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Lte for umts


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Lte for umts

  1. 1. LTE for UMTSEvolution to LTE-AdvancedSecond EditionLTE for UMTS: Evolution to LTE-Advanced, Second Edition. Edited by Harri Holma and Antti Toskala.© 2011 John Wiley & Sons, Ltd. Published 2011 by John Wiley & Sons, Ltd. ISBN: 978-0-470-66000-3
  2. 2. LTE for UMTSEvolution to LTE-AdvancedSecond EditionEdited byHarri Holma and Antti ToskalaNokia Siemens Networks, FinlandA John Wiley and Sons, Ltd., Publication
  3. 3. This edition first published 2011© 2011 John Wiley & Sons, LtdRegistered officeJohn Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, United KingdomFor details of our global editorial offices, for customer services and for information about how to apply forpermission to reuse the copyright material in this book please see our website at right of the author to be identified as the author of this work has been asserted in accordance with theCopyright, Designs and Patents Act 1988.All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, inany form or by any means, electronic, mechanical, photocopying, recording or otherwise, except as permitted bythe UK Copyright, Designs and Patents Act 1988, without the prior permission of the publisher.Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not beavailable in electronic books.Designations used by companies to distinguish their products are often claimed as trademarks. All brand namesand product names used in this book are trade names, service marks, trademarks or registered trademarks of theirrespective owners. The publisher is not associated with any product or vendor mentioned in this book. Thispublication is designed to provide accurate and authoritative information in regard to the subject matter covered.It is sold on the understanding that the publisher is not engaged in rendering professional services. If professionaladvice or other expert assistance is required, the services of a competent professional should be sought.Library of Congress Cataloging-in-Publication DataLTE for UMTS : Evolution to LTE-Advanced / edited by Harri Holma, Antti Toskala. – Second Edition. p. cm Includes bibliographical references and index. ISBN 978-0-470-66000-3 (hardback) 1. Universal Mobile Telecommunications System. 2. Wireless communication systems – Standards. 3. Mobilecommunication systems – Standards. 4. Global system for mobile communications. 5. Long-Term Evolution(Telecommunications) I. Holma, Harri (Harri Kalevi), 1970-II. Toskala, Antti. III. Title: Long Term Evolution forUniversal Mobile Telecommunications Systems. TK5103.4883.L78 2011 621.3845 6 – dc22 2010050375A catalogue record for this book is available from the British Library.Print ISBN: 9780470660003 (H/B)ePDF ISBN: 9781119992950oBook ISBN: 9781119992943ePub ISBN: 9781119992936Typeset in 10/12 Times by Laserwords Private Limited, Chennai, India.
  4. 4. To Kiira and Eevi – Harri HolmaTo Lotta-Maria, Maija-Kerttu and Olli-Ville – Antti Toskala
  5. 5. ContentsPreface xviiAcknowledgements xixList of Abbreviations xxi1 Introduction 1 Harry Holma and Antti Toskala1.1 Mobile Voice Subscriber Growth 11.2 Mobile Data Usage Growth 11.3 Evolution of Wireline Technologies 31.4 Motivation and Targets for LTE 41.5 Overview of LTE 51.6 3GPP Family of Technologies 61.7 Wireless Spectrum 81.8 New Spectrum Identified by WRC-07 91.9 LTE-Advanced 102 LTE Standardization 13 Antti Toskala2.1 Introduction 132.2 Overview of 3GPP Releases and Process 132.3 LTE Targets 152.4 LTE Standardization Phases 162.5 Evolution Beyond Release 8 182.6 LTE-Advanced for IMT-Advanced 202.7 LTE Specifications and 3GPP Structure 20 References 213 System Architecture Based on 3GPP SAE 23 Atte L¨ nsisalmi and Antti Toskala a3.1 System Architecture Evolution in 3GPP 233.2 Basic System Architecture Configuration with only E-UTRAN Access Network 25 3.2.1 Overview of Basic System Architecture Configuration 25
  6. 6. viii Contents 3.2.2 Logical Elements in Basic System Architecture Configuration 26 3.2.3 Self-configuration of S1-MME and X2 Interfaces 35 3.2.4 Interfaces and Protocols in Basic System Architecture Configuration 36 3.2.5 Roaming in Basic System Architecture Configuration 403.3 System Architecture with E-UTRAN and Legacy 3GPP Access Networks 41 3.3.1 Overview of 3GPP Inter-working System Architecture Configuration 41 3.3.2 Additional and Updated Logical Elements in 3GPP Inter-working System Architecture Configuration 42 3.3.3 Interfaces and Protocols in 3GPP Inter-working System Architecture Configuration 44 3.3.4 Inter-working with Legacy 3GPP CS Infrastructure 453.4 System Architecture with E-UTRAN and Non-3GPP Access Networks 46 3.4.1 Overview of 3GPP and Non-3GPP Inter-working System Architecture Configuration 46 3.4.2 Additional and Updated Logical Elements in 3GPP Inter-working System Architecture Configuration 48 3.4.3 Interfaces and Protocols in Non-3GPP Inter-working System Architecture Configuration 513.5 Inter-working with cdma2000® Access Networks 52 3.5.1 Architecture for cdma2000® HRPD Inter-working 52 3.5.2 Additional and Updated Logical Elements for cdma2000® HRPD Inter-working 54 3.5.3 Protocols and Interfaces in cdma2000® HRPD Inter-working 55 3.5.4 Inter-working with cdma2000® 1xRTT 563.6 IMS Architecture 56 3.6.1 Overview 56 3.6.2 Session Management and Routing 58 3.6.3 Databases 59 3.6.4 Services Elements 59 3.6.5 Inter-working Elements 593.7 PCC and QoS 60 3.7.1 PCC 60 3.7.2 QoS 62 References 654 Introduction to OFDMA and SC-FDMA and to MIMO in LTE 67 Antti Toskala and Timo Lunttila4.1 Introduction 674.2 LTE Multiple Access Background 674.3 OFDMA Basics 704.4 SC-FDMA Basics 764.5 MIMO Basics 804.6 Summary 82 References 82
  7. 7. Contents ix5 Physical Layer 83 Antti Toskala, Timo Lunttila, Esa Tiirola, Kari Hooli, Mieszko Chmiel and Juha Korhonen5.1 Introduction 835.2 Transport Channels and their Mapping to the Physical Channels 835.3 Modulation 855.4 Uplink User Data Transmission 865.5 Downlink User Data Transmission 905.6 Uplink Physical Layer Signaling Transmission 93 5.6.1 Physical Uplink Control Channel, PUCCH 94 5.6.2 PUCCH Configuration 98 5.6.3 Control Signaling on PUSCH 102 5.6.4 Uplink Reference Signals 1045.7 PRACH Structure 109 5.7.1 Physical Random Access Channel 109 5.7.2 Preamble Sequence 1105.8 Downlink Physical Layer Signaling Transmission 112 5.8.1 Physical Control Format Indicator Channel (PCFICH) 112 5.8.2 Physical Downlink Control Channel (PDCCH) 113 5.8.3 Physical HARQ Indicator Channel (PHICH) 115 5.8.4 Cell-specific Reference Signal 116 5.8.5 Downlink Transmission Modes 117 5.8.6 Physical Broadcast Channel (PBCH) 119 5.8.7 Synchronization Signal 1205.9 Physical Layer Procedures 120 5.9.1 HARQ Procedure 121 5.9.2 Timing Advance 122 5.9.3 Power Control 123 5.9.4 Paging 124 5.9.5 Random Access Procedure 124 5.9.6 Channel Feedback Reporting Procedure 127 5.9.7 Multiple Input Multiple Output (MIMO) Antenna Technology 132 5.9.8 Cell Search Procedure 134 5.9.9 Half-duplex Operation 1345.10 UE Capability Classes and Supported Features 1355.11 Physical Layer Measurements 136 5.11.1 eNodeB Measurements 136 5.11.2 UE Measurements and Measurement Procedure 1375.12 Physical Layer Parameter Configuration 1375.13 Summary 138 References 1396 LTE Radio Protocols 141 Antti Toskala, Woonhee Hwang and Colin Willcock6.1 Introduction 1416.2 Protocol Architecture 141
  8. 8. x Contents6.3 The Medium Access Control 144 6.3.1 Logical Channels 145 6.3.2 Data Flow in MAC Layer 1466.4 The Radio Link Control Layer 147 6.4.1 RLC Modes of Operation 148 6.4.2 Data Flow in the RLC Layer 1486.5 Packet Data Convergence Protocol 1506.6 Radio Resource Control (RRC) 151 6.6.1 UE States and State Transitions Including Inter-RAT 151 6.6.2 RRC Functions and Signaling Procedures 152 6.6.3 Self Optimization – Minimization of Drive Tests 1676.7 X2 Interface Protocols 169 6.7.1 Handover on X2 Interface 169 6.7.2 Load Management 1716.8 Understanding the RRC ASN.1 Protocol Definition 172 6.8.1 ASN.1 Introduction 172 6.8.2 RRC Protocol Definition 1736.9 Early UE Handling in LTE 1826.10 Summary 183 References 1837 Mobility 185 Chris Callender, Harri Holma, Jarkko Koskela and Jussi Reunanen7.1 Introduction 1857.2 Mobility Management in Idle State 186 7.2.1 Overview of Idle Mode Mobility 186 7.2.2 Cell Selection and Reselection Process 187 7.2.3 Tracking Area Optimization 1897.3 Intra-LTE Handovers 190 7.3.1 Procedure 190 7.3.2 Signaling 192 7.3.3 Handover Measurements 195 7.3.4 Automatic Neighbor Relations 195 7.3.5 Handover Frequency 196 7.3.6 Handover Delay 1977.4 Inter-system Handovers 1987.5 Differences in E-UTRAN and UTRAN Mobility 1997.6 Summary 201 References 2018 Radio Resource Management 203 Harri Holma, Troels Kolding, Daniela Laselva, Klaus Pedersen, Claudio Rosa and Ingo Viering8.1 Introduction 2038.2 Overview of RRM Algorithms 2038.3 Admission Control and QoS Parameters 2048.4 Downlink Dynamic Scheduling and Link Adaptation 206
  9. 9. Contents xi 8.4.1 Layer 2 Scheduling and Link Adaptation Framework 206 8.4.2 Frequency Domain Packet Scheduling 206 8.4.3 Combined Time and Frequency Domain Scheduling Algorithms 209 8.4.4 Packet Scheduling with MIMO 211 8.4.5 Downlink Packet Scheduling Illustrations 2118.5 Uplink Dynamic Scheduling and Link Adaptation 216 8.5.1 Signaling to Support Uplink Link Adaptation and Packet Scheduling 219 8.5.2 Uplink Link Adaptation 223 8.5.3 Uplink Packet Scheduling 2238.6 Interference Management and Power Settings 227 8.6.1 Downlink Transmit Power Settings 227 8.6.2 Uplink Interference Coordination 2288.7 Discontinuous Transmission and Reception (DTX/DRX) 2308.8 RRC Connection Maintenance 2338.9 Summary 233 References 2349 Self Organizing Networks (SON) 237 Krzysztof Kordybach, Seppo Hamalainen, Cinzia Sartori and Ingo Viering9.1 Introduction 2379.2 SON Architecture 2389.3 SON Functions 2419.4 Self-Configuration 241 9.4.1 Configuration of Physical Cell ID 242 9.4.2 Automatic Neighbor Relations (ANR) 2439.5 Self-Optimization and Self-Healing Use Cases 244 9.5.1 Mobility Load Balancing (MLB) 245 9.5.2 Mobility Robustness Optimization (MRO) 248 9.5.3 RACH Optimization 251 9.5.4 Energy Saving 251 9.5.5 Summary of the Available SON Procedures 252 9.5.6 SON Management 2529.6 3GPP Release 10 Use Cases 2539.7 Summary 254 References 25510 Performance 257 Harri Holma, Pasi Kinnunen, Istv´ n Z. Kov´ cs, Kari Pajukoski, a a Klaus Pedersen and Jussi Reunanen10.1 Introduction 25710.2 Layer 1 Peak Bit Rates 25710.3 Terminal Categories 26010.4 Link Level Performance 261 10.4.1 Downlink Link Performance 261 10.4.2 Uplink Link Performance 262
  10. 10. xii Contents10.5 Link Budgets 26510.6 Spectral Efficiency 270 10.6.1 System Deployment Scenarios 270 10.6.2 Downlink System Performance 273 10.6.3 Uplink System Performance 275 10.6.4 Multi-antenna MIMO Evolution Beyond 2 × 2 276 10.6.5 Higher Order Sectorization (Six Sectors) 283 10.6.6 Spectral Efficiency as a Function of LTE Bandwidth 285 10.6.7 Spectral Efficiency Evaluation in 3GPP 286 10.6.8 Benchmarking LTE to HSPA 28710.7 Latency 288 10.7.1 User Plane Latency 28810.8 LTE Refarming to GSM Spectrum 29010.9 Dimensioning 29110.10 Capacity Management Examples from HSPA Networks 293 10.10.1 Data Volume Analysis 293 10.10.2 Cell Performance Analysis 29710.11 Summary 299 References 30111 LTE Measurements 303 Marilynn P. Wylie-Green, Harri Holma, Jussi Reunanen and Antti Toskala11.1 Introduction 30311.2 Theoretical Peak Data Rates 30311.3 Laboratory Measurements 30511.4 Field Measurement Setups 30611.5 Artificial Load Generation 30711.6 Peak Data Rates in the Field 31011.7 Link Adaptation and MIMO Utilization 31111.8 Handover Performance 31311.9 Data Rates in Drive Tests 31511.10 Multi-user Packet Scheduling 31711.11 Latency 32011.12 Very Large Cell Size 32111.13 Summary 323 References 32312 Transport 325 Torsten Musiol12.1 Introduction 32512.2 Protocol Stacks and Interfaces 325 12.2.1 Functional Planes 325 12.2.2 Network Layer (L3) – IP 327 12.2.3 Data Link Layer (L2) – Ethernet 328 12.2.4 Physical Layer (L1) – Ethernet Over Any Media 329 12.2.5 Maximum Transmission Unit Size Issues 330
  11. 11. Contents xiii 12.2.6 Traffic Separation and IP Addressing 33212.3 Transport Aspects of Intra-LTE Handover 33412.4 Transport Performance Requirements 335 12.4.1 Throughput (Capacity) 335 12.4.2 Delay (Latency), Delay Variation (Jitter) 338 12.4.3 TCP Issues 33912.5 Transport Network Architecture for LTE 340 12.5.1 Implementation Examples 340 12.5.2 X2 Connectivity Requirements 341 12.5.3 Transport Service Attributes 34212.6 Quality of Service 342 12.6.1 End-to-End QoS 342 12.6.2 Transport QoS 34312.7 Transport Security 34412.8 Synchronization from Transport Network 347 12.8.1 Precision Time Protocol 347 12.8.2 Synchronous Ethernet 34812.9 Base Station Co-location 34812.10 Summary 349 References 34913 Voice over IP (VoIP) 351 Harri Holma, Juha Kallio, Markku Kuusela, Petteri Lund´ n, e Esa Malkam¨ ki, Jussi Ojala and Haiming Wang a13.1 Introduction 35113.2 VoIP Codecs 35113.3 VoIP Requirements 35313.4 Delay Budget 35413.5 Scheduling and Control Channels 35413.6 LTE Voice Capacity 35713.7 Voice Capacity Evolution 36413.8 Uplink Coverage 36513.9 Circuit Switched Fallback for LTE 36813.10 Single Radio Voice Call Continuity (SR-VCC) 37013.11 Summary 372 References 37314 Performance Requirements 375 Andrea Ancora, Iwajlo Angelow, Dominique Brunel, Chris Callender, Harri Holma, Peter Muszynski, Earl Mc Cune and Laurent No¨ l e14.1 Introduction 37514.2 Frequency Bands and Channel Arrangements 375 14.2.1 Frequency Bands 375 14.2.2 Channel Bandwidth 378 14.2.3 Channel Arrangements 37914.3 eNodeB RF Transmitter 380 14.3.1 Operating Band Unwanted Emissions 381
  12. 12. xiv Contents 14.3.2 Co-existence with Other Systems on Adjacent Carriers Within the Same Operating Band 383 14.3.3 Co-existence with Other Systems in Adjacent Operating Bands 385 14.3.4 Transmitted Signal Quality 38914.4 eNodeB RF Receiver 39214.5 eNodeB Demodulation Performance 39814.6 User Equipment Design Principles and Challenges 403 14.6.1 Introduction 403 14.6.2 RF Subsystem Design Challenges 403 14.6.3 RF-baseband Interface Design Challenges 410 14.6.4 LTE Versus HSDPA Baseband Design Complexity 41414.7 UE RF Transmitter 418 14.7.1 LTE UE Transmitter Requirement 418 14.7.2 LTE Transmit Modulation Accuracy, EVM 418 14.7.3 Desensitization for Band and Bandwidth Combinations (De-sense) 419 14.7.4 Transmitter Architecture 42014.8 UE RF Receiver Requirements 421 14.8.1 Reference Sensitivity Level 422 14.8.2 Introduction to UE Self-Desensitization Contributors in FDD UEs 424 14.8.3 ACS, Narrowband Blockers and ADC Design Challenges 429 14.8.4 EVM Contributors: A Comparison between LTE and WCDMA Receivers 43514.9 UE Demodulation Performance 440 14.9.1 Transmission Modes 440 14.9.2 Channel Modeling and Estimation 443 14.9.3 Demodulation Performance 44314.10 Requirements for Radio Resource Management 446 14.10.1 Idle State Mobility 447 14.10.2 Connected State Mobility When DRX is not Active 447 14.10.3 Connected State Mobility When DRX is Active 450 14.10.4 Handover Execution Performance Requirements 45014.11 Summary 451 References 45215 LTE TDD Mode 455 Che Xiangguang, Troels Kolding, Peter Skov, Wang Haiming and Antti Toskala15.1 Introduction 45515.2 LTE TDD Fundamentals 455 15.2.1 The LTE TDD Frame Structure 457 15.2.2 Asymmetric Uplink/Downlink Capacity Allocation 459 15.2.3 Co-existence with TD-SCDMA 459 15.2.4 Channel Reciprocity 460 15.2.5 Multiple Access Schemes 461
  13. 13. Contents xv15.3 TDD Control Design 462 15.3.1 Common Control Channels 462 15.3.2 Sounding Reference Signal 464 15.3.3 HARQ Process and Timing 465 15.3.4 HARQ Design for UL TTI Bundling 466 15.3.5 UL HARQ-ACK/NACK Transmission 467 15.3.6 DL HARQ-ACK/NACK Transmission 467 15.3.7 DL HARQ-ACK/NACK Transmission with SRI and/or CQI over PUCCH 46815.4 Semi-persistent Scheduling 46915.5 MIMO and Dedicated Reference Signals 47115.6 LTE TDD Performance 472 15.6.1 Link Performance 473 15.6.2 Link Budget and Coverage for the TDD System 473 15.6.3 System Level Performance 47715.7 Evolution of LTE TDD 48315.8 LTE TDD Summary 484 References 48416 LTE-Advanced 487 Mieszko Chmiel, Mihai Enescu, Harri Holma, Tommi Koivisto, Jari Lindholm, Timo Lunttila, Klaus Pedersen, Peter Skov, Timo Roman, Antti Toskala and Yuyu Yan16.1 Introduction 48716.2 LTE-Advanced and IMT-Advanced 48716.3 Requirements 488 16.3.1 Backwards Compatibility 48816.4 3GPP LTE-Advanced Study Phase 48916.5 Carrier Aggregation 489 16.5.1 Impact of the Carrier Aggregation for the Higher Layer Protocol and Architecture 492 16.5.2 Physical Layer Details of the Carrier Aggregation 493 16.5.3 Changes in the Physical Layer Uplink due to Carrier Aggregation 493 16.5.4 Changes in the Physical Layer Downlink due to Carrier Aggregation 494 16.5.5 Carrier Aggregation and Mobility 494 16.5.6 Carrier Aggregation Performance 49516.6 Downlink Multi-antenna Enhancements 496 16.6.1 Reference Symbol Structure in the Downlink 496 16.6.2 Codebook Design 499 16.6.3 System Performance of Downlink Multi-antenna Enhancements 50116.7 Uplink Multi-antenna Techniques 502 16.7.1 Uplink Multi-antenna Reference Signal Structure 503 16.7.2 Uplink MIMO for PUSCH 503
  14. 14. xvi Contents 16.7.3 Uplink MIMO for Control Channels 504 16.7.4 Uplink Multi-user MIMO 505 16.7.5 System Performance of Uplink Multi-antenna Enhancements 50516.8 Heterogeneous Networks 50616.9 Relays 508 16.9.1 Architecture (Design Principles of Release 10 Relays) 508 16.9.2 DeNB – RN Link Design 510 16.9.3 Relay Deployment 51116.10 Release 11 Outlook 51216.11 Conclusions 513 References 51317 HSPA Evolution 515 Harri Holma, Karri Ranta-aho and Antti Toskala17.1 Introduction 51517.2 Discontinuous Transmission and Reception (DTX/DRX) 51517.3 Circuit Switched Voice on HSPA 51717.4 Enhanced FACH and RACH 52017.5 Downlink MIMO and 64QAM 521 17.5.1 MIMO Workaround Solutions 52317.6 Dual Cell HSDPA and HSUPA 52417.7 Multicarrier and Multiband HSDPA 52617.8 Uplink 16QAM 52717.9 Terminal Categories 52817.10 Layer 2 Optimization 52917.11 Single Frequency Network (SFN) MBMS 53117.12 Architecture Evolution 53117.13 Summary 533 References 535Index 537
  15. 15. PrefaceThe number of mobile subscribers has increased tremendously in recent years. Voicecommunication has become mobile in a massive way and the mobile is the preferredmethod of voice communication. At the same time data usage has grown quickly innetworks where 3GPP High Speed Packet Access (HSPA) was introduced, indicatingthat the users find broadband wireless data valuable. Average data consumption exceedshundreds of megabytes and even a few gigabytes per subscriber per month. End usersexpect data performance similar to fixed lines. Operators request high data capacity withlow cost of data delivery. 3GPP Long Term Evolution (LTE) is designed to meet thosetargets. The first commercial LTE networks have shown attractive performance in thefield with data rates of several tens of mbps. This book presents 3GPP LTE standard inRelease 8 and describes its expected performance. The book is structured as follows. Chapter 1 presents the introduction. The standard-ization background and process is described in Chapter 2. System architecture evolution Chapter 1 – Chapter 17 – Introduction Chapter 2 – HSPA evolution Standardization Chapter 16 – Chapter 3 – System LTE Advanced architecture evolution (SAE) Chapter 15 – Chapter 4 – Introduction to LTE TDD OFDMA and SC-FDMA Chapter 14 – Chapter 5 – Performance Physical layer requirements Chapter 6 – Chapter 13 – Protocols Voice over IP Chapter 7 – Chapter 12 – Mobility Transport Chapter 8 – Radio resource Chapter 11 – management (RRM) Measurements 50 Chapter 9 – Self optimized Throughput(Mbps) 40 30 Chapter 10 – Performance networks (SON) 20 10 0 0 100 200 300 400 500 600 700 Time(seconds) Figure 0.1 Contents of the book
  16. 16. xviii Preface(SAE) is presented in Chapter 3 and the basics of the air interface in Chapter 4. Chapter 5describes 3GPP LTE physical layer solutions and Chapter 6 protocols. Mobility aspects areaddressed in Chapter 7 and the radio resource management in Chapter 8. Self-optimizedNetwork (SON) algorithms are presented in Chapter 9. Radio and end-to-end performanceis illustrated in Chapter 10 followed by the measurement results in Chapter 11. The back-haul network is described in Chapter 12. Voice solutions are presented in Chapter 13.Chapter 14 explains the 3GPP performance requirements. Chapter 15 presents the LTETime Division Duplex (TDD). Chapter 16 describes LTE-Advanced evolution and Chapter17 HSPA evolution in 3GPP Releases 7 to 10. LTE can access a very large global market – not only GSM/UMTS operators but alsoCDMA and WiMAX operators and potentially also fixed network service providers. Thelarge potential market can attract a large number of companies to the market place pushingthe economies of scale that enable wide-scale LTE adoption with lower cost. This book isparticularly designed for chip set and mobile vendors, network vendors, network operators,application developers, technology managers and regulators who would like to gain adeeper understanding of LTE technology and its capabilities. The second edition of the book includes enhanced coverage of 3GPP Release 8 content,LTE Release 9 and 10 updates, introduces the main concepts in LTE-Advanced, presentstransport network protocols and dimensioning, discusses Self Optimized Networks (SON)solutions and benefits, and illustrates LTE measurement methods and results.
  17. 17. AcknowledgementsThe editors would like to acknowledge the hard work of the contributors from NokiaSiemens Networks, Nokia, Renesas Mobile, ST-Ericsson and Nomor Research: AndreaAncora, Iwajlo Angelow, Dominique Brunel, Chris Callender, Mieszko Chmiel, MihaiEnescu, Marilynn Green, Kari Hooli, Woonhee Hwang, Seppo H¨ m¨ l¨ inen, Juha Kallio, a aaPasi Kinnunen, Tommi Koivisto, Troels Kolding, Krzysztof Kordybach, Juha Korhonen,Jarkko Koskela, Istv´ n Z. Kov´ cs, Markku Kuusela, Daniela Laselva, Petteri Lunden, a aTimo Lunttila, Atte L¨ nsisalmi, Esa Malkam¨ ki, Earl McCune, Torsten Musiol, Peter a aMuszynski, Laurent No¨ l, Jussi Ojala, Kari Pajukoski, Klaus Pedersen, Karri Ranta-aho, eJussi Reunanen, Timo Roman, Claudio Rosa, Cinzia Sartori, Peter Skov, Esa Tiirola, IngoViering, Haiming Wang, Colin Willcock, Che Xiangguang and Yan Yuyu. We would also like to thank the following colleagues for their valuable comments:Asbj¨ rn Grovlen, Kari Heiska, Jorma Kaikkonen, Michael Koonert, Peter Merz, Preben oMogensen, Sari Nielsen, Gunnar Nitsche, Miikka Poikselk¨ , Nathan Rader, Sabine R¨ ssel, a oBenoist Sebire, Mikko Simanainen, Issam Toufik and Helen Waite. The editors appreciate the fast and smooth editing process provided by Wiley-Blackwelland especially Susan Barclay, Sarah Tilley, Sophia Travis, Jasmine Chang, Michael David,Sangeetha Parthasarathy and Mark Hammond. We are grateful to our families, as well as the families of all the authors, for theirpatience during the late-night and weekend editing sessions. The editors and authors welcome any comments and suggestions for improvements orchanges that could be implemented in forthcoming editions of this book. Feedback maybe sent to the editors’ email addresses: and
  18. 18. List of Abbreviations1×RTT 1 times Radio Transmission Technology3GPP Third Generation Partnership ProjectAAA Authentication, Authorization and AccountingABS Almost Blank SubframesACF Analog Channel FilterACIR Adjacent Channel Interference RejectionACK AcknowledgementACLR Adjacent Channel Leakage RatioACS Adjacent Channel SelectivityADC Analog-to Digital ConversionADSL Asymmetric Digital Subscriber LineAKA Authentication and Key AgreementAM Acknowledged ModeAM/AM Amplitude Modulation to Amplitude Modulation conversionAMBR Aggregate Maximum Bit RateAMD Acknowledged Mode DataAM/PM Amplitude Modulation to Phase Modulation conversionAMR Adaptive Multi-RateAMR-NB Adaptive Multi-Rate NarrowbandAMR-WB Adaptive Multi-Rate WidebandAP Antenna PortARCF Automatic Radio Configuration FunctionARP Allocation Retention PriorityASN Abstract Syntax NotationASN.1 Abstract Syntax Notation OneATM Adaptive Transmission BandwidthAWGN Additive White Gaussian NoiseBB BasebandBCCH Broadcast Control ChannelBCH Broadcast ChannelBE Best EffortBEM Block Edge MaskBICC Bearer Independent Call Control ProtocolBiCMOS Bipolar CMOSBLER Block Error Rate
  19. 19. xxii List of AbbreviationsBO BackoffBOM Bill of MaterialBPF Band Pass FilterBPSK Binary Phase Shift KeyingBS Base StationBSC Base Station ControllerBSR Buffer Status ReportBT BluetoothBTS Base StationBW BandwidthCA Carrier AggregationCAC Connection Admission ControlCAZAC Constant Amplitude Zero Autocorrelation CodesCBR Constant Bit RateCBS Committed Burst SizeCC Component CarrierCCCH Common Control ChannelCCE Control Channel ElementCCO Coverage and Capacity OptimizationCDD Cyclic Delay DiversityCDF Cumulative Density FunctionCDM Code Division MultiplexingCDMA Code Division Multiple AccessCDN Content Distribution NetworkCGID Cell Global Cell IdentityCIF Carrier Information FieldCIR Carrier-to-Interference RatioCIR Committed Information RateCLM Closed Loop ModeCM Cubic MetricCMOS Complementary Metal Oxide SemiconductorCoMP Coordinated Multiple PointCoMP Coordinated Multipoint TransmissionCP Cyclic PrefixCPE Common Phase ErrorCPE Customer Premises EquipmentCPICH Common Pilot ChannelC-Plane Control PlaneCQI Channel Quality InformationCRC Cyclic Redundancy CheckC-RNTI Cell Radio Network Temporary IdentifierCRS Cell-specific Reference SymbolCRS Common Reference SymbolCS Circuit SwitchedCSCF Call Session Control FunctionCSFB Circuit Switched FallbackCSI Channel State Information
  20. 20. List of Abbreviations xxiiiCT Core and TerminalsCTL ControlCW Continuous WaveDAC Digital to Analog ConversionDARP Downlink Advanced Receiver PerformanceD-BCH Dynamic Broadcast ChannelDC Direct CurrentDCCH Dedicated Control ChannelDCH Dedicated ChannelDC-HSDPA Dual Cell HSDPADC-HSPA Dual Cell HSPADC-HSUPA Dual Cell HSUPADCI Downlink Control InformationDCR Direct Conversion ReceiverDCXO Digitally-Compensated Crystal OscillatorDD Duplex DistanceDeNB Donor eNodeBDFCA Dynamic Frequency and Channel AllocationDFT Discrete Fourier TransformDG Duplex GapDHCP Dynamic Host Configuration ProtocolDL DownlinkDL-SCH Downlink Shared ChannelDPCCH Dedicated Physical Control ChannelDR Dynamic RangeDRX Discontinuous ReceptionDSCP DiffServ Code PointDSL Digital Subscriber LineDSP Digital Signal ProcessingDTCH Dedicated Traffic ChannelDTM Dual Transfer ModeDTX Discontinuous TransmissionDVB-H Digital Video Broadcast – HandheldDwPTS Downlink Pilot Time SlotEBS Excess Burst SizeE-DCH Enhanced DCHEDGE Enhanced Data Rates for GSM EvolutionEFL Effective Frequency LoadEFR Enhanced Full RateEGPRS Enhanced GPRSE-HRDP Evolved HRPD (High Rate Packet Data) networkeICIC Enhanced Inter-Cell Interference CoordinationEIR Excess Information RateEIRP Equivalent Isotropic Radiated PowerEMI Electromagnetic InterferenceEMS Element Management SystemEPA Extended Pedestrian A
  21. 21. xxiv List of AbbreviationsEPC Evolved Packet CoreEPDG Evolved Packet Data GatewayETU Extended Typical UrbanE-UTRA Evolved Universal Terrestrial Radio AccessEVA Extended Vehicular AEVC Ethernet Virtual ConnectionEVDO Evolution Data OnlyEVM Error Vector MagnitudeEVS Error Vector SpectrumFACH Forward Access ChannelFCC Federal Communications CommissionFD Frame DelayFD Frequency DomainFDD Frequency Division DuplexFDE Frequency Domain EqualizerFDM Frequency Division MultiplexingFDPS Frequency Domain Packet SchedulingFDV Frame Delay VariationFE Fast EthernetFE Front EndFFT Fast Fourier TransformFLR Frame Loss RatioFM Frequency ModulatedFNS Frequency Non-SelectiveFR Full RateFRC Fixed Reference ChannelFS Frequency SelectiveGB GigabyteGBF Guaranteed Bit RateGBR Guaranteed Bit RateGDD Group Delay DistortionGE Gigabit EthernetGERAN GSM/EDGE Radio Access NetworkGF G-FactorGGSN Gateway GPRS Support NodeGMSK Gaussian Minimum Shift KeyingGP Guard PeriodGPON Gigabit Passive Optical NetworkGPRS General packet radio serviceGPS Global Positioning SystemGRE Generic Routing EncapsulationGSM Global System for Mobile CommunicationsGTP GPRS Tunneling ProtocolGTP-C GPRS Tunneling Protocol, Control PlaneGUTI Globally Unique Temporary IdentityGW GatewayHARQ Hybrid Adaptive Repeat and Request
  22. 22. List of Abbreviations xxvHB High BandHD-FDD Half-duplex Frequency Division DuplexHFN Hyper Frame NumberHII High Interference IndicatorHO HandoverHPBW Half Power Beam WidthHPF High Pass FilterHPSK Hybrid Phase Shift KeyingHRPD High Rate Packet DataHSDPA High Speed Downlink Packet AccessHS-DSCH High Speed Downlink Shared ChannelHSGW HRPD Serving GatewayHSPA High Speed Packet AccessHS-PDSCH High Speed Physical Downlink Shared ChannelHSS Home Subscriber ServerHS-SCCH High Speed Shared Control ChannelHSUPA High Speed Uplink Packet AccessIC Integrated CircuitIC Interference CancellationICI Inter-carrier InterferenceICIC Inter-cell Interference ControlICS IMS Centralized ServiceID IdentityIDU Indoor UnitIEEE Institute of Electrical and Electronics EngineersIETF Internet Engineering Task ForceIFFT Inverse Fast Fourier TransformIL Insertion LossiLBC Internet Lob Bit Rate CodecIM Implementation MarginIMD IntermodulationIMS IP Multimedia SubsystemIMT International Mobile TelecommunicationsIMT-A IMT-AdvancedIoT Interference over ThermalIOT Inter-Operability TestingIP Internet ProtocolIR Image RejectionIRC Interference Rejection CombiningISD Inter-site DistanceISDN Integrated Services Digital NetworkISI Inter-system InterferenceISTO Industry Standards and Technology OrganizationISUP ISDN User PartITU International Telecommunication UnionIWF Interworking FunctionL2VPN Layer 2 VPN
  23. 23. xxvi List of AbbreviationsL3VPN Layer 3 VPNLAI Location Area IdentityLB Low BandLCID Logical Channel IdentificationLCS Location ServicesLMA Local Mobility AnchorLMMSE Linear Minimum Mean Square ErrorLNA Low Noise AmplifierLO Local OscillatorLOS Line of SightLTE Long Term EvolutionLTE-A LTE-AdvancedM2M Machine-to-MachineMAC Medium Access ControlMAP Maximum a posterioriMAP Mobile Application PartMBMS Multimedia Broadcast/Multicast ServiceMBMS Multimedia Broadcast Multicast SystemMBR Maximum Bit RateMCH Multicast ChannelMCL Minimum Coupling LossMCS Modulation and Coding SchemeMDT Minimization of Drive TestingMEF Metro Ethernet ForumMGW Media GatewayMIB Master Information BlockMIMO Multiple Input Multiple OutputMIP Mobile IPMIPI Mobile Industry Processor InterfaceMIPS Million Instructions Per SecondMLB Mobility Load BalancingMM Mobility ManagementMME Mobility Management EntityMMSE Minimum Mean Square ErrorM-Plane Management PlaneMPLS Multiprotocol Label SwitchingMPR Maximum Power ReductionMRC Maximal Ratio CombiningMRO Mobility RobustnessMSC Mobile Switching CenterMSC-S Mobile Switching Center ServerMSD Maximum Sensitivity DegradationMSS Maximum Segment SizeMTU Maximum Transmission UnitMU MultiuserMU-MIMO Multiuser MIMOMWR Microwave Radio
  24. 24. List of Abbreviations xxviiNACC Network Assisted Cell ChangeNACK Negative AcknowledgementNAS Non-access StratumNAT Network Address TableNB NarrowbandNBAP Node B Application PartNDS Network Domain SecurityNF Noise FigureNGMN Next Generation Mobile NetworksNMO Network Mode of OperationNMS Network Management SystemNRT Non-real TimeNTP Network Time ProtocolOAM Operation Administration MaintenanceOCC Orthogonal Cover CodesOFDM Orthogonal Frequency Division MultiplexingOFDMA Orthogonal Frequency Division Multiple AccessOI Overload IndicatorOLLA Outer Loop Link AdaptationO&M Operation and MaintenanceOOB Out of BandOOBN Out-of-Band NoisePA Power AmplifierPAPR Peak to Average Power RatioPAR Peak-to-Average RatioPBR Prioritized Bit RatePC Personal ComputerPC Power ControlPCB Printed Circuit BoardPCC Policy and Charging ControlPCC Primary Component CarrierPCCC Parallel Concatenated Convolution CodingPCCPCH Primary Common Control Physical ChannelPCell Primary Serving CellPCFICH Physical Control Format Indicator ChannelPCH Paging ChannelPCI Physical Cell IdentityPCM Pulse Code ModulationPCRF Policy and Charging Resource FunctionPCS Personal Communication ServicesPD Packet DelayPDCCH Physical Downlink Control ChannelPDCP Packet Data Convergence ProtocolPDF Probability Density FunctionPDN Packet Data NetworkPDSCH Physical Downlink Shared ChannelPDU Payload Data Unit
  25. 25. xxviii List of AbbreviationsPDU Protocol Data UnitPDV Packet Delay VariationPER Packed Encoding RulesPF Proportional FairP-GW Packet Data Network GatewayPHICH Physical HARQ Indicator ChannelPHR Power Headroom ReportPHS Personal Handyphone SystemPHY Physical LayerPKI Public Key InfrastructurePLL Phase Locked LoopPLMN Public Land Mobile NetworkPLR Packet Loss RatioPMI Precoding Matrix IndexPMIP Proxy Mobile IPPN Phase NoisePRACH Physical Random Access ChannelPRB Physical Resource BlockPRC Primary Reference ClockPS Packet SwitchedPSD Power Spectral DensityPSS Primary Synchronization SignalPTP Precision Time ProtocolPUCCH Physical Uplink Control ChannelPUSCH Physical Uplink Shared ChannelQAM Quadrature Amplitude ModulationQCI QoS Class IdentifierQD Quasi DynamicQN Quantization NoiseQoS Quality of ServiceQPSK Quadrature Phase Shift KeyingRACH Random Access ChannelRAD Required Activity DetectionRAN Radio Access NetworkRAR Random Access ResponseRAT Radio Access TechnologyRB Resource BlockRBG Radio Bearer GroupRF Radio FrequencyRI Rank IndicatorRLC Radio Link ControlRLF Radio Link FailureRN Relay NodeRNC Radio Network ControllerRNL Radio Network LayerRNTP Relative Narrowband Transmit PowerROHC Robust Header Compression
  26. 26. List of Abbreviations xxixRR Round RobinRRC Radio Resource ControlRRM Radio Resource ManagementRS Reference SignalRSCP Received Symbol Code PowerRSRP Reference Symbol Received PowerRSRQ Reference Symbol Received QualityRSSI Received Signal Strength IndicatorRT Real TimeRTT Round-Trip TimeRV Redundancy VersionS1AP S1 Application ProtocolSA Services and System AspectsSAE System Architecture EvolutionSAIC Single Antenna Interference CancellationSCC Secondary Component CarrierS-CCPCH Secondary Common Control Physical ChannelSC-FDMA Single Carrier Frequency Division Multiple AccessSCH Shared ChannelSCH Synchronization ChannelSCM Spatial Channel ModelSCTP Stream Control Transmission ProtocolSDQNR Signal to Distortion Quantization Noise RatioSDU Service Data UnitSE Spectral EfficiencySEG Security GatewaySEM Spectrum Emission MaskSF Spreading FactorSFBC Space Frequency Block CodingSFN Single Frequency NetworkSFN System Frame NumberSGSN Serving GPRS Support NodeS-GW Serving GatewaySIB System Information BlockSID Silence Indicator FrameSIM Subscriber Identity ModuleSIMO Single Input Multiple OutputSINR Signal to Interference and Noise RatioSLA Service Level AgreementSLS Service Level SpecificationSMS Short Message ServiceSNR Signal to Noise RatioSON Self Organizing NetworksSORTD Space-Orthogonal Resource Transmit DiversityS-Plane Synchronization PlaneSR Scheduling RequestS-RACH Short Random Access Channel
  27. 27. xxx List of AbbreviationsSRB Signaling Radio BearerS-RNC Serving RNCSRS Sounding Reference SignalsSR-VCC Single Radio Voice Call ContinuitySSS Secondary Synchronization SignalS-TMSI S-Temporary Mobile Subscriber IdentitySU-MIMO Single User Multiple Input Multiple OutputSyncE Synchronous EthernetTA Tracking AreaTBS Transport Block SizeTD Time DomainTDD Time Division DuplexTD-LTE Time Division Long Term EvolutionTD-SCDMA Time Division Synchronous Code Division Multiple AccessTM Transparent ModeTNL Transport Network LayerTPC Transmit Power ControlTRX TransceiverTSG Technical Specification GroupTTI Transmission Time IntervalTU Typical UrbanUDP Unit Data ProtocolUE User EquipmentUHF Ultra High FrequencyUICC Universal Integrated Circuit CardUL UplinkUL-SCH Uplink Shared ChannelUM Unacknowledged ModeUMD Unacknowledged Mode DataUMTS Universal Mobile Telecommunications SystemUNI User Network InterfaceU-Plane User PlaneUpPTS Uplink Pilot Time SlotUSB Universal Serial BusUSIM Universal Subscriber Identity ModuleUSSD Unstructured Supplementary Service DataUTRA Universal Terrestrial Radio AccessUTRAN Universal Terrestrial Radio Access NetworkVCC Voice Call ContinuityVCO Voltage Controlled OscillatorVDSL Very High Data Rate Subscriber LineVLAN Virtual LANVLR Visitor Location RegisterV-MIMO Virtual MIMOVoIP Voice over IPVPN Virtual Private NetworkVRB Virtual Resource Blocks
  28. 28. List of Abbreviations xxxiWCDMA Wideband Code Division Multiple AccessWG Working GroupWLAN Wireless Local Area NetworkWRC World Radio ConferenceX1AP X1 Application ProtocolZF Zero Forcing
  29. 29. 1IntroductionHarry Holma and Antti Toskala1.1 Mobile Voice Subscriber GrowthThe number of mobile subscribers increased tremendously from 2000 to 2010. The firstbillion landmark was passed in 2002, the second billion in 2005, the third billion 2007,the fourth billion by the end of 2008 and the fifth billion in the middle of 2010. Morethan a million new subscribers per day have been added globally – that is more than tensubscribers on average every second. This growth is illustrated in Figure 1.1. Worldwidemobile phone penetration is 75%1 . Voice communication has become mobile in a massiveway and the mobile is the preferred method of voice communication, with mobile networkscovering over 90% of the world’s population. This growth has been fueled by low-costmobile phones and efficient network coverage and capacity, which is enabled by standard-ized solutions, and by an open ecosystem leading to economies of scale. Mobile voice isnot the privilege of the rich; it has become affordable for users with a very low income.1.2 Mobile Data Usage GrowthSecond-generation mobile networks – like the Global System for Mobile Communications(GSM) – were originally designed to carry voice traffic; data capability was added later.Data use has increased but the traffic volume in second-generation networks is clearlydominated by voice traffic. The introduction of third-generation networks with High SpeedDownlink Packet Access (HSDPA) boosted data use considerably. Data traffic volume has in many cases already exceeded voice traffic volume whenvoice traffic is converted into terabytes by assuming a voice data rate of 12 kbps. As anexample, a European country with three operators (Finland) is illustrated in Figure 1.2.The HSDPA service was launched during 2007; data volume exceeded voice volumeduring 2008 and the data volume was already ten times that of voice by 2009. Morethan 90% of the bits in the radio network are caused by HSDPA connections and lessthan 10% by voice calls. High Speed Downlink Packet Access data growth is driven by1The actual user penetration can be different since some users have multiple subscriptions and some subscriptionsare shared by multiple users.LTE for UMTS: Evolution to LTE-Advanced, Second Edition. Edited by Harri Holma and Antti Toskala.© 2011 John Wiley & Sons, Ltd. Published 2011 by John Wiley & Sons, Ltd. ISBN: 978-0-470-66000-3
  30. 30. 2 LTE for UMTS: Evolution to LTE-Advanced 8000 100 % World population 7000 90 % Mobile subscribers Penetration 80 % 6000 70 % 5000 Penetration 60 % Million 4000 50 % 3000 40 % 30 % 2000 20 % 1000 10 % 0 0% 98 99 00 01 02 03 04 05 06 07 08 09 10 19 19 20 20 20 20 20 20 20 20 20 20 20 Figure 1.1 Growth of mobile subscribers Data volume (relative to voice) 18 16 Voice 14 Data 12 10 8 6 4 2 0 1H/2007 2H/2007 1H/2008 2H/2008 1H/2009 2H/2009 1H/2010 Figure 1.2 HSDPA data volume exceeds voice volume (voice traffic 2007 is scaled to one)high-speed radio capability, flat-rate pricing schemes and simple device installation. Inshort, the introduction of HSDPA has turned mobile networks from voice-dominated topacket-data-dominated networks. Data use is driven by a number of bandwidth-hungry laptop applications, includinginternet and intranet access, file sharing, streaming services to distribute video content andmobile TV, and interactive gaming. Service bundles of video, data and voice – known alsoas triple play – are also entering the mobile market, causing traditional fixed-line voice andbroadband data services to be replaced by mobile services, both at home and in the office. A typical voice subscriber uses 300 minutes per month, which is equal to approximately30 megabytes of data with the voice data rate of 12.2 kbps. A broadband data user caneasily consume more than 1000 megabytes (1 gigabyte) of data. The heavy broadbanddata use takes between ten and 100 times more capacity than voice usage, which setshigh requirements for the capacity and efficiency of data networks.
  31. 31. Introduction 3 It is expected that by 2015, five billion people will be connected to the internet. Broad-band internet connections will be available practically anywhere in the world. Already,existing wireline installations can reach approximately one billion households and mobilenetworks connect more than three billion subscribers. These installations need to evolveinto broadband internet access. Further extensive use of wireless access, as well as newwireline installations with enhanced capabilities, is required to offer true broadband con-nectivity to the five billion customers.1.3 Evolution of Wireline TechnologiesWide-area wireless networks have experienced rapid evolution in terms of data rates butwireline networks are still able to provide the highest data rates. Figure 1.3 illustratesthe evolution of peak user data rates in wireless and wireline networks. Interestingly,the shape of the evolution curve is similar in both domains with a relative difference ofapproximately 30 times. Moore’s law predicts that the data rates should double every18 months. Currently, copper-based wireline solutions with Very-High-Data-Rate DigitalSubscriber Line (VDSL2) can offer bit rates of tens of Mbps and the passive optical-fiber-based solution provides rates in excess of 100 Mbps. Both copper and fiber basedsolutions will continue to evolve in the near future, increasing the data rate offerings tothe Gbps range. Wireless networks must push data rates higher to match the user experience that wire-line networks provide. Customers are used to wireline performance and they expect thewireless networks to offer comparable performance. Applications designed for wirelinenetworks drive the evolution of the wireless data rates. Wireless solutions also have animportant role in providing the transport connections for the wireless base stations. Wireless technologies, on the other hand, have the huge advantage of being able tooffer personal broadband access independent of the user’s location – in other words, theyprovide mobility in nomadic or full mobile use cases. The wireless solution can also 1.000 Optics Wireline VDSL2 100 Mbps 100 25–50 Mbps LTE User data rate (Mbps) ADSL2+ ADSL 16–20 Mbps 10 HSPA+ 6–8 Mbps ADSL 1–3 Mbps HSDPA 1 3.6–7.2 Mbps HSDPA 1.8 Mbps WCDMA Wireless 0.1 EDGE 0.384 Mbps 0.236 Mbps 0.01 2000 2005 2010 Year of availabilityFigure 1.3 Evolution of wireless and wireline user data rates GPON = Gigabit Passive Opti-cal Network. VDSL = Very High Data Rate Subscriber Line. ADSL = Asymmetric DigitalSubscriber Line
  32. 32. 4 LTE for UMTS: Evolution to LTE-Advancedprovide low-cost broadband coverage compared to new wireline installations if there isno existing wireline infrastructure. Wireless broadband access is therefore an attractiveoption, especially in new growth markets in urban areas as well as in rural areas in othermarkets.1.4 Motivation and Targets for LTEWork towards 3GPP Long Term Evolution (LTE) started in 2004 with the definitionof the targets. Even though High-Speed Downlink Packet Access (HSDPA) was not yetdeployed, it was evident that work for the next radio system should be started. It takes morethan five years from system target settings to commercial deployment using interoperablestandards, so system standardization must start early enough to be ready in time. Severalfactors can be identified driving LTE development: wireline capability evolution, needfor more wireless capacity, need for lower cost wireless data delivery and competitionfrom other wireless technologies. As wireline technology improves, similar evolution isrequired in the wireless domain to ensure that applications work fluently in that domain.There are also other wireless technologies – including IEEE 802.16 – which promisedhigh data capabilities. 3GPP technologies must match and exceed the competition. Morecapacity is needed to benefit maximally from the available spectrum and base stationsites. The driving forces for LTE development are summarized in Figure 1.4. LTE must be able to deliver performance superior to that of existing 3GPP networksbased on HSPA technology. The performance targets in 3GPP are defined relative toHSPA in Release 6. The peak user throughput should be a minimum of 100 Mbps inthe downlink and 50 Mbps in the uplink, which is ten times more than HSPA Release 6.Latency must also be reduced to improve performance for the end user. Terminal powerconsumption must be minimized to enable more use of multimedia applications withoutrecharging the battery. The main performance targets are listed below and are shown inFigure 1.5:• spectral efficiency 100 Mbps intimesdownlink and 50 Mbps in the uplink; two to four more than with HSPA Release 6;• enables a round trip time of <10 ms; peak rates exceed the• packet switched optimized;• high level of mobility and security;• optimized terminal power efficiency;• frequency flexibility with allocations from below 1.5 MHz up to 20 MHz.• Wireline Wireless data Other Flat rate pricing technologies evolution pushes usage requires push wireless pushes efficiency data rates more capacity capabilities LTE targets Figure 1.4 Driving forces for LTE development
  33. 33. Introduction 5 Peak user Spectral Latency efficiency throughput Fa cto 2-4 r 10 of of of 2 r cto -3 r cto Fa Fa HSPA R6 LTE HSPA R6 LTE HSPA R6 LTE Figure 1.5 Main LTE performance targets compared to HSPA Release 61.5 Overview of LTEThe multiple-access scheme in the LTE downlink uses Orthogonal Frequency DivisionMultiple Access (OFDMA). The uplink uses Single Carrier Frequency Division MultipleAccess (SC-FDMA). Those multiple-access solutions provide orthogonality between theusers, reducing interference and improving network capacity. Resource allocation in thefrequency domain takes place with the resolution of 180 kHz resource blocks both inuplink and in downlink. The frequency dimension in the packet scheduling is one reasonfor the high LTE capacity. The uplink user specific allocation is continuous to enablesingle-carrier transmission, whereas the downlink can use resource blocks freely fromdifferent parts of the spectrum. The uplink single-carrier solution is also designed toallow efficient terminal power amplifier design, which is relevant for terminal batterylife. The LTE solution enables spectrum flexibility. The transmission bandwidth can beselected between 1.4 MHz and 20 MHz depending on the available spectrum. The 20 MHzbandwidth can provide up to 150 Mbps downlink user data rate with 2 × 2 MIMO and300 Mbps with 4 × 4 MIMO. The uplink peak data rate is 75 Mbps. The multiple accessschemes are illustrated in Figure 1.6. High network capacity requires efficient network architecture in addition to advancedradio features. The aim of 3GPP Release 8 is to improve network scalability for increasedtraffic and to minimize end-to-end latency by reducing the number of network elements. Allradio protocols, mobility management, header compression and packet retransmissions arelocated in the base stations called eNodeB. These stations include all those algorithms that Up to 20 MHz Uplink … SC-FDMA User 1 User 2 User 3 Downlink … OFDMA Frequency Figure 1.6 LTE multiple access schemes
  34. 34. 6 LTE for UMTS: Evolution to LTE-Advanced Release 6 Release 8 LTE GGSN S-GW Core network functionality split SGSN MME • MME for control plane • User plane by-pass MME RNC eNodeB functionalities • All radio protocols NodeB eNodeB • Mobility management • All retransmissions • Header compression = Control plane = User plane Figure 1.7 LTE network architectureare located in Radio Network Controller (RNC) in 3GPP Release 6 architecture. The corenetwork is streamlined by separating the user and the control planes. The Mobility Man-agement Entity (MME) is just a control plane element and the user plane bypasses MMEdirectly to Serving Gateway (S-GW). The architecture evolution is illustrated in Figure 3GPP Family of Technologies3GPP technologies – GSM/EDGE and WCDMA/HSPA – are currently serving 90% ofglobal mobile subscribers. The market share development of 3GPP technologies is illus-trated in Figure 1.8. A number of major CDMA operators have already turned to, or Global subscribers until end 2010 100 % 89.0 % 89.6 % 89.8 % 90 % 83.8 % 86.8 % 80.2 % 80 % 75.6 % 71.7 % 66.3 % 69.1 % 70 % 60 % 3GPP GSM+WCDMA 50 % 3GPP2 CDMA+EVDO 40 % 30 % 20 % 11.9 % 12.7 % 13.4 % 13.7 % 13.1 % 12.6 % 11.4 % 10.0 % 9.7 % 9.4 % 10 % 0% 01 02 03 04 05 06 07 08 09 10 20 20 20 20 20 20 20 20 20 20 Figure 1.8 Global market share of 3GPP and 3GPP2 technologies
  35. 35. Introduction 7 3GPP schedule LTE WCDMA HSDPA HSUPA HSPA+ LTE-A 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 Commercial EDGE HSDPA HSUPA HSPA+ LTE deployment WCDMA Figure 1.9 Schedule of 3GPP standard and their commercial deploymentswill soon be turning to, GSM/WCDMA for voice evolution and to HSPA/LTE for dataevolution to access the benefits of the large and open 3GPP ecosystem and for economiesof scale for low-cost mobile devices. The number of subscribers using 3GPP-based tech-nologies is currently more than 4.5 billion. The 3GPP Long Term Evolution (LTE) willbe built on this large base of 3GPP technologies. The time schedules of 3GPP specifications and the commercial deployments are illus-trated in Figure 1.9. The 3GPP dates refer to the approval of the specifications. WCDMARelease 99 specification work was completed at the end of 1999 and was followed bythe first commercial deployments during 2002. The HSDPA and HSUPA standards werecompleted in March 2002 and December 2004 and the commercial deployments followedin 2005 and 2007. The first phase of HSPA evolution, also known as HSPA+, was com-pleted in June 2007 and the deployments started during 2009. The LTE standard wasapproved at the end of 2007, backwards compatibility started in March 2009 and the firstcommercial networks started during 2010. The next step is LTE-Advanced (LTE-A) andthe specification was approved in December 2010. The new generations of technologies push the data rates higher. The evolution of thepeak user data rates is illustrated in Figure 1.10. The first WCDMA deployments 2002offered 384 kbps, first HSDPA networks 3.6–14 Mbps, HSPA evolution 21–168 Mbps,LTE 150–300 Mbps and LTE-Advanced 1 Gbps, which is a more than 2000 times higherdata rate over a period of ten years. LTE-Advanced LTE 1 Gbps HSPA+ 150 –300 Mbps HSPA 21–168 Mbps WCDMA 14 Mbps EDGE 2 Mbps a rate 472 kbps l peak dat retica Theo Figure 1.10 Peak data rate evolution of 3GPP technologies
  36. 36. 8 LTE for UMTS: Evolution to LTE-Advanced The 3GPP technologies are designed for smooth interworking and coexistence. TheLTE will support bi-directional handovers between LTE and GSM and between LTEand UMTS. GSM, UMTS and LTE can share a number of network elements includingcore network elements. It is also expected that some of the 3G network elements canbe upgraded to support LTE and there will be single network platforms supporting bothHSPA and LTE. The subscriber management and SIM (Subscriber Identity Module)-basedauthentication will be used also in LTE.1.7 Wireless SpectrumThe LTE frequency bands in 3GPP specifications are shown in Figure 1.11 for paired bandsand in Figure 1.12 for unpaired bands. Currently 22 paired bands and nine unpaired bandshave been defined and more bands will be added during the standardization process. Someof the bands are currently used by other technologies and LTE can coexist with the legacytechnologies. In the best case in Europe there is over 600 MHz of spectrum available forthe mobile operators when including the 800, 900, 1800, 2100 and 2600 MHz FrequencyDivision Duplex (FDD) and Time Division Duplex (TDD) bands. In the USA the LTE Operating Total Uplink Downlink 3GPP name spectrum (MHz) (MHz) band Band 1 2100 2 × 60 MHz 1920–1980 2110–2170 Band 2 1900 2 × 60 MHz 1850–1910 1930–1990 Band 3 1800 2 × 75 MHz 1710–1785 1805–1880 Band 4 1700/2100 2 × 45 MHz 1710–1755 2110–2155 Band 5 850 2 × 25 MHz 824–849 869–894 Band 6 800 2 × 10 MHz 830–840 875–885 Band 7 2600 2 × 70 MHz 2500–2570 2620–2690 Band 8 900 2 × 35 MHz 880–915 925–960 Band 9 1700 2 × 35 MHz 1750–1785 1845–1880 Band 10 1700/2100 2 × 60 MHz 1710–1770 2110–2170 Band 11 1500 2 × 25 MHz 1427.9–1452.9 1475.9–1500.9 Band 12 US700 2 × 18 MHz 698–716 728–746 Band 13 US700 2 × 10 MHz 777–787 746–756 Band 14 US700 2 × 10 MHz 788–798 758–768 Band 17 US700 2 × 12 MHz 704–716 734–746 Band 18 Japan800 2 × 15 MHz 815–830 860–875 Band 19 Japan800 2 × 15 MHz 830–845 875–890 Band 20 EU800 2 × 30 MHz 832–862 791–821 Band 21 1500 2 × 15 MHz 1447.9–1462.9 1495.9–1510.9 Band 22 3500 2 × 90 MHz 3410–3500 3510–3600 Band 23 S-band 2 × 20 MHz 2000–2020 2180–2200 Band 24 L-band 2 × 34 MHz 1626.5–1660.5 1525–1559 Figure 1.11 Frequency bands for paired bands in 3GPP specifications
  37. 37. Introduction 9 Operating Total Uplink and 3GPP name spectrum downlink (MHz) band Band 33 UMTS TDD1 1 × 20 MHz 1900–1920 Band 34 UMTS TDD2 1 × 15 MHz 2010–2025 Band 35 US1900 UL 1 × 60 MHz 1850–1910 Band 36 US1900 DL 1 × 60 MHz 1930–1990 Band 37 US1900 1 × 20 MHz 1910–1930 Band 38 2600 1 × 50 MHz 2570–2620 Band 39 UMTS TDD 1 × 40 MHz 1880–1920 Band 40 2300 1 × 100 MHz 2300–2400 Band 41 2600 US 1 × 194 MHz 2496–2690 Figure 1.12 Frequency bands for unpaired bands in 3GPP specificationsnetworks will initially be built on 700 and 1700/2100 MHz frequencies. In Japan the LTEdeployments start using the 2100 band followed later by 800, 1500 and 1700 bands. Flexible bandwidth is desirable to take advantage of the diverse spectrum assets:refarming typically requires a narrowband option below 5 MHz while the new spectrumallocations could take advantage of a wideband option of data rates of 20 MHz and higher.It is also evident that both FDD and TDD modes are required to take full advantage ofthe available paired and unpaired spectrum. These requirements are taken into account inthe LTE system specification.1.8 New Spectrum Identified by WRC-07The ITU-R World Radiocommunication Conference (WRC-07) worked in October andNovember 2007 to identify the new spectrum for IMT. The objective was to identify lowbands for coverage and high bands for capacity. The following bands were identified for IMT and are illustrated in Figure 1.13. Themain LTE band will be in the 470–806/862 MHz UHF frequencies, which are currently 450 – 470 790–862 698–806 Coverage bands 100 200 300 400 500 600 700 800 900 1000 2300–2400 2100 2200 2300 2400 2500 2600 2700 2800 2900 3000 Capacity bands 3400–3800 3100 3200 3300 3400 3500 3600 3700 3800 3900 4000 Figure 1.13 Main new frequencies identified for IMT in WRC-07
  38. 38. 10 LTE for UMTS: Evolution to LTE-Advancedused for terrestrial TV broadcasting. The 790–862 MHz sub-band was identified in Europeand Asia-Pacific. The availability of the band depends on the national time schedules ofthe analogue to digital TV switchover. The first auction for that band was conducted inGermany in May 2010 and the corresponding frequency variant is Band 20. The bandallows three operators, each running 10 MHz LTE FDD. The 698–806 MHz sub-band was identified for IMT in Americas. In the US part of theband has already been auctioned. In Asia, the band plan for 698–806 MHz is expectedto cover 2 × 45 MHz FDD operation. The main capacity band will be 3.4–4.2 GHz (C-band). A total of 200 MHz was iden-tified in the 3.4–3.8 GHz sub-band for IMT in Europe and in Asia-Pacific. This spectrumcan facilitate the deployment of larger bandwidth of IMT-Advanced to provide the highestbit rates and capacity. The 2.3–2.4 GHz band was also identified for IMT but this band is not expected tobe available in Europe or in the Americas. This band was identified for IMT-2000 inChina at the WRC-2000. The 450–470 MHz sub-band was identified for IMT globally,but it is not expected to be widely available in Europe. This spectrum will be narrowwith maximum 2 × 5 MHz deployment. Further spectrums for IMT systems are expectedto be allocated in the WRC-2016 meeting.1.9 LTE-AdvancedInternational Mobile Telecommunications – Advanced (IMT-Advanced) is a conceptfor mobile systems with capabilities beyond IMT-2000. IMT-Advanced was previouslyknown as ‘Systems beyond IMT-2000’. The candidate proposals for IMT-Advancedwere submitted to ITU in 2009. Only two candidates were submitted: LTE-Advancedfrom 3GPP and IEEE 802.16m. It is envisaged that the new capabilities of these IMT-Advanced systems will supporta wide range of data rates in multi-user environments with target peak data rates of up toapproximately 100 Mbps for high mobility requirements and up to 1 Gbps for low mobilityrequirements such as nomadic/local wireless access. IMT-Advanced work within 3GPPis called LTE-Advanced (LTE-A) and it is part of Release 10. 3GPP submitted an LTE-Advanced proposal to ITU in October 2009 and more detailed work was done during 2010.The content was frozen in December 2010 and the backwards compatibility is expected Mobility High IMT -2000 IMT -2000 IMT- evolution Advanced LTE- Low WCDMA HSPA LTE Advanced 1 10 100 1000 Peak data rate (Mbps) Figure 1.14 Bit rate and mobility evolution to IMT-Advanced
  39. 39. Introduction 11 40 –100 MHz More bandwidth 8x MIMO 4x More antennas Relays Heterogeneous networks Figure 1.15 LTE-Advanced includes a toolbox of featuresin June 2011. The high-level evolution of 3GPP technologies to meet IMT requirementsis shown in Figure 1.14. The main technology components in Release 10 LTE-Advanced include:• carrier aggregation up to 408 in downlink andand× 4 inpotentially up to 100 MHz; MIMO evolution up to 8 × MHz total band, later• relay nodes for providing simple transmission solution; uplink; 4• heterogeneous networks for optimized interworking between cell layers including• macro, micro, pico and femto cells. LTE-Advanced features are designed in a backwards-compatible way where LTERelease 8 terminals can be used on the same carrier where new LTE-AdvancedRelease 10 features are activated. LTE-Advanced can be considered as a toolbox offeatures that can be flexibly implemented on top of LTE Release 8. The main features ofLTE-Advanced are summarized in Figure 1.15.