4G LTE/LTE-Advanced for Mobile Broadband

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1 4G LTE/LTE-Advanced for Mobile Broadband Erik Dahlman, Stefan Parkvall, and Johan Sköld ELSEVIER AMSTERDAM BOSTON HEIDELBERG LONDON NEW YORK OXFORD PARIS SAN DIEGO SAN FRANCISCO SINGAPORE SYDNEY TOKYO Academic Press is an imprint of Elsevier

2 Contents < Preface Acknowledgements Abbreviations and Acronyms xiii xv xvii CHAPTER 1 Background of LTE Introduction Evolution of Mobile Systems Before LTE The First 3G Standardization ITU Activities IMT-2000 and IMT-Advanced Spectrum for IMT Systems Drivers for LTE Standardization of LTE The Standardization Process The 3GPP Process The 3G Evolution to 4G 11 CHAPTER 2 High Data Rates in Mobile Communication High Data Rates: Fundamental Constraints High Data Rates in Noise-Limited Scenarios Higher Data Rates in Interference-Limited Scenarios Higher Data Rates Within a Limited Bandwidth: Higher-Order Modulation Higher-Order Modulation in Combination with Channel Coding Variations in Instantaneous Transmit Power Wider Bandwidth Including Multi-Carrier Transmission Multi-Carrier Transmission 23 CHAPTER 3 OFDM Transmission Basic Principles of OFDM OFDM Demodulation OFDM Implementation Using IFFT/FFT Processing Cyclic-Prefix Insertion Frequency-Domain Model of OFDM Transmission Channel Estimation and Reference Symbols Frequency Diversity with OFDM: Importance of Channel Coding 36 V

3 vi Contents 3.8 Selection of Basic OFDM Parameters OFDM Subcarrier Spacing Number of Subcarriers Cyclic-Prefix Length Variations in Instantaneous Transmission Power OFDM as a User-Multiplexing and Multiple-Access Scheme Multi-Cell Broadcast/Multicast Transmission and OFDM 43 CHAPTER 4 Wider-Band "Single-Carrier" Transmission Equalization Against Radio-Channel Frequency Selectivity Time-Domain Linear Equalization Frequency-Domain Equalization Other Equalizer Strategies Uplink FDMA with Flexible Bandwidth Assignment DFT-Spread OFDM Basic Principles DFTS-OFDM Receiver User Multiplexing with DFTS-OFDM Distributed DFTS-OFDM 55 CHAPTER 5 Multi-Antenna Techniques Multi-Antenna Configurations Benefits of Multi-Antenna Techniques Multiple Receive Antennas Multiple Transmit Antennas Transmit-Antenna Diversity Transmitter-Side Beam-Forming Spatial Multiplexing Basic Principles Precoder-Based Spatial Multiplexing Nonlinear Receiver Processing 75 CHAPTER 6 Scheduling, Link Adaptation, and Hybrid ARQ Link Adaptation: Power and Rate Control Channel-Dependent Scheduling Downlink Scheduling Uplink Scheduling Link Adaptation and Channel-Dependent Scheduling in the Frequency Domain Acquiring on Channel-State Information Traffic Behavior and Scheduling 88

4 Contents vii 6.3 Advanced Retransmission Schemes Hybrid ARQ with Soft Combining 90 CHAPTER 7 LTE Radio Access: An Overview Basic Principles Transmission Scheme Channel-Dependent Scheduling and Rate Adaptation Inter-Cell Interference Coordination Hybrid ARQ with Soft Combining Multi-Antenna Transmission Spectrum Flexibility LTE Release Multicast and Broadcast Support Positioning Dual-Layer Beam-Forming LTE Release 10 and IMT-Advanced Carrier Aggregation Extended Multi-Antenna Transmission Relaying Heterogeneous Deployments Terminal Capabilities 105 CHAPTER 8 Radio-Interface Architecture Overall System Architecture Core Network Radio-Access Network Radio Protocol Architecture Radio-Link Control Medium-Access Control Physical Layer Control-Plane Protocols State Machine 125 CHAPTER 9 Physical Transmission Resources Overall Time-Frequency Structure Normal Subframes and MBSFN Subframes Carrier Aggregation Frequency-Domain Location of LTE Carriers Duplex Schemes Frequency-Division Duplex (FDD) Time-Division Duplex (TDD) LTE and TD-SCDMA Coexistence 140

5 viii Contents CHAPTER 10 Downlink Physical-Layer Processing Transport-Channel Processing Processing Steps Localized and Distributed Resource Mapping Downlink Reference Signals Cell-Specific Reference Signals Demodulation Reference Signals CSI Reference Signals Multi-Antenna Transmission Transmit Diversity Codebook-Based Precoding Non-Codebook-Based Precoding Downlink Multi-User MIMO Downlink L1/L2 Control Signaling Physical Control Format Indicator Channel Physical Hybrid-ARQ Indicator Channel Physical Downlink Control Channel Downlink Scheduling Assignment Uplink Scheduling Grants Carrier Aggregation and Cross-Carrier Scheduling Power-Control Commands PDCCH Processing Blind Decoding of PDCCHs 199 CHAPTER 11 Uplink Physical-Layer Processing Transport-Channel Processing Processing Steps Mapping to the Physical Resource PUSCH Frequency Hopping Uplink Reference Signals Uplink Demodulation Reference Signals Uplink Sounding Reference Signals Uplink Multi-Antenna Transmission Precoder-Based Multi-Antenna Transmission for PUSCH Uplink Multi-User MIMO PUCCH Transmit Diversity Uplink L1/L2 Control Signaling Uplink L1/L2 Control Signaling on PUCCH Uplink L1/L2 Control Signaling on PUSCH Uplink Timing Alignment 245

6 Contents IX CHAPTER Retransmission Protocols 247 Hybrid ARQ with Soft Combining Downlink Hybrid ARQ Uplink Hybrid ARQ Hybrid-ARQ Timing 255 Radio-Link Control Segmentation, Concatenation, and Reassembly ofrlc SDUs RLC Retransmission In-Sequence Delivery RLC Operation 262 CHAPTER Power Control, Scheduling, and Interference Handling 265 Uplink Power Control Uplink Power Control - Some Basic Rules Power Control for PUCCH Power Control for PUSCH Power Control for SRS Power Headroom 271 Scheduling and Rate Adaptation Downlink Scheduling Uplink Scheduling Semi-Persistent Scheduling Scheduling for Half-Duplex FDD Channel-State Reporting Discontinuous Reception (DRX) and Component Carrier Deactivation 287 Inter-Cell Interference Coordination 290 Heterogeneous Network Deployments Interference Handling in a Heterogeneous Deployment Interference Coordination in the Case of Home-eNodeB 299 CHAPTER Access Procedures 301 Acquisition and Cell Search Overview of LTE Cell Search PSS Structure SSS Structure 304 System Information MIB and BCH Transmission System-Information Blocks 308

7 x Contents 14.3 Random Access Step 1: Random-Access Preamble Transmission Step 2: Random-Access Response Step 3: Terminal Identification Step 4: Contention Resolution Paging 319 CHAPTER 15 Multimedia Broadcast/Multicast Services Architecture Overall Channel Structure and Physical-Layer Processing Scheduling of MBMS Services 328 CHAPTER 16 Relaying Relays in LTE Overall Architecture Backhaul Design for Inband Relaying Access-Link Hybrid-ARQ Operation Backhaul-Link Hybrid-ARQ Operation Backhaul Downlink Control Signaling Reference Signals for the Backhaul Link Backhaul-Access Link Timing 342 CHAPTER 17 Spectrum and RF Characteristics Spectrum for LTE Spectrum Defined for IMT Systems by the ITU-R Frequency Bands for LTE New Frequency Bands Flexible Spectrum Use Flexible Channel Bandwidth Operation Carrier Aggregation for LTE Multi-Standard Radio Base Stations Overview of RF Requirements for LTE Transmitter Characteristics Receiver Characteristics Regional Requirements Band-Specific UE Requirements Through Network Signaling Base-Station Classes Output Power Level Requirements Base-Station Output Power and Dynamic Range UE Output Power and Dynamic Range 366

8 Contents xi 17.8 Transmitted Signal Quality EVM and Frequency Error UE In-Band Emissions Base-Station Time Alignment Unwanted Emissions Requirements Implementation Aspects Spectrum Emission Mask Adjacent Channel Leakage Ratio Spurious Emissions Occupied Bandwidth Transmitter Intermodulation Sensitivity and Dynamic Range Receiver Susceptibility to Interfering Signals 373 CHAPTER 18 Performance Performance Assessment End-User Perspective of Performance Operator Perspective Performance in Terms of Peak Data Rates and Latency Performance Evaluation of LTE-Advanced Models and Assumptions Evaluation Criteria Performance Numbers for FDD Performance Numbers for TDD Conclusion 387 CHAPTER 19 Other Wireless Communications Systems HSPA Architecture Channel-Dependent Scheduling Hybrid ARQ with Soft Combining Control-Plane Latency Reductions Spatial Multiplexing Carrier Aggregation UTRATDD GSM/EDGE Objectives for GSM/EDGE Evolution Dual-Antenna Terminals Multi-Carrier EDGE Reduced TTI and Fast Feedback Improved Modulation and Coding 400

9 xii Contents Higher Symbol Rates Voice Service over Adaptive Multi-User Channels CDMA2000 and HRPD/lx EV-DO CDMA2000 1x lx EV-DO Rev lx EV-DO Rev A lx EV-DO Rev В lx EV-DO Rev С IEEE e, Mobile WiMAX and m IEEE e and Mobile WiMAX IEEE m-WiMAX for IMT-Advanced Summary 409 CHAPTER 20 Final Thoughts Where to Go in the Future? Advanced Multi-Cell Coordination Network Energy Efficiency Machine-Type Communication New ways of Using Spectrum Direct Device-to-Device Communication Concluding Remarks 415 References 417 Index 423

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