LTE-U Forum: Alcatel-Lucent, Ericsson, LG Electronics, Qualcomm Technologies Inc., Samsung Electronics & Verizon. (Modifications to 3GPP TS 36.

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1 LTE-U Forum LTE-U Forum: Alcatel-Lucent, Ericsson, LG Electronics, Qualcomm Technologies Inc., Samsung Electronics & Verizon UE Minimum Requirements for LTE-U SDL V1.0 ( ) (Modifications to 3GPP TS ) Disclaimer and Copyright Notification Copyright 2015 LTE-U Forum Companies: Alcatel-Lucent, Ericsson, LG Electronics, Qualcomm Technologies Inc., Samsung Electronics, Verizon. All rights reserved. This document provides initial information related to Long Term Evolution (LTE) technology operation using unlicensed spectrum as a Supplemental Downlink to LTE technology operation using licensed spectrum. All information provided herein is subject to change without notice. The information provided herein was considered technically accurate by the LTE-U Forum Companies at the time the documents were initially published, but LTE-U Forum Companies disclaim and make no guaranty or warranty, express or implied, as to the accuracy or completeness of any information contained or referenced herein. LTE-U FORUM COMPANIES DISCLAIM ANY IMPLIED WARRANTY OF MERCHANTABILITY, NON- INFRINGEMENT, OR FITNESS FOR ANY PARTICULAR PURPOSE, AND ALL SUCH INFORMATION IS PROVIDED ON AN AS-IS BASIS. Other than as explicitly provided below, LTE-U Forum is not providing any licenses under any intellectual property of any kind owned by any person (whether an LTE-U Forum Company or otherwise) that may be necessary to access or utilize any of the information contained herein, including but not limited to any source materials referenced herein, and any patents required to implement or develop any technology described herein. It shall be the responsibility of the developer to obtain any such licenses, if necessary. LTE-U Forum disclaims liability for any damages or losses of any nature whatsoever whether direct, indirect, special or consequential resulting from the use of or reliance on any information contained or referenced herein. Permission is given to reproduce this document in its entirety solely for the review, analysis, and implementation of LTE- U. Use of this document for any other reasons without the permission of LTE-U Forum Companies is explicitly prohibited.

2 Contents Foreword Scope References Definitions, symbols and abbreviations Definitions Symbols Abbreviations General Relationship between minimum requirements and test requirements Applicability of minimum requirements Void A Applicability of minimum requirements (CA, UL-MIMO, edl-mimo) RF requirements in later releases Operating bands and channel arrangement General Void Void Void Operating bands A Operating bands for CA B Operating bands for UL-MIMO Channel bandwidth Channel bandwidths per operating band A Channel bandwidth for CA A.1 Channel bandwidths per operating band for CA B Channel bandwidth for UL-MIMO Channel arrangement Channel spacing Channel raster Carrier frequency and EARFCN TX RX frequency separation Transmitter characteristics General Transmit power Void UE maximum output power UE maximum output power for modulation / channel bandwidth UE maximum output power with additional requirements Configured transmitted power A Configured transmitted power for CA B Configured transmitted power for UL-MIMO Output power dynamics Void Transmit signal quality Output RF spectrum emissions Occupied bandwidth Out of band emission Spurious emissions Minimum requirements A Minimum requirements for CA Spurious emission band UE co-existence A Spurious emission band UE co-existence for CA Additional spurious emissions A Additional spurious emissions for CA A Void LTE-U Forum

3 6.6.3B Spurious emission for UL-MIMO A Void B Void Transmit intermodulation Void Receiver characteristics General Diversity characteristics Reference sensitivity power level Minimum requirements (QPSK) A Minimum requirements (QPSK) for CA B Minimum requirements (QPSK) for UL-MIMO Void Maximum input level Minimum requirements A Minimum requirements for CA B Minimum requirements for UL-MIMO A Void A.1 Void Adjacent Channel Selectivity (ACS) Minimum requirements A Minimum requirements for CA B Minimum requirements for UL-MIMO Blocking characteristics In-band blocking Minimum requirements A Minimum requirements for CA Out-of-band blocking Minimum requirements A Minimum requirements for CA Narrow band blocking A Void B Blocking characteristics for UL-MIMO Spurious response Minimum requirements A Minimum requirements for CA B Minimum requirements for UL-MIMO Intermodulation characteristics Wide band intermodulation Minimum requirements A Minimum requirements for CA B Minimum requirements for UL-MIMO Void Spurious emissions Minimum requirements Receiver image LTE-U Forum

4 8 Performance requirement Reporting of Channel State Information Performance requirement (MBMS) Annex A (normative): Measurement channels Annex B (normative): Propagation conditions Annex C (normative): Downlink Physical Channels Annex D (normative): Characteristics of the interfering signal D.1 General D.2 Interference signals Annex E (normative): Environmental conditions Annex F (normative): Transmit modulation Annex G (informative): Reference sensitivity level in lower SNR LTE-U Forum

5 Foreword This Technical Specification has been produced within the LTE-U Forum. The specification is based on 3GPP TS v The changes are shown in red. 4 LTE-U Forum

6 1 Scope 2 References 3 Definitions, symbols and abbreviations 3.1 Definitions 3.2 Symbols 3.3 Abbreviations See this clause in TS V and apply the changes in this section of R R includes some changes TS V which add some abbreviations for 3DL CA, but are not shown here since this document is focused on changes essential to the new LTE_U SDL bands. 4 General 4.1 Relationship between minimum requirements and test requirements 4.2 Applicability of minimum requirements 4.3 Void 4.3A Applicability of minimum requirements (CA, UL-MIMO, edl- MIMO) and include the clarification in R about bandwidth combination set support. We do not show the R changes here as the intent of this document is to highlight the changes for the LTE-U SDL bands. 4.4 RF requirements in later releases 5 LTE-U Forum

7 5 Operating bands and channel arrangement 5.1 General 5.2 Void 5.3 Void 5.4 Void 5.5 Operating bands E-UTRA is designed to operate in the operating bands defined in Table LTE-U Forum

8 E-UTRA Operating Band Table E-UTRA operating bands Uplink (UL) operating band BS receive UE transmit Downlink (DL) operating band BS transmit UE receive Duplex Mode F UL_low F UL_high F DL_low F DL_high Reserved Reserved 16 Reserved Reserved N/A N/A TDD TDD TDD TDD TDD TDD TDD TDD TDD TDD TDD TDD 252 N/A Reserved Reserved 254 Reserved Reserved 255 N/A NOTE 1: Band 6 is not applicable NOTE 2: Restricted to E-UTRA operation when carrier aggregation is configured. The downlink operating band is paired with the uplink operating band (external) of the carrier aggregation configuration that is supporting the configured Pcell. 7 LTE-U Forum

9 5.5A Operating bands for CA Note: Some changes from approved CR R are included in this section but not shown with change marks. Change marks are reserved for LTE-U SDL related changes. E-UTRA carrier aggregation is designed to operate in the operating bands defined in Tables 5.5A-1 and 5.5A-2. Table 5.5A-1: Intra-band contiguous CA operating bands E-UTRA E-UTRA Uplink (UL) operating band Downlink (DL) operating band Duplex CA Band Band BS receive / UE transmit BS transmit / UE receive Mode F UL_low F UL_high F DL_low F DL_high CA_ CA_ CA_ CA_ CA_ CA_ TDD CA_ TDD CA_ TDD CA_ TDD CA_ TDD CA_ N/A CA_ N/A NOTE 1: Restricted to E-UTRA operation when inter-band carrier aggregation is configured. The downlink operating band is paired with the uplink operating band (external) of the carrier aggregation configuration that is supporting the configured Pcell Table 5.5A-2: Inter-band CA operating bands (two bands) 8 LTE-U Forum

10 E-UTRA CA Band CA_1-5 CA_1-8 CA_1-11 CA_1-18 CA_1-19 CA_1-20 CA_1-21 CA_1-26 CA_2-4 CA_2-4-4 CA_2-5 CA_2-12 CA_2-13 CA_ CA_2-17 CA_2-29 CA_2-252 CA_2-255 CA_3-5 CA_3-7 CA_3-8 CA_3-19 CA_3-20 CA_3-26 CA_3-27 CA_3-28 CA_4-5 CA_4-7 E-UTRA Uplink (UL) operating band Downlink (DL) operating band Duplex Band BS receive / UE transmit BS transmit / UE receive Mode F UL_low F UL_high F DL_low F DL_high N/A N/A N/A LTE-U Forum

11 CA_4-12 CA_ CA_4-13 CA_ CA_4-17 CA_4-27 CA_4-29 CA_4-252 CA_4-255 CA_5-7 CA_5-12 CA_5-17 CA_5-25 CA_7-20 CA_7-28 CA_8-20 CA_8-40 CA_11-18 CA_12-25 CA_ CA_ CA_19-21 CA_20-32 CA_23-29 CA_ N/A N/A N/A TDD N/A N/A N/A N/A TDD 10 LTE-U Forum

12 Table 5.5A-2a: Inter-band CA operating bands (three bands) E-UTRA CA Band CA_ CA_2-4-5 CA_ CA_ CA_2A- 5A-12A CA_ E-UTRA Uplink (UL) operating band Downlink (DL) operating band Duplex Band BS receive / UE transmit BS transmit / UE receive Mode F UL_low F UL_high F DL_low F DL_high Table 5.5A-3: Intra-band non-contiguous CA operating bands (with two sub-blocks) E-UTRA E-UTRA Uplink (UL) operating band Downlink (DL) operating band Duplex CA Band Band BS receive / UE transmit BS transmit / UE receive Mode F UL_low F UL_high F DL_low F DL_high CA_ CA_ CA_ CA_ CA_ CA_ CA_ TDD CA_ TDD 5.5B Operating bands for UL-MIMO 5.6 Channel bandwidth Channel bandwidths per operating band 5.6A Channel bandwidth for CA See this clause in TS V LTE-U Forum

13 5.6A.1 Channel bandwidths per operating band for CA Note: Some changes from approved CR R are included in this section but not shown with change marks. Change marks are reserved for LTE-U SDL related changes. The requirements for carrier aggregation in this specification are defined for carrier aggregation configurations with associated bandwidth combination sets. For inter-band carrier aggregation, a carrier aggregation configuration is a combination of operating bands, each supporting a carrier aggregation bandwidth class. For intra-band contiguous carrier aggregation, a carrier aggregation configuration is a single operating band supporting a carrier aggregation bandwidth class. For each carrier aggregation configuration, requirements are specified for all bandwidth combinations contained in a bandwidth combination set, which is indicated per supported band combination in the UE radio access capability. A UE can indicate support of several bandwidth combination sets per band combination. Furthermore, if the UE indicates support of a bandwidth combination set that is a superset of another applicable bandwidth combination set, the latter is supported by the UE even if not indicated. Requirements for intra-band contiguous carrier aggregation are defined for the carrier aggregation configurations and bandwidth combination sets specified in Table 5.6A.1-1. Requirements for inter-band carrier aggregation are defined for the carrier aggregation configurations and bandwidth combination sets specified in Table 5.6A.1-2 and Table 5.6A.1-2a. Requirements for intra-band non-contiguous carrier aggregation are defined for the carrier aggregation configurations and bandwidth combination sets specified in Table 5.6A.1-3. The DL component carrier combinations for a given CA configuration shall be symmetrical in relation to channel centre unless stated otherwise in Tables 5.6A.1-1, Table 5.6A.1-2 and Table 5.6A.1-2a. 12 LTE-U Forum

14 Table 5.6A.1-1: E-UTRA CA configurations and bandwidth combination sets defined for intra-band contiguous CA E-UTRA CA configuration CA_1C CA_3C CA_7C E-UTRA CA configuration / Bandwidth combination set Component carriers in order of increasing carrier frequency Allowed Maximum Allowed channel Allowed channel aggregated channel bandwidths for carrier bandwidths for carrier bandwidth [] [] bandwidths for [] carrier [] , 10, , 10, 15, , , 15, 20 Bandwidth combinatio n set CA_12B 5 5, CA_23B CA_27B , 3, , CA_38C CA_39C CA_40C CA_41C CA_40D CA_41D CA_42C ,10, , 10, , , , 15, 20 5, , , 10, 15, 20 10, , , , 15, , , 15, 20 15, 20 5, 10, 15, , 10, 15, , 10, LTE-U Forum

15 CA_252C CA_255C NOTE 1: The CA configuration refers to an operating band and a CA bandwidth class specified in Table 5.6A-1 (the indexing letter). Absence of a CA bandwidth class for an operating band implies support of all classes. NOTE 2: For the supported CC bandwidth combinations, the CC downlink and uplink bandwidths are equal 14 LTE-U Forum

16 Table 5.6A.1-2: E-UTRA CA configurations and bandwidth combination sets defined for inter-band CA (two bands) E-UTRA CA Configuration CA_1A-5A CA_1A-8A CA_1A-11A CA_1A-18A CA_1A-19A CA_1A-20A CA_1A-21A CA_1A-26A CA_2A-4A CA_2A-4A-4A CA_2A-5A CA_2A-12A CA_2A-12B CA_2A-13A CA_2A-2A-13A CA_2A-17A CA_2A-29A CA_2A-252A E- UTRA Bands E-UTRA CA configuration / Bandwidth combination set Yes 5 Yes 1 Yes Yes Yes Yes 5 Yes Yes 1 Yes Yes Yes Yes 8 Yes Yes 1 Yes Yes 8 Yes Yes 1 Yes Yes Yes Yes 11 Yes Yes 1 Yes Yes Yes Yes 18 Yes Yes Yes 1 Yes Yes 18 Yes Yes 1 Yes Yes Yes Yes 19 Yes Yes Yes 1 Yes Yes Yes 20 Yes Yes 1 Yes Yes Yes Yes 21 Yes Yes Yes 1 Yes Yes Yes Yes 26 Yes Yes Yes 1 Yes Yes 26 Yes Yes 2 Yes Yes Yes Yes Yes Yes 4 Yes Yes Yes Yes 2 Yes Yes 4 Yes Yes 2 Yes Yes Yes Yes 4 See CA_4A-4A in Table 5.6A Yes Yes Yes Yes 5 Yes Yes 2 Yes Yes Yes Yes 12 Yes Yes 2 Yes Yes Yes Yes 12 See CA_12B in Table 5.6A Yes Yes Yes Yes 13 Yes 2 Yes Yes 13 Yes 2 See CA_2A-2A in Table 5.6A Yes 2 Yes Yes 17 Yes Yes 2 Yes Yes 29 Yes Yes Yes 2 Yes Yes 29 Yes Yes 2 Yes Yes Yes Yes 29 Yes Yes 2 Yes Yes Yes Yes 252 Yes Maximum aggregated bandwidth [] Bandwidth combination set LTE-U Forum

17 CA_2A-252C CA_2A-255A CA_2A-255C CA_3A-5A CA_3A-7A CA_3A-7C CA_3C-7A CA_3A-8A CA_3A-19A CA_3A-20A CA_3A-26A CA_3A-27A CA_3A-28A CA_4A-5A CA_4A-7A CA_4A-12A CA_4A-4A-12A CA_4A-12B CA_4A-13A CA_4A-4A-13A CA_4A-17A CA_4A-29A 2 Yes Yes Yes Yes See CA_252C in Table 5.6A Yes Yes Yes Yes Yes 2 Yes Yes Yes Yes See CA_255C in Table 5.6A Yes Yes Yes Yes Yes 3 Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes Yes 3 Yes Yes Yes Yes See CA_7C in table 5.6A See CA_3C in table 5.6A Yes Yes Yes Yes 3 Yes Yes Yes Yes Yes 3 Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes Yes 3 Yes Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes 3 Yes Yes Yes Yes Yes Yes Yes Yes 4 Yes Yes Yes Yes 4 Yes Yes Yes Yes Yes Yes 4 Yes Yes Yes Yes Yes Yes 4 Yes Yes Yes Yes Yes Yes 4 Yes Yes Yes Yes Yes Yes Yes Yes 4 See CA_4A-4A in Table 5.6A Yes Yes 4 Yes Yes Yes Yes See CA_12B in Table 5.6A Yes Yes Yes Yes Yes 4 Yes Yes Yes 4 See CA_4A-4A in Table 5.6A Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes 16 LTE-U Forum

18 29 Yes Yes 4 Yes Yes Yes Yes 29 Yes Yes 30 2 CA_4A-252A 4 Yes Yes Yes Yes 252 Yes 40 0 CA_4A-252C 4 Yes Yes Yes Yes 252 See CA_252C in Table 5.6A CA_4A-255A 4 Yes Yes Yes Yes 255 Yes 40 0 CA_4A-255C 4 Yes Yes Yes Yes 255 See CA_255C in Table 5.6A CA_5A-7A 5 Yes Yes Yes Yes 7 Yes Yes Yes 30 0 CA_5A -12A 5 Yes Yes 12 Yes Yes 20 0 CA_5A-17A 5 Yes Yes 17 Yes Yes 20 0 CA_5A-25A 5 Yes Yes 25 Yes Yes Yes Yes 30 0 CA_7A-20A 7 Yes Yes Yes 20 Yes Yes Yes Yes Yes 20 Yes Yes Yes Yes 40 1 CA_7A-28A 7 Yes Yes Yes Yes 28 Yes Yes Yes 35 0 CA_8A-20A 8 Yes Yes 20 Yes Yes Yes Yes Yes 20 Yes Yes 20 1 CA_8A-40A 8 Yes Yes 40 Yes Yes Yes Yes 30 0 CA_11A-18A 11 Yes Yes 18 Yes Yes Yes 25 0 CA_12A-25A 12 Yes Yes 25 Yes Yes Yes Yes 30 0 CA_13A-252A 13 Yes 252 Yes 30 0 CA_13A-252C 13 Yes 252 See CA_252C in Table 5.6A CA_13A-255A 13 Yes 255 Yes 30 0 CA_13A-255C 13 Yes 255 See CA_255C in Table 5.6A CA_19A-21A 19 Yes Yes Yes 21 Yes Yes Yes 30 0 CA_20A-32A 20 Yes Yes 32 Yes Yes Yes Yes 30 0 CA_23A-29A 23 Yes Yes Yes Yes 29 Yes Yes Yes Yes Yes 29 Yes Yes Yes 20 1 CA_39A-41A 39 Yes Yes Yes 41 Yes 40 0 NOTE 1: The CA Configuration refers to a combination of an operating band and a CA bandwidth class specified in Table 5.6A-1 (the indexing letter). Absence of a CA bandwidth class for an operating band implies support of all classes. NOTE 2: For each band combination, all combinations of indicated bandwidths belong to the set NOTE 3: For the supported CC bandwidth combinations, the CC downlink and uplink bandwidths are equal 17 LTE-U Forum

19 Table 5.6A.1-2a: E-UTRA CA configurations and bandwidth combination sets defined for inter-band CA (three bands) E-UTRA CA Configuration E- UTRA Bands E-UTRA CA configuration / Bandwidth combination set Maximum aggregated bandwidth [] Bandwidth combination set 1 Yes Yes Yes Yes CA_1A-19A-21A 19 Yes Yes Yes Yes Yes Yes 2 Yes Yes Yes Yes CA_2A-4A-5A 4 Yes Yes Yes Yes Yes Yes 2 Yes Yes Yes Yes CA_2A-4A-12A 4 Yes Yes Yes Yes Yes Yes 2 Yes Yes Yes Yes CA_2A-4A-13A 4 Yes Yes Yes Yes Yes 2 Yes Yes Yes Yes CA_2A-5A-12A 5 Yes Yes Yes Yes 3 Yes Yes Yes Yes CA_3A-7A-20A 7 Yes Yes Yes Yes Yes Yes Yes 4 Yes Yes Yes Yes CA_4A-5A-12A 5 Yes Yes Yes Yes NOTE 1: The CA Configuration refers to a combination of an operating band and a CA bandwidth class specified in Table 5.6A-1 (the indexing letter). Absence of a CA bandwidth class for an operating band implies support of all classes. NOTE 2: For each band combination, all combinations of indicated bandwidths belong to the set NOTE 3: For the supported CC bandwidth combinations, the CC downlink and uplink bandwidths are equal 18 LTE-U Forum

20 Table 5.6A.1-3: E-UTRA CA configurations and bandwidth combination sets defined for noncontiguous intra-band CA (with two sub-blocks) E-UTRACA configuration E-UTRA CA configuration / Bandwidth combination set Component carriers in order of increasing carrier frequency Allowed channel bandwidths for carrier [] Allowed channel bandwidths for carrier [] Maximum aggregated bandwidth [] Bandwidth combination set CA_2A-2A 5, 10, 15, 20 5, 10, 15, CA_3A-3A 5, 10, 15, 20 5, 10, 15, CA_4A-4A 5, 10, 15, 20 5, 10, 15, CA_7A-7A 10 10, , CA_23A-23A CA_25A-25A 5, 10 5, CA_41A-41A 10, 15, 20 10, 15, , 10, 15, 20 5, 10, 15, CA_41A-41C 5, 10, 15, 20 See Table 5.6A CA_41C-41A See Table 5.6A.1-1 5, 10, 15, CA_42A-42A 5, 10, 15, 20 5, 10, 15, B Channel bandwidth for UL-MIMO 5.7 Channel arrangement Channel spacing Channel raster Carrier frequency and EARFCN The carrier frequency in the uplink and downlink is designated by the E-UTRA Absolute Radio Frequency Channel Number (EARFCN) in the ranges and The relation between EARFCN and the carrier frequency in for the downlink is given by the following equation, where F DL_low and N Offs-DL are given in Table and N DL is the downlink EARFCN. F DL = F DL_low + 0.1(N DL N Offs-DL ) The relation between EARFCN and the carrier frequency in for the uplink is given by the following equation where F UL_low and N Offs-UL are given in Table and N UL is the uplink EARFCN. F UL = F UL_low + 0.1(N UL N Offs-UL ) 19 LTE-U Forum

21 Table : E-UTRA channel numbers E-UTRA Downlink Uplink Operating F DL_low () N Offs-DL Range of N DL F UL_low () N Offs-UL Range of N UL Band N/A N/A N/A N/A NOTE 1: The channel numbers that designate carrier frequencies so close to the operating band edges that the carrier extends beyond the operating band edge shall not be used. This implies that the first 7, 15, 25, 50, 75 and 100 channel numbers at the lower operating band edge and the last 6, 14, 24, 49, 74 and 99 channel numbers at the upper operating band edge shall not be used for channel bandwidths of 1.4, 3, 5, 10, 15 and 20 respectively. NOTE 2: Restricted to E-UTRA operation when carrier aggregation is configured. For operations in Band 252, only the following set of DL EARFCNs is allowed. N DL,allowed = {n-2, n-1, n, n+1, n+2 n = , , , , } For operations in Band 255, only the following set of DL EARFCNs is allowed. N DL,allowed = {n-2, n-1, n, n+1, n+2 n = , , , , } 20 LTE-U Forum

22 5.7.4 TX RX frequency separation 6 Transmitter characteristics 6.1 General 6.2 Transmit power Void UE maximum output power UE maximum output power for modulation / channel bandwidth UE maximum output power with additional requirements Configured transmitted power Note: Some changes from approved CR R are included in this section but not shown with change marks. Change marks are reserved for LTE-U SDL related changes. The UE is allowed to set its configured maximum output power P CMAX,c for serving cell c. The configured maximum output power P CMAX,c is set within the following bounds: P CMAX_L,c P CMAX,c P CMAX_H,c with where P CMAX_L,c = MIN {P EMAX,c T C,c, P PowerClass MAX(MPR c + A-MPR c + ΔT IB,c + T C,c, P-MPR c )} P CMAX_H,c = MIN {P EMAX,c, P PowerClass } - P EMAX,c is the value given by IE P-Max for serving cell c, defined in [7]; - P PowerClass is the maximum UE power specified in Table without taking into account the tolerance specified in the Table ; - MPR c and A-MPR c for serving cell c are specified in subclause and subclause 6.2.4, respectively; - T IB,c is the additional tolerance for serving cell c as specified in Table ; T IB,c = 0 db otherwise; - T C,c = 1.5 db when Note 2 in Table applies; - T C,c = 0 db when Note 2 in Table does not apply. P-MPR c is the allowed maximum output power reduction for 21 LTE-U Forum

23 a) ensuring compliance with applicable electromagnetic energy absorption requirements and addressing unwanted emissions / self desense requirements in case of simultaneous transmissions on multiple RAT(s) for scenarios not in scope of 3GPP RAN specifications; b) ensuring compliance with applicable electromagnetic energy absorption requirements in case of proximity detection is used to address such requirements that require a lower maximum output power. The UE shall apply P-MPR c for serving cell c only for the above cases. For UE conducted conformance testing P-MPR shall be 0 db NOTE 1: P-MPR c was introduced in the P CMAX,c equation such that the UE can report to the enb the available maximum output transmit power. This information can be used by the enb for scheduling decisions. NOTE 2: P-MPR c may impact the maximum uplink performance for the selected UL transmission path. For each subframe, the P CMAX_L,c for serving cell c is evaluated per slot and given by the minimum value taken over the transmission(s) within the slot; the minimum P CMAX_ L,c over the two slots is then applied for the entire subframe. P PowerClass shall not be exceeded by the UE during any period of time. The measured configured maximum output power P UMAX,c shall be within the following bounds: P CMAX_L,c MAX{T L, T(P CMAX_L,c )} P UMAX,c P CMAX_H,c + T(P CMAX_H,c ) where T(P CMAX,c ) is defined by the tolerance table below and applies to P CMAX_L,c and P CMAX_H,c separately, while T L is the absolute value of the lower tolerance in Table for the applicable operating band. Table : P CMAX tolerance P CMAX,c (dbm) Tolerance T(P CMAX,c) (db) 23 < P CMAX,c P CMAX,c P CMAX,c < P CMAX,c < P CMAX,c < P CMAX,c < P CMAX,c < P CMAX,c < For the UE which supports inter-band carrier aggregation configurations with the uplink assigned to one E-UTRA band the ΔT IB,c is defined for applicable bands in Table and Table a. 22 LTE-U Forum

24 Table : ΔT IB,c (two bands) Inter-band CA E-UTRA Band ΔT IB,c [db] Configuration CA_1A-5A CA_1A-8A CA_1A-11A CA_1A-18A CA_1A-19A CA_1A-20A CA_1A-21A CA_1A-26A [0.5] CA_2A-4A [0.5] CA_2A-4A-4A CA_2A-5A CA_2A-12A CA_2A-12B CA_2A-13A CA_2A-2A-13A CA_2A-17A CA_2A-29A CA_2A-252A CA_2A-252C CA_2A-255A CA_2A-255C CA_3A-5A CA_3A-7A CA_3A-7C CA_3C-7A CA_3A-8A CA_3A-19A CA_3A-20A CA_3A-26A CA_3A-27A CA_3A-28A CA_4A-5A CA_4A-7A LTE-U Forum

25 CA_4A-12A CA_4A-4A-12A CA_4A-12B CA_4A-13A CA_4A-4A-13A CA_4A-17A CA_4A-27A CA_4A-29A CA_4A-252A CA_4A-252C CA_4A-255A CA_4A-255C CA_5A-7A CA_5A-12A CA_5A-17A CA_5A-25A CA_7A-20A CA_7A-28A CA_8A-20A CA_8A-40A CA_11A-18A CA_12A-25A CA_13A-252A CA_13A-252C CA_13A-255A CA_13A-255C CA_19A-21A CA_20A-32A CA_23A-29A CA_39A-41A NOTE 1: The above additional tolerances are only applicable for the E-UTRA operating bands that belong to the supported inter-band carrier aggregation configurations NOTE 2: The above additional tolerances also apply in non-aggregated operation for the supported E-UTRA operating bands that belong to the supported interband carrier aggregation configurations NOTE 3: In case the UE supports more than one of the above 2DL inter-band carrier aggregation configurations and a E-UTRA operating band belongs to more than one 2DL inter-band carrier aggregation configurations then: - When the E-UTRA operating band frequency range is 1GHz, the applicable additional tolerance shall be the average of the 2DL tolerances above, truncated to one decimal place for that operating band among the supported 2DL CA configurations. In case there is a harmonic relation between low band UL and high band DL, then the maximum tolerance among the different supported 2DL carrier aggregation configurations 24 LTE-U Forum

26 involving such band shall be applied - When the E-UTRA operating band frequency range is >1GHz, the applicable additional 2DL tolerance shall be the maximum tolerance above that applies for that operating band among the supported 2DL CA configurations NOTE 4: Only applicable for UE supporting inter-band carrier aggregation with uplink in one E-UTRA band and without simultaneous Rx/Tx. NOTE 5: Tolerances for a UE supporting multiple 3DL inter-band CA configurations are FFS NOTE 6: The above additional tolerances applicable for the E-UTRA operating bands that belong to the supported highest order inter-band carrier aggregation configuration, also applies to the same E-UTRA operating bands that belong to a supported lower order CA configuration. NOTE: The above additional tolerances do not apply to supported UTRA operating bands with frequency range below 1 GHz that correspond to the E-UTRA operating bands that belong to the supported inter-band carrier aggregation configurations when such bands are belonging only to band combination(s) where one band is <1GHz and another band is >1.7GHz and there is no harmonic relationship between the low band UL and high band DL. Otherwise the above additional tolerances also apply to supported UTRA operating bands that correspond to the E-UTRA operating bands that belong to the supported inter-band carrier aggregation configurations. NOTE: To meet the T IB,c requirements for CA_3A-7A with state-of-the-art technology, an increase in power consumption of the UE may be required. It is also expected that as the state-of-the-art technology evolves in the future, this possible power consumption increase can be reduced or eliminated. 25 LTE-U Forum

27 Inter-band CA Configuration CA_1A-19A- 21A CA_2A-4A-5A CA_2A-4A-12A CA_2A-4A-13A CA_2A-5A-12A CA_3A-7A-20A CA_4A-5A-12A Table a: ΔT IB,c (three bands) E-UTRA Band ΔT IB,c [db] [0.5] [0.5] [0.5] NOTE 1: The above additional tolerances are only applicable for the E-UTRA operating bands that belong to the supported inter-band carrier aggregation configurations NOTE 2: The above additional tolerances also apply in non-aggregated operation for the supported E-UTRA operating bands that belong to the supported interband carrier aggregation configurations NOTE 3: Tolerances for a UE supporting multiple 3DL inter-band CA configurations are FFS NOTE 4: The above additional tolerances applicable for the E-UTRA operating bands that belong to the supported highest order inter-band carrier aggregation configuration, also applies to the same E-UTRA operating bands that belong to a supported lower order CA configuration. NOTE: The above additional tolerances do not apply to supported UTRA operating bands with frequency range below 1 GHz that correspond to the E-UTRA operating bands that belong to the supported inter-band carrier aggregation configurations when such bands are belonging only to band combination(s) where one band is <1GHz and other bands are >1.7GHz and there is no harmonic relationship between the low band UL and high band DL. Otherwise the above additional tolerances also apply to supported UTRA operating bands that correspond to the E-UTRA operating bands that belong to the supported inter-band carrier aggregation configurations A Configured transmitted power for CA 6.2.5B Configured transmitted power for UL-MIMO 6.3 Output power dynamics 6.4 Void 26 LTE-U Forum

28 6.5 Transmit signal quality 6.6 Output RF spectrum emissions Occupied bandwidth Out of band emission Spurious emissions See this clause in TS V Minimum requirements A Minimum requirements for CA Spurious emission band UE co-existence This clause specifies the requirements for the specified E-UTRA band, for coexistence with protected bands NOTE: For measurement conditions at the edge of each frequency range, the lowest frequency of the measurement position in each frequency range should be set at the lowest boundary of the frequency range plus MBW/2. The highest frequency of the measurement position in each frequency range should be set at the highest boundary of the frequency range minus MBW/2. MBW denotes the measurement bandwidth defined for the protected band. 27 LTE-U Forum

29 E-UTRA Band Protected band Table : Requirements Spurious emission Frequency range () Maximum Level (dbm) MBW () 1 E-UTRA Band 1, 5, 7, 8, 11, 18, 19, 20, 21, 22, 26, 27, 28, 31, 32, 38, 40, 41, 42, 43, 44 F DL_low - F DL_high E-UTRA Band 3, 34 F DL_low - F DL_high 15 Note Frequency range ,27 Frequency range , 26, 27 Frequency range , 26, 27 Frequency range E-UTRA Band 4, 5, 10, 12, 13, 14, 17, 22, 23, 24, 26, 27, 28, 29, 30, 41, 42, 252 F DL_low - F DL_high E-UTRA Band 2, 25 F DL_low - F DL_high 15 E-UTRA Band F DL_low - F DL_high 2 3 E-UTRA Band 1, 5, 7, 8, 20, 26, 27, 28, 31, 32, 33, 34, 38, 39, 41, 43, 44 F DL_low - F DL_high E-UTRA Band 3 F DL_low - F DL_high 15 E-UTRA Band 11, 18, 19, 21 F DL_low - F DL_high 13 E-UTRA Band 22, 42 F DL_low - F DL_high 2 Frequency range E-UTRA Band 2, 4, 5, 7, 10, 12, 13, 14, 17, 22, 23, 24, 25, 26, 27, 28, 29, 30, 41, 43, 255 F DL_low - F DL_high E-UTRA Band 42, 252 F DL_low - F DL_high 2 5 E-UTRA Band 1, 2, 3, 4, 5, 7, 8, 10, 12, 13, 14, 17, 22, 23, 24, 25, 28, 29, 30, 31, 38, 40, 42, 43 F DL_low - F DL_high E-UTRA Band 41 F DL_low - F DL_high 2 E-UTRA Band E-UTRA Band 1, 9, 11, 34 F DL_low - F DL_high Frequency range Frequency range Frequency range E-UTRA Band 1, 2, 3, 4, 5, 7, 8, 10, 12, 13, 14, 17, 20, 22, 27, 28, 29, 30, 31, 32, 33, 34, 40, 42, 43 F DL_low - F DL_high Frequency range , 21, 26 Frequency range , 21, 26 Frequency range , 21 8 E-UTRA Band 1, 20, 28, 31, 32, 33, 34, 38, 39, 40 F DL_low - F DL_high E-UTRA band 3 F DL_low - F DL_high 2 E-UTRA band 7 F DL_low - F DL_high 2 E-UTRA Band 8 F DL_low - F DL_high 15 E-UTRA Band 22, 41, 42, 43 F DL_low - F DL_high 2 E-UTRA Band 11, 21 F DL_low - F DL_high 23 Frequency range , 23 Frequency range , 23 9 E-UTRA Band 1, 11, 18, 19, 21, 26, 28, 34 F DL_low - F DL_high Frequency range Frequency range Frequency range Frequency range Frequency range LTE-U Forum

30 10 E-UTRA Band 2, 4, 5, 10, 12, 13, 14, 17, 23, 24, 25, 26, 27, 28, 29, 30, 41, 43, 255 F DL_low - F DL_high E-UTRA Band 22, 42, 252 F DL_low - F DL_high 2 11 E-UTRA Band 1, 11, 18, 19, 21, 28, 34 F DL_low - F DL_high Frequency range Frequency range Frequency range Frequency range Frequency range E-UTRA Band 2, 5, 13, 14, 17, 23, 24, 25, 26, 27, 30, 41, 252, 255 F DL_low - F DL_high E-UTRA Band 4, 10 F DL_low - F DL_high 2 E-UTRA Band 12 F DL_low - F DL_high E-UTRA Band 2, 4, 5, 10, 12, 13, 17, 23, 25, 26, 27, 29, 41, 252, 255 F DL_low - F DL_high Frequency range Frequency range , 15 E-UTRA Band 14 F DL_low - F DL_high 15 E-UTRA Band 24, 30 F DL_low - F DL_high 2 14 E-UTRA Band 2, 4, 5, 10, 12, 13, 14, 17, 23, 24, 25, 26, 27, 29, 30, 41 F DL_low - F DL_high Frequency range , 15 Frequency range , 12, E-UTRA Band 2, 5, 13, 14, 17, 23, 24, 25, 26, 27, 30, 41, 252, 255 F DL_low - F DL_high E-UTRA Band 4, 10 F DL_low - F DL_high 2 E-UTRA Band 12 F DL_low - F DL_high E-UTRA Band 1, 11, 21, 34 F DL_low - F DL_high Frequency range Frequency range Frequency range Frequency range Frequency range Frequency range Frequency range Frequency range E-UTRA Band 1, 11, 21, 28, 34 F DL_low - F DL_high Frequency range Frequency range Frequency range Frequency range Frequency range LTE-U Forum

31 20 E-UTRA Band 1, 3, 7, 8, 20, 22, 32, 33, 34, 40, 43 F DL_low - F DL_high E-UTRA Band 20 F DL_low - F DL_high E-UTRA Band 38, 42 F DL_low - F DL_high 2 Frequency range E-UTRA Band 1, 18, 19, 28, 34 F DL_low - F DL_high Frequency range Frequency range Frequency range Frequency range Frequency range E-UTRA Band 1, 3, 7, 8, 20, 26, 27, 28, 32, 33, 34, 38, 39, 40, 43 F DL_low - F DL_high Frequency range Frequency range E-UTRA Band 4, 5, 10, 12, 13, 14, 17, 23, 24, 26, 27, 29, 30, 41, 252, 255 F DL_low - F DL_high 24 E-UTRA Band 2, 4, 5, 10, 12, 13, 14, 17, 23, 24, 25, 26, 29, 30, 41 F DL_low - F DL_high 25 E-UTRA Band 4, 5, 10,12, 13, 14, 17, 22, 23, 24, 26, 27, 28, 29, 30, 41, 42, 252 F DL_low - F DL_high E-UTRA Band 2 F DL_low - F DL_high 15 E-UTRA Band 25 F DL_low - F DL_high 15 E-UTRA Band 43, 255 F DL_low - F DL_high 2 26 E-UTRA Band 1, 2, 3, 4, 5, 10, 11, 12, 13, 14, 17, 18,19, 21, 22, 23, 24, 25, 26, 29, 30, 31, 34, 40, 42, 43, 252, 255 F DL_low - F DL_high E-UTRA Band 41 F DL_low - F DL_high 2 Frequency range Frequency range Frequency range Frequency range E-UTRA Band 1, 2, 3, 4, 5, 7, 10, 12, 13, 14, 17, 22, 23, 25, 26, 27, 29, 30, 31, 38, 41, 42, 43, 252, 255 F DL_low - F DL_high Frequency range E-UTRA Band 28 F DL_low E-UTRA Band 2, 3, 5, 7, 8, 18, 19, 20, 25, 26, 27, 31, 34, 38, 41 F DL_low - F DL_high E-UTRA Band 1, 4, 10, 22, 42, 43 F DL_low - F DL_high 2 E-UTRA Band 11, 21 F DL_low - F DL_high 19, 24 E-UTRA Band 1 F DL_low - F DL_high 19, 25 Frequency range Frequency range Frequency range Frequency range Frequency range , 19 Frequency range E-UTRA Band 2, 4, 5, 7, 10, 12, 13, 14, 17, 23, 24, 25, 26, 27, 29, 30, 38, 41 F DL_low - F DL_high 30 LTE-U Forum

32 31 E-UTRA Band 1, 5, 7, 8, 26, 27, 28, 38, 42 F DL_low - F DL_high E-UTRA Band 3 F DL_low - F DL_high 2 33 E-UTRA Band 1, 7, 8, 20, 22, 32, 34, 38, 39, 40, 42, 43 F DL_low - F DL_high 5 E-UTRA Band 3 F DL_low - F DL_high E-UTRA Band 1, 3, 7, 8, 11, 18, 19, 20, 21, 22, 26, 28, 32, 33, 38,39, 40, 41, 42, 5 43, 44 F DL_low - F DL_high Frequency range Frequency range E-UTRA Band 1, 2, 3, 4, 5, 8, 10, 12, 13, 14, 17, 20, 22, 27, 28, 29, 30, 31, 32, 33, 34, 40, 42, 43 F DL_low - F DL_high Frequency range , 22, 26 Frequency range , E-UTRA Band 22, 34, 40, 41, 42, 44 F DL_low - F DL_high Frequency range [-40] 1 32 Frequency range [-15.5] 5 15,26,32 Frequency range [-15.5] 5 15,26,33 40 E-UTRA Band 1, 3, 5, 7, 8, 20, 22, 26, 27, 32, 33, 34, 38, 39, 41, 42, 43, 44 F DL_low - F DL_high 41 E-UTRA Band 1, 2, 3, 4, 5, 8, 10, 12, 13, 14, 17, 23, 24, 25, 26, 27, 28, 29, 30, 34, 39, 40, 42, 44, 255 F DL_low - F DL_high E-UTRA Band 9, 11, 18, 19, 21 F DL_low - F DL_high 30 E-UTRA Band 252 F DL_low - F DL_high 2 Frequency range Frequency range , E-UTRA Band 1, 2, 3, 4, 5, 7, 8, 10, 20, 25, 26, 27, 28, 31, 32, 33, 34, 38, 40, 41, 44 F DL_low - F DL_high 43 E-UTRA Band 1, 2, 3, 4, 5, 7, 8, 10, 20, 25, 26, 27, 28, 32, 33, 34, 38, 40 F DL_low - F DL_high E-UTRA Band 22 F DL_low - F DL_high [-50] [1] 3 44 E-UTRA Band 3, 5, 8, 34, 39, 41 F DL_low - F DL_high E-UTRA Band 1, 40, 42 F DL_low - F DL_high LTE-U Forum

33 NOTE 1: F DL_low and F DL_high refer to each E-UTRA frequency band specified in Table NOTE 2: As exceptions, measurements with a level up to the applicable requirements defined in Table are permitted for each assigned E-UTRA carrier used in the measurement due to 2 nd, 3 rd, 4 th [or 5 th ] harmonic spurious emissions. An exception is allowed if there is at least one individual RB within the transmission bandwidth (see Figure 5.6-1) for which the 2 nd, 3 rd or 4 th harmonic totally or partially overlaps the measurement bandwidth (MBW). NOTE 3: To meet these requirements some restriction will be needed for either the operating band or protected band NOTE 4: N/A NOTE 5: For non synchronised TDD operation to meet these requirements some restriction will be needed for either the operating band or protected band NOTE 6: N/A NOTE 7: Applicable when co-existence with PHS system operating in NOTE 8: Applicable when co-existence with PHS system operating in NOTE 9: N/A NOTE 10: N/A NOTE 11: Whether the applicable frequency range should be instead of is TBD NOTE 12: The emissions measurement shall be sufficiently power averaged to ensure a standard deviation < 0.5 db NOTE 13: This requirement applies for 5, 10, 15 and 20 E-UTRA channel bandwidth allocated within and NOTE 14: N/A NOTE 15: These requirements also apply for the frequency ranges that are less than F OOB () in Table and Table A-1 from the edge of the channel bandwidth. NOTE 16: N/A NOTE 17: N/A NOTE 18: N/A NOTE 19: Applicable when the assigned E-UTRA carrier is confined within 718 and 748 and when the channel bandwidth used is 5 or 10. NOTE 20: N/A NOTE 21: This requirement is applicable for any channel bandwidths within the range with the following restriction: for carriers of 15 bandwidth when carrier centre frequency is within the range and for carriers of 20 bandwidth when carrier centre frequency is within the range the requirement is applicable only for an uplink transmission bandwidth less than or equal to 54 RB. NOTE 22: This requirement is applicable for any channel bandwidths within the range with the following restriction: for carriers of 15 bandwidth when carrier centre frequency is within the range and for carriers of 20 bandwidth when carrier centre frequency is within the range the requirement is applicable only for an uplink transmission bandwidth less than or equal to 54 RB. For carriers with channel bandwidth overlapping the frequency range the requirement applies with the maximum output power configured to +19 dbm in the IE P-Max. NOTE 23: This requirement is applicable only for the following cases: - for carriers of 5 channel bandwidth when carrier centre frequency (F c) is within the range F c < with an uplink transmission bandwidth less than or equal to 20 RB - for carriers of 5 channel bandwidth when carrier centre frequency (F c) is within the range F c without any restriction on uplink transmission bandwidth. - for carriers of 10 channel bandwidth when carrier centre frequency (F c) is F c = 910 with an uplink transmission bandwidth less than or equal to 32 RB with RB start > 3. NOTE 24: As exceptions, measurements with a level up to the applicable requirement of -38 dbm/ is permitted for each assigned E-UTRA carrier used in the measurement due to 2 nd harmonic spurious emissions. An exception is allowed if there is at least one individual RB within the transmission bandwidth (see Figure 5.6-1) for which the 2 nd harmonic totally or partially overlaps the measurement bandwidth (MBW). NOTE 25: As exceptions, measurements with a level up to the applicable requirement of -36 dbm/ is permitted for each assigned E-UTRA carrier used in the measurement due to 3 rd harmonic spurious emissions. An exception is allowed if there is at least one individual RB within the transmission bandwidth (see Figure 5.6-1) for which the 3 rd harmonic totally or partially overlaps the measurement bandwidth (MBW). NOTE 26: For these adjacent bands, the emission limit could imply risk of harmful interference to UE(s) operating in the protected operating band. NOTE 27: This requirement is applicable for any channel bandwidths within the range with the following restriction: for carriers of 15 bandwidth when carrier centre frequency is within the range and for carriers of 20 bandwidth when carrier centre frequency is within the range the requirement is applicable only for an uplink transmission bandwidth less than or equal to 54 RB. NOTE 28: N/A NOTE 29: N/A 32 LTE-U Forum