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`4G LTE/LTE-Advanced
`for Mobile Broadband
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`

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`AG LTE/LTE-Advanced
`for Mobile Broadband
`
`Erik Dahiman, Stefan Parkvall, and
`Johan Sk6ld
`
` AMSTERDAM* BOSTON * HEIDELBERG * LONDON « NEW YORK * OXFORD
`
`PARIS * SAN DIEGO * SAN FRANCISCO * SINGAPORE * SYDNEY * TOKYO
`AcademicPress is an imprint of Elsevier
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`Academic Press is an imprint of Elsevier
`The Boulevard, Langford Lane, Kidlington, Oxford, OX5 1GB, UK
`30 Corporate Drive, Suite 400, Burlington, MA 01803, USA
`
`First published 2011
`
`Copyright © 2011 Erik Dahlman, Stefan Parkvall & Johan Sköld. Published by Elsevier Ltd. All rights reserved
`
`The rights of Erik Dahlman, Stefan Parkvall & Johan Sköld to be identified as the authors of this work has been
`asserted in accordance with the Copyright, Designs and Patents Act 1988.
`
`No part of this publication may be reproduced or transmitted in any form or by any means, electronic or
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`
`This book and the individual contributions contained in it are protected under copyright by the Publisher
`(other than as may be noted herein).
`
`Notices
`Knowledge and best practice in this field are constantly changing. As new research and experience broaden our
`understanding, changes in research methods, professional practices, or medical treatment may become necessary.
`
`Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using
`any information, methods, compounds, or experiments described herein. In using such information or methods
`they should be mindful of their own safety and the safety of others, including parties for whom they have a
`professional responsibility.
`
`To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability
`for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or
`from any use or operation of any methods, products, instructions, or ideas contained in the material herein.
`
`British Library Cataloguing-in-Publication Data
`A catalogue record for this book is available from the British Library
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`ISBN: 978-0-12-385489-6
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`
`11 12 13 14 10 9 8 7 6 5 4 3 2 1
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`

`Preface
`
`During the past years, there has been a quickly rising interest in radio access technologies for pro-
`viding mobile as well as nomadic and fixed services for voice, video, and data. The difference in
`design, implementation, and use between telecom and datacom technologies is also becoming more
`blurred. One example is cellular technologies from the telecom world being used for broadband data
`and wireless LAN from the datacom world being used for voice-over IP.
`Today, the most widespread radio access technology for mobile communication is digital cellular,
`with the number of users passing 5 billion by 2010, which is more than half of the world’s popula-
`tion. It has emerged from early deployments of an expensive voice service for a few car-borne users,
`to today’s widespread use of mobile-communication devices that provide a range of mobile services
`and often include camera, MP3 player, and PDA functions. With this widespread use and increasing
`interest in mobile communication, a continuing evolution ahead is foreseen.
`This book describes LTE, developed in 3GPP (Third Generation Partnership Project) and provid-
`ing true 4G broadband mobile access, starting from the first version in release 8 and through the con-
`tinuing evolution to release 10, the latest version of LTE. Release 10, also known as LTE-Advanced,
`is of particular interest as it is the major technology approved by the ITU as fulfilling the IMT-
`Advanced requirements. The description in this book is based on LTE release 10 and thus provides a
`complete description of the LTE-Advanced radio access from the bottom up.
`Chapter 1 gives the background to LTE and its evolution, looking also at the different standards
`bodies and organizations involved in the process of defining 4G. It also gives a discussion of the rea-
`sons and driving forces behind the evolution.
`Chapters 2–6 provide a deeper insight into some of the technologies that are part of LTE and its
`evolution. Because of its generic nature, these chapters can be used as a background not only for LTE
`as described in this book, but also for readers who want to understand the technology behind other
`systems, such as WCDMA/HSPA, WiMAX, and CDMA2000.
`Chapters 7–17 constitute the main part of the book. As a start, an introductory technical over-
`view of LTE is given, where the most important technology components are introduced based on
`the generic technologies described in previous chapters. The following chapters provide a detailed
`description of the protocol structure, the downlink and uplink transmission schemes, and the associ-
`ated mechanisms for scheduling, retransmission and interference handling. Broadcast operation and
`relaying are also described. This is followed by a discussion of the spectrum flexibility and the associ-
`ated requirements from an RF perspective.
`Finally, in Chapters 18–20, an assessment is made on LTE. Through an overview of similar tech-
`nologies developed in other standards bodies, it will be clear that the technologies adopted for the
`evolution in 3GPP are implemented in many other systems as well. Finally, looking into the future,
`it will be seen that the evolution does not stop with LTE-Advanced but that new features are continu-
`ously added to LTE in order to meet future requirements.
`
`xiii
`
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`Acknowledgements
`
`We thank all our colleagues at Ericsson for assisting in this project by helping with contributions to
`the book, giving suggestions and comments on the contents, and taking part in the huge team effort of
`developing LTE.
`The standardization process involves people from all parts of the world, and we acknowledge the
`efforts of our colleagues in the wireless industry in general and in 3GPP RAN in particular. Without
`their work and contributions to the standardization, this book would not have been possible.
`Finally, we are immensely grateful to our families for bearing with us and supporting us during
`the long process of writing this book.
`
`xv
`
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`Abbreviations and Acronyms
`
`3GPP
`3GPP2
`
`ACIR
`ACK
`ACLR
`ACS
`AM
`AMC
`A-MPR
`AMPS
`AQPSK
`ARI
`ARIB
`ARQ
`AS
`ATIS
`AWGN
`
`BC
`BCCH
`BCH
`BER
`BLER
`BM-SC
`BPSK
`BS
`BSC
`BTS
`
`CA
`CC
`
`CCCH
`CCE
`CCSA
`CDD
`CDF
`CDM
`CDMA
`
`Third Generation Partnership Project
`Third Generation Partnership Project 2
`
`Adjacent Channel Interference Ratio
`Acknowledgement (in ARQ protocols)
`Adjacent Channel Leakage Ratio
`Adjacent Channel Selectivity
`Acknowledged Mode (RLC configuration)
`Adaptive Modulation and Coding
`Additional Maximum Power Reduction
`Advanced Mobile Phone System
`Adaptive QPSK
`Acknowledgement Resource Indicator
`Association of Radio Industries and Businesses
`Automatic Repeat-reQuest
`Access Stratum
`Alliance for Telecommunications Industry Solutions
`Additive White Gaussian Noise
`
`Band Category
`Broadcast Control Channel
`Broadcast Channel
`Bit-Error Rate
`Block-Error Rate
`Broadcast Multicast Service Center
`Binary Phase-Shift Keying
`Base Station
`Base Station Controller
`Base Transceiver Station
`
`Carrier Aggregation
` Convolutional Code (in the context of coding), or Component Carrier (in the
`context of carrier aggregation)
`Common Control Channel
`Control Channel Element
`China Communications Standards Association
`Cyclic-Delay Diversity
`Cumulative Density Function
`Code-Division Multiplexing
`Code-Division Multiple Access
`
`xvii
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`xviii
`
`Abbreviations and Acronyms
`
`CEPT
`CN
`CoMP
`CP
`CPC
`CQI
`C-RAN
`CRC
`C-RNTI
`CRS
`CS
`CS
`CSA
`CSG
`CSI
`CSI-RS
`CW
`
`European Conference of Postal and Telecommunications Administrations
`Core Network
`Coordinated Multi-Point transmission/reception
`Cyclic Prefix
`Continuous Packet Connectivity
`Channel-Quality Indicator
`Centralized RAN
`Cyclic Redundancy Check
`Cell Radio-Network Temporary Identifier
`Cell-specific Reference Signal
`Circuit Switched (or Cyclic Shift)
`Capability Set (for MSR base stations)
`Common Subframe Allocation
`Closed Subscriber Group
`Channel-State Information
`CSI reference signals
`Continuous Wave
`
`Downlink Assignment Index
`DAI
`Dedicated Control Channel
`DCCH
`Dedicated Channel
`DCH
`Downlink Control Information
`DCI
`Decision-Feedback Equalization
`DFE
`Discrete Fourier Transform
`DFT
`DFTS-OFDM DFT-Spread OFDM (DFT-precoded OFDM, see also SC-FDMA)
`DL
`Downlink
`DL-SCH
`Downlink Shared Channel
`DM-RS
`Demodulation Reference Signal
`DRX
`Discontinuous Reception
`DTCH
`Dedicated Traffic Channel
`DTX
`Discontinuous Transmission
`DwPTS
`The downlink part of the special subframe (for TDD operation).
`
`EDGE
`EGPRS
`eNB
`eNodeB
`EPC
`EPS
`ETSI
`E-UTRA
`E-UTRAN
`EV-DO
`EV-DV
`EVM
`
`Enhanced Data rates for GSM Evolution, Enhanced Data rates for Global Evolution
`Enhanced GPRS
`eNodeB
`E-UTRAN NodeB
`Evolved Packet Core
`Evolved Packet System
`European Telecommunications Standards Institute
`Evolved UTRA
`Evolved UTRAN
`Evolution-Data Only (of CDMA2000 1x)
`Evolution-Data and Voice (of CDMA2000 1x)
`Error Vector Magnitude
`
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`Abbreviations and Acronyms
`
`xix
`
`FACH
`FCC
`FDD
`FDM
`FDMA
`FEC
`FFT
`FIR
`FPLMTS
`FRAMES
`FSTD
`
`GERAN
`GGSN
`GP
`GPRS
`GPS
`GSM
`
`HARQ
`HII
`HLR
`HRPD
`HSDPA
`HSPA
`HSS
`HS-SCCH
`
`ICIC
`ICS
`ICT
`IDFT
`IEEE
`IFDMA
`IFFT
`IMT-2000
`
`IMT-Advanced
`
`IP
`IR
`IRC
`ITU
`ITU-R
`
`Forward Access Channel
`Federal Communications Commission
`Frequency Division Duplex
`Frequency-Division Multiplex
`Frequency-Division Multiple Access
`Forward Error Correction
`Fast Fourier Transform
`Finite Impulse Response
`Future Public Land Mobile Telecommunications Systems
`Future Radio Wideband Multiple Access Systems
`Frequency Switched Transmit Diversity
`
`GSM/EDGE Radio Access Network
`Gateway GPRS Support Node
`Guard Period (for TDD operation)
`General Packet Radio Services
`Global Positioning System
`Global System for Mobile communications
`
`Hybrid ARQ
`High-Interference Indicator
`Home Location Register
`High Rate Packet Data
`High-Speed Downlink Packet Access
`High-Speed Packet Access
`Home Subscriber Server
`High-Speed Shared Control Channel
`
`Inter-Cell Interference Coordination
`In-Channel Selectivity
`Information and Communication Technologies
`Inverse DFT
`Institute of Electrical and Electronics Engineers
`Interleaved FDMA
`Inverse Fast Fourier Transform
` International Mobile Telecommunications 2000 (ITU’s name for the family of
`3G standards)
` International Mobile Telecommunications Advanced (ITU’s name for the family
`of 4G standards)
`Internet Protocol
`Incremental Redundancy
`Interference Rejection Combining
`International Telecommunications Union
`International Telecommunications Union-Radiocommunications Sector
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`xx
`
`Abbreviations and Acronyms
`
`J-TACS
`
`Japanese Total Access Communication System
`
`LAN
`LCID
`LDPC
`LTE
`
`MAC
`MAN
`MBMS
`MBMS-GW
`MBS
`MBSFN
`MC
`MCCH
`MCE
`MCH
`MCS
`MDHO
`MIB
`MIMO
`ML
`MLSE
`MME
`MMS
`MMSE
`MPR
`MRC
`MSA
`MSC
`MSI
`MSP
`MSR
`MSS
`MTCH
`MU-MIMO
`MUX
`
`Local Area Network
`Logical Channel Index
`Low-Density Parity Check Code
`Long-Term Evolution
`
`Medium Access Control
`Metropolitan Area Network
`Multimedia Broadcast/Multicast Service
`MBMS gateway
`Multicast and Broadcast Service
`Multicast-Broadcast Single Frequency Network
`Multi-Carrier
`MBMS Control Channel
`MBMS Coordination Entity
`Multicast Channel
`Modulation and Coding Scheme
`Macro-Diversity Handover
`Master Information Block
`Multiple-Input Multiple-Output
`Maximum Likelihood
`Maximum-Likelihood Sequence Estimation
`Mobility Management Entity
`Multimedia Messaging Service
`Minimum Mean Square Error
`Maximum Power Reduction
`Maximum Ratio Combining
`MCH Subframe Allocation
`Mobile Switching Center
`MCH Scheduling Information
`MCH Scheduling Period
`Multi-Standard Radio
`Mobile Satellite Service
`MBMS Traffic Channel
`Multi-User MIMO
`Multiplexer or Multiplexing
`
`NAK, NACK
`NAS
`
`NDI
`NSPS
`NMT
`
`Negative Acknowledgement (in ARQ protocols)
` Non-Access Stratum (a functional layer between the core network and the terminal
`that supports signaling and user data transfer)
`New-data indicator
`National Security and Public Safety
`Nordisk MobilTelefon (Nordic Mobile Telephony)
`
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`Abbreviations and Acronyms
`
`xxi
`
` NodeB, a logical node handling transmission/reception in multiple cells.
`Commonly, but not necessarily, corresponding to a base station.
`Network Signaling
`
`Orthogonal Cover Code
`Orthogonal Frequency-Division Multiplexing
`Orthogonal Frequency-Division Multiple Access
`Overload Indicator
`Out-Of-Band (emissions)
`
`Peak-to-Average Power Ratio
`Peak-to-Average Ratio (same as PAPR)
`Per-Antenna Rate Control
`Physical Broadcast Channel
`Paging Control Channel
`Physical Control Format Indicator Channel
`Project Coordination Group (in 3GPP)
`Paging Channel
`Policy and Charging Rules Function
`Personal Communications Systems
`Personal Digital Assistant
`Personal Digital Cellular
`Physical Downlink Control Channel
`Packet Data Convergence Protocol
`Physical Downlink Shared Channel
`Packet Data Network
`Protocol Data Unit
`Proportional Fair (a type of scheduler)
`Packet-Data Network Gateway (also PDN-GW)
`Physical Hybrid-ARQ Indicator Channel
`Personal Handy-phone System
`Physical layer
`Physical Multicast Channel
`Precoding-Matrix Indicator
`Plain Old Telephony Services
`Physical Random Access Channel
`Physical Resource Block
`Paging RNTI
`Packet Switched
`Phase Shift Keying
`Primary Synchronization Signal
`Public Switched Telephone Networks
`Physical Uplink Control Channel
`
`NodeB
`
`NS
`
`OCC
`OFDM
`OFDMA
`OI
`OOB
`
`PAPR
`PAR
`PARC
`PBCH
`PCCH
`PCFICH
`PCG
`PCH
`PCRF
`PCS
`PDA
`PDC
`PDCCH
`PDCP
`PDSCH
`PDN
`PDU
`PF
`P-GW
`PHICH
`PHS
`PHY
`PMCH
`PMI
`POTS
`PRACH
`PRB
`P-RNTI
`PS
`PSK
`PSS
`PSTN
`PUCCH
`
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`xxii
`
`Abbreviations and Acronyms
`
`PUSC
`PUSCH
`
`QAM
`QoS
`QPP
`QPSK
`
`RAB
`RACH
`RAN
`RA-RNTI
`RAT
`RB
`RE
`RF
`RI
`RIT
`RLC
`RNC
`RNTI
`RNTP
`ROHC
`R-PDCCH
`RR
`RRC
`RRM
`RS
`RSPC
`RSRP
`RSRQ
`RTP
`RTT
`RV
`RX
`
`S1
`S1-c
`S1-u
`SAE
`SCM
`SDMA
`SDO
`SDU
`SEM
`
`Partially Used Subcarriers (for WiMAX)
`Physical Uplink Shared Channel
`
`Quadrature Amplitude Modulation
`Quality-of-Service
`Quadrature Permutation Polynomial
`Quadrature Phase-Shift Keying
`
`Radio Access Bearer
`Random Access Channel
`Radio Access Network
`Random Access RNTI
`Radio Access Technology
`Resource Block
`Reseource Element
`Radio Frequency
`Rank Indicator
`Radio Interface Technology
`Radio Link Control
`Radio Network Controller
`Radio-Network Temporary Identifier
`Relative Narrowband Transmit Power
`Robust Header Compression
`Relay Physical Downlink Control Channel
`Round-Robin (a type of scheduler)
`Radio Resource Control
`Radio Resource Management
`Reference Symbol
`IMT-2000 radio interface specifications
`Reference Signal Received Power
`Reference Signal Received Quality
`Real Time Protocol
`Round-Trip Time
`Redundancy Version
`Receiver
`
`The interface between eNodeB and the Evolved Packet Core.
`The control-plane part of S1
`The user-plane part of S1
`System Architecture Evolution
`Spatial Channel Model
`Spatial Division Multiple Access
`Standards Developing Organization
`Service Data Unit
`Spectrum Emissions Mask
`
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`Abbreviations and Acronyms
`
`xxiii
`
`Spreading Factor
`Space-Frequency Block Coding
` Single-Frequency Network (in general, see also MBSFN) or System Frame Number
`(in 3GPP)
`Space–Frequency Time Diversity
`Serving GPRS Support Node
`Serving Gateway
`System Information message
`System Information Block
`Successive Interference Combining
`Subscriber Identity Module
`Signal-to-Interference-and-Noise Ratio
`Signal-to-Interference Ratio
`System Information RNTI
`Short Message Service
`Signal-to-Noise Ratio
`Soft Handover
`Spatial Orthogonal-Resource Transmit Diversity
`Scheduling Request
`Sounding Reference Signal
`Secondary Synchronization Signal
`Space–Time Block Coding
`Space–Time Coding
`Space-Time Transmit Diversity
`Single-User MIMO
`
`Total Access Communication System
`Transmission Control Protocol
`Temporary C-RNTI
`Time-Division Code-Division Multiple Access
`Time-Division Duplex
`Time-Division Multiplexing
`Time-Division Multiple Access
`Time-Division-Synchronous Code-Division Multiple Access
`Transport Format
`Telecommunications Industry Association
`Transparent Mode (RLC configuration)
`Technical Report
`Technical Specification
`Technical Specification Group
`Telecommunications Technology Association
`Telecommunications Technology Committee
`Transmission Time Interval
`Transmitter
`
`SF
`SFBC
`SFN
`
`SFTD
`SGSN
`S-GW
`SI
`SIB
`SIC
`SIM
`SINR
`SIR
`SI-RNTI
`SMS
`SNR
`SOHO
`SORTD
`SR
`SRS
`SSS
`STBC
`STC
`STTD
`SU-MIMO
`
`TACS
`TCP
`TC-RNTI
`TD-CDMA
`TDD
`TDM
`TDMA
`TD-SCDMA
`TF
`TIA
`TM
`TR
`TS
`TSG
`TTA
`TTC
`TTI
`TX
`
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`xxiv
`
`Abbreviations and Acronyms
`
`UCI
`UE
`UL
`UL-SCH
`UM
`UMB
`UMTS
`UpPTS
`US-TDMA
`UTRA
`UTRAN
`
`VAMOS
`VoIP
`VRB
`
`WAN
`WARC
`WCDMA
`WG
`WiMAX
`WLAN
`WMAN
`WP5D
`WRC
`
`X2
`
`ZC
`ZF
`
`Uplink Control Information
`User Equipment, the 3GPP name for the mobile terminal
`Uplink
`Uplink Shared Channel
`Unacknowledged Mode (RLC configuration)
`Ultra Mobile Broadband
`Universal Mobile Telecommunications System
`The uplink part of the special subframe (for TDD operation).
`US Time-Division Multiple Access standard
`Universal Terrestrial Radio Access
`Universal Terrestrial Radio Access Network
`
`Voice services over Adaptive Multi-user channels
`Voice-over-IP
`Virtual Resource Block
`
`Wide Area Network
`World Administrative Radio Congress
`Wideband Code-Division Multiple Access
`Working Group
`Worldwide Interoperability for Microwave Access
`Wireless Local Area Network
`Wireless Metropolitan Area Network
`Working Party 5D
`World Radiocommunication Conference
`
`The interface between eNodeBs.
`
`Zadoff-Chu
`Zero Forcing
`
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`

`Background of LTE
`
`CHAPTER
`
`1
`
`1.1 INTRODUCTION
`Mobile communications has become an everyday commodity. In the last decades, it has evolved from
`being an expensive technology for a few selected individuals to today’s ubiquitous systems used
`by a majority of the world’s population. From the first experiments with radio communication by
`Guglielmo Marconi in the 1890s, the road to truly mobile radio communication has been quite long.
`To understand the complex mobile-communication systems of today, it is important to understand
`where they came from and how cellular systems have evolved. The task of developing mobile tech-
`nologies has also changed, from being a national or regional concern, to becoming an increasingly
`complex task undertaken by global standards-developing organizations such as the Third Generation
`Partnership Project (3GPP) and involving thousands of people.
`Mobile communication technologies are often divided into generations, with 1G being the ana-
`log mobile radio systems of the 1980s, 2G the first digital mobile systems, and 3G the first mobile
`systems handling broadband data. The Long-Term Evolution (LTE) is often called “4G”, but many
`also claim that LTE release 10, also referred to as LTE-Advanced, is the true 4G evolution step, with
`the first release of LTE (release 8) then being labeled as “3.9G”. This continuing race of increasing
`sequence numbers of mobile system generations is in fact just a matter of labels. What is important is
`the actual system capabilities and how they have evolved, which is the topic of this chapter.
`In this context, it must first be pointed out that LTE and LTE-Advanced is the same technology,
`with the “Advanced” label primarily being added to highlight the relation between LTE release 10
`(LTE-Advanced) and ITU/IMT-Advanced, as discussed later. This does not make LTE-Advanced
`a different system than LTE and it is not in any way the final evolution step to be taken for LTE.
`Another important aspect is that the work on developing LTE and LTE-Advanced is performed as a
`continuing task within 3GPP, the same forum that developed the first 3G system (WCDMA/HSPA).
`This chapter describes the background for the development of the LTE system, in terms of events,
`activities, organizations and other factors that have played an important role. First, the technolo-
`gies and mobile systems leading up to the starting point for 3G mobile systems will be discussed.
`Next, international activities in the ITU that were part of shaping 3G and the 3G evolution and the
`market and technology drivers behind LTE will be discussed. The final part of the chapter describes
`the standardization process that provided the detailed specification work leading to the LTE systems
`deployed and in operation today.
`
`4G LTE/LTE-Advanced for Mobile Broadband.
`
`© 2011 Erik Dahlman, Stefan Parkvall & Johan Sköld. Published by Elsevier Ltd. All rights reserved.2011
`
`1
`
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`

`2
`
`CHAPTER 1 Background of LTE
`
`1.2 EVOLUTION OF MOBILE SYSTEMS BEFORE LTE
`The US Federal Communications Commission (FCC) approved the first commercial car-borne teleph-
`ony service in 1946, operated by AT&T. In 1947 AT&T also introduced the cellular concept of reus-
`ing radio frequencies, which became fundamental to all subsequent mobile-communication systems.
`Similar systems were operated by several monopoly telephone administrations and wire-line opera-
`tors during the 1950s and 1960s, using bulky and power-hungry equipment and providing car-borne
`services for a very limited number of users.
`The big uptake of subscribers and usage came when mobile communication became an interna-
`tional concern involving several interested parties, in the beginning mainly the operators. The first
`international mobile communication systems were started in the early 1980s; the best-known ones are
`NMT that was started up in the Nordic countries, AMPS in the USA, TACS in Europe, and J-TACS
`in Japan. Equipment was still bulky, mainly car-borne, and voice quality was often inconsistent, with
`“cross-talk” between users being a common problem. With NMT came the concept of “roaming”,
`giving a service also for users traveling outside the area of their “home” operator. This also gave a
`larger market for mobile phones, attracting more companies into the mobile-communication business.
`The analog first-generation cellular systems supported “plain old telephony services” (POTS) –
`that is, voice with some related supplementary services. With the advent of digital communication
`during the 1980s, the opportunity to develop a second generation of mobile-communication standards
`and systems, based on digital technology, surfaced. With digital technology came an opportunity to
`increase the capacity of the systems, to give a more consistent quality of the service, and to develop
`much more attractive and truly mobile devices.
`In Europe, the GSM (originally Groupe Spécial Mobile, later Global System for Mobile commu-
`nications) project to develop a pan-European mobile-telephony system was initiated in the mid 1980s
`by the telecommunication administrations in CEPT1 and later continued within the new European
`Telecommunication Standards Institute (ETSI). The GSM standard was based on Time-Division
`Multiple Access (TDMA), as were the US-TDMA standard and the Japanese PDC standard that
`were introduced in the same time frame. A somewhat later development of a Code-Division Multiple
`Access (CDMA) standard called IS-95 was completed in the USA in 1993.
`All these standards were “narrowband” in the sense that they targeted “low-bandwidth” services
`such as voice. With the second-generation digital mobile communications came also the opportunity
`to provide data services over the mobile-communication networks. The primary data services intro-
`duced in 2G were text messaging (Short Message Services, SMS) and circuit-switched data services
`enabling e-mail and other data applications, initially at a modest peak data rate of 9.6 kbit/s. Higher
`data rates were introduced later in evolved 2G systems by assigning multiple time slots to a user and
`through modified coding schemes.
`Packet data over cellular systems became a reality during the second half of the 1990s, with
`General Packet Radio Services (GPRS) introduced in GSM and packet data also added to other cellu-
`lar technologies such as the Japanese PDC standard. These technologies are often referred to as 2.5G.
`The success of the wireless data service iMode in Japan, which included a complete “ecosystem”
`
`1 The European Conference of Postal and Telecommunications Administrations (CEPT) consists of the telecom administra-
`tions from 48 countries.
`
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`1.2 Evolution of Mobile Systems Before LTE
`
`3
`
`for service delivery, charging etc., gave a very clear indication of the potential for applications over
`packet data in mobile systems, in spite of the fairly low data rates supported at the time.
`With the advent of 3G and the higher-bandwidth radio interface of UTRA (Universal Terrestrial
`Radio Access) came possibilities for a range of new services that were only hinted at with 2G and
`2.5G. The 3G radio access development is today handled in 3GPP. However, the initial steps for 3G
`were taken in the early 1990s, long before 3GPP was formed.
`What also set the stage for 3G was the internationalization of cellular standards. GSM was a pan-
`European project, but it quickly attracted worldwide interest when the GSM standard was deployed in
`a number of countries outside Europe. A global standard gains in economy of scale, since the market
`for products becomes larger. This has driven a much tighter international cooperation around 3G cel-
`lular technologies than for the earlier generations.
`
`1.2.1 The First 3G Standardization
`Work on a third-generation mobile communication started in ITU (International Telecommunication
`Union) in the 1980s, first under the label Future Public Land Mobile Telecommunications Systems
`(FPLMTS), later changed to IMT-2000 [1]. The World Administrative Radio Congress WARC-92
`identified 230 MHz of spectrum for IMT-2000 on a worldwide basis. Of these 230 MHz, 2  60 MHz
`was identified as paired spectrum for FDD (Frequency-Division Duplex) and 35 MHz as unpaired
`spectrum for TDD (Time-Division Duplex), both for terrestrial use. Some spectrum was also set aside
`for satellite services. With that, the stage was set to specify IMT-2000.
`In parallel with the widespread deployment and evolution of 2G mobile-communication systems
`during the 1990s, substantial efforts were put into 3G research activities worldwide. In Europe, a
`number of partially EU-funded projects resulted in a multiple access concept that included a Wideband
`CDMA component that was input to ETSI in 1996. In Japan, the Association of Radio Industries and
`Businesses (ARIB) was at the same time defining a 3G wireless communication technology based
`on Wideband CDMA and also in the USA a Wideband CDMA concept called WIMS was developed
`within the T1.P12 committee. South Korea also started work on Wideband CDMA at this time.
`When the standardization activities for 3G started in ETSI in 1996, there were WCDMA concepts
`proposed both from a European research project (FRAMES) and from the ARIB standardization in
`Japan. The Wideband CDMA proposals from Europe and Japan were merged and came out as part
`of the winning concept in early 1998 in the European work on Universal Mobile Telecommunication
`Services (UMTS), which was the European name for 3G. Standardization of WCDMA continued in
`parallel in several standards groups until the end of 1998, when the Third Generation Partnership
`Project (3GPP) was formed by standards-developing organizations from all regions of the world.
`This solved the problem of trying to maintain parallel development of aligned specifications in mul-
`tiple regions. The present organizational partners of 3GPP are ARIB (Japan), CCSA (China), ETSI
`(Europe), ATIS (USA), TTA (South Korea), and TTC (Japan).
`At this time, when the standardization bodies were ready to put the details into the 3GPP speci-
`fications, work on 3G mobile systems had already been ongoing for some time in the international
`arena within the ITU-R. That work was influenced by and also provided a broader international
`framework for the standardization work in 3GPP.
`
`2 The T1.P1 committee was part of T1, which presently has joined the ATIS standardization organization.
`
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`FC
`4
`CHAPTER 1 Background of LTE
`
`ITU-R Family of
`IMT-2000 terrestrial Radio Interfaces
`
`(ITU-R M.1457)
`
`
`IMT-2000
`
`
`
`CDMADirect Spread
`IMT-2000
`IMT-2000
`
`
`
`(UTRA FDD and
`|CDMA Multi-Carrier
`CDMA TDD
`E-UTRA FDD)
`(CDMA2000 and
`
`
`(UTRA TDD and
`3GPP
`UNE)
`
`
`
`E-UTRA TDD)
`
`
`
`IMT-2000
`TDMASingle-Carrier
`uwe136)
`ATIS/TIA
`
`IMT-2000
`FDMA/TDMA
`
`7
`IMT-2000
`
`ETSI
`
`
`FIGURE 1.1
`
`The definition of IMT-2000 in ITU-R.
`
`
`
`1.3 ITU ACTIVITIES
`1.3.1 IMT-2000 and IMT-Advanced
`
`ITU-R Working Party 5D (WPSD) has the responsibility for IMT systems, which is the umbrella
`name for 3G (IMT-2000) and 4G (IMT-Advanced). WPS5D does not write technical specifications for
`IMT, but has kept the role of defining IMT in cooperation with the regional standardization bodies
`and to maintain a set of recommendations for IMT-2000 and IMT-Advanced.
`The main IMT-2000 recommendation is ITU-R M.1457 [2], which identifies the IMT-2000 radio
`interface specifications (RSPC). The recommendation contains a “family” of radio interfaces, all
`included on an equal basis. The family of six terrestrial radio interfaces is illustrated in Figure 1.1,
`which also shows the Standards Developing Organizations (SDO) or Partnership Projects that pro-
`duce the specifications. In addition, there are several IMT-2000satellite radio interfaces defined, not
`illustrated in Figure 1.1.
`For each radio interface, M.1457 contains an overview ofthe radio interface, followed by a list
`of references to the detailed specifications. The actual specifications are maintained by the individual
`SDOsand M.1457 provides references to the specifications maintained by each SDO.
`With the continuing development of the IMT-2000 radio interfaces, including the evolution of
`UTRAto Evolved UTRA,the ITU recommendations also need to be updated. ITU-R WPSD continu-
`ously revises recommendation M.1457 andat the time ofwriting it is in its ninth version. Input to the
`updates is provided by the SDOsand Partnership Projects writing the standards. In the latest revision
`of ITU-R M.1457, LTE (or E-UTRA)is included in the family through the 3GPP family members for
`UTRA FDDand TDD,as showninthe figure.
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`|
`1.3 ITU Activities
`5
`
`Mobility
`
`IMT-Advanced =
`aaaSeesNew capabilities
`.
`,
`of systems beyond
`High §
`.
`IMT-2000
`
`
`
`Low]
`
`1 Mbit/s
`
`100 Mbit/s
`10 Mbit/s
`Peakdata rate
`
`1000 Mbit/s
`
`FIGURE 1.2
`
`Illustration of capabilities of IMT-2000 and IMT-Advanced, based on
`the framework described in ITU -R Recommendation M.1645 [4].
`
`In addition to maintaining the IMT-2000 specifications, a main activity in ITU-R WP5Dis the
`work on systems beyond IMT-2000, now called IMT-Advanced. The term IMT-Advanced ts used for
`systems that include new radio interfaces supporting the new capabilities of systems beyond IMT-
`2000, as demonstrated with the “van diagram” in Figure 1.2. The step into IMT-Advanced capabili-
`ties is seen by ITU-Ras the step into 4G, the next generation of mobile technologies after 3G.
`The process for defining IMT-Advanced was set by ITU-R WPSD [3] and was quite similarto the
`process used in developing the IMT-2000 recommendations. ITU-R first co