Bo

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 DAT A RE VENUE ....................................................................................................... 32 3.3 MOBILE BRO ADBAND DEV ICES ................................................................................................ 34 3.4 MOBILE BRO ADBAND APP LICATIONS ................................................................................... 36 3.5 SM ALL CELL GROWT H ................................................................................................................ 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 5.1.2 5.1.3 5.1.4 5.1.5 5.1.6 5.1.7 5.1.8 Support of Wider Bandwidth ....................................................................................................... 50 Uplink Transmission Enhancements .......................................................................................... 53 Downlink Transmission Enhancements ...................................................................................... 55 Relaying ...................................................................................................................................... 57 Heterogeneous Network Support (eICIC) ................................................................................... 61 MBMS Enhancements ................................................................................................................ 63 Son Enhancements..................................................................................................................... 63 Vocoder Rate Adaptation ............................................................................................................ 65

5.2 HSPA+ ENHANCEMENTS FOR RELEASE 10 .................................................................................. 66 5.2.1 5.2.2 Four carrier HSDPA Operation ................................................................................................... 66 Summary of 3GPP Supported Band Combinations for Multicarrier HSDPA .............................. 68

5.3 NETWORK AND SERVICES RELATED ENHANCEMENTS .............................................................. 70 5.3.1 5.3.2 5.3.3 5.3.4 5.3.5 Home NodeB/eNodeB Enhancements ....................................................................................... 70 LIPA/SIPTO ................................................................................................................................ 70 Fixed Mobile Convergence Enhancements ................................................................................ 74 Machine-to-Machine Communications ....................................................................................... 76 Single Radio Voice Call Continuity ............................................................................................. 78 October 2012 Page 1

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5.3.6 5.3.7 5.3.8 5.3.9

IMS Service Continuity (ISC) and IMS Centralized Services (ICS) ............................................ 80 Interworking with Wi-Fi ............................................................................................................... 81 UICC ........................................................................................................................................... 82 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 6.2.2 6.2.3 6.2.4 6.2.5 6.2.6 6.2.7 6.2.8 6.2.9 Coordinated Multi-Point Transmission and Reception ............................................................... 87 Carrier Aggregation..................................................................................................................... 92 Further Heterogeneous Networks Enhancements (feICIC) ........................................................ 93 Uplink Enhancements ................................................................................................................. 93 Downlink Enhancements ............................................................................................................ 93 Relaying Enhancements ............................................................................................................. 94 MBMS Service Continuity and Location Information .................................................................. 94 Further SON Enhancements ...................................................................................................... 94 Signalling and Procedure for Interference Avoidance for In-device Coexistence ...................... 99

6.3 HSPA+ ENHANCEMENTS................................................................................................................. 100 6.3.1 6.3.2 6.3.3 Downlink Enhancements .......................................................................................................... 100 Uplink Enhancements ............................................................................................................... 102 Cell_Fach Improvements .......................................................................................................... 103

6.4 NETWORK AND SERVICES RELATED ENHANCEMENTS ........................................................... 104 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.4.9 Machine-Type Communication (MTC) ...................................................................................... 104 Network Provided Location Information for IMS (NetLoc) ........................................................ 110 SRVCC Enhancements ............................................................................................................ 111 SIPTO Service Continuity of IP Data Session (SIPTO_SC) ..................................................... 114 Policy Control Framework Enhancement: Application Detection control and QoS Control Based on Subscriber Spending Limits (QoS_SSL) ............................................................................. 115 Non-Voice Emergency Services (NOVES) ............................................................................... 117 Fixed Mobile Convergence ....................................................................................................... 118 Interworking with WI-Fi Enhancements .................................................................................... 119 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 worlds 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 LTEAdvanced) 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 worlds mobile broadband infrastructure, is poised to deliver international communications technologies to the masses. In the words of ITU Secretary-General, Dr. Hamadoun I. Tour, 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, ITUs work permeates into every business, every government office, every hospital and school, 1 and every household. 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. Tour. 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

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 2 broadband, too, will deliver unexpected and unpredictable benefits. 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 3 number is expected to reach 2.8 billion by the end of 2015. There were 476 commercial HSPA networks 4 in 181 countries worldwide reported in September 2012. The ecosystem for HSPA is particularly vibrant. As of July 2012, there were a reported 3,362 HSPA 5 devices available worldwide from 271 suppliers, of which 245 included HSPA+ and 417 supported LTE. 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 3 4

Broadband for All, Keynote Speech, Stockholm, Sweden, 25 June 2012. World Cellular Information Service Forecast, Informa Telecoms & Media, June 2012. 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, Rel5 introduced the IP Multimedia Subsystem (IMS) architecture that promised to greatly enhance the enduser 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-toTalk 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 Rel99/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 multiantennas (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, "Bit 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. www.4gamericas.org October 2012 Page 11

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 worlds 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 6 plans to deploy HSUPA. 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 7 commercially offered 3,362 devices, 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 worlds 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 industrys 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 6

Ibid. 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, TMobile 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-Mobiles 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-Mobiles 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&Ts 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 HSPA+ (28 Mbps) 7 deployments HSPA+ (42 Mbps) 83 deployments Rel-7 Rel-7 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 industrys 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 8 devices announced by August 2012. 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 worlds 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

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 enduser 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. www.4gamericas.org October 2012 Page 15

Market research firm Infonetics Research reported that IMS networks continued to be deployed by fixedline 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-Fi9 enabled mobile devices. 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 PayTV 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 Junipers Miller, Consumers are

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 10 - the TV experience is no longer confined to the home. 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 industrys 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 networks 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 Rel8. Subsequent 3GPP Releases further covered SON specifications, starting with auto-configuration functions. In October 2009, T-Mobile completed testing on the worlds first LTE Self-Organizing Network in Innsbruck, Austria. Perhaps among the more exciting milestones in 2009 was TeliaSoneras December 14 launch of the worlds 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.

E-UTRA Operating Band Uplink (UL) operating band BS receive UE transmit FUL_low FUL_high 1920 MHz 1980 MHz 1850 MHz 1910 MHz 1710 MHz 1785 MHz 1710 MHz 1755 MHz 824 MHz 849 MHz 830 MHz 840 MHz 2500 MHz 2570 MHz 880 MHz 915 MHz 1749.9 MHz 1784.9 MHz 1710 MHz 1770 MHz 1427.9 MHz 1447.9 MHz 699 MHz 716 MHz 777 MHz 787 MHz 788 MHz 798 MHz Reserved Reserved 704 MHz 716 MHz 815 MHz 830 MHz 830 MHz 845 MHz 832 MHz 862 MHz 1447.9 MHz 1462.9 MHz 3410 MHz 3490 MHz 2000 MHz 2020 MHz 1626.5 MHz 1660.5 MHz 1850 MHz 1915 MHz 814 MHz 849 MHz 807 MHz 824 MHz 703 MHz 748 MHz 1920 MHz 2025 MHz 1910 MHz 1990 MHz 1930 MHz 2620 MHz 1920 MHz 2400 MHz 2690 MHz 3600 MHz 3800 MHz 803 MHz

12

1 2 3 4 5 1 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ... 33 1900 MHz 34 2010 MHz 35 1850 MHz 36 1930 MHz 37 1910 MHz 38 2570 MHz 39 1880 MHz 40 2300 MHz 41 2496 MHz 42 3400 MHz 43 3600 MHz 44 703 MHz Note 1: Band 6 is not applicable.

Downlink (DL) operating band BS transmit UE receive FDL_low FDL_high 2110 MHz 2170 MHz 1930 MHz 1990 MHz 1805 MHz 1880 MHz 2110 MHz 2155 MHz 869 MHz 894MHz 875 MHz 885 MHz 2620 MHz 2690 MHz 925 MHz 960 MHz 1844.9 MHz 1879.9 MHz 2110 MHz 2170 MHz 1475.9 MHz 1495.9 MHz 729 MHz 746 MHz 746 MHz 756 MHz 758 MHz 768 MHz Reserved Reserved 734 MHz 746 MHz 860 MHz 875 MHz 875 MHz 890 MHz 791 MHz 821 MHz 1495.9 MHz 1510.9 MHz 3510 MHz 3590 MHz 2180 MHz 2200 MHz 1525 MHz 1559 MHz 1930 MHz 1995 MHz 859 MHz 894 MHz 852 MHz 869 MHz 758 MHz 803 MHz 1900 MHz 2010 MHz 1850 MHz 1930 MHz 1910 MHz 2570 MHz 1880 MHz 2300 MHz 2496 MHz 3400 MHz 3600 MHz 703 MHz 1920 MHz 2025 MHz 1910 MHz 1990 MHz 1930 MHz 2620 MHz 1920 MHz 2400 MHz 2690 MHz 3600 MHz 3800 MHz 803 MHz

Duplex Mode

FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD FDD TDD TDD TDD TDD TDD TDD TDD TDD TDD TDD TDD TDD

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 industrys 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 TDSCDMA LTE TDD trial networks in 2010 and investing in research and development to build the ecosystem. In collaboration with Chinas 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 worlds 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 worlds 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 CDHSPA+ 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 worlds major cellular standards (LTE FDD, TD-LTE, UMTS-HSPA, EV-DO, CDMA1x, TDSCDMA and GSM/EDGE). One vendor was supporting China Mobiles LTE network with the launch of the worlds 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 Clearwires 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 13 LTE connections will include TD-LTE by 2016. 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 worlds 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 14 (41), notebooks (13), notebooks (13), PC cards (2), and a femtocell (1) offering a full variety. 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 15 growing. 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 14

ZTE Boast First Multi-Standard LTE Hotspot, USB Modem, Wireless Week, 17 August 2012. 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. TMobile is also considering VoLTE in conjunction with the launch of its LTE network in 2013. It has 16 already launched an IMS-based WiFi calling capability on certain of its handsets. 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 fiveplus years, Myers said, "large equipment orders will be sporadic and the IMS market will continue to be 17 lumpy." 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 17

MetroPCS silences SKs LTE voice launch, GSMA Mobile Business Briefing, 8 August 2012. 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 18 based on IMS is just beginning and is expected to last well over a decade." 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 vendors 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. DellOro 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 DellOro. Three operators were commercially operating 19 VoLTE by the third quarter of 2012. 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 19

Voice-over-LTE Drives IMS Core Market in 1Q12, According to Exact Ventures, Fierce Wireless, 23 May 2012. 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 vendors 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 worlds 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 20 accelerating global business opportunities and avoiding standardization overlap. 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 ITUs 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 worlds 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 IMTAdvanced, 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 worlds first demonstration of Rel-10 LTE-Advanced technology, breaking new ground with mobile broadband communications beyond LTE. A leading infrastructure companys researchers successfully demonstrated Relaying technology proposed for LTEAdvanced 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 inband, 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 worlds 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 industrys 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 worlds 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 vendors 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:

Worlds first launch of ANR into commercial use on LTE network in Cologne (February 2012) Worlds first SingleRAN WiMAX/LTE commercial network (Mobily in Saudi Arabia) Worlds first SingleSON trial on Hong Kongs GUL network (June 2012) Worlds 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 Worlds 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 networks 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 21 mobile infrastructure costs in check. 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 22 services. Data traffic significantly outweighs voice traffic; it more than doubled in 2011 and is expected to more than double again in 2012, according to Ciscos Visual Networking Index. The proliferation of high-end handsets, tablets and laptops on mobile networks is a major generator of traffic because these devices 23 offer the consumer content and application not supported by previous generations of mobile devices. 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 22

Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update 2011-2014, Cisco, 14 February 2012. 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 25 consumption of 10.8 Exabytes per month by the end of 2016 (see Figure 3.1). The exponential increase in data consumption will be driven by powerful smartphones and tablets 26 capable of running on average speeds of 5.244 Mbps on LTE and Wi-Fi networks. According to Cisco, 4G LTE will represent only 6 percent of connections, but 36 percent of total traffic by the end of the five27 year forecast period. 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 28 kicking in, data tiers are expected to get bigger both in GBs and dollar amount. 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 25

Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update, Cisco, 14 February 2012. 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 29 wireless data services and applications is clear. 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 machineto-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&Ts 30 wireless data traffic has grown 20,000 percent. 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 youve 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 31 you have a wireless data tsunami. 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 32 broadband carriers and their customers. 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 33 very rapid pace, while [spectrum] supply is flat.

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 34 and profit from the services. 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 35 network congestion issues.

29 30 31

World Cellular Information Service, Informa Telecoms & Media, June 2012. Wireless Data Volume on our Network Continues to Double Annually, AT&T Innovation Space, 14 February 2012. 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 36 and approach 7 billion by 2016. Infonetics also projects that more than 200 million traditional voice 37 access lines will get dropped over the next five years as people continue to cut the cord. 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 38 growth of data services.

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 40 browsing on their phones rather than a computer or other device. Cisco predicts that the number of 41 mobile-connected devices will exceed the number of people on earth by the end of 2012. 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 37 38

Mobile Broadband Subscribers up 50%. Infonetics. 16 June 2012. Ibid. 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 Worlds 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 42 Wi-Fi traffic offloaded from the macro network. In its February 2012 Visual Networking Index, Cisco estimates that mobile video will generate much of the 43 mobile traffic growth through 2016. Cisco reported that mobile video traffic was 52 percent of the traffic 44 by the end of 2011. 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 45 Exabytes will be due to video. 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. 46 Starting soon we will start to see businesses with mCommerce Revenues > eCommerce Revenues.

3.2

WIRELESS DATA REVENUE

Without question, the mobile world is shifting from voice to data as mobile operators migrate subscribers 47 to data service plans and smartphones. Total global mobile data revenues surpassed $300 billion in 48 2011. Infonetics Research forecasts that the mobile services market will grow to $976 billion by 2016, 49 with a large portion of the growth coming from mobile broadband services. 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 50 over year to $14.2 billion, representing 41 percent of service revenues. U.S. data revenues grew to 42 51 percent in the second quarter of 2012. Chetan Sharma predicts that in early 2013, one should expect 52 data and voice revenues will be roughly equal for the U.S. carriers.

42 43 44

New iGR study forecasts that Global Mobile Data Traffic will reach 7 million terabytes per month by 2016. iGR. 27 June 2012. Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update, 2011-2016. 14 February 2012. 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 Verizons 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 53 year over year to reach $19.3 billion in 2Q 2012. 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. 54 market will reach $80 billion. AT&Ts 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&Ts postpaid subscribers had smartphones, up from 49.9 percent or 34.1 million a year earlier. AT&Ts ARPU for smartphones is twice that of non-smartphone 55 subscribers. More than one-third of AT&Ts postpaid smartphone customers use a 4G-capable device. T-Mobile USAs 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 56 percent of total customers. 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 57 base as of June 30, 2012, up from 48 percent as of June 30, 2011. 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 58 with a 14 percent (92 million subscriptions). 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 59 (22 percent). The average monthly ARPU at the end of 2011 in Latin America was US$14. America Movils 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, Telefonicas 2Q 2012 results reported that growth of mobile

53 54 55

US Mobile Data Market Update Q1 2012. Chetan Sharma, May 2012 Ibid. 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 60 percentage points year-on-year).

3.3

MOBILE BROADBAND DEVICES

As of February 2012, 50 percent of Americans adults own a smartphone, up from 36 percent in February 61 2011. 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 62 percent and continue to rise. 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 63 that same quarter. 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 64 includes smartphones, mobile PCs and tablets with cellular connectivity. 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 65 from 270 million reported as of year-end 2010. 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 66 modems. 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 67 much faster rate. Cisco predicts that by the end of 2012, there will be more Internet-connected mobile 68 devices that people on earth. The quantities and variety of HSPA devices continue to explode. As of July 2012, there were a reported 69 3,362 commercial HSPA devices launched worldwide from 271 suppliers. 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 61

Informa Telecoms & Media, Data Metrics, June 2012. 50 Wireless Facts. CTIA, May 2012. 62 US 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 LTEHSPA, HSPA+ or DC-HSPA+ devices; 83 LTE smartphones including frequency/ carrier variants; and 68 70 user devices that can operate in TDD mode. "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 71 education." 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 72 U.S. are expected to reach 68.5 million in 2012. 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; 73 listening to music remained third. 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 74 foresee a future of 50 billion connected devices by 2020, 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, 75 tablets and eReaders, will grow to more than 800 million units by 2015. 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 71 72

Fast Facts, GSA, 11 July 2012 USA Ownership of Tablet Computers Increases, Cellular-News, 31 July, 2012. 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. Forrester Research believes that 77 760 million tablets will be sold in 2016, a 46 percent compound annual growth rate.

76

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 77

Gartner Says Worldwide Media Tablets Sales to Reach 119 Million Units in 2012. Gartner, 10 April 2012. 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 78 while watching TV, confirming it's an always-on connected device. 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 79 as many games as in 2011. 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, SMSs 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 80 2016, doubling its share of global messaging traffic from 17.1 percent in 1022 to 34.6 percent in 2016. 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 81 significant. 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 82 the average feature phone has 10 apps. Every day, 46 million mobile applications are downloaded from 83 Apples App Store 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 84 and chairman of Mobilewalla. That compares to the release of around 15,000 apps per week. 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 85 Windows platforms was 20,738. 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-bandwidthintensive videos on their mobile devices; now the Apple iPad and new-generation mobile tablets have the

78 79

Mobile Reigns Supreme in U.S.A. Media Consumption, Cellular-News, 15 August 2012. 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 Apples 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 86 music videos on devices. Juniper Research forecasts by 2014 the number of streamed mobile TV users on smartphones will 87 increase to 240 million and that growing user satisfaction with mobile TV on tablets will push average 88 monthly viewing times to 186 minutes per month in 2014. 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 89 content. Mobile users will consume 6.5 times as much video by 2016, over eight times as much music and social 90 media, and nearly 10 times as many games. According to mobile analytics software company Flurry Analytics, in 1Q 2012, mobile gaming app sessions for iOS and Android devices worldwide grew 20.5 91 times over the level observed in 1Q 2010. 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 92 purchasing decision process from beginning to end. 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 93 consuming media." 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 87

Tablets, More Content Power Mobile Video Growth. Mediapost, 28 June 2012. 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. 91 Smartphones 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 94 period, stated report author Andrew Brown. 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 95 telematics are also cited as key drivers to M2M growth. 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 96 enterprise supply chain, home automation and energy management and public safety. 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 97 market. 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 95 96

Research: Cellular M2M Connections to Grow 30% a Year to 2020, telecompetitor.com, 15 August 2012. Ibid. 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 operatormanaged 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 98 (or 20x) increase constituting 88 percent of all base stations globally. 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 99 worldwide. Femtocells will alone outnumber all macrocells by 1Q 2013. 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 99

Small Cell Forum, 28 February 2012. 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 MSPs 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 worlds 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 21552180 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 102 of the spectrum currently dedicated to other private and Federal uses. 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 nextgeneration 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 103 SC-FDMA 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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IP Services SGi

GW MME S11 S5

S1-MME

S1-U

eNode B

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 dualcell 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 October 2012 Page 46

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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 105 and LTE-Advanced, 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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EUTRA FDD UL Band j

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Network A

Combined

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.

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Component carrier

Freq.
Modulated data DFT IFFT FFT DFT IFFT FFT

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 (1.7/2.1 106 GHz) under lightly loaded conditions . 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.

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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

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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 UEs 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 multiantenna 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.

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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 userspecific 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.

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Table 5.1. Antenna Port(s), Scrambling Identity and Number of Layers Indication for 109 Format 2C of TM-9.

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 CSIRS 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.

1 layer BF in Rel-8 with 4 antennas

2 layer BF in Rel-9 with 8 antennas

8 layer BF in Rel-10 with 8 antennas

110

Figure 5.5. Evolution to eight Layer DL Transmission in Rel-10.

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Table 5.3.3.1.5C-1, 3GPP TS 36.212.

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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.

Un

Uu eNB RN UE

Figure 5.6. A Diagrammatic Representation of a Relay Network.

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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,

110 111

Mobile Broadband Explosion: The 3GPP Wireless Evolution, Rysavy Research and 4G Americas, August 2012. 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 3GPP , 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:

112

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)

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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 U n 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 timefrequency 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 U u 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 RNs nor the DeNBs PDCCH. The exact time-frequency resources that it occupies are configurable by the DeNB and both frequencylocalized and distributed configurations are possible. The PDSCH is used for the data transmission in the U n link. However, it should be noted that in LTE Rel10, 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 113 to in 3GPP. 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.

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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.

Picocell Range Expansion

Macrocell

Picocell Range Expansion

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 www.4gamericas.org October 2012 Page 61

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.

Macro DL 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9

Pico DL

0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9

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 Rel10 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.

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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

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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 interRAT 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 NonClosed 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 EUTRA (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 EUTRA

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 noncontiguous 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 dualband 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, 4CHSDPA 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. 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 117 118 both peak and end-user data rates. For 4C-HSDPA the configured system can be spread over two frequency bands. Similarly, as in Rel-9 119 DB-DC-HSDPA operation, the following band combinations are supported (one for each ITU region):

116

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 120 DC-HSDPA with MIMO, and Rel-10 4C-HSDPA with MIMO. As shown in Figure 5.11 all carriers configured in a frequency band need to be adjacent in Rel-10 4CHSDPA. 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 HSDPCCH 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.

+
c c

+
c4

Figure 5.12. Illustration of the Conceptual Gains that can be Achieved by Dynamic Deactivating 121 Secondary Carriers by Means of HS-SCCH Orders. 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. DC-HSDPA band * Band IBand XIV and Band XIX # of carriers 2
122

3GPP release 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

121 122

The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011. 3GPP TS25.101, channeling TS25.101 table 5.0.

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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. Dual Band DC-HSDPA Configuration 1 2 3 4 5 Band A I (2100 MHz) II (1900 MHz) I (2100 MHz) I (2100 MHz) II (1900 MHz) Band B VIII (900 MHz) IV (1.7/2.1 GHz) V (850 MHz) XI (1500 MHz) V (850 MHz)
123

3GPP release Rel-9 Rel-9 Rel-9 Rel-10 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 124 other. 4C-HSDPA Configuration I-3 II-3 II-4 I-2 VIII-1 I-3 VIII-1 I-2 VIII-2 I-1 V-2 I-2 V-1 I-2 V-2 II-1 IV-2 II-2 IV-1 II-2 IV-2 II-1 V-2 Band A I (2100 MHz) II (1900 MHz) I (2100 MHz) Band B N/A N/A VIII (900 MHz) Carrier combination 3 3 4 2+1 3+1 2+2 1+2 2+1 2+2 1+2 2+1 2+2 1+2 3GPP release Rel-10 Rel-11 Rel-11 Rel-10 Rel-10 Rel-11 Rel-10 Rel-10 Rel-11 Rel-10 Rel-10 Rel-10 Rel-11

I (2100 MHz)

V (850 MHz)

II (1900 MHz)

IV (1.7/2.1)

II (1900 MHz)

V (850 MHz)

4-Carrier HSDPA operation within one band with two non-adjacent carrier blocks was introduced to Rel11. 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.

123 124

3GPP TS25.101, rehashed TS25.101 table 5.0aA. 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. Single-band nonadjacent 4C-HSDPA Configuration I 1-5-1 I 1-5-2 I 1-10-3 IV 1-5-1 IV 1-10-2 IV 2-15-2 IV 2-20-1 IV 2-25-2 Band Carrier combination 1+1 1+2 1+3 1+1 1+2 2+2 2+1 2+2 Gap between band blocks 5 MHz 5 MHz 10 MHz 5 MHz 10 MHz 15 MHz 20 MHz 25 MHz

125

3GPP release

I (2100 MHz)

IV (1.7/2.1 GHz)

Rel-11 Rel-11 Rel-11 Rel-11 Rel-11 Rel-11 Rel-11 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. DC-HSDPA band Band I (2100 MHz) # of carriers 8
126

3GPP release 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

125 126

3GPP TS25.101, rehashed TS25.101 table 5.0aE. 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 operators 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. www.4gamericas.org October 2012 Page 74

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 (WT134) 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 machinetype 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 www.4gamericas.org October 2012 Page 77

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, PCSCF or MSC Server). The ATCF shall:

Based on operator policy, decide to

o o o

allocate a STN-SR include itself for the SIP sessions 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 TADS 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)
127

A UE can connect to one PDN 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 users 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 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.

Uplink (UL) band E-UTRA CA Band E-UTRA operating Band

128

Downlink (DL) band Duplex

UE transmit / BS receive Channel BW MHz FUL_low (MHz) FUL_high (MHz)

UE receive / BS transmit Channel BW MHz FDL_low (MHz) FDL_high (MHz) mode

CA_40

40

2300

2400

501

2300

2400

501

TDD

CA_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 release10 timeframe

Table 5.8. Inter-Band Non-Contiguous CA.

Uplink (UL) band E-UTRA operating Band

129

Downlink (DL) band Duplex

E-UTRA CA Band

UE transmit / BS receive

Channel BW MHz

UE receive / BS transmit FDL_low (MHz) FDL_high (MHz) Channel BW MHz mode

FUL_low (MHz) FUL_high (MHz)

1 CA_1-5 5

1920 824

1980 849

101 101

2110 869

2170 894

10 FDD 10

Note 1: Only one uplink component carrier is used in any of the two frequency bands at any time.

128 129

This table is based upon the table in 3GPP RP-100661. 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 MultiPoint (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 indevice 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 UEs 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 www.4gamericas.org October 2012 Page 87

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 nonoptimized 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.

Intra-site CoMP

Inter-site CoMP

BS3
Cell0

BS2

Cell1

X2
UE1

UE2

BS4

BS0
Cell2

BS1

BS5

BS6

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.

Intra-eNB Intra-site
Information shared between sites Vendor Internal Interface

130

Intra-eNB Inter-site

Inter-eNB Inter-site (1)

CSI/CQI, Scheduling Info

Inter-eNB Inter-site (2)

Traffic + CSI/CQI, Scheduling Info Coordinated Scheduling (CS), Coordinated Beamforming, JP Requires small latencies. Bandwidth dominated by traffic.

CSI/CQI, Scheduling info

CoMP Algorithms

Coordinated Scheduling, Coordinated Beamforming, JP Baseband Interface over small distances provides very small latencies and ample bandwidth

Coordinated Scheduling, Coordinated Beamforming, JP Fiber-connected RRH provides small latencies and ample bandwidth

Coordinated Scheduling, Coordinated Beamforming Requires small latencies only.

Backhaul Properties

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.

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Distributed eNB Cell0

Cell10

Cell1
Fiber

RRU10 UE1

Fiber
RRU11 Cell11 RRU12 Cell12

eNB
Fiber

Cell2

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 users 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, cellcentric 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 131 documented in 3GPP TR 36.819 v11.1.0 . 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 celledge.

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 halfduplex. 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 132 of 10 percent to 35 percent.

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 nonuniform 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/R1113566.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, ERAB 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, www.4gamericas.org October 2012 Page 95

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 operators 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: controllability from the network, and service availability. degree of energy saving effect,

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 operators 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 133 technologies that are co-located on the device. This issue is demonstrated in Figure 6.3 .
ANT#1 Interference from LTE ANT#2 ANT#3 Interference from BT/WiFi

LTE RF

GPS RF

BT/WiFi RF

LTE Baseband

GPS Baseband

BT/WiFi Baseband

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. investigations have considered:

These

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 134 Americas white paper specifically dedicated to HSPA+ .

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.

Band A

Band B 4 x 5 MHz
20 MHz

DL

DL

4 x 5 MHz
20 MHz

Figure 6.4. 8-Carrier HSDPA Aggregates up to 8X5 MHz Carriers from Different Frequency Bands.135

134 135

The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011. Ibid.

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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 136 single carrier.

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.

Current HSDPA

Interference

Signal

High inter-cell interference

HSDPA Multipoint Transmission

Signal

Signal

Improved cell edge data rates +50%

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.

136 137

The Evolution of HSPA: The 3GPP Standards Progress for Fast Mobile Broadband Using HSPA+, 4G Americas, October 2011. Ibid.

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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.

4-RX antennas

4-TX antennas

14 streams
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.

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2-TX antennas 1 or 2 streams

2 or 4 RX antennas

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.

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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 23.682
140

Enhanced architecture including new functional entities called MTC Interworking Function (MTCIWF) 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 PGW/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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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; 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 2.1 142 of IETF RFC 4282 . 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 143 addressing principles and solutions for different scenarios, refer to TS 23.221 .

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

142 143

RFC 4282, The Network Access Identifier, December 2005. 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 29.337 . 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.

144

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 145 146 functionality that enables PS-only service provision is described in TS 23.060 and TS 23.272 .

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 Im 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 147 architecture for supporting SMS services in EPC defined in TS 23.272 (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 users subscription (PS-only, PS+CS), the users 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 148 TS 23.040 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 www.4gamericas.org October 2012 Page 111

GERAN/UTRAN in TS 25.413 for UMTS, and defined in TS 48.008 shows the overall call flow for SRVCC with eMPS handling.

149

150

for GSM/EDGE. Figure 6.10

eNodeB

1. HO Require (SRVCC to 2/3G CS)

MME

2. PS to CS HO Request (Prioirty level, pre-emption,)

3a. SIP (priority level,) Target RAN/BSS 3b. (HO/Relo Request (Priority level, pre-emp,..) MSC

IMS (ATCF/SCC AS)

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.
1a. GPRS/LTE attach then IMS Gm Registration (rSRVCC parameters)

HSS

1b. Subscription profile (rSRVCC is allowed) 1c. I2 ICS registration 1e. rSRVCC is possible BSS/RAN 2. rSRVCC HO req 8a. HO CMD 3. retrieve serving PS node info UE MME/ SGSN 9. switch To LTE/HSPA RAT 6. relocation Request/resp eNb/Nb 5. PS bearer context Retrieval Previous serving PS node MSC Server 1d. rSRVCC parameters 8b. Switch bearer 4a. CS to PS HO Request 7. CS to PS HO response 4b. IMS rSRVCC prep req IMS

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 macronetwork 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 subscribers session could be modified when this spending level is reached. This allows the operator to have an additional means of shaping the subscribers 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 operators 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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Subscription Profile Repository (SPR)

Sp

AF

Online Charging System (OCS) Service Data Flow Based Credit Control

Rx

Policy and Charging Rules Function (PCRF) Sy

Gxx

Sd

Gx

Gy BBERF

TDF

PCEF PCEF Gz

Offline Charging System (OFCS)

Gateway
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 subscribers 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. www.4gamericas.org October 2012 Page 116

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 doesnt include support for legacy storeforward 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 o When H(e)NB is being used and traffic is routed back to the EPC 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 o When H(e)NB is being used and traffic is offloaded in the local wireline network 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 Rel11. The specifications support enhancements to EPC for multi-access PDN connectivity, IP Flow Mobility and seamless WLAN offloading. Although still under investigation, its 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 PDNGW 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 CONTINUI TY AND IMS CENTRALIZ ED 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 LTE E850 - Lower Band for Region 2 LTE Downlink FDD 716-728 MHz LTE in the 1670-1675 MHz Band for US Extended 850 MHz Expanded 1900 MHz 2 GHz band LTE for ATC of MSS in North America UMTS/LTE 3500 MHz Extending 850 MHz Upper Band (814849 MHz) Work Item Description Document RP-110439 RP-110710 RP-120360 RP-090666 RP-100676 RP-101401 RP-091380 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 3,7 4,13 4,7 4,17 2,17 4,5 4,12 5,12 5,17 7,20 38 1,7 3,5 7 3,20 8.2 1,21 1,19 11,18 1,18 3,8

Work Item Description Document RP-120830 RP-120905 RP-120896 RP-111750 RP-110432 RP-110433 RP-120877 RP-120221 RP-110434 RP-120889 RP-110862 RP-120904 RP-120899 RP-111356 RP-120887 RP-120888 RP-111764 RP-120866 RP-120898 RP-120892 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 Rel11. 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

12/2012 3/2013

6/2013

9/2013

12/2013 3/2014

6/2014

9/2014

12/2014 3/2015

#58

#59

#60

#61

#62

#63

#64

#65

#66

#67
Start of Rel-13

Rel-12: 21 Month Release

Core spec functional freeze

Rel-12 ASN.1 freeze

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. www.4gamericas.org October 2012 Page 125

7.2.1.2 FREQUENCY-SEPARATED LOCAL-AREA ACCESS

As already mentioned, the 3GPP activities on heterogeneous deployments have, up to and including, Rel11 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 localarea layers. In general, TDD is expected to become more important with an increased interest in localarea 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 radioresource 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
An ch or

te os Bo

Figure 7.2. Soft Cell - Dual Connectivity to Wide-Area and Local-Area Layers.

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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 widearea 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 Rel12, 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 2 efficiency per Hz and per Km , 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 UEs 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 multiantenna 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 multicarrier 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 156 following areas : 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. integration is up for discussion, from loose to tight coupling as shown in Figure 7.4. The exact level of

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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Looser Coupling

Tighter Coupling
157

Figure 7.4. LTE-Wi-Fi Levels of Integration.

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 operators 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 158 being considered as part of this work and documented in TR 23.887 . 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)

157 158

RWS-120023, 3GPP TSG RAN Workshop on Rel-12 and Onwards, Ljubljana, Slovenia, 11-12 June 2012. 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).

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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 operators 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 devices 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 o o SON can automate the optimization of the spectrum use SON can use AAS to adapt coverage according to actual traffic and user demands 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 deviceto-device discovery and device-to-device communication (see Figure 7.6).

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SGd

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 LTEDirect 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 ecosystem. 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).

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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 160 Americas white paper . 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.

LTE

LTE Carrier aggregation

LTE evolution

Load balancing, Re-selections, Handovers, voice continuity, co-siting

HSPA + LTE aggregation

HSPA evolution

Simultaneous reception of HSPA + LTE

HSPA

HSPA Carrier aggregation

Rel-5Rel-9

Rel-7Rel-11

and beyond

Figure 7.7. Projected 3GPP Standard Evolution of LTE Carrier Aggregation, HSPA Carrier Aggregation 161 and HSPA+LTE Interworking. 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

160 161

HSPA+LTE Carrier Aggregation, 4G Americas, June 2012. HSPA+LTE Carrier Aggregation, 4G Americas, June 2012.

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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 25 3,5 3 1 2,4 4

Work Item Description Document RP-120336 RP-120867 RP-120383 RP-120826 RP-120875 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 Rel11 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 4branch 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, Rel11 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 industrys 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-Lucents converged RAN solution, the companys 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 Taiwans 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-Lucents femtocell technology to enhance Telefonicas 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 Mobiles 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 Arabias 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 worlds 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 AlcatelLucents 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 industrys 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 October 2012 Page 142

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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 worlds 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 nations 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&Ts 4G network, which includes LTE and HSPA+ with enhanced backhaul, covers 275 million people, making it the nations largest. Virtually 100 percent of AT&Ts wireless network is covered by HSPA+, which, when combined with enhanced backhaul, enables 4G speeds. Almost 90 percent of AT&Ts mobile data traffic runs over our 4G network. The company is among the worlds 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&Ts postpaid smartphone customers use a 4G-capable device. Android, iPhone and Windows device sales are supported by AT&Ts 4G network. In addition, the company has 14 million connected devices like tablets, netbooks, eReaders and tracking units on its network. Thanks to AT&Ts 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. CommScopes solutions address all areas of RF path and coverage needs for UMTS and LTE. The companys 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. CommScopes 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: CommScopes energy conservation initiative supports the industrys 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 CommScopes 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. Gemaltos 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 LinqUs TM OTA platform and UpTeq Advanced UICC.It enables advanced use cases such as:

TM

Advanced

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 Gemaltos 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 LinqUs Advanced Connectivity offer enables the operator to instantly activate subscriptions and TM manage access to personalized services over IP-based LTE mobile networks. The UpTeq Advanced UICC is embedded with Gemaltos 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 Advanced OTA is the natural evolution of the LinqUs 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:

TM TM TM

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 TM Architecture: with the latest software technologies, the LinQus 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)
TM

The carrier grade efficiency of the Gemalto LinqUs 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 worlds 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 Ericssons 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 worlds 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 worlds 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 Ericssons 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 worlds 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 worlds 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 worlds 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 IPcapable 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 Ericssons 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 worlds 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 industrys largest installed base and the largest, most mature service organization for all-IP network transformation, which are the results of Ericssons history of being first to market with IMS and IP softswitching. At twice the size of its nearest competitor, Ericssons 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. Huaweis 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, Telefnica, 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 Worlds first commercial LTE network covering 70 percent population in Norway Vodafone in Germany Worlds first commercial LTE DD800 network to bridge digital divide Net4Mobility in Sweden Worlds first commercial GL900 and RAN sharing Aero2 in Poland Worlds first commercial GL1800 refarming and FDD/TDD convergence SoftBank in Japan Worlds largest LTE TDD commercial network eAccess in Japan Worlds first UMTS & LTE 1.7GHz commercial network UNE in Columbia Latin Americas first large-scale commercial LTE network M1 in Singapore Southeast Asias first LTE commercial network Smart in Philippines One of the worlds 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 Easts first SingleRAN GU/LTE TDD commercial, exclusive EPC supplier Mobily in Saudi Arabia Worlds first SingleRAN WiMAX/LTE commercial network UKB in Britain Worlds first 3.5GHz LTE TDD commercial network

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Bharti in India Indias largest 2.3GHz LTE TDD commercial network service in most valuable area

Pioneering LTE Technology Innovation Based on Huaweis SingleRAN strategy, LTE is considered by Huawei as a feature of SingleRAN. This enabled Huawei in 2009 to be the worlds 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 worlds first commercial LTE TDD 3.5GHz CPE and the fastest Mobile Wi-Fi in the world. Huawei LTE is an end-toend 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. Huaweis 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. Huaweis SingleRAN/EPC solution currently supports 3GPP Rel-10 specifications and plans to be compliant with Rel-11 specifications by 2014. Huaweis 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 worlds first inter-band LTE-Advanced carrier aggregation (CA) (10M@800MHz&20M@2.6GHz) with peak DL rates over 225 Mbps. Huawei demonstrated worlds first LTE-A CA (20M@2.6GHz&20M@2.6GHz, 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 worlds first SingleSON trial on Hong Kongs commercial GUL networks. In February 2012, Huawei launched ANR into commercial use on LTE network in Cologne. Worked with China Mobile to implement the worlds 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 worlds 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 worlds 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 worlds 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 companys global experts invent the new capabilities its customers need in their networks. It provides the worlds 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 Gartners 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 companys 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 Mobilitys 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 industrys most advanced mobile processors, software and services. The Companys 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. Qualcomms contributions to the advancement of HSPA+ and LTE are reflected in a variety of key industry milestones, including:

The industrys first HSPA+ Rel-7 chipset was launched early 2009. Qualcomms introduction of the MDM8200 chipset set the stage for HSPA+ Rel-7 network trials in 2008, as well as Qualcomms collaboration with Telstra in launching the worlds 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 industrys 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 todays leading smartphones and is the first mobile processor to include Qualcomms second generation 4G LTE multimode modem as a fully integrated feature incorporating all seven of the worlds major cellular standards (LTE FDD, TDLTE, UMTS, EV-DO, CDMA1x, TD-SCDMA and GSM/EDGE). Qualcomms second generation 4G LTE multimode modem is also the foundation of current Gobi modem chipsets, the MDM8x15, MDM9215 and MDM9615. Qualcomms 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 Qualcomms over-the-air test network. o o Focus on co-channel heterogeneous network scenarios and small cell range expansion 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+, 162 LTE/SAE and LTE-Advanced, 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 papers 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

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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 www.4gamericas.org October 2012 Page 156

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, the Federal Communications Commission (FCC) established the Commercial Mobile Alert Service
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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. 164 The FCC CMAS First Report and Order specifies the rules and architecture for CMAS. The FCC CMAS 165 Second Report and Order establishes CMAS testing requirements and describes the optional capability for Noncommercial Educational (NCE) and public broadcast television stations distribute geo-targeted 166 CMAS alerts. The FCC CMAS Third Report and Order defined the CMAS timeline, subscriber notification requirements for CMSPs, procedures for CMSP participation elections and the rules for 167 subscriber opt-out. The FCC also issued a CMAS Reconsideration and Erratum document 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 168 announcement 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 counties and ensure that alerts reach customers roaming outside a providers 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.
169

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 171 in the J-STD-101, the Joint ATIS/TIA CMAS Federal Alert GW to CMSP GW Interface Specification. 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 172 (CBS) Specification. 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 173 Center (CBC) Interface Specification. 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 174 Practices for GSM-UMTS Cell Broadcast Service Specification 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, 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.
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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 EInterface 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.
E-CSCF PPR PMD

Lpp Uu

Lid

Ml

MME

LCS Client

S1

SLg

Le

UE

E-UTRAN

GMLC/LRF
SLs Lh/SLh Le or Lr

HSS E-SMLC

LIMS-IWF

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 o o Receives and processes Location Requests from LCS clients Obtains routing information from HSS via Lh/SLh and performs registration authorization Communicates information needed for authorization, location service requests and location information with other GMLC over Lr Checks the target UE privacy profile settings in the PPR over Lpp Depending on roaming, may take the role of Requesting GMLC, Visited GMLC and Home GMLC

o o

Location Retrieval Function o Responsible for retrieving location information and providing to E-CSCF via the Ml interface Can either be co-located with the GMLC or standalone Provides routing and/or correlation information for an UE in IMS emergency session

o o

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 Calculates the final location and velocity estimate and estimates the location accuracy (QoS) Interacts with UE to exchange location information applicable to UE assisted and UE based position methods

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Interacts with E-UTRAN to exchange location information applicable to network assisted and network based position methods

Mobility Management Entity o o o o Responsible for UE subscription authorization Coordinates LCS positioning requests Handles charging and billing Performs E-SMLC selection (for example, based on network topology to balance load on E-SMLC, LCS client type, requested QoS) 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 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 semidynamically 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 EUTRAN 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.

UTRAN/ GERAN
Uu

Um

HSS/HLR

Iu-cs/A MAP LTE-Uu

S1-MME

SGs

PSTN MSC/VLR

UE

E-UTRAN MME

Note: For brevity, GPRS components are not shown

Figure B.3. GSM/UTRAN CSFB Architecture in EPS (Based on 3GPP TS 23.272).

1xRTT CS Access
1x air interface

HSS/HLR

A1

1xCS IWS
LTE-Uu

MAP

A1 S1-MME S102

PSTN 1xRTT MSC

UE

E-UTRAN MME

Note: For brevity, CDMA2000 HRPD components are not shown

Figure B.4. 1xRTT CSFB Architecture in EPS (Based on 3GPP TS 23.272). www.4gamericas.org October 2012 Page 169

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 UEs 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. www.4gamericas.org October 2012 Page 170

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. Voicecentric 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 architectural

176

elements are explored further.

Mobility Management Entity (for GERAN/UTRAN CSFB) o o Multiple PLMN selection and reselection for the CS domain 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 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) Maintaining of SGs association towards MSC/VLR for EPS/IMSI attached UE Initiating IMSI detach at EPS detach Initiating paging procedure towards eNodeB when MSC pages the UE for CS services

o o o

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 o

Supporting SMS procedures with UE and MSC via SGs 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 Handling of S102 tunnel redirection in case of MME relocation 1xCS-IWS (terminating S102 reference point) selection for CSFB procedures Buffering of messages received via S102 for UEs in idle state

o o o

MSC for GERAN/UTRAN o o o Maintaining SGs association towards MME for EPS/IMSI attached UE Supporting SMS procedures via SGs to EPS 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 o o Maintaining association towards 1xIWS for 1xRTT attached UE Support 1xSRVCC procedure for enhanced 1xCSFB procedure Supporting 3GPP2 SMS procedures via 1xIWS to EPS

E-UTRAN for GERAN/UTRAN o o Forwarding paging request and SMS to the UE Directing the UE to the target CS capable cell via appropriate procedure (therefore, PS handover, RRC release with redirection, CCO w/NACC) The configuration of appropriate cell reselection hysteresis at Location Area boundaries (or across the whole E-UTRAN) to reduce Tracking Area Update traffic 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 Configuration to permit the operator to choose the target fallback RAT and frequency

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E-UTRAN for 1xRTT o o o Provision of broadcast information to trigger UE for 1xRTT CS registration Establish CDMA2000 tunnel between the UE and MME and forward 1xRTT messages Directing the UE to the target CS capable cell via appropriate procedure (therefore, RRC release with redirection or enhanced 1xCSFB procedure with 1xSRVCC based) 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 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 o CSFB procedures for EPS/IMSI attach, update and detach 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 1xRTT CS re-registration due to mobility CS fallback request/reject and SMS procedures for using CS domain services Includes enhanced CS fallback to 1xRTT capability indication as part of the UE radio capabilities if it supports enhanced 1xCSFB 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

o o o

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

PDN Gateway SGi SGmb BM-SC SGi-mb Content Provider

M3 E-UTRAN Uu UE eNB M1 Uu UE Iu UTRAN SGSN M2 MCE

MME Sm MBMS GW Sn

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.

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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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Contents Provider PDN Gateway BMSC

SGmb SG-imb MBMS UP

Contents Provider PDN Gateway

BMSC
SGmb SG-imb MBMS UP

MBMS GW

MME

Sm

MBMS CP

MME

Sm

MBMS CP

M3
MCE
F4 F2

M1

M3

M1

M2
eNB eNB
MCE

eNB

MCE

eNB

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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SMS Router

S6C

SGd

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.

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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.
UE MBMS packet SYNC eNB MBMS Gateway BM-SC MBMS packet SYNC

RLC MAC PHY

RLC MAC PHY

TNL

TNL

TNL

M1
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 October 2012 Page 180

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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 179 paper.

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 symbolbased 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 subcarriers 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 MUMIMO 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 UEspecific 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 180 Congestion Notification (ECN) specified in RFC3168 . 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.

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. Control Codec Rate used by Sender Receiver
RTCP

Sender

Application / Codec Level IP

Set ECN at Early Congestion

eNB MS Indication of Congestion in the Receive Direction EPC Sender Requests Marking of Media Flows IP Packets with ECN-Capable (01 or 10)

3GPP Bearer Level (A Side) End-to-End Approach based on IP (Downlink Direction) If DL Congestion then eNB Marks IP Packets with ECN-Congestion-Experienced (11)

IP Packets Marked with ECN-Capable (01 or 10)

Figure B.11. Proposed Solution (High Level) Downlink Direction.

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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. Control Codec Rate used by Sender Sender
RTCP

Sender Requests Marking of Media Flows IP Packets with ECN-Capable (01 or 10) IP

Receiver

Application / Codec Level

Set ECN at Early Congestion

eNB MS EPC

Indication of Congestion in the Receive Direction

3GPP Bearer Level (A Side) End-to-End Approach based on IP (Uplink Direction) IP Packets Marked with ECN-Capable (01 or 10) If UL Congestion then eNB Marks IP Packets with ECN-Congestion-Experienced (11)

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.

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VPLMN

HPLMN

C1 (OMA DM /OTA)

CSG List Srv

HLR / HSS

cap.

D Iu-CS Uu

UE

HNB

Iuh

HNB GW
Iu-PS

MSC / VLR SGSN

Gr/S6d

cap.

UE

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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S1-MME

HeNB GW

S1-MME

HeNB

S1-U

S1-U

EPC

SeGW

HeNB Mgmt System

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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VPLMN

HPLMN

CSG List Srv C1 (OMA DM /OTA) S1-MME

HSS

S6a

MME
S11

UE

LTE-Uu

HeNB

S1

HeNB GW
S1-U

S-GW

Figure B.15. Variant 1 with Dedicated HeNB GW (based on 3GPP TS 23.830).

VPLMN

HPLMN

CSG List Srv C1 (OMA DM /OTA)

HSS

S6a

S1-MME

MME
S11

UE

LTE-Uu

HeNB
S1-U

S-GW

Figure B.16. Variant 2 without HeNB GW (based on 3GPP TS 23.830).

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VPLMN

HPLMN

CSG List Srv C1 (OMA DM /OTA) S1-MME

HSS

S6a

S1-MME

UE

LTE-Uu

HeNB

HeNB GW
S1-U

MME
S11

S-GW

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 users entire session to be continued seamlessly as the users device moves from one access network to another. In Rel-9, this functionality has been enhanced to allow components of a users 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 non3GPP, 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 users 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 STATUSHSPA/HSPA+/LTE

DATA AS OF SEPTEMBER 1, 2012 Country Operator/Network Name HSPA HSPA+ Americas - Latin America & Caribbean
Anguilla Antigua & Barbuda Argentina Argentina Argentina Argentina Aruba Aruba Bahamas Barbados Barbados Belize Bermuda Bermuda Bolivia Bolivia Bolivia Brazil Cable & Wireless Anguilla / LIME Cable & Wireless Antigua & Barbuda / LIME Claro Nextel Personal Movistar Digicel SETAR Batelco BTC / C&W-LIME LIME Barbados Digicel BTL CellOne (Bermuda Dig. Corp) / M3 Wireless Digicel Movil de Entel Viva Tigo Claro In Service 2009 In Service 2010 In Service 2011 In Service 2010 In Service 2008 In Service 2007 In Service 2008 Planned Jan-11 Jul-10 Apr-11 21 Mbps 21 Mbps 21 Mbps Planned Planned In Service 2007 Planned In Service 2007 In Service 2007 In Service 2011 In Service 2008 In Service 2011 In Service 2011 In Service 2011 Jan-12 Planned 2012 Oct-11 21 Mbps Planned 2014 Planned 2014 In Trial In Trial 2.1 GHz

LTE

LTE Band

2.1 GHz AWS 1.7/2.1GHz

Jan-12 Dec-11 Dec-11

21 Mbps 21 Mbps 21 Mbps

Planned / 2012 Planned

850 MHz 1900 MHz

Planned / Oct 12 Planned

850/1900 MHz 850 MHz

In Trial

700MHz

Aug-11 Nov-11

Brazil Brazil Brazil

CTBC Telecom / Algar Telecom Nextel Oi

21 Mbps 21 Mbps

Planned 2013 Planned Planned 850/1800 MHz

In Service 2008
October 2012

Planned 2013

2.6GHz

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Brazil Brazil Brazil Brazil British Virgin Islands Cayman Islands Chile Chile Chile Chile Chile Colombia Colombia Colombia Colombia Costa Rica Costa Rica Costa Rica Dominica Dominican Rep. Dominican Rep. Dominican Rep. Dominican Rep. Ecuador

Sercomtel Celular Sky Telecom (Broadband) TIM Brasil Vivo C&W/Lime C&W/Lime Claro Entel Movistar Nextel VTR Comcel Tigo Movistar UNE (EPM Telecomunicaciones) America Mvil /Claro Costa Rica ICE Telefonica Moviles Costa Rica Cable & Wireless Dominica / LIME Claro Orange Dominicana Tricom (CDMA to LTE) WIND (WiMAX) Claro (ex-Porta)

In Service 2008

Planned In Service Dec 2011 Planned 2013 Planned 2013 2.6GHz TDLTE

In Service 2008 In Service 2007 In Service 2012 In Service 2011 In Service 2007 In Service 2007 In Service 2007 Planned Planned In Service 2008 In Service 2008 In Service 2008

In Deployment Nov-11 Mar-12 Oct-11 Aug-11 Dec-09 Jul-10 21 Mbps 21 Mbps 21 Mbps 21 Mbps 42 Mbps 42 Mbps

2.1GHz

Planned / 2012 In Trial Planned / 2012 1.7 GHZ 2.6GHz

Aug-11 Oct-11

21 Mbps 21 Mbps

Planned Planned Planned In Service Dec 2011

1.9/2.1GHz

LTE-700 2.6GHz

In Service 2011 In Service 2009 In Service 2011 Planned In Service 2007 In Service 2010 Aug-11 21Mb ps

Planned Planned 2013

In Service July 2012 Planned In Trial

1.8GHz

2.6GHZ

In Service 2007

Aug-11

21Mb ps

Planned 2013 Page 191

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Ecuador Ecuador El Salvador El Salvador El Salvador French Guiana French Guiana French West Indies French West Indies French West Indies Guatemala Guatemala Guatemala Guyana Haiti Honduras Honduras Jamaica Jamaica Mexico Mexico Mexico Mexico Montserrat Netherlands Antilles

Alegro (CDMA) Movistar Claro Movistar Tigo Outremer Telecom/Only Orange Caraibe Outremer Telecom/Only Orange Caraibe Digicel Claro Movistar Tigo Digicel Natcom Tigo Claro Cable & Wireless/LIME Digicel / (Claro) Iusacell / Unefon Telcel Nextel Movistar Cable & Wireless Montserrat /LIME Setel / UTS

Planned In Service 2009 In Service 2008 In Service 2008 In Service 2008 In Service 2008 In Service 2009 In Service 2008 In Service 2009 In Service 2010 In Service 2008 In Service 2009 In Service 2010 In Service 2010 In Service 2011 In Service 2008 In Service 2008 In Service 2009 In Service 2008 In Service 2010 In Service 2008 Planned In Service 2009 Planned In Service 2011

Planned Jul-11 Feb-11 21 Mbps 21 Mbps Planned 2013

Dec-10 Mar-12

21 Mbps 21 Mbps

Feb-12

21 Mbps

Jun-11 Jun-12 Nov-10 Aug-11

21 Mbps 21 Mbps 21 Mbps 21 Mbps 21 Mbps

Planned Planned Planned 2012 Planned 2013 1.7 / 2.1 GHz 1.7 GHZ

May-12

2.6GHz

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October 2012

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Netherlands Antilles Nicaragua Nicaragua Panama Panama Panama Panama Paraguay Paraguay Paraguay Paraguay Peru Peru Peru

Telcel Claro / enitel Movistar Claro Panama C&W +Movil Digicel Movistar Claro COPACO / VOX Personal / Ncleo Tigo Claro Nextel Movistar

Planned In Service 2008 In Service 2009 In Service 2009 In Service 2011 In Service 2011 In Service 2008 In Service 2007 Planned 2012 In Service 2008 In Service 2008 In Service 2008 In Service 2009 In Service 2009 In Service 2006 In Service 2007

Planned In Trial Planned Aug-11 Jun-11 Nov-11 21 Mbps 21 Mbps 21 Mbps 700 MHz

Potential Network

Oct-11

21 Mbps

Planned Planned / 2012

Feb-12

42 Mbps

Planned Planned

Aug-11

21 Mbps

Nov-11

21 Mbps 21 Mbps 21 Mbps

Puerto Rico

AT&T Mobility

Jan-11

Puerto Rico

Claro

Feb-11

Puerto Rico

Open Mobile

Planned 2013 Planned 2014 Planned 2013 In Service Nov 2011 In Service Dec 2011 In Service April 2012 Planned

700MHz AWS & 700MHz

700MHz

700MHz 850/1.9 MHz

Puerto Rico Puerto Rico Saba St. Kitts & Nevis St. Lucia St. Vincent &

Sprint Nextel Puerto Rico T-Mobile Satel / UTS Cable & Wireless St. Kitts & Nevis / LIME Cable & Wireless St. Lucia / LIME LIME In Service 2009 In Service Planned Planned Planned October 2012 Dec-10 21 Mbps

Planned

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Gren. Suriname Turks & Caicos Turks & Caicos Uruguay Uruguay Uruguay Uruguay US Virgin Islands US Virgin Islands Venezuela Venezuela Venezuela UNIQA - (UTS Affiliate) Cable & Wireless / LIME Islandcom Antel Claro Dedicado (WiMAX) Movistar AT&T Mobility Innovative Wireless Digitel Movilnet Movistar In Service 2007 In Service 2008 In Service 2009 In Service 2009 In Service 2009 In Service 2008 Planned Planned In Service 2010 In Service 2007 In Service 2007 Oct-11 21Mb ps In Service Dec 2011 Planned Planned Planned TD-LTE 1.7/2.1 GHz

Planned 2013 Planned 2013 Planned 2013 In Service Sept 2011 In Service Feb 2012

LTE 2100

Americas - US/Canada Canada Bell Wireless Affiliates In Service Nov-09 42 Mbps 42 Mbps 2100MHz

Canada Canada Canada Canada Canada

Telus Eastlink Wireless Mobilicity MTS Mobility /Allstream Public Mobile (CDMA) Rogers Wireless Communications SaskTel Mobility T-Bay-Tel (CDMA)

In Service Planned 2012 In Service In Service In Deployme nt In Service In Service In Service

Nov-09 Planned 2012 In Deployment Mar-11

2100MHz

21 Mbps

Planned 2015 Planned 2012 Planned 2016

2100MHz 2100MHz

Canada Canada Canada

Jul-09 Aug-10 Nov-10

21 Mbps 21 Mbps 21 Mbps

In Service July 2011 Planned 2012

2100MHz/1 700MHz AWS

www.4gamericas.org

October 2012

Page 194

Canada Canada Canada Canada

Videotron (Quebecor Media) Virgin Mobile Canada (MVNO) WIND /Globalive Xplornet (Barrett Xplore) )Rural WiMAX Agri-Valley (CDMA) (Michigan) Aircell (In-Flight Network) Alaska Communications (CDMA) Appalachian Wireless (Rural CDMA) AT&T Mobility BayRICS (San Fran Public Safety) BendBroadband Bluegrass Cellular (Rural CDMA) Carolina West Wireless Cellcom (WI, MI) (Rural CDMA)

In Service In Service In Service

Sep-10 Jan-10

42 Mbps 42 Mbps

Planned 2016

Planned 2016 Planned 2.6 GHz

USA USA USA USA

Planned Planned / 2012 Planned Late 2012 Planned 21 Mbps In Service Sept 18 2011 In Trial 21 Mbps In Service May 2012 Planned Planned In Service May 2012 Planned Sept 2012 Planned Planned Planned In Service Jun-11 21 Mbps Planned Planned 2013 Planned Planned

700MHz

700MHz AWS & 700MHz

USA

In Service

Nov-10

USA

USA USA USA USA

In Service

Dec-09

1.7/2.1MHz 700MHz

700MHz 1700 AWS/1900 PCS 700MHz 700MHz 700MHz 700MHz TD-LTE

USA USA USA USA USA USA USA USA

C Spire Wireless Cellular South (CDMA) CenturyLink (former CenturyTel) Chariton Valley (Rural CDMA) Chat Mobility (Rural CDMA) Cincinnati Bell Wireless Clearwire Corp.(WiMAX) CommNet Wireless (Navajo Nation) Convergence Technologies

700MHz

www.4gamericas.org

October 2012

Page 195

(Rural CDMA) USA USA USA USA USA USA Cross Wireless/Sprocket (Rural CDMA) Custer Telephone (Rural CDMA) GCI (Alaska) Leap Wireless/Cricket Comm. (CDMA) LightSquared / Skyterra (Wholesale) Matanuska Telephone Association (Alaska) In Service Sep-11 21 Mbps In Service Dec 2011 Planned /2012 Planned In Service Sept 2010 VoLTE Aug 2012 In Service July 2011 In Trial In Trial Planned In Service March 2012 In Service May 2012 Planned Planned In Service July 2012 Planned In Service Planned In Service 700MHz Planned Planned 700MHz 700MHz

1.4-1.6GHz 700MHz

USA

Metro PCS (CDMA)

AWS (1.7/2.1 GHZ)

USA USA USA USA

Mosaic Telecom (Rural CDMA) NetAmerica Alliance (Rural operators) nTelos (Rural CDMA) NW Missouri Cellular (Rural CDMA) Panhandle (PTCI) Bonfire

AWS & 700MHz AWS & 700MHz AWS 700MHz

USA

USA USA USA USA USA USA USA USA

Pioneer Cellular (OK) (Rural CDMA) Public Service Wireless (GA) Sagebrush/Nemont (MT, ND) (CDMA) Sprint Nextel (WiMAX) S&R Communications (Rural CDMA) Stelera Wireless Strata Networks (Rural CDMA) Peoples & Etex Telephone Coop (Texas)

700MHz 700MHz 700MHz 800MHz/19 00MHz 700MHz

In Service

www.4gamericas.org

October 2012

Page 196

Feb 2012 USA USA USA USA Texas Energy Network /TEN (oil & gas) T-Mobile USA Thumb Cellular (Rural CDMA) US Cellular/King Street Wireless In Service Sep-09 42 Mbps Planned Planned 2012 Planned In Service March 2012 In Service Dec 2010 2.1GHz 700MHz

USA

Verizon Wireless

700MHz/2. 1GHZ

Africa Algeria Algeria Algeria Angola Algrie Tlcom Orascom Bangladesh Wataniya Maldives (Qtel) Movicel Planned Planned Planned In Service Dec 2010 In Service 2007 In Deployme nt In Service Aug 2008 In Service Aug 2009 Planned Planned Planned Planned In Service In Service Planned Planned In Service Oct-11 21 Mbps Oct-11 21 Mbps Jul-10 21 Mbps In Service April 2012 1800 MHz

Angola Botswana Botswana Botswana Burundi Burundi Cameroon Cameroon Cape Verde Cape Verde Chad Chad Congo

Unitel Botswana Telecom / Be Mobile Mascom Wireless Orange Botswana HiTs Telecom Burundi Lacell MTN Cameroon Orange Cameroon Cabo Verde Telecom / CVMvel T-Mais / T+ Bharti Airtel Chad Millicom Bharti Congo Airtel BV

In Trial

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October 2012

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Cte D'Ivoire Cte D'Ivoire Cte D'Ivoire Cte D'Ivoire Dem. Rep. Congo Dem. Rep. Congo Djibouti Egypt Egypt Egypt Equatorial Guinee Ethiopia Gambia Ghana Ghana Ghana Ghana Ghana Guinea Guinea Guinea Guinea Guinea Bissau Guinea Bissau Kenya Kenya

Atlantique Telecom Comium Cte D'Ivoire MTN Orange Vodacom Zain Djibouti Telecom ECMS / MobiNil Etisalat Misr Vodafone Egypt HiTs Telecom Ethiopian Telecom/EthioMobile QuantumNet / Qcell Airtel Ghana /Bharti GloMobile Ghana Millicom /Tigo Ghana MTN Ghana Vodafone Ghana Cellcom Guine Intercel Holdings Orange Sotelgui Guinetel Spacetel Airtel (Bharti-Zain) Essar Telecom

Planned Planned Planned Planned Planned Planned In Service In Service 2009 In Service 2007 In Service 2007 In Service 2009 In Service 2008 In Service 2009 In Service 2010 In Deployme nt In Service 2011 In Service 2010 In Service 2011 Planned Planned Planned Planned Planned Planned In Deployme nt Planned Feb-12 21 Mbps In Trial Jun-10 42 Mbps Planned 2012 Planned 2012 2.1 MHz

Jan-12

21 Mbps Planned

Potential License

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October 2012

Page 198

Kenya Kenya Lesotho Lesotho Liberia LIbya Libya Madagascar Malawi Malawi Mali Mauritania Mauritania Mauritania

Telkom Kenya / Orange Safaricom Econet Telecom Lesotho Vodacom Lesotho Cellcom Almadar Aljadeed Libyana Telecom Malagasy Telekom Networks Malawi (TNM) Airtel / Zain Orange Mali Chinguitel Mattel Mauritel Mobiles

In Service In Service 2008 In Service In Service 2009 In Service Planned In Service 2008 In Service 2009 In Service 2009 In Service 2010 In Service 2010 In Service 2011 In Service 2011 In Service 2010 In Service 2007

Sep-12 Aug-11

42 Mbps 21 Mbps

In Trial

Jun-12

21 Mbps Planned

Jul-12

Mauritius

Emtel Mauritius

Mauritius

Orange Mauritius Ittissalat Al-Maghrib/Maroc Telecom Mdi Tlcom/Mditel Mocambique Celular / mCel Vodacom Leo (Orascom) / Cell One

In Service 2007 In Service 2008 In Service 2008 In Service 2008 In Service 2010 In Service 2007 In Service 2006

In Service May 2012 In Service June 2012

Morocco Morocco Mozambique Mozambique Namibia

Planned In Deployment

Planned In Service May 2012

Namibia

MTC

www.4gamericas.org

October 2012

Page 199

Niger Niger Niger Niger Nigeria Nigeria Nigeria Nigeria Nigeria Nigeria Nigeria Runion Runion Runion Rwanda Rwanda Rwanda Rwanda Rwanda So Tome & Principe Senegal Senegal Senegal Seychelles Sierra Leone

Bharti Airtel Niger Orange Niger Sahelcom Telecel (Moov) Alheri Engineering Co. Etilisat Nigeria Globacom/Glo Mobile MTN Nigeria Bharti Airtel / Zain Nigeria Starcomms Zoda Fones / Megatech Engineering Orange Reunion Outremer Telecom Reunion / Only SFR Reunion Altech Stream Rwanda Bharti Airtel Rwanda MTN Rwanda RwandaTel Tigo Rwanda CST Orange/Sonatel Tigo/Sentel Expresso/Sudatel Telecom Seychelles / Airtel Airtel

Planned In Service 2011 Planned Planned In Deployme nt In Service 2009 In Service 2008 In Service 2008 In Service 2009

Oct-11

42 Mbps Planned /2012 Potential License Potential License Potential License Potential License LTE-2100

Feb-12

42 Mbps

LTE-TDD

In Service 2008 In Service 2008 In Service 2008 Planned 2013 In Service 2012 In Service 2010 In Service 2008 In Service 2010 In Service 2012 In Service 2008 Planned In Service 2010 In Service 2008 In Service 2012 Jul-12 21 Mbps

Planned

www.4gamericas.org

October 2012

Page 200

Somalia Somalia South Africa South Africa South Africa South Africa South Africa South Africa Sudan Sudan Sudan Swaziland Tanzania

Somtel Telesom Cell C iburst South Africa (WBS) MTN Telkom (8ta) Vodacom WBS MTN Sudan Sudatel (Sudan Telecom) Zain Sudan MTN Airtel (Zain)

In Service 2011 In Service 2011 In Service 2010 Aug-10 42 Mbps Planned 2012 Planned 2012 Planned 2013 Planned Planned Planned 2013 In Service 2009 In Service 2009 In Service 2008 In Service 2011 In Service 2008 850900MHz/2. 1GHZ 2.6GHz 1800MHz/2 .1GHz

In Service 2009 In Service 2009 In Service 2009

May-10 Jun-11 Apr-11

42 Mbps 21 Mbps 42 Mbps

In Deployment In Service June 2012 800 MHz

Tanzania

SMILE In Service 2011 In Service 2007 In Deployme nt In Service 2010 In Service 2012 In Service 2010 In Service 2010 In Service 2009 In Service 2008

Tanzania Tanzania Togo Tunisia Tunisia Tunisia Uganda Uganda Uganda

Tigo Tanzania Vodacom Tanzania TogoCel Orange Tunisie Tunisiana Tunisie Tlcom MTN Uganda Orange Uganda Uganda Telecom

In Deployment Aug-10 In Deployment Aug-11 42 Mbps 21 Mbps Planned 2012

www.4gamericas.org

October 2012

Page 201

Uganda Uganda Zambia Zambia Zambia Zimbabwe Zimbabwe Asia Pacific Australia Australia Australia

TMP Uganda Zain Uganda MTN Zambia Airtel Zambia ZamTel / Cell Z Econet Wireless Telecel Planned In Service 2011 In Service 2012 Planned In Service 2009 Planned In Deployment

Planned 2012

2.3GHz

Jan-12

21 Mbps

3 Australia Energy Australia NBN Co.

In Service

Australia

Optus (SingTel)

In Service

In Deployment 42 Mbps

Australia

Telstra vividwireless (Seven Group) (WiMAX) Vodafone Hutchison (VHA) Airtel / Warid Bangladesh GrameenPhone Orascom Bangladesh Robi Axiata Bangladesh Teletalk Bhutan Telecom / B-Mobile Tashi Infocomm B-Mobile Brunei DSTCom

In Service

Feb-09

Australia Australia Bangladesh Bangladesh Bangladesh Bangladesh Bangladesh Bhutan Bhutan Brunei Brunei

In Service Planned In Service Planned Planned Planned In Service In Service In Service In Service

Planned Sept 2012

Planned 2012 Planned In Service April 2012 In Service July 2012 In Service Sept 2011 Planned 2012 Planned 2013 Planned 2016 Planned 2015 Planned 2016 Planned 2016 Planned 2016 Planned 2016 Planned 2016 Planned 2015 Planned

1800 MHz

TD-LTE

1800/2100 MHz 2.6GHz/180 0MHz TD-LTE 1800MHz

www.4gamericas.org

October 2012

Page 202

2015 Cambodia Cambodia Cambodia Cambodia Cambodia Cambodia Cambodia China China China East Timor Fiji Fiji French Polynesia French Polynesia Guam Guam Guam Guam Alltech Telecom Cadcomms / qb CamGSM/Cellcard (MobiTel) CamShin / Mfone Hello Axiata Smart Mobile / Latelz Viettel Cambodia / Metfone China Mobile / TD-SCDMA China Telecom (CDMA) China Unicom Timor Telecom Digicel Fiji Vodafone Fiji Mara Telecom Tikiphone VINI 3G Guamcell (DoCoMo Pacific) iConnect Guam GTA IT&E Guam In Service Jul-09 21 Mbps In Service In Deployme nt In Service In Service In Service In Service May-11 21 Mbps In Service In Service In Service In Service In Service In Service Planned Q4 2012 Planned 2013 Planned 2013 Planned 2016 Planned 2016 Planned 2016 Planned 2016 Planned 2016 Planned 2016 Planned 2016 Planned 2016 In Service July 2012 In Service Nov 2010 In Service May 2012 In Service FDD-TDD Aug-11 21 Mbps Planned Planned 2015 Planned 2014 Planned 2015

Hong Kong

CSL New World

In Service

Mar-09

42 Mbps

2.6 MHz/1800 MHz

Hong Kong

Hutchison 3 / JV Genius

In Service

Jul-09

21 Mbps 42 Mbps

2.6 MHz

Hong Kong

PCCW Mobile / JV Genius

In Service

Jun-09

2.6 MHz

www.4gamericas.org

October 2012

Page 203

Hong Kong

SmarTone-Vodafone

In Service

Nov-09

28 Mbps

Hong Kong

China Mobile Hong Kong 21 Mbps

India India

Aircel (Maxis) Augere

In Service

Feb-11

India

Bharti Airtel

In Service

Dec-10

21 Mbps

India India India India India India India India Indonesia Indonesia Indonesia Indonesia Indonesia Indonesia

BSNL Idea Cellular MTNL Qualcomm India LTE Venture Reliance/Infotel Broadband Tata DoCoMo Teleservices Tikona Digital Vodafone Essar Axis XL Axiata / Excelcomindo 3 Indonesia Natrindo Telepon Seluler Axis Indosat/Satelindo/Qtel Telkomsel

In Service In Service In Service Mar-11 21 Mbps

May 2012 In Service Aug 2012 In Service April 2012 Planned 2013 Planned 2012 In Service April 2012 Planned 2013 Planned 2013 Planned 2014 Planned

1800 MHz

LTE TDD/FDD LTE-TDD LTE-TDD

LTE-TDD

2.3 GHz

2.3 GHZ

In Service In Service

Dec-10 Nov-10

21 Mbps 21 Mbps

Planned Planned 2013 Planned 2012 Planned 2013 Planned 2014 Planned 2014 Planned 2014 Planned 2013 Planned 2013 In Service/ Mar 18, 2012

LTE-TDD

LTE-TDD

In Service In Service In Service In Service In Service In Service In Service

Mar-11

21 Mbps

May-10 Dec-09

42 Mbps 21 Mbps 42 Mbps

1800 MHz

Japan

eAccess / emobile

In Service

Jul-09

700/1.7 GHz

www.4gamericas.org

October 2012

Page 204

Japan

KDDI / au (CDMA)

Japan

NTT DoCoMo / Xi

In Service

Japan Japan Laos Laos Laos Laos Macau Macau Macau Malaysia Malaysia Malaysia Malaysia Malaysia Malaysia Malaysia Malaysia Malaysia Malaysia Malaysia Maldives Maldives

Softbank Mobile IIJ (Internet Initiative Japan) ETL LaoTel (Viettel) Star Telecom / Unitel Beeline CTM (C&W) Hutchison 3 SmarTone-Vodafone Asiaspace (WiMAX) P1 REDtone Mobile Services Celcom (Axiata) DiGi Maxis Communications/UMTS PacketOne Networks (WiMAX to TD-LTE) Puncak Semangat Telecom Malaysia / TM U Mobile Y-Max Dhiraagu Wataniya Maldives (Qtel)

In Service

Feb-11

42 Mbps

Planned 2012 In Service/ Dec 24, 2010 In Service/ Feb 2012 Planned 2012 Planned 2015 Planned 2015

700/800/15 00 MHz 700MHz/2. 1GHz 900MHz/2. 1/2.5GHz

In Service In Service In Service In Service In Service In Service In Service Jan-12 Jan-10 In Deployment Jul-10 21 Mbps 21 Mbps 21 Mbps

In Service In Service In Service

In Deployment

Jun-10

21 Mbps

Planned 2015 Planned 2015 Planned 2015 Planned 2014 Planned 2013 Planned 2013 Planned 2013 Planned 2013 Planned 2013 Planned 2013 Planned 2014 In Trial Planned 2013 Licence Awarded Planned 2016 Planned 2016

2.3GHZ / TD-LTE 2.6GHz 2.6GHz 2.3GHz 2.6GHz 2.6GHz TD-LTE 2.6GHz

In Service

Nov-10

42 Mbps

2.6GHZ 2.6GHz

In Service In Service

www.4gamericas.org

October 2012

Page 205

Mongolia Mongolia Mongolia Mongolia Myanmar Nepal Nepal Nepal New Caledonia New Zealand New Zealand New Zealand Northern Marianas Northern Marianas North Korea Pakistan Pakistan Pakistan Papua New Guinea Philippines Philippines Philippines

G-Mobile (CDMA) Mobicom Skytel (CDMA to GSM) Unitel Myanmar P&T Ncell (TeliaSonera subsidiary) Nepal Telecom Spice /Mero Mobile OPT New Caledonia 2degrees Mobile Telecom NZ (CDMA to GSM) Vodafone New Zealand iConnect Northern Marianas Pacific Telecom Northern Marianas Koroyolink (CHEO/Orascom Telecom) PMCL / Mobilink PTML Telenor Digicel Papua New Guinea Bayan Communications Digitel/Sun Cellular Globe Telecom/SingTel In Service In Service Planned Apr-11 21 Mbps 42 Mbps 42 Mbps In Service In Service In Service Planned In Service In Service Planned In Service In Service In Service In Service Aug-10 Aug-10 Mar-11 21 Mbps 21 Mbps 28.8 Mbps Sep-10 21 Mbps

Potential License

450MHz

Planned 2016 Planned 2016

2.3GHz

Planned 2013 Planned 2014 Planned 2016 Planned 2015

700/2100 700/2100

In Service Planned Planned Planned In Service Planned 2014 Planned 2016 Planned Planned 2013 In Service April 2011 1800MHz Planned 2014

2100MHz

Philippines

Smart Communications

In Service

Apr-12

Philippines Philippines Samoa

Umobile (CURE) Piltel BlueSky Samoa

In Service

Mar-11

Planned In Service Mar-12 21 Mbps

www.4gamericas.org

October 2012

Page 206

Samoa

Digicel

In Service

Mar-12

21 Mbps 28 Mbps 21 Mbps 21 Mbps In Service June 2011 In Service Dec 2011 Planned July 2012 Planned 2017 In Service Jan 2012 In Service July 2011 VoLTE Aug 2012 In Service July 2011 VoLTE Aug 2012 1800MHz/2 .6GHz 1800MHz/2 .6GHz 1800MHz/2 .6GHz

Singapore

MobileOne/M1 3G

In Service

Jul-09

Singapore Singapore Solomon Islands South Korea

SingTel Mobile/Broadband on Mobile Prestige 75 StarHub Our Telekom / Solomon Telekom KTF Corp

In Service In Service In Service In Service

Dec-09 Mar-09

In Deployment

1800MHz

South Korea

LG Uplus

800MHz

South Korea

SK Telecom

In Service

Jul-10

21 Mbps

800 MHz / LTE-A in 2013

Sri Lanka Sri Lanka Sri Lanka Sri Lanka Sri Lanka Taiwan Taiwan Taiwan Taiwan Taiwan Thailand

3 Bharti Airtel Sri Lanka Dialog Axiata Etisalat Sri Lanka Mobitel M3 Chunghwa Telecom FarEasTone / China Mobile Global Mobile (WiMAX) Taiwan Mobile Company VIBO AIS

In Service In Service In Service In Service In Service In Service In Service

In Deployment 42 Mbps 42 Mbps Planned 2013 Planned 2013 Planned 2013 Planned 2014 Planned 2014 Planned Planned 2014 Planned 2015 Planned 2013

Apr-11 Jan-11 In Deployment Dec-11 Nov-10

1800MHz 2.6GHz 2.6GHz 700MHz/2. 6 GHz LTE-TDD

21 Mbps 21 Mbps 42 Mbps

In Service In Service In Service

Jan-12 In Deployment Apr-12

21 Mbps

www.4gamericas.org

October 2012

Page 207

Thailand Thailand

CAT Telecom DTAC /Telenor In Service Aug-11 42Mb ps 42Mb ps 42Mb ps 21Mb ps

In Trial Trial Schedule d Q3 2012 Planned Planned Planned 2017 License Awarded License Awarded License Awarded

LTE-FDD

Thailand Thailand Vanuatu Vietnam Vietnam Vietnam Vietnam Vietnam Vietnam Vietnam Vietnam Vietnam Vietnam Europe - Eastern Abkhazia Abkhazia Albania Albania Albania Armenia Armenia Armenia

TOT / Thai Mobile True Move (Hutch) Digicel Pacific Vanuatu CMC Telecom EVN Telecom (E-Mobile) FPT Telecom Hutchison Vietnam/ Vietnamobile Mobifone RusViet Telecom Vietnam Data Communications Viettel Vietnam VinaPhone (VNPT) VTC (Vietnam Multimedia Corporation) Aquafon A-Mobile Albanian Mobile (AMC) Eagle Mobile Vodafone Albania Armentel/Beeline K-Telecom/VivaCell-MTS Orange Armenia

In Service In Service In Service

Apr-12 Feb-12 Dec-11

1800MHz

In Service

In Service In Service

Dec-11 Apr-12

21Mb ps 21Mb ps

Planned 2016 Planned 2013 In Trial Planned 2016 Planned 2016 License Awarded In Trial

2.6GHz

In Service In Service

Mar-10

21Mb ps

In Service In Service In Service In Deployme nt In Service In Service In Service In Service Mar-11 Jan-12 21 Mbps 42 Mbps Jan-12 42Mb ps

Planned 2013 Planned 2012 Planned 2013 Planned 2013 In Service Dec 2011 Planned 2013

2.5-2.6GHz

www.4gamericas.org

October 2012

Page 208

Azerbaijan

Azercell

In Service

Nov-11

21 Mbps

Azerbaijan Azerbaijan Belarus

Azerfon/Nar Mobile/Vodafone Bakcell / sur@ BeST / life:)

In Service In Service In Service Nov-11 Jun-10 21 Mbps 21 Mbps

In Service May 2012 Planned 2012 Planned 2016 In Trial Permissi on Requeste d Planned 2012 Planned 2013 In Service Dec 2011 Planned 2014 Planned 2014 Planned 2013 In Service March 2012 Planned 2014 Planned 2012 In Service March 2012 In Service March 2012 Potential License In Service June 2012 2.6GHz

Belarus

Dialog (CDMA) 21 Mbps 42 Mbps

450MHz

Belarus Belarus Belarus Bosnia Herz. Bosnia Herz. Bulgaria

Mobile TeleSystems /MTS Velcom Yota Bel (Scartel) GSM BiH Mobilne Sprske (mtel) Cosmo Bulgaria Mobile/GloBul

In Service In Service

May-10 Mar-10

2.6GHZ

In Service In Service In Service In Deployment Sep-09 42 Mbps

Bulgaria

MobilTel / M-Tel

In Service

1800MHz

Bulgaria Croatia

Vivacom (BTC/Vivatel) Tele2

In Service In Service

In Trial Dec-10 21 Mbps

Croatia

Hrvatski Telekom (T-Mobile)

In Service

2.6GHz

Croatia Czech Republic Czech Republic

VIPnet

In Service

Dec-09

42 Mbps

2.6GHz

Mobilkom Czech Republic

2.6GHz

Telefonica O2 Czech Republic

In Service

2.6GHz

www.4gamericas.org

October 2012

Page 209

Czech Republic Czech Republic Czech Republic Estonia Estonia Estonia Estonia Georgia Georgia Hungary Hungary Hungary Kazakhstan Kazakhstan Kazakhstan Kazakhstan Kyrgyzstan Kyrgyzstan Kyrgyzstan Kyrgyzstan Kyrgyzstan Kosovo Kosovo

T-Mobile Czech Republic

In Service

Nov-10

42 Mbps

Ufone (CDMA) 21 Mbps 21 Mbps 21 Mbps

Vodafone Czech Republic Bravocom Elisa EMT / Telia Sonera Tele2 Geocell Magticom T-Mobile Hungary

In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service

Oct-11

Planned 2013 Permissi on Requeste d Planned 2013 Planned 2012 In Service Dec 2010 Planned 2013 Planned 2013 Planned 2015 In Service Jan 2012 Planned 2013 Planned 2013 In Trial Planned 2014 Planned 2014

2.6GHz

450MHz

2.6GHz

Apr-10 Nov-09

2.6GHz/180 0MHz 2.6GHz/180 0MHz 2.6GHz

Jul-12

21 Mbps

Jul-11 Dec-11 Feb-10

21 Mbps 42 Mbps 42 Mbps 21 Mbps 21 Mbps 21 Mbps

1800 MHz

Telenor Hungary Vodafone Hungary Neo/ Mobile Telecom Service GSM Kazakhstan / Kcell Kar-Tel / Beeline Tele2 Kazakhstan AkTel Katel MegaCom Saima Telecom Sky Mobile / Beeline Ipko Net Vala

In Service In Service In Service Planned Planned In Service Jan 2012

Dec-10 Dec-10 Apr-11

LTE 700

In Service

Dec-10

21Mb ps

Planned 2016 In Service Dec 2011 Planned 2016 Planned 2015 Potential License

2.1GHz 2.1GHz

www.4gamericas.org

October 2012

Page 210

Latvia

Bit

In Service

Sep-10

21 Mbps

In Trial In Service June 2011 Planned 2013 In Trial Planned 2013 Planned 2012 In Service May 2011 Planned 2012 Planned 2013 Planned 2013 Planned 2013 In Service April 2012 Planned 2012 Planned 2012 Planned 2012

2.6GHz

Latvia

LMT - Latvijas Mobilais Telefons

In Service

1800 MHz

Latvia Latvia Latvia Lithuania

Tele2 Triatel (CDMA) Telekom Baltija Bit

In Service

2.6GHz 450 MHz/800M Hz 2.6GHz 2.6GHz 2.6GHz/180 0 MHz 2.6GHz 2.1GHz 2.1GHz

In Service

Sep-10

21 Mbps

Lithuania

Omnitel (TeliaSonera)

In Service

Lithuania Macedonia Macedonia Macedonia

Tele2 ONE / Cosmofon / Telekom Slovenije) T-Mobile (Makedonski Telekom) VIP

In Service In Service In Service Planned

Moldova

InterDnestrCom (IDC)

Moldova Moldova Moldova Moldova Moldova Montenegro Montenegro Montenegro Poland Poland

Moldcell (TeliaSonera) Eventis Mobile Mold Telecom/Unite Orange T-Mobile m:tel Telenor / Promonte (LTE in Cetinje) T-Mobile Aero 2 Centernet Wrodzinie

In Service Planned In Service In Service Planned In Service In Service In Service In Service In Service Sep-10 Dec-10 Nov-10 21 Mbps 42 Mbps 28 Mbps In Deployment Dec-09 21 Mbps

2.1GHz

In Service Dec 2011 Planned 2013 In Service Sep 2010

2.6GHz 2.6GHz 2.6GHz/TDLTE 1800MHz

www.4gamericas.org

October 2012

Page 211

Poland Poland Poland Poland Poland Poland Poland Romania Romania Romania

Mobyland / Eutelia Milmex Orange Poland / PKT Centertel P4 / Play Polkomtel / Plus Polska Telefonia Cyfrowa / Era GSM Sferia (CDMA) RCS&RDS / Digi.Mobil Orange Romania Cosmote (OTE)

In Service Potential License Planned 2013 Planned 2014 In Service Dec 2011 Planned 2012 Planned Planned 2014 Planned 2013 Planned 2013 Permissi on Requeste d Planned 2013 In Service Apr 2012 Planned 2012 Planned Planned 2013 In Trial Planned Planned In Trial In Service Apr-12 21 Mbps In Trial In Service Dec 2011 Planned 2013 Planned 2.6GHz FDD 1.8GHz

In Service In Service In Service In Service In Service In Service In Service In Service

Oct-10 Dec-10 Jun-09 Sep-09

42 Mbps 21 Mbps 21 Mbps 21 Mbps

2.6GHz LTE 800 1800 MHz

2.6GHz

Oct-11 Sep-09

42 Mbps 21 Mbps 21 Mbps 21 Mbps

Romania

Telemobil (CDMA)

In Service

Aug-09

450MHz

Romania Europe - Eastern Russia Russia Russia Russia Russia Russia Russia Russia Russia Russia Serbia Serbia

Vodafone Romania

In Service

Mar-09

MegaFon Mobile TeleSystems /MTS Osnova Telekom Rostelecom (WiMAX to LTE) Skylink (CDMA) Sibirtelecom/Svyazinvest Smoltelecom Tele2 Russia VimpelCom / Beeline Yota/Scartel (WiMAX to LTE) Telekom Srbija /MT:S Telenor

In Service In Service

Sep-10 Dec-10

21 Mbps 21 Mbps

Via MVNO w/Yota TDLTE 2.6 GHz/TD-LTE 2.3-2.4 GHZ/TDLTE 450 MHz

In Service In Service Jul-11 42

www.4gamericas.org

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Mbps Serbia Slovak Republic Slovak Republic Slovak Republic Slovenia Slovenia Slovenia Slovenia Tadjikistan Tadjikistan Tadjikistan Tadjikistan Turkmenistan Ukraine Ukraine Ukraine Ukraine Ukraine Uzbekistan VIP Mobile Orange T-Mobile Telefnica O2 Mobitel Si.mobil T-2 Tus Mobil Babilon Mobile Indigo-Somoncom /TeliaSonera Tacom / Beeline TT Mobile TM Cell / Altyn Asyr Life:) Astelit CDMA Ukaraine (ITC) Kyivstar MTS-Ukraine Ukrtelecom / Utel MTS-Uzbekistan Planned Planned In Service In Service 42 Mbps In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service Planned Apr-10 Dec-10 Planned Nov-10 21 Mbps 42 Mbps 42 Mbps Feb-11 Oct-11 Mar-11 42 Mbps 42 Mbps 42 Mbps

2013

Planned 2014 Planned 2014 Planned 2014 Planned 2013 In Service July 2012 Potential License Planned 2016 Planned 2014 Planned 2014 Planned 2015 Planned 2015

2.6GHz 2.6GHz 2.6GHz 800/1800/2 .6GHz 800/2.6GHz

Uzbekistan Uzbekistan

Ucell/TeliaSonera Unitel LLC Beeline

In Service In Service

Feb-11 In Deployment

Potential Network Planned 2015 Planned 2015 Planned 2012 In Service July 2010 In Service Aug2010 Planned 2012

850MHz

2.6GHz / 700MHz 2.6GHz

Europe Western land Islands Andorra AMT (Alands Mobiltelefon) Andorra Telecom STA In Service In Service Planned 2014

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Austria

3 Austria

In Service

Aug-09

42 Mbps 42 Mbps 42 Mbps 21 Mbps

Austria Austria Austria Belgium Belgium Belgium Cyprus Cyprus Cyprus Cyprus Denmark

A1 Telekom (Telekom Austria) Orange/ ONE T-Mobile Austria KPN Group Belgium/BASE Belgacom Mobile/Proximus Mobistar (France Telecom) CYTA Mobile / Vodafone Kibris Telsim KKT Cell MTN (Areeba) HI3G Denmark / 3

In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service

Mar-09 Mar-09 Jan-11 In Deployment In Deployment Dec-10

In Service Nov 2011 In Service Nov2010 Planned 2012 In Service Oct 2010 Planned 2013 Planned 2012 In Trial Planned 2015 Planned 2015 Planned 2015

2.6GHz

2.6GHz 2.6GHz 2.6GHz

42 Mbps

Mar-12 Jun-09

21 Mbps 21 Mbps 42 Mbps 21 Mbps Precommerc ial In Service Oct 2011 Planned 2012 In Service Dec 2010 2.6 GHz/TD-LTE 2.G GHZ

Denmark Denmark Denmark Faroe Islands Finland Finland

TDC Mobil Telenor TeliaSonera Denmark Faroese Telecom /Foroya Tele Alands Mobiltelefon DNA Finland/Oy

In Service In Service In Service In Service In Service In Service

May-10 Oct-10

2.G GHZ

Dec-10

21 Mbps In Service Dec 2011 In Service Dec 2010 In Service

Oct-09

42 Mbps 42 Mbps

2.6GHz & 1800MHz 2.6GHz & 1800MHz

Finland Finland Finland

Elisa TDC Song TeliaSonera

In Service

Apr-10

In Service

2.6GHz

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Nov2010 France France France France France Germany Germany Bollore (WiMAX) Bouygues Telecom Free Mobile Orange France SFR E-Plus (KPN) O2/Telefonica) In Service In Service In Service In Service In Service In Service Nov-09 28 Mbps 42 Mbps Nov-11 Jan-12 Dec-11 Sep-10 42 Mbps 42 Mbps 42 Mbps 42 Mbps Potential Network In Trial / 2013 Planned 2013 Planned 2012 Planned 2012 Planned 2013 In Service July 2011 In Service Apr 2011 In Service Dec 2010 Planned 2016 Pilot LTE Network Jun2012 Planned 2012 Planned 2015

1800MHz 2.6GHz & 800MHz 2.6GHz & 800MHz

2.6/1800/9 00 2.6GHz & 800MHz 800MHz / 1800MHz 790-862 MHz (DigDiv)

Germany

T-Mobile / DeutscheTelekom

In Service

Apr-10

Germany Gibraltar Greece Greece Greece Greenland Guernsey Guernsey Guernsey Iceland Iceland Iceland Ireland Ireland Ireland

Vodafone D2 Gibtelecom (Telekom Slovenije) Cosmote Panafon / Vodafone WIND Hellas TeleGreenland Airtel (Vodafone/Bharti) Sure/Cable & Wireless Guernsey Wave Telecom Iceland Telecom/Sminn Nova Vodafone /Teymi Hutchison 3 Meteor Communications (eircom) O2

In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Deployment In Trial Nov-10 21 Mbps May-09 Jul-09 Jul-12 42 Mbps 42 Mbps 21 Mbps

900/1800M Hz

Planned 2016 Planned 2016 Planned 2016 Planned 2012 Planned 2012 Planned 2012 Page 215

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October 2012

Ireland Isle of Man Isle of Man Israel Israel Israel Italy Italy Italy Italy Jersey Jersey Jersey Jersey Liechtenstein Liechtenstein Liechtenstein Luxembourg Luxembourg Luxembourg Luxembourg Malta Malta Malta Monaco Netherlands Netherlands

Vodafone Ireland Sure/Cable & Wireless Manx Telecom Cellcom Israel Partner Communications/Orange Pelephone (Bezeq) 3 Italy Telecom Italia/TIM Vodafone Italia / Omnitel Wind Jersey Telenet /Airtel Cable & Wireless Jersey/sure.Mobile Clear Mobitel Jersey Telecoms mobilkom Orange Tango / Tele2 LOL Mobile (Luxembourg Online) P&T Luxembourg/LUXGSM Tango (Belgacom) Orange (Mobistar) 3G / Melita Mobile Go/MobileIsle Comm. Vodafone Malta Monaco Telecom (C&W) KPN Mobile T-Mobile Netherlands

In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service

Feb-10

42 Mbps

Planned 2012 In Trial Planned

In Deployment May-10 Mar-12 Jul-09 Nov-10 In Trial 42 Mbps 42 Mbps 28 Mbps 42 Mbps

Planned Planned 2013 Planned 2012 Planned 2012 Planned 2012 Planned 2012

2.6GHz

Planned In Service In Service In Service Planned In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service In Deployment Dec-10 42 Mbps Planned 2014 In Service May12 In Service In Deployment Planned 2015 Planned 2015 Planned 2015 In Deployment Planned 2013

2.6GHz

2.6GHz 2.6GHz

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May012 Netherlands Netherlands Netherlands Norway Norway Norway Portugal Vodafone Libertel Tele2 Ziggo 4 Hi3G Access Norway Netcom/Telia Sonera Telenor Optimus Sonaecom
In Deployment

In Service

Jul-10

28 Mbps

In Service 2.6GHz May012 In Service May 2012 May 2012 (Enterprise Only) In Service Dec 2009 Planned 2012 In Service Mar2012 In Service Mar2012 In Service Mar2012 Planned 2012 Planned 2013 Planned 2013 Planned 2013 Planned 2013 Planned 2013 Planned 2013 Planned 2012 Planned 2012 Planned 2012 In Service Apr2012 In Service

In Service In Service In Service

Dec-10 In Deployment Aug-09

21 Mbps

2.6GHz

21 Mbps 21 Mbps 42 Mbps

Portugal

TMN

In Service

Jun-09

2.6GHz

Portugal San Marino Spain Spain Spain Spain Spain Spain Spain Spain Spain Spain Sweden Sweden

Vodafone Portugal Telecom Italia/TIM Orange Telecom Castilla La Mancha Euskaltel Cota Jazztel ONO Telecable de Asturias SAU Telefnica Mviles/Movistar Vodafone Espana Yoigo HI3G/3 Sweden TeleNor /Net4Mobility

In Service

Jul-09

800/1800/2 600 MHz

In Service

2.6GHz 2.6GHz 2.6GHz 2.6GHz 2.6GHz 2.6GHz

In Service In Service In Service In Service In Service

Nov-09 Dec-09 In Deployment Jun-09 Jun-09

42Mb ps 42Mb ps

1800 MHz FDD-TDD 2.6GHz & 900MHz Page 217

42Mb ps 42Mb ps

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October 2012

Nov2010 Sweden Tele2 /Net4Mobility In Service Jun-09 21Mb ps 21 Mbps 42 Mbps 42 Mbps In Service Nov2010 In Service Dec2009 Planned 2013 Planned 2012 Planned 2012 Planned 2016 Planned 2016 Planned 2016 Planned 2012 Planned 2013 Planned 2013 In Service Jun2012 Planned 2013

Sweden Switzerland Switzerland Switzerland Turkey Turkey Turkey UK UK UK UK UK Middle East Afghanistan Afghanistan Afghanistan Afghanistan Bahrain Bahrain Bahrain Iran Iran Iran

TeliaSonera Sweden Orange Switzerland Swisscom Mobile/Natel TDC Switzerland/sunrise AVEA Turkcell Vodafone Everything Everywhere (Orange+T-Mobile) Hutchison 3G / 3 UK O2 (Telefonica) UKB / UK Broadband (Wholesale) Vodafone

In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service

Jun-09 Nov-11 Oct-09 In Deployment Jul-09 Jul-09 Jul-09 In Deployment May-11 In Deployment

2.6GHz

42 Mbps 42 Mbps 21 Mbps

2.6GHz 2.6GHz 2.6GHz

21 Mbps

2.6GHz & 800MHz TD-LTE 3.5GHz

In Service

Afghan Wireless/AWCC Etisalat Afghanistan MTN Afghanistan Roshan (Telecom Dev. Comp) Batelco STC / Viva Bahrain Zain MCI MTN Irancell Timin Telecom / RighTel

Planned In Service Planned Planned In Service In Service In Service Planned Planned In Service 2012 October 2012 Page 218 Apr-10 Mar-10 In Deployment 42Mb ps 42Mb ps Planned 2012 In Service Jan2012 Planned 2013 2.1GHz Mar-12 21Mb ps

2.6GHZ

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Iraq Iraq Iraq Iraq Jordan Jordan Jordan Kuwait Kuwait Kuwait Lebanon Lebanon Oman Oman Palestine Qatar Qatar

SanaTel Asiacell Korek Telecom Zain Iraq Orange Jordan Umniah Zain Jordan Kuwait Telecom Company/VIVA Wataniya Telecom Zain Alfa Telecom LibanCell/MTC Touch Nawras Omantel/Oman Mobile Palestine Cellular Q-TEL Vodafone

Planned Planned Planned Planned In Service In Service In Service In Service In Service In Service In Service In Service In Service In Service Potential License In Service In Service 21 Mbps Aug-10 21 Mbps Planned 2012 Planned 2013 In Service Sept 2011 In Service Sept 2011 In Service Sept 2011 Sep-11 21 Mbps Aug-09 Oct-12 Sep-11 21 Mbps 21 Mbps 21 Mbps Planned 2012 Mar-11 Jun-12 Mar-11 Sep-09 21 Mbps 42 Mbps Planned 2015 In Service Dec 2011 2.6GHZ 21 Mbps Planned 2014

Planned Planned 2013 In Service July 2012

800MHz 2.6GHz TDLTE

Saudi Arabia

Etihad Etisalat/Mobily

In Service

Jan-10

Saudi Arabia

Saudi Telecom Company / AlJawwal

In Service

Sep-09

42 Mbps

2.3GHZ / TD-LTE

Saudi Arabia Syria Syria UAE

Zain MTN Syria Syriatel du

In Service In Service In Service In Service

Dec-09

21 Mbps

1800MHz

Mar-10

42 Mbps

In Service

1800Mhz

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UAE Yemen Yemen Yemen

Etisalat MTN Unitel Yemen Mobile

In Service Planned Planned Planned

Jan-10

42 Mbps

June 2012 In Service Sept 2011

2.6GHZ

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APPENDIX D: ACRONYM LIST

1x 1xCS 1xCSFB 1xEV-DO 1xEV-DV 1xRTT 1xSRVCC 2G 2G-CS/3G-CS 3G 3G+ 3GPP 3GPP2 4C-HSDPA 4G AA AAA AAS ABS ACK/NAK ADC ADSL AES AF AKA AM AMBR ANR API APN ARP ARPU ARQ AS AS ASIC ASME ATCA ATCF ATIS/TIA ATM AuC AWS b/s/Hz B2BUA B2C BBERF BBF Short for 1xRTT 1x Circuit Switched 1x Circuit Switched Fallback CDMA20001xEV-DO or 1 times Evolution-Data Optimized or Evolution-Data Only CDMA20001xEV-DV or 1 times Evolution-Data Voice 1 times Radio Transmission Technology (CDMA20001xRTT technology) 1x Single Radio Voice Call Continuity Second Generation 2G Circuit Switched/ 3G Circuit Switched Third Generation 3G plus, used to reference technologies considered beyond 3G such as HSPA, HSPA+ or LTE, not an officially recognized term by 3GPP 3rd Generation Partnership Project 3rd Generation Partnership Project 2 Four Carrier HSDPA Fourth Generation Adaptive Array Authentication, Authorization and Accounting Active Antenna Systems Almost Blank Subframes Acknowledgement/Negative Acknowledgement Application Detection and Control Asymmetric Digital Subscriber Line Advanced Encryption Standard Application Function Authentication and Key Agreement Acknowledged Mode Aggregate Maximum Bit Rate Automatic Neighbor Relation Application Programming Interfaces Access Point Name Allocation and Retention Priority Average Revenue per User Automatic Repeat Request Access Stratum Application Server Application-Specific Integrated Circuit Access Security Management Entity Advanced Telecommunication Computing Architecture Access Transfer Control Function Alliance for Telecommunications Industry Solutions/Telecommunications Industry Association Automated Teller Machine Authentication Center Advanced Wireless Spectrum Bits per Second per Hertz Back-to-Back User Agent Business-to-Consumer Bearer Binding and Event Reporting Function Broadband Forum October 2012 Page 221

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BCH BF BIP BM-SC Bps/Hz BPSK BSC BSK BSR BTS BW C/I CA CAGR CAPEX CAT_TP CAZAC CBC CBE CBF CBS CC CCE CCO CDD CDF CDM CDMA CDO CE CELL_DCH CELL_FACH CELL_PCH CID CIF CK/IK CL CL-MIMO CMAS CMS CMSAAC CMSP CN CoA CoMP CP CPC CPE C-Plane CQI CRC CRS CS CSCF

Broadcast Channel Beamforming Bearer Independent Protocol Broadcast Multicast Service Center Bits per second per Hertz Binary Phase Key Shifting Base Station Controller Binary Shift Keying Base Station Router Base Transceiver Station Bandwidth Carrier to Interference Ratio (CIR) Carrier Aggregation Compound Annual Growth Rate Capital Expenses Card Application Toolkit Transport Protocol Constant Amplitude Zero Autocorrelation Waveform Cell Broadcast Center Cell Broadcast Entity Coordinated Beamforming Coordinated Beam Switching Component Carrier Control Channel Elements Cell Change Order Cyclic Delay Diversity Cumulative Distribution Function Code Division Multiplexing Code Division Multiple Access Care Delivery Organization Congestion Experienced UTRAN RRC state where UE has dedicated resources UTRAN RRC transition state between Cell_PCH and Cell_DCH UTRAN RRC state where UE has no dedicated resources are allocated Cell Identification Carrier Indication Field Ciphering Key/Integrity Key Circular Letter Closed-Loop Multiple-Input Multiple-Output Commercial Mobile Alert Service Communication and Media Solutions FCC Commercial Mobile Service Alert Advisory Committee Commercial Mobile Service Provider Core Network Care of Address Coordinated Multipoint Transmission Cyclic Prefix Continuous Packet Connectivity Customer premise Equipment Control Plane Channel Quality Indications Cyclic Redundancy Check Common Reference Signals Circuit Switched Call Session Control Function October 2012 Page 222

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CSFB CSG CSI CSP CTIA CTR D2D DC DCH DC-HSDPA DC-HSPA DC-HSUPA DCI DES DFE DFT DFT-S-OFDM

Circuit Switched Fallback Closed Subscriber Group Channel State Information Communication Service Provider Cellular Telecommunication Industry Association Click-Through Rate Device to Device Dual Carrier Dedicated Channel Dual Carrier- High Speed Downlink Packet Access Dual Carrier- High Speed Packet Access Dual Carrier- High Speed Uplink Packet Access Downlink Control Information Data Encryption Standard Decision Feedback Equalizer Discrete Fourier Transformation 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 www.4gamericas.org October 2012 Page 223

eICIC EIR eMPS eNB eNodeB ENUM EPC EPDCCH EPDG EPRE EPS E-RAB E-RGCH E-SMLC ESM ETSI ETWS EUTRA E-UTRAN EV-DO FACH FCC FDD FDM FDMA F-DPCH FDS FeICIC FEMA FER FFR FFS FIR FMC FOMA FQDN FSS FSTD FTTH FTTN GB Gbit/s GBR GERAN GGSN GHz Gi GLONASS GMLC Gn GNSS

Enhanced Inter-Cell Interference Coordination Equipment Identity Register Enhancements for Multimedia Priority Service Evolved NodeB, E-UTRAN NodeB Evolved NodeB Telephone Number Mapping from E.164 Number Mapping Evolved Packet Core; also known as SAE (refers to flatter-IP core network) Enhanced Physical Downlink Control CHannel Evolved Packet Data Gateway Energy per Resource Element Evolved Packet System is the combination of the EPC/SAE (refers to flatter-IP core network) and the LTE/E-UTRAN Enhanced Radio Access Bearer E-DCH Relative Grant Channel Enhanced Serving Mobile Location Center Energy Savings Management European Telecommunication Standards Institute Earthquake and Tsunami Warning System Evolved Universal Terrestrial Radio Access Evolved Universal Terrestrial Radio Access Network (based on OFDMA) Evolution Data Optimized or Data Only Fast Access CHannel Federal Communications Commission Frequency Division Duplex Frequency Division Multiplex Frequency Division Multiple Access Fractional-DPCH Frequency Diverse Scheduling Further Enhanced Inter-Cell Interference Coordination Federal Emergency Management Agency Frame Erasure Rate Fractional Frequency Reuse For Further Study Finite Impulse Response Fixed Mobile Convergence Freedom of Mobile Multimedia Access: brand name for the 3G services offered by Japanese mobile phone operator NTT DoCoMo. Fully Qualified Domain Names Frequency Selected Scheduling Frequency Selective Transmit Diversity Fiber to the Home Fiber to the Node Gigabyte also called gbit Gigabytes per second Guaranteed Bit Rate GSM EDGE Radio Access Network Gateway GPRS Support Node Gigahertz Interface between GPRS and external data network Global Navigation Satellite System (Russian) Gateway Mobile Location Controller IP-based interface between SGSN and other SGSNs and (internal) GGSNs. DNS also shares this interface. Uses the GTP Protocol Global Navigation Satellite System October 2012 Page 224

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Gp GPRS GPS GRE GSM GSMA GTP GTP-U GTPv2 GUTI GW Gxa, Gxb, Gxc H2H HARQ HCI HD HeNB HeNB-GW HLR HNB HNB-GW HO HOM HPCRF HPLMN HPM HPSIM HRPD HSDPA HS-DPCCH HS-DSCH HSI HSPA HSPA + HSS HS-FACH HS-RACH HS-SCCH HSUPA HTML HTTP HTTPS I/Q ICE IC ICIC ICS ICT ID IDFT IEC IEEE

Guard Period General Packet Radio System Global Positioning System Generic Routing Encapsulation Global System for Mobile communications GSM Association GPRS Tunneling Protocol The part of GTP used for transfer of user data GPRS Tunneling Protocol version 2 Globally Unique Temporary Identity Gateway IMS reference points Human to Human Hybrid Automatic Repeat Request Host Controller Interface High Definition Home eNodeB Home eNodeB Gateway Home Location Register Home NodeB Home NodeB Gateway Handover Higher Order Modulation Home PCRF Home PLMN Hosting Party Module Hosting Party Subscription Identity Module High Rate Packet Data (commonly known as 1xEV-DO) High Speed Downlink Packet Access High Speed-Dedicated Physical Control Channel High Speed-Downlink Shared Channel High Speed Internet High Speed Packet Access (HSDPA + HSUPA) High Speed Packet Access Plus (also known as HSPA Evolution or Evolved HSPA) Home Subscriber Server High Speed Fast Access CHannel High Speed Random Access CHannel High Speed - Shared Control CHannel High Speed Uplink Packet Access Hyper-Text Markup Language Hyper Text Transfer Protocol Hypertext Transfer Protocol Secure In-phase Quadrature referring to the COMPONENTS used in quadrature amplitude modulation In Case of Emergency Inter-Cell Inter-Cell Interference Coordination IMS Centralized Services Information and Communication Technology Identification Inverse Discreet Fourier Transform International Engineering Consortium Professional association for engineering, computing and technology October 2012 Page 225

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IETF RFC IFFT IFOM I-HSPA IKEv2 IM IMEI-SV IMS IMS-MMTel IMSI IN ION IP IP-CAN IPR IPSec IPv6 IPX IRAT IRC IRP ISM ISO ISP ISUP IT Itf-N ITU ITU-R ITU-T Iur IUT IVR IWF IWS J2ME JDBC JP JP-Co JP/JT JP-Nco J-STD-101 K_ASME kbps kHz km/h LAI LATRED LBS LCD LCR LCS LDAP

Internet Engineering Task Force Request for Comments Inverse Fast Fourier Transformation Internet Protocol Flow Mobility and seamless WLAN Offload Internet-High Speed Packet Access Internet Key Exchange version 2 Instant Messaging International Mobile Equipment Identity?? P 98 IP Multimedia Subsystem IP Multimedia Subsystem Multi-Media Telephony service International Mobile Subscriber Identity Intelligent Networking Intelligent Optical Network Internet Protocol Internet Protocol Connectivity Access Network Intellectual Property Rights Internet Protocol Security Internet Protocol version 6 IP Packet Exchange Inter-Radio Access Technology Interference Rejection Combining Integration Reference Point Industrial, Scientific and Medical International Standardization Organization Internet Service Provider ISDN User Part Internet Technology Interface N International Telecommunication Union ITU-Radiotelecommunication Sector ITU-Telecommunication Standardization Section Interface between two RNCs Inter-UE Transfer Interactive Voice Response Interworking Function Interworking Signalling Java 2 Platform, Micro Edition which is now called Java Platform for Mobile Devices and Embedded Modules Java Database Connectivity Joint Processing Coherent Joint Processing Joint Processing/Joint Transmission Non-Coherent Joint Processing Joint ATIS/TIA CMAS Federal Alert Gateway to CMSP Gateway Interface Specification ASME Key Kilobits per Second Kilohertz Kilometers per hour Location Area Identification Latency Reduction Location Based Services Liquid Crystal Display Low Chip-Rate Location Service Lightweight Directory Access Protocol October 2012 Page 226

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L-GW Lh LI LIPA LMMSE LMU Lpp LPP LPPa Lr LRF LSTI LTE LTE-A LTI M2 Interface M2M m mb MAC MAG MAPCON MBMS Mbps MBR MBSFN MCH MCM MCS MCE MCW MDT MES MFF MFS MHz MI MIB MID MIM MIMO MIP MITE MLC MLSE MMD MME MMS MMSE MNO MO MOBIKE MO-LR

Local Gateway Interface between the GMLC/LRF and the HLR/HSS Lawful Intercept Local Internet Protocol Access Linear Minimum Mean Square Error Location Measurement Units Interface between the GMLC/LRF and the PPR LTE Positioning Protocol LTE Positioning Protocol A Interface between the GMLC/LRF and LIMS-IWF Laser Range Finder LTE/SAE Standard Trial Initiative Long Term Evolution (Evolved Air Interface based on OFDMA) LTE-Advanced Linear Time Invariant Interface between the Multi-cell/multicast Coordination Entity and the eNodeB Machine-to-Machine Meters Megabit or Mb Media Access Control Mobile Access Gateway Multi-Access PDN Connectivity Multimedia Broadcast/Multicast Service Megabits per Second Maximum Bit Rate Multicast Broadcast Single Frequency Networks Multicast Channel Multimedia Carrier Modulation Modulation and Coding Scheme Mulit-cell/Multicast Coordination Entity Multiple Codewords Minimization of Drive Tests Multimedia Emergency Session M2M Form Factor Mobile Financial Services Megahertz Interface between the GMLC/LRF and the E-CSCF Master Information Block Mobile Internet Device M2M Identity Module Multiple-Input Multiple-Output Mobile IP IMS Multimedia Telephony Communication Enabler Mobile Location Center Maximum Likelihood Sequence Estimation Multi-Media Domain Mobility Management Entity Multimedia Messaging Service Multimedia Messaging Service Environment Mobile Network Operator Mobile Originated Mobility and Multi-homing Protocol for Internet Key Exchange 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 www.4gamericas.org October 2012 Page 228

PAR PARC PBCH PC PCC PCD PCEF PCFICH PCH PCI PCMM PCO PCRF P-CSCF PDA PDCCH PDCP PDG PDN PDP PDSCH PDU P-GW PHICH PHY/MAC PLMN PMCH PMI PMIP PND PoA PoC PPR PRACH PRB PS PSAP P-SCH PSRC PSS/SSS PUCCH PUSCH PWS QAM QCI QoS QPP QPSK Qt QWERTY QZSS R&D

Peak to Average Ratio Per-Antenna Rate Control Primary BCH Physical Channel Policy and Charging Convergence Personal Content Delivery Policy and Charging Enforcement Function Physical Control Format Indicator Channel Paging Channel Physical Cell ID Packaged Core Memory Model Power Control Optimization OR Point of Control and Observation (ITU-T) Policy and Changing Rules Function Proxy Call Session Control Function Personal Desktop Assistant Physical Downlink Control Channel Packet Data Convergence Protocol Packet Data Gateway Public Data Network Packet Data Protocol Physical Downlink Shared Channel Packet Data Unit PDN Gateway Physical Hybrid ARQ Indicator Channel Physical layer/Medium Access Control Public Land Mobile Network Physical Multicast Channel Precoding Matrix Index Proxy Mobile IPv6 Personal Navigation Device Point of Attachment Push-to-Talk over Cellular Push-Profile-Request Physical Random Access Channel Physical Resource Block Packet Switched Public Safety Answering Point Primary Synchronization Signal Per Stream Rate Control Primary Synchronization Signal/Secondary Synchronization Signal Physical Uplink Control Channel Physical Uplink Shared Channel Public Warning System Quadrature Amplitude Modulation QoS Class Index Quality of Service Quadratic Polynomial Permutation Quadrature Phase Shift Keying Cutie is a cross application development framework 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. Quasi Zenith Satellite System Research and Development

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RAB RACH RADIUS AAA RAM RAN RAN1 RAN4 RAT RB RE REG Rel-X RF Rf/Ga RG RI RIT RLC RLF RN RNC RNTI R-PDCCH RRC RRH RRM RRU RS RSRP rSRVCC RTCP RTP/UDP Rx S1AP SAE SAE GW SBAS SBLB SC SC-FDMA SCH SCS S-CSCF SCW SCWS SDK SDMA SDO SDP SDR SDU SeGW

Radio Access Bearer Random Access Channel Remote Authentication Dial In User Service for Authentication, Authorization, and Accounting management for computers to connect and use a network service Remote Application Management Radio Access Network Working group within 3GPP focused on physical layer specifications Working group within 3GPP focused on radio performance and protocol aspects Radio Access Technology Radio Bearer or Resource Blocks Resource Element Resource Element Group Release 99, Release 4, Release 5, etc. from 3GPP standardization Radio Frequency GPRS/Web services interface to record data for offline charging Residential Gateway Rank Indicator Radio Interface Technology Radio Link Control Layer Radio Link Failure Relay Node Radio Network Controller Radio Network Temporary Identifier Reverse Packet Data Control CHannel Radio Resource Control Remote Radar Head Radio Resource Management Remote Radio Unit Reference Signal Reference Signal Received Power Reverse Single Radio Vocie Call Continuity RTP Control Protocol Real-Time Transport Protocol/User Datagram Protocol Receive S1 Application Protocol System Architecture Evolution also known as Evolved Packet Core (EPC) architecture (refers to flatter-IP core network) Service Architecture Evolution Gateway Space Based Augmentation System Service Based Local Policy Service Continuity Synchronization Channel-Frequency Division Multiple Access Synchronization Channel Services Capability Server Serving-Call Session Control Function Single Codeword Smart Card Web Server Software Development Kit Space Division Multiple Access Standard Development Organization Service Delivery Platform Software Defined Radio Service Data Unit Security Gateway October 2012 Page 230

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SFBA SFBC SFN SG SGi SGSN S-GW SIC S-ICIC SIM SIMO SIMTC SINR SIP SIPTO SIP-URI SIR SISO SLA SLg SLs SM SME SMS SMSC SNAP SNS SOA SON SORTD SPS SPR SR/CQI/ACK SRIT SRNS SRS Srv SRVCC S-SCH STBC SU-MIMO SU-UL-MIMO SWP SYNC TA TAI TAS TAU TB TCP TDD TDF TD-LTE TDM

Switch Fixed Beam Array Space Frequency Block Code Single Frequency Network Serving Gateway Reference point between the PDN-GW and the packet data network Serving GPRS Support Node Serving Gateway Successive Interference Cancellation Static Interference Coordination Subscriber Identity Module Single-Input Multiple-Output System Improvements for Machine Type Communication Signal-to-Interference plus Noise Ratio Session Initiated Protocol Selected Internet Protocol Traffic Offload Session Initiated Protocol -Uniform Resource Identifier Signal-to-Interference Ratio Single-Input Single-Output Service Level Agreement Interface between the MME and the GMLC Interface between the MME and the E-SMLC Spatial Multiplexing Short Message Entity Short Message Service Short Message Service Center Subscriber, Network, Application, Policy Social Networking Site Service-Oriented Architecture Self-Optimizing or Self-Organizing Network Spatial Orthogonal-Resource Transmit Diversity Semi-Persistent Scheduling Subscription Profile Repository Scheduling Request/Channel Quality Indicators/Acknowledgement Set of Radio Interface Technologies Serving Radio Network Subsystem Sounding Reference Signal Server Single Radio Voice Call Continuity Secondary Synchronization Code Space-Time Block Code Single-User Multiple-Input Multiple-Output Single-User Uplink Multiple-Input Multiple-Output Single Wireless Protocol Short for Synchronization Timing Advance Tracking Area Identity Transmit Antenna Switching Target Acquisition and tracking Unit Transport Blocks Transmission Control Protocol Time Division Duplex Traffic Detection Function Time Division-Long Term Evolution or LTE TDD Time Division Multiplexing October 2012 Page 231

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TDS TD-SCDMA TE-ID TETRA TF TISPAN TM TMSI Tsp TP TPC TRX TS TSG-RAN TSM TSMS TSN TTI Tx or TX TxD or TXD UCI UDC UDR UE UGC UICC

UL UL-SCH UM UMA UMB UMD UMTS UpPTS URA_PCH URI URN USB USB-IC USAT USIM USSD UTC UTRA UTRAN VAS VCC VDSL VLR VNI

Time Domain Scheduling Time Division-Spatial Code Division Multiple Access Tunnel Endpoint Identifier Terrestrial Trunked Radio Transport Format Telecoms & Internet converged Services & Protocols for Advanced Networks, a standardization body of ETSI Transparent Mode Temporary Mobile Subscriber Identity Reference point between the Service Capability Server (SCS) and Machine Type Communication Inter Working Function Transport Protocol Transmit Power Control Transceiver Technical Specification TSG Radio Access Network is a specification group at 3GPP Transport Synchronous Module Interface between the Short Message Entity and the Short Message Service Center Transmission Sequence Numbering Transmission Time Interval Transmit Transmit Diversity Uplink Control Information Utility Data Center User Data Repository User Equipment User Generated Content 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 Uplink Uplink Shared Channel Unacknowledged Mode Unlicensed Mobile Access Ultra Mobile Broadband Ultra Mobile Device Universal Mobile Telecommunication System, also known as WCDMA Uplink Pilot Time Slot UTRAN Registration Area_Paging Channel Uniform Resource Identifiers Uniform Resource Names Universal Serial Bus Universal Serial Bus-Integrated Circuit USIM Application Toolkit Universal SIM Unstructured Supplementary Service Data Universal Time Coordinated Universal Terrestrial Radio Access UMTS Terrestrial Radio Access Network Value-Added Service Voice Call Continuity Very-high-speed Digital Subscriber Line Visitor Location Register Visual Networking Index October 2012 Page 232

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VoHSPA VoIP VoLTE VPCRF VPLMN VPN vSRVCC WAP WBC WCDMA WI Wi-Fi WIM WiMAX WLAN WP WRC WTSC-G3GSN X2 xDSL xHTML xSON

Voice over HSPA Voice over Internet Protocol Voice over LTE Visiting PCRF Visiting PLMN Virtual Private Network Single Radio Video Call Continuity Wireless Application Protocol Wireless Broadband Core Wideband Code Division Multiple Access Work Item Wireless Internet or IEEE 802.11 standards Wireless Identity Module Worldwide Interoperability for Microwave Access based on IEEE 802.16 standard Wireless Local Area Network Working Party World Radio Conference Wireless Technologies & Systems Committee-GSM/3G System and Network Subcommittee at ATIS Interface between eNBs Digital Subscriber Line Extensible Hypertext Markup Language 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, Amrica Mvil, 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 Telefnica. 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.

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