DESIGN AND IMPLEMENTATION OF MIMO-LONG TERM EVOLUTION ...eprints.uthm.edu.my/id/eprint/5461/1/AWS_ZUHEER... · 2.4.2 Uplink of Long Term Evolution 24 2.5 Long Term Evolution-Advanced

DESIGN AND IMPLEMENTATION OF MIMO-LONG TERM

EVOLUTION-ADVANCED TO SUPPORT LARGER BANDWIDTH

AWS ZUHEER YONIS ALASHQER

A thesis submitted in

fulfillment of the requirement for the award of the

Doctor of Philosophy

Faculty of Electrical and Electronic Engineering

Universiti Tun Hussein Onn Malaysia

2013

VI

ABSTRACT

The migration of mobile communication technologies are divided into four generations.

Long Term Evolution (LTE) is called LTE rel-8, the evolution of LTE led to new

technology referred to as LTE-Advanced, is the true fourth generation (4G) evolution

step, with the first release of LTE (rel-8) which was labeled as “3.9G”. LTE-Advanced

is a mobile broadband access technology founded as a response to the need for the

improvement to support the increasing demand for high data rates. The standard for

LTE-A is a milestone in the development of Third Generation Partnership Project

(3GPP) technologies. Carrier Aggregation is one of the most distinct features of LTE-

Advanced that makes the bandwidth extension of up to 100 MHz thus the theoretical

peak data rate of LTE-A may be even up to 1 Gbps. This proposed system presents new

LTE-Advanced depending on carrier aggregation to obtain better performance of the

system. The new design of LTE-Advanced offers higher peak data rates than even the

initial LTE-A; while the spectrum efficiency has been amended; As a result, the

aggregated LTE-A will support 120 MHz instead of 100 MHz in order to obtain higher

peak data rate access up to 4 Gbps. The system was applied with 8x8 Multiple Input

Multiple Output (MIMO) using different modulation techniques: QPSK, 16 QAM, and

64 QAM. From the simulation results, it is clear that proposed LTE-Advanced with 64

QAM has high values of throughput in case of depending code rate equals to 5/6 with

8x8 MIMO.

VII

ABSTRAK

Penghijrahan teknologi komunikasi mudah alih dibahagikan kepada empat generasi.

Long Term Evolution (LTE) dipanggil LTE rel-8, evolusi LTE yang membawa kepada

teknologi baru yang dikenali sebagai LTE-Lanjutan, adalah generasi yang benar-benar

evolusi generasi keempat (4G), dengan keluaran pertama LTE (rel-8) yang dilabelkan

sebagai "3.9G". LTE-Lanjutan adalah teknologi akses komunikasi mudah alih jalur lebar

yang ditubuhkan untuk menjawab kepada keperluan permintaan yang semakin

meningkat bagi kadar data yang tinggi. Standard untuk LTE-A adalah peristiwa penting

dalam pembangunan teknologi generasi ketiga Partnership Project (3GPP).

Penggabungan Carrier merupakan salah satu ciri yang paling ketara dalam LTE-

Advanced yang membenarkan sambungan jalur lebar sehingga 100 MHz, oleh itu secara

theoretical puncak kadar data LTE-A mungkin melebihi 1 Gbps. Sistem yang

dicadangkan membuka lebaran baru LTE-Advanced namun demikian ia bergantung

kepada penggabungan carrier untuk menghasilkan prestasi yang lebih baik daripada

sistem. Reka bentuk baru LTE-Advanced menawarkan kadar data puncak yang lebih

tinggi daripada permulaan LTE-A, manakala kecekapan spektrum telah dipinda; Secara

kesimpulan, penggabungan LTE-A akan menyokong 120 MHz dan bukannya 100 MHz

untuk mendapatkan kadar data puncak yang boleh mengakses sehingga 4 Gbps. Sistem

ini telah diaplikasikan dengan 8x8 Pelbagai Input Pelbagai Output (MIMO) dengan

menggunakan pelbagai teknik modulasi yang berbeza: QPSK, 16 QAM, dan 64 QAM.

Daripada keputusan simulasi, ia jelas menunjukkan bahawa cadangan LTE-Advanced

dengan 64 QAM mempunyai nilai-nilai yang tinggi pemprosesan dalam kes bergantung

kadar kod sama dengan 5/6 dengan 8x8 MIMO.

VIII

TABLE OF CONTENTS

TITLE I

DECLARATION III

ACKNOWLEDGEMENT V

ABSTRACT VI

TABLE OF CONTENTS VIII

LIST OF FIGURES XIII

LIST OF TABLES XVII

LIST OF PUBLICATIONS AND AWARDS XIX

LIST OF ABBREVIATIONS

XXIII

CHAPTER 1 INTRODUCTION 1

1.1 Problem Statement 2

1.2 Objectives of the Research 3

1.3 Scope of the Research 3

1.4 Contributions of the Research 4

1.5 Outline of The Thesis 4

IX

CHAPTER 2 LTE AND LTE-ADVANVACED 6

2.1 Introduction 6

2.2 System Requirements for LTE and LTE-Advanced 9

2.3 Long Term Evolution Standard 11

2.4 Key Enabling Technologies and Feature of LTE 12

2.4.1 Downlink of Long Term Evolution 13

2.4.2 Uplink of Long Term Evolution 24

2.5 Long Term Evolution-Advanced Standard 26

2.5.1 Carrier Aggregation 27

2.5.2 Peak Data Rates and Throughput 29

2.5.3 Peak Spectral Efficiency 31

2.5.4 Mobility 34

2.5.5 Latency 35

2.6 LTE-Advanced Technologies 35

2.6.1 Multiple Input Multiple Output (MIMO) 36

2.6.2 Coordinated Multi-Point transmission (CoMP) 39

2.6.3 Relaying 40

2.7 Summary

42

X

CHAPTER 3 Carrier Aggregation for LTE-Advanced 43

3.1 Introduction 43

3.2 Carrier Aggregation Schemes in LTE and LTE-Advanced 44

3.2.1 Intra-band Aggregation with Contiguous Component

Carriers

52

3.2.2 Intra-band Aggregation with non-Contiguous Component

Carriers

52

3.2.3 Inter-Band Aggregation with non-Contiguous

Component Carriers

54

3.3 Band Combinations for LTE-CA 61

3.4 Summary

64

CHAPTER 4 Methodology 65

4.1 Introduction 65

4.2 MIMO Physical Downlink of LTE-A System 66

4.3 Design of the Carrier Aggregation in LTE-Advanced

System

70

4.4 Design of the Proposed LTE-Advanced System 72

4.5 MIMO Wideband Mobile Channel Model 80

4.6 Analysis of the Proposed LTE-Advanced System 84

4.7 Operating Bands of LTE-Advanced 97

4.8 Summary

98

XI

CHAPTER 5 RESULTS AND DISCUSSIONS 99

5.1 Introduction 99

5.2 Simulation of Proposed LTE-A Bandwidth using MATLAB

Program

99

5.2.1 LTE-Advanced Downlink Intra Band Contiguous

Component Carriers to Support Channel Bandwidth 40 MHz

102



103



104


Component Carriers to Support Channel Bandwidth 100

MHz

105



MHz

106

5.2.6 LTE-Advanced Downlink Intra Band non-Contiguous


107



108

5.2.8

LTE-Advanced Downlink Intra Band non-Contiguous


109



MHz

110

XII

5.2.10 LTE-Advanced Downlink Intra Band Non-Contiguous


MHz

111

5.3 Throughput Analysis of Proposed LTE-A 112

5.3.1 Throughput of Proposed LTE-A with QPSK Modulation 113

5.3.2 Throughput of Proposed LTE-A with 16 QAM Modulation 117

5.3.3 Throughput of Proposed LTE-A with 64 QAM Modulation 120

5.4 Simulation of Proposed LTE-A Bandwidth using

SystemVue Program

124


Component Carriers

125


Component Carriers

131

5.5 SystemVue and Matlab Differences in Execution of

Proposed LTE-Advanced System

139

5.6 Comparison of Proposed LTE with the LTE and LTE-

Advanced

140

5.7 Summary

141

CHAPTER 6 CONCLUSIONS AND FUTURE WORK 142

6.1 Conclusions 142

6.2 Future Works

146

REFERENCES 148

APPENDIX 154

XIII

LIST OF FIGURES

2.1 The release of 3GPP specifications for LTE 7

2.2 Block diagram for OFDMA 14

2.3 Frequency domain illustration of OFDM 15

2.4 OFDM symbol in the time domain 16

2.5 OFDMA downlink transmitter 17

2.6 OFDMA downlink receiver for user 1 18

2.7 Principles of OFDMA for downlink transmission 21

2.8 Block diagram for SC-FDMA 25

2.9 Carrier aggregation scenarios 28

2.10 Improvement in downlink spectral efficiency going from 2G to 4G

system

33

2.11 Mobility in LTE-Advanced technology 34

2.12 Illustration of SU and MU MIMO systems 37

2.13 MIMO for LTE-Advanced DL and UL transmission 38

2.14 Cooperative MIMO on the LTE-Advanced downlink 40

2.15 Configuration of the relaying network 41

3.1 Types of carrier aggregation for LTE-Advanced 45

3.2 Examples of carrier aggregation 47

3.3 Carrier aggregation in LTE-Advanced 49

3.4 Structure of the MAC and PHY layer of LTE-A 51

3.5 Scenarios of CA with bandwidth 100 MHz 53

XIV

3.6 Definitions for intra band carrier aggregation RF parameters, for

an example with two aggregated carriers

54

3.7 The channel bandwidth for one RF carrier and the corresponding

transmission bandwidth configuration

55

4.1 OFDMA and SCFDMA 66

4.2 LTE-A downlink transmitter for 8x8 MIMO 68

4.3 LTE-A downlink receiver for 8x8 MIMO 69

4.4 Block diagram of downlink data aggregation 71

4.5 Proposed LTE-A system design 73

4.6 Aggregated channel bandwidth for contiguous carrier aggregation 74

4.7 Non-contiguous intra band CA 75

4.8 Interference effects on the system with 7 CC: (a) Schematic

design, (b) Contiguous carrier aggregation, (c) Non-contiguous

carrier aggregation.

77

4.9 Scenario of contiguous CA with bandwidth 120 MHz 78

4.10 Examples of non contiguous CA with bandwidth 120 MHz 79

4.11 MIMO Principle with 8x8 antenna configuration 81

4.12 Two antenna arrays in a scattering environment 82

4.13 Frequency-domain structures for LTE-A 84

4.14 The structure of the downlink resource grid 86

4.15 Types of modulation constellation 87

4.16 Relationship between throughput and no. of component carriers 96

4.17 Relationship among no. of CCs, efficiency and bandwidth in MHz 96

5.1 Data aggregation from the PHY up to MAC interface 100

5.2 LTE-A with channel bandwidth 40 MHz 102



XV



5.7 LTE-A non-contiguous CCs with channel bandwidth 40 MHz 107

5.8 LTE-A non-contiguous CCs with channel bandwidth 60 MHz 108

5.9 LTE-A non-contiguous CCs with channel bandwidth 80MHz 109



5.12 Throughput diagram with MIMO technique 112

5.13 Throughput of 2x2 MIMO LTE-A using QPSK modulation 114



5.16 Throughput of 2x2 MIMO LTE-A using 16 QAM modulation 118






5.22 Schematic design of non-contiguous CCs with aggregated channel

bandwidth 20 MHz

125

5.23 Non-contiguous CCs with aggregated channel bandwidth 20 MHz 126


bandwidth 80 MHz

127

5.25 Non-contiguous CCs with aggregated channel bandwidth 80MHz 127


bandwidth 100 MHz

128

5.27 Non-contiguous CCs with aggregated channel bandwidth 100MHz 129

5.28 Schematic design of non-contiguous CCs with aggregated channel 130

XVI

bandwidth 120 MHz

5.29 Non-contiguous CCs with aggregated channel bandwidth 120

MHz

130

5.30 Schematic design of contiguous CCs with aggregated channel

bandwidth 40 MHz

131

5.31 Contiguous CCs with aggregated channel bandwidth 40 MHz 132


bandwidth 60 MHz

133



bandwidth 80 MHz

134



bandwidth 100 MHz

136



bandwidth 120 MHz

137


6.1 Agilent W1716EP SystemVue Digital Pre-Distortion Builder 147

XVII

LIST OF TABLES

2.1 3GPP specification release for LTE and LTE-A 8

2.2 Major system requirement for Rel.8 LTE 10

2.3 System Performance Requirements for LTE-A compared to those

achieved in Rel.8 LTE

11

2.4 Requirements of LTE-Advanced 30

3.1 Deployment scenarios of LTE-Advanced 50

3.2 UE Carrier Aggregation Bandwidth Classes 56

3.3 Nominal channel spacing between contiguously aggregated CCs 57

3.4 Minimum channel spacing between contiguously aggregated CCs 58

3.5 Definition of Foffset 59

3.6 Intra band contiguous CA 62

3.7 Inter band non-contiguous CA 63

4.1 Coding rates for QPSK, 16QAM and 64 QAM 88

4.2 Transmission bandwidth configuration NRB in E-UTRA channel

bandwidths

89

4.3 Throughput of 2x2 MIMO 90

XVIII



4.6 Enhancement of data rate with different modulation techniques 92

4.7 Proposed one-layer to four-layer TBS translation 94

4.8 Throughput and efficiency for 8x8 MIMO LTE-A 95

4.9 Operating bands for LTE-Advanced (E-UTRA operating bands) 97

5.1 Highlights the main points of differences between LTE and the

proposed system

140

XVIII

LIST OF ABBREVIATIONS

1G - First Generation

2G - Second Generation

3G - Third Generation

3GPP - Third Generation Partnership Project

4G - Fourth Generation

ACLR - Adjacent Channel Leakage Ratio

AIM - Advanced Interference Management

B.W - Bandwidth

BER - Block Error Rate

BS - Base Station

BTS - Base Transceiver Station

BWGB - Bandwidth Guard Band

CA - Carrier Aggregation

CB - Coding Blocks

CCs - Component Carriers

CDF - Cumulative distribution function

CDMA - Code Division Multiple Access

CM - Cubic Metric

CoMP - Coordinated Multi Point

CP - Cyclic Prefix

C-Plane - Control-Plane

XIX

CRC - Cyclic Redundancy Check

CRS - Cell-specific Reference Symbol

CSI - Channel State Information

CSI-RS - Channel State Information -Reference Signal

CSIT - Channel State Information at the Transmitter

DC - Direct Current

DFT - Discrete Fourier Transform

DFT-S-OFDM - Discrete Fourier Transform–Spread–OFDM

DL - Downlink

DRX - Discontinuous Reception

EDGE - Enhanced Data Rates for GSM Evolution

eNB - enhanced Node B

EPC - Evolved Packet Core

E-UTRA - Evolved Universal Terrestrial Radio Access

E-UTRAN - Evolved UMTS Terrestrial Radio Access Networ

EVM - Error Vector Magnitude

FDD - Frequency Division Duplex

FDMA - Frequency Division Multiple Access

FEC - Forward Error Correction

FFS - For Further Studies

FFT - Fast Fourier Transform

GPRS - General Packet Radio Service

GPS - Global Positioning System

GSM - Global System for Mobile

HARQ - Hybrid Automatic Repeat Request

HeNB - Home eNodeB

HSDPA - High Speed Downlink Packet Access

XX

HSPA - High Speed Packet Access

HSUPA - High-Speed Uplink Packet Access

IDFT - Inverse Discrete Fourier Transform

IFFT - Inverse Fast Fourier Transform

IM3 - Third-order Inter Modulation

IMD - Inter Modulation Distortion

IMT-Advanced - International Mobile Telecommunications - Advanced

IP - Internet Protocol

ISI - Inter Symbol Interference

ITU - International Telecommunications Union

ITU-R - ITU-Radiocommunication

JP - Joint Processing

LTE - Long Term Evolution

LTE-A - Long Term Evolution-Advanced

MA - Multiple Access

MAC - Medium Access Control

MBRs - Maximum Bit Rates

MIMO - Multi Input Multi Output

MISO - Multiple Input Single Output

MU-MIMO - Multi User- Multi Input Multi Output

OCC - Orthogonal Cover Codes

OFDM - Orthogonal Frequency Division Multiplexing

OFDMA - Orthogonal Frequency Division Multiple Access

P - Power

P/S - Parallel to Serial

PA - Power Amplifiers

PAPR - Peak to Average Power Ratio

XXI

PCC - Primary component carrier

Pe - Error Probability

PHY layer - Physical layer

PRB - Physical Resource Block

PS - packet-switching

PUCCH - Physical Uplink Control Channel

QAM - Quadrature Amplitude Modulation

QoS - Quality of Service

QPSK - Quadrature Phase Shift Keyed

RBs - Resource Blocks

Rel-10 - Release-10

Rel-11 - Release-11

Rel-12 - Release-12

Rel-8 - Release-8

Rel-9 - Release-9

RF - Radio Frequency

RRC - Radio Resource Control

RS - Reference Signal

S/P - Serial to Parallel

SAE - System Architecture Evolution

SC-FDMA - Single Carrier Frequency Division Multiple Access

SDM - Spatial Division Multiplexing

SEM - Spectrum Emission Mask

SIMO - Single Input Multiple Output

SISO - Single Input Single Output

SNR - Signal to Noise Ratio

SU-MIMO - Single User- Multi Input Multi Output

XXII

TBs - Transport Blocks

TDD - Time Division Duplexing

TD-LTE - Time Division -Long Term Evolution

TDMA - Time Division Multiple Access

TD-SCDMA - Time Division-Synchronous Code Division Multiple

Access

TSG RAN - TSG Radio Access Network

UE - User equipment

UL - Uplink

UMTS - Universal Mobile Telecommunications System

U-Plane - User-Plane

WCDMA - Wideband Code Division Multiple Access

WiMAX - Worldwide interoperability for Microwave Access

βi - Fraction of Bandwidth Allocated to user i

http://en.wikipedia.org/wiki/Time_division_multiple_access

CHAPTER 1

INTRODUCTION

The specifications of Long Term Evolution (LTE) in 3rd Generation Partnership Project

(3GPP) (Release-8) has recently been completed when work began on the new Long

Term Evolution- Advanced (LTE-A) standard (Release-9 and beyond). LTE-A meets or

exceeds the requirements imposed by International Telecommunication Union (ITU) to

Fourth Generation (4G) mobile systems. These requirements were unthinkable a few

years ago, but are now a reality. Peak data rates of 1 Gbps with bandwidths of 100 MHz

for the downlink, very low latency, more efficient interference management and

operational cost reduction are clear examples of why LTE-A is so appealing for

operators. Moreover, the quality breakthrough affects not only operators but also end

users, who are going to experience standards of quality similar to optical fiber.

In order to reach these levels of capacity and quality, the international scientific

community, in particular the 3GPP are developing different technological enhancements

on LTE. The most important technological proposals for LTE-Advanced are support of

wider bandwidth (carrier aggregation), advanced Multiple Input Multiple Output

(MIMO) techniques, Coordinated Multipoint transmission or reception (CoMP),

relaying and enhancements for Home eNodeB (HeNB) by Cardona, Monserrat and

Cabrejas (2013).

The 3GPP is in the process of development of certain technological proposals to

meet the demanding requirements of LTE-A. At this point, 3GPP has focused its

attention on different points that required technological innovations and one of them is

supporting of wider bandwidth (carrier aggregation) which is the main issue of this

thesis. Carrier aggregation can be defined as one of the most important technologies that

ensure the success of 4G technologies; this concept involves transmitting data in

2

multiple contiguous or non-contiguous Component Carriers (CCs). Each Component

Carrier (CC) takes a maximum bandwidth of 20 MHz to be compatible with LTE

Release 8 (Dahlman, Parkvall, Sköld and Beming, 2008). In addition to the peak data

rate, another motivation for carrier aggregation is to facilitate efficient use of fragmented

spectrum. In LTE-Advanced carrier aggregation, each component carrier can take any of

the channel bandwidths of 1.4, 3, 5, 10, 15, and 20 MHz that are supported by LTE.

Component carriers do not have to be of the same frequency (Taha, Hassanein and Abu

Ali, 2012). Operators with a fragmented spectrum can also provide high data rate

services through carrier aggregation technology. Carrier aggregation also allows

advanced features such as multi-carrier scheduling, interference coordination, quality of

service (QoS) differentiation, carrier load balancing, and heterogeneous deployment to

be used to further increase the spectral efficiency of the system. For instance, with QoS

differentiation, different subscription classes can be created whereby users are assigned

a bandwidth and a preferred carrier on the basis of their level of service agreement.

Multi carrier scheduling can also be used to schedule users in a carrier that is

experiencing less interference, thus improving throughput. Similarly, carrier aggregation

can be used with inter-cell interference coordination techniques to ensure that users are

scheduled in a manner that will generate less interference with surrounding cells.

1.1 Problem Statement

LTE-A has peak data rate limitations, its maximum reaches 1 Gbps due to number of

component carriers which is five. Proposed LTE-Advanced offers considerably higher

data rates than it in the current release of LTE-A. In addition, the spectrum usage

efficiency also has been improved.

In order to achieve these very high data rates it is necessary to increase the

transmission bandwidth over that has been used by the first releases of LTE. The

technique being proposed is termed carrier aggregation or sometimes channels

aggregation. Using LTE-Advanced carrier aggregation, it is possible to utilize several

3

carriers and in this way increase the overall transmission bandwidth. Proposed LTE-

Advanced bandwidth for both types: contiguous and non-contiguous needs a suitable

band which covers the whole bandwidth depending on the standard bands from 3GPP

organization.

1.2 Objectives of the Research

The main objectives of this research are:

1. To improve LTE-A disadvantages by increasing the bandwidth at both sides

(transmitter and receiver), where the current bandwidth is 100 MHz.

2. To increase peak data rate of the proposed system more than 1 Gbps which

represents the peak data rate of LTE-A.

3. To apply MIMO technology on the proposed LTE-A system with 8x8 antennas.

4. To increase the efficiency of the proposed system comparing to efficiency of

LTE and LTE-A systems.

1.3 Scope of the Research

This research is to study high bandwidth internet access anytime anywhere which is

continuously increasing. In order to deliver the main objectives of this research; initial

study of LTE and LTE-A techniques for cellular systems has been done by identifying

critical parameters for performance optimization in cellular systems and deriving the

mathematical formulations. Design the proposed LTE-Advanced system by developing

LTE and LTE-A algorithms so that the new system will have wider bandwidth and

higher peak data rate through Matlab and SystemVue programs. The design of the new

4

system depends on carrier aggregation technique to expand bandwidth and achieve the

main objectives of this research. Finally; the performance and the results of the proposed

algorithm had been compared with LTE and LTE-A technologies (current and new

developed) to highlight the features of the new design.

1.4 Contributions of the Research

LTE-Advanced is an intriguing technology which promises better performance than

LTE, larger bandwidth in proposed LTE-Advanced is the main aim of this study, easily

deployment in the network, increase user throughput for fully multi-media feature

services to exceed 4 Gbps, achieve spectrum flexibility, support scalable bandwidth up

to 120 MHz using spectrum aggregation, achieve backward compatibility includes inter-

working of LTE with 3GPP legacy systems, enable extended multi-antenna deployments

up to 8x8 MIMO and denser infrastructure in a cost-efficient way.

There are two basic solutions for the large bandwidth transmission in mobile

communication systems: the first is to design a large bandwidth system; the second is to

construct a system with a larger transmission bandwidth through collaboration between

different systems. The two solutions coexist and have an effect on each other in the

evolution of mobile communications. These enhancements can be appeared in Rel-11

and Rel-12 of 3GPP and will offer better user experience, lower cost per bit, greener

LTE-A base stations, and efficient self-organizing networks.

1.5 Outline of The Thesis

Chapter 2 provides an overview of the technical background of LTE and LTE-

Advanced. This chapter also explains all the parameter characteristics of throughput,

5

peak data rate, efficiency, mobility, and MIMO technology. This chapter also discusses

the uplink and downlink of LTE in details. Chapter 3 presents the theoretical

specifications of carrier aggregation (CA), component carriers (CCs), inter and intra

band CA including main types of carrier aggregation (Contiguous and non-Contiguous).

Chapter 4 deals with the methodology of the research: design of the proposed Long

Term Evolution-Advanced (LTE-A) system which supports 8x8 MIMO and all the

mathematical analysis relating to the proposed design while Chapter 5 provides results

obtained from the simulations using Matlab and SystemVue programs which can be

divided into two major parts: Intra band contiguous carrier aggregation and non-

contiguous carrier aggregation. In addition to the measurements of LTE-A throughput in

different modulation indexes (QPSK, 16 and 64 QAM), are compared. Finally, Chapter

6 concludes with a summary of the research and recommendation for future work.

6

CHAPTER 2

LTE AND LTE-ADVANVACED

2.1 Introduction

The first release of WCDMA Radio Access developed in Radio Access Network (TSG

RAN) was called release-993 and contained all features needed to meet the IMT-2000

requirements as defined by the International Telecommunications Union (ITU).

This release also included circuit-switched voice and video services, and data

services over both packet-switched and circuits watched bearers. The first major addition

of radio access features to WCDMA was HSPA, which was added in release-5 with High

Speed Downlink Packet Access (HSDPA) and release-6 with Enhanced Uplink. The 3G

evolution continued in 2004 (Holma and Toskala, 2009), when a workshop was

organized to initiate work on the 3GPP Long Term Evolution (LTE) radio interface. The

result of the LTE workshop was that a study item in 3GPP TSG RAN was created in

December 2004. The first 6 months were spent on defining the requirements, or design

targets, for LTE. These were documented in a 3GPP technical report and approved in

June 2005. Most notable are the requirements on high data rate at the cell edge and the

importance of low delay, in addition to the normal capacity and peak data rate

requirements. During the fall of 2005, 3GPP TSG RAN WG1 made extensive studies of

different basic physical layer technologies and in December 2005 the TSG RAN plenary

decided that the LTE radio access should be based on OFDM in the downlink and DFT-

pre-coded OFDM in the uplink. TSG RAN and its working groups then worked on the

LTE specifications and the specifications were approved in December 2007. Work has

7

since then continued on LTE, with new features added in each release refer to Dahlman,

Parkvall and Sköld (2011).

Figure 2.1: The release of 3GPP specifications for LTE (Dahlman, et al., 2008),

(Dahlman, et al., 2011).

3GPP has completed the specification for Long Term Evolution as part of

Release-8 as shown in Figure 2.1; the work on LTE began in 2004 and completed in 2009

and first deployment occurred in 2010. In Release-8, Long Term Evolution (LTE) by

Uhrer, Wrulich, Ikuno, Bosanska, & Rupp (2009) was standardized by 3GPP as the

successor of the Universal Mobile Telecommunication System (UMTS). The targets for

downlink and uplink peak data rate requirements were set to 100 Mbps and 50 Mbps,

respectively, when operating in a 20 MHz spectrum allocation. First performance

evaluations show that the throughput of the LTE physical layer and MIMO enhanced

WCDMA is approximately the same. Basically 3GPP is addressing the requirements to

satisfy the specification of IMT-Advanced (International Mobile Telecommunications-

Advanced) in LTE-Advanced, LTE-Advanced standards are defined in 3GPP Release-10.

8

The specifications for LTE are produced by the Third Generation Partnership

Project according to Cox (2012), in the same way as the specifications for UMTS and

GSM. They are organized into releases, where each of which contains a stable and clearly

defined set of features. The use of releases allows equipment manufacturers to build

devices using some or all of the features of earlier releases, while 3GPP continues to add

new features to the system in a later release. Within each release, the specifications

progress through a number of different versions. New functionality can be added to

successive versions until the date when the release is frozen, after which the only changes

involve refinement of the technical details, corrections and clarifications (3GPP Releases.

2011). Table 2.1 lists the releases that 3GPP have used since the introduction of UMTS,

together with the most important features of each release. Note that the numbering

scheme was changed after Release-99, so that later releases are numbered from 4 through

to 11 (LTE-A).

Table 2.1: 3GPP specification release for LTE and LTE-A (Cox, 2012)

Release Data Frozen New features

R99 March 2000 WCDMA air interface

R4 March 2001 TD-SCDMA air interface

R5 June 2002 HSDPA, IP multimedia subsystem

R6 March 2005 HSUPA

R7 December 2007 Enhancements to HSPA

R8 December 2008 LTE, SAE

R9 December 2009 Enhancements to LTE and SAE

R10 March 2011 LTE-Advanced

R11 September 2012 Enhancements to LTE-Advanced

9

2.2 System Requirements for LTE and LTE-Advanced

Table 2.2 gives the system requirements for the Release-8 LTE. The Release-8 LTE

supports scalable multiple transmission bandwidths including 1.4, 3, 5, 10, 15, and 20

MHz (Holma and Toskala, 2007). One of the most distinctive features is the support for

only the Packet-Switching (PS) mode. Hence, all traffic flows including real time service

with a rigid delay requirement such as voice services is provided in the PS domain in a

unified manner. The target peak data rate is 100 Mbps in the downlink and 50 Mbps in

the uplink. The target values for the average or cell edge user throughput and spectrum

efficiency are specified as relative improvements from those of High Speed Downlink

Packet Access (HSDPA) or High Speed Uplink Packet Access (HSUPA) in the downlink

and uplink, respectively. Here, the average cell spectral efficiency corresponds to

capacity, and the cell-edge user throughput is defined as the 5% value in the Cumulative

Distribution Function (CDF) of the user throughput. Both are very important

requirements from the viewpoint of practical system performance in cellular

environments. In particular, improvement in the cell-edge user throughput is requested to

mitigate the unfair achievable performance between the vicinity of the cell site and cell

edge. After extensive discussions in the 3GPP meetings, it was verified that the

requirements and targets for the Reease-8 LTE were achieved by the specified radio

interface using the relevant techniques.

10

Table 2.2: Major System Requirement for Rel.8 LTE (Sawahashi, Taoka, Tanno, and

Nakamura, 2009)

Bandwidth Support of scalable bandwidths

(1.4, 3, 5, 15 and 20 MHz )

Peak data rate DL 100 MHz

UL 50 MHz

Spectrum efficiency

(vs. Rel. 6 HSDPA/HSUPA)

DL 3- 4 times (avarge)

UL 2- 3 times (cell edge)

User throughput

(vs. Rel. 6 HSDPA/HSUPA)

DL 2- 3 times (avarge)

UL 2- 3 times (cell edge)

The requirements for LTE-Advanced are specified by Fazel and Kaiser (2008).

The following general requirements for LTE-Advanced were agreed upon. LTE-

Advanced will be an evolution of Release-8 LTE. Hence, distinctive performance gains

from Release-8 LTE are requested. Moreover, LTE-Advanced will satisfy all the relevant

requirements for Release-8 LTE.

LTE is requested in LTE-Advanced. Thus, a set of User Equipment (UE) for

LTE-Advanced must be able to access Release-8 LTE networks, and LTE-Advanced

networks must be able to support Release-8 LTE UEs. LTE-Advanced shall meet or

exceed the IMT-Advanced requirements within the ITU-R time plan.

In Table 2.3, the requirements and target values for LTE-Advanced are listed with

those achieved in the Release-8 LTE. The summary of the major issues which depend on

MIMO channel transmissions is highlighted, with respect to the peak data rate.

The target values for the peak frequency efficiency are 2 and 4 fold those

achieved in the Release-8 LTE, i.e., 30 and 15 bps/Hz in the downlink and uplink,

respectively. It is noted, however, that this requirement is not mandatory and is to be

achieved by a combination of base stations (BSs) and high class UEs with a larger

number of antennas. In LTE-Advanced, 1.4 to 1.6 folds improvements for the capacity

11

and cell-edge user throughput are expected from Release-8 LTE for each antenna

configuration.

Table 2.3: System Performance Requirements for LTE-A compared to those achieved in

Rel.8 LTE (Sawahashi, et al., 2009)

DL/UL Antenna

configuration

Rel.8 LTE

achievement

LTE-Advanced

Peak data rate DL - 300 Mbps 1 Gbps

UL - 75 Mbps 500 Mbps

Peak spectrum efficiency

[bps/Hz]

DL - 15 30

UL - 3.75 15

Capacity [bps/Hz/ cell] DL 2x2 1.69 2.4

4x2 1.87 2.6

4x4 2.67 3.7

UL 1x2 0.74 1.2

2x4 - 2.0

Cell- edge user throughput

[bps/ Hz/ cell/ User]

DL 2x2 0.05 0.07

4x2 0.06 0.09

4x4 0.08 0.12

UL 1x2 0.024 0.04

2x4 - 0.07

2.3 Long Term Evolution Standard

The 3GPP Long Term Evolution (LTE) release 8 defines the basic functionality of a new,

high-performance air interface providing high user data rates in combination with low

latency based on MIMO, OFDMA, and an optimized system architecture evolution

(SAE) as main enablers.

LTE was required to deliver a peak data rate of 100 Mbps in the downlink and 50

Mbps in the uplink. This requirement exceeded in the eventual system, which delivers

12

peak data rates of 300 Mbps and 75 Mbps respectively. For comparison, the peak data

rate of WCDMA, in Release-6 of the 3GPP specifications, is 14 Mbps in the downlink

and 5.7 Mbps in the uplink. It cannot be stressed too strongly, however, that these peak

data rates can only be reached in idealized conditions, and are wholly unachievable in any

realistic scenario. A better measure is the spectral efficiency, which expresses the typical

capacity of one cell per unit bandwidth. LTE is required to support a spectral efficiency

three to four times greater than that of Release-6 WCDMA in the downlink and two to

three times greater in the uplink.

Another important issue is latency time, particularly for time critical applications

such as voice and interactive games. There are two aspects to this. Firstly, the

requirements state that the time taken for data to travel between the mobile phone and the

fixed network should be less than five milliseconds, provided that the air interface is

uncongested. Secondly, mobile phones can operate in two states: an active state in which

they are communicating with the network and a low power standby state. The

requirements state that a phone should switch from standby to the active state, after an

intervention from the user, in less than 100 milliseconds.

There are also requirements on coverage and mobility. LTE is optimized for cell

sizes up to 5 km, works with degraded performance up to 30 km and supports cell sizes

of up to 100 km. It is also optimized for mobile speeds up to 15 km/hr, works with high

performance up to 120 km/hr and supports speeds of up to 350 km/hr. Finally, LTE is

designed to work with a variety of different bandwidths, which range from 1.4 MHz up to

a maximum of 20 MHz according to 3GPP TS 25.912 (2006).

2.4 Key Enabling Technologies and Feature of LTE

This chapter provides technical information about main LTE enabling technologies. The

areas covered range from basic concepts to research grade material, including future

13

directions, the main LTE enabling technologies can be presented in downlink physical

layer (OFDMA) and uplink physical layer (SC-FDMA).

2.4.1 Downlink of Long Term Evolution

At this point, the structure of OFDMA and the main principles of downlink transmission

with the main calculations of system capacity are discussed as in the following:

A- Downlink System Model of LTE

Orthogonal Frequency Division Multiple Access (OFDMA) has several advantages over

the Wideband Code Division Multiple Access (WCDMA) technique used in the previous

generations of UMTS. As demonstrated in (Molisch, 2011), OFDMA provides better

performance in terms of spectral efficiency (i.e. how much data can be transmitted for a

given amount of bandwidth) than does WCDMA both for broadcast and for unicast

services. This is due to the lack of inter-symbol interference from multipath channels and

the absence of intra-cell interference because users are orthogonal (i.e. they do not

interfere with each other) in the frequency domain. In addition, the OFDMA transmission

technique scales easily to different bandwidths, so multiple system bandwidth

configurations can be efficiently supported. In addition, low-complexity receivers can be

used with OFDMA.

14

Figure 2.2: Block diagram for OFDMA (Khlifi and Bouallegue, 2012).

OFDMA, frequency-domain scheduling and MIMO processing techniques can be

used. An example of frequency-domain scheduling techniques is frequency-selective

scheduling. In frequency-selective scheduling, users are assigned data only on good

frequency bands (i.e. bands with large gain), which are determined on the basis of

channel quality feedback from the UE. For broadcast services, single-frequency broadcast

networks can be supported. In this case, multiple base stations transmit the same

broadcast signals. The signals are coherently combined at the user, thus improving

performance at the cell edge substantially.

A basic block diagram illustrating OFDMA signal generation for one OFDM

symbol is shown in Figure 2.2 where data symbols from different users are mapped to

different subcarriers depending on the frequency bands assigned to those users. This is

done in the frequency domain. The information is then subjected to an Inverse Fast

Fourier Transform (IFFT) to convert the frequency domain subcarriers into time-domain

signals. A cyclic prefix is then added, and the signal is ready for transmission.

Note that the basic transmission unit for data is a subframe that spans multiple

OFDM symbols. At the receiver, the reverse operation is performed. The cyclic prefix is

removed, and then the time-domain signal is subjected to a Fast Fourier Transform (FFT)

Symbol

Mapping S/P P/S

Append

CP

M-point

IFFT

Subcarrier

Mapping

Channel

Subcarrier

Demapping P/S

Symbol

De-Mapping M-point

FFT

Remove

CP S/P

15

so that the modulation symbols on each subcarrier can be extracted. Each user then

extracts the frequency resource units corresponding to its assigned subcarriers.

Equalization is performed and the data is passed onward for decoding.

Figure 2.3: Frequency domain illustration of OFDM (Ghosh and Ratasuk, 2011).

A frequency-domain illustration of OFDM transmission is shown in Figure 2.3,

where each data symbol is modulated onto one of the subcarriers. The OFDM parameters

must be selected carefully in order to meet LTE requirements while minimizing

overhead. Key design parameters include cyclic-prefix length, subcarrier spacing, and

resource-block size. In LTE, the Direct Current (DC) subcarrier (the subcarrier at the

center frequency) is not used since the performance of this subcarrier can be very poor for

certain transmitter and receiver designs. Thus, the usable subcarriers are located around

this center frequency as shown in Figure 2.3. The subcarrier spacing is the frequency

spacing between two adjacent subcarriers. Small subcarrier spacing means that more

subcarriers are available for a given amount of bandwidth, thus increasing the spectral

efficiency since more data symbols are available for a given amount of bandwidth. In

addition, small subcarrier spacing also ensures that the fading on each subcarrier is

frequency-non-selective. However, performance degrades as subcarrier spacing decreases

due to Doppler shift and phase noise.

16

Doppler shift is caused by UE movement with larger shift as UE velocity

increases. This causes inter-carrier interference whose degradation increases as the

subcarrier spacing decreases. Phase noise is caused by fluctuations in the frequency of the

local oscillator, and will cause inter-carrier interference as well. In order to minimize

performance degradation from phase noise, the subcarrier spacing should be greater than

10 kHz. Furthermore, to support UE up to a speed of 350 km/h, the subcarrier spacing

should be around 9–17 kHz. As a result, a subcarrier spacing of 15 kHz was chosen for

LTE.

Figure 2.4: OFDM symbol in the time domain (Preben, Koivisto, Pedersen, Kovács,

Raaf, Pajukoski and Rinne, 2009).

In LTE, frequency resource is assigned in units of resource blocks. Several factors

must be considered in the selection of the resource block size in frequency. First, it

should be small enough that the frequency selective scheduling (i.e. scheduling data

transmission on good frequency subcarriers) gain is large. Small resource-block size

ensures that the frequency response within each resource block is similar, thus enabling

the scheduler to assign only good resource blocks. However, since the eNB does not

know which resource blocks are experiencing good channel conditions, the UE must

report this information back to the eNB. Thus, the resource-block size must be

sufficiently large that the feedback overhead is not too high. It also should be sufficiently

large to minimize downlink control signaling, which must be used to inform the UE of its

resource allocation. In 3GPP R1-050720, (2005), performance analysis of frequency

CP CP

Data

Time OFDM Symbol

17

selective scheduling was performed. It was found that a resource block of size 200–900

kHz provides good performance. Since, in LTE, a subframe size of 1 ms is used to ensure

low latency, the resource block size in frequency should be small so that small data

packets can be efficiently supported. As a result, 180 kHz (12 subcarriers) was chosen as

the resource-block bandwidth.

A cyclic prefix is needed for OFDMA transmission in order to prevent inter-

symbol interference from previously transmitted OFDM symbols. The OFDM symbol

with cyclic prefix and data is shown in Figure 2.4. Note that the cyclic prefix does not

carry useful data and is removed at the receiver prior to processing. As a result, it is

desirable to have a small cyclic prefix as possible in order to minimize the overhead. In

general, the length is chosen on the basis of the expected delay spread of the propagation

channel plus some margin to allow for imperfect timing alignment.

The block diagram for a downlink OFDMA are shown in Figure 2.5 and Figure

2.6 where the basic flow is very similar to an OFDM system except for now K users

share the L subcarriers, with each user being allocated MK subcarriers. Although in

theory it is possible to have users share subcarriers, this never occur in practice, so ∑k Mk

= L and each subcarrier only has one user assigned to it (Ghosh, Zhang, Andrews &

Muhamed, 2011).

Figure 2.5: OFDMA downlink transmitter (Ghosh, et al., 2011).

18

In OFDM, all subcarriers are assigned to a single user. Hence, for multiple users

to communicate with the BS, the set of subcarriers are assigned to each in a Time

Division Multiple Access (TDMA) fashion. Alternatively, an OFDM-based multiple

access mechanism, namely the OFDMA, assigns sets of subcarriers to different users. In

particular, the total available bandwidth is divided into M sets, each consisting of L

subcarriers.

Figure 2.6: OFDMA downlink receiver for user 1(Ghosh, et al., 2011).

In order to analysis the performance of OFDMA, the transmitted signal of one

user with M allocated subcarriers is expressed as (Zhang, Huang, Liu and Zhang, 2006):

D=[d0 d1 … dM-1]T (2.1)

where [.]T

represents transpose operation and di is the modulated symbol. After

IFFT modulator, the signal vector S will be:

S=F*N TN,M D (2.2)

19

where TN,M the mapping matrix for subcarrier assignment and its element values

are decided by either distributed subcarrier allocation or localized subcarrier allocation.

F*N is the N point IFFT matrix and [.]

* represents conjugate operation. Moreover,

FN=[flT

, f2T, ….,

fN

T ]

T (2.3)

f1= (2.4)

After fading channel and FFT process, the received signal in frequency domain is:

R= H TN,M D+n (2.5)

where

H = diag(HK) (2.6)

and Hk is the frequency channel response at subcarrier k. n is the AWGN noise

vector and

R = [r(O),r(l),..., r(N -1)]T (2.7)

in which r(k) is the received signal at subcarrier k .

Despite the relatively straight forwardness of OFDMA, it has very attractive

advantages. Probably the most important of these is its inherent exploitation of frequency

and multiuser diversities. Frequency diversity is exploited through randomly distributing

the subcarriers of a single user over the entire band, reducing the probability that all the

subcarriers of a single user experience deep fades. Such allocation is particularly the case

when distributed subcarrier assignment is employed. On the other hand, multiuser

20

diversity is exploited through assigning contiguous sets of subcarriers to users

experiencing good channel conditions a study by Yang (2010). Another important

advantage of OFDMA is its inherent adaptive bandwidth assignment. In the Jiang, Song

and Zhang (2010), OFDMA subcarrier structure can support a wide range of bandwidths,

since the transmission bandwidth consists of a large number of orthogonal subcarriers

that can be separately turned on and off; wider transmission bandwidths, as high as 100

MHz, can be easily realized (Dahlman, et al., 2008).

B- Downlink Data Transmission of LTE

For transmission of data over the air interface, it was decided to use a new transmission

scheme in LTE which is completely different from the Code Division Multiple Access

(CDMA) approach of UMTS. Instead of using only one carrier over the broad frequency

band, it was decided to use a transmission scheme referred to as Orthogonal Frequency

Division Multiple Access (OFDMA). OFDMA transmits a data stream by using several

narrow-band subcarriers simultaneously, for example 512, 1024, or even more,

depending on the overall available bandwidth of the channel (e.g. 5, 10, 20 MHz).

As many bits are transported in parallel, the transmission speed on each subcarrier

can be much lower than the overall resulting data rate. This is important in a practical

radio environment in order to minimize the effect of multipath fading created by slightly

different arrival times of the signal from different directions. The second reason this

approach was selected was because the effect of multipath fading and delay spread

becomes independent of the amount of bandwidth used for the channel. This is because

the bandwidth of each subcarrier remains the same and only the number of subcarriers is

changed. With the previously used CDMA modulation, using a 20 MHz carrier would

have been impractical, as the time each bit was transmitted would have been so short that

the interference due to the delay spread on different paths of the signal would have

become dominant (Sauter, 2009).

21

Figure 2.7 shows how the input bits are first grouped and assigned for

transmission over different frequencies (subcarriers). For example, 4 bits (representing a

16-QAM modulation) are sent per transmission step per subcarrier. A transmission step is

also referred to as a symbol. With 64-QAM modulations, 6 bits are encoded in a single

symbol, raising the data rate further. On the other hand, encoding more bits in a single

symbol makes it harder for the receiver to decode the symbol if it was altered by

interference. This is the reason why different modulation schemes are used depending on

transmission conditions.

Figure 2.7: Principles of OFDMA for downlink transmission (Sauter, 2009).

22

In theory, each subcarrier signal could be generated by a separate transmission

chain hardware block. The output of these blocks would then have to be summed up and

the resulting signal could then be sent over the air. Because of the high number of

subcarriers used, this approach is not feasible. Instead, a mathematical approach is taken

as follows.

As each subcarrier is transmitted on a different frequency, a graph which shows

the frequency on the x-axis and the amplitude of each subcarrier on the y-axis can be

constructed. Then, a mathematical function called Inverse Fast Fourier Transformation

(IFFT) is applied, which transforms the diagram from the frequency domain to the time

domain. This diagram has the time on the x-axis and represents the same signal as would

have been generated by the separate transmission chains for each subcarrier when

summed up. The IFFT thus does exactly the same job as the separate transmission chains

for each subcarrier would do, including summing up the individual results.

On the receiver side, the signal is first demodulated and amplified. The result is

then treated by a Fast Fourier Transformation (FFT) function which converts the time

signal back into the frequency domain. This reconstructs the frequency/amplitude

diagram created at the transmitter. At the center frequency of each subcarrier a detector

function is then used to generate the bits originally used to create the subcarrier.

The explanation has so far covered the orthogonal frequency division aspect of

OFDMA transmissions. The Multiple Access (MA) part of the abbreviation refers to the

fact that the data sent in the downlink is received by several users simultaneously.

Control messages inform mobile devices waiting for data which part of the transmission

is addressed to them and which part they can ignore. This is, however, just a logical

separation. On the physical layer, this only requires that modulation schemes ranging

from QPSK over 16-QAM to 64-QAM can be quickly changed for different subcarriers

in order to accommodate the different reception conditions of subscribers (Sauter, 2009).

23

C- Downlink Capacity of LTE

Unlike Time Division Multiple Access (TDMA), OFDMA allows sharing resources

among multiple users accessing the system by allocating to a user only a fraction of the

total bandwidth therefore multiple users can transmit simultaneously on orthogonal

subcarriers. The transmissions from multiple users are orthogonal as long as the relative

delay between the received transmissions is within the Cyclic Prefix (CP) length. In

general, the CP length is several microseconds, to account for the multi-path delay

spread, and therefore makes the timing synchronization within the CP length feasible.

This is in contrast to synchronous WCDMA where sub-chip level synchronization

(generally a small fraction of a microsecond depending upon the chip rate) is required to

guarantee orthogonal transmissions (Khan, 2009). The uplink capacity limit for an

OFDMA system can be written as:

(2.8)

where βi is the fraction of bandwidth allocated to user i. For the case where the

bandwidth is equally divided among the K users transmitting simultaneously, P is

received power for a user, background noise N0 and f ratio between other-cell and own-

cell signal the above formula can be simplified as below:

(2.9)

http://en.wikipedia.org/wiki/Time_division_multiple_access

24

There is no intra-cell (multiple access) interference or Inter Symbol Interference

(ISI) due to orthogonal subcarriers used by different users and 1-tap OFDM subcarrier

equalization.

However, cyclic prefix (guard interval) overhead (typically around 10%) needs to

be taken into account for the OFDM case. Therefore, the capacity of an OFDMA system

can be scaled-down to account for CP overhead as below:

(2.10)

where Ts is the OFDM symbol duration and Δ is the cyclic prefix duration.

2.4.2 Uplink of Long Term Evolution

In the uplink, Single Carrier Frequency Division Multiple Access (SC-FDMA) is

selected due to its ability to provide similar advantages to OFDM, such as orthogonality

among users, frequency domain equalization, and robustness with respect to multipath

operation while maintaining a low power amplifier back-off or de-rating requirement

according to Khan (2009). The key characteristic of single-carrier transmission is that

each data symbol is transmitted using the entire allocated bandwidth. This is different

than OFDM, where each data symbol is transmitted using only one subcarrier.

In LTE, Discrete Fourier Transform–Spread–OFDM (DFT-S-OFDM) is used to

generate the SC-FDMA signal in the frequency domain as shown in Figure 2.8. Note that

generation of the SC-FDMA signal using DFT-S-OFDM is almost identical to that of

OFDM, with the exception of the additional M-point Discrete Fourier Transform (DFT).

Although DFT processing is more computationally intensive than the FFT, efficient

implementation for certain DFT sizes is available. Specifically, DFTs of prime length can

be calculated using efficient FFT algorithms. The method shown in Figure 2.8 generates

SC-FDMA signal in the frequency domain. This allows frequency-domain pulse shaping

to be applied prior to the IFFT to further reduce the cubic metric.

148

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