FM-P372533.tex 14/5/2007 20:30 Pagei 3GEVOLUTION:HSPAANDLTEFORMOBILEBROADBAND This page intentionally left blank FM-P372533.tex 14/5/2007 20:30 Pageiii 3G Evolution HSPA and LTE for Mobile Broadband ErikDahlman,StefanParkvall,JohanSköldandPerBeming AMSTERDAM • BOSTON (cid:129) HEIDELBERG (cid:129) LONDON (cid:129) NEW YORK (cid:129) OXFORD PARIS (cid:129) SAN DIEGO (cid:129) SAN FRANCISCO (cid:129) SINGAPORE (cid:129) SYDNEY (cid:129) TOKYO Academic Press is an imprint of Elsevier FM-P372533.tex 14/5/2007 20:30 Pageiv AcademicPressisanimprintofElsevier LinacreHouse,JordanHill,Oxford,OX28DP 84Theobald’sRoad,LondonWC1X8RR,UK 30CorporateDrive,Burlington,MA01803 525BStreet,Suite1900,SanDiego,California92101-4495,USA Firstedition2007 Copyright©2007.ErikDahlman,StefanParkvall,JohanSköldandPerBeming.PublishedbyElsevier Ltd.Allrightsreserved TherightofErikDahlman,StefanParkvall,JohanSköldandPerBemingtobeidentifiedastheauthors ofthisworkhasbeenassertedinaccordancewiththeCopyright,DesignsandPatentsAct1988 Nopartofthispublicationmaybereproduced,storedinaretrievalsystemortransmittedinanyformor byanymeanselectronic,mechanical,photocopying,recordingorotherwisewithoutthepriorwritten permissionofthepublisher PermissionmaybesoughtdirectlyfromElsevier’sScience&TechnologyRightsDepartmentinOxford, UK:phone(+44)(0)1865843830;fax(+44)(0)1865853333;email:[email protected]. AlternativelyyoucansubmityourrequestonlinebyvisitingtheElsevierwebsiteat http://elsevier.com/locate/permissions,andselectingObtainingpermissiontouseElseviermaterial Notice Noresponsibilityisassumedbythepublisherforanyinjuryand/ordamagetopersonsorpropertyasa matterofproductsliability,negligenceorotherwise,orfromanyuseoroperationofanymethods, products,instructionsorideascontainedinthematerialherein.Becauseofrapidadvancesinthemedical sciences,inparticular,independentverificationofdiagnosesanddrugdosagesshouldbemade BritishLibraryCataloguinginPublicationData 3Gevolution:HSPAandLTEformobilebroadband 1.Broadbandcommunicationsystems–Standards2.Mobile communicationsystems–Standards3.Cellulartelephone systems–Standards I.Dahlman,Erik 621.3’8456 LibraryofCongressNumber:2007925578 ISBN:9780123725332 ForinformationonallAcademicPresspublications visitourwebsiteatbooks.elsevier.com TypesetbyCharonTecLtd(AMacmillanCompany),Chennai,India, www.charontec.com PrintedandboundinGreatBritain 07 08 09 10 11 10 9 8 7 6 5 4 3 2 1 FM-P372533.tex 14/5/2007 20:30 Pagev Contents ListofFigures xiii ListofTables xxiii Preface xxv Acknowledgements xxvii ListofAcronyms xxix Part I: Introduction 1 Backgroundof3Gevolution 3 1.1 Historyandbackgroundof3G............................ ....... 3 1.1.1 Before3G............................................... 3 1.1.2 Early3Gdiscussions..................................... 5 1.1.3 Researchon3G.......................................... 6 1.1.4 3Gstandardizationstarts.................................. 7 1.2 Standardization................................................. 7 1.2.1 Thestandardizationprocess............................... 7 1.2.2 3GPP................................................... 8 1.2.3 IMT-2000activitiesinITU............................... 11 1.3 Spectrumfor3G............................................... 12 2 Themotivesbehindthe3Gevolution 17 2.1 Drivingforces................................................. 17 2.1.1 Technologyadvancements............................... 18 2.1.2 Services................................................ 19 2.1.3 Costandperformance................................... 21 2.2 3Gevolution:twoRadioAccessNetworkapproachesand anevolvedcorenetwork........................................ 23 2.2.1 RadioAccessNetworkevolution......................... 23 2.2.2 Aevolvedcorenetwork:SystemArchitecture Evolution.............................................. 26 Part II: Technologies for 3G Evolution 3 Highdataratesinmobilecommunication 31 3.1 Highdatarates:fundamentalconstraints ................... ...... 31 3.1.1 Highdataratesinnoise-limitedscenarios.................. 33 v FM-P372533.tex 14/5/2007 20:30 Pagevi vi Contents 3.1.2 Higherdataratesininterference-limitedscenarios.......... 35 3.2 Higherdatarateswithinalimitedbandwidth:higher-order modulation.................................................... 36 3.2.1 Higher-ordermodulationincombinationwith channelcoding......................................... 37 3.2.2 Variationsininstantaneoustransmitpower................. 38 3.3 Widerbandwidthincludingmulti-carriertransmission............. 39 3.3.1 Multi-carriertransmission ......................... ...... 41 4 OFDMtransmission 45 4.1 BasicprinciplesofOFDM .................................... 45 4.2 OFDMdemodulation ......................................... 48 4.3 OFDMimplementationusingIFFT/FFTprocessing ....... ...... 48 4.4 Cyclic-prefixinsertion ........................................ 51 4.5 Frequency-domainmodelofOFDMtransmission ......... ...... 53 4.6 Channelestimationandreferencesymbols ................ ...... 54 4.7 FrequencydiversitywithOFDM:importanceofchannelcoding...... 55 4.8 SelectionofbasicOFDMparameters ........................... 57 4.8.1 OFDMsubcarrierspacing............................... 57 4.8.2 Numberofsubcarriers ........................... ...... 59 4.8.3 Cyclic-prefixlength.................................... 59 4.9 Variationsininstantaneoustransmissionpower .................. 60 4.10 OFDMasauser-multiplexingandmultiple-accessscheme ....... 61 4.11 Multi-cellbroadcast/multicasttransmissionandOFDM .......... 63 5 Wider-band‘single-carrier’transmission 67 5.1 Equalizationagainstradio-channelfrequencyselectivity ... ...... 67 5.1.1 Time-domainlinearequalization......................... 68 5.1.2 Frequency-domainequalization.......................... 70 5.1.3 Otherequalizerstrategies............................... 73 5.2 UplinkFDMAwithflexiblebandwidthassignment .............. 73 5.3 DFT-spreadOFDM ........................................... 75 5.3.1 Basicprinciples........................................ 75 5.3.2 DFTS-OFDMreceiver.................................. 78 5.3.3 UsermultiplexingwithDFTS-OFDM.................... 79 5.3.4 DFTS-OFDMwithspectrumshaping .............. ...... 80 5.3.5 DistributedDFTS-OFDM............................... 81 6 Multi-antennatechniques 83 6.1 Multi-antennaconfigurations .................................. 83 6.2 Benefitsofmulti-antennatechniques ........................... 84 6.3 Multiplereceiveantennas ..................................... 85 6.4 Multipletransmitantennas .................................... 90 FM-P372533.tex 14/5/2007 20:30 Pagevii Contents vii 6.4.1 Transmit-antennadiversity............................... 91 6.4.2 Transmitter-sidebeam-forming........................... 95 6.5 Spatialmultiplexing ........................................... 98 6.5.1 Basicprinciples......................................... 99 6.5.2 Pre-coder-basedspatialmultiplexing ....................102 6.5.3 Non-linearreceiverprocessing..........................104 7 Scheduling,linkadaptationandhybridARQ 107 7.1 Linkadaptation:Powerandratecontrol ........................108 7.2 Channel-dependentscheduling ................................109 7.2.1 Downlinkscheduling...................................110 7.2.2 Uplinkscheduling ................................ .....114 7.2.3 Linkadaptationandchannel-dependentscheduling inthefrequencydomain................................117 7.2.4 Acquiringonchannel-stateinformation ..................117 7.2.5 Trafficbehaviorandscheduling.........................119 7.3 Advancedretransmissionschemes .............................120 7.4 HybridARQwithsoftcombining ..............................121 Part III: HSPA 8 WCDMAevolution:HSPAandMBMS 129 8.1 WCDMA:briefoverview .....................................131 8.1.1 Overallarchitecture....................................131 8.1.2 Physicallayer .........................................134 8.1.3 Resourcehandlingandpacket-datasession...............139 9 High-SpeedDownlinkPacketAccess 141 9.1 Overview....................................................141 9.1.1 Shared-channeltransmission............................141 9.1.2 Channel-dependentscheduling..........................142 9.1.3 Ratecontrolandhigher-ordermodulation ................144 9.1.4 HybridARQwithsoftcombining........................144 9.1.5 Architecture...........................................144 9.2 DetailsofHSDPA ............................................146 9.2.1 HS-DSCH:inclusionoffeaturesinWCDMARelease5.....146 9.2.2 MAC-hsandphysical-layerprocessing...................149 9.2.3 Scheduling............................................151 9.2.4 Ratecontrol...........................................152 9.2.5 HybridARQwithsoftcombining........................155 9.2.6 Dataflow.............................................158 FM-P372533.tex 14/5/2007 20:30 Pageviii viii Contents 9.2.7 ResourcecontrolforHS-DSCH .........................159 9.2.8 Mobility..............................................162 9.2.9 UEcategories .................................... .....163 9.3 FinerdetailsofHSDPA .......................................164 9.3.1 HybridARQrevisited:physical-layerprocessing..........164 9.3.2 Interleavingandconstellationrearrangement..............168 9.3.3 HybridARQrevisited:protocoloperation................170 9.3.4 In-sequencedelivery ...................................171 9.3.5 MAC-hsheader........................................174 9.3.6 CQIandothermeanstoassessthedownlinkquality.......175 9.3.7 Downlinkcontrolsignaling:HS-SCCH ............. .....178 9.3.8 Downlinkcontrolsignaling:F-DPCH....................180 9.3.9 Uplinkcontrolsignaling:HS-DPCCH ...................181 10 EnhancedUplink 185 10.1 Overview..................................................185 10.1.1 Scheduling .................................. .....186 10.1.2 HybridARQwithsoftcombining...................188 10.1.3 Architecture ......................................189 10.2 DetailsofEnhancedUplink ............................ .....190 10.2.1 MAC-eandphysicallayerprocessing .......... .....193 10.2.2 Scheduling .................................. .....195 10.2.3 E-TFCselection...................................202 10.2.4 HybridARQwithsoftcombining...................203 10.2.5 Physicalchannelallocation.........................208 10.2.6 Powercontrol.....................................209 10.2.7 Dataflow.........................................210 10.2.8 ResourcecontrolforE-DCH .......................210 10.2.9 Mobility..........................................212 10.2.10 UEcategories.....................................212 10.3 FinerdetailsofEnhancedUplink.............................213 10.3.1 Scheduling–thesmallprint........................213 10.3.2 FurtherdetailsonhybridARQoperation.............222 10.3.3 Controlsignaling .................................229 11 MBMS:multimediabroadcastmulticastservices 239 11.1 Overview..................................................242 11.1.1 Macro-diversity...................................242 11.1.2 Application-levelcoding...........................245 11.2 DetailsofMBMS...........................................246 11.2.1 MTCH ...........................................246 11.2.2 MCCHandMICH ................................248 11.2.3 MSCH ...........................................249 FM-P372533.tex 14/5/2007 20:30 Pageix Contents ix 12 HSPAEvolution 251 12.1 MIMO ....................................................251 12.1.1 HSDPA-MIMOdatatransmission...................252 12.1.2 RatecontrolforHSDPA-MIMO....................255 12.1.3 Hybrid ARQ with soft combining for HSDPA- MIMO ...........................................256 12.1.4 ControlsignalingforHSDPA-MIMO ...............256 12.1.5 UEcapabilities....................................258 12.2 Higher-ordermodulation .............................. .....259 12.3 Continuouspacketconnectivity ..............................259 12.3.1 DTX–reducinguplinkoverhead....................261 12.3.2 DRX–reducingUEpowerconsumption.............263 12.3.3 HS-SCCH-lessoperation:downlinkoverhead reduction.........................................264 12.3.4 Controlsignaling .................................266 12.4 EnhancedCELL_FACHoperation ...........................266 12.5 Layer2protocolenhancements ..............................268 12.6 Advancedreceivers ........................................268 12.6.1 AdvancedUEreceiversspecifiedin3GPP ............269 12.6.2 Receiverdiversity(type1)...........................270 12.6.3 Chip-levelequalizersandsimilarreceivers(type2).....270 12.6.4 Combinationwithantennadiversity(type3)...........271 12.6.5 Interferencecancellation ............................272 12.7 Conclusion ................................................273 Part IV: LTE and SAE 13 LTEandSAE:introductionanddesigntargets 277 13.1 LTEdesigntargets .........................................278 13.1.1 Capabilities........................................278 13.1.2 Systemperformance................................279 13.1.3 Deployment-relatedaspects..........................281 13.1.4 Architectureandmigration..........................283 13.1.5 Radioresourcemanagement.........................284 13.1.6 Complexity........................................284 13.1.7 Generalaspects.....................................285 13.2 SAEdesigntargets .........................................285 14 LTEradioaccess:anoverview 289 14.1 Transmissionschemes:downlinkOFDManduplink SC-FDMA ................................................289 14.2 Channel-dependentschedulingandrateadaptation ............290 14.2.1 Downlinkscheduling .......................... .....291 14.2.2 Uplinkscheduling..................................292