Preface xxi
Acknowledgements xxiii
List of Abbreviations xxv
1 Introduction 1
1.1 Architectural Review of UMTS and GSM 1
1.1.1 High-Level Architecture 1
1.1.2 Architecture of the Radio Access Network 2
1.1.3 Architecture of the Core Network 4
1.1.4 Communication Protocols 5
1.2 History of Mobile Telecommunication Systems 6
1.2.1 From 1G to 3G 6
1.2.2 Third Generation Systems 7
1.3 The Need for LTE 8
1.3.1 The Growth of Mobile Data 8
1.3.2 Capacity of a Mobile Telecommunication System 9
1.3.3 Increasing the System Capacity 10
1.3.4 Additional Motivations 11
1.4 From UMTS to LTE 11
1.4.1 High-Level Architecture of LTE 11
1.4.2 Long-Term Evolution 12
1.4.3 System Architecture Evolution 13
1.4.4 LTE Voice Calls 14
1.4.5 The Growth of LTE 15
1.5 From LTE to LTE-Advanced 16
1.5.1 The ITU Requirements for 4G 16
1.5.2 Requirements of LTE-Advanced 16
1.5.3 4G Communication Systems 16
1.5.4 The Meaning of 4G 17
1.6 The 3GPP Specifications for LTE 17
References 19
2 System Architecture Evolution 21
2.1 High-Level Architecture of LTE 21
2.2 User Equipment 21
2.2.1 Architecture of the UE 21
2.2.2 UE Capabilities 22
2.3 Evolved UMTS Terrestrial Radio Access Network 23
2.3.1 Architecture of the E-UTRAN 23
2.3.2 Transport Network 24
2.3.3 Small Cells and the Home eNB 25
2.4 Evolved Packet Core 25
2.4.1 Architecture of the EPC 25
2.4.2 Roaming Architecture 27
2.4.3 Network Areas 28
2.4.4 Numbering, Addressing and Identification 28
2.5 Communication Protocols 30
2.5.1 Protocol Model 30
2.5.2 Air Interface Transport Protocols 31
2.5.3 Fixed Network Transport Protocols 31
2.5.4 User Plane Protocols 32
2.5.5 Signalling Protocols 33
2.6 Example Signalling Flows 34
2.6.1 Access Stratum Signalling 34
2.6.2 Non-Access Stratum Signalling 35
2.7 Bearer Management 36
2.7.1 The EPS Bearer 36
2.7.2 Default and Dedicated Bearers 37
2.7.3 Bearer Implementation Using GTP 38
2.7.4 Bearer Implementation Using GRE and PMIP 39
2.7.5 Signalling Radio Bearers 39
2.8 State Diagrams 40
2.8.1 EPS Mobility Management 40
2.8.2 EPS Connection Management 40
2.8.3 Radio Resource Control 41
2.9 Spectrum Allocation 43
References 45
3 Digital Wireless Communications 49
3.1 Radio Transmission and Reception 49
3.1.1 Carrier Signal 49
3.1.2 Modulation Techniques 50
3.1.3 The Modulation Process 51
3.1.4 The Demodulation Process 53
3.1.5 Channel Estimation 55
3.1.6 Bandwidth of the Modulated Signal 55
3.2 Radio Transmission in a Mobile Cellular Network 56
3.2.1 Multiple Access Techniques 56
3.2.2 FDD and TDD Modes 56
3.3 Impairments to the Received Signal 58
3.3.1 Propagation Loss 58
3.3.2 Noise and Interference 58
3.3.3 Multipath and Fading 58
3.3.4 Inter-symbol Interference 60
3.4 Error Management 61
3.4.1 Forward Error Correction 61
3.4.2 Automatic Repeat Request 62
3.4.3 Hybrid ARQ 63
References 65
4 Orthogonal Frequency Division Multiple Access 67
4.1 Principles of OFDMA 67
4.1.1 Sub-carriers 67
4.1.2 The OFDM Transmitter 68
4.1.3 The OFDM Receiver 70
4.1.4 The Fast Fourier Transform 72
4.1.5 Block Diagram of OFDMA 72
4.1.6 Details of the Fourier Transform 73
4.2 Benefits and Additional Features of OFDMA 75
4.2.1 Orthogonal Sub-carriers 75
4.2.2 Choice of Sub-carrier Spacing 75
4.2.3 Frequency-Specific Scheduling 77
4.2.4 Reduction of Inter-symbol Interference 78
4.2.5 Cyclic Prefix Insertion 79
4.2.6 Choice of Symbol Duration 80
4.2.7 Fractional Frequency Re-use 81
4.3 Single Carrier Frequency Division Multiple Access 82
4.3.1 Power Variations From OFDMA 82
4.3.2 Block Diagram of SC-FDMA 83
References 85
5 Multiple Antenna Techniques 87
5.1 Diversity Processing 87
5.1.1 Receive Diversity 87
5.1.2 Closed Loop Transmit Diversity 88
5.1.3 Open Loop Transmit Diversity 89
5.2 Spatial Multiplexing 90
5.2.1 Principles of Operation 90
5.2.2 Open Loop Spatial Multiplexing 92
5.2.3 Closed Loop Spatial Multiplexing 94
5.2.4 Matrix Representation 96
5.2.5 Implementation Issues 99
5.2.6 Multiple User MIMO 99
5.3 Beamforming 101
5.3.1 Principles of Operation 101
5.3.2 Beam Steering 102
5.3.3 Downlink Multiple User MIMO Revisited 103
References 104
6 Architecture of the LTE Air Interface 105
6.1 Air Interface Protocol Stack 105
6.2 Logical, Transport and Physical Channels 107
6.2.1 Logical Channels 107
6.2.2 Transport Channels 107
6.2.3 Physical Data Channels 108
6.2.4 Control Information 109
6.2.5 Physical Control Channels 110
6.2.6 Physical Signals 111
6.2.7 Information Flows 111
6.3 The Resource Grid 111
6.3.1 Slot Structure 111
6.3.2 Frame Structure 113
6.3.3 Uplink Timing Advance 115
6.3.4 Resource Grid Structure 116
6.3.5 Bandwidth Options 117
6.4 Multiple Antenna Transmission 118
6.4.1 Downlink Antenna Ports 118
6.4.2 Downlink Transmission Modes 119
6.5 Resource Element Mapping 119
6.5.1 Downlink Resource Element Mapping 119
6.5.2 Uplink Resource Element Mapping 121
References 123
7 Cell Acquisition 125
7.1 Acquisition Procedure 125
7.2 Synchronization Signals 126
7.2.1 Physical Cell Identity 126
7.2.2 Primary Synchronization Signal 127
7.2.3 Secondary Synchronization Signal 128
7.3 Downlink Reference Signals 128
7.4 Physical Broadcast Channel 129
7.5 Physical Control Format Indicator Channel 130
7.6 System Information 131
7.6.1 Organization of the System Information 131
7.6.2 Transmission and Reception of the System Information 133
7.7 Procedures after Acquisition 133
References 134
8 Data Transmission and Reception 135
8.1 Data Transmission Procedures 135
8.1.1 Downlink Transmission and Reception 135
8.1.2 Uplink Transmission and Reception 137
8.1.3 Semi Persistent Scheduling 139
8.2 Transmission of Scheduling Messages on the PDCCH 139
8.2.1 Downlink Control Information 139
8.2.2 Resource Allocation 140
8.2.3 Example: DCI Format 1 141
8.2.4 Radio Network Temporary Identifiers 142
8.2.5 Transmission and Reception of the PDCCH 143
8.3 Data Transmission on the PDSCH and PUSCH 144
8.3.1 Transport Channel Processing 144
8.3.2 Physical Channel Processing 146
8.4 Transmission of Hybrid ARQ Indicators on the PHICH 148
8.4.1 Introduction 148
8.4.2 Resource Element Mapping of the PHICH 148
8.4.3 Physical Channel Processing of the PHICH 149
8.5 Uplink Control Information 149
8.5.1 Hybrid ARQ Acknowledgements 149
8.5.2 Channel Quality Indicator 150
8.5.3 Rank Indication 151
8.5.4 Precoding Matrix Indicator 151
8.5.5 Channel State Reporting Mechanisms 151
8.5.6 Scheduling Requests 152
8.6 Transmission of Uplink Control Information on the PUCCH 153
8.6.1 PUCCH Formats 153
8.6.2 PUCCH Resources 154
8.6.3 Physical Channel Processing of the PUCCH 155
8.7 Uplink Reference Signals 155
8.7.1 Demodulation Reference Signal 155
8.7.2 Sounding Reference Signal 156
8.8 Power Control 157
8.8.1 Uplink Power Calculation 157
8.8.2 Uplink Power Control Commands 158
8.8.3 Downlink Power Control 159
8.9 Discontinuous Reception 159
8.9.1 Discontinuous Reception and Paging in RRC_IDLE 159
8.9.2 Discontinuous Reception in RRC_CONNECTED 159
References 161
9 Random Access 163
9.1 Transmission of Random Access Preambles on the PRACH 163
9.1.1 Resource Element Mapping 163
9.1.2 Preamble Sequence Generation 165
9.1.3 Signal Transmission 165
9.2 Non-Contention-Based Procedure 166
9.3 Contention-Based Procedure 167
References 169
10 Air Interface Layer 2 171
10.1 Medium Access Control Protocol 171
10.1.1 Protocol Architecture 171
10.1.2 Timing Advance Commands 173
10.1.3 Buffer Status Reporting 173
10.1.4 Power Headroom Reporting 173
10.1.5 Multiplexing and De-multiplexing 174
10.1.6 Logical Channel Prioritization 174
10.1.7 Scheduling of Transmissions on the Air Interface 175
10.2 Radio Link Control Protocol 176
10.2.1 Protocol Architecture 176
10.2.2 Transparent Mode 177
10.2.3 Unacknowledged Mode 177
10.2.4 Acknowledged Mode 178
10.3 Packet Data Convergence Protocol 180
10.3.1 Protocol Architecture 180
10.3.2 Header Compression 180
10.3.3 Prevention of Packet Loss during Handover 182
References 183
11 Power-On and Power-Off Procedures 185
11.1 Power-On Sequence 185
11.2 Network and Cell Selection 187
11.2.1 Network Selection 187
11.2.2 Closed Subscriber Group Selection 187
11.2.3 Cell Selection 188
11.3 RRC Connection Establishment 189
11.3.1 Basic Procedure 189
11.3.2 Relationship with Other Procedures 190
11.4 Attach Procedure 191
11.4.1 IP Address Allocation 191
11.4.2 Overview of the Attach Procedure 192
11.4.3 Attach Request 192
11.4.4 Identification and Security Procedures 194
11.4.5 Location Update 195
11.4.6 Default Bearer Creation 196
11.4.7 Attach Accept 197
11.4.8 Default Bearer Update 198
11.5 Detach Procedure 199
References 200
12 Security Procedures 203
12.1 Network Access Security 203
12.1.1 Security Architecture 203
12.1.2 Key Hierarchy 204
12.1.3 Authentication and Key Agreement 205
12.1.4 Security Activation 207
12.1.5 Ciphering 208
12.1.6 Integrity Protection 209
12.2 Network Domain Security 210
12.2.1 Security Protocols 210
12.2.2 Security in the Evolved Packet Core 210
12.2.3 Security in the Radio Access Network 211
References 212
13 Quality of Service, Policy and Charging 215
13.1 Policy and Charging Control 215
13.1.1 Quality of Service Parameters 215
13.1.2 Service Data Flows 217
13.1.3 Charging Parameters 218
13.1.4 Policy and Charging Control Rules 219
13.2 Policy and Charging Control Architecture 219
13.2.1 Basic PCC Architecture 219
13.2.2 Local Breakout Architecture 220
13.2.3 Architecture Using a PMIP Based S5/S8 220
13.2.4 Software Protocols 221
13.3 Session Management Procedures 222
13.3.1 IP-CAN Session Establishment 222
13.3.2 Mobile Originated SDF Establishment 223
13.3.3 Server Originated SDF Establishment 224
13.3.4 Dedicated Bearer Establishment 225
13.3.5 PDN Connectivity Establishment 226
13.3.6 Other Session Management Procedures 228
13.4 Data Transport in the Evolved Packet Core 228
13.4.1 Packet Handling at the PDN Gateway 228
13.4.2 Data Transport Using GTP 229
13.4.3 Differentiated Services 230
13.4.4 Multiprotocol Label Switching 231
13.4.5 Data Transport Using GRE and PMIP 231
13.5 Charging and Billing 231
13.5.1 High Level Architecture 231
13.5.2 Offline Charging 232
13.5.3 Online Charging 233
References 234
14 Mobility Management 237
14.1 Transitions between Mobility Management States 237
14.1.1 S1 Release Procedure 237
14.1.2 Paging Procedure 239
14.1.3 Service Request Procedure 239
14.2 Cell Reselection in RRC_IDLE 241
14.2.1 Objectives 241
14.2.2 Measurement Triggering on the Same LTE Frequency 241
14.2.3 Cell Reselection to the Same LTE Frequency 242
14.2.4 Measurement Triggering on a Different LTE Frequency 243
14.2.5 Cell Reselection to a Different LTE Frequency 244
14.2.6 Fast Moving Mobiles 244
14.2.7 Tracking Area Update Procedure 245
14.2.8 Network Reselection 246
14.3 Measurements in RRC_CONNECTED 247
14.3.1 Objectives 247
14.3.2 Measurement Procedure 247
14.3.3 Measurement Reporting 248
14.3.4 Measurement Gaps 249
14.4 Handover in RRC_CONNECTED 250
14.4.1 X2 Based Handover Procedure 250
14.4.2 Handover Variations 252
References 253
15 Inter-operation with UMTS and GSM 255
15.1 System Architecture 255
15.1.1 Architecture of the 2G/3G Packet Switched Domain 255
15.1.2 S3/S4-Based Inter-operation Architecture 257
15.1.3 Gn/Gp-Based Inter-operation Architecture 258
15.2 Power-On Procedures 259
15.3 Mobility Management in RRC_IDLE 259
15.3.1 Cell Reselection 259
15.3.2 Routing Area Update Procedure 260
15.3.3 Idle Mode Signalling Reduction 262
15.4 Mobility Management in RRC_CONNECTED 262
15.4.1 RRC Connection Release with Redirection 262
15.4.2 Measurement Procedures 264
15.4.3 Optimized Handover 265
References 268
16 Inter-operation with Non-3GPP Technologies 271
16.1 Generic System Architecture 271
16.1.1 Network-Based Mobility Architecture 271
16.1.2 Host-Based Mobility Architecture 273
16.1.3 Access Network Discovery and Selection Function 274
16.2 Generic Signalling Procedures 275
16.2.1 Overview of the Attach Procedure 275
16.2.2 Authentication and Key Agreement 276
16.2.3 PDN Connectivity Establishment 278
16.2.4 Radio Access Network Reselection 280
16.3 Inter-Operation with cdma2000 HRPD 280
16.3.1 System Architecture 280
16.3.2 Preregistration with cdma2000 281
16.3.3 Cell Reselection in RRC_IDLE 282
16.3.4 Measurements and Handover in RRC_CONNECTED 283
References 286
17 Self-Optimizing Networks 289
17.1 Self-Configuration of an eNB 289
17.1.1 Automatic Configuration of the Physical Cell Identity 289
17.1.2 Automatic Neighbour Relations 290
17.1.3 Random Access Channel Optimization 291
17.2 Inter-Cell Interference Coordination 292
17.3 Mobility Management 292
17.3.1 Mobility Load Balancing 292
17.3.2 Mobility Robustness Optimization 293
17.3.3 Energy Saving 295
17.4 Radio Access Network Information Management 295
17.4.1 Introduction 295
17.4.2 Transfer of System Information 296
17.4.3 Transfer of Self-Optimization Data 297
17.5 Drive Test Minimization 297
References 298
18 Enhancements in Release 9 301
18.1 Multimedia Broadcast/Multicast Service 301
18.1.1 Introduction 301
18.1.2 Multicast/Broadcast over a Single Frequency Network 302
18.1.3 Implementation of MBSFN in LTE 302
18.1.4 Architecture of MBMS 304
18.1.5 Operation of MBMS 305
18.2 Location Services 306
18.2.1 Introduction 306
18.2.2 Positioning Techniques 306
18.2.3 Location Service Architecture 307
18.2.4 Location Service Procedures 308
18.3 Other Enhancements in Release 9 309
18.3.1 Dual Layer Beamforming 309
18.3.2 Commercial Mobile Alert System 310
References 310
19 LTE-Advanced and Release 10 313
19.1 Carrier Aggregation 313
19.1.1 Principles of Operation 313
19.1.2 UE Capabilities 314
19.1.3 Scheduling 316
19.1.4 Data Transmission and Reception 316
19.1.5 Uplink and Downlink Feedback 317
19.1.6 Other Physical Layer and MAC Procedures 317
19.1.7 RRC Procedures 317
19.2 Enhanced Downlink MIMO 318
19.2.1 Objectives 318
19.2.2 Downlink Reference Signals 318
19.2.3 Downlink Transmission and Feedback 320
19.3 Enhanced Uplink MIMO 321
19.3.1 Objectives 321
19.3.2 Implementation 321
19.4 Relays 322
19.4.1 Principles of Operation 322
19.4.2 Relaying Architecture 323
19.4.3 Enhancements to the Air Interface 324
19.5 Heterogeneous Networks 324
19.5.1 Introduction 324
19.5.2 Enhanced Inter-Cell Interference Coordination 325
19.5.3 Enhancements to Self-Optimizing Networks 326
19.6 Traffic Offload Techniques 326
19.6.1 Local IP Access 326
19.6.2 Selective IP Traffic Offload 327
19.6.3 Multi-Access PDN Connectivity 327
19.6.4 IP Flow Mobility 329
19.7 Overload Control for Machine-Type Communications 330
References 331
20 Releases 11 and 12 333
20.1 Coordinated Multipoint Transmission and Reception 333
20.1.1 Objectives 333
20.1.2 Scenarios 334
20.1.3 CoMP Techniques 335
20.1.4 Standardization 336
20.1.5 Performance 337
20.2 Enhanced Physical Downlink Control Channel 337
20.3 Interference Avoidance for in Device Coexistence 338
20.4 Machine-Type Communications 339
20.4.1 Device Triggering 339
20.4.2 Numbering, Addressing and Identification 340
20.5 Mobile Data Applications 340
20.6 New Features in Release 12 341
20.6.1 Proximity Services and Device to Device Communications 341
20.6.2 Dynamic Adaptation of the TDD Configuration 342
20.6.3 Enhancements for Machine-Type Communications and Mobile Data 344
20.6.4 Traffic Offloading Enhancements 344
20.7 Release 12 Studies 345
20.7.1 Enhancements to Small Cells and Heterogeneous Networks 345
20.7.2 Elevation Beamforming and Full Dimension MIMO 346
References 346
21 Circuit Switched Fallback 349
21.1 Delivery of Voice and Text Messages over LTE 349
21.1.1 The Market for Voice and SMS 349
21.1.2 Third Party Voice over IP 350
21.1.3 The IP Multimedia Subsystem 351
21.1.4 VoLGA 351
21.1.5 Dual Radio Devices 352
21.1.6 Circuit Switched Fallback 353
21.2 System Architecture 353
21.2.1 Architecture of the 2G/3G Circuit Switched Domain 353
21.2.2 Circuit Switched Fallback Architecture 354
21.3 Attach Procedure 355
21.3.1 Combined EPS/IMSI Attach Procedure 355
21.3.2 Voice Domain Preference and UE Usage Setting 356
21.4 Mobility Management 357
21.4.1 Combined Tracking Area/Location Area Update Procedure 357
21.4.2 Alignment of Tracking Areas and Location Areas 357
21.4.3 Cell Reselection to UMTS or GSM 358
21.5 Call Setup 359
21.5.1 Mobile-Originated Call Setup using RRC Connection Release 359
21.5.2 Mobile Originated Call Setup using Handover 361
21.5.3 Signalling Messages in the Circuit Switched Domain 362
21.5.4 Mobile-Terminated Call Setup 363
21.5.5 Returning to LTE 364
21.6 SMS over SGs 365
21.6.1 System Architecture 365
21.6.2 SMS Delivery 365
21.7 Circuit Switched Fallback to cdma2000 1xRTT 366
21.8 Performance of Circuit Switched Fallback 367
References 368
22 VoLTE and the IP Multimedia Subsystem 371
22.1 Introduction 371
22.1.1 The IP Multimedia Subsystem 371
22.1.2 VoLTE 372
22.1.3 Rich Communication Services 372
22.2 Hardware Architecture of the IMS 373
22.2.1 High-Level Architecture 373
22.2.2 Call Session Control Functions 374
22.2.3 Application Servers 375
22.2.4 Home Subscriber Server 375
22.2.5 User Equipment 375
22.2.6 Relationship with LTE 376
22.2.7 Border Control Functions 377
22.2.8 Media Gateway Functions 378
22.2.9 Multimedia Resource Functions 379
22.2.10 Security Architecture 380
22.2.11 Charging Architecture 380
22.3 Signalling Protocols 381
22.3.1 Session Initiation Protocol 381
22.3.2 Session Description Protocol 382
22.3.3 Other Signalling Protocols 382
22.4 Service Provision in the IMS 382
22.4.1 Service Profiles 382
22.4.2 Media Feature Tags 383
22.4.3 The Multimedia Telephony Service for IMS 383
22.5 VoLTE Registration Procedure 384
22.5.1 Introduction 384
22.5.2 LTE Procedures 384
22.5.3 Contents of the REGISTER Request 385
22.5.4 IMS Registration Procedure 387
22.5.5 Routing of SIP Requests and Responses 388
22.5.6 Third-Party Registration with Application Servers 389
22.5.7 Subscription for Network-Initiated Deregistration 389
22.6 Call Setup and Release 390
22.6.1 Contents of the INVITE Request 390
22.6.2 Initial INVITE Request and Response 391
22.6.3 Acceptance of the Initial INVITE 393
22.6.4 Establishment of a Call to a Circuit Switched Network 396
22.6.5 Call Release 396
22.7 Access Domain Selection 397
22.7.1 Mobile-Originated Calls 397
22.7.2 Mobile-Terminated Calls 398
22.8 Single Radio Voice Call Continuity 398
22.8.1 Introduction 398
22.8.2 SRVCC Architecture 399
22.8.3 Attach, Registration and Call Setup Procedures 400
22.8.4 Handover Preparation 400
22.8.5 Updating the Remote Leg 401
22.8.6 Releasing the Source Leg 403
22.8.7 Handover Execution and Completion 403
22.8.8 Evolution of SRVCC 404
22.9 IMS Centralized Services 405
22.10 IMS Emergency Calls 406
22.10.1 Emergency Call Architecture 406
22.10.2 Emergency Call Setup Procedure 407
22.11 Delivery of SMS Messages over the IMS 408
22.11.1 SMS Architecture 408
22.11.2 Access Domain Selection 409
References 410
23 Performance of LTE and LTE-Advanced 413
23.1 Peak Data Rates of LTE and LTE-Advanced 413
23.1.1 Increase of the Peak Data Rate 413
23.1.2 Limitations on the Peak Data Rate 415
23.2 Coverage of an LTE Cell 416
23.2.1 Uplink Link Budget 416
23.2.2 Downlink Link Budget 418
23.2.3 Propagation Modelling 419
23.2.4 Coverage Estimation 420
23.3 Capacity of an LTE Cell 421
23.3.1 Capacity Estimation 421
23.3.2 Cell Capacity Simulations 422
23.4 Performance of Voice over IP 424
23.4.1 AMR Codec Modes 424
23.4.2 Transmission of AMR Frames on the Air Interface 425
23.4.3 Transmission of AMR Frames in the Fixed Network 426
References 427
Bibliography 429
Index 431
