LTE-Advanced LTE-Advanced A Practical Systems Approach to Understanding the 3GPP LTE Releases 10 and 11 Radio Access Technologies Sassan Ahmadi AMSTERDAM(cid:129)BOSTON(cid:129)HEIDELBERG(cid:129)LONDON NEWYORK(cid:129)OXFORD(cid:129)PARIS(cid:129)SANDIEGO SANFRANCISCO(cid:129)SINGAPORE(cid:129)SYDNEY(cid:129)TOKYO AcademicPressisanimprintofElsevier AcademicPressisanimprintofElsevier TheBoulevard,LangfordLane,Kidlington,Oxford,OX51GB,UK 225WymanStreet,Waltham,MA02451,USA 525BStreet,Suite1800,SanDiego,CA92101-4495,USA Copyrightr2014ElsevierInc.Allrightsreserved Nopartofthispublicationmaybereproduced,storedinaretrievalsystemortransmitted inanyformorbyanymeanselectronic,mechanical,photocopying,recordingorotherwise withoutthepriorwrittenpermissionofthepublisher. PermissionsmaybesoughtdirectlyfromElsevier’sScience&TechnologyRights DepartmentinOxford,UK:phone(144)(0)1865843830;fax(144)(0)1865853333; email:[email protected],visittheScienceandTechnologyBooks websiteatwww.elsevierdirect.com/rightsforfurtherinformation. Notice Noresponsibilityisassumedbythepublisherforanyinjuryand/ordamagetopersonsor propertyasamatterofproductsliability,negligenceorotherwise,orfromanyuseor operationofanymethods,products,instructionsorideascontainedinthematerialherein. Becauseofrapidadvancesinthemedicalsciences,inparticular,independentverification ofdiagnosesanddrugdosagesshouldbemade. BritishLibraryCataloguing-in-PublicationData AcataloguerecordforthisbookisavailablefromtheBritishLibrary LibraryofCongressCataloging-in-PublicationData AcatalogrecordforthisbookisavailablefromtheLibraryofCongress ISBN:978-0-12-405162-1 ForinformationonallAcademicPresspublications visitourwebsiteatelsevierdirect.com TypesetbyMPSLimited,Chennai,India www.adi-mps.com PrintedandboundinUnitedStatesofAmerica 14 15 16 10 9 8 7 6 5 4 3 2 1 Preface The past two decades have witnessed a phenomenal paradigm shift in the design methodology, and substantial improvement in the performance of mobile broad- band wireless access technologies. With the increasing consumer demand for diverse wireless multimedia and data applications, and mobile Internet, improved quality and increasing capacity of the wireless networks have become a priority for the standards development organizations such as 3GPP. 3GPP started the development of the evolved packet system in late 2004, which subsequently resulted in specification and standardization of a new OFDM-based radio access network and an IP-based core network in 3GPP Rel-8, which was further enhanced in the subsequent releases. LTE Rel-10 (i.e., LTE-Advanced) was sub- mitted as a candidate to ITU-R by 3GPP, and was selected as an IMT-Advanced technology in October 2010. The studies and research have continued in order to further advance and improve radio access technologies beyond LTE Rel-10 and HSPA Rel-10 by development of 3GPP Rel-11. The next generation of radio access technologies, informally referred to as systems beyond IMT-Advanced, are currently under investigation. Some of the main considerations in the design and development of new radio interfaces include higher spectral efficiency by using advanced multi-antenna technologies, carrier aggregation, distributed antenna sys- tems, heterogeneous networks and small cells, energy efficiency and green radios, as well as the use of cognitive radios and software-defined radios for more effi- cient and flexible use of the radio spectrum. The systems beyond IMT-Advanced will encompass the capabilities of previous generations, as well as new communi- cation schemes such as machine-to-machine, machine-to-person, and person-to- machine. The framework for development of IMT-Advanced and systems beyond IMT-Advanced can be viewed from multiple perspectives including the users, manufacturers, application developers, network operators, and service and content providers.From the user’s perspective, there is a demand for avarietyofservices, content, and applications whose capabilities will increase over time. The users expect services to be ubiquitously available through a variety of delivery mechan- isms and service providers using a variety of wireless devices. From a service provision perspective, the domains share some common characteristics. Wireless service provision is characterized by global mobile access (terminal and personal mobility), improved security and reliability, higher service quality, and access to personalized multimedia services, Internet, and location-based services via one or multiple user terminals. Multi-radio operation requires seamless interaction xv xvi Preface among systems in order for the user to be able to receive/transmit a variety of content via different delivery mechanisms, depending on the device capabilities, location, and mobility, as well as user profile. Different radio access systems can be interconnected via a flexible core network and appropriate interworking func- tions. In this way, a user can be connected through different radio access systems to the network and utilize the services. The interworking between different radio access systems in terms of horizontal or vertical handover and seamless connec- tivity with service negotiation, mobility, security, and quality of service manage- mentare key requirements of radio-agnostic networks. Similarity of services and applications across different radio access systems is beneficial not only to users, but also to network operators and content provi- ders, stimulating the current trend toward convergence. Furthermore, similar user experience across different radio access systems leads to large-scale adoption of products and services, common applications, and content. Access to a service or an application may be performed using one system, or may be performed using multiple systems simultaneously. The increasing predominance of IP-based appli- cations has been a key driver for the convergence trend in the core network and accessnetwork technologies. The evolution of legacy IMT-2000 systems and the IMT-Advanced systems has employed several new concepts and functionalities, including adaptive modulation and coding and link adaptation, OFDM-based multiple access schemes, single-/multi-user multi-antenna concepts and techniques, dynamic QoS control, mobility management and handover between heterogeneous radio interfaces (vertical and horizontal), robust packet transmission, error detection and correction, multi-user detection, and interference cancellation. Systems beyond IMT-Advanced may further utilize sophisticated schemes including software-defined radio and reconfigurableRFandbasebandprocessing,adaptiveradiointerface,mobileadhoc networks,routingalgorithms,andcooperativecommunication. This book provides an in-depth description of 3GPP Rel-10/11 standards from a systems engineering point of view. A unique top-down systems approach is used to identify and describe the functional and protocol components of the 3GPP Rel-10/11 radio access technologies, starting from the radio access and core net- work architecture and then continuing with the theory of operation, interfaces, and practical implementation and deployment considerations. The book contains the background theoretical information about the operation of mobile stations, base stations, and other radio interface nodes. The distinctive features of this book relative to similar publications include an organized and systems engineering approach, self-containment of the technical topics discussed in the book, in-depth description of the theoretical concepts, real-life implementation issues, and practical considerations using clear and unambiguous block diagrams, state diagrams, and signal flow graphs. Many articles, blogs, white papers, application notes, book chapters, and books have been published on the subject of LTE/LTE-Advanced and fourth gen- eration of cellular networks since 2004, varying from academic theses to network Preface xvii operator analyses and manufacturers’ application notes. By their very nature, these publications have viewed these subjects from one particular perspective whether it is academic, operational, or promotional/commercial. A very different and unique approach has been taken in this book, and that is a top-down systems approach to understanding the system operation and the design principles of the underlying functional components of fourth generation radio access networks. This book can be considered as the most up-to-date and complete technical refer- ence for the design of LTE/LTE-Advanced systems. In this book, the protocol layers and functional elements of LTE/LTE-Advanced radio access and core net- works are described. This book is a reflection of the author’s several years of participation in the inception, design and development, standardization, and implementation of LTE/ LTE-Advanced, as well as numerous books, articles, white papers, public presen- tations, public blogs and online notes, simulations, etc., that the author has come across and studied since 2004 about LTE/LTE-Advanced, along with the author’s 251 years of experience in communication theory, signal processing, systems engineering, and cellular communication. Acknowledgments The author would like to acknowledge and thank his friends in 3GPP, 3GPP2, ITU-R, and IEEE for their encouragement, consultation, and assistance in selec- tion ofthe content, as well aseditingand improvingthe quality ofthe chapters. The author would like to sincerely appreciate the Academic Press (Elsevier) publishingandeditorialstafffor providingthe authorwiththe opportunitytopub- lish this work and for their assistance, cooperation, patience, and understanding throughoutthisproject. Finally, the author is immeasurably grateful to his family for their unwavering encouragement, cooperation, support, patience, and understanding throughout this project. xix Abbreviations and Acronyms 3GPP 3rd generation partnership project AAA authorization,authentication,and accounting ABS almost blanksubframe AC accessclass ACIR adjacent channelinterference ratio ACK acknowledgment ACLR adjacent channelleakage ratio ADC analog todigital converter AF application function AM acknowledged mode AMBR aggregate maximum bitrate AMC adaptive modulationand coding ANR automatic neighbor relation AoA angleof arrival AoD angleof departure AP application protocol APN accesspoint name ARFCN absolute ratio frequency channel number ARP allocation andretentionpriority ARQ automatic repeat request AS accessstratum/angular spread AWGN additivewhite Gaussian noise BC broadcast channel (MU-MIMO) BCCH broadcast control channel BCH broadcast channel BER bit error rate BPSK binaryphase shiftkeying BSR buffer status report C/I carrier-to-interference ratio CA carrieraggregation CAZAC constant amplitudezero autocorrelation CBC cell broadcast center CBE cell broadcast entity CC component carrier CCE control channel element xxi xxii Abbreviations and Acronyms CCO cellchange order CDD cyclic delay diversity CDF cumulative distributionfunction CDM code division multiplexing CFI control format indicator CFO carrierfrequency offset CGI cellglobal identifier CIF carrierindicatorfield CM cubicmetric CMAS commercial mobile alert service CMC connection mobilitycontrol CoMP coordinated multi-point CP cyclic prefix CQI channelquality indicator CRC cyclic redundancy check CRE cellrange extension C-RNTI cellRNTI CRS cell-specific reference signal CSA common subframe allocation CSFB circuit-switched fallback CSG closedsubscriber group CSG ID closedsubscriber group identity CSI channelstate information CSI-IM CSI interference measurement CSI-RS CSI reference signal CSS CSG subscriber server DAC digitaltoanalog converter DAI downlink assignment index DCCH dedicated control channel DCI downlink control information DeNB donoreNB DFT-S-OFDM DFT spreadOFDM DL downlink DL TFT downlink traffic flowtemplate DL-SCH downlink shared channel DM-RS demodulation reference signal DoA direction of arrival DPC dirtypaper coding DRB data radiobearer DRX discontinuous reception DS-CDMA direct-sequence code division multiple access DTCH dedicated traffic channel DTX discontinuous transmission DwPTS downlink pilot time slot Abbreviations and Acronyms xxiii EAB extendedaccessbarring ECCE enhancedcontrol channelelement ECGI E-UTRAN cell global identifier E-CID enhancedcell-ID (positioningmethod) ECM EPS connection management ECN explicit congestionnotification eICIC enhancedinter-cell interference coordination EMM EPS mobility management eNB E-UTRAN node B/evolved nodeB EPC evolvedpacketcore ePDCCH enhancedphysical downlinkcontrol channel ePHR extendedpowerheadroomreport EPRE energyper resource element EPS evolvedpacketsystem E-RAB E-UTRAN radio access bearer eREG enhancedresource-element group E-SMLC evolvedservingmobilelocationcenter ETWS earthquake andtsunamiwarning system E-UTRA evolvedUTRA E-UTRAN evolvedUTRAN EVM error vector magnitude FDD frequency divisionduplex FDM frequency divisionmultiplexing FFT fast Fourier transform FSTD frequency switched transmit diversity FTP file transferprotocol GBR guaranteed bitrate GERAN GSM edge radio access network GGSN gateway GPRS support node GNSS globalnavigationsatellite system GP guard period GPS globalpositioning system GSM globalsystem for mobile communication GT guard time GTP GPRS tunneling protocol GUMMEI globallyunique MME identifier GUTI globallyunique temporary identifier GW gateway HARQ hybrid ARQ HeNB home eNB HeNB GW home eNB gateway HetNet heterogeneous network HFN hyper frame number HI HARQindicator