LTE for UMTS –
`OFDMA and SC-FDMA Based
`Radio Access
`
`LTE for UMTS: OFDMA and SC-FDMA Based Radio Access Edited by Harri Holma and Antti Toskala
`© 2009 John Wiley & Sons, Ltd. ISBN: 978-0-470-99401-6
`
`Samsung Ex. 1015
`
`

`

`LTE for UMTS -
`OFDMA and SC-FDMA Based
`Radio Access
`
`Edited by
`
`Harri Holma and Antti Toskala
`both of Nokia Siemens Networks, Finland
`
`John Wiley & Sons, Ltd
`
`Samsung Ex. 1015
`
`

`

`This edition fi rst published 2009
`© 2009 John Wiley & Sons Ltd.
`
`Registered offi ce
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, United Kingdom
`
`For details of our global editorial offi ces, for customer services and for information about how to apply for
`permission to reuse the copyright material in this book please see our website at www.wiley.com.
`
`The right of the author to be identifi ed as the author of this work has been asserted in accordance with the
`Copyright, Designs and Patents Act 1988.
`
`All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in
`any form or by any means, electronic, mechanical, photocopying, recording or otherwise, except as permitted by the
`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 be
`available in electronic books.
`
`Designations used by companies to distinguish their products are often claimed as trademarks. All brand names
`and product names used in this book are trade names, service marks, trademarks or registered trademarks of
`their respective owners. The publisher is not associated with any product or vendor mentioned in this book. This
`publication 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 professional
`advice or other expert assistance is required, the services of a competent professional should be sought.
`
`LTE is a trademark, registered by ETSI for the benefi t of the 3GPP Partners
`
`Library of Congress Cataloging-in-Publication Data
`
`LTE for UMTS-OFDMA and SC-FDMA based radio access / edited by Harri Holma, Antti Toskala.
` p. cm.
` Includes bibliographical references and index.
` ISBN 978-0-470-99401-6 (cloth : alk. paper) 1. Universal Mobile Telecommunications System. 2. Wireless
`communication systems--Standards. 3. Mobile communication systems--Standards. 4. Global system for mobile
`communications. I. Holma, Harri, 1970- II. Toskala, Antti.
` TK5103.4883.L78 2009
` 621.3845’6--dc22
`
`2008052792
`
`A catalogue record for this book is available from the British Library.
`
`ISBN 9780470994016 (H/B)
`
`Set in 10/12 pt Times by Sparks, Oxford – www.sparkspublishing.com
`Printed and bound in Great Britain by Antony Rowe, Chippenham, UK
`
`Samsung Ex. 1015
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`

`

`Contents
`
`Preface
`
`Acknowledgements
`
`List of Abbreviations
`
`1
`
`Introduction
`Harri Holma and Antti Toskala
`1.1 Mobile Voice Subscriber Growth
`1.2 Mobile Data Usage Growth
`1.3 Wireline Technologies Evolution
`1.4 Motivation and Targets for LTE
`1.5 Overview of LTE
`1.6
`3GPP Family of Technologies
`1.7 Wireless Spectrum
`1.8 New Spectrum Identifi ed by WRC-07
`1.9
`LTE-Advanced
`
`2
`
`LTE Standardization
`Antti Toskala
`Introduction
`2.1
`2.2 Overview of 3GPP Releases and Process
`2.3
`LTE Targets
`2.4
`LTE Standardization Phases
`2.5
`Evolution Beyond Release 8
`2.6
`LTE-Advanced for IMT-Advanced
`2.7
`LTE Specifi cations and 3GPP Structure
`
`References
`
`3
`
`System Architecture Based on 3GPP SAE
`Atte Länsisalmi and Antti Toskala
`System Architecture Evolution in 3GPP
`3.1
`3.2 Basic System Architecture Confi guration with only E-UTRAN Access Network
`
`xiii
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`xv
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`xvii
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`1
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`1
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`11
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`3.3.3
`
`3.4.3
`
`vi
`
`3.3
`
`3.4
`
`3.5
`
`3.6
`
`3.7
`
`
`
`3.2.1 Overview of Basic System Architecture Confi guration
`3.2.2 Logical Elements in Basic System Architecture Confi guration
`3.2.3
`Self-confi guration of S1-MME and X2 interfaces
`3.2.4
`Interfaces and Protocols in Basic System Architecture Confi guration
`3.2.5 Roaming in Basic System Architecture Confi guration
`System Architecture with E-UTRAN and Legacy 3GPP Access Networks
`3.3.1 Overview of 3GPP Inter-working System Architecture Confi guration
`3.3.2 Additional and Updated Logical Elements in 3GPP Inter-working System
`Architecture Confi guration
`Interfaces and Protocols in 3GPP Inter-working System Architecture
`Confi guration
`Inter-working with Legacy 3GPP CS Infrastructure
`3.3.4
`System Architecture with E-UTRAN and Non-3GPP Access Networks
`3.4.1 Overview of 3GPP and Non-3GPP Inter-working System Architecture
`Confi guration
`3.4.2 Additional and Updated Logical Elements in 3GPP Inter-working System
`Architecture Confi guration
`Interfaces and Protocols in Non-3GPP Inter-working System Architecture
`50
`Confi guration
`3.4.4 Roaming in Non-3GPP Inter-working System Architecture Confi guration 51
`Inter-working with cdma2000® Access Networks
`51
`3.5.1 Architecture for cdma2000® HRPD Inter-working
`51
`3.5.2 Additional and Updated Logical Elements for cdma2000® HRPD Inter-
`working
`Protocols and Interfaces in cdma2000® HRPD Inter-working
`3.5.3
`Inter-working with cdma2000® 1xRTT
`3.5.4
`IMS Architecture
`3.6.1 Overview
`3.6.2
`Session Management and Routing
`3.6.3 Databases
`3.6.4
`Services Elements
`3.6.5
`Inter-working Elements
`PCC and QoS
`3.7.1
`PCC
`3.7.2 QoS
`References
`
`Contents
`
`25
`26
`34
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`65
`
`4
`
`Introduction to OFDMA and SC-FDMA and to MIMO in LTE
`Antti Toskala and Timo Lunttila
`Introduction
`4.1
`LTE Multiple Access Background
`4.2
`4.3 OFDMA Basics
`4.4
`SC-FDMA Basics
`4.5 MIMO Basics
`4.6
`Summary
`
`References
`
`67
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`67
`70
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`Contents
`
`5
`
`5.7
`
`Physical Layer
`Antti Toskala, Timo Lunttila, Esa Tiirola, Kari Hooli and Juha Korhonen
`Introduction
`5.1
`Transport Channels and Their Mapping to the Physical Channels
`5.2
`5.3 Modulation
`5.4 Uplink User Data Transmission
`5.5 Downlink User Data Transmission
`5.6 Uplink Physical Layer Signaling Transmission
`5.6.1
`Physical Uplink Control Channel (PUCCH)
`5.6.2
`PUCCH Confi guration
`5.6.3 Control Signaling on PUSCH
`5.6.4 Uplink Reference Signals
`PRACH Structure
`5.7.1
`Physical Random Access Channel
`5.7.2
`Preamble Sequence
`5.8 Downlink Physical Layer Signaling Transmission
`5.8.1
`Physical Control Format Indicator Channel (PCFICH)
`5.8.2
`Physical Downlink Control Channel (PDCCH)
`5.8.3
`Physical HARQ Indicator Channel (PHICH)
`5.8.4 Downlink Transmission Modes
`5.8.5
`Physical Broadcast Channel (PBCH)
`5.8.6
`Synchronization Signal
`Physical Layer Procedures
`5.9.1 HARQ Procedure
`5.9.2 Timing Advance
`5.9.3
`Power Control
`5.9.4
`Paging
`5.9.5 Random Access Procedure
`5.9.6 Channel Feedback Reporting Procedure
`5.9.7 Multiple Input Multiple Output (MIMO) Antenna Technology
`5.9.8 Cell Search Procedure
`5.9.9 Half Duplex Operation
`5.10 UE Capability Classes and Supported Features
`5.11 Physical Layer Measurements
`5.11.1 eNodeB Measurements
`5.11.2 UE Measurements and Measurement Procedure
`5.12 Physical Layer Parameter Confi guration
`5.13 Summary
`
`References
`
`5.9
`
`6
`
`LTE Radio Protocols
`Antti Toskala and Woonhee Hwang
`Introduction
`6.1
`Protocol Architecture
`6.2
`6.3 Medium Access Control
`6.3.1 Logical Channels
`6.3.2 Data Flow in MAC Layer
`
`vii
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`103
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`Contents
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`6.4 Radio Link Control Layer
`6.4.1 RLC Modes of Operation
`6.4.2 Data Flow in RLC Layer
`Packet Data Convergence Protocol
`6.5
`6.6 Radio Resource Control (RRC)
`6.6.1 UE States and State Transitions Including Inter-RAT
`6.6.2 RRC Functions and Signaling Procedures
`6.7 X2 Interface Protocols
`6.7.1 Handover on X2 Interface
`6.7.2 Load Management
`Early UE Handling in LTE
`Summary
`References
`
`6.8
`6.9
`
`
`7
`
`7.3
`
`Mobility
`Chris Callender, Harri Holma, Jarkko Koskela and Jussi Reunanen
`Introduction
`7.1
`7.2 Mobility Management in Idle State
`7.2.1 Overview of Idle Mode Mobility
`7.2.2 Cell Selection and Reselection Process
`7.2.3 Tracking Area Optimization
`Intra-LTE Handovers
`7.3.1
`Procedure
`7.3.2
`Signaling
`7.3.3 Handover Measurements
`7.3.4 Automatic Neighbor Relations
`7.3.5 Handover Frequency
`7.3.6 Handover Delay
`Inter-system Handovers
`7.4
`7.5 Differences in E-UTRAN and UTRAN Mobility
`7.6
`Summary
`
`References
`
`8
`
`Radio Resource Management
`Harri Holma, Troels Kolding, Daniela Laselva, Klaus Pedersen, Claudio Rosa
`and Ingo Viering
`Introduction
`8.1
`8.2 Overview of RRM Algorithms
`8.3 Admission Control and QoS Parameters
`8.4 Downlink Dynamic Scheduling and Link Adaptation
`8.4.1 Layer 2 Scheduling and Link Adaptation Framework
`8.4.2
`Frequency Domain Packet Scheduling
`8.4.3 Combined Time and Frequency Domain Scheduling Algorithms
`8.4.4
`Packet Scheduling with MIMO
`8.4.5 Downlink Packet Scheduling Illustrations
`8.5 Uplink Dynamic Scheduling and Link Adaptation
`8.5.1
`Signaling to Support Uplink Link Adaptation and Packet Scheduling
`
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`146
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`159
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`Contents
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`8.6
`
`8.5.2 Uplink Link Adaptation
`8.5.3 Uplink Packet Scheduling
`Interference Management and Power Settings
`8.6.1 Downlink Transmit Power Settings
`8.6.2 Uplink Interference Coordination
`8.7 Discontinuous Transmission and Reception (DTX/DRX)
`8.8 RRC Connection Maintenance
`8.9
`Summary
`
`References
`
`9
`
`Performance
`Harri Holma, Pasi Kinnunen, István Z. Kovács, Kari Pajukoski, Klaus Pedersen
`and Jussi Reunanen
`Introduction
`Layer 1 Peak Bit Rates
`Terminal Categories
`Link Level Performance
`9.4.1 Downlink Link Performance
`9.4.2 Uplink Link Performance
`Link Budgets
`Spectral Effi ciency
`9.6.1
`System Deployment Scenarios
`9.6.2 Downlink System Performance
`9.6.3 Uplink System Performance
`9.6.4 Multi-antenna MIMO Evolution Beyond 2 × 2
`9.6.5 Higher Order Sectorization (Six Sectors)
`9.6.6
`Spectral Effi ciency as a Function of LTE Bandwidth
`9.6.7
`Spectral Effi ciency Evaluation in 3GPP
`9.6.8 Benchmarking LTE to HSPA
`Latency
`9.7.1 User Plane Latency
`LTE Refarming to GSM Spectrum
`9.8
`9.9 Dimensioning
`9.10 Capacity Management Examples from HSPA Networks
`9.10.1 Data Volume Analysis
`9.10.2 Cell Performance Analysis
`9.11 Summary
`
`References
`
`9.1
`9.2
`9.3
`9.4
`
`9.5
`9.6
`
`9.7
`
`10
`
`Voice over IP (VoIP)
`Harri Holma, Juha Kallio, Markku Kuusela, Petteri Lundén, Esa Malkamäki,
`Jussi Ojala and Haiming Wang
`Introduction
`10.1
`10.2 VoIP Codecs
`10.3 VoIP Requirements
`10.4 Delay Budget
`10.5 Scheduling and Control Channels
`
`ix
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`199
`200
`204
`205
`206
`207
`209
`209
`210
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`213
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`216
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`Contents
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`10.6 LTE Voice Capacity
`10.7 Voice Capacity Evolution
`10.8 Uplink Coverage
`10.9 Circuit Switched Fallback for LTE
`10.10 Single Radio Voice Call Continuity (SR-VCC)
`10.11 Summary
`
`References
`
`11
`
`Performance Requirements
`Andrea Ancora, Iwajlo Angelow, Dominique Brunel, Chris Callender, Harri
`Holma, Peter Muszynski, Earl McCune and Laurent Noël
`Introduction
`11.1
`11.2 Frequency Bands and Channel Arrangements
`11.2.1 Frequency Bands
`11.2.2 Channel Bandwidth
`11.2.3 Channel Arrangements
`11.3 eNodeB RF Transmitter
`11.3.1 Operating Band Unwanted Emissions
`11.3.2 Coexistence with Other Systems on Adjacent Carriers Within the Same
`Operating Band
`11.3.3 Coexistence with Other Systems in Adjacent Operating Bands
`11.3.4 Transmitted Signal Quality
`11.4 eNodeB RF Receiver
`11.4.1 Reference Sensitivity Level
`11.4.2 Dynamic Range
`11.4.3 In-channel Selectivity
`11.4.4 Adjacent Channel Selectivity (ACS) and Narrow-band Blocking
`11.4.5 Blocking
`11.4.6 Receiver Spurious Emissions
`11.4.7 Receiver Intermodulation
`11.5 eNodeB Demodulation Performance
`11.5.1 PUSCH
`11.5.2 PUCCH
`11.5.3 PRACH
`11.6 UE Design Principles and Challenges
`11.6.1 Introduction
`11.6.2 RF Subsystem Design Challenges
`11.6.3 RF–Baseband Interface Design Challenges
`11.6.4 LTE vs HSDPA Baseband Design Complexity
`11.7 UE RF Transmitter
`11.7.1 LTE UE Transmitter Requirement
`11.7.2 LTE Transmit Modulation Accuracy, EVM
`11.7.3 Desensitization for Band and Bandwidth Combinations (Desense)
`11.7.4 Transmitter Architecture
`11.8 UE RF Receiver Requirements
`11.8.1 Reference Sensitivity Level
`11.8.2 Introduction to UE Self-desensitization Contributors in FDD UEs
`
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`11.8.3 ACS, Narrowband Blockers and ADC Design Challenges
`11.8.4 EVM Contributors: A Comparison Between LTE and WCDMA
`Receivers
`11.9 UE Demodulation Performance
`11.9.1 Transmission Modes
`11.9.2 Channel Modeling and Estimation
`11.9.3 Demodulation Performance
`11.10 Requirements for Radio Resource Management
`11.10.1 Idle State Mobility
`11.10.2 Connected State Mobility when DRX is Not Active
`11.10.3 Connected State Mobility when DRX is Active
`11.10.4 Handover Execution Performance Requirements
`11.11 Summary
`
`References
`
`12
`
`LTE TDD Mode
`Che Xiangguang, Troels Kolding, Peter Skov, Wang Haiming and Antti Toskala
`Introduction
`12.1
`12.2 LTE TDD Fundamentals
`12.2.1 LTE TDD Frame Structure
`12.2.2 Asymmetric Uplink/Downlink Capacity Allocation
`12.2.3 Co-existence with TD-SCDMA
`12.2.4 Channel Reciprocity
`12.2.5 Multiple Access Schemes
`12.3 TDD Control Design
`12.3.1 Common Control Channels
`12.3.2 Sounding Reference Signal
`12.3.3 HARQ Process and Timing
`12.3.4 HARQ Design for UL TTI Bundling
`12.3.5 UL HARQ-ACK/NACK Transmission
`12.3.6 DL HARQ-ACK/NACK Transmission
`12.3.7 DL HARQ-ACK/NACK Transmission with SRI and/or CQI over
`PUCCH
`12.4 Semi-persistent Scheduling
`12.5 MIMO and Dedicated Reference Signals
`12.6 LTE TDD Performance
`12.6.1 Link Performance
`12.6.2 Link Budget and Coverage for TDD System
`12.6.3 System Level Performance
`12.6.4 Evolution of LTE TDD
`12.7 Summary
`
`References
`
`13 HSPA Evolution
`Harri Holma, Karri Ranta-aho and Antti Toskala
`Introduction
`13.1
`13.2 Discontinuous Transmission and Reception (DTX/DRX)
`
`xi
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`xii
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`13.3 Circuit Switched Voice on HSPA
`13.4 Enhanced FACH and RACH
`13.5 Downlink MIMO and 64QAM
`13.6 Dual Carrier HSDPA
`13.7 Uplink 16QAM
`13.8 Layer 2 Optimization
`13.9 Single Frequency Network (SFN) MBMS
`13.10 Architecture Evolution
`13.11 Summary
`
`References
`
`Index
`
`Contents
`
`401
`404
`405
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`409
`410
`411
`412
`414
`415
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`

`Preface
`
`The number of mobile subscribers has increased tremendously in recent years. Voice com(cid:173)
`munication has become mobile in a massive way and the mobile is the preferred way for voice
`communication. At the same time the data usage has grown fast in those networks where
`3GPP High Speed Packet Access (HSPA) was introduced indicating that the users find value
`in broadband wireless data. The average data consumption exceeds hundreds of Megabytes per
`subscriber per month. The end users expect data performance similar to the fi xed lines. The
`operators request high data capacity with low cost of data de livery. 3GPP Long Term Evolution
`(LTE) is designed to meet those targets. This book presents 3GPP LTE standard in Release 8
`and describes its expected performance.
`The book is structured as follows. Chapter I presents an introduction. The standardization
`background and process is described in Chapter 2 . The system architecture evolution (SAE) is
`presented in Chapter 3, and the basics of air interface modulation choices in Chapter 4. Chapter
`5 describes 3GPP LTE physical layer solutions, and Chapter 6 protocol solutions. The mobi Ii ty
`
`Chapter 3 - system
`architectw-e evolution
`(SAE)
`~~
`
`Chapter I -
`introduction
`
`«~ ,,)r (<~t)=JL"""''
`• Chapte,9 -
`
`Chapter 6 -
`protocols
`
`f li
`Cha ter 7 _
`
`Ch~pter 8 -
`radio resow-ce
`
`Chapter 11 -
`performance
`requirements
`
`Chapter2 -
`standardization
`
`Chapter 5 -
`physical layer
`
`performance
`~
`~ Mbps,dB
`
`Chapter 10 -
`voice over IP
`
`Chapter 13 - HSPA
`evolution
`
`Chapter 4 - introduction to
`' ~
`· • OFDMA and SC-FDMA
`
`vO
`
`Ov
`
`Chapter 12 - LTE TDD
`Figure 0.1 Contents of the book
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`

`

`xiv
`
`
`
`aspects are addressed in Chapter 7, and the radio resource management in Chapter 8. The radio
`and end-to-end performance is illustrated in Chapter 9. The voice performance is presented
`in Chapter 10. Chapter 11 explains the 3GPP performance requirements. Chapter 12 presents
`the main LTE Time Division Duplex (TDD). Chapter 13 describes HSPA evolution in 3GPP
`Releases 7 and 8.
`LTE can access a very large global market – not only GSM/UMTS operators, but also
`CDMA operators and potentially also fi xed network service providers. The potential market
`can attract a large number of companies to the market place pushing the economies of scale
`which enable wide scale LTE adoption with lower cost. This book is particularly designed
`for chip set and mobile vendors, network vendors, network operators, application developers,
`technology managers and regulators who would like to get a deeper understanding of LTE
`technology and its capabilities.
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`

`Acknowledgements
`
`The editors would like to acknowledge the hard work of the contributors from Nokia Siemens
`Networks, Nokia, ST-Ericsson and Nomor Research: Andrea Ancora, Iwajlo Angelow,
`Dominique Brunel, Chris Callender, Kari Hooli, Woonhee Hwang, Juha Kallio, Matti Kiiski,
`Pasi Kinnunen, Troels Kolding, Juha Korhonen, Jarkko Koskela, Istvan Kovacs, Markku
`Kuusela, Daniela Laselva, Earl McCune, Peter Muszynski, Petteri Lunden, Timo Lunttila, Atte
`Länsisalmi, Esa Malkamäki, Laurent Noel, Jussi Ojala, Kari Pajukoski, Klaus Pedersen, Karri
`Ranta-aho, Jussi Reunanen, Haiming Wang, Peter Skov, Esa Tiirola, Ingo Viering, Haiming
`Wang and Che Xiangguang.
`We also would like to thank the following colleagues for their valuable comments: Asbjörn
`Grovlen, Jorma Kaikkonen, Michael Koonert, Peter Merz, Preben Mogensen, Sari Nielsen,
`Gunnar Nitsche, Miikka Poikselkä, Sabine Rössel, Benoist Sebire, Issam Toufi k and Helen
`Waite.
`The editors appreciate the fast and smooth editing process provided by Wiley and especially
`Sarah Tilley, Mark Hammond, Katharine Unwin, Brett Wells, Tom Fryer and Mitch Fitton.
`We are grateful to our families, as well as the families of all the authors, for their patience
`during the late night and weekend editing sessions.
`The editors and authors welcome any comments and suggestions for improvements or changes
`that could be implemented in forthcoming editions of this book. The feedback is welcome to
`editors’ email addresses harri.holma@nsn.com and antti.toskala@nsn.com.
`
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`

`List of Abbreviations
`
`3GPP
`Third Generation Partnership Project
`AAA
`Authentication, Authorization and Accounting
`ACF
`Analog Channel Filter
`ACIR
`Adjacent Channel Interference Rejection
`ACK
`Acknowledgement
`ACLR
`Adjacent Channel Leakage Ratio
`ACS
`Adjacent Channel Selectivity
`ADC
`Analog-to Digital Conversion
`ADSL
`Asymmetric Digital Subscriber Line
`AKA
`Authentication and Key Agreement
`AM
`Acknowledged Mode
`AMBR
`Aggregate Maximum Bit Rate
`AMD
`Acknowledged Mode Data
`AMR
`Adaptive Multi-Rate
`AMR-NB
`Adaptive Multi-Rate Narrowband
`AMR-WB Adaptive Multi-Rate Wideband
`ARP
`Allocation Retention Priority
`ASN
`Abstract Syntax Notation
`ASN.1
`Abstract Syntax Notation One
`ATM
`Adaptive Transmission Bandwidth
`AWGN
`Additive White Gaussian Noise
`AWGN
`Additive White Gaussian Noise
`BB
`Baseband
`BCCH
`Broadcast Control Channel
`BCH
`Broadcast Channel
`BE
`Best Effort
`BEM
`Block Edge Mask
`BICC
`Bearer Independent Call Control Protocol
`BiCMOS
`Bipolar CMOS
`BLER
`Block Error Rate
`BO
`Backoff
`BOM
`Bill of Material
`BPF
`Band Pass Filter
`BPSK
`Binary Phase Shift Keying
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`
`List of Abbreviations
`
`BS
`Base Station
`BSC
`Base Station Controller
`BSR
`Buffer Status Report
`BT
`Bluetooth
`BTS
`Base Station
`BW
`Bandwidth
`CAZAC
`Constant Amplitude Zero Autocorrelation Codes
`CBR
`Constant Bit Rate
`CCE
`Control Channel Element
`CCCH
`Common Control Channel
`CDD
`Cyclic Delay Diversity
`CDF
`Cumulative Density Function
`CDM
`Code Division Multiplexing
`CDMA
`Code Division Multiple Access
`CIR
`Carrier to Interference Ratio
`CLM
`Closed Loop Mode
`CM
`Cubic Metric
`CMOS
`Complementary Metal Oxide Semiconductor
`CoMP
`Coordinated Multiple Point
`CP
`Cyclic Prefi x
`CPE
`Common Phase Error
`CPICH
`Common Pilot Channel
`CQI
`Channel Quality Information
`CRC
`Cyclic Redundancy Check
`C-RNTI
`Cell Radio Network Temporary Identifi er
`CS
`Circuit Switched
`CSCF
`Call Session Control Function
`CSFB
`Circuit Switched Fallback
`CSI
`Channel State Information
`CT
`Core and Terminals
`CTL
`Control
`CW
`Continuous Wave
`DAC
`Digital to Analog Conversion
`DARP
`Downlink Advanced Receiver Performance
`D-BCH
`Dynamic Broadcast Channel
`DC
`Direct Current
`DCCH
`Dedicated Control Channel
`DCH
`Dedicated Channel
`DC-HSDPA Dual Cell (Dual Carrier) HSDPA
`DCI
`Downlink Control Information
`DCR
`Direct Conversion Receiver
`DCXO
`Digitally-Compensated Crystal Oscillator
`DD
`Duplex Distance
`DFCA
`Dynamic Frequency and Channel Allocation
`DFT
`Discrete Fourier Transform
`DG
`Duplex Gap
`DL
`Downlink
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`
`DL-SCH
`DPCCH
`DR
`DRX
`DSP
`DTCH
`DTM
`DTX
`DVB-H
`DwPTS
`E-DCH
`EDGE
`EFL
`EFR
`EGPRS
`E-HRDP
`EIRP
`EMI
`EPA
`EPC
`EPDG
`ETU
`E-UTRA
`EVA
`EVDO
`EVM
`EVS
`FACH
`FCC
`FD
`FDD
`FDE
`FDM
`FDPS
`FE
`FFT
`FM
`FNS
`FR
`FRC
`FS
`GB
`GBF
`GDD
`GERAN
`GF
`GGSN
`
`Downlink Shared Channel
`Dedicated Physical Control Channel
`Dynamic Range
`Discontinuous Reception
`Digital Signal Processing
`Dedicated Traffi c Channel
`Dual Transfer Mode
`Discontinuous Transmission
`Digital Video Broadcast – Handheld
`Downlink Pilot Time Slot
`Enhanced DCH
`Enhanced Data Rates for GSM Evolution
`Effective Frequency Load
`Enhanced Full Rate
`Enhanced GPRS
`Evolved HRPD (High Rate Packet Data) network
`Equivalent Isotropic Radiated Power
`Electromagnetic Interference
`Extended Pedestrian A
`Evolved Packet Core
`Evolved Packet Data Gateway
`Extended Typical Urban
`Evolved Universal Terrestrial Radio Access
`Extended Vehicular A
`Evolution Data Only
`Error Vector Magnitude
`Error Vector Spectrum
`Forward Access Channel
`Federal Communications Commission
`Frequency Domain
`Frequency Division Duplex
`Frequency Domain Equalizer
`Frequency Division Multiplexing
`Frequency Domain Packet Scheduling
`Front End
`Fast Fourier Transform
`Frequency Modulated
`Frequency Non-Selective
`Full Rate
`Fixed Reference Channel
`Frequency Selective
`Gigabyte
`Guaranteed Bit Rate
`Group Delay Distortion
`GSM/EDGE Radio Access Network
`G-Factor
`Gateway GPRS Support Node
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`List of Abbreviations
`
`GMSK
`Gaussian Minimum Shift Keying
`GP
`Guard Period
`GPON
`Gigabit Passive Optical Network
`GPRS
`General packet radio service
`GPS
`Global Positioning System
`GRE
`Generic Routing Encapsulation
`GSM
`Global System for Mobile Communications
`GTP
`GPRS Tunneling Protocol
`GTP-C
`GPRS Tunneling Protocol, Control Plane
`GUTI
`Globally Unique Temporary Identity
`GW
`Gateway
`HARQ
`Hybrid Adaptive Repeat and Request
`HB
`High Band
`HD-FDD
`Half Duplex Frequency Division Duplex
`HFN
`Hyper Frame Number
`HII
`High Interference Indicator
`HO
`Handover
`HPBW
`Half Power Beam Width
`HPF
`High Pass Filter
`HPSK
`Hybrid Phase Shift Keying
`HRPD
`High Rate Packet Data
`HSDPA
`High Speed Downlink Packet Access
`HS-DSCH High Speed Downlink Shared Channel
`HSGW
`HRPD Serving Gateway
`HSPA
`High Speed Packet Access
`HS-PDSCH High Speed Physical Downlink Shared Channel
`HSS
`Home Subscriber Server
`HS-SCCH High Speed Shared Control Channel
`HSUPA
`High Speed Uplink Packet Access
`IC
`Integrated Circuit
`IC
`Interference Cancellation
`ICI
`Inter-carrier Interference
`ICIC
`Inter-cell Interference Control
`ICS
`IMS Centralized Service
`ID
`Identity
`IETF
`Internet Engineering Task Force
`IFFT
`Inverse Fast Fourier Transform
`IL
`Insertion Loss
`iLBC
`Internet Lob Bit Rate Codec
`IM
`Implementation Margin
`IMD
`Intermodulation
`IMS
`IP Multimedia Subsystem
`IMT
`International Mobile Telecommunications
`IoT
`Interference over Thermal
`IOT
`Inter-Operability Testing
`IP
`Internet Protocol
`IR
`Image Rejection
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`IRC
`ISD
`ISDN
`ISI
`ISTO
`ISUP
`IWF
`LAI
`LMA
`LB
`LCID
`LCS
`LMMSE
`LNA
`LO
`LOS
`LTE
`MAC
`MAP
`MAP
`MBMS
`MBR
`MCH
`MCL
`MCS
`MGW
`MIB
`MIMO
`MIP
`MIPI
`MIPS
`MM
`MME
`MMSE
`MPR
`MRC
`MSC
`MSC-S
`MSD
`MU
`NACC
`NACK
`NAS
`NAT
`NB
`NF
`NMO
`
`Interference Rejection Combining
`Inter-site Distance
`Integrated Services Digital Network
`Inter-system Interference
`Industry Standards and Technology Organization
`ISDN User Part
`Interworking Funtion
`Location Area Identity
`Local Mobility Anchor
`Low Band
`Logical Channel Identifi cation
`Location Services
`Linear Mininum Mean Square Error
`Low Noise Amplifi er
`Local Oscillator
`Line of Sight
`Long Term Evolution
`Medium Access Control
`Maximum a Posteriori
`Mobile Application Part
`Multimedia Broadcast Multicast System
`Maximum Bit Rate
`Multicast Channel
`Minimum Coupling Loss
`Modulation and Coding Scheme
`Media Gateway
`Master Information Block
`Multiple Input Multiple Output
`Mobile IP
`Mobile Industry Processor Interface
`Million Instructions Per Second
`Mobility Management
`Mobility Management Entity
`Minimum Mean Square Error
`Maximum Power Reduction
`Maximal Ratio Combining
`Mobile Switching Center
`Mobile Switching Center Server
`Maximum Sensitivity Degradation
`Multiuser
`Network Assisted Cell Change
`Negative Acknowledgement
`Non-access Stratum
`Network Address Table
`Narrowband
`Noise Figure
`Network Mode of Operation
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`
`NRT
`OFDM
`OFDMA
`OI
`OLLA
`OOB
`OOBN
`O&M
`PA
`PAPR
`PAR
`PBR
`PC
`PC
`PCC
`PCCC
`PCCPCH
`PCFICH
`PCH
`PCI
`PCM
`PCRF
`PCS
`PDCCH
`PDCP
`PDF
`PDN
`PDU
`PDSCH
`PF
`P-GW
`PHICH
`PHR
`PHS
`PHY
`PLL
`PLMN
`PMI
`PMIP
`PN
`PRACH
`PRB
`PS
`PSD
`PSS
`PUCCH
`PUSCH
`
`Non-real Time
`Orthogonal Frequency Division Multiplexing
`Orthogonal Frequency Division Multiple Access
`Overload Indicator
`Outer Loop Link Adaptation
`Out of Band
`Out-of-Band Noise
`Operation and Maintenance
`Power Amplifi er
`Peak to Average Power Ratio
`Peak-to-Average Ratio
`Prioritized Bit Rate
`Personal Computer
`Power Control
`Policy and Charging Control
`Parallel Concatenated Convolution Coding
`Primary Common Control Physical Channel
`Physical Control Format Indicator Channel
`Paging Channel
`Physical Cell Identity
`Pulse Code Modulation
`Policy and Charging Resource Function
`Personal Communication Services
`Physical Downlink Control Channel
`Packet Data Convergence Protocol
`Probability Density Function
`Packet Data Network
`Payload Data Unit
`Physical Downlink Shared Channel
`Proportional Fair
`Packet Data Network Gateway
`Physical HARQ Indicator Channel
`Power Headroom Report
`Personal Handyphone System
`Physical Layer
`Phase Locked Loop
`Public Land Mobile Network
`Precoding Matrix Index
`Proxy Mobile IP
`Phase Noise
`Physical Random Access Channel
`Physical Resource Block
`Packet Switched
`Power Spectral Density
`Primary Synchronization Signal
`Physical Uplink Control Channel
`Physical Uplink Shared Channel
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`List of Abbreviations
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`xxiii
`
`QAM
`Quadrature Amplitude Modulation
`QCI
`QoS Class Identifi er
`QD
`Quasi Dynamic
`QN
`Quantization Noise
`QoS
`Quality of Service
`QPSK
`Quadrature Phase Shift Keying
`RACH
`Random Access Channel
`RAD
`Required Activity Detection
`RAN
`Radio Access Network
`RAR
`Random Access Response
`RAT
`Radio Access Technology
`RB
`Resource Block
`RBG
`Radio Bearer Group
`RF
`Radio Frequency
`RI
`Rank Indicator
`RLC
`Radio Link Control
`RNC
`Radio Network Controller
`RNTP
`Relative Narrowband Transmit Power
`ROHC
`Robust Header Compression
`RR
`Round Robin
`RRC
`Radio Resource Control
`RRM
`Radio Resource Management
`RS
`Reference Signal
`RSCP
`Received Symbol Code Power
`RSRP
`Reference Symbol Received Power
`RSRQ
`Reference Symbol Received Quality
`RSSI
`Received Signal Strength Indicator
`RT
`Real Time
`RTT
`Round Trip Time
`RV
`Redundancy Version
`SA
`Services and System Aspects
`SAE
`System Architecture Evolution
`SAIC
`Single Antenna Interference Cancellation
`S-CCPCH Secondary Common Control Physical Channel
`SC-FDMA Single Carrier Frequency Division Multiple Access
`SCH
`Synchronization Channel
`SCM
`Spatial Channel Model
`SCTP
`Stream Control Transmission Protocol
`SDQNR
`Signal to Distortion Quantization Noise Ratio
`SDU
`Service Data Unit
`SE
`Spectral Effi ciency
`SEM
`Spectrum Emission Mask
`SF
`Spreading Factor
`SFBC
`Space Frequency Block Coding
`SFN
`System Frame Number
`SGSN
`Serving GPRS Support Node
`S-GW
`Serving Gateway
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`
`List of Abbreviations
`
`SIB
`System Information Block
`SID
`Silence Indicator Frame
`SIM
`Subscriber Identity Module
`SIMO
`Single Input Multiple Output
`SINR
`Signal to Interference and Noise Ratio
`SMS
`Short Message Service
`SNR
`Signal to Noise Ratio
`SON
`Self Optimized Networks
`SON
`Self Organizing Networks
`SR
`Scheduling Request
`S-RACH
`Short Random Access Channel
`SRB
`Signaling Radio Bearer
`S-RNC
`Serving RNC
`SRS
`Sounding Reference Signals
`SSS
`Secondary Synchronization Signal
`SR-VCC
`Single Radio Voice Call Continuity
`S-TMSI
`S-Temporary Mobile Subscriber Identity
`SU-MIMO Single User Multiple Input Multiple Output
`S1AP
`S1 Application Protocol
`TA
`Tracking Area
`TBS
`Transport Block Size
`TD
`Time Domain
`TDD
`Time Division Duplex
`TD-LTE
`Time Division Long Term Evolution
`TD-SCDMA Time Division Synchronous Code Division Multiple Access
`TM
`Transparent Mode
`TPC
`Transmit Power Control
`TRX
`Transceiver
`TSG
`Technical Specifi cation Group
`TTI
`Transmission Time Interval
`TU
`Typical Urban
`UDP
`Unit Data Protocol
`UE
`User Equipment
`UHF
`Ultra High Frequency
`UICC
`Universal Integrated Circuit Card
`UL
`Uplink
`UL-SCH
`Uplink Shared Channel
`UM
`Unacknowledged Mode
`UMD
`Unacknowledged Mode Data
`UMTS
`Universal Mobile Telecommunications System
`UpPTS
`Uplink Pilot Time Slot
`USB
`Universal Serial Bus
`USIM
`Universal Subscriber Identity Module
`USSD
`Unstructured Supplementary Service Data
`UTRA
`Universal Terrestrial Radio Access
`UTRAN
`Universal Terrestrial Radio Access Network
`VCC
`Voice Call Continuity
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`List of Abbreviations
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`xxv
`
`VCO
`Voltage Controlled Oscillator
`VDSL
`Very High Data Rate Subscriber Line
`VLR
`Visitor Location Register
`V-MIMO
`Virtual MIMO
`VoIP
`Voice over IP
`WCDMA Wideband Code Division Multiple Access
`WG
`Working Group
`WLAN
`Wireless Local Area Network
`WRC
`World Radio Conference
`X1AP
`X1 Application Protocol
`ZF
`Zero Forcing
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`

`

`5 P
`
`hysical Layer
`
`Antti Toskala, Timo Lunttila, Esa Tiirola, Kari Hooli and Juha Korhonen
`
`5.1 Introduction
`In this chapter the physical layer of LTE is described, based on the use of OFDMA and
`SC-FDMA principles as covered in Chapter 4. The LTE physical layer is characterized by the
`design principle of resource usage based solely on dynamically allocated shared resources
`rather than having dedicated resources reserved for a single user. This has an analogy with the
`resource usage in the internet, which is packet based without user specifi c resource allocation.
`The physical layer of a radio access system has a key role in defi ning the resulting capacity
`and becomes a focal point when comparing different systems for expected performance. Of
`course a competitive system requires an effi cient protocol layer to ensure good performance
`through to both the application layer and the end user. The fl at architecture adopted, as covered
`in Chapter 3, also enables the dynamic nature of the radio interface because all radio resource
`control is located close to the radio in the base station site. The 3GPP term for the base station
`used in this chapter is eNodeB (different to the WCDMA BTS term, which is Node B; e stands
`for ‘evolved’). This chapter fi rst covers the physical channel structures and then introduces
`the channel coding and physical layer procedures. It concludes with a description of physical
`layer measurements and device capabilities as well as a brief look at aspects of the parameter
`confi guration of the physical layer. In 3GPP specifi cations the physical layer was covered in
`36.2 series, with the four key physical layer specifi cations being [1–4]. Many of the issues
`in this chapter are valid to both FDD and TDD, but in some areas TDD has special solutions
`because the frame is divided betw