LTE for UMTSEvolution to LTE-AdvancedSecond Edition

LTE for UMTSEvolution to LTE-AdvancedSecond Edition

Edited by

Harri Holma and Antti ToskalaNokia Siemens Networks, Finland

A John Wiley and Sons, Ltd., Publication

This edition first published 2011 2011 John Wiley & Sons, Ltd

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Library of Congress Cataloging-in-Publication Data

LTE for UMTS : Evolution to LTE-Advanced / edited by Harri Holma, Antti Toskala. – Second Edition.p. cm

Includes bibliographical references and index.ISBN 978-0-470-66000-3 (hardback)1. Universal Mobile Telecommunications System. 2. Wireless communication systems – Standards. 3. Mobile

communication systems – Standards. 4. Global system for mobile communications. 5. Long-Term Evolution(Telecommunications) I. Holma, Harri (Harri Kalevi), 1970-II. Toskala, Antti. III. Title: Long Term Evolution forUniversal Mobile Telecommunications Systems.

TK5103.4883.L78 2011621.3845′6 – dc22

2010050375

A catalogue record for this book is available from the British Library.

Print ISBN: 9780470660003 (H/B)ePDF ISBN: 9781119992950oBook ISBN: 9781119992943ePub ISBN: 9781119992936

Typeset in 10/12 Times by Laserwords Private Limited, Chennai, India.

To Kiira and Eevi

– Harri Holma

To Lotta-Maria, Maija-Kerttu and Olli-Ville

– Antti Toskala

Contents

Preface xvii

Acknowledgements xix

List of Abbreviations xxi

1 Introduction 1Harry Holma and Antti Toskala

1.1 Mobile Voice Subscriber Growth 11.2 Mobile Data Usage Growth 11.3 Evolution of Wireline Technologies 31.4 Motivation and Targets for LTE 41.5 Overview of LTE 51.6 3GPP Family of Technologies 61.7 Wireless Spectrum 81.8 New Spectrum Identified by WRC-07 91.9 LTE-Advanced 10

2 LTE Standardization 13Antti Toskala

2.1 Introduction 132.2 Overview of 3GPP Releases and Process 132.3 LTE Targets 152.4 LTE Standardization Phases 162.5 Evolution Beyond Release 8 182.6 LTE-Advanced for IMT-Advanced 202.7 LTE Specifications and 3GPP Structure 20

References 21

3 System Architecture Based on 3GPP SAE 23Atte Lansisalmi and Antti Toskala

3.1 System Architecture Evolution in 3GPP 233.2 Basic System Architecture Configuration with only E-UTRAN

Access Network 253.2.1 Overview of Basic System Architecture Configuration 25

viii Contents

3.2.2 Logical Elements in Basic System ArchitectureConfiguration 26

3.2.3 Self-configuration of S1-MME and X2 Interfaces 353.2.4 Interfaces and Protocols in Basic System Architecture

Configuration 363.2.5 Roaming in Basic System Architecture Configuration 40

3.3 System Architecture with E-UTRAN and Legacy 3GPP Access Networks 413.3.1 Overview of 3GPP Inter-working System Architecture

Configuration 413.3.2 Additional and Updated Logical Elements in 3GPP

Inter-working System Architecture Configuration 423.3.3 Interfaces and Protocols in 3GPP Inter-working System

Architecture Configuration 443.3.4 Inter-working with Legacy 3GPP CS Infrastructure 45

3.4 System Architecture with E-UTRAN and Non-3GPP Access Networks 463.4.1 Overview of 3GPP and Non-3GPP Inter-working System

Architecture Configuration 463.4.2 Additional and Updated Logical Elements in 3GPP

Inter-working System Architecture Configuration 483.4.3 Interfaces and Protocols in Non-3GPP Inter-working System

Architecture Configuration 513.5 Inter-working with cdma2000 Access Networks 52

3.5.1 Architecture for cdma2000 HRPD Inter-working 523.5.2 Additional and Updated Logical Elements for cdma2000

HRPD Inter-working 543.5.3 Protocols and Interfaces in cdma2000 HRPD Inter-working 553.5.4 Inter-working with cdma2000 1xRTT 56

3.6 IMS Architecture 563.6.1 Overview 563.6.2 Session Management and Routing 583.6.3 Databases 593.6.4 Services Elements 593.6.5 Inter-working Elements 59

3.7 PCC and QoS 603.7.1 PCC 603.7.2 QoS 62References 65

4 Introduction to OFDMA and SC-FDMA and to MIMO in LTE 67Antti Toskala and Timo Lunttila

4.1 Introduction 674.2 LTE Multiple Access Background 674.3 OFDMA Basics 704.4 SC-FDMA Basics 764.5 MIMO Basics 804.6 Summary 82

References 82

Contents ix

5 Physical Layer 83Antti Toskala, Timo Lunttila, Esa Tiirola, Kari Hooli, Mieszko Chmieland Juha Korhonen

5.1 Introduction 835.2 Transport Channels and their Mapping to the Physical Channels 835.3 Modulation 855.4 Uplink User Data Transmission 865.5 Downlink User Data Transmission 905.6 Uplink Physical Layer Signaling Transmission 93

5.6.1 Physical Uplink Control Channel, PUCCH 945.6.2 PUCCH Configuration 985.6.3 Control Signaling on PUSCH 1025.6.4 Uplink Reference Signals 104

5.7 PRACH Structure 1095.7.1 Physical Random Access Channel 1095.7.2 Preamble Sequence 110

5.8 Downlink Physical Layer Signaling Transmission 1125.8.1 Physical Control Format Indicator Channel (PCFICH) 1125.8.2 Physical Downlink Control Channel (PDCCH) 1135.8.3 Physical HARQ Indicator Channel (PHICH) 1155.8.4 Cell-specific Reference Signal 1165.8.5 Downlink Transmission Modes 1175.8.6 Physical Broadcast Channel (PBCH) 1195.8.7 Synchronization Signal 120

5.9 Physical Layer Procedures 1205.9.1 HARQ Procedure 1215.9.2 Timing Advance 1225.9.3 Power Control 1235.9.4 Paging 1245.9.5 Random Access Procedure 1245.9.6 Channel Feedback Reporting Procedure 1275.9.7 Multiple Input Multiple Output (MIMO) Antenna

Technology 1325.9.8 Cell Search Procedure 1345.9.9 Half-duplex Operation 134

5.10 UE Capability Classes and Supported Features 1355.11 Physical Layer Measurements 136

5.11.1 eNodeB Measurements 1365.11.2 UE Measurements and Measurement Procedure 137

5.12 Physical Layer Parameter Configuration 1375.13 Summary 138

References 139

6 LTE Radio Protocols 141Antti Toskala, Woonhee Hwang and Colin Willcock

6.1 Introduction 1416.2 Protocol Architecture 141

x Contents

6.3 The Medium Access Control 1446.3.1 Logical Channels 1456.3.2 Data Flow in MAC Layer 146

6.4 The Radio Link Control Layer 1476.4.1 RLC Modes of Operation 1486.4.2 Data Flow in the RLC Layer 148

6.5 Packet Data Convergence Protocol 1506.6 Radio Resource Control (RRC) 151

6.6.1 UE States and State Transitions Including Inter-RAT 1516.6.2 RRC Functions and Signaling Procedures 1526.6.3 Self Optimization – Minimization of Drive Tests 167

6.7 X2 Interface Protocols 1696.7.1 Handover on X2 Interface 1696.7.2 Load Management 171

6.8 Understanding the RRC ASN.1 Protocol Definition 1726.8.1 ASN.1 Introduction 1726.8.2 RRC Protocol Definition 173

6.9 Early UE Handling in LTE 1826.10 Summary 183

References 183

7 Mobility 185Chris Callender, Harri Holma, Jarkko Koskela and Jussi Reunanen

7.1 Introduction 1857.2 Mobility Management in Idle State 186

7.2.1 Overview of Idle Mode Mobility 1867.2.2 Cell Selection and Reselection Process 1877.2.3 Tracking Area Optimization 189

7.3 Intra-LTE Handovers 1907.3.1 Procedure 1907.3.2 Signaling 1927.3.3 Handover Measurements 1957.3.4 Automatic Neighbor Relations 1957.3.5 Handover Frequency 1967.3.6 Handover Delay 197

7.4 Inter-system Handovers 1987.5 Differences in E-UTRAN and UTRAN Mobility 1997.6 Summary 201

References 201

8 Radio Resource Management 203Harri Holma, Troels Kolding, Daniela Laselva, Klaus Pedersen,Claudio Rosa and Ingo Viering

8.1 Introduction 2038.2 Overview of RRM Algorithms 2038.3 Admission Control and QoS Parameters 2048.4 Downlink Dynamic Scheduling and Link Adaptation 206

Contents xi

8.4.1 Layer 2 Scheduling and Link Adaptation Framework 2068.4.2 Frequency Domain Packet Scheduling 2068.4.3 Combined Time and Frequency Domain Scheduling Algorithms 2098.4.4 Packet Scheduling with MIMO 2118.4.5 Downlink Packet Scheduling Illustrations 211

8.5 Uplink Dynamic Scheduling and Link Adaptation 2168.5.1 Signaling to Support Uplink Link Adaptation and

Packet Scheduling 2198.5.2 Uplink Link Adaptation 2238.5.3 Uplink Packet Scheduling 223

8.6 Interference Management and Power Settings 2278.6.1 Downlink Transmit Power Settings 2278.6.2 Uplink Interference Coordination 228

8.7 Discontinuous Transmission and Reception (DTX/DRX) 2308.8 RRC Connection Maintenance 2338.9 Summary 233

References 234

9 Self Organizing Networks (SON) 237Krzysztof Kordybach, Seppo Hamalainen, Cinzia Sartoriand Ingo Viering

9.1 Introduction 2379.2 SON Architecture 2389.3 SON Functions 2419.4 Self-Configuration 241

9.4.1 Configuration of Physical Cell ID 2429.4.2 Automatic Neighbor Relations (ANR) 243

9.5 Self-Optimization and Self-Healing Use Cases 2449.5.1 Mobility Load Balancing (MLB) 2459.5.2 Mobility Robustness Optimization (MRO) 2489.5.3 RACH Optimization 2519.5.4 Energy Saving 2519.5.5 Summary of the Available SON Procedures 2529.5.6 SON Management 252

9.6 3GPP Release 10 Use Cases 2539.7 Summary 254

References 255

10 Performance 257Harri Holma, Pasi Kinnunen, Istvan Z. Kovacs, Kari Pajukoski,Klaus Pedersen and Jussi Reunanen

10.1 Introduction 25710.2 Layer 1 Peak Bit Rates 25710.3 Terminal Categories 26010.4 Link Level Performance 261

10.4.1 Downlink Link Performance 26110.4.2 Uplink Link Performance 262

xii Contents

10.5 Link Budgets 26510.6 Spectral Efficiency 270

10.6.1 System Deployment Scenarios 27010.6.2 Downlink System Performance 27310.6.3 Uplink System Performance 27510.6.4 Multi-antenna MIMO Evolution Beyond 2 × 2 27610.6.5 Higher Order Sectorization (Six Sectors) 28310.6.6 Spectral Efficiency as a Function of LTE Bandwidth 28510.6.7 Spectral Efficiency Evaluation in 3GPP 28610.6.8 Benchmarking LTE to HSPA 287

10.7 Latency 28810.7.1 User Plane Latency 288

10.8 LTE Refarming to GSM Spectrum 29010.9 Dimensioning 29110.10 Capacity Management Examples from HSPA Networks 293

10.10.1 Data Volume Analysis 29310.10.2 Cell Performance Analysis 297

10.11 Summary 299References 301

11 LTE Measurements 303Marilynn P. Wylie-Green, Harri Holma, Jussi Reunanenand Antti Toskala

11.1 Introduction 30311.2 Theoretical Peak Data Rates 30311.3 Laboratory Measurements 30511.4 Field Measurement Setups 30611.5 Artificial Load Generation 30711.6 Peak Data Rates in the Field 31011.7 Link Adaptation and MIMO Utilization 31111.8 Handover Performance 31311.9 Data Rates in Drive Tests 31511.10 Multi-user Packet Scheduling 31711.11 Latency 32011.12 Very Large Cell Size 32111.13 Summary 323

References 323

12 Transport 325Torsten Musiol

12.1 Introduction 32512.2 Protocol Stacks and Interfaces 325

12.2.1 Functional Planes 32512.2.2 Network Layer (L3) – IP 32712.2.3 Data Link Layer (L2) – Ethernet 32812.2.4 Physical Layer (L1) – Ethernet Over Any Media 32912.2.5 Maximum Transmission Unit Size Issues 330

Contents xiii

12.2.6 Traffic Separation and IP Addressing 33212.3 Transport Aspects of Intra-LTE Handover 33412.4 Transport Performance Requirements 335

12.4.1 Throughput (Capacity) 33512.4.2 Delay (Latency), Delay Variation (Jitter) 33812.4.3 TCP Issues 339

12.5 Transport Network Architecture for LTE 34012.5.1 Implementation Examples 34012.5.2 X2 Connectivity Requirements 34112.5.3 Transport Service Attributes 342

12.6 Quality of Service 34212.6.1 End-to-End QoS 34212.6.2 Transport QoS 343

12.7 Transport Security 34412.8 Synchronization from Transport Network 347

12.8.1 Precision Time Protocol 34712.8.2 Synchronous Ethernet 348

12.9 Base Station Co-location 34812.10 Summary 349

References 349

13 Voice over IP (VoIP) 351Harri Holma, Juha Kallio, Markku Kuusela, Petteri Lunden,Esa Malkamaki, Jussi Ojala and Haiming Wang

13.1 Introduction 35113.2 VoIP Codecs 35113.3 VoIP Requirements 35313.4 Delay Budget 35413.5 Scheduling and Control Channels 35413.6 LTE Voice Capacity 35713.7 Voice Capacity Evolution 36413.8 Uplink Coverage 36513.9 Circuit Switched Fallback for LTE 36813.10 Single Radio Voice Call Continuity (SR-VCC) 37013.11 Summary 372

References 373

14 Performance Requirements 375Andrea Ancora, Iwajlo Angelow, Dominique Brunel, Chris Callender,Harri Holma, Peter Muszynski, Earl Mc Cune and Laurent Noel

14.1 Introduction 37514.2 Frequency Bands and Channel Arrangements 375

14.2.1 Frequency Bands 37514.2.2 Channel Bandwidth 37814.2.3 Channel Arrangements 379

14.3 eNodeB RF Transmitter 38014.3.1 Operating Band Unwanted Emissions 381