lte umts long term aevaluation

LTE – The UMTS Long Term Evolution
LTE – The UMTS Long Term Evolution: From Theory to Practice Stefania Sesia, Issam Toufik and Matthew Baker
© 2009 John Wiley & Sons, Ltd. ISBN: 978-0-470-69716-0
LTE – The UMTS
Long Term Evolution
From Theory to Practice
Stefania Sesia
ST-NXP Wireless/ETSI, France
Issam Toufik
ST-NXP Wireless, France
Matthew Baker
Philips Research, UK
A
J
ohn Wile
y
and Sons, Ltd, Publication
This edition first published 2009
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Library of Congress Cataloging-in-Publication Data
Sesia, Stefania.
LTE–the UMTS long term evolution : from theory to practice / Stefania Sesia, Matthew Baker, and
Issam Toufik.
p. cm.
Includes bibliographical references and index.
ISBN 978-0-470-69716-0 (cloth)
1. Universal Mobile Telecommunications System. I. Baker, Matthew (Matthew P. J.) II. Toufik, Issam.
III. Title.
TK5103.4883.S47 2009
621.3845’6–dc22
2008041823
A catalogue record for this book is available from the British Library.
ISBN 9780470697160 (H/B)
Set in 10/12pt Times by Sunrise Setting Ltd, Torquay, UK.
Printed in Great Britain by Antony Rowe.
Dedication
To my family.

Stefania Sesia
To my parents for their sacrifices and unconditional love. To my brother and sisters for their love and
continual support. To my friends for being what they are.
Issam Toufik
To the glory of God, who ‘so loved the world that He gave His only Son, that whoever believes in Him
shall not perish but have eternal life’. — The Bible.
Matthew Baker
Contents
Editors’ Biographies xvii
List of Contributors xix
Foreword xxi
Preface xxiii
Acknowledgements xxvii
List of Acronyms xxix
1 Introduction and Background 1
Thomas Sälzer and Matthew Baker
1.1 TheContextfortheLongTermEvolutionofUMTS 1
1.1.1 HistoricalContext 1
1.1.2 LTEintheMobileRadioLandscape 2
1.1.3 TheStandardizationProcessin3GPP 5
1.2 RequirementsandTargetsfortheLongTermEvolution 7
1.2.1 SystemPerformanceRequirements 7
1.2.2 Deployment Cost and Interoperability . . 12
1.3 Technologies for the Long Term Evolution 14
1.3.1 Multicarrier Technology . 14
1.3.2 Multiple Antenna Technology . . 16
1.3.3 Packet-SwitchedRadioInterface 17
1.3.4 User Equipment Capabilities . . . 18
1.4 FromTheorytoPractice 18
References 20

Part I Network Architecture and Protocols 21
2 Network Architecture 23
Sudeep Palat and Philippe Godin
2.1 Introduction . 23
viii
CONTENTS
2.2 OverallArchitecturalOverview 24
2.2.1 TheCoreNetwork 24
2.2.2 The Access Network 27
2.2.3 RoamingArchitecture 29
2.2.4 Inter-WorkingwithotherNetworks 30
2.3 ProtocolArchitecture 30
2.3.1 UserPlane 30
2.3.2 ControlPlane 31
2.4 Quality of Service and EPS Bearers 32
2.4.1 BearerEstablishmentProcedure 35
2.5 The E-UTRAN Network Interfaces: S1 Interface . . . . 36
2.5.1 ProtocolStructureOverS1 36
2.5.2 Initiation Over S1 . . 38
2.5.3 ContextManagementOverS1 39
2.5.4 BearerManagementOverS1 39
2.5.5 PagingOverS1 40
2.5.6 Mobility Over S1 . . 40
2.5.7 LoadManagementOverS1 42
2.6 The E-UTRAN Network Interfaces: X2 Interface . . . . 43
2.6.1 ProtocolStructureOverX2 43
2.6.2 Initiation Over X2 . 43
2.6.3 Mobility Over X2 . . 45
2.6.4 LoadandInterferenceManagementOverX2 48
2.6.5 UEHistoricalInformationOverX2 49

2.7 Summary 49
References 50
3 Control Plane Protocols 51
Himke van der Velde
3.1 Introduction . . 51
3.2 Radio Resource Control (RRC) . . . 52
3.2.1 Introduction . . . . . 52
3.2.2 SystemInformation 54
3.2.3 ConnectionControlwithinLTE 57
3.2.4 Connected Mode Inter-RAT Mobility . . . . . . 66
3.2.5 Measurements 68
3.2.6 Other RRC Signalling Aspects . . . 70
3.3 PLMNandCellSelection 71
3.3.1 Introduction . . . . . 71
3.3.2 PLMNSelection 71
3.3.3 CellSelection 72
3.3.4 CellReselection 73
3.4 Paging 77
3.5 Summary 78
References 78
CONTENTS
ix
4 User Plane Protocols 79
Patrick Fischer, SeungJune Yi, SungDuck Chun and YoungDae Lee
4.1 Introduction to the User Plane Protocol Stack . . 79
4.2 PacketDataConvergenceProtocol 80
4.2.1 FunctionsandArchitecture 80
4.2.2 HeaderCompression 82
4.2.3 Security 83
4.2.4 Handover 84

4.2.5 DiscardofDataPackets 88
4.2.6 PDCPPDUFormats 88
4.3 RadioLinkControl(RLC) 90
4.3.1 RLC Entities . . . 90
4.3.2 RLCPDUFormats 96
4.4 Medium Access Control (MAC) . 99
4.4.1 MACArchitecture 99
4.4.2 MACFunctions 104
4.5 SummaryoftheUserPlaneProtocols 110
References 110
Part II Physical Layer for Downlink 111
5 Orthogonal Frequency Division Multiple Access (OFDMA) 113
Andrea Ancora, Issam Toufik, Andreas Bury and Dirk Slock
5.1 Introduction . 113
5.1.1 HistoryofOFDMDevelopment 114
5.2 OFDM 115
5.2.1 Orthogonal Multiplexing Principle 115
5.2.2 Peak-to-AveragePowerRatioandSensitivitytoNonlinearity 121
5.2.3 Sensitivity to Carrier Frequency Offset and Time-Varying Channels . 123
5.2.4 TimingOffsetandCyclicPrefixDimensioning 125
5.3 OFDMA 128
5.3.1 ParameterDimensioning 129
5.3.2 PhysicalLayerParametersforLTE 130
5.4 Conclusion 132
References 133
6 Introduction to Downlink Physical Layer Design 135
Matthew Baker
6.1 Introduction . 135
6.2 TransmissionResourceStructure 135
6.3 SignalStructure 138

6.4 Introduction to Downlink Operation . . . 139
References 140
x
CONTENTS
7 Synchronization and Cell Search 141
Fabrizio Tomatis and Stefania Sesia
7.1 Introduction . . 141
7.2 SynchronizationSequencesandCellSearchinLTE 141
7.2.1 Zadoff–ChuSequences 145
7.2.2 Primary Synchronization Signal (PSS) Sequences 147
7.2.3 Secondary Synchronization Signal (SSS) Sequences . . 150
7.2.4 CellSearchPerformance 153
7.3 CoherentVersusNon-CoherentDetection 155
7.3.1 CoherentDetection 156
7.3.2 Non-CoherentDetection 156
References 157
8 Reference Signals and Channel Estimation 159
Andrea Ancora and Stefania Sesia
8.1 Introduction to Channel Estimation and Reference Signals . . . 159
8.2 DesignofReferenceSignalsinLTE 161
8.2.1 Cell-SpecificReferenceSignals 161
8.2.2 UE-SpecificReferenceSignals 163
8.3 RS-Aided Channel Modelling and Estimation . . . . . . 165
8.3.1 Time-Frequency Domain Correlation: The WSSUS Channel Model . 166
8.3.2 SpatialDomainCorrelation:TheKroneckerModel 168
8.4 FrequencyDomainChannelEstimation 169
8.4.1 ChannelEstimationbyInterpolation 170
8.4.2 GeneralApproachtoLinearChannelEstimation 171
8.4.3 PerformanceComparison 173
8.5 Time-DomainChannelEstimation 174

8.5.1 FiniteandInfiniteLengthMMSE 174
8.5.2 NormalizedLeast-Mean-Square 176
8.6 SpatialDomainChannelEstimation 177
8.7 AdvancedTechniques 178
References 179
9 Downlink Physical Data and Control Channels 181
Matthew Baker and Tim Moulsley
9.1 Introduction . . 181
9.2 DownlinkData-TransportingChannels 181
9.2.1 PhysicalBroadcastChannel(PBCH) 181
9.2.2 PhysicalDownlinkSharedChannel(PDSCH) 184
9.2.3 PhysicalMulticastChannel(PMCH) 188
9.3 DownlinkControlChannels 189
9.3.1 RequirementsforControlChannelDesign 189
9.3.2 ControlChannelStructureandContents 191
9.3.3 ControlChannelOperation 200
9.3.4 SchedulingProcessfromaControlChannelViewpoint 205
References 206
CONTENTS
xi
10 Channel Coding and Link Adaptation 207
Brian Classon, Ajit Nimbalker, Stefania Sesia and Issam Toufik
10.1 Introduction . 207
10.2LinkAdaptationandFeedbackComputation 208
10.2.1 CQIFeedbackinLTE 211
10.3ChannelCoding 214
10.3.1 TheoreticalAspectsofChannelCoding 214
10.3.2 ChannelCodingforDataChannelsinLTE 225
10.3.3 CodingforControlChannelsinLTE 237
10.4ConcludingRemarks 238

References 239
11 Multiple Antenna Techniques 243
David Gesbert, Cornelius van Rensburg, Filippo Tosato and Florian Kaltenberger
11.1 Fundamentals of Multiple Antenna Theory 243
11.1.1 Overview 243
11.1.2 MIMOSignalModel 246
11.1.3 Single-UserMIMOTechniques 247
11.1.4 Multi-User Techniques . . 252
11.2MIMOSchemesinLTE 256
11.2.1 PracticalConsiderations 256
11.2.2 Single-UserSchemes 258
11.2.3 Multi-User Schemes . . . 267
11.2.4 Physical-LayerMIMOPerformance 276
11.3ConcludingRemarks 281
References 282
12 Multi-User Scheduling and Interference Coordination 285
Issam Toufik and Raymond Knopp
12.1 Introduction . 285
12.2GeneralConsiderationsforResourceAllocationStrategies 286
12.3SchedulingAlgorithms 289
12.3.1 Ergodic Capacity . 290
12.3.2 Delay-LimitedCapacity 291
12.3.3 PerformanceofSchedulingStrategies 292
12.4ConsiderationsforResourceSchedulinginLTE 293
12.5InterferenceCoordinationandFrequencyReuse 294
12.6ConcludingRemarks 299
References 299
13 Radio Resource Management 301
Francesc Boixadera
13.1 Introduction . 301

13.2 Overview of UE Mobility Activities . . . 302
xii
CONTENTS
13.3CellSearch 303
13.3.1 LTECellSearch 303
13.3.2 UMTSCellSearch 304
13.3.3 GSMCellSearch 305
13.4MeasurementswhenCampedonLTE 307
13.4.1 LTEMeasurements 308
13.4.2 UMTSFDDMeasurements 309
13.4.3 UMTSTDDMeasurements 310
13.4.4 GSMMeasurements 310
13.4.5 CDMA2000 Measurements 310
13.5 LTE Mobility in RRC_IDLE – Neighbour Cell Monitoring and Cell
Reselection 311
13.5.1 Priority-BasedCellReselection 311
13.5.2 MeasurementsinIdleMode 312
13.6 LTE Mobility in RRC_CONNECTED – Handover . . . 312
13.6.1 MonitoringGapPatternCharacteristics 313
13.6.2 MeasurementReporting 316
13.6.3 HandovertoLTE 317
13.6.4 HandovertoUMTS 319
13.6.5 HandovertoGSM 319
13.7ConcludingRemarks 320
References 320
14 Broadcast Operation 323
Olivier Hus and Matthew Baker
14.1 Introduction . . 323
14.2BroadcastModes 324
14.2.1 BroadcastandMulticast 324

14.2.2 UMTSRelease6MBMSServiceandDeliverySystem 325
14.3MBMSinLTE 327
14.3.1 SingleFrequencyNetworkforMBMS 327
14.3.2 MBMSDeployment 330
14.3.3 MBMSArchitectureandProtocols 334
14.4 UE Capabilities for MBMS Reception . . . 338
14.4.1 Dual Receiver Capability . . 339
14.4.2 Support of Emergency Services . . 339
14.5ComparisonofMobileBroadcastModes 339
14.5.1 DeliverybyCellularNetworks 339
14.5.2 DeliverybyBroadcastNetworks 340
14.5.3 ServicesandApplications 340
References 341
CONTENTS
xiii
Part III Physical Layer for Uplink 343
15 Uplink Physical Layer Design 345
Robert Love and Vijay Nangia
15.1 Introduction . 345
15.2SC-FDMAPrinciples 346
15.2.1 SC-FDMATransmissionStructure 346
15.2.2 Time-DomainSignalGeneration 346
15.2.3 Frequency-DomainSignalGeneration(DFT-S-OFDM) 348
15.3SC-FDMADesigninLTE 349
15.3.1 TransmitProcessingforLTE 350
15.3.2 SC-FDMAParametersforLTE 351
15.3.3 d.c.SubcarrierinSC-FDMA 352
15.3.4 PulseShaping 353
15.4Summary 357
References 357

16 Uplink Reference Signals 359
Robert Love and Vijay Nangia
16.1 Introduction . 359
16.2RSSignalSequenceGeneration 360
16.2.1 Base RS Sequences and Sequence Grouping . . . . . . 361
16.2.2 Orthogonal RS via Cyclic Time-Shifts of a Base Sequence . . 362
16.3 Sequence-Group Hopping and Planning . 364
16.3.1 Sequence-Group Hopping 364
16.3.2 Sequence-GroupPlanning 365
16.4 Cyclic Shift Hopping . . . 366
16.5 Demodulation Reference Signals (DM RS) . . . 367
16.5.1 RSSymbolDuration 367
16.6 Uplink Sounding Reference Signals (SRS) 370
16.6.1 SRS Subframe Configuration and Position 370
16.6.2 DurationandPeriodicityofSRSTransmissions 371
16.6.3 SRSSymbolStructure 371
16.7Summary 373
References 374
17 Uplink Physical Channel Structure 377
Robert Love and Vijay Nangia
17.1 Introduction . 377
17.2UplinkSharedDataChannelStructure 378
17.2.1 Scheduling Supported in LTE SC-FDMA Uplink . . . 379
17.3UplinkControlChannelDesign 381
17.3.1 PhysicalUplinkControlChannel(PUCCH)Structure 382
17.3.2 Channel Quality Indicator Transmission on PUCCH (Format 2) . . . 386
17.3.3 Multiplexing of CQI and HARQ ACK/NACK from a UE on PUCCH 388
xiv
CONTENTS
17.3.4 HARQ ACK/NACK Transmission on PUCCH (Format 1a/1b) . . . . 390

17.3.5 Multiplexing of CQI and HARQ ACK/NACK in the Same PUCCH
RB(MixedPUCCHRB) 396
17.3.6 Scheduling Request (SR) Transmission on PUCCH (Format 1) . . . . 397
17.4 Multiplexing of Control Signalling and UL-SCH Data on PUSCH . . . . . . 398
17.5 Multiple-Antenna Techniques . . . 400
17.5.1 Closed-LoopSwitchedAntennaDiversity 400
17.5.2 Multi-User ‘Virtual’ MIMO or SDMA . . . . . . 402
17.6Summary 402
References 402
18 Uplink Capacity and Coverage 405
Robert Love and Vijay Nangia
18.1 Introduction . . 405
18.2UplinkCapacity 405
18.2.1 FactorsAffectingUplinkCapacity 406
18.2.2 LTEUplinkCapacityEvaluation 413
18.3 LTE Uplink Coverage and Link Budget . . 415
18.4Summary 419
References 419
19 Random Access 421
Pierre Bertrand and Jing Jiang
19.1 Introduction . . 421
19.2 Random Access Usage and Requirements in LTE . . . . 421
19.3 Random Access Procedure . 422
19.3.1 Contention-Based Random Access Procedure . . 423
19.3.2 Contention-Free Random Access Procedure . . . 426
19.4 Physical Random Access Channel Design . 426
19.4.1 Multiplexing of PRACH with PUSCH and PUCCH . . . 427
19.4.2 ThePRACHStructure 427
19.4.3 PreambleSequenceTheoryandDesign 434
19.5PRACHImplementation 447

19.5.1 UE Transmitter . . . 447
19.5.2 eNodeB PRACH Receiver . 449
19.6TimeDivisionDuplex(TDD)PRACH 454
19.6.1 PreambleFormat4 455
19.7ConcludingRemarks 456
References 456
20 Uplink Transmission Procedures 459
Matthew Baker
20.1 Introduction . . 459
CONTENTS
xv
20.2UplinkTimingControl 459
20.2.1 Overview 459
20.2.2 TimingAdvanceProcedure 460
20.3PowerControl 463
20.3.1 Overview 463
20.3.2 DetailedPowerControlBehaviour 464
20.3.3 UEPowerHeadroomReporting 470
20.3.4 SummaryofUplinkPowerControlStrategies 471
References 471
Part IV Practical Deployment Aspects 473
21 The Radio Propagation Environment 475
Juha Ylitalo and Tommi Jämsä
21.1 Introduction . 475
21.2SISOandSIMOChannelModels 476
21.2.1 ITUChannelModel 477
21.2.2 3GPPChannelModel 478
21.2.3 ExtendedITUModels 478
21.3MIMOChannel 479
21.3.1 EffectofSpatialCorrelation 480

21.3.2 SCMChannelModel 481
21.3.3 SCM-ExtensionChannelModel 484
21.3.4 WINNERModel 486
21.3.5 LTEEvaluationModel 487
21.3.6 ComparisonofMIMOChannelModels 490
21.3.7 ExtendedITUModelswithSpatialCorrelation 492
21.4ITUChannelModelsforIMT-Advanced 494
21.5MIMOChannelEmulation 494
21.5.1 PerformanceandConformanceTesting 495
21.5.2 LTEChannelModelsforConformanceTesting 495
21.5.3 RequirementsforaChannelEmulator 496
21.5.4 MIMOConformanceTesting 496
21.6ConcludingRemarks 497
References 498
22 Radio Frequency Aspects 501
Tony Sayers, Adrian Payne, Stefania Sesia, Robert Love, Vijay Nangia and
Gunnar Nitsche
22.1 Introduction . 501
22.2FrequencyBandsandArrangements 503
22.3 Transmitter RF Requirements . . . 505
22.3.1 RequirementsfortheIntendedTransmissions 505
22.3.2 RequirementsforUnwantedEmissions 508
xvi
CONTENTS
22.3.3 PowerAmplifierConsiderations 512
22.3.4 Summary of Transmitter RF Requirements . . . 517
22.4 Receiver RF Requirements . 517
22.4.1 Receiver General Requirements . . 517
22.4.2 TransmitSignalLeakage 518
22.4.3 Maximum Input Level . . . 519

22.4.4 SmallSignalRequirements 520
22.4.5 SelectivityandBlockingSpecifications 524
22.4.6 SpuriousEmissions 532
22.4.7 Intermodulation Requirements . . . 532
22.4.8 DynamicRange 535
22.4.9 Summary of Receiver Requirements 536
22.5RFImpairments 537
22.5.1 Transmitter RF Impairments 537
22.5.2 ModeloftheMainRFImpairments 541
22.6Conclusion 547
References 548
23 Paired and Unpaired Spectrum 551
Nicholas Anderson
23.1 Introduction . . 551
23.2DuplexModes 552
23.3InterferenceIssuesinUnpairedSpectrum 553
23.3.1 Adjacent Carrier Interference Scenarios . . . . . 555
23.3.2 SummaryofInterferenceScenarios 564
23.4Half-DuplexSystemDesignAspects 565
23.4.1 Accommodation of Transmit/Receive Switching 566
23.4.2 CoexistencebetweenDissimilarSystems 568
23.4.3 HARQ and Control Signalling Aspects . . . . . 570
23.4.4 Half-DuplexFDD(HD-FDD)PhysicalLayerOperation 572
23.5Reciprocity 573
23.5.1 ConditionsforReciprocity 575
23.5.2 ApplicationsofReciprocity 579
23.5.3 SummaryofReciprocityConsiderations 582
References 583
Part V Conclusions 585
24 Beyond LTE 587

François Courau, Matthew Baker, Stefania Sesia and Issam Toufik
Index 591
Editors’ Biographies
Matthew Baker holds degrees in Engineering and Electrical and Information Sciences from
the University of Cambridge. He has over 10 years’ experience of conducting leading-edge
research into a variety of wireless communication systems and techniques with Philips
Research, including propagation modelling, DECT,
1
Hiperlan and UMTS. He has been
actively participating in the standardization of both UMTS WCDMA and LTE in 3GPP since
1999, where he has been active in RAN working groups 1, 2, 4 and 5, contributing several
hundred proposals and leading the Philips RAN standardization team. He is the author of
several international conference papers and inventor of numerous patents. He is a Chartered
Engineer and Member of the Institution of Engineering and Technology.
Stefania Sesia received her Ph.D. degree in Communication Systems and Coding Theory
from the Eurecom, Sophia Antipolis/ENST-Paris, France in 2005. From 2002 to 2005 she
worked at Motorola Research Labs, Paris, towards her Ph.D. thesis. In June 2005 she
joined Philips/NXP Semiconductors (now ST-NXP Wireless) Research and Development
Centre in Sophia Antipolis, France where she was technical leader and responsible for the
High Speed Downlink Packet Access algorithm development. She has been participating in
3GPP RAN working groups 1 and 4 standardization meetings, and since 2007 she has been
on secondment from NXP Semiconductors to the European Telecommunications Standard
Institute (ETSI) acting as Working Group Technical Officer. She is the author of several
international IEEE conference and journal papers and contributions to 3GPP, and inventor of
numerous US and European patents.
Issam Toufik graduated in Telecommunications Engineering (majored in Mobile Commu-
nication Systems) in 2002 from both ENST-Bretagne (Brest, France) and Eurecom (Sophia
Antipolis, France). In 2006, he received his Ph.D. degree in Communication Systems from
Eurecom/ENST-Paris, France. From June to August 2005 he worked for Samsung Advanced
Institute of Technology (SAIT), South Korea, as a Research Engineer on LTE. In January

2007, he joined NXP semiconductors (now ST-NXP Wireless), Sophia Antipolis, France, as
a Research and Development Engineer for UMTS and LTE algorithm development. He is
the author of several international IEEE conference and journal papers and contributions to
3GPP, and inventor of numerous patents.
1
Digital Enhanced Cordless Telecommunications.
List of Contributors
Ancora, Andrea, ST-NXP Wireless
e-mail:
Anderson, Nickolas, NextWave Wireless
e-mail:
Baker, Matthew, Philips
e-mail: ,
Bertrand, Pierre, Texas Instruments
e-mail:
Boixadera, Francesc, MStar Semiconductor
e-mail:
Bury, Andreas, ST-NXP Wireless
e-mail:
Chun, SungDuck, LG Electronics
e-mail:
Classon, Brian,Huawei
e-mail:
Courau, François, Alcatel-Lucent
e-mail:
Fischer, Patrick, Bouygues Telecom
e-mail: pfi
Gesbert, David, Eurecom
e-mail:
Godin, Philippe, Alcatel-Lucent

e-mail:
Hus, Olivier, Philips
e-mail:
Jämsä, Tommi, Elektrobit
e-mail:
Jiang, Jing, Texas Instruments
e-mail:
Kaltenberger, Florian, Eurecom
e-mail: fl
xx
LIST OF CONTRIBUTORS
Knopp, Raymond, Eurecom
e-mail:
Lee, YoungDae, LG Electronics
e-mail:
Love, Robert, Motorola
e-mail:
Moulsley, Tim, Philips
e-mail:
Nangia, Vijay, Motorola
e-mail:
Nimbalker, Ajit, Motorola
e-mail:
Nitsche, Gunnar, ST-NXP Wireless
e-mail:
Palat, K. Sudeep, Alcatel-Lucent
e-mail:
Payne, Adrian, NXP Semiconductors
e-mail:
Sälzer, Thomas, Orange-France Telecom

e-mail: ,
Sayers, Tony , NXP Semiconductors
e-mail:
Sesia, Stefania, ST-NXP Wireless
e-mail: ,
Slock, Dirk, Eurecom
e-mail:
Tomatis, Fabrizio, ST-NXP Wireless
e-mail:
Tosato, Filippo, Toshiba
e-mail: fi
Toufik, Issam, ST-NXP Wireless
e-mail: issam.toufi, issam.toufi
van der Velde, Himke, Samsung
e-mail:
van Rensburg, Cornelius,Huawei
e-mail:
Yi, SeungJune, LG Electronics
e-mail:
Ylitalo, Juha, Elektrobit
e-mail:
Foreword
A GSM, and its evolution through GPRS, EDGE, WCDMA and HSPA, is the technology
stream of choice for the vast majority of the world’s mobile operators. Today’s commercial
offerings which are based on this technology evolution typically offer downlink speeds in
the order of 7 Mbps, with the expectation that 14 Mbps will become widely available in the
near future. With such an improvement in 3
rd
Generation (3G) capabilities, there are obvious
questions to be asked about what should happen next. From a standardization perspective

3G work is now well-advanced and, while improvements continue to be made to leverage
the maximum performance from currently deployed systems, there is a limit to the extent
to which further enhancements will be effective. If the only aim were to deliver higher
performance, then this in itself would be relatively easy to achieve. The added complexity
is that such improved performance must be delivered through systems which are cheaper
to install and maintain. Users have experienced a dramatic reduction in telecommunications
charges and they now expect to pay less but to receive more. Therefore, in deciding the
next standardization step, there must be a dual approach: seeking considerable performance
improvement but at reduced cost. LTE is that next step and will be the basis on which future
mobile telecommunications systems will be built.
Many articles have already been published on the subject of LTE, varying from doctoral
theses to network operator analyses and manufacturers’ product literature. By their very
nature, those publications have viewed the subject from one particular perspective, be
it academic, operational or promotional. A very different approach has been taken with
this book. The authors come from a number of different spheres within the mobile
telecommunications ecosystem and collectively bring a refreshing variety of views. What
binds the authors together is a thorough knowledge of the subject material which they have
derived from their long experience within the standards-setting environment, 3
rd
Generation
Partnership Project (3GPP). LTE discussions started within 3GPP in 2004 and so it is not
really a particularly new subject. In order to fully appreciate the thinking that conceived this
technology, however, it is necessary to have followed the subject from the very beginning
and to have witnessed the discussions that took place from the outset. Moreover, it is
important to understand the thread that links academia, through research to standardization
since it is widely acknowledged that by this route impossible dreams become market realities.
Considerable research work has taken place to prove the viability of the technical basis on
which LTE is founded and it is essential to draw on that research if any attempt is made
to explain LTE to a wider audience. The authors of this book have not only followed the
LTE story from the beginning but many have also been active players in WCDMA and its

predecessors, in which LTE has its roots.
xxii
FOREWORD
This book provides a thorough, authoritative and complete tutorial of the LTE system. It
gives a detailed explanation of the advances made in our theoretical understanding and the
practical techniques that will ensure the success of this ground-breaking new radio access
technology. Where this book is exceptional is that the reader will not just learn how LTE
works but why it works.
I am confident that this book will earn its rightful place on the desk of anyone who
needs a thorough understanding of the LTE technology, the basis of the world’s mobile
telecommunications systems for the next decade.
Adrian Scrase ETSI Vice-President,
International Partnership Projects
Preface
Research workers and engineers toil unceasingly on the development of wireless
telegraphy. Where this development can lead, we know not. However, with
the results already achieved, telegraphy over wires has been extended by this
invention in the most fortunate way. Independent of fixed conductor routes and
independent of space, we can produce connections between far-distant places,
over far-reaching waters and deserts. This is the magnificent practical invention
which has flowered upon one of the most brilliant scientific discoveries of our
time!
These words accompanied the presentation of the Nobel Prize for Physics to Guglielmo
Marconi in December 1909.
Marconi’s success was the practical and commercial realization of wireless telegraphy –
the art of sending messages without wires – thus exploiting for the first time the amazing
capability for wireless communication built into our Universe. While others worked on
wireless telephony – the transmission of audio signals for voice communication – Marconi
interestingly saw no need for this. He believed that the transmission of short text messages
was entirely sufficient for keeping in touch.

One could be forgiven for thinking that the explosion of wireless voice communication
in the intervening years has proved Marconi wrong; but the resurgence of wireless data
transmission at the close of the twentieth century, beginning with the mobile text messaging
phenomenon, or ‘SMS’, reveals in part the depth of insight Marconi possessed.
Nearly 100 years after Marconi received his Nobel prize, the involvement of thousands
of engineers around the world in major standardization initiatives such as the 3
rd
Generation
Partnership Project (3GPP) is evidence that the same unceasing toil of research workers and
engineers continues apace.
While the first mobile communications standards focused primarily on voice com-
munication, the emphasis now has returned to the provision of systems optimized for
data. This trend began with the 3
rd
Generation Wideband Code Division Multiple Access
(WCDMA) system designed in the 3GPP, and is now reaching fulfilment in its successor,
known as the ‘Long-Term Evolution’ (LTE). LTE is the first cellular communication system
optimized from the outset to support packet-switched data services, within which packetized
voice communications are just one part. Thus LTE can truly be said to be the heir to
Marconi’s heritage – the system, unknown indeed to the luminaries of his day, to which
his developments have led.
LTE is an enabler. It is not technology for technology’s sake, but technology with a
purpose, connecting people and information to enable greater things to be achieved. It will
xxiv
PREFACE
provide higher data rates than ever previously achieved in mobile communications, combined
with wide-area coverage and seamless support for mobility without regard for the type of data
being transmitted. To provide this level of functionality and flexibility, it is inevitable that the
complexities of the LTE system have far surpassed anything Marconi could have imagined.
One aim of this book, therefore, is to chart an explanatory course through the LTE

specifications, to support those who will design the equipment to bring LTE to fruition.
The LTE specification documents themselves do not tell the whole story. Essentially
they are a record of decisions taken – decisions which are often compromises between
performance and cost, theoretical possibility and practical constraints.
We also aim therefore to give the reader a detailed insight into the evaluations and trade-
offs which lie behind the technology choices inherent in LTE.
Above all, it is vital to remember that if recent years had not given rise to major advances in
the fundamental science and theoretical understanding underlying mobile communications,
there would have been no LTE.
The thousands of engineers active in the standardization committees of 3GPP are just
the tip of the iceberg of the ongoing ‘unceasing toil’. Behind these thousands work
many thousands, even tens of thousands, more, in the research divisions of companies,
in universities the world over, and other public and private research institutes, inventing,
understanding, testing and explaining new theories and techniques which have eventually
been exploited in LTE.
It is particularly these advances in the underlying theory and academic understanding,
without which LTE would never have been possible, which this books seeks to highlight.
As an example, for decades the famous Shannon capacity formula for a single radio
link was considered the upper-bound on data rates which could be transmitted in a given
bandwidth. While previous standards such as WCDMA have come close to achieving this
thanks to advances in coding, much recent effort has been expended on extending this
theory to communication involving a multiplicity of antennas in order to push the bounds
of feasible data rates still further. LTE is the first mobile communication system to have so-
called Multiple-Input Multiple-Output (MIMO) antenna transmission designed from the start
as an integral part of the original system.
In selecting the technologies to include in LTE, an important consideration has been
the trade-off between practical benefit and cost of implementation. Fundamental to this
assessment, therefore, has been a much-enhanced understanding of the radio propagation
environment and scenarios in which LTE will be deployed and used. This has been built on
significant advances in radio-channel modelling and simulation capabilities.

Moreover, while theoretical understanding has advanced, the practicalities of what is
feasible in a cost-effective implementation have also moved on. Developments in integrated
circuit technology and signal processing power have rendered feasible techniques which
would have been unthinkable only a few years ago.
Other influences on the design of LTE have included changes in the commercial and
regulatory fields. Global roaming requires global spectrum allocation, while higher data
rates require ever wider bandwidths to be available. This results in the need for LTE to be
adaptable, capable of being scaled and deployed in a wide range of different spectrum bands
and bandwidths.
With this breadth and depth in mind, the authors of the chapters in this book are drawn
from a variety of fields of the ecosystem of research and development which has underpinned
PREFACE
xxv
the design of LTE. They work in the 3GPP standardization itself, in the R & D departments
of companies active in LTE, for network operators as well as equipment manufacturers, in
universities and in other collaborative research projects. They are uniquely placed to share
their insights from the full range of perspectives.
To borrow Marconi’s words, where LTE will lead, we know not; but we can be sure that it
will not be the last development in wireless telegraphy.
Matthew Baker, Stefania Sesia and Issam Toufik
Acknowledgements
This book is first and foremost the fruit of a significant team effort, which would not have
been successful without the expertise and professionalism displayed by all the contributors, as
well as the support of their companies. The dedication of all the co-authors to their task, their
patience and flexibility in allowing us to modify and move certain parts of their material for
harmonization purposes, are hereby gratefully acknowledged. Particular thanks are due to ST-
NXP Wireless, Philips and ETSI for giving us the encouragements and working environment
to facilitate such a time-consuming project. The help provided by ETSI, 3GPP and others
in authorizing us to reproduce certain copyrighted material is also gratefully acknowledged.
We would like to express our gratitude to the many experts who kindly provided advice,

feedback, reviews and other valuable assistance. We believe their input in all its forms
has made this book a more accurate, valuable and even enjoyable resource. These experts
include Kevin Baum, Keith Blankenship, Yufei Blankenship, Kevin Boyle, Sarah Boumendil,
Paul Bucknell, Richard Burbidge, Aaron Byman, Emilio Calvanese Strinati, Choo Chiap
Chiau, Anand Dabak, Peter Darwood, Merouane Debbah, Vip Desai, Marko Falck, Jeremy
Gosteau, Lajos Hanzo, Lassi Hentil¨a, Shin Horng Wong, Paul Howard, Howard Huang, Alan
Jones, Achilles Kogiantis, Pekka Ky¨osti, Thierry Lestable, Gert-Jan van Lieshout, Andrew
Lillie, Matti Limingoja, Huiheng Mai, Darren McNamara, Juha Meinil¨a, Tarik Muharemovic,
Jukka-Pekka Nuutinen, SungJun Park, Roope Parviainen, Safouane Sfar, Zukang Shen,
Ken Stewart, Ludo Tolhuizen, Li Wang and Tim Wilkinson.
We would also like to acknowledge the efforts of all participants in 3GPP who, through
innumerable contributions and intense discussions often late into the night, have facilitated
the completion of the LTE specifications in such a short space of time.
Finally, we would like to thank the publishing team at John Wiley & Sons, especially
Tiina Ruonamaa, Sarah Hinton, Anna Smart and Sarah Tilley for their professionalism and
extensive support and encouragement throughout the project to bring this work to fruition.
The Editors
List of Acronyms
3GPP 3
rd
Generation Partnership Project
3GPP2 3
rd
Generation Partnership Project 2
AC Access Class
ACI Adjacent Channel Interference
ACIR Adjacent Channel Interference Ratio
ACK Acknowledgement
ACLR Adjacent Channel Leakage Ratio
ACS Adjacent Channel Selectivity

ADC Analogue to Digital Converter
ADSL Asymmetric Digital Subscriber Line
AGI Antenna Gain Imbalance
AM Acknowledged Mode
AMC Adaptive Modulation and Coding
AMPS Analogue Mobile Phone System
AMR Adaptive MultiRate
ANR Automatic Neighbour Relation
ANRF Automatic Neighbour Relation Function
AoA Angle-of-Arrival
AoD Angle-of-Departure
APN Access Point Name
APP A-Posteriori Probability
ARFCN Absolute Radio Frequency Channel
Number
ARIB Association of Radio Industries and
Businesses
ARP Almost Regular Permutation
∗
ARP Allocation and Retention Priority
∗
ARQ Automatic Repeat reQuest
AS Access Stratum
∗
AS Angular Spread
∗
A-SEM Additional SEM
ATDMA Advanced TDMA
ATIS Alliance for Telecommunications Industry
Solutions

AuC Authentication Centre
AW G N Additive White Gaussian Noise
BCC Base station Colour Code
BCH Broadcast CHannel
BCCH Broadcast Control CHannel
BCJR Algorithm named after its inventors,
Bahl, Cocke, Jelinek and Raviv
BER Bit Error Rate
BLER BLock Error Rate
BM-SC Broadcast-Multicast Service Centre
BP Belief Propagation
BPRE Bits Per Resource Element
bps bits per second
BPSK Binary Phase Shift Keying
BSIC Base Station Identification Code
BSR Buffer Status Reports
CAZAC Constant Amplitude Zero
AutoCorrelation
CB Circular Buffer
CCCH Common Control CHannel
CCE Control Channel Element
CCI Co-Channel Interference
CCO Cell Change Order
CCSA China Communications Standards
Association