principles as Rel-8 DC-HSDPA and the Rel-9 extensions of DC-HSDPA operation, together with dual-

band operation or MIMO operation, which are further described in Appendix B.1.1 - B.1.2, 4C-HSDPA

enables the base station to schedule HSDPA transmissions on up to four 5 MHz carriers simultaneously.

With the highest modulation scheme (64QAM) and 2X2 downlink MIMO configured on all downlink

carriers this enables a peak data rate of 168 Mbps. However, besides doubling the peak data rate, 4C-

HSDPA operation will also double end-user data rates (burst rates) for a typical bursty traffic model when

compared to Rel-9 DC-HSDPA with MIMO.

The performance gain from multi-carrier operation is based on the resource pooling principle.116

If multiple

downlink carriers are pooled, increased spectrum utilization efficiency can be achieved since the

probability of having unused resources reduces. This phenomenon is sometimes also referred to as

―trunking efficiency.‖ It is interesting to note that in a system using 4X5 MHz carriers (but where only

single-carrier operation and load balancing are supported), 4C-HSDPA will yield a fourfold increase in

both peak and end-user data rates.117

118

For 4C-HSDPA the configured system can be spread over two frequency bands. Similarly, as in Rel-9

DB-DC-HSDPA operation, the following band combinations are supported (one for each ITU region):119

Band I (2100 MHz) and Band VIII (900 MHz): Two or three 5 MHz carriers can be configured in

Band I simultaneously as one 5 MHz carrier is configured in Band VIII

Band II (1900 MHz) and Band IV (2100/1700 MHz): One or two 5 MHz carriers are configured in

Band II simultaneously as one or two 5 MHz carriers are configured in Band IV

Band I (2100 MHz) and Band V (850 MHz): One or two 5 MHz carriers are configured in Band I

simultaneously as one or two 5 MHz carriers are configured in Band V

In addition to these dual-band configurations, it is also possible to configure three adjacent carriers in

Band I (2100 MHz) only (therefore, without configuring any carriers in another frequency band). The

116 D. Wischik, M. Handley, M. Bagnulo Braun, The Resource Sharing Principle, ACM SIGCOMM Computer Communication

Review, Vol 38, No 5, October, 2008. 117

3GPP Tdoc R1-091082, RAN1 findings of the UTRA Multi-Carrier Evolution study. 118

K. Johansson et al, Multi.Carrier HSPA Evolution, In Proceedings of VTC, spring 2009. 119

3GPP Tdoc R4-103975, Introduction of frequency bands for 4C-HSDPA, Ericsson, RAN4 Adhoc meeting, Xian, China, October 11th – 15th, 2010.

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different configurations for 4C-HSDPA in Rel-10 are illustrated in Figure 5.11. Introduction of additional

band combinations can be done in a release-independent manner.

Figure 5.11. Illustration of the supported configurations in Rel-8 DC-HSDPA, Rel-9 DB-DC-HSDPA and

DC-HSDPA with MIMO, and Rel-10 4C-HSDPA with MIMO.120

As shown in Figure 5.11 all carriers configured in a frequency band need to be adjacent in Rel-10 4C-

HSDPA. This is because only supporting adjacent configured carriers will facilitate a simplified UE design

employing a single receiver chain per band. However, it should be noted that the protocol specifications in

principle support non-contiguous configurations of downlink carriers within a band.

To a large extent 4C-HSDPA operation reuses the L1/L2 solutions standardized for Rel-8 DC-HSDPA,

and Rel-9 DC-HSDPA with MIMO, to a large extent. L1 changes are limited to changes of the L1

feedback channel (HS-DPCCH). More specifically, to accommodate the doubling in L1 feedback

information, the spreading factor for this physical channel was reduced from 256 to 128. The L2 changes

are limited to increased UE buffer sizes for the RLC AM and MAC-(e)hs buffers, for example, and with

4C-HSDPA, this means that a UE can be scheduled in both the primary serving cell and the secondary

serving cells over a total of four HS-DSCH transport channels. As in previous multi-carrier features (see

Appendix B.1.1 - B.1.2) HARQ retransmissions, coding and modulation are performed independently for

activated downlink carriers and streams. One configuration that received special attention within Rel-10 is

the configuration where three carriers are configured without MIMO. In order to maintain similar HS-

DPCCH uplink coverage as in Rel-8 and Rel-9, a new HARQ-ACK codebook was designed for this

configuration.

120 The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011.

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As for the multi-carrier features standardized in Rel-8 and Rel-9, all secondary serving carriers can be

dynamically deactivated and reactivated in a fully flexible manner by means of HS-SCCH orders

transmitted by the serving base station. Thus, HS-SCCH orders enable an efficient means for:

Dynamic load balancing. This is possible since different users can be configured by the S-RNC

to have different primary serving cells. This may increase user data rates.

UE battery savings. Deactivating all downlink carriers in a frequency band enables the UE to

switch off the receiver chain for this particular band. This can yield significant battery savings in

traffic scenarios where the data arrives in bursts.

These two advantages are illustrated in Figure 5.12.

Figure 5.12. Illustration of the Conceptual Gains that can be Achieved by Dynamic Deactivating

Secondary Carriers by Means of HS-SCCH Orders.121

In Figure 5.12, user 1 (white) has carrier c3 as its primary serving cell and user 2 (light blue) has carrier

c1 as its primary frequency. The left side of Figure 5.12 depicts a scenario where both users have all

carriers activated and the users are scheduled in a CDM fashion. The right side of Figure 5.12 illustrates

the scenario where the serving Node-B has deactivated part of the secondary serving cells. This may

increase data rates (due to less intra-cell interference) as well as enable significant UE battery savings

(since the can switch off one of its receiver chains).

5.2.2 SUMMARY OF 3GPP SUPPORTED BAND COMBINATIONS FOR MULTICARRIER HSDPA

Dual-Cell HSDPA was introduced to 3GPP Rel-8, and all the bands defined for UMTS FDD operation

were extended to support operating two adjacent carriers in a DC-HSDPA configuration. For

completeness, this is shown in Table 5.2.

Table 5.2. 3GPP-defined Dual-Cell HSDPA Band Combinations.122

DC-HSDPA band # of carriers 3GPP release Band I…Band XIV and Band XIX

* 2 Rel-8

* All bands defined for UMTS FDD were extended to support DC-HSDPA

Dual-Band Dual-Cell was introduced to Rel-9, and in Rel-10 new band combinations were introduced.

The later band combinations were (and are) introduced in a release-independent manner meaning that a

121 The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011.

122 3GPP TS25.101, channeling TS25.101 table 5.0.

+ +

c c c4

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Rel-9 device is able to indicate support for the DB-DC-HSDPA band combinations introduced to Rel-10

(and later). The DB-DC-HSDPA band combinations currently supported by 3GPP are listed in Table 5.3.

Table 5.3. 3GPP-defined Dual-Band Dual-Cell HSDPA Band Combinations.123

Dual Band DC-HSDPA Configuration

Band A Band B 3GPP release

1 I (2100 MHz) VIII (900 MHz) Rel-9 2 II (1900 MHz) IV (1.7/2.1 GHz) Rel-9 3 I (2100 MHz) V (850 MHz) Rel-9 4 I (2100 MHz) XI (1500 MHz) Rel-10 5 II (1900 MHz) V (850 MHz) Rel-10

4-Carrier HSDPA was introduced to Rel-10, and in Rel-11 new 4C-HSDPA band combinations were

introduced. The later band combinations were (and are) introduced in a release-independent manner

meaning that a Rel-10 device is able to indicate support for the 4C-HSDPA band combinations introduced

to Rel-11 (and later). The 4C-HSDPA band combinations currently supported by 3GPP are listed in Table

5.4.

Table 5.4. 3GPP 4-Carrier HSDPA Band Combos with all Carriers within a Band Adjacent to each

other.124

4C-HSDPA Configuration

Band A Band B Carrier combination

3GPP release

I-3 I (2100 MHz) N/A 3 Rel-10 II-3 II (1900 MHz) N/A 3 Rel-11 II-4 4 Rel-11

I-2 – VIII-1 I (2100 MHz) VIII (900 MHz) 2+1 Rel-10 I-3 – VIII-1 3+1 Rel-10 I-2 – VIII-2 2+2 Rel-11 I-1 – V-2 I (2100 MHz) V (850 MHz) 1+2 Rel-10 I-2 – V-1 2+1 Rel-10 I-2 – V-2 2+2 Rel-11 II-1 – IV-2 II (1900 MHz) IV (1.7/2.1) 1+2 Rel-10 II-2 – IV-1 2+1 Rel-10 II-2 – IV-2 2+2 Rel-10 II-1 – V-2 II (1900 MHz) V (850 MHz) 1+2 Rel-11

4-Carrier HSDPA operation within one band with two non-adjacent carrier blocks was introduced to Rel-

11. The band combinations currently supported by 3GPP are listed in Table 5.5. Possible future band

combinations will be introduced in a release independent manner, meaning that, for example, a Rel-11

capable device can indicate new band combinations introduced to Rel-12.

123 3GPP TS25.101, rehashed TS25.101 table 5.0aA.

124 3GPP TS25.101, rehashed TS25.101 table 5.0aB and 5.0aC

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Table 5.5. 3GPP-defined 4-Carrier HSDPA Single Band Non-Adjacent Carrier Combinations.125

Single-band non-adjacent 4C-HSDPA

Configuration

Band Carrier combination

Gap between band blocks

3GPP release

I – 1-5-1 I (2100 MHz) 1+1 5 MHz Rel-11 I – 1-5-2 1+2 5 MHz Rel-11

I – 1-10-3 1+3 10 MHz Rel-11 IV – 1-5-1 IV (1.7/2.1 GHz) 1+1 5 MHz Rel-11 IV – 1-10-2 1+2 10 MHz Rel-11 IV – 2-15-2 2+2 15 MHz Rel-11 IV – 2-20-1 2+1 20 MHz Rel-11 IV – 2-25-2 2+2 25 MHz Rel-11

8-Carrier HSDPA was introduced to Rel-11. The band combination currently supported by 3GPP is

shown in Table 5.6. Possible future band combinations will be introduced in a release independent

manner, meaning that, for example, a Rel-11 capable device can indicate new band combinations

introduced to Rel-12.

Table 5.6. 3GPP-Defined 8-Carrier HSDPA Combinations.126

DC-HSDPA band # of carriers 3GPP release Band I (2100 MHz) 8 Rel-11

5.3 NETWORK AND SERVICES RELATED ENHANCEMENTS

3GPP is currently defining system and service enhancements that will be needed to help deliver the

expected advance applications that users will demand in the future.

5.3.1 HOME NODEB/ENODEB ENHANCEMENTS

For UMTS HNB, only basic solutions for inbound handover were defined in Rel-8/Rel-9. For example,

inter-RAT handover, from UTRA macrocell to LTE femtocell is not supported. For UMTS, a new interface

(Iurh) was introduced in Rel-10, which was an Iur-like interface between HNBs. This allowed the addition

of two new mobility features:

Hard handover HNB <> HNB using enhanced SRNS relocation, with no CN involvement

Soft Handover HNB <> HNB with no CN involvement

Both these scenarios were intra-CSG.

For LTE, Enhanced HeNB-HeNB HO intra CSG and X2 HO was introduced.

5.3.2 LIPA/SIPTO

125 3GPP TS25.101, rehashed TS25.101 table 5.0aE.

126 3GPP TS25.101, rehashed TS25.101 table 5.0aD.

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3GPP had requirements on Local IP Access to the home and Internet in Rel-9 but those features were

not completed as part of Rel-9 and the work was moved to Rel-10. Due to the fact that 3GPP radio

access technologies enable data transfer at higher data rates, the 3GPP operator community shows

strong interest in offloading selected IP traffic not only for the HeNB Subsystem but also for the macro

layer network (therefore, offload selected IP traffic from the cellular infrastructure and save transmission

costs).

From a functional and architectural perspective, the issues for selected IP traffic offload are similar for

HeNB Subsystem and for macro layer network and therefore there are commonalities with regard to

architecture decisions.

Support of Local IP access for the HeNB Subsystem, and selected IP traffic offload for the HeNB

Subsystem and for the macro layer network is required in 3GPP TS 22.220 and TS 22.101. The following

functionalities are being defined:

Local IP access – LIPA – to residential/corporate local network for HeNB Subsystem

Selected IP traffic offload (Internet traffic, corporate traffic, etc.) for the macro network (3G and

LTE only)

Note that Selected IP traffic offload – SIPTO– (for example, Internet traffic) for a HeNB Subsystem is a

subject for discussion in Rel-12, assuming the GW is collocated in the H(e)NB or in the local network.

Local IP Access provides access for IP capable UEs connected via HeNB (therefore, using HeNB radio

access) to other IP capable entities in the same residential/enterprise IP network, including multicast traffic

(for example, discovery protocols) (Figure 5.13). Data traffic for Local IP Access is expected to not traverse

the mobile operator‘s network except mobile operator network components in the residential/enterprise

premises. Signalling traffic will continue to traverse the mobile operator network. The residential/enterprise

IP network itself and the entities within that network are not within the scope of 3GPP standardization.

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Figure 5.13. Diagrammatic Representation of the Residential IP Network Connected to a HeNB.

5.3.2.1 LIPA

The Local Internet Protocol Access (LIPA) breakout is performed in the same residential/enterprise IP

network. Figure 5.14 illustrates this breakout at a Local Gateway (L-GW) in the residential/enterprise IP

network.

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Figure 5.14. LIPA Breakout in the Residential/Enterprise IP Network.

For Rel-10, the support of LIPA is based on traffic breakout performed within a H(e)NB using a local PDN

connection. Further, the Rel-10 specifications are limited to supporting only an L-GW collocated with a

H(e)NB without mobility. This solution is applicable for breakout "in the residential/enterprise IP network."

Mobility support is intended to be completed in Rel-12.

Figure 5.15 shows an alternative architecture for LIPA.

Figure 5.15. LIPA Solution for HeNB Using Local PDN Connection.

The salient features of the architecture shown above include the following:

A Local PDN Gateway (L-GW) function is collocated with the HeNB

The MME and SGW are located in the EPC

A Security Gateway (SeGW) node is located at the edge of the operator's core network; its role

(according to 3GPP TS 33.320) is to maintain a secure association with the HeNB across the IP

backhaul network that is considered insecure

A Home router/NAT device is located at the boundary of the home-based IP network and the IP

backhaul network, as typically found in DSL or cable access deployments today

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For completeness, also depicted is an external PDN Gateway (PGW) located in the operator's

core network. It is used for access to the operator services

5.3.3 FIXED MOBILE CONVERGENCE ENHANCEMENTS

The Fixed Mobile Convergence (FMC) scenario in 3GPP is part of the Evolved Packet System (EPC)

defined by 3GPP TS 23.402 where it is specified how a non-3GPP system can be connected to a 3GPP

EPC network. The interconnection of a non-3GPP system is based on two scenarios depending on

whether the non-3GPP network is considered a Trusted access network or an Untrusted access network.

In 3GPP specifications, the non-3GPP system can be any technology which is not defined by 3GPP, such

as WLAN, WiMAX, 3GPP2 and xDSL. However in some cases, the access characteristics are taken into

account, while in other cases it is assumed that the access network will support some 3GPP specific

features. A simple example is represented by APN and PCO. 3GPP assumes that, if supported, then the

UE has the same behavior in 3GPP access and in non-3GPP access; otherwise the UE cannot establish

a PDN connection from non-3GPP system, so the user cannot obtain the same services from both

networks.

Due to its nature, the FMC spans several standards organizations. The 3GPP and Broadband Forum

(BBF) started a collaboration and parallel work for definition of use cases, requirements, architecture and

protocol considering new 3GPP features such as H(e)NBs; Local Internet Protocol Access (LIPA) to

residential/corporate local networks; Selected IP traffic offload (SIPTO) for H(e)NBs; IP Flow Mobility and

seamless WLAN offload (IFOM); and new BBF features as support of IP session, definition of Policy

Framework and Broadband multi-service nodes.

Considering the complexity of the scenario, the work in 3GPP has been divided into three steps: the first

step considers the scenario of a 3GPP UE or a femtocell connected to the BBF access where the traffic is

always home routed; the second step considers the scenario of traffic offloaded to the broadband access,

(therefore, SIPTO/LIPA and non-seamless WLAN offload); the third scenario considers a more tight

convergent network. The first two steps are commonly identified as the interworking scenario. The above

work has been further organized into a study included in the 3GPP TR 23.839, and after the conclusion of

each step the normative specification will be modified accordingly.

The BBF has organized the parallel Fixed Mobile Convergence (FMC) work differently. The 3GPP

interworking use cases and requirements are defined in WT-203; however, some impact is expected on

the WT-134, which defines the use cases, requirements and the information model for the Broadband

Policy Control Framework.

The interworking scenario takes into account the Trusted/Untrusted model and the different mobility

protocols (for example, DSMIPv6 on s2c, PMIPv6 on s2b, etc.) defined in 3GPP TS 23.402, where the

generic non-3GPP access network has been substituted by the BBF access network with its own

characteristic. Figure 5.16 shows the reference architecture for Untrusted scenario with s2c and s2b (for

the other scenario refer to 3GPP TS 23.839 or to WT-203). The key interfaces are the S9* between the

PCRF and the BBF Policy Server and the STa*/Swa between the AAA Servers. The S9* interface

represents the enhancement of 3GPP S9 for supporting the transport of the QoS and Charging

information between the Broadband Policy Framework and the PCC. At the current stage of work, BBF

and 3GPP agreed that PCRF sends the 3GPP QoS rules to the BBF Policy Server which performs the

mapping to BBF QoS rules. However, since the BBF is defining the Policy Information Model and the

functionalities of the Policy Framework, many open issues are on the table and further work is required.

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For example, one of the main issues is related to the 3GPP UE authentication. The 3GPP specification

requires that UE authentication is EAP-based, but the BBF specification does not support EAP-based

authentication for a single device beyond the Residential Gateway (RG). In order to fulfill such

requirements and to enable device authentication for a fixed device, BBF has started the definition of the

support of EAP for IP sessions in WT-146. So, if the 3GPP UE is authenticated when attached to a

WLAN, both BBF access and 3GPP are aware of the UE identity, and the Policy server can start the S9*

session towards the PCRF. If the UE is not authenticated by BBF access network, then the PCRF shall

start the s9* session when the UE performs the attachment to the EPC, for example, during IPsec tunnel

establishment with ePDG. But this is a new procedure for the PCC. Another important open issue is

related to presence of the IPsec tunnel between the UE and the EPC network, which does not allow the

BBF access network to manage the single IP flow bearer which is tunneled and ciphered.

Figure 5.16. Reference Architecture for 3GPP-BBF Interworking – WLAN Untrusted Scenario.

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The current situation for a femto scenario, which is not shown in the figure, is more complex. The BBF

access network is only aware of the H(e)NB which is connected to the RG, but presence of a 3GPP UE

connected to a H(e)NB is completely unknown. In addition, traffic between the H(e)NB and the SeGW is

tunneled and ciphered. Currently, 3GPP is discussing three alternative scenarios for deriving, mapping

and binding the 3GPP bearer, the IP CAN session and the aggregate information per H(e)NB and per

tunnel. The different alternatives have different impacts on the 3GPP part of the architecture for

femtocells and PCC, so 3GPP intends to first agree on a solution and then bring it to the attention of the

BBF for agreement.

At this stage of the work we can presumably assume that the 3GPP EPC architecture and procedures

included in 3GPP TS 23.402, the PCC specification 3GPP TS 23.203 and the relevant Stage 3

specification will be enhanced for support of BBF interworking scenario. As mentioned above, the BBF is

working on the definition of the functionalities, procedures and parameters for the Policy Framework (WT-

134) so the implications of supporting interworking are not fully investigated.

In 3GPP, FMC work for 3GPP-BBF interworking has been completed in Rel-11 and is based on

requirements in BBF TR-203 and 3GPP TS 29.139. FMC work for convergence moved to Rel-12 and will

be based on requirements 3GPP TR 23.839 and 3GPP TR 23.896, and BBF WT-300.

5.3.4 MACHINE-TO-MACHINE COMMUNICATIONS

Machine-Type Communication (MTC) is a form of data communication that involves one or more entities

that do not need human interaction. Machine-Type Communications is different from current mobile

network communication services as it mainly involves communication among a large number of terminals

with little traffic per terminal. Smart meters with metering applications are expected to be among the early

MTC devices deployed by utility companies, which will be using the services provided by wireless network

operators. Many other MTC devices such as e-health monitors (running monitoring applications) are

envisioned and are expected to be widely used in the near future.

MTC functionality is provided by the visited and home networks when the networks are configured to

support Machine-Type Communication. The number of MTC devices may be several orders of magnitude

greater than ―traditional‖ devices. A service optimized for Machine-Type Communications differs from a

service optimized for human-to-human communications. By leveraging connectivity, Machine-to-Machine

(M2M) communication enables machines to communicate directly with one another. In doing so, M2M

communication has the potential to radically change the world around us and the way that we interact

with machines.

In the Rel-10 timeframe, 3GPP studied a number of M2M application scenarios to establish requirements

for 3GPP network system improvements that support Machine-Type Communications (MTC). The

objective was to identify 3GPP network enhancements required to support a large number of MTC

devices in the network and to provide necessary network enablers for MTC communication service.

Specifically, transport services for MTC, as provided by the 3GPP system and the related optimizations,

are being considered as well as aspects needed to ensure that data and signalling traffic related to MTC

devices do not cause network congestion or system overload. It is also important to enable network

operators to offer MTC services at a low cost level, to match the expectations of mass market machine-

type services and applications.

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The 3GPP Stage 1 on Machine-Type Communications (3GPP TS 22.368) describes common and

specific service requirements. Common service requirements include:

MTC device triggering

Addressing and Identifiers

Charging requirements

Security requirements

Remote MTC device management

Specific service requirements have been defined as MTC features:

Low Mobility

Time Controlled

Time Tolerant

Packet Switched (PS) Only

Small Data Transmissions

Mobile Originated Only

Infrequent Mobile Terminated

MTC Monitoring

Priority Alarm Message (PAM)

Secure Connection

Location Specific Trigger

Network Provided Destination for Uplink Data

Infrequent Transmission

Group Based MTC Features

The main MTC functionality specified by 3GPP in Rel-10 provides overload and congestion control

functionality. Considering that some networks already experienced congestion caused by M2M

applications, overload and congestion control was considered with high priority during Rel-10. A set of

functions have been specified for this. It includes introduction of low priority configuration, Mobility

Management congestion control, session management congestion control, RRC connection reject,

signalling reduction features and extended access barring for MTC devices. A low priority indicator is

sent by the UE to the network so that RAN and CN can take it into account in case of congestion or

overload situations (for example, reject a higher percentage of connection requests coming from low

access priority devices). Some of these functionalities are also available for terminals that are not

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specifically considered as low priority access terminals (for example, smart phones). Furthermore, some

already deployed M2M devices are generally using ―normal‖ access (therefore, do not provide the low

priority access indicator). The full range of MTC congestion and overload control means becomes

available when terminals specifically configured for MTC are used for M2M applications.

The congestion and overload control functions affect the overall system. Thus, specification of this feature

implied considerable efforts. Therefore, other MTC features were moved to Rel-11 and beyond.

5.3.5 SINGLE RADIO VOICE CALL CONTINUITY

As part of Rel-10 study, 3GPP is investigating techniques to improve the performance of Single Radio

Voice Call Continuity (SRVCC) handovers while minimizing impacts on the network architecture for

handovers of IMS voice sessions from 4G to 2G/3G CS, and from HSPA to 2G/3G CS systems.

The study was concluded in 3GPP Rel-10 timeframe, even though there were more than 10 alternative

solutions proposed in study phase. Those alternatives were narrowed down to two alternatives: SIP level

anchor and MGW anchor. The SIP level anchor solution was finally chosen as the specification solution

because it has less impact on CS entities, and is easier to deploy.

Figure 5.17 provides the reference architecture for SRVCC using the Access Transfer Control Function

(ATCF) enhancements (non-emergency session). The figure only depicts the specific reference points for

the ATCF.

Figure 5.17. IMS Service Centralization and Continuity Reference Architecture when Using ATCF

Enhancements.

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5.3.5.1 ACCESS TRANSFER CONTROL FUNCTION

The Access Transfer Control Function (ATCF) is a function in the serving (visited, if roaming) network.

When SRVCC enhanced with ATCF is used, the ATCF is included in the session control plane for the

duration of the call before and after Access Transfer. It should be noted that it is recommended for the

ATCF be co-located with one of the existing functional entities within the serving network (for example, P-

CSCF or MSC Server).

The ATCF shall:

Based on operator policy, decide to

o allocate a STN-SR

o include itself for the SIP sessions

o instruct the ATGW to anchor the media path for originating and terminating sessions

Keep track of sessions (either in alerting state, active or held) to be able to perform Access

Transfer of the selected session

Perform the Access Transfer and update the ATGW with the new media path for the (CS) access

leg, without requiring updating the remote leg

After Access Transfer, update the SCC AS that Access Transfer has taken place to ensure that T-

ADS has the information on the currently used access

Handle failure cases during the Access Transfer

After access transfer, and based on local policy, the ATCF may remove the ATGW from the media path.

This step requires remote end update.

If MSC Server assisted mid-call feature is used, then the SCC AS provides required session state

information on alerting, held and/or conference state for any transferred session.

The ATCF shall not modify the dynamic STI that is exchanged between the UE and SCC AS.

ATCF ANCHORING

The following implementation methods could be used to determine if the ATCF should be including itself

during registration:

If UE is roaming, based on the roaming agreement (for example, home operator also support

SRVCC enhanced with ATCF in SCC AS and HSS)

Based on local configuration (for example, if operator always deploys IBCF, MGCF etc. with

media anchor for inter-operator calls)

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Based on registered communication service and media capabilities of the UE

Based on the access type over which the registration request is sent

NOTE 1: If the ATCF decides not to include itself during registration, it will not be possible to use the

ATCF enhancements during and after the registration period.

The following implementation methods could be used to determine if the ATCF should anchor the media

in the ATGW for an originating or terminating call:

Based on whether the UE is roaming or not

Based on local configuration (for example, if operator always deploys IBCF, MGCF etc. with

media anchor for inter-operator calls)

Based on the communication service and media capabilities used for the session

Based on knowledge of which network the remote party is in

Based on the access type over which the request or response is sent

Based on the SRVCC capability of the UE

The decision to anchor media at the ATGW, during the session origination or termination, can occur

either at receipt of SDP before or after a round trip of SIP signalling with the remote party depending on

the method(s) used for determining whether to anchor media or not.

As part of another Rel-10 study, 3GPP investigated techniques for supporting seamless service continuity

for subsequent hand-back to VoLTE/Voice over HSPA (VoHSPA) IMS voice sessions initiated in

VoLTE/VoHSPA and previously handed over to 2G/3G CS access. Additionally, it investigated the

feasibility of enabling handovers of the voice calls directly initiated in 2G/3G CS with minimum impact to

CS core network and access nodes.

Several solutions were studied in the timeframe of 3GPP Rel-10, but because of lack of time, these

studies were moved to 3GPP Rel-11.

5.3.6 IMS SERVICE CONTINUITY (ISC) AND IMS CENTRALIZED SERVICES (ICS)

Work on functionality to provide aspects of Service Continuity has been underway in 3GPP for several

releases. Rel-7 saw the definition of Voice Call Continuity (VCC) and Rel-8 and Rel-9 built on this to

define Service Continuity (SC) and VCC for Single Radio systems (SRVCC). Rel-10 has added further

enhancements to these features including:

The procedures can be supported between devices belonging to different subscriptions

Initiation of the procedures can come from multiple devices rather than just one controlling device

Existing media can be replicated onto different devices

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For example, one user could be watching a video stream on a mobile device and a second user, sitting

next to them, or even on the other side of the world, could request that they can watch the same video

stream.

Rel-10 provides enhancement to the performance characteristics of SRVCC to reduce the voice break

experienced by users, for example in some roaming scenarios. SRVCC was also enhanced to support

transfer of a call during the alerting phase.

No significant changes to the Rel-8/Rel-9 ICS features were made in Rel-10.

5.3.7 INTERWORKING WITH WI-FI

Wi-Fi capability is becoming a commonplace feature on high-end smart phones. End-users with a Wi-Fi

capable handset have the potential to experience higher aggregate throughput, and potentially relaxed

usage caps, at a Wi-Fi hotspot. Network operator control of this capability in any form affords the operator

another tool to protect precious licensed spectrum by managing the offload of certain classes of traffic to

unlicensed spectrum.

WLAN (Wi-Fi) access to the 3GPP packet core was introduced in 3GPP Rel-6, but deployment of this

version of the capability was very limited. 3GPP Rel-8 and Rel-9 introduced different solutions for

standard mobility between 3GPP and WLAN access:

With host-based mobility (DSMIPv6 client in the UE)

With network-based mobility (PMIPv6 support in ePDG)

A UE can connect to one PDN127

over a 3GPP access (for example, for VoIP/IMS) and to a second PDN

over a non-3GPP access (for example, for HSI over Wi-Fi), but partial handovers when the UE does not

move all its PDN connections or all the IP flows within a PDN connection from source to target access are

not described in Rel-8 or Rel-9. This partial handover case is addressed through the following Rel-10

enhancements to the core packet network:

Authentication-only, ―non-seamless‖ access to the Internet is authenticated using the 3GPP USIM

credentials of the handset. This type of access is characterized by a new IP address allocated at

the Wi-Fi hotspot that can be used for access to the public Internet through that hotspot;

seamless mobility is not provided with this approach. Use of the 3GPP USIM credentials for

authentication is simpler than manual authentication by the end-user and more secure than the

MAC-based authentication used at some hotspots.

Multi-Access PDN Connectivity (MAPCON) provides the capability for 3GPP terminals to

establish multiple connections to different PDNs via different access systems. MAPCON

provides a selective transfer of PDN connections between accesses: Upon inter-system handover

(for example, triggered by the detection by the UE of WLAN coverage in addition to the 3GPP

coverage), the UE may transfer only a subset of the active PDN connections from the source to

the target access. This MAPCON feature is characterized by multiple packet core IP addresses at

127 PDN = Packet Data Network. Corresponds to an APN. Connection to a PDN implies the allocation of at least an IP address to the

UE

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the UE, any of which may be moved (but unchanged) between 3GPP and WLAN/Wi-Fi access

without impacting the 3GPP access connectivity of the other IP addresses. This allows that 3GPP

systems keep the PDN connection for VoIP/IMS over 3GPP and only moves the PDN connection

for HSI/Internet/VPN over Wi-Fi.

IP Flow Mobility (IFOM) provides the capability for 3GPP terminals to access a PDN connection

via a non-3GPP WLAN access such as a wireless hotspot, while maintaining connectivity to the

same PDN connection (IP address) via the 3GPP radio. The feature also introduces the

infrastructure for IP Flow Mobility as specified in 3GPP TR 23.261 for seamless mobility of

individual IP flows between 3GPP access and WLAN access. Notably this feature permits

individual flows to the same PDN connection to be routed over different access based on network

policy; for example, best-effort traffic may be routed over WLAN while QOS-sensitive traffic such

as voice telephony may be routed only over the 3GPP radio. This feature is characterized at the

UE by the ability to move a flow between 3GPP and WLAN/Wi-Fi.

5.3.8 UICC SMART CARD

USIM application in the UICC plays a key role in 3GPP. Generally known for its portability and for holding

the user‘s subscription, it plays, in fact, many other roles in the new development of 3GPP standards.

The USIM application plays key roles in deployment of femtocells (H(e)NB), MTC devices, I-WLAN, IMS

and ICE (In Case of Emergency) services.

By residing at heart of the handset or MTC devices and being fully controlled by the operator, it is

complementary to the network. The USIM stores key information:

Bootstrap information, that accelerates connection of the UE to the network

Subscription credentials, that authenticate the user to the network, and provide seamless access

to IP-multimedia services

Access control information, that avoid access to the network by the UE in case of network

congestion

User information and preferences that allow the user to renew their handset without needing to

reconfigure their new handset or lose their contacts information

UICC access to IMS

Rel-10 introduces new UICC capabilities, allowing USAT application to have access to IMS services. With

users having multiple mobile devices, this new feature could allow simpler OTA management of their

subscription, or allow UICC remote management over the Internet. On the Internet service side, UICC

access to IMS allows seamless user authentication to Internet services (Identity Management service).

In other use cases, the UICC application could act as an IMS session controller by starting an IMS

session and directing a multimedia flow to a display device (a large TV screen) while directing the audio

towards Hi-Fi speakers.

CSG list display control

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In some H(e)NB deployments, operators need to keep full control of the CSGs to which a user could

connect. Rel-10 USIM and Handset allows the operator to do so by disabling the display of the CSG list to

the user via the USIM.

Extended Access Control

It is anticipated that billions of MTC devices will be deployed in the not-so-far future. Such massive

numbers of devices could generate huge quantities of signalling under the usual (human-like

communication) conditions on the network. It is necessary to create new mechanisms to avoid signalling

congestion when a large number of MTC devices try to connect to the network at the same time (for

example, after a network failure). Rel-10 introduces new NAS configuration parameters that are stored

inside the USIM.

Initially defined for MTC devices use, these parameters were used rapidly afterwards for all UEs.

USIM usage restriction to specific MTC devices

In the scope of the USIM enhancement for MTC devices deployment, 3GPP is to define new mechanisms

that would restrict the use of some USIM (on a per subscription basis) to specific MTC devices. For

example, to prevent a misusage of a MTC subscription (for a photo-frame) in a handset for sending SMS

or browsing the Internet, while it was originally dedicated to synchronize with a photo-album web site.

USAT-based pairing or Secure channel-based pairing has been identified to perform such restriction.

USAT over modem interface

In the M2M context, the MTC device can be a simple modem with limited USAT functions. The entity that

is connected to the modem can provide USAT functions. Such ―Connected Entity‖ can be, for instance, a

PC, a display, a keyboard, etcetera. The USAT over modem interface allows USAT commands to be sent

to the ―Connected Entity,‖ using AT commands for transport.

Smart Card Web Server launch pad

A Smart Card Web Server (SCWS) is an application inside the UICC that is actually ―seen‖ from an

application inside the handset as a Web Server. A browser in the handset could, for instance, send HTTP

requests to the Smart Card Web Server and have access to the UICC services as if they were hosting at

a server on the Internet! But in this case it is actually hosted locally inside the UICC. Intuitive contact

book, customer care service, or interactive user manual has been implemented on such technology.

Often, it is difficult (therefore, after several clicks on the handset menu) for the user to get access to the

SCWS application. Rel-10 USIM allows the user to have access to the SCWS application in just one click.

Relay Nodes

A Relay Node (RN) is used to extend network coverage and throughput in boundary areas. A RN acts as

a UE toward the network, while acting as a Base Station toward other UEs.

A mandatory USIM-RN (USIM Relay Node) has been specified to perform mutual authentication between

the Relay Node and the network by means of EPS AKA, and to provide one-to-one binding of the RN and

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the UICC thanks to a secure channel. The secure channel is mandatory and is established either by using

symmetric pre-shared keys or by certificates.

When using certificates, the UICC inserted in the RN shall contain two USIMs:

A USIM-RN, which shall perform any communication only via a secure channel, and

A USIM-INI that communicates with the RN without a secure channel and which is used for initial

IP connectivity purposes prior to RN attachments

When using psk TLS (symmetric pre-shared keys), USIM-INI is not required.

5.3.9 IP-SHORT-MESSAGE-GATEWAY ENHANCEMENTS FOR CPM-SMS INTERWORKING

Among other services, CPM service offers both a pager mode messaging user experience similar to

instant messaging, as well as a session-based mode messaging user experience. CPM has requirements

to support interworking between a CPM user and an SMS user using both pager mode messaging and

session-based messaging.

Through Rel-9, the IP-SM-GW supported the pager mode messaging interworking between instant

messaging users and SMS users, but not the session-based mode.

In Rel-10, Stages 1, 2 and 3 work was done to improve the IP-SM-GW for supporting the session-based

messaging interworking between CPM users and SMS users. Stage 2 built upon the current principles

and architecture of the IP-SM-GW, and enabled the session-based messaging interworking between

SMS users and session-based messaging users, with the following aspects:

Establishment and release of a messaging session with an SMS user (the establishment may be

subject to the consent of the SMS user)

Delivery of session-based message to an SMS user

o Invite a SMS user to a session-based group conversation with appropriate instructions on

how to join, exit and message exchange

o Give the service provider the opportunity to control the representation of messaging sessions

(both for peer-to-peer and group sessions) towards the SMS user, with a number of options:

1. Let the network accept the messaging session on behalf of the SMS user without seeking

consent with the SMS user and subsequently relay the messages sent within the context

of the messaging session

2. Let the network deny the creation of (certain types) of messaging sessions on behalf of

the SMS user, without seeking consent with the SMS user

3. Let the network ask for consent with the SMS user before accepting the messaging

session, and let the SMS user determine whether the messaging session needs to be

accepted

Notification of delivery status

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There is no impact to the current SMPP protocol. Stage 2 TR 23.824 captured the architecture and 3GPP

23.204, 29.311 were updated.

5.3.10 LAWFUL INTERCEPTION LI10 IN RELEASE 10

SA WG3-LI completed its work for Rel-10 and the lawful interception specifications, TS 33.106, TS

33.107 and TS 33.108 were enhanced for the following:

CAT (Customer Alerting Tones) & CRS (Customized Ringing Signal)

IMS Media security

H(e)NB

IMS Enhancements

EPS Enhancements

Location Information Reporting

TS 33.106, TS 33.107 and TS 33.108 specify the lawful interception requirements, architecture and

functions, and the HI2 (Intercepted Related Information) and HI3 (Communications Content) interfaces to

the Law Enforcement Monitoring Facilities (LEMF) for 3G networks.

5.4 RELEASE-INDEPENDENT FEATURES

While most 3GPP features are introduced in a specific release (for example, Rel-99, Rel-5, Rel-6, etc.),

there are some features that can be introduced in a release-independent fashion. The main features that

are release-independent are the introduction of new frequency bands and the carrier configurations for

DC-HSPA and LTE CA. The significance of these features being release-independent is that they can be

standardized after a release is completed but can still be applicable to the earlier release.

This means that if a new frequency band or DC-HSPA/CA configuration has been approved in 3GPP for

inclusion in the specifications (therefore, co-existence and interference studies have been performed and

agreed to not introduce performance degradations to adjacent frequency bands), then these can be

applicable to any release and do not have to wait for the completion of the next major 3GPP Release.

These updates can occur with the approval of the RAN plenary, more or less every quarter, by updating

3GPP TS 36.307.

5.4.1 BAND COMBINATIONS FOR LTE-CA

Specifically for the LTE-CA combinations, a large number of combinations will need to be studied in order

to support the needs of the various operators throughout the world (see 3GPP R4-101062). It is clear that

the large amount of work needed to complete this will not be done before the plan release date for LTE

Rel-10. Consequently, it was decided that in LTE Rel-10, RAN 4 will complete the specifications for a set

of generic scenarios (Tables 5.7 and 5.8). It was also agreed that the additional CA scenarios will be

completed in a release-independent fashion.

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Table 5.7. Intra-Band Contiguous CA. 128

E-UTRA

CA

Band

E-UTRA

operating

Band

Uplink (UL) band Downlink (DL) band

Duplex

mode

UE transmit / BS receive

Channel

BW MHz

UE receive / BS transmit

Channel

BW MHz

FUL_low (MHz) – FUL_high (MHz) FDL_low (MHz) – FDL_high (MHz)

CA_40 40 2300 – 2400 501 2300 – 2400 50

1 TDD

CA_1 1 1920 – 1980 40 2110 – 2170 40 FDD

Note 1: BS requirements will be developed for both 50 MHz and 40 MHz aggregated channel BWs for the CA_40 scenario in release-

10 timeframe

Table 5.8. Inter-Band Non-Contiguous CA. 129

E-UTRA

CA Band

E-UTRA

operating

Band

Uplink (UL) band Downlink (DL) band

Duplex

mode

UE transmit / BS receive Channel

BW MHz

UE receive / BS transmit

Channel

BW MHz

FUL_low (MHz) – FUL_high (MHz) FDL_low (MHz) – FDL_high

(MHz)

CA_1-5

1 1920 – 1980 101 2110 – 2170 10

FDD

5 824 – 849 101 869 – 894 10

Note 1: Only one uplink component carrier is used in any of the two frequency bands at any time.

128 This table is based upon the table in 3GPP RP-100661.

129 This table is based upon the table in 3GPP RP-100661.

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6 RELEASE 11 – HSPA+ AND LTE-ADVANCED ENHANCEMENTS

Work on 3GPP Rel-11 is nearing completion. This section provides a snapshot of the status of Rel-11

work as of the June 2011 3GPP RAN Plenary meetings, and some changes are to be expected as 3GPP

works towards completing the release beyond. The timeline for Rel-11 completion will first be provided,

followed by an explanation of several of the LTE-specific enhancements, including Co-ordinated Multi-

Point (CoMP), Carrier Aggregation enhancements, further Heterogeneous networks enhancements, UL

enhancements, DL enhancements, relay enhancements, eMBMS service continuity and location

information, further SON enhancements, and signalling and procedure for interference avoidance for in-

device coexistence. The enhancements to HSPA+ in Rel-11 will then be discussed including DL and UL

enhancements as well as cell FACH improvements. Application and services related enhancements such

as Machine-Type Communications will then be examined and the section concludes with a discussion on

release independent features.

6.1 STATUS OF TIMELINE FOR RELEASE 11

The following Rel-11 timeline was agreed to:

Stage 1 target: September 2011

Stage 2 target: March 2012

Stage 3 target: September 2012

ASN.1 freeze: for core December 2012 (however the ASN.1 for RAN was recently pushed out to March

2013)

The work in 3GPP for Rel-11 is quite advanced and, at this time, no delays to the agreed timeline are

expected.

6.2 LTE-ADVANCED ENHANCEMENTS

6.2.1 COORDINATED MULTI-POINT TRANSMISSION AND RECEPTION

Coordinated Multi-Point transmission/reception (CoMP) is considered by 3GPP as a tool to improve

coverage, cell-edge throughput, and/or system efficiency. A study item has been initiated in 3GPP to

evaluate this technology for Rel-11.

6.2.1.1 PRINCIPLE

The main idea of CoMP is as follows: when a UE is in the cell-edge region, it may be able to receive

signals from multiple cell sites and the UE‘s transmission may be received at multiple cell sites regardless

of the system load. Given that, if the signalling transmitted from the multiple cell sites is coordinated, the

DL performance can be increased significantly. This coordination can be simple, as in the techniques that

focus on interference avoidance, or more complex, as in the case where the same data is transmitted

from multiple cell sites. For the UL, since the signal can be received by multiple cell sites, if the

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scheduling is coordinated from the different cell sites, the system can take advantage of this multiple

reception to significantly improve the link performance. In the following sections, the CoMP architecture

and the different CoMP schemes will be discussed.

6.2.1.2 COMP ARCHITECTURE

CoMP communications can occur with intra-site or inter-site CoMP as shown in Figure 6.1. With intra-site

CoMP, the coordination is within a cell site and can be achieved in Rel-8/Rel-9/Rel-10 using non-

optimized proprietary receiver transparent techniques. The characteristics of each type of CoMP

architecture are summarized in Table 6.1. An advantage of intra-site CoMP is that significant amount of

exchange of information is possible since this communication is within a site and does not involve the

backhaul (connection between base stations). Inter-site CoMP involves the coordination of multiple sites

for CoMP transmission. Consequently, the exchange of information will involve backhaul transport. This

type of CoMP may put additional burden and requirement upon the backhaul design.

BS0BS4

BS5 BS6

BS3 BS2

BS1

Cell0

Cell2

Cell1

Intra-site CoMP

X2

Inter-site CoMP

UE1

UE2

Figure 6.1. An Illustration of the Inter-Site and Intra-Site CoMP.

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Table 6.1. Summary of the Characteristics of each Type of CoMP Architecture.130

An interesting CoMP architecture is the one associated with a distributed eNB depicted in Figure 6.2. In

this particular illustration, the Radio Remote Units (RRU) of an eNB are located at different locations in

space. With this architecture, although the CoMP coordination is within a single eNB, the CoMP

transmission can behave like inter-site CoMP instead.

130 MIMO Transmission Schemes for LTE and HSPA Networks, 3G Americas, June 2009.

Coordinated

Scheduling,

Coordinated

Beamforming,

JP

CSI/CQI,

Scheduling

info

CSI/CQI,

Scheduling

Info

Information

shared

between sites

Intra-eNB

Inter-site

Intra-eNB

Intra-site

Vendor

Internal

Interface

CoMP

Algorithms

Inter-eNB

Inter-site

(1)

Coordinated

Scheduling,

Coordinated

Beamforming

Traffic +

CSI/CQI,

Scheduling

Info

Inter-eNB

Inter-site

(2)

Coordinated

Scheduling,

Coordinated

Beamforming,

JP

Coordinated

Scheduling (CS),

Coordinated

Beamforming,

JP

Backhaul

Properties

Baseband Interface

over small distances

provides very small

latencies and ample

bandwidth

Fiber-connected

RRH provides small

latencies and ample

bandwidth

Requires small

latencies only.

Requires small

latencies.

Bandwidth

dominated by

traffic.

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eNB

Cell0

Cell2

Cell1

Distributed eNB

UE1

RRU10

RRU12

RRU11

Fiber

Fiber

Fiber

Cell10

Cell11Cell12

Figure 6.2. An Illustration of Intra-eNB CoMP with a Distributed eNB.

The following four scenarios were considered for further development in Rel-11:

Scenario 1: Homogeneous network with intra-site CoMP Scenario 2: Homogeneous network with high Tx power RRHs Scenario 3: Heterogeneous network with low power RRHs within the macrocell coverage where the

transmission/reception points created by the RRHs have different cell IDs as the macro cell Scenario 4: Heterogeneous network with low power RRHs within the macrocell coverage where the

transmission/reception points created by the RRHs have the same cell IDs as the macro cell

6.2.1.3 DL COMP

In terms of downlink CoMP, three different approaches were studied: Coordinated scheduling, or

Coordinated Beamforming (CBF), Dynamic Point Selection (DPS) and Joint Processing/Joint

Transmission (JP/JT). In the first category, the transmission to a single UE is transmitted from the serving

cell, exactly as in the case of non-CoMP transmission. However, the scheduling, including any

Beamforming functionality, is dynamically coordinated between the cells in order to control and/or reduce

the interference between different transmissions. In principle, the best serving set of users will be

selected so that the transmitter beams are constructed to reduce the interference to other neighboring

users, while increasing the served user‘s signal strength. CoMP techniques are applicable for both

homogeneous and heterogeneous networks.

For dynamic point selection, the UE, at any one time, is being served by a single transmission point.

However, this single point can dynamically change; usually within a set of possible transmission points. In

JP/JT, the transmission to a single UE is simultaneously transmitted from multiple transmission points,

across cell sites. The multi-point transmissions will be coordinated as a single transmitter with antennas

that are geographically separated. This scheme has the potential for higher performance, compared to

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coordination only in the scheduling, but comes at the expense of more stringent requirement on backhaul

communication.

Depending on the geographical separation of the antennas, the coordinated multi-point processing

method (for example, coherent or non-coherent), and the coordinated zone definition (for example, cell-

centric or user-centric), network MIMO and collaborative MIMO have been proposed for the evolution of

LTE. Depending on whether the same data to a UE is shared at different cell sites, collaborative MIMO

includes single-cell antenna processing with multi-cell coordination, or multi-cell antenna processing. The

first technique can be implemented via precoding with interference nulling by exploiting the additional

degrees of spatial freedom at a cell site. The latter technique includes collaborative precoding and CL

macro diversity. In collaborative precoding, each cell site performs multi-user precoding towards multiple

UEs, and each UE receives multiple streams from multiple cell sites. In CL macro diversity, each cell site

performs precoding independently and multiple cell sites jointly serve the same UE.

The main enhancement in LTE-Advanced Rel-11 for supporting DL CoMP is the development of a

common feedback and signalling framework that can support JT, DPS, CBS and CBF. The common

framework allows for multiple non-zero-power CSI-RS resources, zero power CSI-RS resources, and

interference measurement resources to be configured for a UE via RRC signalling for the measurements

of the channel and interference respectively. The set of CSI-RS resources for which the measurements

can be made is defined as the CoMP resource management set, while the set of CSI-RS resources that

is being used by the UE to measure and report channel state information is defined as the CoMP

measurement set. The maximum size of the CoMP measurement set is three. The size of the CoMP

resource management set is still under discussion in RAN 1. The sets of resources in the CoMP

resources management set and the CoMP measurement set may be independent and are signaled to the

UE via RRC signalling. The signal quality measurement is based upon the CSI-RS reference signal

received power (RSRP). A precoding matrix index (PMI) and rank indicator (RI) is measured and

feedback to the eNB for one CSI-RS resource in the CoMP measurement set. Although not fully agreed in

RAN 1 yet, the likely case is that the configuration of each CSI-RS resource in the CoMP measurement

set is configured independently.

6.2.1.4 UL COMP

Uplink coordinated multi-point reception implies reception of the transmitted signal at multiple

geographically separated points. Scheduling decisions can be coordinated among cells to control

interference. It is important to understand that in different instances, the cooperating units can be

separate eNBs‘ remote radio units, relays, etc. Moreover, since UL CoMP mainly impacts the scheduler

and receiver, it is mainly an implementation issue.

To enable standardized UL CoMP, a UE-specific PUSCH DMRS base sequence and cyclic shift hopping

that can be configured via RRC signalling is defined to aid demodulation by reducing the interference or

increasing the reuse factor of DMRS. Furthermore, since the UL reception points may be decoupled

(therefore, different) from the DL transmission points, the implicit correspondence between the DL

assignment and the PUCCH ACK/NACK feedback may no longer apply. A new dynamic ACK/NACK

region is thus defined where the base sequence and cyclic shift hopping of the PUCCH are generated as

in Rel-10 by replacing the cell ID with a UE-specific parameter.

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6.2.1.5 COMP PERFORMANCE

The potential performance of CoMP was investigated in 3GPP RAN1. The outcome of which is

documented in 3GPP TR 36.819 v11.1.0131

. According to this document, for the case of resource

utilization below 35 percent, CoMP may provide a 5.8 percent performance gain on the downlink for the

mean user and a 17 percent gain for cell-edge users relative to to Het-nets without eICIC. For resource

utilization of more than 35 percent, CoMP may provide a 17 percent mean gain and a 40 percent cell-

edge.

6.2.2 CARRIER AGGREGATION

In order to support the bandwidth requirements for IMT-Advanced and be backward compatible to LTE

Rel-8 UEs, LTE-Advanced Rel-10 supported the concept of carrier aggregation. In Rel-10, multiple Rel-8

component carriers may be aggregated together and offer a means to increase both the peak data rate

and throughput. In LTE-Advanced Rel-11, the carrier aggregation feature was enhanced with better

support for TDD configurations, support of multiple timing advances in a UE, UL signalling enhancements

and PUCCH transmit diversity.

For LTE-Advanced Rel-11, the TDD UL and DL configuration can be configured to be different on

different component carriers on different bands. The focus will be on the case of aggregation of two

component carriers from two bands and on a common solution to support both full-duplex and half-

duplex. In terms of scheduling, cross carrier scheduling is supported while cross subframe scheduling will

not be supported. Similar to Rel-10, the PUCCH will be only on the primary cell. The exact details of the

UL control messaging are still being decided in 3GPP.

LTE-Advanced Rel-11 also extended the use cases that can be supported by carrier aggregation. In

particular the case where the transmission delays from the UE to the eNB are significantly different for the

different component carriers. This can occur if, for example, there is a repeater in one of the component

carrier. Aggregation of carriers with different transmission delays is accomplished by allowing the timing

advances in a particular UE for each of the component carriers to be different. Furthermore, carriers from

the same radio band but not contiguous in spectrum can also be aggregated in Rel-11. A new CA

configuration involving a DL-only FDD carrier is also defined.

The uplink control signalling for carrier aggregation was enhanced in Rel-11 with the support of multi-cell

periodic CSI multiplexing and multi-cell HARQ-ACK and periodic CSI multiplexing for the DL carrier

aggregation. The detail design of the multiplexing is still being discussed in 3GPP as well as whether to

support an additional form of Ack/Nack bundling. For PUCCH transmit diversity, LTE-Advanced Rel-11

will use spatial orthogonal-resource transmit diversity (SORTD), where the same modulated symbol is

transmitted on different orthogonal resources for different antennas for format 1b. It is also under

discussion to extend the bit length of the PDCP (Packet Data Convergence Protocol) sequence number

such that the LTE-Advanced peak rate can be achieved even with small data packets

During the definition of LTE-Advanced Rel-11, supports for new component carrier types were discussed

extensively. The main design considerations of the new carrier types are motivated by the potential

131 3GPP TR 36.819, ―Technical Specifcation Group Radio Access Network; Coordinated Multi-Point Operation for LTE Physical

Layer Aspects (Release 11)‖, V11.1.0 (2011-2012).

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benefits of enhanced spectral efficiency, improved support for heterogeneous networks and energy

efficiency. However, this feature has been delayed to Rel-12.

6.2.3 FURTHER HETEROGENEOUS NETWORKS ENHANCEMENTS (FEICIC)

Rel-11 is defining further enhancements to non-carrier aggregation based eICIC. 3GPP RAN1 has

agreed to consider UE performance requirements for UE receiver based techniques for 9dB cell range

expansion bias. The UE can cancel interference on common control channels of ABS caused by

interfering cells such as CRS signals of high power macrocells. The interference cancellation receiver

fully handles colliding and non-colliding CRS scenarios and removes the need for cell planning of

heterogeneous deployment. Without an IC-capable UE receiver, heterogeneous networks‘ eICIC can only

work effectively for non-colliding CRS cases. Performance requirements for IC-capable UEs are expected

to be defined in RAN4.

The performance gains from heterogeneous networks using eICIC in Rel-10 are expected to be 25 to 50

percent. FeICIC in Rel-11 will provide additional gains. Estimates for the gains vary and are in the range

of 10 percent to 35 percent.132

6.2.4 UPLINK ENHANCEMENTS

The main enhancements to the uplink that were investigated in Rel-11 were enhancements to the uplink

reference signals and improvements for new deployment scenarios including higher mobility and non-

uniform network deployments with low-power nodes, and improvements that address issues (for example,

relative phase discontinuity) in practical multi-antenna UE implementation. As a result of this

investigation, the main work identified was in the support of UL-CoMP which was described in Section

6.2.1 on CoMP. The rest of this study have then been pushed out to Rel-12.

6.2.5 DOWNLINK ENHANCEMENTS

Two major enhancements to the downlink were investigated in Rel-11: downlink signalling enhancement

with a new control channel (EPDCCH) and the downlink MIMO enhancement. For DL MIMO, 3GPP

completed the study and published the technical report, TR 36.871. However, due to Rel-11 timeline, the

DL MIMO work was put on hold and the work item will not start until later this year. The newly designed

EPDCCH will be a downlink control channel with increased control channel capacity, frequency-domain

ICIC, improved spatial reuse of control channel resource, beamforming and or/diversity, operation on the

new carrier type and in MBSFN subframes. The EPDCCH will be able to coexist on the same carrier as

legacy UE. The detailed design of the EPDCCH is still under current discussion in 3GPP. Consequently

only a high level discourse will be given here.

The EPDCCH is frequency multiplexed with the existing PDSCH. The logical to physical resource

mapping for the EPDCCH may be localized or distributed in the frequency domain. However the

132 Source: Based on 4G Americas member contributions. For one example of projections of feICIC gains, refer to 3GPP TSG-RAN

WG1 #66bis, R1-113566, Qualcomm, ―eICIC evaluations for different handover biases,‖ http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_66b/Docs/R1-113566.ziphttp://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_66b/Docs/R1-113566.zip or R1-112894, Huawei and HiSilicon, ―Performance evaluation of cell range extension‖ http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_66b/Docs/R1-112894.zip.

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EPDCCH and PDSCH will not be multiplexed together within a PRB pair. The only modulation scheme

supported for EPDCCH transmission is QPSK. DMRS is used for both localized and distributed

transmission of the EPDCCH. To simplify the design for Rel-11, EPDCCH SU-MIMO will not be

supported.

The antenna port to physical resource allocation will use both implicit configuration based upon the RE

location and UE-specific configuration. In PRB pairs that contain PDCH or PSS/SSS, the EPDCCH is not

transmitted. The UE is not expected to receive EPDCCH in a special subframe with special subframe

configuration 0 or 5 in normal CP, or special subframe configuration 0, 4, or 7 in extended CP. When a

UE detects its DL assignment defining a PDSCH allocation which overlaps with the PRB pair(s)

containing its DL assignment, the UE shall assume that the PDSCH scheduled by its DL assignment is

rate-matched around the PRB pair(s) containing its DL assignment. In addition, the UE shall assume that

the PDSCH scheduled by its DL assignment is not mapped to that PRB pair(s) containing its DL

assignment on any layer.

6.2.6 RELAYING ENHANCEMENTS

To further extend the fixed relay feature in Rel-10, the support for mobile relays will be defined in Rel-11.

The target scenario will focus on high speed trains because high speed public transportation is

increasingly being deployed worldwide. Providing traditional wireless service to these trains is especially

challenging because of the high Doppler frequency shift, high penetration loss, reduce handover success

rate and increase power consumption of the UEs. However, these issues can be mitigated by mounting a

relay on the train, with the backhaul connection via the eNBs along the railway, and with an outer antenna

installed on top of the train. The access connection to the UEs can be enabled via an antenna inside the

train. From the standardization point of view, several potential mobile relay system architectures are

being currently discussed; each having its own advantages and disadvantages. It is not yet clear which

mobile relay architecture will be selected.

6.2.7 MBMS SERVICE CONTINUITY AND LOCATION INFORMATION

In LTE Rel-11, E-UTRAN MBMS is enhanced to ensure MBMS service continuity in a multi-carrier

network deployment MBMS service area. MBMS services may be deployed on different frequencies over

different geographic areas. Rel-11 enhancements allow the network to signal assistance information to

MBMS capable devices that provide information relating to MBMS deployment, like carrier frequencies

and service area identities. In Rel-11, a MBMS capable device can indicate to the network interest in

MBMS services by indicating the carrier frequencies associated with the MBMS services of interest. The

MBMS interest indication by the device also allows the device to indicate the priority between MBMS

service and unicast service. The network uses the MBMS interest indication provided by the device for

mobility management decisions, so that the device is always able to use its receiver at the appropriate

carrier frequency layer to ensure continuity of MBMS services. In idle mode, a MBMS capable device can

prioritize a particular carrier frequency during cell reselections depending on the availability of MBMS

service of interest in that carrier frequency. To ensure MBMS service continuity in connected mode, the

MBMS interest indications received from the device are signaled to the target cell as part of handover

preparation procedure.

6.2.8 FURTHER SON ENHANCEMENTS

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Automatic Neighbor Relations. Rel-11 has identified the management aspects for the following SON

use cases in the context of UTRAN Automatic Neighbor Relation (ANR), including:

Intra-UTRAN ANR,

UTRAN IRAT ANR from UTRAN to GERAN, and

UTRAN IRAT ANR from UTRAN to E-UTRAN.

In addition to UTRAN ANR, Rel-11 has addressed management aspects for E-UTRAN IRAT ANR,

therefore:

ANR from E-UTRAN to GERAN,

ANR from E-UTRAN to UTRAN, and

ANR from E-UTRAN to CDMA2000

Load Balancing Optimization. Load balancing optimization aims to address unnecessary traffic load

distribution, beyond what is acceptable, and to minimize the number of handovers and redirections

needed to achieve load balancing. 3GPP Rel-11 has defined the following targets or the combination of

the following targets to use for load balancing: RRC connection establishment failure rate related to load,

E-RAB setup failure rate related to load, RRC Connection Abnormal Release Rate Related to Load, E-

RAB Abnormal Release Rate Related to Load and Rate of failures related to handover.

3GPP has defined additional specific load balancing related performance measurements for use in SON,

including: the number of failed RRC connection establishments related to load; the total number of

attempted RRC connection establishments; the number of E-RAB setup failures related to load; the total

number of attempted E-RAB setups; the number of abnormal RRC connection releases related to load;

the total number of RRC connection releases; the number of E-RAB abnormal releases related to load;

the total number of E-RAB releases; the number of failure events related to handover; and the total

number of handover events.

Handover Optimization. Handover (HO) parameter optimization function aims at optimizing the HO

parameters in such way to mitigate the problem scenarios, namely, too early handovers, too late

handovers and inefficient use of network resources due to HOs. While the optimization algorithms are

not specified, the exact set of HO parameters that may be adjusted by the algorithms is dictated by the

choice of triggered HO measurements made by the RRM entity in an eNodeB.

3GPP Rel-11 has specified two options for the location of the SON algorithm for HO parameter

optimization, namely, in the eNB(s), and in the element manager through which the parameter changes

are executed in the eNBs.

3GPP Rel-11 has specified a HO Parameter Optimization Monitor Function to be used for monitoring the

handover parameter optimization (for example, monitoring related performance counters or alarms), and

a HO Parameter Optimization Policy Control Function to be used for configuring the handover parameter

optimization policies.

3GPP Rel-11 has specified the collection of the following HO-related performance measurements from

the source and / or target eNB which can be useful in detecting HO-related issues on the cell level

namely, the number of RLF events happened within an interval after handover success; the number of

unnecessary handovers to another RAT without RLF; and specific performance measurements related to

handover failure (number of handover events, number of HO failures, number of too early HO failures,

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number of too late HO failures, number of HO failures to wrong cell, number of unnecessary HOs to

another RAT). Problem scenarios are identified based on UE measurements, Performance

measurements, and event capture and analysis.

Coverage and Capacity Optimization. The objective of capacity and coverage optimization is to

provide optimal coverage and capacity for the radio network.

In Rel-11, symptoms of capacity and coverage optimization problems, namely, coverage hole, weak

coverage, pilot pollution, overshoot coverage and DL and UL channel coverage mismatch are addressed

in detail. Inputs for the identification of the problem scenarios, namely, UE measurements, performance

measurements, alarms, and other monitoring information, for example trace data, are described.

UE measurements are sent within UE measurement reports and they may indicate the capacity and

coverage problem. Rel-11 has specified that a tradeoff between capacity and coverage needs to be

considered. Capacity- and coverage-related performance measurements collected at the source and/or

target eNB can be useful in detecting capacity- and coverage -elated issues on the cell level. Minimizing

Drive Tests (MDT) or HO-related performance measurements may be used also in detecting capacity and

coverage related issues on the cell level. Alarms, other monitoring information, for example trace data,

can be correlated to get an unambiguous indication of capacity and coverage problems. Parameters to be

optimized to reach capacity and coverage optimization targets are defined, namely, downlink transmit

power, antenna tilt, and antenna azimuth.

Logical Functions for CCO, namely CCO Monitor Function and CCO Policy Control Function, to be

used for configuring the capacity and coverage optimization policies are defined in Rel-11.

Options for the location of the centralized CCO SON algorithm are defined namely in the element

management or in the network management layer. Performance measurements related with CCO are

specified including: maximum carrier transmit power and mean carrier transmit power.

RACH Optimization Function. The objective of RACH Optimization is to automatically set several

parameters related to the performance of RACH. 3GPP has defined specific target values to be

configured by operators namely access probability and access delay probability. The RACH optimization

entity is specified to reside in the eNB. Performance measurements related with RACH optimization are

called out namely: distribution of RACH preambles sent and distribution of RACH access delay.

Energy Savings. 3GPP Rel-11 has spelled out the importance of Energy Savings Management for

Network Operators to look for means to reduce energy costs and protect the environment.

OAM of mobile networks can contribute to energy saving by allowing the operator to set policies to

minimize consumption of energy, while maintaining coverage, capacity and quality of service. The

permitted impact on coverage, capacity and quality of service is determined by an operator‘s policy.

3GPP Rel-11 has defined two energy saving states for a cell with respect to energy saving namely:

notEnergySaving state and energySaving state.

Based on the above energy saving states, a full energy saving solution includes two elementary

procedures: energy saving activation (change from notEnergySaving to energySaving state) and energy

saving deactivation (change from energySaving to notEnergySaving state).

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When a cell is in an energy saving state it may need neighboring cells to pick up the load. However, a cell

in energySaving state cannot cause coverage holes or create undue load on the surrounding cells. All

traffic on that cell is expected to be drained to other overlaid/umbrella cells before any cell moves to

energySaving state.

A cell in energySaving state is not considered a cell outage or a fault condition. No alarms should be

raised for any condition that is a consequence of a network element moving into energySaving state.

Criteria for the energySaving state is defined in 3GPP namely: degree of energy saving effect,

controllability from the network, and service availability.

The various Energy Savings Management (ESM) concepts can apply to different RATs, for example

UMTS and LTE. However, 3GPP has specified that some of these ESM concepts may be limited to

specific RATs and network elements, and specific solutions may be required for them.

In Rel-11, three general architectures that are candidates to offer energy savings functionalities are

described, namely: distributed, network management centralized, and element management centralized.

Energy savings management use cases, namely, the cell overlay use case and the capacity limited

network use case, are described in detail. Requirements for element management centralized energy

savings and distributed energy saving are specified. Coordination between energy saving and cell outage

is addressed.

Coordination between various SON Functions. 3GPP Rel-11 has identified and called out conflicts or

dependencies between SON Functions.

Conflict may happen when two or more SON Functions try to change the same network configuration

parameter. For example, there would be a conflict when one SON Function tries to increase the value of

one configuration parameter while the other SON Function tries to decrease the value of the same

configuration parameter. Another typical conflict example is Ping-Pong modification of one configuration

parameter between two or more SON Functions.

Dependency means the behavior of one SON Function may have influence on other SON Functions. For

example, CCO function may adjust the Neighbor Relation (NR) due to coverage optimization, and then

the changed NR will have an influence on Handover Parameter Optimization function.

SON Coordination means preventing or resolving conflicts or negative influences between SON functions

to make SON functions comply with an operator‘s policy.

For coordination of SON Functions whose outputs are not standardized, 3GPP has defined how the

Integration Reference Point (IRP) manager uses standardized capabilities to set the SON Function(s)

targets, and where needed their weights. For coordination of SON Functions whose outputs are

standardized, the context of optimization coordination is FFS. 3GPP has addressed the coordination

between SON functions below Itf-N and CM operations over Itf-N. Examples of conflict situations are

specified in Rel-11.

3GPP Rel-11 has called out the fact that in a real network, it is possible that centrally managed

operations via Itf-N and several SON Functions below Itf-N are running at the same time, and they may

try to change the same parameters during a short time period. So coordination is needed to prevent this

kind of conflict. If coordination between multiple SON Functions is necessary, 3GPP has identified a

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function referred to as a SON Coordination Function that will be responsible for preventing or resolving

conflicts. The SON Coordination Function may be responsible for conflict prevention, conflict resolution,

or both in parallel.

To prevent conflicts between the SON Functions, 3GPP has specified that the SON Functions may ask

the SON Coordination Function for permission before changing some specific configuration parameters.

As a basis for decisions, the SON Coordination Function will typically use the following inputs received

from the SON Function(s), such as: which SON Functions are modifying configuration parameters

(including information about vendor, release etcetera); the time duration for how long the configuration

parameter should not be interfered with (―impact time‖); the state of SON functions; the SON targets,

which are the justification for the configuration change; and possible impact of a parameter change on

other objects (―impact area‖). Additional information, such as the state of certain managed objects,

possible impact of the parameter change on Key Performance Indicators, priority of SON functions, and

SON coordination policies, is also specified.

The mode of operation between the SON Coordination Function and the SON Function, as well as the

role of the SON Coordination Function in the detection and attempts to resolve the conflicts, are specified

in Rel-11.

Minimization of Drive Tests. Rel-11 has described the general principles and requirements guiding the

definition of functions for Minimization of Drive Tests as follows:

1. MDT mode. There are two modes for the MDT measurements: Logged MDT and Immediate

MDT.

2. UE measurement configuration. It is possible to configure MDT measurements for the UE

logging purpose independently from the network configurations for normal RRM purposes.

However, in most cases, the availability of measurement results is dependent on the UE RRM

configuration.

3. UE measurement collection and reporting. UE MDT measurement logs consist of multiple events

and measurements taken over time. The time interval for measurement collection and reporting is

decoupled in order to limit the impact on the UE battery consumption and network signalling load.

4. Geographical scope of measurement logging. It is possible to configure the geographical area

where the defined set of measurements shall be collected.

5. Location information. The measurements can be linked to available location information and/or

other information or measurements that can be used to derive location information.

6. Time information. The measurements in measurement logs should be linked to a time stamp.

7. UE capability information. The network may use UE capabilities to select terminals for MDT

measurements.

8. Dependency on SON. MDT solutions should be able to work independently from SON support in

the network. Relationships between measurements/solution for MDT and UE side SON functions

should be established in a way that re-use of functions is achieved where possible.

9. Dependency on Trace. The subscriber/cell trace functionality is reused and extended to support

MDT. If the MDT is initiated toward to a specific UE (for example, based on IMSI, IMEI-SV,

etcetera), the signalling-based trace procedure is used, otherwise, the management-based trace

procedure (or cell traffic trace procedure) is used. Network signalling and overall control of MDT

is described in Rel-11.

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The solutions for MDT should take into account the following constraints:

1. UE measurements. The UE measurement logging mechanism is an optional feature. In order to

limit the impact on UE power consumption and processing, the UE measurement logging should

rely as much as possible on the measurements that are available in the UE according to radio

resource management enforced by the access network.

2. Location information. The availability of location information is subject to UE capability and/or UE

implementation. Solutions requiring location information should take into account power

consumption of the UE due to the need to run its positioning components.

Rel-11 has defined detailed mechanisms for Management Based Activation, Trace Parameter

Propagation, and Trace Record Collection in the case of signalling-based activation.

Rel-11 has included QoS verification use cases beyond the coverage use cases addressed in Rel-10.

The MDT data reported from UEs and the RAN may be used to verify Quality of Service, assess user

experience from RAN perspective, and to assist network capacity extension.

6.2.9 SIGNALLING AND PROCEDURE FOR INTERFERENCE AVOIDANCE FOR IN-DEVICE

COEXISTENCE

Modern UEs generally support multiple radio transceivers in order to support various technologies in the

device. For example, many UEs today support LTE, Wi-Fi, GPS, Bluetooth, etc., which poses many

challenges to prevent coexistence interference between the radio transceivers of the different

technologies that are co-located on the device. This issue is demonstrated in Figure 6.3133

.

LTE

Baseband

BT/WiFi

Baseband

LTE RFBT/WiFi

RF

ANT#1 ANT#3

Interference

from BT/WiFi

Interference

from LTE

GPS

Baseband

GPS RF

ANT#2

Figure 6.3. Example of coexistence interference in a UE.

For some interference scenarios, where the frequency separation between the different technology

transceivers is sufficient, filtering technologies can be used to prevent in-device interference between the

technologies. However, this is not always possible, and one of the more challenging interference

scenarios is the interference between LTE and GPS and the 2.4 GHz Wi-Fi ISM band when located within

the same device. Therefore, 3GPP has been investigating alternative mechanisms to mitigate

133 3GPP TR 36.816, ―Study on signaling and procedure for interference avoidance for in-device coexistence (Release 11)‖, V11.2.0

(2011-2012).

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interference between LTE and GPS/ISM when a UE is equipped with both technologies. These

investigations have considered:

Ways to increase separation between the LTE and GPS/ISM bands

Potential for time division multiplexing of the LTE and GPS/ISM signals so that one technologies

transmission does not coincide in time with the other technologies reception period

Power control techniques to minimize the signal power seen by the receiver of the other

technology

Based on these studies, 3GPP has agreed to include enhancements in Rel-11 in all three areas above

including the concept and procedures for autonomous denial. With autonomous denial, the UE can deny

LTE UL transmissions to protect some critical signalling on the other radio. The amount of denials shall

be limited over a given time period, and the eNB implementation should configure the proper denial rate.

6.3 HSPA+ ENHANCEMENTS

In this section, the new HSPA features, that 3GPP recently specified, are described. The features being

introduced to Rel-11 include 8-Carrier HSDPA, Downlink Multiflow Transmission, Downlink 4-branch

MIMO, Uplink dual antenna beamforming and MIMO together with 64QAM and a number of small

enhancements to the Cell_FACH state. These enhancements are described in more detail in a 4G

Americas white paper specifically dedicated to HSPA+134

.

6.3.1 DOWNLINK ENHANCEMENTS

6.3.1.1 8-CARRIER HSDPA

The 8-carrier HSDPA (8C-HSDPA) extends the HSDPA carrier aggregation up to 40 MHz aggregate

bandwidth by enabling transmission simultaneously on up to eight carriers towards a single UE (see

example in Figure 6.4). The carriers do not necessarily need to reside adjacent to each other on a

contiguous frequency block, as it is possible to aggregate carriers together from more than one frequency

band.

Figure 6.4. 8-Carrier HSDPA Aggregates up to 8X5 MHz Carriers from Different Frequency Bands.135

134 The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011.

135 Ibid.

DL

20 MHz

Band A

DL

20 MHz

Band B

+4 x 5 MHz 4 x 5 MHz

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8-carrier HSDPA is expected to increase the peak HSDPA data rate by a factor of 2 compared to 4-carrier

HSDPA, and it can be expected to bring similar gains as the other multi-carrier features standardized in

Rel-8 to Rel-10. As a potential additional evolution step, 4X4 MIMO can be envisioned, with the potential

to yet again double the peak rate over 2X2 MIMO.

8-Carrier HSDPA is part of 3GPP Rel-11. The first band combination for 8C-HSDPA to be introduced in

3GPP is 8 adjacent carriers on band I (2100 MHz). The activation/deactivation of the secondary carriers

is done by the serving NodeB through physical layer signalling, and the uplink signalling is carried over a

single carrier.136

6.3.1.2 DOWNLINK MULTIFLOW TRANSMISSION

The downlink Multiflow Transmission concept shown in Figure 6.5 is improving the achievable HSDPA

cell edge data rates by both reducing the inter-cell interference and increasing the energy of the desired

signal. By transmitting independent data streams to the UE, the achievable cell edge peak and average

data rate can be increased. This gain stems from spatial multiplexing and exploits advanced interference

suppression receivers that are able to suppress the cross-interference of the two data streams from each

other.

Figure 6.5. Downlink Multipoint Transmission.137

Downlink Multiflow Transmission is part of 3GPP Rel-11 and it can be configured together with Dual-Cell

HSDPA for transmitting to the UE from 4 cells (two in each carrier) at the same time. Multiflow is also

compatible with 2X2 MIMO allowing for each cell in the Multiflow set to transmit two data streams to the

UE.

136 The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011.

137 Ibid.

SignalInterference

SignalSignal

Current HSDPA

HSDPAMultipoint

Transmission

High inter-cell interference

Improved cell edge data rates +50%

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6.3.1.3 4-BRANCH MIMO

Downlink 4-branch MIMO as shown in Figure 6.6 introduces a higher order MIMO mode to HSDPA. With

4 receive antennas in the UE, the downlink peak rate can be doubled from that possible with 2X2 MIMO

to 84 Mbps for a 5 MHz carrier. The capacity gain of 4-branch MIMO comes mostly from supporting 4-way

Rx diversity. The peak data rate gain on the other hand is enabled by extending the HSDPA MIMO layers

from two in 2X2 MIMO to 4 in 4X4 MIMO.

Figure 6.6. Downlink 4-branch MIMO.138

In Rel-11, the 4-branch MIMO is supported with up to 4 carriers (20 MHz) leading to a peak downlink data

rate of 336 Mbps. Future releases could weld the 4-branch MIMO and 8-carrier HSDPA together and

reach 672 Mbps peak data rate for HSPA with 40 MHz bandwidth and 4 MIMO layers.

6.3.2 UPLINK ENHANCEMENTS

6.3.2.1 DUAL ANTENNA BEAMFORMING AND MIMO WITH 64QAM

Uplink dual antenna beamforming and 2X2 MIMO as shown in Figure 6.7 allows for the HSUPA

transmissions to originate from two transmit antennas. Both rank 1 (single stream beamforming) and rank

2 (dual-stream MIMO) transmission modes are introduced. The rank 1 beamforming gains allow for better

uplink data rate coverage and the rank 2 MIMO doubles the achievable peak data rate on the carrier. In

addition, 2X4 antenna configurations with 4 Node B Rx antennas have been considered in the 3GPP

evaluation work, even though additional receive antennas are more of a deployment option and do not

impact the standards. Four-way Rx is expected to roughly double the capacity and significantly improve

the probability for rank 2 transmission.

138 Source: Nokia Siemens Networks.

1 – 4streams

4-TXantennas

4-RXantennas

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Figure 6.7. Uplink Dual Antenna Beamforming and MIMO.139

With uplink 2X2 (and 2X4) MIMO the uplink peak rate reaches 23 Mbps per 5 MHz carrier with 16 QAM

modulation. As an additional evolutionary step, 64QAM modulation is also introduced, bringing the uplink

peak rate with MIMO to 35 Mbps per 5 MHz carrier.

Uplink beamforming, uplink 2X2 MIMO and uplink 64QAM (together with 2X2 MIMO) are supported by

3GPP Rel-11.

6.3.3 CELL_FACH IMPROVEMENTS

The Cell_FACH improvement features of Rel-11 are building on top of the high-speed FACH and RACH

concepts introduced in 3GPP Rel-7 and Rel-8 respectively. The set of small improvements can be split in

categories, improvements in downlink, in uplink, in UE battery life and in mobility.

1. Downlink Improvements for Cell_FACH

1.1. Network triggered HS-DPCCH feedback for HS-FACH

2. Uplink Improvements for Cell_FACH

2.1. Fallback to R‘ 99 PRACH

2.2. Simultaneous support of 2ms and 10ms TTIs in a cell for HS-RACH

2.3. Transmission time alignment and per-process transmission grants for HS-RACH

2.4. Common Relative Grant based interference control for HS-RACH

2.5. Initial PRACH access delay reduction for HS-RACH

3. UE battery life Improvements for Cell_FACH

3.1. Second DRX cycle

4. Mobility Improvements for Cell_FACH

4.1. Network controlled mobility to LTE

4.2. Absolute priority Cell Reselection to LTE and inter-frequency UTRAN neighbors

139 The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011.

2-TXantennas

2 or 4 RXantennas

1 or 2streams

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6.4 NETWORK AND SERVICES RELATED ENHANCEMENTS

6.4.1 MACHINE-TYPE COMMUNICATION (MTC)

Most important features and requirements such as device triggering, PS-only subscription, and E.164

number shortage were addressed under the work item ―System Improvements for Machine Type

Communication (SIMTC)‖ in 3GPP Rel-11.

Following are the main features introduced as part of this work and documented in TS 23.682140

:

Enhanced architecture including new functional entities called MTC Interworking Function (MTC-IWF) and MTC-AAA

Identifiers (MSISDN-less) – Usage of Internet-like identifiers at the external interface between PLMN and service provider domain to replace MSISDN

Addressing – IPv6 was recommended for usage with MTC devices

Device Triggering – MT-SMS with a standardized interface to the SMSC

Optimizations for devices with PS-only subscription

Dual-priority devices – certain applications can override low access priority configuration

EAB for E-UTRAN and UTRAN

SMS in MME configuration (architecture option for networks with no UTRAN or GERAN CS domain where a direct interface from SMSC to MME for SMS delivery is deployed).

6.4.1.1 MTC ARCHITECTURE

3GPP mainly introduced a new interworking function (MTC-IWF) in the architecture (shown in Figure 6.8)

for service providers to interconnect with the mobile operator network to enable control plane device

triggering, identifier translation and other features in the future. The end-to-end communication between

the MTC application in the UE and the MTC application in the service domain may use services provided

by the 3GPP system, and optionally services provided by a Services Capability Server (SCS). The MTC

Application in the external network is typically hosted by an Application Server (AS). The SCS can be

located in the service provider domain (as shown in the figure below), but can be also hosted by the MNO

as a kind of Service Delivery Platform. In the latter scenario the SCS can implement charging and security

functions. The SCS can be located in the service provider domain (as shown in the figure below) or by the

MNO as a kind of Service Delivery Platform. In the latter scenario the SCS can implement charging and

security functions.

While the MTC-IWF serves as first contact point for requests coming from the SCS and provides security,

charging and identifier translation (external to internal identifier) at the ingress of the PLMN, the newly

introduced MTC-AAA function translates the internal identifier (IMSI) at the network egress to the external

140 3GPP TS 23.682, ―Technical Specifications Group Services and System Aspects; Architecture Aspects to Facilitate

Communications with Packet Data Networks and Applications (Release 11)‖, V11.1.0 (2012-06).

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identifier(s) before forwarding AAA requests to an AAA server in the service domain (thus avoid exposing

IMSI outside the MNO domain). MTC-AAA can work in server or proxy mode and has interfaces to the P-

GW/GGSN (Gi/SGi) (where AAA requests originate from), HSS (S6n) (to retrieve external identifier(s) for

a given IMSI and vice versa) and external AAA servers. MTC-IWF receives a device trigger request from

the SCS over the Tsp interface and forwards it to the SMSC via T4. It receives subscription data including

the IMSI from the HSS via S6m and provides charging data via the existing interfaces Rf/Ga to the

charging gateway.

Figure 6.8. MTC Architecture.141

Different deployment models are possible for machine type communication allowing support to different

service level agreements between MNO and service provider:

Direct Model: The AS connects directly to the operator network in order to perform direct user

plane communication with the UE without the use of any SCS; this allows for simple

implementation of OTT (over-the-top) applications; OTT deployments are transparent to the

PLMN

Indirect Model: The AS connects indirectly to the operator network through the services of a SCS

in order to perform indirect user plane communication with the UE and to utilize additional value

added services (for example, control plane device triggering). The SCS is either:

141 Source: Nokia Siemens Networks.

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o MTC Service Provider controlled: The SCS is an entity outside of the operator

domain and Tsp is an external interface (therefore, to a third party MTC Service

Provider), or;

o 3GPP network operator controlled: The SCS is an entity inside the operator domain

and Tsp is an internal interface to the PLMN;

Hybrid Model: The AS uses the direct and indirect models simultaneously in order to connect

directly to the operator's network to perform direct user plane communication with the UE while

also using SCS-based services. From the 3GPP network perspective, the direct user plane

communication from the AS and any value-added control plane-related communication from the

SCS are independent and have no correlation to each other even though they may be servicing

the same MTC Application hosted by the AS.

Since different models are not mutually exclusive, but just complementary, it is possible for a 3GPP

operator to combine them for different applications. This may include a combination of both MTC service

provider and 3GPP network operator controlled SCSs communicating with the same PLMN.

6.4.1.2 IDENTIFIERS

As mentioned earlier, shortage of E.164 numbers is an additional driver for optimizations and

improvements in mobile networks. This urged the need to define Internet-like identifiers such as Fully

Qualified Domain Names (FQDN), Uniform Resource Names (URN) or Uniform Resource Identifiers

(URI) for subscriptions without MSISDN. Such identifiers are referred to as external identifiers.

One IMSI may have one or more external identifier(s) that are stored in the HSS. Rationale behind one to

many mapping is twofold. A single device may have several applications running on the device and each

application may use its own external identifier. Alternatively, a single device may have subscriptions with

several service providers for different applications and each service provider may assign its own external

identifier. Although this approach provides more flexibility for deployments, it comes with some

drawbacks. At the border between PLMN and the service domain, external identifiers are used and the

PLMN translates them to one internal identifier (like the IMSI) for usage within the core network. Reverse

mapping (for example, for MO-SMS, at Gi/SGi interface) from internal to external identifiers may then

cause issues in terms of the uniqueness of the reverse translation. Choosing the correct external identifier

in such scenarios has not been resolved in the Rel-11 timeframe thus caution needs to be taken when

assigning multiple external identifiers to a single subscription identified by IMSI.

The External Identifier shall be globally unique and has the following components:

Domain Identifier: identifies a domain that is under the control of the Mobile Network Operator, therefore the SCS/AS use domain identifier to determine the correct MTC-IWF.

Local Identifier: used to derive and obtain the IMSI. It shall be unique within the applicable domain and is managed by the Mobile Network Operator.

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The External Identifier will have the form of a NAI, therefore, username@realm, as specified in clause 2.1

of IETF RFC 4282142

. The username part format of the External Identifier shall contain a Local Identifier.

The realm part format of the External Identifier shall contain a Domain Identifier. As a result, External

Identifier will have the form ―<Local Identifier>@<Domain Identifier>‖. This will mainly be used at Tsp,

S6m, S6n, T4, Rf/Ga interfaces. External Identifier is not visible in the MME/SGSN/P-GW/GGSN mainly

to avoid impacts to GTP signalling messages.

6.4.1.3 ADDRESSING

To cope with the expected huge number of machines connecting to the network IPv6 is recommended as

a preferred addressing format for devices subscribed for machine type communication. For details on IP

addressing principles and solutions for different scenarios, refer to TS 23.221143

.

6.4.1.4 DEVICE TRIGGERING

Device Triggering is a feature meant to trigger MTC devices in the attached state, with and without an

existing PDP/PDN connection. In current deployments, SMS is used to trigger attached devices but this

requires a MSISDN allocated to each MTC subscription. As MSISDN ranges are limited in some regions

(for example, in the U.S. and China), it is required to look for solutions that do not need a unique MSISDN

per MTC user. In addition, solutions that are using Internet-like identifiers like NAI are more flexible as

Mobile Network Operators and MTC service providers can allocate such identifiers freely on a per needed

basis. It has to be noted that devices with an established PDP/PDN connection (for example, all devices

attached to SAE/LTE) can register their IP address over-the-top at the Application Server by application

layer means. Thus, the server can trigger the device by sending an application layer trigger request over

the user plane without the need to use 3GPP network capabilities. However, when the SCS requests the

3GPP network to trigger a MTC device, it can provide the appropriate identifier in the request and the

network has to translate this external identifier into an internal one (for example, the IMSI) that can be

used to trigger the device. The device could be triggered by different means such as SMS, Cell Broadcast

messages, SIP messages (Instant Messaging or SMS over IP), or via some new path traversing the

MME/SGSN and/or HSS/HLR (for example, using HTTP, DIAMETER/MAP and NAS as transport means).

However, in Rel-11 SMS is the only standardized mechanism that has been adopted for device triggering.

Cell broadcast messages are used by some operators for triggering groups of devices, but this is a

proprietary solution. The External Identifier has to be stored in the HSS/HLR in order to allow the 3GPP

network to translate the external request coming from the SCS into an internal trigger request using the

proper Internal Identifier. One device may be assigned multiple External Identifiers thus the HSS/HLR

needs to store one IMSI with many External Identifiers. Figure 6.8 shows the MTC architecture for device

triggering with the interface Tsp (sp = service provider) between SCS and 3GPP network. Tsp is used by

the SCS to send a trigger request to the PLMN using the External Identifier to identify the target device.

Tsp is based on DIAMETER and terminates at the MTC Interworking Function (MTC-IWF) within the

PLMN. The MTC-IWF sends the trigger request to the SMSC using the new T4 interface, which is also

142 RFC 4282, ―The Network Access Identifier‖, December 2005.

143 3GPP TS 23.221, ―Technical Specification Group Services and Systems Aspects; Architectural Requirements (Release 11)‖,

V11.0.0 (2011-2012).

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based on DIAMETER and described in TS 29.337144

. Device triggering over Tsp/T4 is the only

standardized method for triggering in Rel-11. Alternative solutions for triggering may be specified in the

Rel-12 time frame. Optionally, the SCS/AS can also send device trigger SMS via the Tsms interface to

the SMSC. Tsms is the existing legacy interface between a Short Message Entity (SME), for example, the

SCS/AS and the Short Message Service Center (SMSC) to send and receive short messages.

6.4.1.5 PS-ONLY SERVICE PROVISION

PS-only service provision is providing a UE with all subscribed services via PS domain. PS-only service

provision implies a subscription that allows only for services exclusively provided by the PS domain,

therefore, packet bearer services and SMS. Support of SMS, via PS domain NAS, is a network

deployment option and may depend also on roaming agreements. Therefore, a subscription intended for

PS-only service provision may allow also for SMS services via CS domain to provide a UE with SMS

services in situations when serving node or network does not support SMS via the PS domain. The

functionality that enables PS-only service provision is described in TS 23.060145

and TS 23.272146

.

6.4.1.6 DUAL PRIORITY DEVICES

As mentioned above, low priority access configuration was introduced in Rel-10 to aid with congestion

and overload control when millions of M2M devices are trying to connect to the network. There may,

however, be circumstances when such devices need to access the network for higher priority services.

Following are some example scenarios:

Electricity meters sending a daily report (of the per hour usage) can send this as ‗low priority‘, but,

may want to send an alarm without ―low priority,‖ if the meter is being tampered with or is being

vandalized

A road temperature sensor could send daily ―I‘m still working‖ reports using ―low priority,‖ but,

when the temperature falls to sub-zero, immediately send a warning to the control center without

―low priority‖

A M2M module which hosts multiple hybrid applications; the room temperature application always

requires data transmission using ―low priority‖ and video streaming application requires data

transmission without using ―low priority”

As a result, it is possible that an application overrides the ―default low priority‖ setting on rare occasions

for establishing normal connections. To accomplish this, a new configuration parameter called ―override

low priority access‖ was introduced. Devices with both low priority access and override low priority access

configurations are considered to be dual priority devices. Override low priority access indicates to the UE

that an application is allowed to connect to the network without setting the low priority indicator (for

example, in PDN connection request messages). PDN connections marked as low priority and not

marked as low priority may co-exist. When the UE has PDN connections established with low priority and

144 3GPP TS 29.337, ―Technical Specification Group Core Network and Terminals; Diameter Based T4 Interface for

Communications with Packet Data Network and Applications (Release 11)‖, V0.1.0 (2012-06). 145

3GPP TS 23.060, ―Technical Specification Group Services and System Aspects; General Packet Radio Service (GPRS); Service Description; Stage 2 (Release 11)‖, V11.2.0 (2012-06). 146

3GPP TS 23.272, ―Technical Specification Group Services and System Aspects; Circuit Switched Fallback in Evolved Packet System (EPS); Stage 2 (Release 11)‖, V11.1.0 (2012-06).

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without low priority, it is allowed to establish mobility management procedure and RRC connections

without low priority / delay tolerant indicator.

6.4.1.7 ENHANCED ACCESS BARRING

Enhanced Access Barring (EAB) is a mechanism to restrict network access for low priority devices. This

is activated by the Radio Access Network. A network operator can restrict network access for UE(s)

configured for EAB in addition to the common access control and domain specific access control when

network is congested. The UE can be configured for EAB in the USIM or in the ME. When EAB is

activated in the radio base station (for example, via OA&M) and UE is configured for EAB, it is not

allowed to access the network. When the UE is accessing the network with a special access class (AC 11

– 15) and that special access class is not barred, the UE can ignore EAB. Also, if it is initiating an

emergency call and an emergency call is allowed in the cell, it can ignore EAB. UE is also allowed to

respond to paging when barring is active and this is under the assumption that the network will initiate

paging only when there is no more congestion.

Dual priority devices may also be configured with override EAB configuration. If the UE is configured to

override EAB, then it is indicates to the UE that when normal priority PDN connections are active, it is

allowed to override EAB.

6.4.1.8 SHORT MESSAGE SERVICE IN MME

SMS in MME was introduced for both MT and MO SMS services mainly to address requirements from

operators who do not deploy a 3GPP MSC (thus no SGs interface is available) and do not want to

support MAP in their network. SMS over IP (therefore, SMS over IMS) could be one solution to address

this, however the concern with this solution was the need for an IMS/SIP client in the devices and that not

all devices (for example, machine type device, dongles) will have an IMS/SIP client implemented.

Furthermore, inbound roamers whose home operators may not support IMS cannot be offered SMS over

IMS thus will need support for SMS over NAS. These factors resulted in the need to introduce a new

architecture for supporting SMS services in EPC defined in TS 23.272147

(see Figure 6.9). This feature

can be enabled or disabled in the MME via configuration.

147 3GPP TS 23.272, ―Technical Specification Group Services and System Aspects; Circuit Switched Fallback in Evolved Packet

System (EPS); Stage 2 (Release 11)‖, V11.1.0 (2012-06).

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Figure 6.9. SMS in MME Architecture.

From the UE perspective, it remains transparent whether SMS in MME or SMS over SGs is offered by the

network. The UE will perform combined EPS/IMSI attach (or combined TAU) in order to obtain SMS

services. The network can decide to offer SMS over SGs or SMS in MME depending on various factors

such as the user‘s subscription (PS-only, PS+CS), the user‘s requested service (SMS-only or

SMS+voice), support for the feature in general, and local policies. If the UE is performing ―combined

attach‖ to request SMS services only and the network supports SMS in MME, the network need not

establish a SGs association between MME and MSC. The network will then indicate ―SMS-only‖ in the

accept message to inform the UE that it has been attached only for SMS services. To keep it transparent

to the UE, MME will include a non-broadcast LAI (―dummy LAI‖) and a reserved TMSI in the combined

attach accept or combined TAU accept. This ensures backward compatibility so that the legacy UE

considers the attach procedure to be successful. Between the UE and the MME, SMS is tunneled within

NAS messages similar to the SMS over SGs architecture. SMS messages as defined in 3GPP

TS 23.040148

are encapsulated and transferred within NAS messages.

6.4.2 NETWORK PROVIDED LOCATION INFORMATION FOR IMS (NETLOC)

Network Provided Location Information for IMS Services is a core network enhancement.

Location Service (LCS) for EPS has been defined in Rel-9. Normally the LCS information is provided in

the geographical information format, which is not suitable for charging purposes as it lacks access

network information.

148 3GPP TS 23.040, ―Technical Specification Group Core Netowrk and Terminals; Technical Realization of Short Message Service

(SMS) (Release 11)‖, V11.2.0 (2012-06).

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In the circuit switched network when a UE initiates a CS call or sends an SMS message, the MSC can get

the current cell-ID information provided by RNC/BSC, which can be used for charging purposes and/or for

recording the location of a subscriber for whom the government authority requests communication history.

In the IMS, cell-ID information is provided currently by the UE. As the cell-ID information provided by the

UE cannot be trusted, it is required that the network provides the cell-ID for scenarios like: lawful

interception; IMS session charging records; destination for IMS emergency call selection; and IMS

services that may need cell-ID information to trigger localized services.

Stage 2 worked on specifying the architecture solutions for making the cell-ID / PLMN ID and local time

that the UE is camped-on, available to the IMS nodes when the mobile operator needs to record this

information, either to fulfill legal obligations or for charging purposes. TR. 23842 recorded proposed

solution alternatives and conclusions. Several Stage 2 specifications were updated with regard to:

Providing location and time zone to IMS;

Providing cell/SAI and time zone as part of bearer handling procedures in the enhancement to PS

domain and PCC procedures;

Enabling IMS to be used to provide information for normal call handling and for emergency

services (for CDRs, service provision, etcetera);

Specifying HSS-based information retrieval procedures for special cases, for example, location

based call handling or routing, assuming the location information feature provided is on par with

the CS domain.

The Stage 5 specifications update was completed in September 2012, for charging architecture and

principles with the addition of network-provided location information to IMS charging, CDR definitions and

corresponding diameter AVP definition. Stage 3 specifications update was also completed in September

2012.

6.4.3 SRVCC ENHANCEMENTS

Voice over LTE (or VoLTE) with Single Radio Voice Call Continuity (SRVCC) to improve voice coverage

by handing over the voice session from LTE to 2/3G CS domain has been standardized since Rel-8. The

architecture enhancement for SRVCC (called eSRVCC, see section 5.3.5) in Rel-10 can improve the

handover performance overall. In Rel-11, SRVCC feature has been further enhanced with the priority

handover (eMPS aspect of SRVCC), SRVCC from 2/3G CS to LTE/HSPA (rSRVCC), and video SRVCC

from LTE to UMTS (vSRVCC).

6.4.3.1 EMPS ASPECT OF SRVCC

Enhancements for Multimedia Priority Service (eMPS) is a feature in Rel-10 for IMS sessions and EPS

bearer sessions. The SRVCC with priority treatment is deferred to Rel-11. Depending on regulatory

requirements in a region, it is useful to forward priority indication of an IMS-based voice call over LTE with

priority to Circuit Switch of GERAN/UTRAN so that the call can be handled in a prioritized way, compared

to other normal IMS-based voice calls when SRVCC is performed. In Rel-11, SRVCC has also been

standardized for IMS voice+video session to UMTS CS video; hence, eMPS SRVCC can also apply to

video SRVCC.

The mechanism to handle SRVCC for an IMS-based priority voice or voice+video session established in

LTE in GERAN/UTRAN is to reuse the priority handling mechanisms that were already defined for

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GERAN/UTRAN in TS 25.413149

for UMTS, and defined in TS 48.008150

for GSM/EDGE. Figure 6.10

shows the overall call flow for SRVCC with eMPS handling.

eNodeB MME

1. HO Require

(SRVCC to 2/3G CS)

MSC

2. PS to CS HO Request (Prioirty level, pre-emption,…)

IMS

(ATCF/SCC AS)

3a. SIP (priority level,…)Target RAN/BSS

3b. (HO/Relo Request

(Priority level, pre-emp,..)

Figure 6.10. eMPS Aspect of SRVCC Session Handling.151

1. eNodeB determines that SRVCC (voice or voice+video) needs to be performed and indicates to

MME via S1_AP signalling.

2. MME determines to invoke eMPS SRVCC based on the ARP value associated with the EPS

bearer used for IMS signalling bearer (therefore, QCI-5). Based on MME configuration, certain

ARP values are reserved for eMPS session. For eMPS SRVCC, MME forwards the ARP to the

MSC Server in PS to CS HO Request message. The ARP also contains whether this request

allows pre-emption of other existing in-use bearers in order to make resources for this Handover

request.

3. MSC Servers uses the ARP value and pre-emption indication to determine its local priority level for

requesting radio resources from target RAN/BSS via the A / Iu-cs and from IMS nodes via SIP.

The target RAN/BSS may put in queue the handover request or pre-empt an ongoing resource

depending on the setting on the A/Iu-cs from MSS. The IMS nodes handle this session transfer

request with priority.

Please note that the eMPS SRVCC to 1xCS is not defined in 3GPP.

6.4.3.2 SRVCC FROM 2/3G CS TO LTE/HSPA

149 3GPP TS 25.413, ―Technical Specifications Group Radio Access Network; UTRAN Iu Interface Radio Access Network

Application Part (RANAP) Signaling (Release 11)‖, V11.0.0 (2012-06). 150

3GPP TS 48.008, ―Technical Specification Group GSM/EDGE Radio Access Network; Mobile Switching Centre – Base Station System (MSC-BSS) Interface; Layer 3 Specification (Release 11)‖, V11.2.0 (2012-05). 151

Source: Nokia Siemens Networks.

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In Rel-11, 3GPP has developed a feature to allow a CS voice call to be handed over to LTE/HSPA as an

IMS voice session. This feature is sometimes called rSRVCC where ―r‖ stands for reverse. The solution is

biased toward enhancing user experiences (therefore, for higher data throughput as much as possible)

versus the traditional view for coverage scenario. Hence, the handover solution requires more network

preparation before the UE can perform the RAT changes.

There are certain pre-conditions that the network and UE must meet prior to rSRVCC. The UE must first

have an active EPS bearer or PDP context, the UE must perform a successful IMS registration via Gm and

indicate all the necessary rSRVCC related parameters to the IMS, the subscription profiles in HSS must

allow rSRVCC, the serving MSC Server must perform the I2 IMS registration and must receive the needed

rSRVCC parameters from IMS, and the IMS registration (the one via Gm) must not be expired.

When all of the above conditions are met, the 2/3G CS RAN/BSS and MSC server can start the rSRVCC

procedure with the target LTE/HSPA. Figure 6.11 shows the overall call flow for rSRVCC to LTE/HSPA.

HSS

BSS/RAN MSC Server IMS

MME/

SGSN

UE

1b. Subscription profile (rSRVCC is allowed)

1e. rSRVCC is possible

2. rSRVCC HO req

1c. I2 ICS registration

1a. GPRS/LTE attach then IMS Gm Registration (rSRVCC parameters)

1d. rSRVCC parameters

4a. CS to PS HO

Request3. retrieve serving PS node info

4b. IMS rSRVCC prep req

eNb/Nb

6. relocation Request/resp

5. PS bearer context

Retrieval

Previous

serving

PS node

7. CS to PS HO

response

8a. HO CMD 8b. Switch bearer

9. switch

To LTE/HSPA RAT

Figure 6.11. Call handling with rSRVCC.152

As described in the paragraph above, the pre-conditions for rSRVCC are shown as in step 1a to 1e. The

rSRVCC capable UE indicates to IMS in step 1a of its supported voice codecs and the DL port number to

be used for IMS voice media. This information is stored in IMS (ATCF) and the ATCF address is given to

MSC Server is step 1d as the result of the ICS I2 IMS registration. When all the pre-conditions are met, the

152 Source: Nokia Siemens Networks.

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MSC Server indicates to BSS/RAN during the CS call setup procedure that rSRVCC is possible. MSC

Server then retrieves the serving PS node information from UE as shown in step 3. PS node information is

the current serving SGSN or MME that has the UE PS context (for example, IP address, which PS bearer

is active or in suspend). MSC Server then requests IMS (therefore, ATCF address received in step 1d) to

start preparing for the media transfer in step 4b and to retrieve the PS media information transport address

and codec information. The PS media information includes the Uplink IP address and port number, and the

codec that the UE needs to be used when it is transmitting PS voice to the network over LTE after rSRVCC

has performed.

In step 4a, the MSC server requests the target SGSN/MME to reserve the PS resources for rSRVCC by

using CS to PS HO request message along with the current PS serving node information. SGSN/MME

uses the PS node information to retrieve the UE PS contexts (step 5), and then requests the target eNb/Nb

to reserve the PS bearers according to the PS contexts (step 6). The radio resources are reserved, the

related Handover command is returned back to MSC Server in CS to PS HO response in step 7.

In step 8 a/b, the MSC Server coordinates the IMS media switching with the sending of the handover

command to UE. This causes the UE to change the RAT to LTE/HSPA (step 9) while the IMS begins to

forward the DL media toward IP-CAN. The UE also sends the UL media to the IMS base after the RAT

changes. However, these media (UL/DL) are sent over the non-dedicated bearer at this point, which does

not have guaranteed QoS. The UE then requests the IMS to setup a dedicated EPS bearer (therefore,

QCI-1) or conversational PDP context (HSPA) and transfer the voice media over to the bearer with proper

QoS Support. It is expected that the voice session transfer from default bearer to dedicated voice bearer is

relatively fast and any voice disruption is minimal to the user.

Please note that emergency rSRVCC is not supported in Rel-11.

6.4.3.3 VIDEO SRVCC FROM LTE TO UMTS

In Rel-11, 3GPP has developed a feature to allow an IMS voice+video session over LTE to be handed

over to 3G CS video with 64 kbit CS data bearer. The overall concept follows the voice SRVCC as defined

earlier. The main difference is that the MME is aware that a video component is being involved (therefore,

indicated by PCC) and it requests the MSC Server to initiate the video SRVCC handling.

For video CS resource handling, MSC Server requests 64 kbit CS data from RAN. It also requests the IMS

to perform the media switching from IP-CAN toward CS Domain. Both the UE and network will use a

defined default CS video codec initially. UE can then re-negotiate another CS video codec, if needed

afterward.

6.4.4 SIPTO SERVICE CONTINUITY OF IP DATA SESSION (SIPTO_SC)

In Rel-10, 3GPP specified requirements for the support of Selected IP Traffic Offload (SIPTO) from the

macro network and from H(e)NB subsystems in an enterprise/residential environment (subsequently

called a H(e)NB-involved network). However, requirements related to the service continuity of existing IP

data sessions during mobility events in the macro network when SIPTO is used and also between macro-

network and H(e)NB-involved networks have not been provided in detail. Further work is needed to

review use cases and develop requirements for a system that will enable mobile operators to provide

services in a more effective manner, as well as improve the user experience for the following scenarios:

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Service continuity of IP data session(s) when a UE, whose data is offloaded, moves between (e)NBs

in the macro network

Service continuity of IP data session(s) when a UE, whose data is offloaded, moves between

H(e)NBs in an enterprise/residential environment

Service continuity of IP data session(s) when a UE, whose data is offloaded, moves between the

macro-network and H(e)NB sub-system in an enterprise/residential environment

Due to time constraints, this work has been deferred to Rel-12.

6.4.5 POLICY CONTROL FRAMEWORK ENHANCEMENT: APPLICATION DETECTION CONTROL

AND QOS CONTROL BASED ON SUBSCRIBER SPENDING LIMITS (QOS_SSL)

Policy Control Framework has been enhanced with TDF (Traffic Detection Function) for application

detection and control features, which comprise the request to detect the specified application traffic,

report to the PCRF on the start/stop of application traffic and to apply the specified enforcement actions.

Two models may be applied, depending on operator requirements: solicited and unsolicited application

reporting.

Solicited application reporting: The TDF is instructed by PCRF on which applications to detect, report to

the PCRF and the actions to be enforced for the detected application traffic. The detection is applied only

if user profile configuration allows this.

Unsolicited application reporting: The TDF is pre-configured on which applications to detect and report.

The enforcement is done in the PCEF.

The application detection and control can be implemented either by the standalone TDF or by PCEF

enhanced with TDF capabilities (therefore, TDF is encompassed in PCEF).

To allow mobile operators a much finer granularity of control of the subscribers‘ usage of the network

resources, by linking the subscribers‘ session QoS with a spending limit, 3GPP work groups completed

QoS_SSL work as one of the PCC architecture enhancements. QoS_SSL gives the operator the ability to

deny a subscriber access to particular services if the subscriber has reached his allocated spending limit

within a certain time period. It is also possible that the QoS of a subscriber‘s session could be modified

when this spending level is reached. This allows the operator to have an additional means of shaping the

subscriber‘s traffic in order to avoid subscribers monopolizing the network resource at any one time.

Support for roaming subscribers without impact on the visited network is also provided. Also, using

triggers based on the operator‘s charging models, the subscriber could be given the opportunity to

purchase additional credit that increases the spending limit.

PCC architecture is enhanced with a new interface Sy between PCRF and OCS (Online Charging

System), as shown in Figure 6.12 below:

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Gy

Gz

Subscription Profile

Repository (SPR)

Rx

AF Sp

Gx

Offline

Charging

System

(OFCS)

Online Charging System (OCS)

Service Data F low

Based

Credit Control

Gxx

BBERF PCEF

Sd

TDF

Policy and Charging Rules Function (PCRF)

PCEF

Gateway

Sy

Figure 6.12. Overall PCC logical architecture (non-roaming) when SPR is used

(TS 23.203 vb60 Fig. 5.1-1).

The Sy reference point enables transfer of information relating to subscriber spending from OCS to PCRF

and supports the following functions:

Request of charging status reporting from PCRF to OCS

Notification of policy counter status change from OCS to PCRF

Cancellation of charging status reporting from PCRF to OCS.

―Policy Counter‖ is a mechanism defined within the OCS to track applicable spending for a subscriber.

There is an indication in a subscriber‘s spending limits profile that policy decisions depend on policy

counters available at the OCS that have an associated spending limit and optionally the list of relevant

policy counters.

The identifiers of the policy counters that are relevant for a policy decision in the PCRF are stored in the

PCRF or possibly in SPR. The PCRF is configured with the actions associated with the policy counter

status that is received from OCS.

The PCRF requests the status of policy counters in the OCS at any time using the Initial or Intermediate

Spending Limit Report Request Procedure. The OCS provides the status to the PCRF of the requested

policy counters.

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The PCRF may request spending limit reporting for policy counters from the OCS using the Initial or

Intermediate Spending Limit Report Request procedure. If spending limit reporting is enabled, the OCS

will notify the PCRF of changes in status of the policy counters (for example, daily spending limit of 2$

reached). The PCRF may cancel spending limit reporting for specific policy counter(s) using the

Intermediate Spending Limit Report Request procedure, or for all policy counter(s) using the Final

Spending Limit Report Request procedure.

The PCRF may use the status of each relevant policy counter as input to its policy decision to apply

operator defined actions, for example, downgrade the QoS (therefore, APN-AMBR), modify the PCC/QoS

Rules, provide this as policy decisions to the PCEF and to the BBERF (if applicable) or modify the ADC

Rules then provide them to the TDF.

Refer to the following 3GPP specifications for detailed QoS_SSL functional, architecture and call flow

information:

TS 23.203 v11.6.0 Policy and Charging Control Architecture

TS 29.219 Policy and Charging Control: Spending Limit Reporting over Sy reference point

SA5 and CT specifications regarding OCS architecture and logical function definition for spending limit

control, diameter interface impact, Sy interface related procedures and message flows are also updated.

6.4.6 NON-VOICE EMERGENCY SERVICES (NOVES)

Support of IMS Emergency Sessions with Other Media on UTRAN and E-UTRAN (NOVES-IMSESOM) is

also called IMS MES (IMS Multimedia Emergency Session). The enhancement has been added in Stage

1 and Stage 2 specifications to support session based IMS emergency sessions that allow the UE to use

other media and communication types than voice and GTT during an IMS emergency session. This

occurs when the network supports IMS voice emergency calls and the UE also supports other media or

communication types.

Besides voice and GTT, other media types include:

Real time video (simplex, full duplex), synchronized with speech if present

Session mode text-based instant messaging

File transfer

Video clip sharing, picture sharing, audio clip sharing

An IMS MES does not require voice and GTT. Also IMS MES doesn‘t include support for legacy store-

forward messaging such as SMS.

Since IMS MES is based on VoLTE and IMS emergency service work that was completed in Rel-9, when

a UE with an active IMS MES with voice and other media moves out of IMS voice coverage, voice call

continuity is supported by the UE and network. The remaining media (therefore, voice call) then becomes

a CS emergency call. Other media will be dropped when a UE with an active IMS MES moves out of IMS

voice coverage, irrespective of whether or not there is an active voice session.

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Requirements for UE and originating network support are specified in TS 22.101.

Several Stage 2 specifications (TS23.401, 23.060, 23.203) are updated for support of other media in IMS

emergency session. TS 23.167 was also updated for Codecs and domain selection rules for IMSESOM

with E-UTRAN and UTRAN access.

The deployment of IMS MES depends on local regulatory requirements.

6.4.7 FIXED MOBILE CONVERGENCE

The collaborative work between 3GPP and BBF has resulted in a workshop focusing on Fixed Mobile

Convergence (FMC). The basis for the work is a set of requirements documented in BBF WT-203. As a

result of the workshop, it has been identified that several working groups in 3GPP will need to work on

requirements, architecture, security and OA&M. This work was moved from Rel-10 to Rel-11 with the

following scope:

Building Block I:

Aspects on basic connectivity, host-based mobility (S2c), and network-based mobility for

Untrusted accesses (S2b) on top of Rel-9 baseline architecture including network

discovery/selection functions and IP address allocation

Interworking between 3GPP and BBF architectures for authentication, including identities, on top

of Rel-9 baseline architecture

Policy and QoS interworking between 3GPP and BBF architectures considering the following

scenarios:

o When H(e)NB is being used and traffic is routed back to the EPC

o When WLAN is being used and traffic is routed back to the EPC

Multi-access PDN Connectivity

IP Flow Mobility and seamless WLAN offloading

LIPA and SIPTO for H(e)NB with static QoS policies

Building Block II (building on interworking functionality of Building Block I):

Policy and QoS interworking between 3GPP and BBF architectures considering the following

scenarios:

o When H(e)NB is being used and traffic is offloaded in the local wireline network

o When WLAN is being used and traffic is offloaded in the local wireline network (therefore,

non-seamless WLAN offloading)

Building Block III (building on overall results of Building Block I):

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Study of a potential architecture for the case of network-based mobility when the BBF access is

considered as Trusted

Further convergence between 3GPP and fixed network architectures beyond basic inter-working

such as converged database and further architecture optimizations for operators providing both

3GPP and BBF accesses with input from BBF

Policy and QoS interworking between 3GPP and BBF networks considering scenarios when the

services and policies are provided by the BBF network

Once each Building Block item is completed, a decision will be made as to which parts of the Building

Blocks are to be transferred to normative specifications.

6.4.8 INTERWORKING WITH WI-FI ENHANCEMENTS

As alluded to in the previous section, enhancements to the Interworking with WI-FI are introduced in Rel-

11. The specifications support enhancements to EPC for multi-access PDN connectivity, IP Flow Mobility

and seamless WLAN offloading. Although still under investigation, it‘s expected that both UE and network

impacts will result.

As mentioned in section 5.3.7, WLAN Access to EPC with IP address continuity was defined in Rel-8 and

extended in Rel-10 with IFOM and MAPCON. However, routing from the UE to the PDN GW is not

optimized because it currently does not consider UE location. Rel-11 is improving the ePDG and PDN-

GW selections based on the location of the UE for the WLAN Access to EPC. This results in impacts to

the PDN GW selection function for S2c, and currently work is underway to identify charging aspects and

security aspects related to this improvement.

An additional improvement is related to S2a. No usage of WLAN Access to EPC over S2a is currently

documented in the 3GPP specifications. Some operators have requested to use GTP and PMIP S2a for

WLAN access to EPC. There are different reasons for this request, such as many terminals do not

support 3GPP extensions IKEv2/IPsec, or an operator may consider specific WLANs as Trusted

leveraging S2a to access EPC. Therefore, Rel-11 is enabling GTPv2 and PMIPv6 based S2a access to

EPC through WLAN access. Currently work is underway to identify charging aspects and security related

aspects for this improvement.

Network Management specifications are also being added in Rel-11 to support Management Information

Objects and Performance Management data for the new network elements and respective interfaces (for

example, s2a, s2b, s2c).

6.4.9 UICC (SMART CARD) ENHANCEMENTS

H(e)NB Hosting Party authentication

Although the H(e)NB Hosting Party authentication mechanism has been defined since Rel-9, a specific

and optimized UICC Application called HPSIM is defined in Rel-11. This HPSIM application is optimized

for H(e)NB devices. It is backward compatible with what has been defined and used in previous releases,

but also allows faster initialization and storage of multiple H(e)NB initialization profiles depending on

location of the H(e)NB.

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6.4.10 LAWFUL INTERCEPT ENHANCEMENTS

The SA WG3-LI enhancements for the Rel-11 lawful intercept specifications include the following:

IMS Media security

EPS Enhancements

IMS Enhancements

Location Information Reporting

6.4.11 FURTHER HOMENB/ENODEB ENHANCEMENTS

For UMTS, Rel-11 introduces Iur between the HNB-GW and the macro RNC allowing the support of:

Hard handover between HNB and macro RNC using enhanced SRNS relocation, thus reducing

CN load

Soft handover between HNB and macro RNC

For LTE, Rel-11 introduces Enhanced HeNB mobility for macro to HeNB, and HeNB to HeNB for the

inter-CSG scenario.

The following enhancements are being worked for Rel-11, but may not be completed until Rel-12:

For UMTS, Legacy UE mobility – support of non-CSG/legacy UEs

For LTE, X2-GW

The following work items still are to be agreed upon for either Rel-11 or more likely Rel-12:

CELL_FACH support for HNBs

For UMTS and LTE RAN Sharing support

6.4.12 IMS SERVICE CONTINUITY AND IMS CENTRALIZED SERVICES ENHANCEMENTS

Performance Management measurements are being defined in Rel-11 to improve management of IMS

Service Continuity and IMS Centralized Services.

In addition, a single charging session for IMS Service Continuity is under definition for Rel-11. This allows

for a single charging session for the SIP AS and SRVCC functions acting as a B2BUA.

A new feature in Rel-11 gives the operator the ability to assign an additional MSISDN, in addition to the

original MSISDN, to a subscriber with a PS subscription. When the additional MSISDN is available, it is

used for correlation of CS and IMS in voice call and service continuity as well as IMS Centralized Service.

This improves the ability to give simple and flexible implementations to perform IN type services in the PS

environment. The implementation results in the possibility to conditionally include an additional MSISDN

field in the location update from the HSS to the MME/SGSN. This has been identified as an urgent need

by several operators.

6.5 RELEASE INDEPENDENT FEATURES

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6.5.1 NEW FREQUENCY BANDS

As the spectrum allocations in different countries evolve, 3GPP continuously updates and adds new

frequency bands. The following bands in Table 6.2 are scheduled to be completed in the Rel-11

timeframe.

Table 6.2. New Frequency Bands Scheduled to be Added in Rel-11.

Frequency Band Work Item Description Document

LTE E850 - Lower Band for Region 2 RP-110439

LTE Downlink FDD 716-728 MHz RP-110710

LTE in the 1670-1675 MHz Band for US RP-120360

Extended 850 MHz RP-090666

Expanded 1900 MHz RP-100676

2 GHz band LTE for ATC of MSS in North America RP-101401

UMTS/LTE 3500 MHz RP-091380

Extending 850 MHz Upper Band (814-849 MHz) RP-111396

6.5.2 NEW CA AND DC COMBINATIONS

In Rel-10, the carrier aggregation work in RAN4 was focused mainly on generic intra-band and inter-band

cases. As discussed in Section 5.4, carrier aggregation will be treated as a release independent feature.

Thus, the Rel-11 work item process will concentrate on band-specific issues related to RF performance,

inter-mod analysis and conformance testing for a real carrier aggregation band combination (which can

be included in TS 36.307 prior to the completion of Rel-11 as explained in Section 5.4). For Rel-11 the

following CA scenarios in Table 6.3 is scheduled to be standardized.

Table 6.3. Carrier Aggregation Band Combinations to be Completed in the Rel-11 Time Frame.

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Carrier Aggregation Bands Work Item Description Document

3,7 RP-120830

4,13 RP-120905

4,7 RP-120896

4,17 RP-111750

2,17 RP-110432

4,5 RP-110433

4,12 RP-120877

5,12 RP-120221

5,17 RP-110434

7,20 RP-120889

38 RP-110862

1,7 RP-120904

3,5 RP-120899

7 RP-111356

3,20 RP-120887

8.2 RP-120888

1,21 RP-111764

1,19 RP-120866

11,18 RP-120898

1,18 RP-120892

3,8 RP-120907

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7 PLANS FOR RELEASE 12

With the completion of Stage 3 Rel-11, and the functional freeze in September 2012 (ASN.1 core freeze

by December 2012 and ASN.1 RAN freeze by March 2013), 3GPP has begun planning for Rel-12. Some

of Rel-12 will consist of unfinished work from Rel-11, but there will also be new ideas and features

introduced in Rel-12. 3GPP has begun planning for Rel-12. Some of Rel-12 will consist of unfinished

work from Rel-11, but there will also be new ideas and features introduced in Rel-12. However, there is

general agreement that Rel-12 will be mainly an evolution of the LTE and LTE-Advanced technologies.

This section will provide the proposed timeline for Rel-12, discussion on the key drivers for Rel-12, and

then highlight some of the initial discussions on key enhancements being proposed for Rel-12. Note that

discussions for Rel-12 are in the early phases so the information in this section is subject to change as

further discussions occur in the next several months of 3GPP meetings.

7.1 TARGET TIMELINE FOR RELEASE 12

Based on initial discussions for Rel-12, it is clear there is a lot of work expected. Therefore, the current

view for Rel-12 is to allow a 21 month timeframe for Rel-12 completion, following the completion of Rel-

11. This would put the core specifications freezing for Rel-12 in June of 2014, with the ASN.1 freezing for

Rel-12 in September of 2014, as shown in Fig. 7.1 below.

Schedule for future 3GPP releases

3/2013 6/2013 9/2013 12/2013 3/2014 6/2014

#59 #60 #61 #62 #63 #64

9/2014

#65

12/2014

#66

3/2015

#67

12/2012

#58

Rel-12: 21 Month Release

Core specfunctional

freeze

Rel-12ASN.1freeze

Start of Rel-13

Figure 7.1. Proposed timeline for Rel-12.

153

153 Source: Alcatel-Lucent.

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7.2 HIGHLIGHTS OF RELEASE 12 PLANNING WORKSHOPS

To begin planning for Rel-12 work, 3GPP has held some workshops to discuss objectives and focus

areas for Rel-12. There were many ideas and suggestions discussed as part of these workshops, and

some high level strong themes coming from these workshops were for Rel-12 to focus on enhancements

in the areas of LTE small cell and heterogeneous networks, LTE multi-antennas (therefore, MIMO and

Beamforming) and LTE procedures for supporting diverse traffic types. In addition to these themes, other

areas of interest discussed at these workshops were enhancements to support multi-technology

(including Wi-Fi) integration, MTC enhancements, SON/MDT enhancements, support for device-to-device

communication, advanced receiver support and HSPA+ enhancements including interworking with LTE.

This section will discuss each of these themes and areas of interest at a high level as work on these

areas for Rel-12 is in the very early stages.

7.2.1 LTE SMALL CELL/HETEROGENEOUS NETWORKS ENHANCEMENTS

It is expected that LTE small cells and heterogeneous networks will play an increasingly more important

role in the future to meet the growing traffic demands. There are a few areas related to LTE small cells

that will likely be discussed in Rel-12:

Local access enhancements: It is expected that a large portion of the data will be around office,

home, and other hot-spots. How to exploit this traffic characteristic in system design will be one of

the focused areas. For example, hyper-dense deployment of a large number of low power nodes

(picos, femtos, or relays) can be deployed around these traffic-concentrated areas to pick up

most of the localized traffic, while macro nodes provide wide-area coverage and capacity.

Adaptive network topology: Unlike macro deployment, where the network is well planned and

each macro cell provides coverage for a large area, deployment of low power nodes is likely more

ad-hoc in nature and each individual low power node typically has smaller foot-print. How to cope

with traffic mobility (for example, during office hours versus during night hours) in such

deployments is a new challenge. One possible solution is to adapt the network topology based on

the location of data demand. For example, instead of turning on all the low power nodes, only

those nodes with traffic are turned on (such as nodes around offices during working hours and

nodes around residential areas during the night). Such an opportunistic node on/off deployment

also helps reduce inter-cell interference as well as lower power consumption and OPEX. For TDD

system, adaptive operation can also be realized as adaptive time allocation between downlink

(DL) and uplink (UL) based on the DL/UL traffic loads.

Small cell discovery: Opportunistic on/off deployment of low power nodes requires efficient ways

to discover these small cells and turn them on/off.

Wireless backhaul for small cells: One challenge for hyper-dense heterogeneous networks is the

availability of backhaul to these small cells. A possible solution is to use relay nodes, where

relays are self-backhauled via wireless link towards other cells.

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Inter-cell interference coordination

Mobility for hyper-dense heterogeneous networks

Utilization of high frequency spectrum for local access: The propagation characteristic of high

frequency bands (for example, 3.5GHz) makes them perfect for local access deployment.

Indoor small cells: As the number of small cells increases and the size of the cell equipment

shrinks, it becomes desirable to deploy the cells in indoor locations where power and backhaul

are more readily available. To derive maximum value from indoor small cells, it is desirable if

indoor cells can serve both indoor and outdoor UEs. As part of work on small cells in 3GPP,

impact of indoor small cells should be developed to study the benefits of such deployments, and

the design appropriate solutions relevant in such deployments.

7.2.1.1 INTER-SITE CA/MACRO CELL ASSISTED SMALL CELLS

A key tool to improve traffic capacity and extend the achievable data rates of a radio-access network is a

further densification of the network, therefore, increasing the number of network nodes and thereby

bringing the end-user devices physically closer to the network nodes. In addition to straightforward

densification of a macro deployment, network densification can be achieved by the deployments of

complementary low-power nodes under the coverage of an existing macro-node layer. In such a

heterogeneous deployment, the low-power nodes provide very high traffic capacity and a service level

(end-user throughput) locally, for example, in indoor and hot-spot outdoor positions, while the macro layer

provides full-area coverage. Thus, the layer with low-power nodes can also be referred to as providing

local-area access, in contrast to the wide-area-covering macro layer.

In general, when considering the deployment of a local-area layer, it is important to understand and take

into account the differences in terms of characteristics and limitations for such a deployment, compared to

a more conventional macro-layer deployment. As an example, although low deployment and operational

costs and low energy consumption are important characteristics in general, these aspects should be

further emphasized for local-area access deployments. The reason is the large number of network nodes

in such deployments and the often relatively low load/usage per node.

At the same time, in the case when a local-area layer is deployed under an overlaid macro layer to which

a terminal always can fall back, the reliability and coverage requirements of the local-area layer may be

relaxed compared to the very high reliability and coverage requirements of a macro layer.

In terms of traffic, with very few user terminals being active simultaneously within the coverage area of

each local-area node, it can be expected that the traffic dynamics will be large with relatively low average

load but high instantaneous data rates.

Finally, compared to a macro layer, it can be expected that, within a local-area layer, user terminals will

be stationary or only moving slowly.

Beginning with the first release, LTE is already capable of providing high performance in a wide range of

scenarios, including both wide-area and local-area access. However, with the increasing focus on high

data rates in (quasi-)stationary situations, further optimizations targeting local-area scenarios should be

pursued taking the above requirements into account.

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7.2.1.2 FREQUENCY-SEPARATED LOCAL-AREA ACCESS

As already mentioned, the 3GPP activities on heterogeneous deployments have, up to and including, Rel-

11 primarily focused on same-frequency operation, therefore, when the wide-area and local-area layers

operate on the same carrier frequency. The main reason for this has been the assumption that, especially

for operators with a limited spectrum situation, it is not justifiable to split the available spectrum between

the layers, reducing the bandwidth and thus also the achievable data rates available in each layer. Thus,

the features in focus in 3GPP so far have primarily targeted handling of inter-layer interference between

the different layers in a same-frequency deployment.

In the future, however, additional spectrum will be primarily available at higher frequencies of 3.5 GHz

and above, as lower frequencies are already heavily used by cellular as well as non-cellular services. In

general, higher frequency bands are less suitable for use within a macro deployment. Furthermore, in

certain parts of the world, there are regulatory limitations on the output power and the outdoor usage of

the 3.5 GHz band.

With the availability of higher frequency bands less suitable for the macro-layer, it is much more relevant

to consider band-separated local-area access operating on higher frequency bands with the overlaid

macro layer operating on lower cellular bands. Not only does such a frequency-separated local-area

deployment avoid the inter-layer interference issues present in a same-frequency deployment as

extensively discussed in Rel-11, it also provides some additional benefits compared to same-frequency

operation.

Currently, in 3GPP, the RF requirements for a local-area access node are in many respects as stringent

as their wide-area counterparts. One reason for this is that 3GPP has been assuming that local-area and

wide area deployments may share the same frequency band. Stringent RF requirements, for example in

terms of adjacent-channel suppression, are then needed to avoid blocking the local-area node, as a result

of interference from a terminal located close to the local-area node but connected to the wide-area layer

and transmitting with a high output power, possibly on a nearby carrier frequency. However, if the

additional frequency band is used for local-area access only, it is possible to relax the RF requirements

for local-area access nodes.

Frequency-separated deployments also allow for different duplex schemes in the wide-area and local-

area layers. In general, TDD is expected to become more important with an increased interest in local-

area deployments compared to the situation for wide-area deployments to date. For example, an existing

wide-area FDD network could be complemented by a local-area layer using TDD. To better handle the

high traffic dynamics in a local-area scenario, where the number of terminals transmitting to/receiving

from a local-area access node can be very small, dynamic TDD is beneficial. In dynamic TDD, the

network can dynamically use subframes for either uplink or downlink transmissions to match the

instantaneous traffic situation, which leads to an improvement in the end-user performance. Dynamic

TDD requires a frequency-separated local-area deployment to avoid inter-layer interference. For example

downlink transmissions in the wide-area layer interfering with uplink transmissions in the local-area layer

could seriously limit the performance of the local-area layer.

7.2.1.3 WIDE-AREA/LOCAL-AREA INTERACTION – SOFT CELL

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The traditional way of operating local-area access is by having the local-area nodes create cells of their

own, operating stand-alone and relatively independent of the overlaid macro layer. In such a case, the

low-power nodes transmit all the signals associated with a cell, including cell-specific reference signals

and synchronization signals, and the full set of system information. Furthermore a mobile device

communicates with either a single local-area node or a single macro node.

Clearly, a stand-alone node can operate regardless of the presence of a wide-area layer. However, in

scenarios where basic coverage is already available from the wide-area layer, benefits can be achieved

by operating the wide-area and local-area layers in a more integrated manner where the terminal is

connected to both of the layers. Soft cell, illustrated in Error! Reference source not found., is an

pproach where the terminal has dual connectivity:

To the wide-area layer through an anchor carrier used for system information, basic radio-resource control (RRC) signalling and possible low-rate/high-reliability user data, and

To the local-area layer through a booster carrier used for large amounts of high-rate user data.

One possible design option is that the booster-carrier transmissions are ultra-lean with the minimum

possible amount of overhead including no cell-specific reference signals and no system information. In

essence, there should be booster carrier transmissions only in subframes in which there is information to

transmit to a terminal. Not only do ultra-lean transmissions result in a very energy-efficient local-area

layer, which translates into lower operational cost, it also reduces the interference level. This can be a

critical enabler for very dense local-area deployments as the performance otherwise would also be

interference limited at low-to-medium loads. Such a design option however comes with a drawback of not

being backwards compatible, and legacy UEs (up to Rel-11) cannot be served in such a booster carrier.

In addition, soft cell will also provide benefits in terms of robustness and mobility. In case the booster

connection is lost, the terminal is still connected through the anchor carrier, thereby avoiding a complete

radio-link failure. The wide-area layer can also aid the terminal in reducing complexity and power

consumption, for example by providing assistance information when searching for the local-area nodes.

Finally, dynamic TDD and relaxed RF requirements can obviously be applied to the booster carrier to

achieve the benefits discussed in the previous section.

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System information

Booster

Anchor

System information

Booster

Anchor

Figure 7.2. Soft Cell - Dual Connectivity to Wide-Area and Local-Area Layers.154

Scheduling of transmissions on the anchor and booster carriers can be controlled by the wide-area and

local-area nodes, respectively. Thus, as there are separate schedulers for the two carriers, there is no

requirement for a low-latency interconnection between the layers.

Obviously, a soft-cell deployment with tightly interworking wide-area and local-area layers is applicable for

the case when there is an overlaid full-area covering macro layer operating on top of the local-area layer.

For the case when the low-power local-area nodes are deployed in isolated areas where there is no wide-

area coverage what-so-ever, the low-power nodes obviously need to operate stand-alone. Such a

deployment is possible already with the existing LTE specifications and local-area optimizations are

primarily product-specific design choices, for example in terms of output power and capacity. The

enhancements mentioned in the previous section, namely relaxed RF requirements and dynamic TDD

can also be applied in the stand-alone case.

Implementation-wise the same node can operate either as a stand-alone node or as part of a soft cell

setting – the difference between the two is only which signals to transmit. The node may even take a

different appearance towards different terminals. Hence, migrating from stand-alone operation towards

soft cell is straightforward.

Mobile data traffic is expected to grow 500 ~1000 times in the next decade. To meet this explosion of

data demand, further enhancements for small cell and heterogeneous networks are planned for LTE Rel-

12, following the evolution path of carrier aggregation (CA), eICIC and FeICIC in Rel-10 and Rel-11. In

particular, it is envisioned that hyper-dense heterogeneous networks with a combination of macros, picos,

femtos, relays, and remote radio heads (RRH) together with wide-band CA will be needed to meet the

data demand, where hyper-dense heterogeneous networks maximize cell-split gain and system spectrum

efficiency per Hz and per Km2, while wide-band CA increases system capacity via frequency domain.

7.2.1.4 MULTIFLOW ENHANCEMENTS

Multiflow extends the carrier aggregation concepts introduced in Rel-10 to work across eNBs by defining

a hierarchical relationship between a pair of (H)eNBs in order to serve a UE from multiple eNBs

simultaneously across a higher latency standardized interface.

154 Source: Ericsson.

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Multiflow requires the UE to be connected to two or more cells simultaneously where there is:

An anchor cell which provides the control plane and services the UE for high QoS data; and

A booster cell which services the best effort data

The advantages of multiflow are that as the number of small cells increase, the RAN can use more

efficient load balancing for data by offloading the data traffic to the booster, while simultaneously

maintaining a good user experience and low signalling load by keeping the mobility on the anchor.

Additionally multiflow can provide benefits such as:

Less CN control plane signalling as mobility to and from booster is within the RAN

Energy savings as a booster cell need only be activated when needed

More real time management of offloading and capacity in the RAN

An objective of multiflow is to support the following procedures:

RF measurements of the booster cell by the UE

Activating and deactivating the UE‘s connection to the booster cell

Adding and removing which bearers are served by the booster cell

7.2.2 LTE MULTI-ANTENNA/SITE ENHANCEMENTS

During the 3GPP RAN Rel-12 workshop, a total of 21 companies at least mentioned that advanced

MIMO/antenna technologies should be a key component of Rel-12. The discussion focused on three main

areas: 3D beamforming, massive MIMO and CoMP enhancements.

3D beamforming through the utilization of flexible electronic beam shaping adds the concept of

beamforming in the vertical domain (see Figure 7.3). It has the potential to increase spectrum efficiency of

the network through proactive cell shaping and splitting as well as improving the coverage. Several

companies presented the potential gains of this technology at the workshop. Although the results are not

calibrated between the companies, it does show that significant gains are possible. The potential

enhancement needed to support this technology includes: reference signal enhancements, codebook and

feedback enhancements, measurement enhancements for interference coordination in the beam domain

as well as RF requirements. As a conclusion from the workshop, a study item on 3D beamforming will be

created to look at the 3D channel model and 3D beamforming with less than x and massive MIMO with

larger than x antenna ports. The value of x is being actively discussed in 3GPP.

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Figure 7.3. Example of 3D Beamforming.155

Furthermore, as the network evolves to more heterogeneity with larger and larger number of small cells,

the density of antennas per area will increase significantly in the future. As a result, another conclusion

from the 3GPP RAN Rel-12 workshop is to study massive MIMO technologies as a longer term multi-

antenna enhancement.

As a major feature in 3GPP LTE Rel-11, Coordinated Multi-Point (CoMP) transmission and reception

enables very close and dynamic coordination between multiple network nodes (either macro or pico

nodes) under the assumption that these nodes are connected through fast backhaul with small latency.

One of the key enhancements of CoMP in Rel-12 is to relax this assumption so that cooperation can be

acheived between the network nodes that are not connected through fast backhaul. Note that in previous

releases, cooperation between nodes with slow backhaul is done in a semi-static fashion as inter-cell

interference coordination. An extension of CoMP to slow backhaul allows the UE to take advantage of the

resources from multiple nodes for data traffic without fast coordination of data scheduling, for example

through multi-stream aggregation (MSA). Another dimension to extend CoMP is to support CoMP in multi-

carrier scenarios where resources are aggregated and coordinated in both spatial and frequency regime

to further improve user experience. Furthermore, mobility management can be largely simplified with

coordination of multiple layers of network entities, for example between macro and pico cells.

7.2.3 NEW LTE PROCEDURES TO SUPPORT DIVERSE TRAFFIC TYPES

In order to improve always-on connectivity, Rel-12 will focus on LTE RAN mechanisms that enhance the

ability to support diverse traffic profiles, including but not limited to very bursty traffic, enriched services

(low latency, presence aware, etc.) and Machine Type Communication (MTC). Under various traffic loads,

Rel-12 improvements will consider application differentiated traffic handling and lighter weight RRC

155 Source: Alcatel-Lucent.

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solutions for small volume traffic to allow for better trade-offs between network efficiency, UE battery life,

signalling overheads, and user experience / system performance.

Both network and the UE based enhancements will be investigated, for both FDD and TDD, in the

following areas156

:

1. Enhancements within existing RRC states, to RRC state-control mechanisms and RRM

mechanisms that offer system efficiency improvements and/or reduced UE power consumption

for devices exhibiting a continued but intermittent data activity

2. Enhancements to DRX configuration/control mechanisms to be more responsive to the needs

and activity of either single or multiple applications running in parallel, with improved adaptability

to time-varying traffic profiles and to application requirements, thereby allowing for an improved

optimization of the trade-off between performance and UE-battery-consumption.

3. More efficient management of system resources (for example, UL control channel resources) for

connected mode UEs that are temporarily inactive, facilitating potentially larger user populations

in connected mode

4. For the above enhancements, knowledge from both the UE and the network should be taken into

account where possible

7.2.4 OTHER AREAS OF INTEREST

7.2.4.1 MULTI-TECH/WIFI INTEGRATION ENHANCEMENTS

Rel-12 will focus on enhancements for improved integration of LTE with Wi-Fi. The exact level of

integration is up for discussion, from loose to tight coupling as shown in Figure 7.4.

156 RP-120256, ―Revised WID for LTE RAN Enhancements for Diverse Data Applications‖‘ 3GPP TSG RAN Meeting #55, Xiamen,

P.R. CHINA 28-February– 2-March 2012.

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Figure 7.4. LTE-Wi-Fi Levels of Integration.157

Looser coupling solutions are simpler but would consist of Hotspot WLAN deployments with little

integration and non-seamless offload as supported currently (like most of the deployments today). Such

solutions have the disadvantage of non-seamless offload and user experience not always being

satisfactory, but in the future WLAN offload to multiple WLAN networks, roaming agreements with multiple

WLAN service providers, etc. could improve the user experience.

Stronger coupling solutions are more complex and would consist of WLAN deployments as extensions of

LTE networks. Such solutions have the potential for better meeting increasing data demands, providing

seamless offload and similar level of user experience between WLAN and LTE, maintaining session

continuity and minimizing data interruption during HO. Some level of network control as for intra-3GPP

mobility is desirable as well as network initiated HO to WLAN for better operator‘s control.

7.2.4.2 MTC ENHANCEMENTS

A third release of improvements is being developed for MTC devices and mobile data applications

running in smart phones. This work is covered by the Rel-12 feature ―Machine-Type and other mobile

data applications Communications Enhancements (MTCe)‖. Five main building blocks or features are

being considered as part of this work and documented in TR 23.887158

. They may be prioritized due to

time crunch and parallel work.

Small Data transmission (infrequent and frequent)

Device Triggering enhancements

Group based features (especially group based charging, policing and messaging)

157 RWS-120023, 3GPP TSG RAN Workshop on Rel-12 and Onwards, Ljubljana, Slovenia, 11-12 June 2012.

158 3GPP TR 23.887, ―Technical Specification Group Services and Systems Aspects; Machine Type and Other Mobile Data

Applications Communications Enhancements (Release 12)‖, V0.2.1 (2012-08).

Looser Coupling Tighter Coupling

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Monitoring enhancements

UE power consumption optimizations.

Device Triggering Enhancements

Device triggering enhancements in Rel-12 is intended to address items that could not be completed in

Rel-11. Some enhancements such as securing device trigger therefore preventing fake SMS from

reaching devices may be considered. Need for generic format based triggering using a control plane

interface (T5a/b) between MTC-IWF and serving nodes (for example, SGSN/MME) will be studied and

evaluated. The generic format can easily be extended if additional functionalities or information are

needed in future releases. This solution will fit an operator‘s need to move applications from a SMS-focus

to an IP-data focus and also help move towards an IP-based Packet Core.

MTC Group

MTC group is intended for use with MTC devices that can easily be grouped to enable optimization of

network resource usage. A group of devices could be defined by the network operator or based on

agreements between the service provider and the operator. It is defined at the time of subscription and is

identified by a Group ID; the Group ID is expected to be unique within the PLMN.

Currently it is assumed that devices that have the following characteristics could form a group:

have the same home PLMN;

subscribe for same or similar applications regarding QoS/Policy rules and general traffic

characteristics (for example amount of data exchanged, data sent only at certain times).

One of the main drivers behind group features is group based messaging. This enables both the service

provider and operator to initiate triggering / messaging towards all devices of the group at once in order to

save radio resources and signalling within the core network.

Grouping of devices could have effects on how these devices authenticate towards the network, are

attached or detached and how bearers and what kind of bearers (for example group bearers with a

defined maximum bitrate for the whole group) are maintained. In addition, offline charging for groups of

devices should be optimized, for example, to reduce the amount or size of charging records and allow for

easy correlation of records.

Small Data Transmission for MTC Devices

This feature is intended for use with MTC devices that need to transmit and receive only a small amount

of data. Devices are currently known to transmit small data either using SMS or using user plane.

Rationale for this feature is to study alternative solutions that can be deployed in a PS-only network,

optimize use of network resources and speed up sending data.

Small Data Transmission for Smart Phones

Due to the proliferation of smart phones, operators are increasingly faced with different challenges posed

by diverse applications running in such devices. Many wireless data applications (for example social

networking applications such as Facebook, Twitter, Skype) are characterized by transmission of small

data packets (in terms of packet size) in the UL and DL. Small data transmission may occur between the

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network and the UE frequently, if many of these mobile data applications run concurrently on a UE,

causing the UE to transition frequently between idle and connected state if the UE is sent to idle mode

soon after the transmission of small data is complete. If the UE is kept in connected mode for an

extended duration, this can cause excessive signalling and negatively impact UE power consumption.

In short, such frequent transmissions can have the following adverse effects on the network and the UE:

Increased control plane signalling in RAN (Radio Access Network) and CN (Core Network)

Increased UE battery consumption

Work in 3GPP is mainly aimed at identifying mechanisms that help with signalling reduction and at the

same time ensuring battery consumption is not negatively impacted.

MTC Monitoring

This feature is intended to monitor MTC device related events; mainly to address the needs of devices

deployed in locations with high risk of vandalism or theft.

The feature includes event detection and reporting to the MTC service provider. Possible detection and

reporting points in the network are HSS, SGSN/MME, GGSN/P-GW and PCRF (see Figure 7.5). The

reference point Tsp as described in section 6.4.1.1 can also be used for event reporting to the SCS/AS. If

detection and reporting points are different, detected events have to be sent from one entity to the other,

for example, from SGSN/MME to GGSN/P-GW via GTP-C or a new protocol. Optionally default actions

stored in the HSS per user like sending an alarm message or detach the device can be taken when an

event is detected.

Figure 7.5. MTC Monitoring Architecture.

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Following are sample monitoring events:

Device behavior not aligned with the activated MTC feature(s) (for example, device is transmitting

data outside an allowed time period or a low mobility device is moving very frequently)

Change in point of attachment (PoA) (for example, a gas meter is removed)

Change of association between UE and UICC (for example, UICC is stolen)

Loss of connectivity to the network

MTC service provider and network operator could define the type of events that should be detected and

the action that should be taken by the network. Such agreements are usually fixed in Service Level

Agreements (SLA).

Low Power Consumption

Power consumption is important for UEs using a battery and also for UEs using an external power supply.

Its importance increases with the continued need for energy savings and can be illustrated by the

following scenarios:

For M2M use cases like sensors that run on battery it is a major cost issue for a large amount of

devices to change (or charge) the batteries on site, and the battery lifetime may even determine

the device‘s lifetime if it is not foreseen to charge or replace the battery;

A considerable number of applications (for example, mobile data applications or MTC

applications) show communication patterns for which the 3GPP system could be optimized to

provide services with the need for less optimized UE power consumption for example for mobile

data applications with frequent communication with the network currently cause battery drain.

The major concern here is that if dramatic reduction of battery consumption cannot be achieved when

using 3GPP access, M2M devices like smart meters may continue to use other access technologies.

7.2.4.3 SON/MDT ENHANCEMENTS

Rel-12 discussions recognize that SON is a key enabler for cost efficient small cell deployments.

Discussions in Rel-12 have identified that SON can further reduce OPEX and simplify the tasks of

operators through automatic updates of network topology changes between LTE network and

UTRAN/GERAN networks, and decentralized self-healing mechanisms.

Areas of consideration for Rel-12 SON include:

SON for UE groups/ configurations: SON use cases can be enhanced to treat UE groups / configurations, high/low speed UEs, Rel-8 UEs, CA UEs, etcetera, differently

SON features must leverage UE position information because propagation and interference make cell borders complex and overlap regions can vary greatly. The addition of position information to SON allows optimized HO thresholds along cells

SON for Active Antenna Systems (AAS) and dynamic spectrum allocation

o SON can automate the optimization of the spectrum use

o SON can use AAS to adapt coverage according to actual traffic and user demands

o SON can optimize spectrum allocation between different RATs

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Optimize the performance of heterogeneous LTE networks Automatic detection and correction of intra-LTE scenarios of short stay in a cell Auto-tuning of mobility parameters according to individual UE mobility and traffic profile in dense

heterogeneous networks deployments Self-adjustment between load balancing and mobility robustness algorithms

Heterogeneous Networks SON:

Extending current SON features like MRO to low power nodes (for example, Pico/Relay/HeNB) Self-checking and self-healing for low power nodes Continuing the work of Rel-11 in energy savings management

MDT:

MDT has been enhanced in Rel-11 by enforcing the reporting of location information. In order to complete

standardization of MDT for maximizing the gain of MDT to further reduce operators‘ OPEX, there are

proposals in Rel-12 that recommend that MDT should be enhanced so as to collect sufficient information

to support the following:

User perceived QoS at boundary of LTE and UMTS cell Coverage problems caused by CSG cells, reported by non-member UEs that report existence of

CSG cell which causes strong interference Altitude information when UE is located indoor Reporting of inter-RAT interference on the same frequency. Rel-12 work items address including

MDT continuation after handover or cell reselection to LTE cell from other RAT QoS verification through measurements of latency and packet loss rate Improve the availability and accuracy of location information for indoor and urban canyon zones. Coverage characterization enhancements such as DL common channels acquisition performance

7.2.4.4 D2D

LTE-Direct Device to Device (D2D) service leverages the tremendous growth in proximity services and is

also one of the enhancements being proposed by many companies for Rel-12. This work includes device-

to-device discovery and device-to-device communication (see Figure 7.6).

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Figure 7.6. Device-to-Device Services.159

Proximity-based applications and services represent an emerging socio-technological trend that the LTE

ecosystem can benefit with the introduction of LTE-Direct. One of the key value propositions of LTE-

Direct is providing tremendous value to the 3GPP community by introducing low power, autonomous

discovery of instances of applications and services running in devices that are within proximity of each

other. This discovery can lead to innovative services and applications of the overall LTE eco-

system. Upon discovery, direct communication would represent an optimization of the current alternatives

for sending and receiving data/media within the current 3GPP framework. In addition to the commercial

potential of LTE-Direct, public safety has also expressed interest in using the capabilities of LTE-Direct for

their services.

LTE-Direct discovery, by mitigating current limitations of scalability, high power consumption and resource

utilization adds significant new levels of utility for proximity-based applications. In this context, 3GPP

technology has the opportunity to become the platform of choice to enable proximity-based discovery and

communication between devices, and promote a vast array of future and more advanced proximity-based

applications.

3GPP SA WG1 has already worked on the Feasibility Study for Proximity Services (ProSe) in Rel-11,

which studies use cases and identifies potential requirements for an operator network controlled

discovery and communication between devices that are in proximity, under continuous network control. It

includes the use cases of commercial/social use, network offloading, Public Safety and integration of

current infrastructure services. For public safety, the study also covers potential requirements for case of

absence of EUTRAN coverage.

The requirements for Proximity Services are being captured in 3GPP TR 22.803.

159 3GPP TR 22.803, ―Feasibility Study for Proximity Services (ProSe), (Release 12).‖

SGd

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7.2.4.5 FURTHER HSPA+ ENHANCEMENTS INCLUDING INTERWORKING WITH LTE

While 3GPP has closed the books on Rel-11 of the HSPA+ standards specifications, some areas have

been identified for further work. The possibility for aggregating LTE and HSPA carriers towards

transmissions to a single UE as shown in Figure 7.5 has already been discussed in a separate 4G

Americas white paper160

. The main motivation for such a feature is in utilizing the already deployed HSPA

and LTE infrastructure in a more efficient way, and aggregating the carriers of the two 3GPP radios in a

similar fashion as already supported in each radio independently with Multicarrier HSPA and LTE carrier

aggregation.

Figure 7.7. Projected 3GPP Standard Evolution of LTE Carrier Aggregation, HSPA Carrier Aggregation

and HSPA+LTE Interworking.161

Other potential areas for 3GPP Rel-12 work are related to optimizations for the support for heterogeneous

networks, Home Node B mobility, improved voice and even Machine Type Communications, but the full

scope and content of the Rel-12 of the HSPA+ Evolution is expected to find shape during 2013.

7.2.4.6 ADVANCED RECEIVERS

Given the trends toward small cell deployments and heterogeneous networks, interference management

for LTE is becoming increasingly important. Handling of interference can be performed at both the

transmitter (for example, eICIC and DL CoMP) or at the receiver (IRC, UL CoMP or other multiple

antenna interference suppression receivers). These techniques have been studied and worked as part of

Rel-10 and Rel-11, however much of the work has been done independently. One potential area for

improvement in Rel-12 is to consider the benefits of jointly optimizing transmitter and receiver interference

mitigation techniques. For example, it may be possible for IRC or other interference suppression receivers

to perform better if the transmissions to two different UEs from separate eNBs but using the same

Physical Resource Blocks (PRBs) are coordinated using favorable transmission modes to enhance the

IRC or interference suppression algorithm capabilities. It is suggested that Rel-12 consider investigating

the potential benefits of such eNB coordination in conjunction with advanced receiver techniques in the

160 HSPA+LTE Carrier Aggregation, 4G Americas, June 2012.

161 HSPA+LTE Carrier Aggregation, 4G Americas, June 2012.

Simultaneousreception ofHSPA + LTE

LTE Carrier aggregation

LTE evolution

HSPA Carrier aggregation

HSPA evolution

HSPA + LTEaggregation

Load balancing, Re-selections,

Handovers, voice continuity, co-siting

HSPA

LTE

Rel-5…Rel-9 Rel-7…Rel-11 …and beyond

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UE, particularly considering the practical impacts of delay, estimation errors, measurement bandwidths,

etc. If interesting benefits are seen, then appropriate signalling and minimum performance specifications

would need to be addressed as part of Rel-12.

7.3 RELEASE INDEPENDENT FEATURES

7.3.1 NEW FREQUENCY BANDS

So far, no new bands have been approved for definition in the Rel-12 timeframe.

7.3.2 NEW CA AND DC COMBINATIONS

For Rel-12 the following CA scenarios are scheduled to be standardized.

Table 7.1. The carrier aggregation scenarios that will be completed in Rel-12 time frame.

Carrier Aggregation Bands Work Item Description Document

25 RP-120336

3,5 RP-120867

3 RP-120383

1 RP-120826

2,4 RP-120875

4 RP-120593

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8 CONCLUSIONS

Wireless data usage continues to grow at an unprecedented pace, driven by the quickly increasing

penetration rates of data hungry devices and the rising expectations of end users who look to support

more applications of various traffic types on their devices. Evolutions to HSPA+ and the introduction of

LTE are the current means to addressing these quickly growing data capacity demands. However,

networks with a large majority of smartphone and tablet devices are being pushed to the limits. Thus,

continued innovations in 3GPP standards are critical for supporting future data growth. Fortunately, as

demonstrated in this paper, this is happening in 3GPP with continued enhancements to HSPA+ and the

introduction and enhancement of LTE-Advanced in Rel-10 and Rel-11.

The core specifications for Rel-10 were frozen in March 2011 and added feature functionality and

performance enhancements to HSPA, while introducing new features to LTE, called LTE-Advanced, that

support the requirements of IMT-Advanced as defined by the ITU. For HSPA, Rel-10 introduced support

for four-carrier HSDPA as well as additional dual-carrier frequency combinations. For LTE, Rel-10

introduced CA, multi-antenna enhancements (for up to 8X8 MIMO), support for relays and enhancements

to SON, MBMS and heterogeneous networks. Other more network and service-oriented enhancements in

Rel-10 included architecture improvements for Home (e)NBs (therefore femtocells), local IP traffic

offloading, optimizations for machine-to-machine (M2M) communications and SRVCC enhancements.

Rel-11 work has been the focus of 3GPP since the completion of Rel-10. The core specification for Rel-

11 was frozen in September 2012 and will define enhancements to HSPA+ and LTE-Advanced. For

HSPA, Rel-11 introduces new features such as 8-carrier HSDPA, DL Multi-Flow Transmission, DL 4-

branch MIMO, UL dual antenna beamforming and UL MIMO with 64QAM. For LTE, Rel-11 provides

enhancements to the LTE-Advanced technologies introduced in Rel-10, such as enhancements to CA,

heterogeneous networks, relays, MBMS and SON. Rel-11 also introduces the Co-ordinated Multi-Point

(CoMP) feature for enabling coordinated scheduling/beamforming and MIMO across eNBs. Finally, Rel-

11 introduces several network and service related enhancements such as enhancements to Machine

Type Communications (MTC), IMS-related enhancements, Wi-Fi integration related enhancements and

H(e)NB enhancements.

3GPP has already begun initial planning and discussions for Rel-12. With a target completion timeframe

of March 2014, work on Rel-12 is expected to be the focus of work in 2013. There is general agreement

that Rel-12 will be mainly an evolution of the LTE and LTE-Advanced technologies, with strong focus on

supporting backward compatibility with pre-Rel-12 devices. Some main themes for areas of Rel-12 focus

are enhancements to LTE small cell and heterogeneous networks, LTE multi-antennas (such as MIMO

and Beamforming) and LTE procedures for supporting diverse traffic types. In addition to these themes,

other areas of interest include enhancements to support multi-technology (including Wi-Fi) integration,

MTC enhancements, SON/MDT enhancements, support for device-to-device communication, advanced

receiver support and HSPA+ enhancements including interworking with LTE.

Clearly the continued evolution of 3GPP is exceptionally strong, providing significant new capabilities and

enhancements to HSPA+ and LTE-Advanced through Rel-10, Rel-11 and into Rel-12 and beyond to

provide operators with the solutions for meeting the fast growing wireless data usage demands of

consumers and the industry.

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APPENDIX A: DETAILED MEMBER PROGRESS AND PLANS ON RELEASE 99 THROUGH

RELEASE 10: UMTS-HSPA+ AND LTE/LTE-ADVANCED

Alcatel-Lucent is a major player in the UMTS-HSPA market, with one of the industry‘s most

comprehensive UMTS-HSPA portfolios supporting deployments covering all markets and frequency

bands.

As of July 2012, Alcatel-Lucent has 74 UMTS-HSPA customers in 53 countries, including 5 of the top 10

WCDMA operators by subscribers (AT&T, KT, SKT, Vodafone), as well as 197 GSM contracts in over 100

countries. Alcatel-Lucent is working closely with its customers to smoothly migrate their networks towards

HSPA+ and LTE. As part of Alcatel-Lucent‘s converged RAN solution, the company‘s existing hardware

is already HSPA+ (Dual Carrier and MIMO) and LTE capable and the activation is done on a software

basis only. Recent UMTS-HSPA contracts include:

February 2011 – Alcatel-Lucent helped Togo Cellulaire extend network capacity in GSM and to

build the first 3G (HSPA+) network in the country

July 2011 - Alcatel-Lucent and China Unicom boost 3G WCDMA network to meet rising customer

demand for mobile broadband services

December 2011 - Alcatel-Lucent helped Taiwan‘s Asia Pacific Telecom bring new high-speed

mobile broadband services to subscribers

March 2012 - Alcatel-Lucent and CNT enrich communication by deploying E2E WCDMA network

in Ecuador enabling CNT to be the first in the country to offer its customers ‗converged‘ services

that can be accessed from both their fixed and mobile devices

Alcatel-Lucent is a dynamic force in the proliferation of small cells in a converged broadband

environment, extending the technology from residential gateways to the enterprise and into the

metropolitan areas. Alcatel-Lucent has clearly established itself as the leading end-to-end Femto/small

cell vendor, currently holding more than 20 trials and 39 commercial deployment agreements (including

contracts with Vodafone Group (UK, New Zealand, Italy, Czech Republic), Etisalat in the UAE, Telefonica

Spain, and Optus Australia). Recent small cell contracts and innovations include:

August 2011 – VimpelCom uses Alcatel-Lucent solution to launch femtocell-based services in the

northwestern region of Russia

February 2012 – Alcatel-Lucent and Telenor establish frame agreement to deploy 3G ―small cells‖

technology to improve mobile broadband coverage in homes, offices and public locations in the

11 countries in which Telenor operates across Scandinavia, Central and Eastern Europe and

Asia

February 2012 - lightRadio™ Wi-Fi makes it easy for smartphones, tablets and other connected

devices to move seamlessly between cellular networks and hotspots at home, in coffee shops

and other locations

June 2012 - Alcatel-Lucent‘s femtocell technology to enhance Telefonica‘s mobile broadband

services inside buildings in Europe and South America

Alcatel-Lucent has established a clear leadership position in the LTE market, having been selected so far

by over 25 customers for commercial deployments and involved in over 70 LTE trials worldwide spanning

both FDD and TDD spectrum. The LTE contracts include major tier 1 operators around the world

including VzW, AT&T, Sprint, Vimpelcom, Etisalat, Orange, IDC, Saudi Telecom, Antel, America Movil

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and other operators in North America, Europe, Middle East, Africa, & Asia Pacific. LTE industry firsts

include:

August 2011 – Alcatel-Lucent and China Mobile demonstrate first video conversation using

lightRadio LTE technology to connect locations in China and the United States

September 2011 – Alcatel-Lucent helps Telefonica support the first 4G LTE pre-commercial pilot

networks in Madrid and Barcelona

September 2011 – Alcatel-Lucent prepares China Mobile‘s TD-LTE network and testing program

in Shanghai for further expansion and widespread rollout of mobile broadband services

October 2011 – Alcatel-Lucent helps City of Charlotte, NC to deploy public safety network in

dedicated Public Safety 700 MHz frequency spectrum

October 2011 – Alcatel-Lucent helps Verizon Wireless with LTE Mobile Device Management

using the award winning Motive solution

December 2011 - Antel and Alcatel-Lucent launch LTE services in Uruguay and establish the first

commercial 4G/LTE wireless network in a Latin American country

January 2012 - Alcatel-Lucent helps Saudi Telecom (STC) to launch Saudi Arabia‘s first 4G LTE

wireless network in the country, bringing subscribers true broadband services to their mobile

devices.

February 2012 - Alcatel-Lucent and Etisalat make the first 4G LTE mobile broadband connection

in the United Arab Emirates using lightRadio™

February 2012 – Alcatel-Lucent and Telefonica demonstrate world‘s first Heterogeneous

networks comprised of LTE macro cells and metro cells operating at 2.6 GHz in shared spectrum

May 2012 - Alcatel-Lucent and Cassidian launch Evercor® solution that integrates Alcatel-

Lucent‘s 4G LTE mobile broadband with TETRA-based systems to form the first end-to-end

integrated LTE 400 professional mobile radio (PMR) solution for the 380-470 MHz band – the

frequency band currently used by public safety agencies and other essential services in many

parts of the world.

June 2012 – Alcatel-Lucent and Smile Telecom Holdings Ltd (Smile) launch the first 4G LTE in

Africa with service in the 800 MHz frequency band

Alcatel-Lucent is a strong and early promoter of LTE, heavily contributing to LTE ecosystem

development: The company started to operate LTE trials in 2007 and is a leading force in defining 3GPP

LTE specifications, also working in close collaboration with Next Generation Mobile Network Alliance

(NGMN) and playing a leading role in the LTE/SAE Trial Initiative (LSTI). Alcatel-Lucent is also fostering

the development of a robust LTE ecosystem and innovative business models with the ng Connect

Program.

From a technology standpoint, Alcatel-Lucent is the end-to-end LTE solution partner of mobile service

providers worldwide with the industry‘s most comprehensive offering. The company has garnered 7 LTE

technology awards with the most recent including:

October 2011- 4G World: Won in category of Broadband Access Network technology and

services – wireless

December 2011- Telecom Asia Readers‘ Choice Award: Special Editor Recognition award for

LTE Innovation

May 2012 - LTE World Summit/Telecom.com Award: Best LTE RAN Product award

Alcatel-Lucent is also committed to supporting LTE-Advanced which brings significant network

improvements in terms of throughput, peak rates, spectral efficiency and capacity as well as

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CAPEX/OPEX savings. The company has conducted several demonstrations/trials to date

including:

October 2009- Bell Labs in cooperation with Deutsche Telecom conducts world‘s first field

demonstration of LTE CoMP to boost speeds on LTE based wireless broadband networks

June 2010– Bell Labs trials MU MIMO with Advanced Receiver (SIC)

April 2011- 8x8 MIMO TDD demonstration performed in April during the ASB Innovations days

(Multilayer Beam-forming based MIMO) – Rel-10 feature

February 2012– 3D Beamforming (8x8 MIMO) using lightRadio Active Array Antennas at MWC in

Barcelona

Alcatel-Lucent is best positioned to help its customers in addressing the mobile data explosion and smart

phone behavior specificities leveraging its High Leverage Network™ architecture including excellent

optimization features, multi-carrier traffic balancing, smart management of signalling load and topology

adjustment (small cells). The company is also leveraging its wireline leadership to evolve its customers‘

networks to an all-wireless IP network. Alcatel-Lucent is the only mobile equipment vendor with both the

portfolio and the experience needed to transition wireless networks to all-IP to enable its wireless

customers to offer multimedia and differentiated services while optimizing costs.

AT&T Inc. (NYSE:T) is a premier communications holding company and one of the most honored

companies in the world. Its subsidiaries and affiliates – AT&T operating companies – are the providers of

AT&T services in the United States and around the world. With a powerful array of network resources that

includes the nation‘s largest 4G network, AT&T is a leading provider of wireless, Wi-Fi, high speed

Internet, voice and cloud-based services. A leader in mobile Internet, AT&T also offers the best wireless

coverage worldwide of any U.S. carrier, offering the most wireless phones that work in the most countries.

AT&T's wireless network is based on the 3rd Generation Partnership Project (3GPP) family of

technologies that includes LTE and HSPA mobile broadband as well as GSM and UMTS voice. GSM is

the most open and widely-used wireless network platforms in the world. This means that AT&T customers

benefit from broader global roaming capability, more efficient research and development, the best options

in cutting-edge devices, and smoother evolution to newer technologies.

The GSM/UMTS platform enables continued enhancement of mobile broadband speeds as AT&T evolves

to the next generation of technologies.

AT&T‘s 4G network, which includes LTE and HSPA+ with enhanced backhaul, covers 275 million people,

making it the nation‘s largest. Virtually 100 percent of AT&T‘s wireless network is covered by HSPA+,

which, when combined with enhanced backhaul, enables 4G speeds. Almost 90 percent of AT&T‘s

mobile data traffic runs over our 4G network.

The company is among the world‘s leaders in moving to LTE, the next generation of wireless technology.

At the end the second quarter of 2012, AT&T had 4G LTE available in 51 markets including such cities as

Atlanta, Baltimore, Boston, Buffalo, Charlotte, N.C., Chicago, Dallas, Ft. Lauderdale, Houston,

Indianapolis, Kansas City, Las Vegas, Los Angeles, Miami, New York, Oakland, Phoenix, San Antonio,

Texas, San Diego, San Juan, Puerto Rico, Washington, D.C., and others.

AT&T, which covered 74 million POPs with 4G LTE at the end of 2011, expects to double that number in

2012, with plans to largely complete its deployment by the end of 2013.

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AT&T is a recognized leader in its device strategy as well. Nearly 62 percent of its postpaid customers

had smartphones at the end of the second quarter of 2012. More than one-third of AT&T‘s postpaid

smartphone customers use a 4G-capable device. Android, iPhone and Windows device sales are

supported by AT&T‘s 4G network. In addition, the company has 14 million connected devices like tablets,

netbooks, eReaders and tracking units on its network.

Thanks to AT&T‘s award-winning network strategy, all AT&T 4G LTE devices fallback to HSPA+ when

outside of LTE coverage areas, giving AT&T customers access to 4G speeds even when not on the LTE

network.

AT&T also is one of the only wireless providers in the world to deploy voice services on 4G LTE

smartphones that utilize circuit-switched fallback as an interim solution until standards development is

completed for Voice over LTE services. The deployment of circuit switched fallback allows AT&T

customers to continue to talk and surf at the same time until VoLTE services are launched.

CommScope: For the carrier market, CommScope (www.commscope.com), through its Andrew

Solutions portfolio, is a global leader for wireless network infrastructure, including all the integral building

blocks for base station sites such as air interface access (antennas), RF conditioning (filters, amplifiers

and diplexers), air interface backhaul, installation (mounts and towers), design and installation services,

inter-connectivity (feeder cabling), energy conservation, power and power backup, and monitoring and

control.

CommScope also is a leading global provider of solutions that enhance and extend coverage, capacity

and energy-efficiency of wireless networks; caller location services; and network planning and

optimization products and services. CommScope also is a leader in integrated outdoor electronics, power

and power backup solutions for both wired and wireless networks.

CommScope‘s solutions address all areas of RF path and coverage needs for UMTS and LTE. The

company‘s RF solutions enable operators to synchronize investments with revenue using scalable

deployment strategies and technologies, accelerate payback by expanding macro coverage effectively,

and manage coverage, capacity and interference in key areas such as urban settings, indoors, and along

transportation corridors.

CommScope products support current 3GPP releases and product roadmaps and will continue to be

developed to ensure future compliance to 3GPP specifications. CommScope solutions specifically

address the unique needs of wireless operators deploying UMTS-LTE networks in the following ways:

Rapid development of a focused outdoor UMTS-LTE footprint – CommScope accelerates dense urban

builds with small footprint rooftop deployments; supplements macro coverage with microcell-based

capacity for outdoor hotspots; simplifies greenfield site builds with kits and bundles; and broadens

effective cell coverage with tower-mounted amplifiers, multi-carrier power amplifiers, and Node-based

interference cancelling repeaters. CommScope provides turnkey coverage and distributed capacity for

outdoor venues such as urban streets, urban canyons, road tunnels, and railways with multi-operator,

multi-standard ION® optical distribution networks and RADIAX® radiating cable. HELIAX® 3.0 cable and

connector products have best-in-class RF performance coupled with ease of deployment. CommScope‘s

broadband, multiband base station antennas, with available Teletilt® remote electrical tilt, facilitate site

optimization and simplify configuration, lowering rental costs.

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Cost-effective capacity and coverage – CommScope also helps operators and OEMs evolve beyond

voice and move indoors aggressively with its ION distributed antenna system distributing coverage and

capacity in a cost-effective, homogenous, future proof fashion. The current ION system supports up to

five frequency bands in a tightly integrated package with an extension for up to three more frequencies

over a pair of single mode fibers. The Node A indoor or outdoor all-digital repeater provides a low cost

coverage extension solution, supporting up to four simultaneous frequency bands in 400, 700, 800, 850,

900, 1700, 1800, 1900, 2100, or 2600 MHz.

Energy and Environment: CommScope‘s energy conservation initiative supports the industry‘s global

efforts in reducing power consumption, greenhouse gas emissions and operating costs. To achieve many

of these ―green‖ goals, wireless operators can invest in clean and reliable backup power generators,

amplifier upgrades, shelter cooling and hybrid cooling systems through CommScope‘s initiative. It is

estimated that the operation of telecommunications networks is responsible for 0.5 percent of all carbon

dioxide emissions worldwide. CommScope believes that its energy solutions can help wireless operators

save an average of $5,000 per site, per year on energy consumption.

Geolocation – CommScope is a market leader in wireless location services, supporting wireless operators

in their efforts to meet E911 regulatory requirements with systems that enable both E911 and commercial

location-based services (LBS).

Gemalto: Leveraging on strong investments and powerful R&D expertise, Gemalto is the indisputable leader on HTTP-enabled OTA platforms. This market acceptance is highlighted with:

More than 10 references all around the world, with major Tier 1 mobile operators.

4 LTE awards from LTE World:, ―Best Contribution to R&D for LTE‖, "Best contribution to LTE

standards", "Best enabling technology", and "Most Innovative Network Deployment" at 4G World

2011.

With billions of connected devices forecast to be deployed in the near future, the wireless ecosystem is changing and this creates new opportunities for mobile network operators.

Gemalto‘s Advanced Connectivity offer helps operators position themselves as key service enablers with a carrier grade service level agreement in order to be well equipped for these growth opportunities.

Gemalto Advanced Connectivity Framework is the perfect combination of Gemalto LinqUsTM

Advanced OTA platform and UpTeq

TM Advanced UICC.It enables advanced use cases such as:

NFC: large application downloads: Deliver and activate applications on demand with a high security level & good performance

M2M: sell & manage subscription: Deliver and activate full subscription on demand with an optimized cost & logistic

Multi-media: Monetize data. Deploy VoIP and activate the service on demand. Multimedia identities activation with an easy user experience

Offload network: Prioritize network access technologies on demand

These use cases are mission critical scenarios managing sensitive information and requiring carrier grade

Service Level Agreement on success rate, availability, scalability, performance and security.

To fully benefit from NFC, M2M and Multimedia services, Mobile Operators can now take advantage of

the subscribers‘ natural renewal rhythm and reduce the total cost of deployment with an early migration

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strategy to Gemalto‘s Advanced UICC. Advanced Connectivity is fully compatible with existing networks

and can hence be implemented as part of or ahead of an LTE roll-out.

The LinqUsTM

Advanced Connectivity offer enables the operator to instantly activate subscriptions and manage access to personalized services over IP-based LTE mobile networks. The UpTeq

TM Advanced

UICC is embedded with Gemalto‘s unique secure polling software that enables dynamic UICC updating. This feature allows for automatic UICC update, to guarantee 100 percent success rate for the download and activation of mission critical sensitive applications including M2M subscriptions, large NFC payment applications and the credentials for streaming video content over LTE networks. Thanks to the Gemalto ―Always Connected‖ technology, the UICC triggers its own update in order to ensure a maximal success rate and a unique end-user experience.

The LinQus TM

Advanced OTA is the natural evolution of the LinqUs TM

OTA Manager. It is more efficient in terms of campaigns management, more secure to download sensitive information, offers better performance for larger downloads, higher success rates. It is the results of Gemalto years of experience and world leadership in OTA platforms. It embeds advanced technology and features, such as:

Security: with HTTPS, PSK/TLS and Global Platform SCP03, all sensitive information can be protected with the upmost level of security

Polling: with the polling feature the Smart Card is always up to date, without performing any campaigns: the card initiates its own update when it is appropriate

LTE ready: with the HTTP support, it is now possible to download large application, maximize download efficiency and address IP only devices

Architecture: with the latest software technologies, the LinQus TM

Advanced OTA platform is easily scalable to adapt the investment as the performances grow and to enable efficient and reliable architecture (Geo Active High Availability solution)

The carrier grade efficiency of the Gemalto LinqUs TM

OTA platform has already been field-proven

through a number of high-profile commercial LTE deployments, notably with Verizon Wireless and Metro

PCS in the U.S.

Ericsson is the world‘s leading provider of technology and services to telecom operators. Ericsson is the

leader in 2G, 3G and 4G mobile technologies, and provides support for networks with over 2 billion

subscribers and has the leading position in managed services.

Today's mobile broadband services enabled by Ericsson‘s HSPA systems support up to 42 Mbps peak

theoretical throughput on the downlink and up to 5.8 Mbps on the uplink (Rel-6). In December 2008,

Ericsson was the first vendor to provide the first step of HSPA Evolution in commercial networks in both

Australia and Europe when up to 21 Mbps peak theoretical downlink speeds where enabled by Telstra in

Australia and 3 in Sweden (Rel-7). On July 17, 2009, Telecom Italy launched the world‘s first HSPA

MIMO network, supplied by Ericsson, with peak theoretical downlink speeds up to 28 Mbps (Rel-7). And

in February 2010, Telstra in Australia started to offer services up to 42 Mbps, based on Ericsson's dual

carrier HSPA technology. Key characteristics in Ericsson's HSPA offering for mobile broadband are

superior radio performance with a comprehensive RBS portfolio for optimized coverage and capacity,

excellent in-service performance built on scalable and future proof 3G platforms with an easy path to

further steps in HSPA Evolution (HSPA+) that will increase HSPA peak theoretical throughput speeds up

to 168 Mbps and above on the downlink and more than 20 Mbps on the uplink within the coming years

(Rel-10).

The popularity of smartphones is growing as consumers see the greatly expanded connectivity and

communications options they offer and operators recognize the additional revenue potential. Soon, many

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networks in developed markets will see smartphone penetration exceed 50 percent, growing towards 100

percent. Ericsson is the leader in supporting operators with a large population of smartphones and

Ericsson supports the most heavily loaded and successful mobile broadband operators. The number of

subscribers in Ericsson-supplied networks are often much higher than world average and the smartphone

penetration in Ericsson-supplied networks is also very much higher than the world average.

Ericsson has signed LTE contracts with 7 of the 8 top-ranked operators by global revenue (2010). Major

operators in the North American market including Verizon Wireless, AT&T, Sprint, MetroPCS, and Rogers

have selected Ericsson. The world‘s first LTE system, TeliaSonera in Sweden, which went live in

December 2009, was provided by Ericsson. In February 2010 at Mobile World Congress in Barcelona,

Ericsson demonstrated for the first time in the world LTE-Advanced with downlink speed of up to 1.2

Gbps.

Ericsson has supplied the large majority of the commercial LTE networks currently covering more

than 455 million people.

An important key to the quick deployment potential of commercial LTE networks is Ericsson‘s Self

Organizing Networks (SON) solution, offering customers standardized "plug and play" networks

with a high degree of automation, saving time and improving performance.

Ericsson was named a leader in LTE Network Infrastructure in 2012 by Gartner, Inc., the world‘s

leading information technology research and advisory company. The leaders‘ quadrant was

presented in the Magic Quadrant report for LTE Network Infrastructure, July 2012.*

Ericsson is the undisputed leader in development and standardization of LTE and has

demonstrated end-to-to-end superior performance, documented in live network measurements

(own measurements as well as independent measurements) in for example, North America,

Scandinavia and Germany. The measurements show superior stability, throughput, and latency –

the most important key factors for end-users of LTE.

Ericsson has a 40 percent market share of Evolved Packet Core (EPC). In September 2011

Telstra, Australia went live with the world‘s first combined GSM, WCDMA-HSPA, LTE core and

triple-access SGSN-MME pool based on Ericsson EPC portfolio.

Ericsson has had the highest impact on the released LTE specification and expects to hold 25

percent of all essential patents in LTE.

Ericsson is the global leader in telecom services and has won the world‘s first Managed Services

contracts for LTE and currently holds three Managed Services contracts for LTE. Ericsson has

four global service centers with LTE capability.

IP integrated in the radio access network (RAN) – Ericsson has shipped more than 600,000 IP-

capable RBS for 2G, 3G and LTE, of which 60,000 of the RBS nodes also have fully integrated

IP-routing capabilities. The RBS 6000, with integrated IP-routing capabilities in combination with

microwave and optical portfolios, will provide the best solution for each specific site, correlating

both radio and transport aspects with the objective of providing the best user experience.

Ericsson, having transformed large-scale 2G and 3G mobile networks to IP since 2001, is well

positioned to assist operators in their migration to all-IP networks.

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Packet-based backhaul – Since 2009, 425 customers have selected Ericsson‘s Ethernet

switching and native Ethernet transport. Almost all the MINI-LINK microwave units that Ericsson

has deployed since 2001 are upgradeable to IP. Upgrading existing installations rather than

replacing them can cut IP upgrade costs by 40 to 60 percent, still providing capacity and

functionalities to support LTE implementation. Ericsson is the market leader in microwave radio

based on the well-known MINI-LINK portfolio, which has been extended to support fiber products

as well as a range of switching and routing functionalities.

Ericsson's core network solutions include industry-leading soft switches, IP infrastructure for edge

and core routing (Ericsson's Smart Service Routers), IP-based Multimedia Subsystem (IMS) and

gateways. GSM, WCDMA-HSPA and LTE share a common core network. Therefore operators'

previous investments are preserved as they migrate from voice-centric to multimedia networks.

Ericsson's switching products have industry-leading scalability and capacity.

The world‘s first LTE to WCDMA voice handover (SRVCC for VoLTE) was achieved by Ericsson

in cooperation with Qualcomm on December 23, 2011 and it was demonstrated at MWC in

February 2012

Ericsson is the leading end-to-end policy control vendor with more than 110 Service-Aware Policy

Control (PCRF) customers. At MWC 2010 Ericsson demonstrated converged policy control and

service detection. At MWC 2012 QoS functionality based on dedicated bearer in WCDMA-HSPA

and LTE was demonstrated.

*The Magic Quadrant is copyrighted 2012 by Gartner, Inc. and is reused with permission. The Magic

Quadrant is a graphical representation of a marketplace at and for a specific time period. It depicts

Gartner's analysis of how certain vendors measure against criteria for that marketplace, as defined by

Gartner. Gartner does not endorse any vendor, product or service depicted in the Magic Quadrant,

and does not advise technology users to select only those vendors placed in the "Leaders" quadrant.

The Magic Quadrant is intended solely as a research tool, and is not meant to be a specific guide to

action. Gartner disclaims all warranties, express or implied, with respect to this research, including

any warranties of merchantability or fitness for a particular purpose.

In 2008, Ericsson announced the new multi-standard RBS 6000 base station family. The RBS 6000 is a

no-compromise, energy efficient compact site solution that supports GSM-EDGE, WCDMA-HSPA and

LTE in a single package. The RBS 6000 is built with cutting-edge technology and at the same time

provides backwards compatibility with the highly successful RBS 2000 and RBS 3000 product lines. Base

stations delivered since 2001 are LTE-capable, supporting operators with a clear and stable evolutionary

path into the future. As a multi-standard base station, the RBS 6000 offers many options that make

choices simpler while providing greater freedom of choice. Cost-effective deployment and development of

new, high-speed mobile broadband services, mobile TV and Web applications requires a smart solution

that provides a real performance leap. The RBS 6000 family not only ensures a smooth transition to new

technology and functionality minimizing OPEX, but also reduces environmental impact.

Ericsson has 93 IMS system contracts for commercial launch, out of which 32 are with MMTel. There is

live traffic on 61 of the contracts. They are distributed throughout the Americas, Europe, Asia-Pacific and

Africa and include mobile and fixed network implementations.

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Ericsson is helping operators expand and evolve their communications businesses by employing the

latest broadband and IP-based technology to reduce cost and improve service capability, flexibility and

convenience for their customers. Today, Ericsson has the industry‘s largest installed base and the

largest, most mature service organization for all-IP network transformation, which are the results of

Ericsson‘s history of being first to market with IMS and IP softswitching.

At twice the size of its nearest competitor, Ericsson‘s installed Mobile Softswitch Solution (MSS) base of

over 330 commercial networks provides a strong foundation for growth through expansion and enables

smooth evolution towards voice over LTE.

Ericsson offers a complete end-to-end solution portfolio (MSS, IMS/MMTel, EPC, LTE/GSM/WCDMA

RAN) for providing telecom grade voice and video calling over LTE based on VoLTE (GSMA IR92 and

IR94) and circuit switched fallback (CSFB).

Huawei is a leading global information and communications technology (ICT) solutions provider. Huawei

products and solutions have been deployed for over 500 operators in over 140 countries, serving more

than one third of the world's population. Huawei‘s R&D strengths and innovative products have placed

them in the top tier of mobile network providers.

Huawei is Leading Global LTE Commercialization

Huawei has deployed 45 commercial LTE networks and 35 commercial EPC networks, and is working

with more than 80 operators that have announced LTE launches or are committed to LTE (in other words,

Huawei has won more than 80 commercial LTE contracts). The company is partnering with 37 of the top

50 operators worldwide on LTE. As of now, Huawei has helped Bell, Bharti, Deutsche Telekom, Etisalat

(including Mobily in Saudi Arabia) SoftBank, STC, Telefónica, Telenor, TeliaSonera, Telus and Vodafone

launch commercial LTE services in five continents around the world. Huawei is the only vendor capable of

supporting all commercial scenarios, including multi-mode, multi-band, FDD/TDD, RAN sharing, dense

urban and rural, developed and developing markets.

Key milestones in driving LTE commercialization:

TeliaSonera in Norway – World‘s first commercial LTE network covering 70 percent population in

Norway

Vodafone in Germany – World‘s first commercial LTE DD800 network to bridge digital divide

Net4Mobility in Sweden – World‘s first commercial GL900 and RAN sharing

Aero2 in Poland – World‘s first commercial GL1800 refarming and FDD/TDD convergence

SoftBank in Japan – World‘s largest LTE TDD commercial network

eAccess in Japan – World‘s first UMTS & LTE 1.7GHz commercial network

UNE in Columbia – Latin America‘s first large-scale commercial LTE network

M1 in Singapore – Southeast Asia‘s first LTE commercial network

Smart in Philippines – One of the world‘s largest LTE 2.1GHz commercial networks

Genius in HK – Largest and best LTE network in HK

Telenor in Norway – Jointly launched the northernmost LTE site in the world

STC in Saudi Arabia – Middle East‘s first SingleRAN GU/LTE TDD commercial, exclusive EPC

supplier

Mobily in Saudi Arabia – World‘s first SingleRAN WiMAX/LTE commercial network

UKB in Britain – World‘s first 3.5GHz LTE TDD commercial network

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Bharti in India – India‘s largest 2.3GHz LTE TDD commercial network service in most valuable

area

Pioneering LTE Technology Innovation

Based on Huawei‘s SingleRAN strategy, LTE is considered by Huawei as a feature of SingleRAN. This

enabled Huawei in 2009 to be the world‘s first vendor to have a commercial LTE launch; in 2010, Huawei

set a world record network speed with 1.2Gbs; in 2011, Huawei released E392, the world's first LTE

FDD/TDD/UMTS/GSM/CDMA multi-mode data card; in 2012, Huawei provided the world‘s first

commercial LTE TDD 3.5GHz CPE and the fastest Mobile Wi-Fi in the world. Huawei LTE is an end-to-

end solution that includes devices, O&M, eNodeB, EPC, transmission and services. Huawei provides a

comprehensive SingleRAN LTE product portfolio, including macro eNodeB, distributed eNodeB and micro

cells. Huawei has built globally leading end-to-end advantages in the LTE field. Huawei‘s Single Evolved

Packet Core (SingleEPC) solution provides a series of business solutions including bandwidth

management, content delivery, smartphone signalling optimization and network visualization, helping

operators to easily evolve their networks from a pipe to smart mobile broadband networks. Huawei‘s

SingleRAN/EPC solution currently supports 3GPP Rel-10 specifications and plans to be compliant with

Rel-11 specifications by 2014. Huawei‘s strength in providing time-to-market E2E solutions has

established Huawei as a leading global mobile network provider in GSM, UMTS and LTE markets.

Huawei has been working closely with leading operators worldwide to carry out trials and tests on

LTE/LTE-Advanced key technologies including CA, Heterogeneous networks, SON and 4X4

MIMO. In May 2012, Huawei conducted the world's first LTE Category 4 field trial on a

commercial LTE network in Europe. The field trial showed excellent performance with downlink

(DL) data rate of 150 Mbps. At the 2012 MWC, Huawei exhibited Hisilicon Category 4 chipsets

based on LTE TDD with DL data rate of 130Mbps@DL:UL 2:2.

Worked with Vodafone to conduct world‘s first inter-band LTE-Advanced carrier aggregation (CA)

(10M@800MHz&[email protected]) with peak DL rates over 225 Mbps. Huawei demonstrated

world‘s first LTE-A CA ([email protected]&[email protected], 4X4 MIMO) based on LTE TDD with peak

DL rates over 520 Mbps.

Worked with Vodafone to implement a LTE-Advanced Heterogeneous network solution on an

LTE network in Spain that featured leading small base station products, cell radius virtual

extensions and co-channel interference suppression.

In June 2012, Huawei successfully conducted world‘s first SingleSON trial on Hong Kong‘s

commercial GUL networks. In February 2012, Huawei launched ANR into commercial use on LTE

network in Cologne.

Worked with China Mobile to implement the world‘s first TDFi solution for buses, effectively

improving usage of LTE TDD networks and speeding up offloading for hotspots. Users can

access LTE TDD network by any Wi-Fi-enabled devices.

Demonstrated world‘s first eRelay solution based on LTE TDD to solve SmallCell backhaul at

2012 CTIA.

LTE/LTE-Advanced Standards Contributor

According to the latest data from 3GPP, Huawei is the leading contributor to LTE/LTE-Advanced

standards and patents. Since 2010, Huawei has made the most contributions to LTE/LTE-Advanced of

any company in the world.

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Since 2010, Huawei has had 293 approved contributions to 3GPP LTE Core Specifications

(RAN1-RAN3), more than any other company.

Serves in 89 key positions (at the level of chairman and board member) in international

standardization organizations including 3GPP, APT, ARIB, ETSI, IEEE, IETF, ITU, Wi-Fi Alliance

and WWRF.

During the Rel-10 and Rel-11 LTE-Advanced 3GPP standardization, Huawei served as

rapporteur in seven key research topics, including AAS, MTC, UL CoMP, UL MIMO, MSR and

MBMS.

Industry Recognition

Huawei won top LTE awards worldwide, demonstrating Huawei's LTE industry leadership in R&D,

standardizations, solutions and commercialization.

At the 2012 GTB Innovation Awards, Huawei was honored for its collaboration with SoftBank for

world‘s largest and fastest LTE TDD network in Japan in the ―Wireless Network Infrastructure

Innovation‖ category.

At the 2012 LTE World Summit, Huawei won two awards: "Most Significant Development for

Commercial LTE Networks" and "Best LTE Core Network Element."

At the 2011 LTE World Summit, Huawei won two awards: "Significant Progress for a Commercial

Launch of LTE by a Vendor" and "Best LTE Network Elements".

Nokia Siemens Networks is the world‘s specialist in mobile broadband. From the first ever call on GSM,

to the first call on LTE, Nokia Siemens Networks operates at the forefront of each generation of mobile

technology. The company‘s global experts invent the new capabilities its customers need in their

networks. It provides the world‘s most efficient mobile networks, the intelligence to maximize the value of

those networks, and the services to make it all work seamlessly.

With a total of 62 contracts on six continents, Nokia Siemens Networks is a world leader in LTE

commercial references and live network performance. Twenty-nine of these LTE networks have been

commercially launched and currently serve 40 percent of all LTE subscribers worldwide. ABI Research

has once again ranked Nokia Siemens Networks at the top of its LTE Base Station Vendor Matrix in both

of the dimensions they analyze: innovation and implementation.

Nokia Siemens Networks LTE achievements:

LTE contracts with all three top Korean operators: KT, LG U+ and SK Telecom; the top three

Japanese operators: NTT Docomo and KDDI, Softbank; T-Mobile and Verizon (for IMS) in the

U.S.; and TeliaSonera, an early LTE frontrunner in several countries

The LTE solution from Nokia Siemens Networks comprises Single RAN Advanced, including

small cells (Rel-10); Evolved Packed Core (Rel-8); VoLTE (Rel-9); and professional services

TD-LTE deals with seven operators, including STC, Mobily, SKY in Brazil and Bharti Airtel

Over 16 major TD-LTE field trials underway in China, Taiwan, Russia and other regions

World speed records of 1.3 Gbps for TD-LTE and 1.4 Gbps for FD-LTE (Rel-10)

Leader in network sharing and refarming

First large-scale commercial GSM/LTE 1800 MHz network running both technologies on the

same hardware concurrently and providing LTE coverage to 75 percent of the population as of

end of 2011

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Recognized in Gartner‘s July 2012 ―Magic Quadrant for LTE Network Infrastructure‖ report as a

leader based on an evaluation of completeness of vision and ability to execute

In addition to these LTE achievements, Nokia Siemens Networks has been successfully demonstrating

new features for HSPA+ networks that improve smartphone performance. It is the first to implement a

bundle of standards-based features that deliver Continuous Packet Connectivity (CPC) (Rel-7). By

reducing network interference, the feature set provides five times more uplink capacity and allows

operators to support more smartphone users on HSPA+ networks.

Openwave Mobility: Openwave Mobility empowers operators to deliver a superior mobile video user

experience and drive new revenues through dynamic data plans and real-time user engagement. It is the

only company that can enable operators to both manage and monetize the growth in mobile video

consumption by managing network congestion, analysing user behavior and creating customized data

plans that match individual subscriber habits. The company‘s core technologies include video and web

optimization, mobile data analytics, subscriber data management and data pricing plan creation.

Openwave Mobility delivers over 40 billion transactions daily and over half a billion subscribers worldwide

use data services powered by its solutions.

Openwave Mobility Media Optimizer is a video optimization solution that enables mobile operators to

manage congestion when it occurs in localized hotspots rather than requiring brute force compression of

all video on the network at all times. Media Optimizer is congestion-aware and automatically triggers

optimization when the network reaches pre-determined thresholds, providing operators with the ability to

intelligently analyze and implement video optimization based on real-time network conditions rather than

optimizing at all times. Openwave Mobility Web Optimizer uses compression, caching and transcoding

techniques to increase data transfer rates over wireless data networks while decreasing the amount of

traffic flowing over the network. It delivers faster browsing speeds and more immediate access to content

while conserving valuable bandwidth. With the increase of subscriber-aware policy management since

3GPP Rel-8, Openwave Mobility Web Optimizer has the ability to enforce specific optimization triggers

based PCRF decisions through the standard Gx interface.

A well-managed charging experience keeps pre- and post-paid subscribers fully aware of their usage to

avoid any potential bill shock as well as enabling operators to leverage new emerging technologies to

implement innovative service-based pricing policies as opposed to MB/GB. Openwave Mobility Price Plan

Innovation solution (PPI) helps carrier customers not only track usage against data quotas and inform

subscribers on their service based usage, but it also enables them to buy access to data quotas as

needed, through an intuitive interface.

The growth in data subscriptions and in the app business is reflected in the volume of data being

transported by mobile networks. Openwave Mobility PPI helps manage the traffic in a service-based

manner in coordination with policies defined in PCC infrastructure through Gx, Gy and Gz interfaces.

Openwave Mobility Smart User Repository is a highly scalable, highly reliable user data storage solution

built on the proven foundation of Openwave Mobility‘s directory technology. It offers high speed, low

latency user profile and policy access that is designed to help service providers manage the increasing

data traffic. The repository stores and delivers subscriber, device and profile policies across large

distributed networks in real time to support policy enforcement at a granular level (per flow, per

transaction, etc.) and can act as a SPR or UDR component. The Openwave Mobility Smart User

Repository fully embraces the 3GPP User Data Convergence (UDC) initiative and provides support for

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the Ud and Sh interfaces for interworking with front-end applications like PCRF or HSS elements in

compliance with 3GPP 29.335 and 29.329 specifications.

Further, the network traffic mix can be monitored and analyzed using Openwave Mobility Mobile Analytics

to plan for network expansion and service structuring. In addition, Openwave Analytics provides

marketing insights for measuring the effectiveness of service structuring and also enables integration into

ecosystem for personalization of user experiences.

Qualcomm Incorporated is the leader in next-generation mobile technologies, developing some of the

industry‘s most advanced mobile processors, software and services. The Company‘s R&D efforts and

intellectual property portfolio in the areas of HSPA+ and LTE have catalyzed the evolution of mobile

broadband, helping to make wireless devices and services more personal, affordable and accessible to

people everywhere.

Qualcomm is committed to HSPA+ and LTE and is a leader in both standards development and chipset

commercialization of 3GPP technologies. Qualcomm‘s contributions to the advancement of HSPA+ and

LTE are reflected in a variety of key industry milestones, including:

The industry‘s first HSPA+ Rel-7 chipset was launched early 2009. Qualcomm‘s introduction of

the MDM8200 chipset set the stage for HSPA+ Rel-7 network trials in 2008, as well as

Qualcomm‘s collaboration with Telstra in launching the world‘s first HSPA+ network in early

2009.

In February 2009, the Company announced both a data-optimized chipset (MDM8220) and

handset-optimized chipset (MSM8960/8260A) to support DC-HSPA+ Rel-8 and the multicarrier

feature with 42 Mbps peak data rates. The company launched the industry‘s first dual-carrier

HSPA+ chipset (Rel-8) in August 2010.

The first multi-mode 3G/LTE chipsets sampled in November 2009. These chipsets support both

LTE FDD and LTE TDD including integrated support for Rel-8 DC-HSPA+ and EV-DO Rev B –

helping to provide the user with a seamless mobile broadband experience.

The Snapdragon S4 MSM8960™ processor powers today‘s leading smartphones and is the first

mobile processor to include Qualcomm‘s second generation 4G LTE multimode modem as a fully

integrated feature incorporating all seven of the world‘s major cellular standards (LTE FDD, TD-

LTE, UMTS, EV-DO, CDMA1x, TD-SCDMA and GSM/EDGE). Qualcomm‘s second generation

4G LTE multimode modem is also the foundation of current Gobi modem chipsets, the

MDM8x15™, MDM9215™ and MDM9615™.

Qualcomm‘s next-generation Gobi™ modem processors, the MDM8225™, MDM9225™ and

MDM9625™ will be the first to support both LTE-Advanced Rel-10 and HSPA+ Rel-9 features.

The MDM9x25 products are also the first to support LTE carrier aggregation and the full peak

data rates of 150 Mbps for LTE Category 4 across a wide range of spectrum combinations. The

MDM9x25 products will also support Dual Carrier HSUPA, which effectively doubles 3G data

rates in the uplink. These modem processors also support the Dual Band/Dual Cell HSPA+

feature, which enables UMTS operators to aggregate 42 Mbps peak downlink user data rates

across two frequency bands, such as 900 and 2100 MHz.

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Leading VoLTE (Voice over LTE) development. One example is the demonstration of SRVCC,

together with Ericsson at MWC 2012, which a critical feature aimed at facilitating VoLTE

deployment and in making VoLTE successful.

Qualcomm also continues to serve as a leading contributor to 3GPP for LTE/SAE performance and is a

leader in several LTE standards areas, including:

Significant contributions to key LTE-Advanced features including multicarrier, self-organizing

network, relay and waveform

Major contributions to the ITU on the IMT-Advanced submission

Qualcomm is the company to show results satisfying IMT-Advanced requirements for single point

transmission results

LTE Heterogeneous network work item completed and approved in Rel-10, which now has been

demonstrated at multiple events (such as MWC 2012) using Qualcomm‘s over-the-air test

network.

o Focus on co-channel heterogeneous network scenarios and small cell range expansion

o Instrumental in the effort to specify the enabling features such as time-domain resource

partitioning (inter-cell interference coordination eICIC)

Reached a broad agreement on the performance specifications for the required advanced

receiver devices.

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APPENDIX B: UPDATE OF RELEASE 9 STATUS: EVOLVED HSPA (HSPA+) AND LTE/EPC

ENHANCEMENTS

In 3GPP Mobile Broadband Innovation Path to 4G: Release 9, Release 10 and Beyond: HSPA+,

LTE/SAE and LTE-Advanced,162

a white paper published by 3G Americas in February 2010, a detailed

discussion on HSPA+ and LTE enhancements in Rel-9 was provided. Since the publication of the paper

preceded the finalization of Rel-9 in March 2010, it was determined that the paper‘s Section 6: Status of

Release 9: HSPA+ and LTE/EPC Enhancements, would be fully updated to reflect the final version of the

3GPP Rel-9 specifications. Appendix B includes a detailed summary of the final specifications in Rel-9.

B.1 HSPA+ ENHANCEMENTS

B.1.1 NON-CONTIGUOUS DUAL-CELL HSDPA (DC-HSDPA)

In deployments where multiple downlink carriers are available, multi-carrier HSDPA operation offers an

attractive way of increasing coverage for high bit rates. Dual-carrier (or dual-cell) HSDPA operation was

introduced in Rel-8, enabling a base station to schedule HSDPA transmissions over two adjacent 5 MHz

carriers simultaneously to the same user, thereby reaching a peak rate of 42 Mbps for the highest

modulation scheme (64QAM) without the use of MIMO. Furthermore, it doubles the rate for users with

typical bursty traffic and therefore it typically doubles the average user throughput, which results in a

substantial increase in cell capacity.

In order to provide the benefits of dual-carrier HSDPA operation also in deployment scenarios where two

adjacent carriers cannot be made available to the user (for example, due to spectrum distributed over

different bands), Rel-9 introduces dual-band HSDPA operation, where in the downlink the primary serving

cell resides on a carrier in one frequency band and the secondary serving cell on a carrier in another

frequency band. In the uplink transmission takes place only on one carrier, which can be configured by

the network on any of the two frequency bands.

In Rel-9, dual-band HSDPA operation is introduced for three different band combinations, one for each

ITU region:

Band I (2100 MHz) and Band VIII (900 MHz)

Band II (1900 MHz) and Band IV (2100/1700 MHz)

Band I (2100 MHz) and Band V (850 MHz)

Introduction of additional band combinations will be possible to do in a release-independent manner.

Dual-band HSDPA operation reuses the L1/L2 solutions that were specified for Rel-8 dual-carrier HSDPA

operation on adjacent carriers. This means that the user can be scheduled in the primary serving cell as

well as in a secondary serving cell over two parallel HS-DSCH transport channels. The secondary serving

162 3GPP Mobile Broadband Innovation Path to 4G: Release 9, Release 10 and Beyond: HSPA+, LTE/SAE and LTE-Advanced, 3G

Americas, February 2010.

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cell can be activated and deactivated dynamically by the base station using so-called HS-SCCH orders.

All non-HSDPA-related channels are transmitted from the primary serving cell only, and all physical layer

procedures are essentially based on the primary serving cell. Either carrier can be configured to function

as the primary serving cell for a particular user. As a consequence, the feature facilitates efficient load

balancing between carriers in one base station sector. As with MIMO, the two transport channels perform

Hybrid Automatic Repeat Request (HARQ) retransmissions, coding and modulation independently. A

difference compared to MIMO is that the two transport blocks can be transmitted on their respective

carriers using a different number of channelization codes.

B.1.2 MIMO + DC-HSDPA

Rel-8 introduced two ways to achieve a theoretical peak rate of 42 Mbps: dual-carrier HSDPA operation

as mentioned above and 2X2 MIMO in combination with 64QAM.

The term MIMO refers to the use of more than one transmit antenna in the base station and more than

one receive antenna in UEs. The transmitter chain for the standardized HSDPA MIMO scheme applies

separate coding, modulation and spreading for up to two transport blocks transmitted over two parallel

streams, which doubles the achievable peak rate in the downlink. The actual radio propagation conditions

that the UE experiences determine whether one or two streams can be transmitted.

Rel-9 combines dual-carrier HSDPA operation with MIMO. The peak downlink rate is thus doubled to 84

Mbps and the spectral efficiency is boosted significantly compared to dual-carrier HSDPA operation

without MIMO. Again, the L1/L2 solutions from earlier releases are reused to a large extent with only

minor modifications to the L1 feedback channel (HS-DPCCH) and the L2 transmission sequence

numbering (TSN) in order to handle the doubled amount of transport blocks. In order to provide maximum

deployment flexibility for the operator, the MIMO configuration is carrier-specific, meaning that, if desired,

one carrier can be operated in non-MIMO mode and the other carrier in MIMO mode.

B.1.3 CONTIGUOUS DUAL-CELL HSUPA (DC-HSUPA)

The data rate improvements in the downlink call for improved data rates also in the uplink. Therefore,

support for dual-carrier HSUPA operation on adjacent uplink carriers is introduced in Rel-9. This doubles

the uplink peak rate to 23 Mbps for the highest modulation scheme (16 QAM). The achievable uplink data

rate is often more limited by the available bandwidth than by UE transmit power, and in these scenarios

both availability and coverage of high data rates in the uplink are substantially increased by multi-carrier

HSUPA operation.

The dual-carrier HSUPA user is able to transmit two E-DCH transport channels with 2 ms TTI, one on

each uplink carrier. The user has two serving cells corresponding to two carriers in the same sector of a

serving base station, and the serving base station has the ability to activate and deactivate the secondary

carrier dynamically using so-called HS-SCCH orders. When two uplink carriers are active, they are to a

large extent operating independently from each other in a way that is very similar to the single-carrier

HSUPA operation specified in earlier releases. For example, mechanisms for grant signalling, power

control and soft handover toward non-serving cells have been reused.

Dual-carrier HSUPA operation can only be configured together with dual-carrier HSDPA operation and

the secondary uplink carrier can only be active when the secondary downlink carrier is also active. This is

because the secondary downlink carrier carries information that is vital for the operation of the secondary

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uplink carrier (F-DPCH, E-AGCH, E-RGCH, E-HICH). The secondary downlink carrier can, on the other

hand, be active without a secondary uplink carrier being active or even configured, since all information

that is vital for the operation of both downlink carriers (HS-DPCCH) is always only carried on the primary

uplink carrier.

B.1.4 TRANSMIT DIVERSITY EXTENSION FOR NON-MIMO UES

The 2X2 MIMO operation for HSDPA specified in Rel-7 allows transmission of up to two parallel data

streams to a MIMO UE over a single carrier. If and when the HSDPA scheduler in the base station

decides to only transmit a single stream to the UE for any reason (for example, because the radio

channel temporarily does not support dual-stream transmission), the two transmit antennas in the base

station will be used to improve the downlink coverage by single-stream transmission using BF.

As MIMO is being deployed in more and more networks, single-stream transmission using BF also

towards non-MIMO UEs that reside in MIMO cells becomes an increasingly attractive possibility.

Therefore, this option has been introduced in Rel-9, reusing L1/L2 solutions from Rel-7 MIMO to as large

extent as possible. This is referred to as ―single-stream MIMO‖ or ―MIMO with single-stream restriction.‖

For a multi-carrier HSDPA user, the usage of single-stream MIMO can be configured independently per

carrier.

B.2 LTE ENHANCEMENTS

B.2.1 IMS EMERGENCY OVER EPS

Emergency bearer services are provided to support IMS emergency sessions. A main differentiator of an

IMS emergency session is that emergency service is not a subscription service and therefore, when the

UE has roamed out of its home network, emergency service is provided in the roamed-to network and not

the home network.

Emergency bearer services are functionalities provided by the serving network when the network is

configured to support emergency services. Emergency bearer services can be supplied to validated UEs

and depending on local regulation, to UEs that are in limited service state and otherwise not allowed on

the network. Receiving emergency services in limited service state does not require a subscription.

Depending on local regulation and an operator's policy, the MME may allow or reject an emergency

request for network access for UEs in limited service state. To support local regulation, four different

behaviors of emergency bearer support have been identified as follows:

1. Valid UEs only. No limited service state UEs are supported in the network. Only normal UEs that

have a valid subscription, and are authenticated and authorized for PS service in the attached

location are allowed.

2. Only UEs that are authenticated are allowed. These UEs must have a valid IMSI. These UEs

are authenticated and may be in limited service state due to being in a location that they are

restricted from regular service. A UE that cannot be authenticated will be rejected.

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3. IMSI required, authentication optional. These UEs must have an IMSI. Even if authentication

fails, the UE is granted access and the unauthenticated IMSI retained in the network for recording

purposes.

4. All UEs are allowed. Along with authenticated UEs, this includes UEs with an IMSI that cannot

be authenticated and UEs with only an IMEI. If an unauthenticated IMSI is provided by the UE,

the unauthenticated IMSI is retained in the network for recording purposes. The IMEI is used in

the network to identify the UE.

When a UE attaches to the network, indication is provided to the UE if emergency bearer services are

supported in the network. UEs in limited service state determine whether the cell supports emergency

services over E-UTRAN from a broadcast indicator in Access Stratum.

To provide emergency bearer services independent of subscription, the MME is configured with MME

Emergency Configuration Data, which are applied to all emergency bearer services that are established

by an MME on UE request. The MME Emergency Configuration Data contain the Emergency Access

Point Name (APN), which is used to derive a PDN GW, or the MME Emergency Configuration Data may

also contain the statically configured PDN GW for the Emergency APN.

B.2.1.1 MOBILITY AND ACCESS RESTRICTIONS FOR EMERGENCY SERVICES

When emergency services are supported and local regulation requires emergency calls to be provided

regardless of mobility or access restrictions, the mobility restrictions should not be applied to UEs

receiving emergency services. The source E-UTRAN ignores any mobility and access restrictions during

handover evaluation when there are active emergency bearers.

During Tracking Area Update procedures, the target MME ignores any mobility or access restrictions for

UE with emergency bearer services where required by local regulation. When a UE moves into a target

location that is not allowed by subscription, any non-emergency bearer services are deactivated by the

target MME.

B.2.1.2 HANDOVER AND SINGLE RADIO VOICE CALL CONTINUITY SUPPORT

Handover and SRVCC support of emergency bearer is provided for the following radio access types:

Handover to and from UTRAN (HSPA)

Handover to non-3GPP HRPD access on EPC

SRVCC to 3GPP UTRAN and GERAN in the CS domain

SRVCC to 3GPP2 CDMA 1x in the CS domain

In order to support IMS session continuity (therefore, SRVCC) of emergency sessions, the IMS

emergency services architecture is enhanced with an Emergency Access Transfer Function (EATF) used

to anchor the IMS emergency session in the local serving network and manage access transfer of an

emergency session to the CS domain.

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B.2.1.3 REACHABILITY MANAGEMENT FOR UE WHEN IDLE

In order to support efficient re-establishment of an IMS emergency session or call back from a PSAP, the

emergency bearer service PDN connection remains active for a configurable time after the end of the IMS

emergency session.

B.2.1.4 PDN GW SELECTION FUNCTION (3GPP ACCESSES) FOR EMERGENCY SERVICES

A PDN GW is selected in the visited PLMN, which guarantees that the IP address also is allocated by the

visited PLMN. The PDN GW selection does not depend on subscriber information in the HSS since

emergency services support is a local service and not a subscribed service.

B.2.1.5 QOS FOR EMERGENCY SERVICES

Where local regulation requires the support of emergency services from an unauthorized caller, the MME

may not have subscription data. Additionally, the local network may want to provide IMS emergency

session support differently than what is allowed by a UE subscription. Therefore, the initial QoS values

used for establishing emergency bearer services are configured in the MME in the MME Emergency

Configuration Data.

B.2.1.6 PCC FOR EMERGENCY SERVICES

When establishing emergency bearer services with a PDN GW and dynamic policy is used, the Policy

Charging and Rules Function (PCRF) provides the PDN GW with the QoS parameters, including an

Allocation and Retention Priority (ARP) value reserved for the emergency bearers to prioritize the bearers

when performing admission control. Local configuration of static policy functions is also allowed. The

PCRF ensures that the emergency PDN connection is used only for IMS emergency sessions. The PCRF

rejects an IMS session established via the emergency PDN connection if the Application Function

(therefore, P-CSCF) does not provide an emergency indication to the PCRF.

B.2.1.7 IP ADDRESS ALLOCATION

Emergency bearer service is provided by the serving PLMN. The UE and PLMN must have compatible IP

address versions in order for the UE to obtain a local emergency PDN connection. To ensure UEs can

obtain an IP address in a visited network, the PDN GW associated with the emergency APN supports

PDN type IPv4 and PDN type IPv6.

B.2.2 COMMERCIAL MOBILE ALERT SYSTEM (CMAS) OVER EPS

In response to the Warning, Alert, and Response Network (WARN) Act passed by Congress in 2006,163

the Federal Communications Commission (FCC) established the Commercial Mobile Alert Service

163 WARN Act is Title VI of the Security and Accountability for Every (SAFE) Port Act of 2006, Pub.L. 109-347 and is available from

the U.S. Government Printing Office <http://www.gpo.gov/>.

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(CMAS) to allow wireless service providers who choose to participate, to send emergency alerts as text

messages to their users who have CMAS capable handsets.

The FCC established a Commercial Mobile Service Alert Advisory Committee (CMSAAC) for the

development of a set of recommendations for the support of CMAS. The CMSAAC recommendations

were included as the CMAS Architecture and Requirements document in the FCC Notice of Proposed

Rule Making (NPRM) which was issued in December 2007. In 2008, the FCC issued three separate

Report and Order documents detailing rules (47 Code of Federal Regulations [CFR] Part 10) for CMAS.

The FCC CMAS First Report and Order164

specifies the rules and architecture for CMAS. The FCC CMAS

Second Report and Order165

establishes CMAS testing requirements and describes the optional capability

for Noncommercial Educational (NCE) and public broadcast television stations distribute geo-targeted

CMAS alerts. The FCC CMAS Third Report and Order166

defined the CMAS timeline, subscriber

notification requirements for CMSPs, procedures for CMSP participation elections and the rules for

subscriber opt-out. The FCC also issued a CMAS Reconsideration and Erratum document167

between the

issuance of the second and third Report & Order documents.

The CMAS network will allow the Federal Emergency Management Agency (FEMA), to accept and

aggregate alerts from the President of the United States, the National Weather Service (NWS), and state

and local emergency operations centers, and then send the alerts over a secure interface to participating

commercial mobile service providers (CMSPs). These participating CMSPs will then distribute the alerts

to their users.

As defined in the FCC CMAS Third Report and Order, CMSPs that voluntarily choose to participate in

CMAS must begin an 18 month period of development, testing and deployment of the CMAS no later than

ten months from the date that the Government Interface Design specifications available. On December 7,

2009, the CMAS timeline of the FCC CMAS Third Report and Order was initiated with the

announcement168

by FEMA and the FCC that the Joint ATIS/TIA CMAS Federal Alert GW to CMSP GW

Interface Specification (J-STD-101) has been adopted as the Government Interface Design specification

referenced in the FCC CMAS Third Report and Order.

Participating CMSPs must be able to target alerts to individual counties169

and ensure that alerts reach

customers roaming outside a provider‘s service area. Participating CMSPs must also transmit alerts with

a dedicated vibration cadence and audio attention signal. Emergency alerts will not interrupt calls in

progress. CMAS supports only English text-based alert messages with a maximum displayable message

size of 90 English characters.

164 FCC 08-99, Federal Communications Commission First Report and Order In the Matter of The Commercial Mobile Alert System,

Federal Communications Commission, 9 April 2008, <http://www.fcc.gov/>. 165

FCC 08-164, Federal Communications Commission Second Report and Order and Further Notice of Proposed Rulemaking In the Matter of The Commercial Mobile Alert System, 8 July 2008, <http://www.fcc.gov/>. 166

FCC 08-184, Federal Communications Commission Third Report and Order and Further Notice of Proposed Rulemaking In the Matter of The Commercial Mobile Alert System; 7 August, 2008 and is available from the Federal Communications Commission. <http://www.fcc.gov/>. 167

FCC 08-166, Federal Communications Commission Order on Reconsideration and Erratum In the Matter of The Commercial Mobile Alert System, 15 July

2008 and is available from the Federal Communications Commission. <http://www.fcc.gov/>.

168 http://www.fema.gov/news/newsrelease.fema?id=50056.

169 The county geocode information will be present in all CMAS alert messages sent to CMSPs. If available, more granular

geographic targeting information such as polygons or circles will be included in the CMAS messages. It is a voluntary option of the CMSPs to use the finer granular geographic targeting information.

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For purposes of CMAS, emergency alerts will be classified in one of three categories:

1. Presidential Alerts. Any alert message issued by the President for local, regional, or national

emergencies and are the highest priority CMAS alert

2. Imminent Threat Alerts. Notification of emergency conditions, such as hurricanes or tornadoes,

where there is an imminent threat to life or property and some immediate responsive action

should be taken

3. Child Abduction Emergency/AMBER Alerts. Alerts related to missing or endangered children

due to an abduction or runaway situation

The subscribers of participating CMSPs may opt out of receiving Imminent Threat and Child

Abduction/AMBER alerts, but cannot opt out from Presidential Alerts.

The following figure shows the CMAS Reference Architecture as defined in the FCC CMAS First Report

and Order:

Figure B.1. CMAS Reference Architecture.170

Reference Point C is the secure interface between the Federal Alert GW and the Commercial Mobile

Service Provider (CMSP) GW. The Reference Point C interface supports delivery of new, updated or

170 Notice of Proposed Rulemaking, In the Matter of The Commercial Mobile Alert System, FCC 07-214, 14 December 2007.

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canceled wireless alert messages, and supports periodic testing of the interface. This interface is defined

in the J-STD-101, the Joint ATIS/TIA CMAS Federal Alert GW to CMSP GW Interface Specification.171

J-STD-101 defines the interface between the Federal Alert GW and the Commercial Mobile Service

Provider (CMSP) GW for CMAS alerts. This standard is applicable to CMSPs and to the Federal

Government entity (therefore, FEMA) responsible for the administration of the Federal Alert GW. FEMA

will perform the function of aggregating all state, local, and federal alerts and will provide one logical

interface to each CMSP who elects to support CMAS alerts.

For GSM and UMTS systems, wireless alert messages that are received by CMSP GWs will be

transmitted to targeted coverage areas using GSM-UMTS Cell Broadcast Service (CBS). The CMAS

functionality does not require modifications to the 3GPP-defined CBS.

The ATIS WTSC-G3GSN Subcommittee is developing the CMAS via GSM-UMTS Cell Broadcast Service

(CBS) Specification.172

The purpose of this standard is to describe the use of the GSM-UMTS Cell

Broadcast Service for the broadcast of CMAS messages. The standard includes the mapping of CMAS

application level messages to the Cell Broadcast Service message structure.

The ATIS WTSC-G3GSN Subcommittee is developing the Cell Broadcast Entity (CBE) to Cell Broadcast

Center (CBC) Interface Specification.173

The purpose of this standard is to define a standard XML-based

interface to the CBC. The CMSP Alert GW will utilize this interface to provide the CMAS Alert message

information to the CBC for broadcast via CBS.

The ATIS WTSC-G3GSN Subcommittee has developed the Implementation Guidelines and Best

Practices for GSM-UMTS Cell Broadcast Service Specification174

and this specification was approved in

October 2009. The purpose of this specification is to describe implementation guidelines and best

practices related to GSM-UMTS Cell Broadcast Service regardless of the application using CBS. This

specification is not intended to describe an end-to-end Cell Broadcast architecture, but includes

clarifications to the existing 3GPP CBS standards as well as ―best practices‖ for implementation of the

3GPP standards. CMAS is an example of an application that uses CBS.

J-STD-100, Joint ATIS/TIA CMAS Mobile Device Behavior Specification,175

defines the common set of

requirements for GSM, UMTS, and CDMA based mobile devices behavior whenever a CMAS alert

message is received and processed. A common set of requirements will allow for a consistent user

experience regardless of the associated wireless technology of the mobile device. Additionally, this

common set of requirements will allow the various local, state, and Federal level government agencies to

develop subscriber CMAS educational information that is independent of the wireless technology.

B.2.2.1 CMAS VIA LTE/EPS

171 J-STD-101, Joint ATIS/TIA CMAS Federal Alert Gateway to CMSP Gateway Interface Specification, Alliance for

Telecommunications Industry Solutions (ATIS), October 2009, <http://www.atis.org>. 172

ATIS-0700006, ATIS CMAS via GSM/UMTS Cell Broadcast Service Specification. 173

ATIS-0700008, ATIS Cell Broadcast Entity (CBE) to Cell Broadcast Center (CBC) Interface Specification. 174

ATIS-0700007, Implementation Guidelines and Best Practices for GSM/UMTS Cell Broadcast Service Specification. 175

J-STD-100, Joint ATIS/TIA CMAS Mobile Device Behavior Specification, 30 January, 2009 and is available from the Alliance for Telecommunications Industry Solutions (ATIS) <http://www.atis.org>.

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In order to comply with FCC requirements for CMAS, CMSPs have a need for standards development to

support CMAS over LTE/EPS as it relates to the network-user interface generally described as the ―E-

Interface‖ in the CMAS Reference Architecture. The intent of ATIS WTSC-G3GSN is to build upon LTE

text broadcast capabilities currently being specified by 3GPP for the Public Warning System (PWS).

3GPP TS 22.268. Public Warning System (PWS) Requirements covers the core requirements for the

PWS and covers additional subsystem requirements for the Earthquake and Tsunami Warning System

(ETWS) and for CMAS. TS 22.268 specifies general requirements for the broadcast of Warning

Notifications to broadcast to a Notification Area that is based on the geographical information as specified

by the Warning Notification Provider. This specification also defines specific CMAS requirements based

on the three Reports & Orders issued to date by the FCC.

3GPP TS 23.401. GPRS enhancements for E-UTRAN access, specifies the Warning System Architecture

for 3GPP accesses and the reference point between the CBC and Mobility Management Entity (MME) for

warning message delivery and control functions. This TS identifies the MME functions for warning

message transfer (including selection of appropriate eNodeB), and provides Stage 2 information flows for

warning message delivery and warning message cancel. The architecture and warning message delivery

and control functions support CMAS.

3GPP TS 29.168. Cell Broadcast Center interfaces with the EPC – Stage 3, specifies the procedures and

application protocol between the Cell Broadcast center and the MME for Warning Message Transmission,

including the messages, information elements and procedures needed to support CMAS.

3GPP TS 36.300. E-UTRA and E-UTRAN – Overall description – Stage 2, specifies the signalling

procedures for the transfer of warning messages from the MME to the eNodeB. The signalling

procedures support CMAS operations.

3GPP TS 36.331. E-UTRA Radio Resource Control (RRC) – Protocol specification, specifies the radio

resource control protocol for UE-to-E-UTRAN radio interface and describes CMAS notification and

warning message transfer.

3GPP TS 36.413. E-UTRAN – S1 Application Protocol (S1AP), specifies the E-UTRAN radio network

layer signalling protocol between the MME and eNodeB, and describes the warning message transfer

needed for CMAS.

3GPP participants are working to complete these specifications and other UE procedures for supporting

PWS and CMAS.

ATIS WTSC-G3GSN will develop a Standard for a CMAS via LTE Broadcast Capability Specification.

This Standard will map the CMAS application level messages to the LTE warning message transfer

protocol (therefore for CMAS).

This ATIS WTSC-G3GSN effort had an anticipated completion date of December 31, 2010. This takes

into account the time needed for completion of the ongoing 3GPP standards development on warning

message broadcast for LTE.

ATIS WTSC G3GSN and TIA TR45.8 Subcommittees in conjunction with FEMA were also jointly

developing a testing certification specification for the Reference Point C interface between the Federal

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Alert GW and the CMSP GW based upon the requirements defined in J-STD-101. This specification had

a completion date of December 31, 2010.

B.2.3 LOCATION SERVICES OVER EPS

3GPP GSM-UMTS standards had supported Location Services (LCS) architecture for the positioning of

mobile devices since Rel-4. With the introduction of EPS in 3GPP Rel-8, a control plane LCS architecture

for the EPS was introduced in 3GPP Rel-9. This control plane LCS architecture for the EPS is shown in

Figure B.2. The new Rel-9 interfaces SLg and SLs allows the EPS control plane element (MME) to

interconnect with the LCS core network elements which make location services using the positioning

functionality provided by the E-UTRAN access possible.

`

PPR PMD

E-CSCF

LCS Client

LIMS-IWFHSS

E-SMLC

MME

GMLC/LRFE-UTRANUE

SLg

SLs

Lpp Lid

Lh/SLhLe or Lr

Ml

LeS1

Uu

Figure B.2. LCS Control Plane Architecture in EPS (Based on 3GPP TS 23.271).

The LCS architecture follows a client/server model with the Gateway Mobile Location Center (GMLC)

acting as the location server providing location information to LCS clients. The GMLC sends location

requests to the Enhanced Serving Mobile Location Center (E-SMLC) through the MME to retrieve this

location information. The E-SMLC is responsible for interaction with the UE through E-UTRAN to obtain

the UE position estimate or get position measurements that helps the E-SMLC estimate the UE position

(see section B.2.3.1 UE Positioning for more detail). Note that the GMLC interaction over the interfaces

connecting to it other than SLg in Figure B.2 was already available before Rel-9 for GSM and UMTS

access.

The LCS clients may either be part of the core network or external to the core network and can also

reside in the UE or be attached to the UE. Depending on the location of the LCS client the Location

Request initiated by the LCS client may either be a Mobile Originated Location Request (MO-LR), Mobile

Terminated Location Request (MT-LR) or Network Induced Location Request (NI-LR). Also, immediate

location requests are supported where the LCS client expects the location information interactively.

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There are various possible uses for the location information, but they are broadly categorized in to four

areas viz:

1. Commercial LCS (or Value-Added Services)

2. Internal LCS

3. Emergency LCS

4. Lawful Intercept LCS

Emergency location service is possible even if the UE does not have a valid service subscription due to

regulatory mandates. Support of location service related functionality in the E-UTRAN, MME and UE are

optional. LCS is applicable to any target UE whether or not the UE supports LCS.

The following outline provides the functions of various LCS architectural elements:

Gateway Mobile Location Center

o Receives and processes Location Requests from LCS clients

o Obtains routing information from HSS via Lh/SLh and performs registration authorization

o Communicates information needed for authorization, location service requests and

location information with other GMLC over Lr

o Checks the target UE privacy profile settings in the PPR over Lpp

o Depending on roaming, may take the role of Requesting GMLC, Visited GMLC and Home

GMLC

Location Retrieval Function

o Responsible for retrieving location information and providing to E-CSCF via the Ml

interface

o Can either be co-located with the GMLC or standalone

o Provides routing and/or correlation information for an UE in IMS emergency session

Evolved Serving Mobile Location Center

o Manages the overall coordination and scheduling of resources required for the location of

an UE that is attached to E-UTRAN

o Calculates the final location and velocity estimate and estimates the location accuracy

(QoS)

o Interacts with UE to exchange location information applicable to UE assisted and UE

based position methods

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o Interacts with E-UTRAN to exchange location information applicable to network assisted

and network based position methods

Mobility Management Entity

o Responsible for UE subscription authorization

o Coordinates LCS positioning requests

o Handles charging and billing

o Performs E-SMLC selection (for example, based on network topology to balance load on

E-SMLC, LCS client type, requested QoS)

o Responsible for authorization and operation of the LCS services

Home Subscriber Server

o Storage of LCS subscription data and routing information

Privacy Profile Register

o Facilitates check for privacy configuration information

Pseudonym Mediation Device

o Maps or decrypts the pseudonym (fictitious identity, which may be used to conceal the

true identity ) into the corresponding verinym (true identity therefore, IMSI or MSISDN)

Emergency Call Service Control Function

o IMS entity responsible for interfacing with LRF to obtain location for an UE in IMS

emergency session

Location IMS Interworking Function

o In the network where the LCS service request originates, provides the capability to route

LCS service requests based on an IMS Public User Identity (SIP-URI) to the home

network of the target user

o In the home network of the target user, responsible to determine the appropriate HSS

and to obtain the MSISDN associated with a IMS Public User Identity from the HSS

B.2.3.1 UE POSITIONING

UE positioning is an access network function (for example, GERAN, UTRAN, E-UTRAN). An access

network may support one or more UE positioning methods, which may be same or different from another

access network. In E-UTRAN the following UE positioning methods are supported:

Cell ID positioning method

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Enhanced Cell ID based positioning method

OTDOA positioning method

Network assisted GNSS (A-GNSS) positioning methods

Determining the position of a UE involves two main steps:

1. Radio signal measurements

2. Position estimate computation and optional velocity computation based on the measurements

The signal measurements may be made by the UE or the E-UTRAN. Both TDD and FDD radio interface

will be supported in E-UTRAN. The basic signals measured for terrestrial position methods are typically

the E-UTRA radio transmissions. Also other transmissions such as general radio navigation signals

including those from Global Navigation Satellites Systems can also be measured. The position estimate

computation may be made in the UE or in the E-SMLC. In UE-assisted positioning the UE perform the

downlink radio measurements and the E-SMLC estimates the UE position while in UE-based positioning

the UE performs both the downlink radio measurements and also the position estimation. The UE may

require some assistance from the network in the form of assistance data in order to perform the downlink

measurements and these are provided by the network either autonomously or upon UE requesting it.

The E-UTRAN positioning capabilities are intended to be forward compatible to other access types and

other position methods, in an effort to reduce the amount of additional positioning support needed in the

future.

CELL ID METHOD

This is the simplest of all positioning methods but the UE position is very coarse in that only the serving

cell where the UE is located is provided. As E-UTRAN and MME are involved in the mobility management

(for example, tracking area update or paging) of UEs the serving base station and serving cell of the UE

is always known especially when there is signalling between the E-SMLC and the UE to query the UE

position.

ENHANCED CELL ID-BASED METHOD

In this method the position obtained by the Cell ID method is enhanced through means of use of other UE

or E-UTRAN measurements to estimate the UE position with better accuracy than the Cell ID method.

The measurements used may be radio resource measurements or other measurements. The E-SMLC

does not configure these measurements in the UE/E-UTRAN but only queries the UE/E-UTRAN for these

measurements and obtains them if available in the UE/E-UTRAN.

NETWORK ASSISTED GNSS METHODS

In network assisted GNSS methods the network provides various assistance data to the UE that are

equipped with radio receivers capable of receiving GNSS signals. The UEs use the assistance data

provided by the network to help perform measurements. Examples of GNSS include: GPS, Modernized

GPS, Galileo, GLONASS, Space Based Augmentation Systems (SBAS) and Quasi Zenith Satellite

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System (QZSS). Different GNSS can be used separately or in combination to determine the position of a

UE.

OTDOA METHOD

The OTDOA method is a downlink terrestrial positioning method. In this method the UE performs

measurements of downlink signals of neighbor E-UTRAN cells. This is a good backup method for

positioning the UE when satellite signals are not strong enough (for example, indoors or bad atmospheric

conditions etc). The UE receives the downlink radio transmission of four or more neighbor cells, aided by

downlink reference signal transmissions from those cells and measures the time difference of arrival of

the radio frames of the measured neighbor cells relative to the serving cell. These UE measurements are

then used either by the UE or by the E-SMLC to estimate the UE position using a trilateration technique.

The E-UTRAN may combine two or more of the supported UE positioning methods and perform a hybrid

positioning estimation to achieve a better positioning accuracy.

The UE positioning protocol is an end-to-end protocol with terminations in the UE and the E-SMLC. This

protocol is called the LTE Positioning Protocol (LPP). This is a transaction-oriented protocol with

exchange of LPP messages between UE and E-SMLC where one or more messages realize each

transaction. A transaction results in one activity or operation such as assistance data transfer, UE

positioning capability transfer or position measurement/estimate exchange. There is a second UE

positioning protocol, LPPa, with terminations in the E-UTRAN and E-SMLC that allows the exchange of

information and measurements, which are useful for some specific positioning methods. Currently, the

LPPa is used for the delivery of timing information that is resident only to the E-UTRAN and/or is semi-

dynamically changing, which is required for the OTDOA positioning method. Apart from this the LPPa

also supports the exchange of E-UTRAN assisted measurements that are used for the Enhanced Cell ID

positioning method.

B.2.4 CIRCUIT-SWITCHED (CS) DOMAIN SERVICES OVER EPS

CS domain services are the services that can be offered today in GSM-UMTS networks. Examples of

such services are: voice and its supplementary services (for example, call waiting, call forwarding),

USSD, LCS, SMS, E911, LI, and even CS DUI video, etc. This rich set of CS domain features and

capabilities are the result of years of standardization works in 3GPP and operators investments to their

GSM-UMTS network.

In EPS, richer features/services can be offered to the end-user together with voice via IMS. While this is

the case for EPS, it is challenging for some operators to launch EPS with data and voice/IMS from day

one. Hence, these operators need a migration path to allow them to start from EPS with data only and

allow the reuse of CS domain services until they get to the point where IMS voice can be added to the

EPS.

Such migration path is possible with CS Fallback (CSFB) feature. CSFB is introduced in 3GPP Rel-8 to

allow an UE in EPS to reuse CS domain services by defining how the UE can switch its radio from E-

UTRAN access to other RAT (for example, GERAN/UTRAN/1xRTT access) that can support CS domain

services. In addition, CSFB specification TS 23.272 also defines how the SMS is transferred to the UE

natively via EPS from the MSC. It should be noted that this type of SMS delivery mechanism is defined in

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CSFB specification but the UE is not falling back to GERAN/UTRAN/1xRTT access. Figure B.3 shows the

CSFB architecture for GSM/UTRAN CSFB. Figure B.4 shows the CSFB architecture for 1xRTT CSFB.

HSS/HLR

PSTN

MMEMSC/VLR

E-UTRANUE

SGs

Iu-cs/A

MAP

S1-MME

LTE-Uu

UTRAN/

GERANUu

Um

Note: For brevity, GPRS components are not shown

Figure B.3. GSM/UTRAN CSFB Architecture in EPS (Based on 3GPP TS 23.272).

HSS/HLR

PSTN

MME 1xRTT

MSC

E-UTRANUE

S102

A1

MAP

S1-MME

LTE-Uu

1xRTT CS

Access

1x air

interface

1xCS

IWS

A1

Note: For brevity, CDMA2000 HRPD components are not shown

Figure B.4. 1xRTT CSFB Architecture in EPS (Based on 3GPP TS 23.272).

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With CSFB, UE under EPS can enjoy the fast PS data access and can switch over to

GERAN/UTRAN/1xRTT access for CS domain services when needed. In addition, UE can also utilize the

SMS feature supported by CSFB architecture.

UE, which wants to use CSFB, must first register itself to the CS domain via EPS. For GSM-UMTS CSFB

feature, UE performs a combined EPS/IMSI Attach/TAU procedure. In the EPS Attach/TAU response

message, the network indicates back to the UE whether CSFB (including SMS) is supported, ―SMS-only‖,

―CSFB Not Preferred‖, or none of these features are supported. CSFB Not Preferred is an indication to

allow data centric devices to continue reside in EPS and to allow CSFB (including SMS) features to be

used. On the other hand, a voice centric device receiving CSFB Not Preferred or SMS-only will assume

CSFB is not supported in this network and will try to reselect to other networks (therefore 2G or 3G) to

obtain voice services. In 1xRTT CSFB features, the UE is aware that the network supports 1xCSFB by

examining the system information broadcast information over E-UTRAN access and performs the 1xCS

registration to the 1xRTT MSC via the CDMA2000 signalling tunnel between the UE (via EPS) and 1xCS

IWS. This 1xCS registration request and response is transparent to the EPS.

After the UE has successfully registered itself to the CS domain (and has received positive response from

MME that CSFB is possible in GERAN/UTRAN case), it can then request the MME to perform CSFB

procedures whenever it wants to use CS domain services (for example, originating a voice call or answer

to a terminating voice call). Besides voice call, USSD, MO-LR, MT-LR, NI-LR, and call-independent

Supplementary Services procedures (for example, activates CFB) can also trigger CSFB procedures. In

the CS terminating scenario, an active UE has the ability to reject terminating call request while it still

resides in EPS. This is particularly useful when the end-user is watching a streaming video under EPS

and does not want to answer a call from an unknown number to avoid any streaming disruption in the

streaming video due to unwanted CSFB procedures.

For the GSM-UMTS CSFB feature, EPS can perform the CSFB procedure with PS handover procedure,

RRC connection release with redirection information, or cell change order with NACC (for GERAN only).

This is based on network configuration and deployment option. For 1xRTT CSFB feature, CSFB can be

done with RRC connection release with redirection information or 1xSRVCC based signalling (known as

enhanced 1xCSFB). 1xRTT CSFB UE may also have dual-Rx/dual-Tx or Dual-Rx/Single-Tx capability.

Dual-Rx/dual-Tx 1xRTT CSFB UE can simultaneously transmit and receive on both EPS and 1x at the

same time. This allows the UE to obtain 1x voice service from 1xRTT system while maintaining the data

stream over EPS at the same time. This is also based on network configuration and deployment option,

and UE capability. Dual-Rx/Single-Tx 1xRTT CSFB UE allows simplification in EPS network deployment

because there is no coordination is required between the E UTRAN and 1xRTT network (therefore, S102

is not required).

After the UE is redirected to GERAN/UTRAN/1xRTT access via one of the above procedures, the existing

CS setup procedure is taken over for the remaining of the call.

In Rel-9, IDLE mode camping mechanism is enhanced in the EPS and GPRS to allow the network to

influence the UE‘s RAT camping policy so that a CSFB UE will select GERAN/UTRAN access when it is

in IDLE condition. The intention is to minimize the occurrence of CSFB procedure from EPS to allow the

UE to invoke the CS domain services directly from GERAN/UTRAN as much as possible. On the other

hand, this requires additional intelligence in the cell reselection policy in the GERAN/UTRAN access in

order to move the UE in active state to EPS to enjoy the fast PS access when appropriate. There are also

optimization enhancements to Rel-9 for speeding up the overall CSFB procedure.

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As indicated earlier, SMS delivery via CS Domain is also defined as part of the CSFB feature. UE can

utilize this feature after it has successfully attached itself to the CS domain. It should be noted that EPS

has the option to support only the SMS feature and not the CSFB feature which redirect the UE to

another RAT. For GERAN/UTRAN CSFB, MME can indicate this condition by having an SMS-only

indicator to the UE during their combined EPS/IMSI Attach/TAU procedure. For 1xRTT CSFB, this

indication is not specified, as the 1xCS registration procedure is transparent to the EPS. UE receiving the

―SMS-only‖ indicator will not invoke the CSFB request and should not expect any CS paging coming from

EPS.

When interworking with a 3GPP MSC, SMS is delivered via the SGs interface. For MO-SMS, UE first

establishes a NAS tunnel to transfer the SMS PDU to MME. MME then transfer these SMS PDU over to

MSC via the SGs. MT-SMS works the same way by having the MME establish a NAS tunnel to UE over

E-UTRAN access.

When interworking with 1xMSC, the UE establishes a CDMA2000 tunnel with the 1xCS IWS via EPS and

SMS is delivered via that tunnel. EPS is transparent to this process.

3GPP also defines the CSFB UE in voice-centric and data-centric mode of operation in TS 23.221. Voice-

centric CSFB UE will always attempt to find a RAT where voice services can be supported. In the

example of UE receiving an SMS-only or CSFB Not Preferred indication from the network during

combined EPS/IMSI attach procedure, the voice-centric UE will autonomously switch to UTRAN/GERAN

access if coverage is available so voice service is possible to this user. With a data-centric mode of

operation, the CSFB UE will not switch to UTRAN/GERAN given the same scenario with the SMS-only

indication from the network and will forgo the voice services or CS domain services altogether. This is

because the data-centric mode UE wants the best possible PS access and voice is not the determining

factor to move away from EPS.

In the following outline, the functions of various CSFB architectural176

elements are explored further.

Mobility Management Entity (for GERAN/UTRAN CSFB)

o Multiple PLMN selection and reselection for the CS domain

o Deriving a VLR number and LAI from the TAI of the current cell and based on the

selected PLMN for CS domain, or using a default VLR number and LAI

o For CS fallback, generating a TAI list such that the UE has a low chance of "falling back"

to a cell in a LA different to the derived LAI (for example, the TAI list boundary should not

cross the LA boundary)

o Maintaining of SGs association towards MSC/VLR for EPS/IMSI attached UE

o Initiating IMSI detach at EPS detach

o Initiating paging procedure towards eNodeB when MSC pages the UE for CS services

176 Requirements related to ISR and CSFB interworking is outside the scope of this section and can be found in 3GPP TS 23.272.

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o Supporting SMS procedures with UE and MSC via SGs

o Rejecting CS Fallback call request (for example, due to O&M reasons)

Mobility Management Entity (for 1xRTT CSFB)

o It serves as a signalling tunneling end point towards the 3GPP2 1xCS IWS via S102

interface for sending/receiving encapsulated 3GPP2 1xCS signalling messages to/from

the UE

o Handling of S102 tunnel redirection in case of MME relocation

o 1xCS-IWS (terminating S102 reference point) selection for CSFB procedures

o Buffering of messages received via S102 for UEs in idle state

MSC for GERAN/UTRAN

o Maintaining SGs association towards MME for EPS/IMSI attached UE

o Supporting SMS procedures via SGs to EPS

o In order to speed up the potential LAU procedure during CS fallback the MSC may be

configured to lower the frequency of Authentication, TMSI reallocation and Identity check

for UEs that are EPS/IMSI attached via the SGs interface

MSC for 1xRTT

o Maintaining association towards 1xIWS for 1xRTT attached UE

o Support 1xSRVCC procedure for enhanced 1xCSFB procedure

o Supporting 3GPP2 SMS procedures via 1xIWS to EPS

E-UTRAN for GERAN/UTRAN

o Forwarding paging request and SMS to the UE

o Directing the UE to the target CS capable cell via appropriate procedure (therefore, PS

handover, RRC release with redirection, CCO w/NACC)

o The configuration of appropriate cell reselection hysteresis at Location Area boundaries

(or across the whole E-UTRAN) to reduce Tracking Area Update traffic

o To facilitate the configuration of TA boundaries with LA boundaries, the E-UTRAN can

gather statistics (from the inbound inter-RAT mobility events of all UEs) of the most

common LAs indicated in the RRC signalling

o Configuration to permit the operator to choose the target fallback RAT and frequency

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E-UTRAN for 1xRTT

o Provision of broadcast information to trigger UE for 1xRTT CS registration

o Establish CDMA2000 tunnel between the UE and MME and forward 1xRTT messages

o Directing the UE to the target CS capable cell via appropriate procedure (therefore, RRC

release with redirection or enhanced 1xCSFB procedure with 1xSRVCC based)

o Release of E-UTRAN resources after UE leaves E-UTRAN coverage subsequent to a

page for CS fallback to 1xRTT CS if PS handover procedure is not performed in

conjunction with 1xCS fallback

o Invoking the optimized or non-optimized PS handover procedure concurrently with

enhanced 1xCS fallback procedure when supported by the network and UE, and based

on network configuration

UE supporting GERAN/UTRAN CSFB

o CSFB procedures for EPS/IMSI attach, update and detach

o CS fallback request/reject and SMS procedures for using CS domain services

UE supporting 1xRTT CSFB

o 1xRTT CS registration over the EPS after the UE has completed the E-UTRAN

attachment

o 1xRTT CS re-registration due to mobility

o CS fallback request/reject and SMS procedures for using CS domain services

o Includes enhanced CS fallback to 1xRTT capability indication as part of the UE radio

capabilities if it supports enhanced 1xCSFB

o Includes concurrent 1xRTT and HRPD capability indication as part of the UE radio

capabilities if supported by the enhanced CS fallback to 1xRTT capable UE

B.2.5 MBMS FOR LTE

B.2.5.1 OVERVIEW

This section describes the architectural model and functionalities for the Multimedia Broadcast/Multicast

Service (MBMS) Bearer Service and is based on 3GPP TS 23.246. In case of discrepancies in other parts

of the 3GPP specifications related to MBMS, 3GPP TS 23.246 takes precedence. MBMS Bearer Service

is the service provided by the packet-switched domain to MBMS User Services to deliver IP Multicast

datagrams to multiple receivers using minimum network and radio resources. An MBMS User Service is

an MBMS service provided to the end-user by means of the MBMS Bearer Service and possibly other

capabilities, such as EPS Bearers.

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MBMS is a point-to-multipoint service in which data is transmitted from a single source entity to multiple

recipients. Transmitting the same data to multiple recipients allows the sharing of network resources. The

MBMS for EPS bearer service supports Broadcast Mode over E-UTRAN and UTRAN. (MBMS for GPRS

supports both Broadcast Mode and Multicast Mode over UTRAN and GERAN).

MBMS is realized by the addition of a number of new capabilities to existing functional entities of the

3GPP architecture and by addition of several new functional entities. In the bearer plane, this service

provides delivery of IP Multicast datagrams from the SGi-mb reference point to eNBs. In the control plane,

this service provides mechanisms to control session initiation, modification and termination of MBMS User

Services and to manage bearer resources for the distribution of MBMS data.

The reference architecture for the MBMS Bearer Service for EPS is shown in Figure B.5 below.

B.2.5.2 MBMS REFERENCE ARCHITECTURE MODEL

Figure B.5. Reference Architecture for MBMS for EPS with E-UTRAN and UTRAN.177

NOTE: In addition to MBMS Bearers (over SGmb/SGi-mb), the BM-SC may use EPS Bearers (over SGi)

to realize an MBMS User Service as specified in 3GPP TS 26.346.

B.2.5.3 MBMS SPECIFIC REFERENCE POINTS

M1. The reference point between MBMS GW and E-UTRAN/UTRAN for MBMS data delivery. IP Multicast

is used on this interface to forward data

M2. The reference point for the control plane between MCE and eNB, this point is in the E-UTRAN

M3. The reference point for the control plane between MME and E-UTRAN

Sm. Sm is the reference point for the control plane between MME and MBMS GW

177 3GPP TS 23.246 Figure 1b.

UE

E-UTRAN Uu

eNB

SGi-mb

MBMS GW

BM-SC

M3

Content Provider

SGmb

M1

SGi

MME

SGSN Sn

UTRAN UE

Uu Iu

PDN Gateway

Sm MCE M2

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Sn. The reference point between MBMS GW and SGSN for the control plane and for MBMS data

delivery. Point-to-point mode is used on this interface to forward data

SGi-mb. The reference point between BM-SC and MBMS GW function for MBMS data delivery

SGmb. The reference point for the control plane between BM-SC and MBMS GW

B.2.5.4 MBMS-RELATED FUNCTIONAL ENTITIES

To provide MBMS Bearer Services, existing functional entities (for example, eNodeB/RNC and

MME/SGSN), perform MBMS-related functions and procedures, of which some are specific to MBMS. An

MBMS-specific functional entity, the Broadcast Multicast Service Center (BM-SC), supports various

MBMS user-specific services such as provisioning and delivery. Another MBMS-specific functional entity,

the MBMS GW, resides at the edge between the core network and the BM-SC. The MCE entity inside the

E-UTRAN manages the radio resources of multiple cells to support the MBSFN transmission.

USER EQUIPMENT (UE)

The UE supports functions for the activation/deactivation of MBMS Bearer Services. Once a particular

MBMS Bearer Service is activated, no further explicit user request is required to receive MBMS data,

although the user may be notified that data transfer is about to start. Depending upon terminal capability,

UEs may be able to store MBMS data for subsequent playback.

E-UTRAN/UTRAN

E-UTRAN/UTRAN is responsible for efficiently delivering MBMS data to the designated MBMS service

area and has the capability of receiving IP Multicast distribution. In E-UTRAN, the MCE entity is

introduced to support the coordinated transmission in a MBSFN area.

MME/SGSN

The MBMS control plane function is supported by MME for E-UTRAN access and by SGSN for UTRAN

access. MBMS-specific control plane functions include session control of MBMS bearers in the access

network (for example, Session Start, Session Stop) and transmission of session control messages toward

multiple radio network nodes.

MBMS GW

One or more MBMS GW functional entities may be used in a PLMN. An MBMS GW may be a standalone

entity or co-located with other network elements such as the BM-SC or a combined Serving/PDN GW.

MBMS GW functions include:

Providing an interface for entities using MBMS bearers through the SGi-mb (user plane)

reference point

Providing an interface for entities using MBMS bearers through the SGmb (control plane)

reference point

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Distributing IP Multicast MBMS user plane data to both eNodeBs and RNCs via the M1 reference

point

Supporting fallback to point-to-point mode where applicable for UTRAN access only

BROADCAST-MULTICAST SERVICE CENTER (BM-SC)

The BM-SC provides functions for MBMS user service provisioning and delivery. It may serve as an entry

point for content provider MBMS transmissions, be used to authorize and initiate MBMS Bearer Services

within the PLMN and can be used to schedule and deliver MBMS transmissions. The BM-SC consists of

the following sub-functions:

Membership Function. Provides authorization for UEs requesting to activate an MBMS service

Session and Transmission Function. Schedules MBMS session transmissions and

retransmissions

Proxy and Transport Function. Proxies signalling over SGmb reference point between MBMS

GWs and other BM-SC sub-functions

Service Announcement Function. Provides service announcements for MBMS user services

which may include media descriptions

Security Function. Provides integrity and/or confidentiality protection of MBMS data

Content Synchronization. Adds content synchronization information to the MBMS payload prior

to forwarding it to radio network nodes

MBMS DATA SOURCES AND CONTENT PROVIDER

The reference point from the content provider to the BM-SC is not standardized by 3GPP in the Rel-9

specifications.

B.2.5.5 MBMS ARCHITECTURE FOR LTE

The enhanced MBMS architecture for LTE is shown in Figure B.6. It is not precluded that M3 interface

can be terminated in eNBs. In this case MCE is considered as being part of eNB. However, M2 should

continue existing between the MCE and the corresponding eNBs.

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MBMS CP

MBMS UP

PDN Gateway

Contents Provider

eNB eNB

M1

SGmb

MCE F4 F2

MBMS MBMS

BMSC PDN Gateway

Contents Provider

eNB eNB

M1

M2

M3

SGmb SG-imb

MCE

MME Sm MBMS CP

MBMS UP

BMSC PDN Gateway

Contents Provider

eNB eNB

M1 M3

SGmb

MBMS MBMS

PDN Gateway

Contents Provider

eNB eNB

M1

SGmb

MCE MCE

MBMS GW

MME Sm

SG-imb

Figure B.6. Enhanced MBMS Architecture Deployment Alternatives.

B.2.5.6 MBMS SERVICE PROVISIONING

An example for the phases of MBMS Broadcast Service provisioning is depicted in the Figure B.7 below:

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Figure B.7. Phases of MBMS Broadcast Service Provisioning.178

The sequence of phases may repeat (for example, depending on the need to transfer data). It is also

possible that the service announcement and MBMS notification phase may run in parallel with other

phases, in order to inform UEs that have not yet received the related service.

1. Service Announcement. Informs UEs about forthcoming MBMS user services

2. Session Start. The point at which the BM-SC is ready to send data and triggers bearer resource

establishment for MBMS data transfer

3. MBMS Notification. Informs the UEs about forthcoming (and potentially about ongoing) MBMS

broadcast data transfer

4. Data Transfer. The phase where MBMS data is transferred to the UEs

5. Session Stop. The point at which the MBMS user service determines that there will be no more

data to send for a period of time that is long enough to justify removal of bearer resources

associated with the service

178 3GPP TS 23.246 Figure 4.

SMS Router

SGd

S6C

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B.2.5.7 MBSFN TRANSMISSION

The current understanding is that the MBMS support can be provided with single frequency network

mode of operation (MBSFN). This mode of operation is characterized by synchronous transmission by all

of the eNBs that are participating in the MBMS service. The content is synchronized across the eNBs by

synchronizing the radio frame timing, common configuration of the radio protocol stack and usage of a

SYNC protocol in the core network. Studies have shown that MBSFN transmission can significantly

improve the downlink spectral efficiency over that of a single cell transmission.

In LTE, MBMS is transmitted in the MBMS service area, which is mapped to one or multiple MBSFN

areas. All the cells in one MBSFN area transmit the same content with the uniform radio resources

(Figure B.8).

MBMS Service Area

MBSFN Area

MBSFN Area

MBSFN Area

MBSFN Area Reserved Cell

Figure B.8. Diagramatic Representation of the MBMS Service Area.

To support the MBSFN transmission, the SYNC protocol is introduced to LTE, the SYNC protocol layer is

located in the BM-SC and eNB as shown in Figure B.9.

RLC

MAC

PHY

UE MBMS

Gateway

eNB

M1

RLC

MAC

PHY

BM-SC

MBMS

packet MBMS

packet

TNL

TNL

TNL

SYNC SYNC

SYNC: Protocol to synchronise

data used to generate a certain

radio frame

Figure B.9. Location of the SYNC Protocol in the Network.

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B.2.6 SELF-ORGANIZING NETWORKS (SON)

SON concepts are included in the LTE (E-UTRAN) standards starting from the first release of the

technology (Rel-8) and expand in scope with subsequent releases. A key goal of 3GPP standardization is

the support of SON features in multi-vendor network environments. 3GPP has defined a set of LTE SON

use cases and associated SON functions. The standardized SON features effectively track the expected

LTE network evolution stages as a function of time. With the first commercial networks being launched in

2010, the focus of Rel-8 was the functionality associated with initial equipment installation and integration.

The scope of the first release of SON (Rel-8) includes the following 3GPP functions, covering different

aspects of the eNodeB self-configuration use case:

Automatic Inventory

Automatic Software Download

Automatic Neighbor Relations: Each eNB can autonomously generate and manage its own

intra-frequency neighbor relation tables (NRTs) by requesting UEs to report neighbors‘ identifiers

(PCI, CGI) and/or by sharing information with another eNBs through an X2 connection. This

feature benefits the operator by reducing the planning and deployment-related OPEX as it will

work as an automated planning and optimization tool on a daily operational basis.

Automatic PCI Assignment: Physical Cell IDs are automatically selected to avoid collision and

confusion with neighbors to minimize pre-provisioning during LTE network deployments, as well

as to limit re-planning exercises during capacity extensions.

The next release of SON, as standardized in Rel-9, provided SON functionality addressing more maturing

networks. It included the following additional use cases:

Mobility Robustness Optimization. Mobility Robustness Optimization aims at reducing the

number of hand-over related radio link failures by optimally setting the hand over parameters. A

secondary objective is to avoid the Ping-Pong effect or prolonged connection to a non-optimal

cell.

Inter-RAT ANR: Extension of ANR techniques to support operation in Inter-RAT allows the

identification of neighbors from other radio technologies (UMTS and GSM) and other frequencies

utilizing UE measurements. This increases the value of ANR by reducing further the amount of

initial and ongoing planning necessary on the mobile network.

Mobility Load Balancing. Related to Mobility Robustness Optimization is Mobility Load

Balancing, which aims to optimize the cell reselection and handover parameters to deal with

unequal traffic loads for both Intra-LTE and Inter-RAT scenarios. The goal of the study is to

achieve this while minimizing the number of handovers and redirections needed to achieve the

load balancing.

RACH Optimization. RACH is the common channel used by the UE to access the network. To

improve the access to the system, RACH optimization allows the optimization of the system

parameters based upon monitoring the network conditions, such as RACH load and the uplink

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interference. The goal is to minimize the access delays for all the UEs in the system, the RACH

load, the UL interference to other eNBs due to RACH.

Other SON-related aspects that were discussed in the framework of Rel-9 included a new OAM interface

to control home eNodeB, and studies on self-testing and self-healing functions. SON-related functionality

continues to expand through the subsequent releases of the LTE standard.

The SON specifications are built over the existing 3GPP network management architecture, reusing much

functionality that existed prior to Rel-8. These management interfaces are being defined in a generic

manner to leave room for innovation on different vendor implementations. OAM plays a key role in the

application of the SON algorithms to network deployments. Targets for the various SON functions are set

by the OAM, such as the number of handover events and failures, additional PM counts, KPIs, etc. The

OAM also controls the enabling/disabling of SON function in addition to setting trigger conditions for

optimization function and setting specific policies. Taken together, the OAM and the SON algorithms

together allow operators to cost effectively deploy LTE networks on a wide scale.

More information on the SON capabilities in 3GPP can be found in 3G Americas‘ December 2009 white

paper.179

B.2.7 ENHANCED DOWNLINK BEAMFORMING (DUAL-LAYER)

In LTE Rel-8, five types of multi-antenna schemes are supported on the downlink. This includes transmit

diversity, open-loop and closed-loop SM, MU-MIMO, and single layer UE-specific reference symbol-

based Beamforming. In UE-specific reference symbol-based BF (also referred to as Mode-7) the eNodeB

can semi-statically configure a UE to use the UE-specific reference signal as a phase reference for data

demodulation of a single codeword at the UE. At the eNodeB transmitter, a set of transmit weights are

computed and applied to each sub-carrier within a desired band to both the data and the corresponding

dedicated reference symbol described in 3GPP TS36.211 Section 6.10.3. The simplest way to compute

the transmit antenna weights is to first compute a covariance matrix of the channel over the band of

interest and then taking the largest eigenvector of this covariance matrix, and applying it to all the sub-

carriers within the band. For TDD transmission, the covariance matrix can be computed from Sounding

Reference Signal (SRS) due to reciprocity while for FDD the translation of UL covariance to DL

covariance may be possible for some cases or a codebook feedback can be used.

To enhance the performance of Mode-7, dual-layer BF has been standardized in LTE Rel-9. In this new

mode (Mode-8), the presence of two layers of UE-specific reference signals enables an eNodeB

scheduler to schedule a DL transmission using Single-User MIMO (SU-MIMO) – rank-1 or 2 – or MU-

MIMO – based on covariance matrices and CQI information feedback from UEs. The estimate of the

covariance matrix at the eNodeB may be obtained using channel reciprocity from SRS in an LTE TDD

system.

The existing semi-static MU-MIMO scheme in Rel-8 uses a 4 bit codebook feedback (for 4 transmit

antennas) where the codebook is a subset of the SU-MIMO codebook. There is only 1 layer of UE-

specific reference signals and the UE cannot suppress the cross-talk due to MU-MIMO. The performance

179 The Benefits of SON in LTE, 3G Americas, December 2009.

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of standalone Rel-8 MU-MIMO is inferior to Rel-8 SU-MIMO (Mode-4) or UE-specific RS-based BF

(Mode-7).

In LTE Rel-9, two orthogonal streams of UE-specific reference signals (RS) are supported as shown in

Figure B.10. for MU-MIMO transmission in the new transmission mode. The two orthogonal streams of

UE-specific RS are CDMed, have the same overhead as Rel-8 one stream UE-specific RS, and allows for

cross-talk suppression. The downlink control signalling does not indicate the presence of co-scheduled

UEs.

Figure B.10. UE-Specific Reference Signal Structure per Resource Block (RB).

For Rel-9 dual layer BF, the UE may feedback CQI back based on transmit diversity computed from the

common reference signals (CRS) and may not feedback a rank indicator. The transmit weights, MCS and

rank are computed at the eNodeB in this transmission mode. The UE is not aware of SU or MU-MIMO

transmission during decoding of PDSCH. The transmit weights (for both PDSCH and UE-specific

demodulation RS) are determined at the eNodeB based on covariance computed from either, SRS (for

TDD) or a long-term estimate of UL covariance (FDD).

B.2.8 VOCODER RATE ADAPTATION FOR LTE

The vocoder rate adaptation mechanism allows operators to be able to control the codec rate based on

load criteria. At peak hour there could be a desire to trade off some quality for additional capacity. The

purpose of this mechanism is to provide support to enable vocoder rate change in LTE networks, in

particular to let the UE select a more appropriate and radio resource friendly AMR encoder for VoIP.

Vocoder rate adaptation has also been extended to cover HSPA in Rel-10.

The vocoder rate adaptation mechanism relies on existing end-to-end schemes for Codec Rate

Adaptation (3GPP TS 26.114) to dynamically adapt an individual real-time media component to changing

conditions in the network. Those schemes are based on measurements performed on the receiving side

(for example, packet loss, packet delay) that are reported back to the sending side via RTCP receiver

reports. In addition, the receiving side can use RTCP to explicitly control, for example, the codec rate, at

the sending side.

The key element of the vocoder rate adaptation mechanism is the adoption of the IP based Explicit

Congestion Notification (ECN) specified in RFC3168180

. The eNodeB can use ECN as an ―early pre-

180 RFC 3168, ―The Addition of Explicit Congestion Notification (ECN) to IP‖, September 2001.

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warning‖ mechanism, (therefore, first set the ―Congestion Experienced‖ (ECN-CE) codepoint in IP packets

at incipient congestion) and only start the dropping of packets on a bearer when congestion persists

and/or increases. The ECN-CE codepoint in an IP packet indicates congestion in the direction in which

the IP packets are being sent. The ECN-CE signal propagates to the receiving IP end-point and is made

available to the media/application layer receiver. The receiver can then send an application layer rate

reduction message (for example, RTCP) to request a new send rate from the corresponding sender.

Thereby, the media/application layer should typically have sufficient reaction time (therefore, trigger a rate

reduction before packets need to be dropped at the bottleneck).

The basic mechanism is shown in Figures B.11 and B.12 for downlink and uplink, respectively.

Figure B.11. Proposed Solution (High Level) – Downlink Direction.

IP

Application / Codec Level

Receiver

3GPP Bearer Level (A Side)

MS

Sender

End-to-End Approach based on IP (Downlink Direction)

eNB

EPC

RTCP

Set ECN at

Early Congestion

SIP Session Negotiated with Full Set of Codec Rates

Independent of Network Level Congestion.

RTCP/RTP Sender and Receiver have Negotiated the Use of ECN.

Sender Requests Marking

of Media Flow‘s IP Packets

with

ECN-Capable (‗01‘ or ‗10‘)

IP Packets Marked with

ECN-Capable (‗01‘ or ‗10‘)

If DL Congestion then eNB Marks

IP Packets with

ECN-Congestion-Experienced (‗11‘)

Control Codec Rate

used by Sender

Indication of

Congestion in

the Receive

Direction

IP

Application / Codec Level

Receiver

3GPP Bearer Level (A Side)

MS

Sender

End-to-End Approach based on IP (Downlink Direction)

eNB

EPC

RTCP

Set ECN at

Early Congestion

SIP Session Negotiated with Full Set of Codec Rates

Independent of Network Level Congestion.

RTCP/RTP Sender and Receiver have Negotiated the Use of ECN.

Sender Requests Marking

of Media Flow‘s IP Packets

with

ECN-Capable (‗01‘ or ‗10‘)

IP Packets Marked with

ECN-Capable (‗01‘ or ‗10‘)

If DL Congestion then eNB Marks

IP Packets with

ECN-Congestion-Experienced (‗11‘)

Control Codec Rate

used by Sender

Indication of

Congestion in

the Receive

Direction

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Figure B.12. Proposed Solution (High Level) – Uplink Direction.

B.3 OTHER RELEASE 9 ENHANCEMENTS

B.3.1 ARCHITECTURE ASPECTS FOR HOME NODEB/ENODEB

In order to provide improved indoor UMTS-HSPA-LTE coverage, 3GPP has been defining architectures

to support femtocell solutions providing indoor services for both residential and enterprise deployments.

For UMTS-HSPA the solutions are called Home NodeB solutions and for LTE they are called Home

eNodeB solutions. Rel-8 defined the Home NodeB solutions for UMTS-HSPA for which the baseline

architecture is shown in Figure B.13.

IP

Application / Codec Level

Sender

3GPP Bearer Level (A Side)

MS

Receiver

End-to-End Approach based on IP (Uplink Direction)

eNB

EPC

RTCP

Set ECN at

Early Congestion

SIP Session Negotiated with Full Set of Codec Rates

Independent of Network Level Congestion.

RTCP/RTP Sender and Receiver have Negotiated the Use of ECN.

Sender Requests Marking

of Media Flow‘s IP Packets

with

ECN-Capable (‗01‘ or ‗10‘)

IP Packets Marked with

ECN-Capable (‗01‘ or ‗10‘)

If UL Congestion then eNB Marks

IP Packets with

ECN-Congestion-Experienced (‗11‘)

Indication of

Congestion in

the Receive

Direction

Control Codec Rate

used by Sender

IP

Application / Codec Level

Sender

3GPP Bearer Level (A Side)

MS

Receiver

End-to-End Approach based on IP (Uplink Direction)

eNB

EPC

RTCP

Set ECN at

Early Congestion

SIP Session Negotiated with Full Set of Codec Rates

Independent of Network Level Congestion.

RTCP/RTP Sender and Receiver have Negotiated the Use of ECN.

Sender Requests Marking

of Media Flow‘s IP Packets

with

ECN-Capable (‗01‘ or ‗10‘)

IP Packets Marked with

ECN-Capable (‗01‘ or ‗10‘)

If UL Congestion then eNB Marks

IP Packets with

ECN-Congestion-Experienced (‗11‘)

Indication of

Congestion in

the Receive

Direction

Control Codec Rate

used by Sender

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HNB HNB

GW

MSC /

VLR

SGSN

HLR /

HSS

CSG

List Srv

Iuh

Iu-CS Gr/S6d

D

Uu

C1 (OMA DM /OTA)

cap.

UE

cap.

UE

VPLMN HPLMN

Iu-PS

Figure B.13. Baseline Architecture for Home NodeB Solutions for UMTS-HSPA

(based on 3GPP TS 23.830).

The Home NodeB (HNB) in the figure provides the RAN connectivity using the Iuh interface, and supports

the NodeB and most of the RNC functions from the standard UMTS-HSPA architecture. Also, the HNB

supports authentication, Home NodeB Gateway (HNB-GW) discovery, HNB registration and UE

registration over Iuh. The HNB GW serves the purpose of an RNC presenting itself to the CN as a

concentrator of HNB connections (therefore the HNB-GW provides a concentration function for the control

and user planes). It should be noted that although it is not shown in Figure B.13, a Security Gateway

(SeGW) is a mandatory logical function which may be implemented either as a separate physical entity or

integrated into the HNB-GW. The SeGW secures the communication from/to the HNB. The Closed

Subscriber Group List Server (CSG List Srv) is an optional function allowing the network to update the

allowed CSG lists (therefore, the users allowed access on each Home NodeB) on CSG-capable UEs.

For LTE, there are three architecture variants supported in 3GPP for Home eNodeBs which are shown in

Figures B.15 through B.17, based on the logical architecture in Figure B.14.

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HeNB

GW

EPC

SeGW

HeNB

HeNB

Mgmt

System

S1-U

S1-MME

S1-U

S1-MME

Figure B.14. E-UTRAN HeNB Logical Architecture (based on 3GPP TS 23.830).

The first variant shown in Figure B.15 has a dedicated Home eNodeB Gateway (HeNB GW) and is very

similar to the Home NodeB architecture for UMTS-HSPA. The second variant shown in Figure B.16 does

not have a HeNB GW but assumes the concentration functions and SeGW functions are either in

separate physical entities or co-located with existing entities (for example, the MME and/or SGW). The

third variant shown in Figure B.17 is a hybrid of the first two where there is a HeNB GW but only for the

control plane.

Rel-8 focused mainly on defining idle mode mobility procedures related with Closed Subscriber Group

(CSG, therefore a group of users authorized to access a particular HNB or HeNB). In particular, Rel-8

addressed CSG reselection and manual CSG selection. The main objectives for work on HNBs and

HeNBs in Rel-9 is to build on the foundations from Rel-8 and add further functionalities that will enable

the mobile operators to provide more advanced services as well as improving the user experience. Of

particular focus are enhancements to the existing Rel-8 idle mode mobility mechanisms, to provide active

mode mobility support, specifically in the following features:

LTE Macro to UTRA HNB Handover

LTE Macro to HeNB Handover

Inter-PLMN Manual CSG Selection

Hybrid/Open Access Mode

The Rel-9 enhancements will be defined as such that legacy mechanisms coexist with the concepts

introduced to ensure pre-Rel-9 mobiles will be supported.

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UE HeNB HeNB

GW

MME

S-GW

HSS CSG

List Srv

S1

S6a

LTE-Uu

S1-MME

S1-U

S11

VPLMN

C1 (OMA DM /OTA)

HPLMN

Figure B.15. Variant 1 with Dedicated HeNB GW (based on 3GPP TS 23.830).

UE HeNB

MME

S-GW

LTE-Uu

S1-MME

S1-U

S11

HSS

S6a

CSG

List Srv

C1 (OMA DM /OTA)

VPLMN HPLMN

Figure B.16. Variant 2 without HeNB GW (based on 3GPP TS 23.830).

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UE

S1-MME

S1-U

LTE-Uu

S1-MME

S11

HSS

S6a

HeNB

HeNB

GW

S-GW

MME

CSG

List Srv

C1 (OMA DM /OTA)

VPLMN HPLMN

Figure B.17. Variant 3 with HeNB GW for C-Plane (based on 3GPP TS 23.830).

B.3.2 IMS SERVICE CONTINUITY

Work on functionality to provide aspects of Service Continuity has been underway in 3GPP for several

releases. Rel-7 saw the definition of Voice Call Continuity (VCC) and Rel-8 built on this to define Service

Continuity (SC) and VCC for Single Radio systems (SRVCC). Rel-9 has added further enhancements to

these features.

In Rel-8, Service Continuity allows a user‘s entire session to be continued seamlessly as the user‘s

device moves from one access network to another. In Rel-9, this functionality has been enhanced to allow

components of a user‘s session to be transferred to, and retrieved from, different devices belonging to the

user. For example, a video call or video stream in progress on a mobile device could be transferred to a

laptop, or even a large-screen TV (assuming both can be provided with an IMS appearance in the

network), for an enhanced user experience and then, if necessary, retrieved to the mobile device.

As well as transferring existing media, the user can add or remove media associated with a session on

multiple devices, all controlled from a single device. These devices may be on different 3GPP, or non-

3GPP, access networks.

B.3.3 IMS CENTRALIZED SERVICES

IMS Centralized Services (ICS) feature was developed in Rel-8 and provides voice services and service

control via IMS mechanisms and enablers, while providing voice media bearers via CS access. Users,

therefore, subscribe to IMS services and can receive those services regardless of whether the voice

media is carried over PS access or CS access. Within the limitations of the CS access capabilities, the

user has the same experience of the services.

The services are controlled via a channel that is provided either by IMS (via PS access, if supported

simultaneously with CS access) or through interworking of legacy CS signalling into IMS by the MSC

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Server. The latter capability allows support of legacy user devices, but cannot provide new, richer voice

services to the user.

Rel-9 has enhanced this functionality to add support of video media. Also added is an optional service

control channel from the user‘s device to IMS that is transparent to the MSC Server. This avoids the need

to update legacy CS networks and allows new services to be developed, but cannot support legacy user

devices.

B.3.4 UICC SMART CARD: ENABLING M2M, FEMTOCELLS AND NFC

With the standardization of one new form factor specifically designed for machine-to-machine (called MFF

with two options [1 and 2] for socketable and embedded machine identity modules), the UICC can now

function in harsh environments defined by higher temperature, vibration, and humidity constraints that are

supported by the new form factor and by the 2FF (a/k/a plug in) or 3FF (a/k/a microSIM) form factors

when compliant with MFF environmental conditions.

The role of femtocell USIM is increasing in provisioning information for Home eNodeB, the 3GPP name

for femtocell. USIMs inside handsets provide a simple and automatic access to femtocells based on

operator and user-controlled Closed Subscriber Group list.

In addition to the files, the USIM is also granted new USAT commands that will enable UICC applications

to receive the notification when the UE attaches to the femtocells. Such a feature will enable UICC

application to automatically notify the primary UE user or other users of the attachment to a femtocell.

Another USAT feature allows the UICC to discover surrounding femtocells. This will allow MNO to localize

the subscriber or help customer service to troubleshoot femtocell set up issues. The operator can now

forbid access to user-preferred femtocells and restrict access to operator-preferred femtocells, thanks to

UICC parameters.

Furthermore, Rel-9 introduces the possibility to use a Hosting Party Module (UICC) inside the H(e)NB to

perform Hosting Party authentication (to authenticate the user hosting the H(e)NB at its premises). The

HPM provides mutual authentication with EAP-AKA and secure access to the core network. By leveraging

on existing USIM specification, the HPM allows the re-use of existing infrastructure (AKA authentication)

implemented by 3GPP operators in the HLR. Furthermore, this allows the operator to use their existing

billing system for charging for the service. This new flavor of the USIM application (in a UICC) is used

inside the H(e)NB to increase the security level of the H(e)NB deployment while optimizing operators

operational costs.

The upcoming releases, starting with Rel-9, will develop and capitalize on the IP layer for UICC Remote

Application Management (RAM) over HTTP or HTTPS. The network can also send a push message to

UICC to initiate a communication using TCP protocol.

Rel-9 is also endorsing the NFC standards by adopting newer releases of SWP and HCI that further

define the behavior of NFC applications located in the NFC UICC according to the NFC architecture

promoted by the GSMA.

Finally, the In Case of Emergency (ICE) files initiated in Rel-8 were completed by a picture file that will

help first responders to identify the victim as the owner of the UE.

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APPENDIX C: 3GPP MOBILE BROADBAND GLOBAL DEPLOYMENT STATUS-

HSPA/HSPA+/LTE

DATA AS OF SEPTEMBER 1, 2012

Country Operator/Network Name HSPA HSPA+ LTE LTE Band

Americas - Latin America & Caribbean

Anguilla Cable & Wireless Anguilla / LIME

Planned

Antigua & Barbuda

Cable & Wireless Antigua & Barbuda / LIME

Planned

Argentina Claro In Service 2007

Oct-11 21

Mbps Planned 2014

2.1 GHz

Argentina Nextel Planned Planned 2014

Argentina Personal In Service 2007

Jan-12 In Trial 2.1 GHz

Argentina Movistar In Service 2007

Planned 2012 In Trial AWS 1.7/2.1GHz

Aruba Digicel In Service 2011

Aruba SETAR In Service 2008

Bahamas Batelco BTC / C&W-LIME

In Service 2011 Jan-12

21 Mbps

Planned / 2012

850 MHz

Barbados LIME Barbados In Service 2011

Dec-11 21

Mbps Planned 1900 MHz

Barbados Digicel In Service 2011

Dec-11 21

Mbps

Belize BTL Planned / Oct 12

850/1900 MHz

Bermuda CellOne (Bermuda Dig. Corp) / M3 Wireless

In Service 2009

Jan-11 21

Mbps Planned 850 MHz

Bermuda Digicel In Service 2010

Jul-10 21

Mbps

Bolivia Movil de Entel In Service 2011

Apr-11 21

Mbps In Trial 700MHz

Bolivia Viva In Service 2010

Bolivia Tigo In Service 2008

Brazil Claro In Service 2007

Aug-11 21

Mbps Planned 2013

Brazil CTBC Telecom / Algar Telecom

In Service 2008

Nov-11 21

Mbps Planned

850/1800 MHz

Brazil Nextel Planned Planned

Brazil Oi In Service 2008

Planned 2013

2.6GHz

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Brazil Sercomtel Celular In Service 2008

Planned

Brazil Sky Telecom (Broadband) In Service Dec 2011

2.6GHz TD-LTE

Brazil TIM Brasil In Service 2008

In Deployment

Planned 2013

Brazil Vivo In Service 2007

Nov-11 21

Mbps Planned 2013

2.1GHz

British Virgin Islands

C&W/Lime In Service 2012

Mar-12 21

Mbps

Cayman Islands

C&W/Lime In Service 2011

Oct-11 21

Mbps

Chile Claro In Service 2007

Aug-11 21

Mbps Planned / 2012

Chile Entel In Service 2007

Dec-09 42

Mbps In Trial 2.6GHz

Chile Movistar In Service 2007

Jul-10 42

Mbps Planned / 2012

Chile Nextel Planned

Chile VTR Planned 1.7 GHZ

Colombia Comcel In Service 2008

Aug-11 21

Mbps Planned 1.9/2.1GHz

Colombia Tigo In Service 2008

Oct-11 21

Mbps Planned

Colombia Movistar In Service 2008

Planned LTE-700

Colombia UNE (EPM Telecomunicaciones) In Service Dec 2011

2.6GHz

Costa Rica America Móvil /Claro Costa Rica

In Service 2011

Planned

Costa Rica ICE In Service 2009

Planned 2013

Costa Rica Telefonica Moviles Costa Rica In Service 2011

Dominica Cable & Wireless Dominica / LIME

Planned

Dominican Rep.

Claro In Service 2007

Aug-11 21Mb

ps

Dominican Rep.

Orange Dominicana In Service 2010

In Service July 2012

1.8GHz

Dominican Rep.

Tricom (CDMA to LTE) Planned

Dominican Rep.

WIND (WiMAX) In Trial 2.6GHZ

Ecuador Claro (ex-Porta) In Service 2007

Aug-11 21Mb

ps Planned 2013

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Ecuador Alegro (CDMA) Planned Planned

Ecuador Movistar In Service 2009

Jul-11 21

Mbps Planned 2013

El Salvador Claro In Service 2008

Feb-11 21

Mbps

El Salvador Movistar In Service 2008

El Salvador Tigo In Service 2008

French Guiana Outremer Telecom/Only In Service 2008

French Guiana Orange Caraibe In Service 2009

French West Indies

Outremer Telecom/Only In Service 2008

French West Indies

Orange Caraibe In Service 2009

French West Indies

Digicel In Service 2010

Dec-10 21

Mbps

Guatemala Claro In Service 2008

Mar-12 21

Mbps

Guatemala Movistar In Service 2009

Guatemala Tigo In Service 2010

Feb-12 21

Mbps

Guyana Digicel In Service 2010

Haiti Natcom In Service 2011

Honduras Tigo In Service 2008

Honduras Claro In Service 2008

Jamaica Cable & Wireless/LIME In Service 2009

Jun-11 21

Mbps

Jamaica Digicel / (Claro) In Service 2008

Jun-12 21

Mbps Planned

Mexico Iusacell / Unefon In Service 2010

Nov-10 21

Mbps Planned

Mexico Telcel In Service 2008

Aug-11 21

Mbps Planned 2012

1.7 / 2.1 GHz

Mexico Nextel Planned 1.7 GHZ

Mexico Movistar In Service 2009

May-12 21

Mbps Planned 2013

2.6GHz

Montserrat Cable & Wireless Montserrat /LIME

Planned

Netherlands Antilles

Setel / UTS In Service 2011

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Netherlands Antilles

Telcel Planned Planned

Nicaragua Claro / enitel In Service 2008

In Trial 700 MHz

Nicaragua Movistar In Service 2009

Planned

Panama Claro Panama In Service 2009

Aug-11 21

Mbps

Panama C&W +Movil In Service 2011

Jun-11 21

Mbps Potential Network

Panama Digicel In Service 2011

Nov-11 21

Mbps

Panama Movistar In Service 2008

Paraguay Claro In Service 2007

Oct-11 21

Mbps Planned

Paraguay COPACO / VOX Planned 2012

Planned / 2012

Paraguay Personal / Núcleo In Service 2008

Feb-12 42

Mbps Planned

Paraguay Tigo In Service 2008

Planned

Peru Claro In Service 2008

Aug-11 21

Mbps Planned 2013

Peru Nextel In Service 2009

Planned 2014

Peru Movistar In Service 2009

Nov-11 21

Mbps Planned 2013

700MHz

Puerto Rico AT&T Mobility In Service 2006

Jan-11 21

Mbps

In Service Nov 2011

AWS & 700MHz

Puerto Rico Claro In Service 2007

Feb-11 21

Mbps

In Service Dec 2011

700MHz

Puerto Rico Open Mobile

In Service April 2012

700MHz

Puerto Rico Sprint Nextel Puerto Rico Planned 850/1.9 MHz

Puerto Rico T-Mobile In Service 2009

Dec-10 21

Mbps Planned

Saba Satel / UTS In Service

St. Kitts & Nevis

Cable & Wireless St. Kitts & Nevis / LIME

Planned

St. Lucia Cable & Wireless St. Lucia / LIME

Planned

St. Vincent & LIME Planned

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Gren.

Suriname UNIQA - (UTS Affiliate) Planned

Turks & Caicos Cable & Wireless / LIME Planned

Turks & Caicos Islandcom In Service 2010

Uruguay Antel In Service 2007

In Service Dec 2011

1.7/2.1 GHz

Uruguay Claro In Service 2007

Oct-11 21Mb

ps Planned

Uruguay Dedicado (WiMAX) Planned TD-LTE

Uruguay Movistar In Service 2007

Planned

US Virgin Islands

AT&T Mobility In Service 2008

US Virgin Islands

Innovative Wireless In Service 2009

Venezuela Digitel In Service 2009

Planned 2013

Venezuela Movilnet In Service 2009

Planned 2013

Venezuela Movistar In Service 2008

Planned 2013

LTE 2100

Americas - US/Canada

Canada Bell Wireless Affiliates In Service Nov-09 42

Mbps

In Service Sept 2011

2100MHz

Canada Telus In Service Nov-09 42

Mbps

In Service Feb 2012

2100MHz

Canada Eastlink Wireless Planned 2012

Planned 2012

Canada Mobilicity In Service In Deployment

Planned 2015

2100MHz

Canada MTS Mobility /Allstream In Service Mar-11 21

Mbps Planned 2012

2100MHz

Canada Public Mobile (CDMA) In Deployment

Planned 2016

Canada Rogers Wireless Communications

In Service Jul-09 21

Mbps

In Service July 2011

2100MHz/1700MHz

Canada SaskTel Mobility In Service Aug-10 21

Mbps Planned 2012

AWS

Canada T-Bay-Tel (CDMA) In Service Nov-10 21

Mbps

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Canada Videotron (Quebecor Media) In Service Sep-10 42

Mbps Planned 2016

Canada Virgin Mobile Canada (MVNO) In Service Jan-10 42

Mbps

Canada WIND /Globalive In Service Planned 2016

Canada Xplornet (Barrett Xplore) )Rural WiMAX

Planned 2.6 GHz

USA Agri-Valley (CDMA) (Michigan) Planned 700MHz

USA Aircell (In-Flight Network) Planned / 2012

USA Alaska Communications (CDMA)

Planned Late 2012

USA Appalachian Wireless (Rural CDMA)

Planned 700MHz

USA AT&T Mobility In Service Nov-10 21

Mbps

In Service Sept 18 2011

AWS & 700MHz

USA BayRICS (San Fran Public Safety)

In Trial

USA BendBroadband In Service Dec-09 21

Mbps

In Service May 2012

1.7/2.1MHz

USA Bluegrass Cellular (Rural CDMA) Planned 700MHz

USA Carolina West Wireless Planned

USA Cellcom (WI, MI) (Rural CDMA)

In Service May 2012

700MHz

USA C Spire Wireless Cellular South (CDMA)

Planned Sept 2012

1700 AWS/1900 PCS

USA CenturyLink (former CenturyTel)

Planned 700MHz

USA Chariton Valley (Rural CDMA) Planned 700MHz

USA Chat Mobility (Rural CDMA) Planned 700MHz

USA Cincinnati Bell Wireless In Service Jun-11 21

Mbps Planned 700MHz

USA Clearwire Corp.(WiMAX) Planned -2013

TD-LTE

USA CommNet Wireless (Navajo Nation)

Planned

USA Convergence Technologies Planned 700MHz

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(Rural CDMA)

USA Cross Wireless/Sprocket (Rural CDMA)

Planned 700MHz

USA Custer Telephone (Rural CDMA) Planned 700MHz

USA GCI (Alaska) In Service Sep-11 21

Mbps

USA Leap Wireless/Cricket Comm. (CDMA)

In Service Dec 2011

USA LightSquared / Skyterra (Wholesale)

Planned /2012

1.4-1.6GHz

USA Matanuska Telephone Association (Alaska)

Planned 700MHz

USA Metro PCS (CDMA)

In Service Sept 2010 VoLTE Aug 2012

AWS (1.7/2.1 GHZ)

USA Mosaic Telecom (Rural CDMA) In Service July 2011

AWS & 700MHz

USA NetAmerica Alliance (Rural operators)

In Trial AWS & 700MHz

USA nTelos (Rural CDMA) In Trial AWS

USA NW Missouri Cellular (Rural CDMA)

Planned 700MHz

USA Panhandle (PTCI) Bonfire

In Service March 2012

USA Pioneer Cellular (OK) (Rural CDMA)

In Service May 2012

700MHz

USA Public Service Wireless (GA) Planned 700MHz

USA Sagebrush/Nemont (MT, ND) (CDMA)

Planned 700MHz

USA Sprint Nextel (WiMAX) In Service July 2012

800MHz/1900MHz

USA S&R Communications (Rural CDMA)

Planned 700MHz

USA Stelera Wireless In Service

USA Strata Networks (Rural CDMA) Planned 700MHz

USA Peoples & Etex Telephone Coop (Texas)

In Service In Service

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Feb 2012

USA Texas Energy Network /TEN (oil & gas)

Planned

USA T-Mobile USA In Service Sep-09 42

Mbps Planned 2012

2.1GHz

USA Thumb Cellular (Rural CDMA) Planned 700MHz

USA US Cellular/King Street Wireless

In Service March 2012

USA Verizon Wireless In Service Dec 2010

700MHz/2.1GHZ

Africa

Algeria Algérie Télécom Planned

Algeria Orascom Bangladesh Planned

Algeria Wataniya Maldives (Qtel) Planned

Angola Movicel In Service Dec 2010

In Service April 2012

1800 MHz

Angola Unitel In Service 2007

Jul-10 21

Mbps

Botswana Botswana Telecom / Be Mobile In Deployment

Botswana Mascom Wireless In Service Aug 2008

In Trial

Botswana Orange Botswana In Service Aug 2009

Burundi HiTs Telecom Burundi Planned

Burundi Lacell Planned

Cameroon MTN Cameroon Planned

Cameroon Orange Cameroon Planned

Cape Verde Cabo Verde Telecom / CVMóvel In Service

Cape Verde T-Mais / T+ In Service

Chad Bharti Airtel Chad Planned Oct-11 21

Mbps

Chad Millicom Planned

Congo Bharti Congo Airtel BV In Service Oct-11 21

Mbps

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Côte D'Ivoire Atlantique Telecom Planned

Côte D'Ivoire Comium Côte D'Ivoire Planned

Côte D'Ivoire MTN Planned

Côte D'Ivoire Orange Planned

Dem. Rep. Congo

Vodacom Planned

Dem. Rep. Congo

Zain Planned

Djibouti Djibouti Telecom In Service

Egypt ECMS / MobiNil In Service 2009

In Trial

Egypt Etisalat Misr In Service 2007

Jun-10 42

Mbps Planned 2012

2.1 MHz

Egypt Vodafone Egypt In Service 2007

Planned 2012

Equatorial Guinee

HiTs Telecom In Service 2009

Ethiopia Ethiopian Telecom/Ethio-Mobile

In Service 2008

Gambia QuantumNet / Qcell In Service 2009

Ghana Airtel Ghana /Bharti In Service 2010

Jan-12 21

Mbps

Ghana GloMobile Ghana In Deployment

Planned

Ghana Millicom /Tigo Ghana In Service 2011

Ghana MTN Ghana In Service 2010

Potential License

Ghana Vodafone Ghana In Service 2011

Guinea Cellcom Guinée Planned

Guinea Intercel Holdings Planned

Guinea Orange Planned

Guinea Sotelgui Planned

Guinea Bissau Guinetel Planned

Guinea Bissau Spacetel Planned

Kenya Airtel (Bharti-Zain) In Deployment

Feb-12 21

Mbps

Kenya Essar Telecom Planned

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Kenya Telkom Kenya / Orange In Service Sep-12 42

Mbps

Kenya Safaricom In Service 2008

Aug-11 21

Mbps In Trial

Lesotho Econet Telecom Lesotho In Service

Lesotho Vodacom Lesotho In Service 2009

Liberia Cellcom In Service Jun-12 21

Mbps

LIbya Almadar Aljadeed Planned Planned

Libya Libyana In Service 2008

Madagascar Telecom Malagasy In Service 2009

Malawi Telekom Networks Malawi (TNM)

In Service 2009

Malawi Airtel / Zain In Service 2010

Jul-12

Mali Orange Mali In Service 2010

Mauritania Chinguitel In Service 2011

Mauritania Mattel In Service 2011

Mauritania Mauritel Mobiles In Service 2010

Mauritius Emtel Mauritius In Service 2007

In Service May 2012

Mauritius Orange Mauritius In Service 2007

In Service June 2012

Morocco Ittissalat Al-Maghrib/Maroc Telecom

In Service 2008

Morocco Médi Télécom/Méditel In Service 2008

Mozambique Mocambique Celular / mCel In Service 2008

Mozambique Vodacom In Service 2010

Namibia Leo (Orascom) / Cell One In Service 2007

Planned Planned

Namibia MTC In Service 2006

In Deployment

In Service May 2012

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Niger Bharti Airtel Niger Planned

Niger Orange Niger In Service 2011

Niger Sahelcom Planned

Niger Telecel (Moov) Planned

Nigeria Alheri Engineering Co. In Deployment

Nigeria Etilisat Nigeria In Service 2009

Oct-11 42

Mbps

Nigeria Globacom/Glo Mobile In Service 2008

Planned /2012

LTE-2100

Nigeria MTN Nigeria In Service 2008

Potential License

Nigeria Bharti Airtel / Zain Nigeria In Service 2009

Feb-12 42

Mbps Potential License

Nigeria Starcomms Potential License

Nigeria Zoda Fones / Megatech Engineering

Potential License

LTE-TDD

Réunion Orange Reunion In Service 2008

Réunion Outremer Telecom Reunion / Only

In Service 2008

Réunion SFR Reunion In Service 2008

Rwanda Altech Stream Rwanda Planned 2013

Rwanda Bharti Airtel Rwanda In Service 2012

Jul-12 21

Mbps

Rwanda MTN Rwanda In Service 2010

Rwanda RwandaTel In Service 2008

Rwanda Tigo Rwanda In Service 2010

São Tome & Principe

CST In Service 2012

Senegal Orange/Sonatel In Service 2008

Planned

Senegal Tigo/Sentel Planned

Senegal Expresso/Sudatel In Service 2010

Seychelles Telecom Seychelles / Airtel In Service 2008

Sierra Leone Airtel In Service 2012

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Somalia Somtel In Service 2011

Somalia Telesom In Service 2011

South Africa Cell C In Service 2010

Aug-10 42

Mbps Planned 2012

850-900MHz/2.1GHZ

South Africa iburst South Africa (WBS) Planned 2012

2.6GHz

South Africa MTN In Service 2009

May-10 42

Mbps Planned 2013

1800MHz/2.1GHz

South Africa Telkom (8ta) In Service 2009

Jun-11 21

Mbps Planned

South Africa Vodacom In Service 2009

Apr-11 42

Mbps Planned

South Africa WBS Planned 2013

Sudan MTN Sudan In Service 2009

Sudan Sudatel (Sudan Telecom) In Service 2009

Sudan Zain Sudan In Service 2008

Swaziland MTN In Service 2011

Tanzania Airtel (Zain) In Service 2008

In Deployment

Tanzania SMILE

In Service June 2012

800 MHz

Tanzania Tigo Tanzania In Service 2011

Tanzania Vodacom Tanzania In Service 2007

Togo TogoCel In Deployment

In Deployment

Tunisia Orange Tunisie In Service 2010

Aug-10 21

Mbps

Tunisia Tunisiana In Service 2012

In Deployment

Planned 2012

Tunisia Tunisie Télécom In Service 2010

Aug-11 42

Mbps

Uganda MTN Uganda In Service 2010

Uganda Orange Uganda In Service 2009

Uganda Uganda Telecom In Service 2008

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Uganda TMP Uganda Planned 2012

2.3GHz

Uganda Zain Uganda Planned

Zambia MTN Zambia In Service 2011

Zambia Airtel Zambia In Service 2012

Jan-12 21

Mbps

Zambia ZamTel / Cell Z Planned

Zimbabwe Econet Wireless In Service 2009

Zimbabwe Telecel Planned

Asia Pacific

Australia 3 Australia In Service In Deployment

Planned 2012

1800 MHz

Australia Energy Australia Planned

Australia NBN Co.

In Service April 2012

TD-LTE

Australia Optus (SingTel) In Service In Deployment

In Service July 2012

1800/2100 MHz

Australia Telstra In Service Feb-09 42

Mbps

In Service Sept 2011

2.6GHz/1800MHz

Australia vividwireless (Seven Group) (WiMAX)

Planned 2012

TD-LTE

Australia Vodafone Hutchison (VHA) In Service Planned Sept 2012

Planned 2013

1800MHz

Bangladesh Airtel / Warid Bangladesh Planned Planned 2016

Bangladesh GrameenPhone In Service Planned 2015

Bangladesh Orascom Bangladesh Planned Planned 2016

Bangladesh Robi Axiata Bangladesh Planned Planned 2016

Bangladesh Teletalk Planned Planned 2016

Bhutan Bhutan Telecom / B-Mobile In Service Planned 2016

Bhutan Tashi Infocomm In Service Planned 2016

Brunei B-Mobile Brunei In Service Planned 2015

Brunei DSTCom In Service Planned

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2015

Cambodia Alltech Telecom Planned

Cambodia Cadcomms / qb In Service Planned 2015

Cambodia CamGSM/Cellcard (MobiTel) In Service Planned 2014

Cambodia CamShin / Mfone In Service Planned 2015

Cambodia Hello Axiata In Service

Cambodia Smart Mobile / Latelz In Service Aug-11 21

Mbps

Cambodia Viettel Cambodia / Metfone In Service

China China Mobile / TD-SCDMA Planned Q4 2012

FDD-TDD

China China Telecom (CDMA) Planned 2013

China China Unicom In Service May-11 21

Mbps Planned 2013

East Timor Timor Telecom In Service Planned 2016

Fiji Digicel Fiji Planned 2016

Fiji Vodafone Fiji In Service Planned 2016

French Polynesia

Mara Telecom In Deployment

Planned 2016

French Polynesia

Tikiphone VINI 3G In Service Planned 2016

Guam Guamcell (DoCoMo Pacific) In Service Planned 2016

Guam iConnect Guam Planned 2016

Guam GTA In Service Jul-09 21

Mbps Planned 2016

Guam IT&E Guam In Service July 2012

Hong Kong CSL New World In Service Mar-09 42

Mbps

In Service Nov 2010

2.6 MHz/1800 MHz

Hong Kong Hutchison 3 / JV Genius In Service Jul-09 21

Mbps

In Service May 2012

2.6 MHz

Hong Kong PCCW Mobile / JV Genius In Service Jun-09 42

Mbps In Service

2.6 MHz

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May 2012

Hong Kong SmarTone-Vodafone In Service Nov-09 28

Mbps

In Service Aug 2012

1800 MHz

Hong Kong China Mobile Hong Kong

In Service April 2012

LTE TDD/FDD

India Aircel (Maxis) In Service Feb-11 21

Mbps Planned 2013

LTE-TDD

India Augere Planned 2012

LTE-TDD

India Bharti Airtel In Service Dec-10 21

Mbps

In Service April 2012

LTE-TDD

India BSNL In Service Planned 2013

2.3 GHz

India Idea Cellular In Service Mar-11 21

Mbps Planned 2013

India MTNL In Service Planned 2014

2.3 GHZ

India Qualcomm India LTE Venture Planned

India Reliance/Infotel Broadband In Service Dec-10 21

Mbps Planned LTE-TDD

India Tata DoCoMo Teleservices In Service Nov-10 21

Mbps Planned 2013

India Tikona Digital Planned 2012

LTE-TDD

India Vodafone Essar In Service Mar-11 21

Mbps Planned 2013

Indonesia Axis In Service

Indonesia XL Axiata / Excelcomindo In Service Planned 2014

Indonesia 3 Indonesia In Service Planned 2014

Indonesia Natrindo Telepon Seluler Axis In Service Planned 2014

Indonesia Indosat/Satelindo/Qtel In Service May-10 42

Mbps Planned 2013

1800 MHz

Indonesia Telkomsel In Service Dec-09 21

Mbps Planned 2013

Japan eAccess / emobile In Service Jul-09 42

Mbps

In Service/Mar 18, 2012

700/1.7 GHz

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Japan KDDI / au (CDMA) Planned 2012

700/800/1500 MHz

Japan NTT DoCoMo / Xi In Service

In Service/Dec 24, 2010

700MHz/2.1GHz

Japan Softbank Mobile In Service Feb-11 42

Mbps

In Service/ Feb 2012

900MHz/2.1/2.5GHz

Japan IIJ (Internet Initiative Japan) Planned 2012

Laos ETL In Service

Laos LaoTel (Viettel) In Service Planned 2015

Laos Star Telecom / Unitel In Service Planned 2015

Laos Beeline In Service Jan-12 21

Mbps

Macau CTM (C&W) In Service Jan-10 21

Mbps Planned 2015

Macau Hutchison 3 In Service In Deployment

Planned 2015

Macau SmarTone-Vodafone In Service Jul-10 21

Mbps Planned 2015

Malaysia Asiaspace (WiMAX) Planned 2014

2.3GHZ / TD-LTE

Malaysia P1 Planned 2013

2.6GHz

Malaysia REDtone Mobile Services Planned 2013

2.6GHz

Malaysia Celcom (Axiata) In Service In Deployment

Planned 2013

2.3GHz

Malaysia DiGi In Service Planned 2013

2.6GHz

Malaysia Maxis Communications/UMTS In Service Jun-10 21

Mbps Planned 2013

2.6GHz

Malaysia PacketOne Networks (WiMAX to TD-LTE)

Planned 2013

TD-LTE

Malaysia Puncak Semangat Planned 2014

2.6GHz

Malaysia Telecom Malaysia / TM In Trial

Malaysia U Mobile In Service Nov-10 42

Mbps Planned 2013

2.6GHZ

Malaysia Y-Max Licence Awarded

2.6GHz

Maldives Dhiraagu In Service Planned 2016

Maldives Wataniya Maldives (Qtel) In Service Planned 2016

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Mongolia G-Mobile (CDMA) Potential License

450MHz

Mongolia Mobicom In Service

Mongolia Skytel (CDMA to GSM) In Service Sep-10 21

Mbps

Mongolia Unitel In Service

Myanmar Myanmar P&T Planned

Nepal Ncell (TeliaSonera subsidiary) In Service Planned 2016

Nepal Nepal Telecom In Service Planned 2016

2.3GHz

Nepal Spice /Mero Mobile Planned

New Caledonia

OPT New Caledonia In Service

New Zealand 2degrees Mobile In Service Aug-10 21

Mbps

New Zealand Telecom NZ (CDMA to GSM) In Service Aug-10 21

Mbps Planned 2013

700/2100

New Zealand Vodafone New Zealand In Service Mar-11 28.8

Mbps Planned 2014

700/2100

Northern Marianas

iConnect Northern Marianas Planned 2016

Northern Marianas

Pacific Telecom Northern Marianas

Planned 2015

North Korea Koroyolink (CHEO/Orascom Telecom)

In Service

Pakistan PMCL / Mobilink Planned Planned 2014

Pakistan PTML Planned

Pakistan Telenor Planned Planned 2014

Papua New Guinea

Digicel Papua New Guinea In Service Planned 2016

Philippines Bayan Communications Planned 1800MHz

Philippines Digitel/Sun Cellular In Service Planned

Philippines Globe Telecom/SingTel In Service Apr-11 21

Mbps Planned 2013

2100MHz

Philippines Smart Communications In Service Apr-12 42

Mbps

In Service April 2011

Philippines Umobile (CURE) In Service Mar-11 42

Mbps

Philippines Piltel Planned

Samoa BlueSky Samoa In Service Mar-12 21

Mbps

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Samoa Digicel In Service Mar-12 21

Mbps

Singapore MobileOne/M1 3G In Service Jul-09 28

Mbps

In Service June 2011

1800MHz/2.6GHz

Singapore SingTel Mobile/Broadband on Mobile Prestige 75

In Service Dec-09 21

Mbps

In Service Dec 2011

1800MHz/2.6GHz

Singapore StarHub In Service Mar-09 21

Mbps Planned July 2012

1800MHz/2.6GHz

Solomon Islands

Our Telekom / Solomon Telekom

In Service Planned 2017

South Korea KTF Corp In Service In Deployment

In Service Jan 2012

1800MHz

South Korea LG Uplus

In Service July 2011 VoLTE Aug 2012

800MHz

South Korea SK Telecom In Service Jul-10 21

Mbps

In Service July 2011 VoLTE Aug 2012

800 MHz / LTE-A in 2013

Sri Lanka 3 In Service In Deployment

Sri Lanka Bharti Airtel Sri Lanka In Service

Sri Lanka Dialog Axiata In Service Apr-11 42

Mbps Planned 2013

1800MHz

Sri Lanka Etisalat Sri Lanka In Service Jan-11 42

Mbps Planned 2013

2.6GHz

Sri Lanka Mobitel M3 In Service In Deployment

Planned 2013

2.6GHz

Taiwan Chunghwa Telecom In Service Dec-11 21

Mbps Planned 2014

700MHz/2.6 GHz

Taiwan FarEasTone / China Mobile In Service Nov-10 21

Mbps Planned 2014

LTE-TDD

Taiwan Global Mobile (WiMAX) Planned

Taiwan Taiwan Mobile Company In Service Jan-12 42

Mbps Planned 2014

Taiwan VIBO In Service In Deployment

Planned 2015

Thailand AIS In Service Apr-12 21

Mbps Planned 2013

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Thailand CAT Telecom In Trial LTE-FDD

Thailand DTAC /Telenor In Service Aug-11 42Mb

ps

Trial Scheduled Q3 2012

Thailand TOT / Thai Mobile In Service Apr-12 42Mb

ps Planned

Thailand True Move (Hutch) In Service Feb-12 42Mb

ps Planned 1800MHz

Vanuatu Digicel Pacific Vanuatu In Service Dec-11 21Mb

ps Planned 2017

Vietnam CMC Telecom License Awarded

Vietnam EVN Telecom (E-Mobile) In Service License Awarded

Vietnam FPT Telecom License Awarded

Vietnam Hutchison Vietnam/ Vietnamobile

In Service Dec-11 21Mb

ps

Vietnam Mobifone In Service Apr-12 21Mb

ps Planned 2016

Vietnam RusViet Telecom Planned 2013

2.6GHz

Vietnam Vietnam Data Communications In Trial

Vietnam Viettel Vietnam In Service Mar-10 21Mb

ps Planned 2016

Vietnam VinaPhone (VNPT) In Service Planned 2016

Vietnam VTC (Vietnam Multimedia Corporation)

License Awarded

Europe - Eastern

Abkhazia Aquafon In Service In Trial

Abkhazia A-Mobile In Service

Albania Albanian Mobile (AMC) In Service Jan-12 42Mb

ps Planned 2013

Albania Eagle Mobile In Deployment

Planned 2012

Albania Vodafone Albania In Service Planned 2013

Armenia Armentel/Beeline In Service Planned 2013

Armenia K-Telecom/VivaCell-MTS In Service Mar-11 21

Mbps

In Service Dec 2011

2.5-2.6GHz

Armenia Orange Armenia In Service Jan-12 42

Mbps Planned 2013

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Azerbaijan Azercell In Service Nov-11 21

Mbps

In Service May 2012

Azerbaijan Azerfon/Nar Mobile/Vodafone In Service Planned 2012

Azerbaijan Bakcell / sur@ In Service Nov-11 21

Mbps Planned 2016

Belarus BeST / life:) In Service Jun-10 21

Mbps In Trial 2.6GHz

Belarus Dialog (CDMA)

Permission Requested

450MHz

Belarus Mobile TeleSystems /MTS In Service May-10 21

Mbps Planned 2012

Belarus Velcom In Service Mar-10 42

Mbps Planned 2013

Belarus Yota Bel (Scartel) In Service Dec 2011

2.6GHZ

Bosnia Herz. GSM BiH In Service Planned 2014

Bosnia Herz. Mobilne Sprske (mtel) In Service Planned 2014

Bulgaria Cosmo Bulgaria Mobile/GloBul In Service In Deployment

Planned 2013

Bulgaria MobilTel / M-Tel In Service Sep-09 42

Mbps

In Service March 2012

1800MHz

Bulgaria Vivacom (BTC/Vivatel) In Service In Trial Planned 2014

Croatia Tele2 In Service Dec-10 21

Mbps Planned 2012

Croatia Hrvatski Telekom (T-Mobile) In Service

In Service March 2012

2.6GHz

Croatia VIPnet In Service Dec-09 42

Mbps

In Service March 2012

2.6GHz

Czech Republic

Mobilkom Czech Republic Potential License

2.6GHz

Czech Republic

Telefonica O2 Czech Republic In Service

In Service June 2012

2.6GHz

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Czech Republic

T-Mobile Czech Republic In Service Nov-10 42

Mbps Planned 2013

2.6GHz

Czech Republic

Ufone (CDMA)

Permission Requested

450MHz

Czech Republic

Vodafone Czech Republic In Service Oct-11 21

Mbps Planned 2013

2.6GHz

Estonia Bravocom In Service

Estonia Elisa In Service Apr-10 21

Mbps Planned 2012

2.6GHz/1800MHz

Estonia EMT / Telia Sonera In Service Nov-09 21

Mbps

In Service Dec 2010

2.6GHz/1800MHz

Estonia Tele2 In Service Planned 2013

2.6GHz

Georgia Geocell In Service Jul-12 21

Mbps Planned 2013

Georgia Magticom In Service Planned 2015

Hungary T-Mobile Hungary In Service Jul-11 21

Mbps

In Service Jan 2012

1800 MHz

Hungary Telenor Hungary

In Service Dec-11 42

Mbps Planned 2013

Hungary Vodafone Hungary In Service Feb-10 42

Mbps Planned 2013

Kazakhstan Neo/ Mobile Telecom Service In Trial

Kazakhstan GSM Kazakhstan / Kcell In Service Dec-10 21

Mbps Planned 2014

Kazakhstan Kar-Tel / Beeline In Service Dec-10 21

Mbps Planned 2014

LTE 700

Kazakhstan Tele2 Kazakhstan In Service Apr-11 21

Mbps

Kyrgyzstan AkTel Planned

Kyrgyzstan Katel Planned

Kyrgyzstan MegaCom In Service Jan 2012

Planned 2016

Kyrgyzstan Saima Telecom In Service Dec 2011

Kyrgyzstan Sky Mobile / Beeline In Service Dec-10 21Mb

ps Planned 2016

Kosovo Ipko Net Planned 2015

2.1GHz

Kosovo Vala Potential License

2.1GHz

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Latvia Bité In Service Sep-10 21

Mbps In Trial 2.6GHz

Latvia LMT - Latvijas Mobilais Telefons In Service

In Service June 2011

1800 MHz

Latvia Tele2 In Service Planned 2013

2.6GHz

Latvia Triatel (CDMA) In Trial 450 MHz/800MHz

Latvia Telekom Baltija Planned 2013

2.6GHz

Lithuania Bité In Service Sep-10 21

Mbps Planned 2012

2.6GHz

Lithuania Omnitel (TeliaSonera) In Service

In Service May 2011

2.6GHz/1800 MHz

Lithuania Tele2 In Service Planned 2012

2.6GHz

Macedonia ONE / Cosmofon / Telekom Slovenije)

In Service Planned 2013

2.1GHz

Macedonia T-Mobile (Makedonski Telekom)

In Service Planned 2013

2.1GHz

Macedonia VIP Planned Planned 2013

Moldova InterDnestrCom (IDC)

In Service April 2012

Moldova Moldcell (TeliaSonera) In Service Planned 2012

2.1GHz

Moldova Eventis Mobile Planned

Moldova Mold Telecom/Unite In Service In Deployment

Planned 2012

Moldova Orange In Service Dec-09 21

Mbps Planned 2012

Moldova T-Mobile Planned

Montenegro m:tel In Service

Montenegro Telenor / Promonte (LTE in Cetinje)

In Service Sep-10 21

Mbps

In Service Dec 2011

2.6GHz

Montenegro T-Mobile In Service Dec-10 42

Mbps Planned 2013

2.6GHz

Poland Aero 2 In Service Nov-10

28 Mbps

In Service Sep 2010

2.6GHz/TD-LTE

Poland Centernet Wrodzinie In Service 1800MHz

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Poland Mobyland / Eutelia In Service

Poland Milmex Potential License

Poland Orange Poland / PKT Centertel In Service Oct-10 42

Mbps Planned 2013

2.6GHz

Poland P4 / Play In Service Dec-10 21

Mbps Planned 2014

LTE 800

Poland Polkomtel / Plus In Service Jun-09 21

Mbps

In Service Dec 2011

1800 MHz

Poland Polska Telefonia Cyfrowa / Era GSM

In Service Sep-09 21

Mbps Planned 2012

Poland Sferia (CDMA) In Service Planned 2.6GHz

Romania RCS&RDS / Digi.Mobil In Service Planned 2014

Romania Orange Romania In Service Oct-11 42

Mbps Planned 2013

Romania Cosmote (OTE) In Service Sep-09 21

Mbps Planned 2013

Romania Telemobil (CDMA) In Service Aug-09 21

Mbps

Permission Requested

450MHz

Romania Vodafone Romania In Service Mar-09 21

Mbps Planned 2013

Europe - Eastern

Russia MegaFon In Service Sep-10 21

Mbps

In Service Apr 2012

Via MVNO w/Yota TD-LTE

Russia Mobile TeleSystems /MTS In Service Dec-10 21

Mbps Planned 2012

2.6 GHz/TD-LTE

Russia Osnova Telekom Planned

Russia Rostelecom (WiMAX to LTE) Planned 2013

2.3-2.4 GHZ/TD-LTE

Russia Skylink (CDMA) In Trial 450 MHz

Russia Sibirtelecom/Svyazinvest Planned

Russia Smoltelecom Planned

Russia Tele2 Russia In Trial 1.8GHz

Russia VimpelCom / Beeline In Service Apr-12 21

Mbps In Trial

Russia Yota/Scartel (WiMAX to LTE) In Service Dec 2011

2.6GHz FDD

Serbia Telekom Srbija /MT:S In Service Planned 2013

Serbia Telenor In Service Jul-11 42 Planned

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Mbps 2013

Serbia VIP Mobile In Service Feb-11 42

Mbps

Slovak Republic

Orange In Service Oct-11 42

Mbps Planned 2014

2.6GHz

Slovak Republic

T-Mobile In Service Mar-11 42

Mbps Planned 2014

2.6GHz

Slovak Republic

Telefónica O2 In Service Planned 2014

2.6GHz

Slovenia Mobitel In Service Apr-10 42

Mbps Planned 2013

800/1800/2.6GHz

Slovenia Si.mobil In Service Dec-10 42

Mbps

In Service July 2012

800/2.6GHz

Slovenia T-2 In Service Planned Potential License

Slovenia Tus Mobil In Service Nov-10 21

Mbps Planned 2016

Tadjikistan Babilon Mobile In Service Planned 2014

Tadjikistan Indigo-Somoncom /TeliaSonera In Service Planned 2014

Tadjikistan Tacom / Beeline In Service Planned 2015

Tadjikistan TT Mobile In Service Planned 2015

Turkmenistan TM Cell / Altyn Asyr In Service

Ukraine Life:) Astelit Planned

Ukraine CDMA Ukaraine (ITC) Potential Network

850MHz

Ukraine Kyivstar Planned Planned 2015

Ukraine MTS-Ukraine Planned Planned 2015

Ukraine Ukrtelecom / Utel In Service Planned 2012

Uzbekistan MTS-Uzbekistan In Service In Service July 2010

2.6GHz / 700MHz

Uzbekistan Ucell/TeliaSonera In Service Feb-11 42

Mbps

In Service Aug2010

2.6GHz

Uzbekistan Unitel LLC Beeline In Service In Deployment

Planned 2012

Europe – Western

Åland Islands AMT (Alands Mobiltelefon) In Service

Andorra Andorra Telecom STA In Service Planned 2014

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Austria 3 Austria In Service Aug-09 42

Mbps

In Service Nov 2011

2.6GHz

Austria A1 Telekom (Telekom Austria) In Service Mar-09 42

Mbps

In Service Nov2010

2.6GHz

Austria Orange/ ONE In Service Mar-09 42

Mbps Planned 2012

2.6GHz

Austria T-Mobile Austria In Service Jan-11 21

Mbps

In Service Oct 2010

2.6GHz

Belgium KPN Group Belgium/BASE In Service In Deployment

Planned 2013

Belgium Belgacom Mobile/Proximus In Service In Deployment

Planned 2012

Belgium Mobistar (France Telecom) In Service Dec-10 42

Mbps In Trial

Cyprus CYTA Mobile / Vodafone In Service Planned 2015

Cyprus Kibris Telsim In Service Planned 2015

Cyprus KKT Cell In Service Planned 2015

Cyprus MTN (Areeba) In Service Mar-12 21

Mbps

Denmark HI3G Denmark / 3 In Service Jun-09 21

Mbps

Pre-commercial

2.6 GHz/TD-LTE

Denmark TDC Mobil In Service May-10 42

Mbps

In Service Oct 2011

2.G GHZ

Denmark Telenor In Service Oct-10 21

Mbps Planned 2012

Denmark TeliaSonera Denmark In Service In Service Dec 2010

2.G GHZ

Faroe Islands Faroese Telecom /Foroya Tele In Service Dec-10 21

Mbps

Finland Alands Mobiltelefon In Service

Finland DNA Finland/Oy In Service Oct-09 42

Mbps

In Service Dec 2011

2.6GHz & 1800MHz

Finland Elisa In Service Apr-10 42

Mbps

In Service Dec 2010

2.6GHz & 1800MHz

Finland TDC Song

Finland TeliaSonera In Service In Service

2.6GHz

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Nov2010

France Bollore (WiMAX) Potential Network

France Bouygues Telecom In Service Nov-11 42

Mbps In Trial / 2013

1800MHz

France Free Mobile In Service Jan-12 42

Mbps Planned 2013

2.6GHz & 800MHz

France Orange France In Service Dec-11 42

Mbps Planned 2012

2.6GHz & 800MHz

France SFR In Service Sep-10 42

Mbps Planned 2012

Germany E-Plus (KPN) In Service Planned 2013

2.6/1800/900

Germany O2/Telefonica) In Service Nov-09 28

Mbps

In Service July 2011

2.6GHz & 800MHz

Germany T-Mobile / DeutscheTelekom In Service Apr-10 42

Mbps

In Service Apr 2011

800MHz / 1800MHz

Germany Vodafone D2 In Service In Service Dec 2010

790-862 MHz (DigDiv)

Gibraltar Gibtelecom (Telekom Slovenije) In Service Planned 2016

Greece Cosmote In Service May-09 42

Mbps

Pilot LTE Network Jun2012

900/1800MHz

Greece Panafon / Vodafone In Service Jul-09 42

Mbps Planned 2012

Greece WIND Hellas In Service Jul-12 21

Mbps Planned 2015

Greenland TeleGreenland In Service

Guernsey Airtel (Vodafone/Bharti) In Service

Guernsey Sure/Cable & Wireless Guernsey

In Service

Guernsey Wave Telecom In Service

Iceland Iceland Telecom/Síminn In Service Planned 2016

Iceland Nova In Service Planned 2016

Iceland Vodafone /Teymi In Service Planned 2016

Ireland Hutchison 3 In Service In Deployment

Planned 2012

Ireland Meteor Communications (eircom)

In Service In Trial Planned 2012

Ireland O2 In Service Nov-10 21

Mbps Planned 2012

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Ireland Vodafone Ireland In Service Feb-10 42

Mbps Planned 2012

Isle of Man Sure/Cable & Wireless In Service

Isle of Man Manx Telecom In Service In Trial

Israel Cellcom Israel In Service Planned

Israel Partner Communications/Orange

In Service In Deployment

Planned

Israel Pelephone (Bezeq) In Service May-10 42

Mbps Planned 2013

Italy 3 Italy In Service Mar-12 42

Mbps Planned 2012

Italy Telecom Italia/TIM In Service Jul-09 28

Mbps Planned 2012

2.6GHz

Italy Vodafone Italia / Omnitel In Service Nov-10 42

Mbps Planned 2012

Italy Wind In Service In Trial Planned 2012

Jersey Jersey Telenet /Airtel In Service

Jersey Cable & Wireless Jersey/sure.Mobile

In Service

Jersey Clear Mobitel Planned 2.6GHz

Jersey Jersey Telecoms In Service

Liechtenstein mobilkom In Service Planned 2013

Liechtenstein Orange In Service In Deployment

Liechtenstein Tango / Tele2 Planned

Luxembourg LOL Mobile (Luxembourg Online)

In Service

Luxembourg P&T Luxembourg/LUXGSM In Service Planned 2015

Luxembourg Tango (Belgacom) In Service Planned 2015

Luxembourg Orange (Mobistar) In Service In Deployment

Planned 2015

Malta 3G / Melita Mobile In Service

Malta Go/MobileIsle Comm. In Service

Malta Vodafone Malta In Service Dec-10 42

Mbps

Monaco Monaco Telecom (C&W) In Service Planned 2014

Netherlands KPN Mobile In Service In Service May12

2.6GHz

Netherlands T-Mobile Netherlands In Service In Deployment

In Service

2.6GHz

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May012

Netherlands Vodafone Libertel In Service Jul-10 28

Mbps

In Service May012

2.6GHz

Netherlands Tele2 In Service May 2012

Netherlands Ziggo 4 May 2012 (Enterprise Only)

Norway Hi3G Access Norway In Deployment

Norway Netcom/Telia Sonera In Service Dec-10 21

Mbps

In Service Dec 2009

2.6GHz

Norway Telenor In Service In Deployment

Planned 2012

Portugal Optimus Sonaecom In Service Aug-09 21

Mbps

In Service Mar2012

Portugal TMN In Service Jun-09 21

Mbps

In Service Mar2012

2.6GHz

Portugal Vodafone Portugal In Service Jul-09 42

Mbps

In Service Mar2012

800/1800/2600 MHz

San Marino Telecom Italia/TIM

Spain Orange In Service Planned 2012

Spain Telecom Castilla La Mancha Planned 2013

2.6GHz

Spain Euskaltel Planned 2013

2.6GHz

Spain Cota Planned 2013

2.6GHz

Spain Jazztel Planned 2013

2.6GHz

Spain ONO Planned 2013

2.6GHz

Spain Telecable de Asturias SAU Planned 2013

2.6GHz

Spain Telefónica Móviles/Movistar In Service Nov-09 42Mb

ps Planned 2012

Spain Vodafone Espana In Service Dec-09 42Mb

ps Planned 2012

Spain Yoigo In Service In Deployment

Planned 2012

1800 MHz

Sweden HI3G/3 Sweden In Service Jun-09 42Mb

ps

In Service Apr2012

FDD-TDD

Sweden TeleNor /Net4Mobility In Service Jun-09 42Mb

ps In Service

2.6GHz & 900MHz

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Nov2010

Sweden Tele2 /Net4Mobility In Service Jun-09 21Mb

ps

In Service Nov2010

Sweden TeliaSonera Sweden In Service Jun-09 21

Mbps

In Service Dec2009

2.6GHz

Switzerland Orange Switzerland In Service Nov-11 42

Mbps Planned 2013

Switzerland Swisscom Mobile/Natel In Service Oct-09 42

Mbps Planned 2012

Switzerland TDC Switzerland/sunrise In Service In Deployment

Planned 2012

Turkey AVEA In Service Jul-09 42

Mbps Planned 2016

2.6GHz

Turkey Turkcell In Service Jul-09 42

Mbps Planned 2016

2.6GHz

Turkey Vodafone In Service Jul-09 21

Mbps Planned 2016

2.6GHz

UK Everything Everywhere (Orange+T-Mobile)

In Service In Deployment

Planned 2012

UK Hutchison 3G / 3 UK In Service May-11

21 Mbps

Planned 2013

UK O2 (Telefonica) In Service In Deployment

Planned 2013

2.6GHz & 800MHz

UK UKB / UK Broadband (Wholesale)

In Service Jun2012

TD-LTE 3.5GHz

UK Vodafone In Service Planned 2013

Middle East

Afghanistan Afghan Wireless/AWCC Planned

Afghanistan Etisalat Afghanistan In Service Mar-12 21Mb

ps

Afghanistan MTN Afghanistan Planned

Afghanistan Roshan (Telecom Dev. Comp) Planned

Bahrain Batelco In Service Apr-10 42Mb

ps Planned 2012

2.1GHz

Bahrain STC / Viva Bahrain In Service Mar-10 42Mb

ps

In Service Jan2012

Bahrain Zain In Service In Deployment

Planned 2013

2.6GHZ

Iran MCI Planned

Iran MTN Irancell Planned

Iran Timin Telecom / RighTel In Service 2012

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Iraq SanaTel Planned

Iraq Asiacell Planned

Iraq Korek Telecom Planned

Iraq Zain Iraq Planned

Jordan Orange Jordan In Service Mar-11 21

Mbps Planned 2014

Jordan Umniah In Service Jun-12

Jordan Zain Jordan In Service Mar-11 21

Mbps Planned 2015

2.6GHZ

Kuwait Kuwait Telecom Company/VIVA In Service Sep-09 42

Mbps

In Service Dec 2011

Kuwait Wataniya Telecom In Service

Kuwait Zain In Service Aug-09 21

Mbps Planned 2012

Lebanon Alfa Telecom In Service Oct-12 21

Mbps

Lebanon LibanCell/MTC Touch In Service Sep-11 21

Mbps Planned

Oman Nawras In Service Planned 2013

Oman Omantel/Oman Mobile In Service Sep-11 21

Mbps

In Service July 2012

Palestine Palestine Cellular Potential License

Qatar Q-TEL In Service Aug-10 21

Mbps Planned 2012

Qatar Vodafone In Service Planned 2013

800MHz

Saudi Arabia Etihad Etisalat/Mobily In Service Jan-10 21

Mbps

In Service Sept 2011

2.6GHz TD-LTE

Saudi Arabia Saudi Telecom Company / Al-Jawwal

In Service Sep-09 42

Mbps

In Service Sept 2011

2.3GHZ / TD-LTE

Saudi Arabia Zain In Service Dec-09 21

Mbps

In Service Sept 2011

1800MHz

Syria MTN Syria In Service

Syria Syriatel In Service

UAE du In Service Mar-10 42

Mbps In Service

1800Mhz

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June 2012

UAE Etisalat In Service Jan-10 42

Mbps

In Service Sept 2011

2.6GHZ

Yemen MTN Planned

Yemen Unitel Planned

Yemen Yemen Mobile Planned

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APPENDIX D: ACRONYM LIST

1x Short for 1xRTT 1xCS 1x Circuit Switched 1xCSFB 1x Circuit Switched Fallback 1xEV-DO CDMA20001xEV-DO or 1 times Evolution-Data Optimized or Evolution-Data Only 1xEV-DV CDMA20001xEV-DV or 1 times Evolution-Data Voice 1xRTT 1 times Radio Transmission Technology (CDMA20001xRTT technology) 1xSRVCC 1x Single Radio Voice Call Continuity 2G Second Generation 2G-CS/3G-CS 2G Circuit Switched/ 3G Circuit Switched 3G Third Generation 3G+ 3G plus, used to reference technologies considered beyond 3G such as HSPA, HSPA+

or LTE, not an officially recognized term by 3GPP 3GPP 3rd Generation Partnership Project 3GPP2 3rd Generation Partnership Project 2 4C-HSDPA Four Carrier HSDPA 4G Fourth Generation AA Adaptive Array AAA Authentication, Authorization and Accounting AAS Active Antenna Systems ABS Almost Blank Subframes ACK/NAK Acknowledgement/Negative Acknowledgement ADC Application Detection and Control ADSL Asymmetric Digital Subscriber Line AES Advanced Encryption Standard AF Application Function AKA Authentication and Key Agreement AM Acknowledged Mode AMBR Aggregate Maximum Bit Rate ANR Automatic Neighbor Relation API Application Programming Interfaces APN Access Point Name ARP Allocation and Retention Priority ARPU Average Revenue per User ARQ Automatic Repeat Request AS Access Stratum AS Application Server ASIC Application-Specific Integrated Circuit ASME Access Security Management Entity ATCA Advanced Telecommunication Computing Architecture ATCF Access Transfer Control Function ATIS/TIA Alliance for Telecommunications Industry Solutions/Telecommunications Industry

Association ATM Automated Teller Machine AuC Authentication Center AWS Advanced Wireless Spectrum b/s/Hz Bits per Second per Hertz B2BUA Back-to-Back User Agent B2C Business-to-Consumer BBERF Bearer Binding and Event Reporting Function BBF Broadband Forum

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BCH Broadcast Channel BF Beamforming BIP Bearer Independent Protocol BM-SC Broadcast Multicast Service Center Bps/Hz Bits per second per Hertz BPSK Binary Phase Key Shifting BSC Base Station Controller BSK Binary Shift Keying BSR Base Station Router BTS Base Transceiver Station BW Bandwidth C/I Carrier to Interference Ratio (CIR) CA Carrier Aggregation CAGR Compound Annual Growth Rate CAPEX Capital Expenses CAT_TP Card Application Toolkit Transport Protocol CAZAC Constant Amplitude Zero Autocorrelation Waveform CBC Cell Broadcast Center CBE Cell Broadcast Entity CBF Coordinated Beamforming CBS Coordinated Beam Switching CC Component Carrier CCE Control Channel Elements CCO Cell Change Order CDD Cyclic Delay Diversity CDF Cumulative Distribution Function CDM Code Division Multiplexing CDMA Code Division Multiple Access CDO Care Delivery Organization CE Congestion Experienced CELL_DCH UTRAN RRC state where UE has dedicated resources CELL_FACH UTRAN RRC transition state between Cell_PCH and Cell_DCH CELL_PCH UTRAN RRC state where UE has no dedicated resources are allocated CID Cell Identification CIF Carrier Indication Field CK/IK Ciphering Key/Integrity Key CL Circular Letter CL-MIMO Closed-Loop Multiple-Input Multiple-Output CMAS Commercial Mobile Alert Service CMS Communication and Media Solutions CMSAAC FCC Commercial Mobile Service Alert Advisory Committee CMSP Commercial Mobile Service Provider CN Core Network CoA Care of Address CoMP Coordinated Multipoint Transmission CP Cyclic Prefix CPC Continuous Packet Connectivity CPE Customer premise Equipment C-Plane Control Plane CQI Channel Quality Indications CRC Cyclic Redundancy Check CRS Common Reference Signals CS Circuit Switched CSCF Call Session Control Function

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CSFB Circuit Switched Fallback CSG Closed Subscriber Group CSI Channel State Information CSP Communication Service Provider CTIA Cellular Telecommunication Industry Association CTR Click-Through Rate D2D Device to Device DC Dual Carrier DCH Dedicated Channel DC-HSDPA Dual Carrier- High Speed Downlink Packet Access DC-HSPA Dual Carrier- High Speed Packet Access DC-HSUPA Dual Carrier- High Speed Uplink Packet Access DCI Downlink Control Information DES Data Encryption Standard DFE Decision Feedback Equalizer DFT Discrete Fourier Transformation DFT-S-OFDM Discrete Fourier Transformation-Spread-Orthogonal Frequency Division Multiplexing DHCP Dynamic Host Configuration Protocol DIAMETER/MAP Diameter Message Automation & Protocol D-ICIC Dynamic Interference Coordination DIP Dominant Interferer Proportion DL Downlink DLDC Downlink Dual Carrier DL-SCH Downlink Shared Channel DM Dispersion Measure DMB Digital Multimedia Broadcasting DNBS Distributed NodeB Solution DMRS Demodulation Reference Signal DPCH Dedicated Physical Channel DPS Dynamic Point Selection DRX Discontinuous Reception DS Dual Stack DS-MIPv6 Dual Stack-Mobile Internet Protocol version 6 DSP Dual Slant Pole DT Drive Test DVB Digital Video Broadcast DVB-H Digital Video Broadcast-Handheld DwPTS Downlink Pilot Time Slot E2E End-to-End EAB Enhanced Access Barring E-AGCH Enhanced- Absolute Grant Channel EATF Emergency Access Transfer Function E-CID Enhanced Cell Identification ECN Explicit Congestion Notification ECN-CE Explicit Congestion Notification-Congestion Experienced E-CSCF Enhanced- Call Session Control Function ECT Explicit Congestion Notification-Capable Transport E-DCH Enhanced Dedicated Channel (also known as HSUPA) EDGE Enhanced Data rates for GSM Evolution EEDGE Evolved EDGE EEM/USB Ethernet Emulation Model/Universal Serial Bus EGPRS Enhanced GPRS E-HICH E-DCH Hybrid ARQ Indicator Channel

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eICIC Enhanced Inter-Cell Interference Coordination EIR Equipment Identity Register eMPS Enhancements for Multimedia Priority Service eNB Evolved NodeB, E-UTRAN NodeB eNodeB Evolved NodeB ENUM Telephone Number Mapping from E.164 Number Mapping EPC Evolved Packet Core; also known as SAE (refers to flatter-IP core network) EPDCCH Enhanced Physical Downlink Control CHannel EPDG Evolved Packet Data Gateway EPRE Energy per Resource Element EPS Evolved Packet System is the combination of the EPC/SAE (refers to flatter-IP core

network) and the LTE/E-UTRAN E-RAB Enhanced Radio Access Bearer E-RGCH E-DCH Relative Grant Channel E-SMLC Enhanced Serving Mobile Location Center ESM Energy Savings Management ETSI European Telecommunication Standards Institute ETWS Earthquake and Tsunami Warning System EUTRA Evolved Universal Terrestrial Radio Access E-UTRAN Evolved Universal Terrestrial Radio Access Network (based on OFDMA) EV-DO Evolution Data Optimized or Data Only FACH Fast Access CHannel FCC Federal Communications Commission FDD Frequency Division Duplex FDM Frequency Division Multiplex FDMA Frequency Division Multiple Access F-DPCH Fractional-DPCH FDS Frequency Diverse Scheduling FeICIC Further Enhanced Inter-Cell Interference Coordination FEMA Federal Emergency Management Agency FER Frame Erasure Rate FFR Fractional Frequency Reuse FFS For Further Study FIR Finite Impulse Response FMC Fixed Mobile Convergence FOMA Freedom of Mobile Multimedia Access: brand name for the 3G services offered by

Japanese mobile phone operator NTT DoCoMo. FQDN Fully Qualified Domain Names FSS Frequency Selected Scheduling FSTD Frequency Selective Transmit Diversity FTTH Fiber to the Home FTTN Fiber to the Node GB Gigabyte also called gbit Gbit/s Gigabytes per second GBR Guaranteed Bit Rate GERAN GSM EDGE Radio Access Network GGSN Gateway GPRS Support Node GHz Gigahertz Gi Interface between GPRS and external data network GLONASS Global Navigation Satellite System (Russian) GMLC Gateway Mobile Location Controller Gn IP-based interface between SGSN and other SGSNs and (internal) GGSNs. DNS also

shares this interface. Uses the GTP Protocol GNSS Global Navigation Satellite System

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Gp Guard Period GPRS General Packet Radio System GPS Global Positioning System GRE Generic Routing Encapsulation GSM Global System for Mobile communications GSMA GSM Association GTP GPRS Tunneling Protocol GTP-U The part of GTP used for transfer of user data GTPv2 GPRS Tunneling Protocol version 2 GUTI Globally Unique Temporary Identity GW Gateway Gxa, Gxb, Gxc IMS reference points H2H Human to Human HARQ Hybrid Automatic Repeat Request HCI Host Controller Interface HD High Definition HeNB Home eNodeB HeNB-GW Home eNodeB Gateway HLR Home Location Register HNB Home NodeB HNB-GW Home NodeB Gateway HO Handover HOM Higher Order Modulation HPCRF Home PCRF HPLMN Home PLMN HPM Hosting Party Module HPSIM Hosting Party Subscription Identity Module HRPD High Rate Packet Data (commonly known as 1xEV-DO) HSDPA High Speed Downlink Packet Access HS-DPCCH High Speed-Dedicated Physical Control Channel HS-DSCH High Speed-Downlink Shared Channel HSI High Speed Internet HSPA High Speed Packet Access (HSDPA + HSUPA) HSPA + High Speed Packet Access Plus (also known as HSPA Evolution or Evolved HSPA) HSS Home Subscriber Server HS-FACH High Speed – Fast Access CHannel HS-RACH High Speed – Random Access CHannel HS-SCCH High Speed - Shared Control CHannel HSUPA High Speed Uplink Packet Access HTML Hyper-Text Markup Language HTTP Hyper Text Transfer Protocol HTTPS Hypertext Transfer Protocol Secure I/Q In-phase Quadrature referring to the COMPONENTS used in quadrature amplitude

modulation ICE In Case of Emergency IC Inter-Cell ICIC Inter-Cell Interference Coordination ICS IMS Centralized Services ICT Information and Communication Technology ID Identification IDFT Inverse Discreet Fourier Transform IEC International Engineering Consortium IEEE Professional association for engineering, computing and technology

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IETF RFC Internet Engineering Task Force Request for Comments IFFT Inverse Fast Fourier Transformation IFOM Internet Protocol Flow Mobility and seamless WLAN Offload I-HSPA Internet-High Speed Packet Access IKEv2 Internet Key Exchange version 2 IM Instant Messaging IMEI-SV International Mobile Equipment Identity?? P 98 IMS IP Multimedia Subsystem IMS-MMTel IP Multimedia Subsystem Multi-Media Telephony service IMSI International Mobile Subscriber Identity IN Intelligent Networking ION Intelligent Optical Network IP Internet Protocol IP-CAN Internet Protocol Connectivity Access Network IPR Intellectual Property Rights IPSec Internet Protocol Security IPv6 Internet Protocol version 6 IPX IP Packet Exchange IRAT Inter-Radio Access Technology IRC Interference Rejection Combining IRP Integration Reference Point ISM Industrial, Scientific and Medical ISO International Standardization Organization ISP Internet Service Provider ISUP ISDN User Part IT Internet Technology Itf-N Interface N ITU International Telecommunication Union ITU-R ITU-Radiotelecommunication Sector ITU-T ITU-Telecommunication Standardization Section Iur Interface between two RNCs IUT Inter-UE Transfer IVR Interactive Voice Response IWF Interworking Function IWS Interworking Signalling J2ME Java 2 Platform, Micro Edition which is now called Java Platform for Mobile Devices

and Embedded Modules JDBC Java Database Connectivity JP Joint Processing JP-Co Coherent Joint Processing JP/JT Joint Processing/Joint Transmission JP-Nco Non-Coherent Joint Processing J-STD-101 Joint ATIS/TIA CMAS Federal Alert Gateway to CMSP Gateway Interface Specification K_ASME ASME Key kbps Kilobits per Second kHz Kilohertz km/h Kilometers per hour LAI Location Area Identification LATRED Latency Reduction LBS Location Based Services LCD Liquid Crystal Display LCR Low Chip-Rate LCS Location Service LDAP Lightweight Directory Access Protocol

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L-GW Local Gateway Lh Interface between the GMLC/LRF and the HLR/HSS LI Lawful Intercept LIPA Local Internet Protocol Access LMMSE Linear Minimum Mean Square Error LMU Location Measurement Units Lpp Interface between the GMLC/LRF and the PPR LPP LTE Positioning Protocol LPPa LTE Positioning Protocol A Lr Interface between the GMLC/LRF and LIMS-IWF LRF Laser Range Finder LSTI LTE/SAE Standard Trial Initiative LTE Long Term Evolution (Evolved Air Interface based on OFDMA) LTE-A LTE-Advanced LTI Linear Time Invariant M2 Interface Interface between the Multi-cell/multicast Coordination Entity and the eNodeB M2M Machine-to-Machine m Meters mb Megabit or Mb MAC Media Access Control MAG Mobile Access Gateway MAPCON Multi-Access PDN Connectivity MBMS Multimedia Broadcast/Multicast Service Mbps Megabits per Second MBR Maximum Bit Rate MBSFN Multicast Broadcast Single Frequency Networks MCH Multicast Channel MCM Multimedia Carrier Modulation MCS Modulation and Coding Scheme MCE Mulit-cell/Multicast Coordination Entity MCW Multiple Codewords MDT Minimization of Drive Tests MES Multimedia Emergency Session MFF M2M Form Factor MFS Mobile Financial Services MHz Megahertz MI Interface between the GMLC/LRF and the E-CSCF MIB Master Information Block MID Mobile Internet Device MIM M2M Identity Module MIMO Multiple-Input Multiple-Output MIP Mobile IP MITE IMS Multimedia Telephony Communication Enabler MLC Mobile Location Center MLSE Maximum Likelihood Sequence Estimation MMD Multi-Media Domain MME Mobility Management Entity MMS Multimedia Messaging Service MMSE Multimedia Messaging Service Environment MNO Mobile Network Operator MO Mobile Originated MOBIKE Mobility and Multi-homing Protocol for Internet Key Exchange MO-LR Mobile Originating-Location Request

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MP3 MPEG-1 (Motion Picture Experts Group) Audio Layer-3 for compressing sound into very small audio files

MRFP Multimedia Resource Function Processor ms Milliseconds MSA Metropolitan Statistical Area MSC Mobile Switching Center

MSISDN Mobile Station International ISDN Number

MSRD MS Receive Diversity MSS Mobile Softswitch Solution MT Mobile Terminated MTC Machine-Type Communication MTC-AAA Machine Type Communication - Authentication, Authorization and Accounting MTC-IWF Machine Type Communication – Interworking Function MT-LR Mobile Terminated Location Request MTSI Multimedia Telephony Service for IMS MU-MIMO Multi-User Multiple-Input Multiple-Output MVNO Mobile Virtual Network Operator NACC Network Assisted Cell Change

NAI Network Access Identifier NAS Non Access Stratum NCE Noncommercial Educational NDS Network Domain Security NFC Near Field Communications NGMN Next Generation Mobile Networks Alliance NGN Next Generation Network NGOSS Next Generation Operations Support Systems (HP) NI-LR Network Induced Location Request NIMTC Network Improvements for Machine-Type Communication NMR Network Measure Report NOVES Non-Voice Emergency Serves NPRM Notice of Proposed Rule Making NRT Neighbor Relation Table NWS National Weather Service NxDFT-S-OFDM N times Discrete Fourier Transforms Spread Orthogonal Frequency Division

Multiplexing O&M Operations and Maintenance OAM/OA&M Operations, Administration and Maintenance OCC Orthogonal Cover Code

OCS Online Charging System

OECD Organization for Economic Cooperation and Development

OFDM Orthogonal Frequency Division Multiplexing

OFDMA Orthogonal Frequency Division Multiplexing Access (air interface) OL-MIMO Open Loop Multiple-Input Multiple-Output OMA Open Mobile Architecture OMA-DS OMA Data Synchronization OP Organizational Partner OPEX Operating Expenses OS Operating System OTA Over the Air OTDOA Observed Time Difference of Arrival OTT Over The Top PAM Priority Alarm Message PAPR Peak to Average Power Ratio

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PAR Peak to Average Ratio PARC Per-Antenna Rate Control PBCH Primary BCH PC Physical Channel PCC Policy and Charging Convergence PCD Personal Content Delivery PCEF Policy and Charging Enforcement Function PCFICH Physical Control Format Indicator Channel PCH Paging Channel PCI Physical Cell ID PCMM Packaged Core Memory Model PCO Power Control Optimization OR Point of Control and Observation (ITU-T) PCRF Policy and Changing Rules Function P-CSCF Proxy Call Session Control Function PDA Personal Desktop Assistant PDCCH Physical Downlink Control Channel PDCP Packet Data Convergence Protocol PDG Packet Data Gateway PDN Public Data Network PDP Packet Data Protocol PDSCH Physical Downlink Shared Channel PDU Packet Data Unit P-GW PDN Gateway PHICH Physical Hybrid ARQ Indicator Channel PHY/MAC Physical layer/Medium Access Control PLMN Public Land Mobile Network PMCH Physical Multicast Channel PMI Precoding Matrix Index PMIP Proxy Mobile IPv6 PND Personal Navigation Device PoA Point of Attachment PoC Push-to-Talk over Cellular PPR Push-Profile-Request PRACH Physical Random Access Channel PRB Physical Resource Block PS Packet Switched PSAP Public Safety Answering Point P-SCH Primary Synchronization Signal PSRC Per Stream Rate Control PSS/SSS Primary Synchronization Signal/Secondary Synchronization Signal PUCCH Physical Uplink Control Channel PUSCH Physical Uplink Shared Channel PWS Public Warning System QAM Quadrature Amplitude Modulation QCI QoS Class Index QoS Quality of Service QPP Quadratic Polynomial Permutation QPSK Quadrature Phase Shift Keying Qt ―Cutie‖ is a cross application development framework QWERTY Of, relating to, or designating the traditional configuration of typewriter or computer

keyboard keys. Q, W, E, R, T and Y are the letters on the top left, alphabetic row.

QZSS Quasi Zenith Satellite System R&D Research and Development

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RAB Radio Access Bearer RACH Random Access Channel RADIUS AAA Remote Authentication Dial In User Service for Authentication, Authorization, and

Accounting management for computers to connect and use a network service RAM Remote Application Management RAN Radio Access Network RAN1 Working group within 3GPP focused on physical layer specifications RAN4 Working group within 3GPP focused on radio performance and protocol aspects RAT Radio Access Technology RB Radio Bearer or Resource Blocks RE Resource Element REG Resource Element Group Rel-X Release ‗99, Release 4, Release 5, etc. from 3GPP standardization RF Radio Frequency Rf/Ga GPRS/Web services interface to record data for offline charging RG Residential Gateway RI Rank Indicator RIT Radio Interface Technology RLC Radio Link Control Layer RLF Radio Link Failure RN Relay Node RNC Radio Network Controller RNTI Radio Network Temporary Identifier R-PDCCH Reverse Packet Data Control CHannel RRC Radio Resource Control RRH Remote Radar Head RRM Radio Resource Management RRU Remote Radio Unit RS Reference Signal RSRP Reference Signal Received Power rSRVCC Reverse Single Radio Vocie Call Continuity RTCP RTP Control Protocol RTP/UDP Real-Time Transport Protocol/User Datagram Protocol Rx Receive S1AP S1 Application Protocol SAE System Architecture Evolution also known as Evolved Packet Core (EPC) architecture

(refers to flatter-IP core network) SAE GW Service Architecture Evolution Gateway SBAS Space Based Augmentation System SBLB Service Based Local Policy SC Service Continuity SC-FDMA Synchronization Channel-Frequency Division Multiple Access SCH Synchronization Channel SCS Services Capability Server S-CSCF Serving-Call Session Control Function SCW Single Codeword SCWS Smart Card Web Server SDK Software Development Kit SDMA Space Division Multiple Access SDO Standard Development Organization SDP Service Delivery Platform SDR Software Defined Radio SDU Service Data Unit SeGW Security Gateway

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SFBA Switch Fixed Beam Array SFBC Space Frequency Block Code SFN Single Frequency Network SG Serving Gateway SGi Reference point between the PDN-GW and the packet data network SGSN Serving GPRS Support Node S-GW Serving Gateway SIC Successive Interference Cancellation S-ICIC Static Interference Coordination SIM Subscriber Identity Module SIMO Single-Input Multiple-Output SIMTC System Improvements for Machine Type Communication SINR Signal-to-Interference plus Noise Ratio SIP Session Initiated Protocol SIPTO Selected Internet Protocol Traffic Offload SIP-URI Session Initiated Protocol -Uniform Resource Identifier SIR Signal-to-Interference Ratio SISO Single-Input Single-Output SLA Service Level Agreement SLg Interface between the MME and the GMLC SLs Interface between the MME and the E-SMLC SM Spatial Multiplexing SME Short Message Entity SMS Short Message Service SMSC Short Message Service Center SNAP Subscriber, Network, Application, Policy SNS Social Networking Site SOA Service-Oriented Architecture SON Self-Optimizing or Self-Organizing Network SORTD Spatial Orthogonal-Resource Transmit Diversity SPS Semi-Persistent Scheduling SPR Subscription Profile Repository SR/CQI/ACK Scheduling Request/Channel Quality Indicators/Acknowledgement SRIT Set of Radio Interface Technologies SRNS Serving Radio Network Subsystem SRS Sounding Reference Signal Srv Server SRVCC Single Radio Voice Call Continuity S-SCH Secondary Synchronization Code STBC Space-Time Block Code SU-MIMO Single-User Multiple-Input Multiple-Output SU-UL-MIMO Single-User Uplink Multiple-Input Multiple-Output SWP Single Wireless Protocol SYNC Short for Synchronization TA Timing Advance TAI Tracking Area Identity TAS Transmit Antenna Switching TAU Target Acquisition and tracking Unit TB Transport Blocks TCP Transmission Control Protocol TDD Time Division Duplex TDF Traffic Detection Function TD-LTE Time Division-Long Term Evolution or LTE TDD TDM Time Division Multiplexing

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TDS Time Domain Scheduling TD-SCDMA Time Division-Spatial Code Division Multiple Access TE-ID Tunnel Endpoint Identifier TETRA Terrestrial Trunked Radio TF Transport Format TISPAN Telecoms & Internet converged Services & Protocols for Advanced Networks, a

standardization body of ETSI TM Transparent Mode TMSI Temporary Mobile Subscriber Identity Tsp Reference point between the Service Capability Server (SCS) and Machine Type Communication Inter Working Function TP Transport Protocol TPC Transmit Power Control TRX Transceiver TS Technical Specification TSG-RAN TSG Radio Access Network is a specification group at 3GPP TSM Transport Synchronous Module TSMS Interface between the Short Message Entity and the Short Message Service Center TSN Transmission Sequence Numbering TTI Transmission Time Interval Tx or TX Transmit TxD or TXD Transmit Diversity UCI Uplink Control Information UDC Utility Data Center UDR User Data Repository UE User Equipment UGC User Generated Content UICC A physically secure device, an Integrated Circuit Card (or Smart Card), that can be

inserted and removed from the terminal. It may contain one or more applications. One of the applications may be a USIM

UL Uplink UL-SCH Uplink Shared Channel UM Unacknowledged Mode UMA Unlicensed Mobile Access UMB Ultra Mobile Broadband UMD Ultra Mobile Device UMTS Universal Mobile Telecommunication System, also known as WCDMA UpPTS Uplink Pilot Time Slot URA_PCH UTRAN Registration Area_Paging Channel URI Uniform Resource Identifiers URN Uniform Resource Names USB Universal Serial Bus USB-IC Universal Serial Bus-Integrated Circuit USAT USIM Application Toolkit USIM Universal SIM USSD Unstructured Supplementary Service Data UTC Universal Time Coordinated UTRA Universal Terrestrial Radio Access UTRAN UMTS Terrestrial Radio Access Network VAS Value-Added Service VCC Voice Call Continuity VDSL Very-high-speed Digital Subscriber Line VLR Visitor Location Register VNI Visual Networking Index

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VoHSPA Voice over HSPA VoIP Voice over Internet Protocol VoLTE Voice over LTE VPCRF Visiting PCRF VPLMN Visiting PLMN VPN Virtual Private Network vSRVCC Single Radio Video Call Continuity WAP Wireless Application Protocol WBC Wireless Broadband Core WCDMA Wideband Code Division Multiple Access WI Work Item Wi-Fi Wireless Internet or IEEE 802.11 standards WIM Wireless Identity Module WiMAX Worldwide Interoperability for Microwave Access based on IEEE 802.16 standard WLAN Wireless Local Area Network WP Working Party WRC World Radio Conference WTSC-G3GSN Wireless Technologies & Systems Committee-GSM/3G System and Network

Subcommittee at ATIS X2 Interface between eNBs xDSL Digital Subscriber Line xHTML Extensible Hypertext Markup Language xSON Extended Self-Optimizing/Self-Organizing Network

ACKNOWLEDGMENTS

The mission of 4G Americas is to promote, facilitate and advocate for the deployment and adoption of the

3GPP family of technologies throughout the Americas. 4G Americas' Board of Governors members

include Alcatel-Lucent, América Móvil, AT&T, Cable & Wireless, CommScope, Entel, Ericsson, Gemalto,

HP, Huawei, Nokia Siemens Networks, Openwave Mobility, Powerwave, Qualcomm, Research In Motion

(RIM), Rogers, T-Mobile USA and Telefónica.

4G Americas would like to recognize the significant project leadership and important contributions of

James Seymour, PhD, Senior Director, Bell Labs Fellow, Wireless CTO Organization, Alcatel-Lucent, as

well as representatives from the other member companies on 4G Americas‘ Board of Governors who

participated in the development of this white paper: Alcatel-Lucent, AT&T, Ericsson, Gemalto, HP,

Huawei, Nokia Siemens Networks and Qualcomm.