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An introduction to LTE, 2nd edition

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AN INTRODUCTION
TO LTE

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AN INTRODUCTION
TO LTE
LTE, LTE-ADVANCED, SAE, VoLTE
AND 4G MOBILE COMMUNICATIONS
Second Edition
Christopher Cox

Director, Chris Cox Communications Ltd, UK

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This edition first published 2014
© 2014 John Wiley & Sons, Ltd
Registered office
John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, United Kingdom
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Library of Congress Cataloging-in-Publication Data
Cox, Christopher (Christopher Ian), 1965An introduction to LTE LTE, LTE-advanced, SAE, VoLTE and 4G mobile communications / Christopher Cox.
pages cm
Includes index.
ISBN 978-1-118-81803-9 (cloth)
1. Long-Term Evolution (Telecommunications) 2. Mobile communication systems – Standards. I. Title.
TK5103.48325.C693 2014
621.3845′ 6 – dc23
2014007432
A catalogue record for this book is available from the British Library.
ISBN:9781118818039
Set in 10/12 Times by Laserwords Private Limited, Chennai, India



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To my nieces, Louise and Zoe

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Contents
Preface

xxi

Acknowledgements

xxiii

List of Abbreviations
1
1.1

1.2

1.3

1.4

1.5

1.6

2
2.1

xxv

Introduction
Architectural Review of UMTS and GSM
1.1.1
High-Level Architecture
1.1.2
Architecture of the Radio Access Network
1.1.3
Architecture of the Core Network
1.1.4
Communication Protocols
History of Mobile Telecommunication Systems
1.2.1
From 1G to 3G
1.2.2
Third Generation Systems
The Need for LTE
1.3.1
The Growth of Mobile Data
1.3.2
Capacity of a Mobile Telecommunication System
1.3.3
Increasing the System Capacity
1.3.4
Additional Motivations
From UMTS to LTE
1.4.1
High-Level Architecture of LTE
1.4.2
Long-Term Evolution
1.4.3
System Architecture Evolution
1.4.4
LTE Voice Calls
1.4.5
The Growth of LTE
From LTE to LTE-Advanced
1.5.1
The ITU Requirements for 4G
1.5.2
Requirements of LTE-Advanced
1.5.3
4G Communication Systems
1.5.4
The Meaning of 4G
The 3GPP Specifications for LTE
References

1
1
1
2
4
5
6
6
7
8
8
9
10
11
11
11
12
13
14
15
16
16
16
16
17
17
19

System Architecture Evolution
High-Level Architecture of LTE

21
21

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viii

2.2

2.3

2.4

2.5

2.6

2.7

2.8

2.9

3
3.1

3.2

3.3

User Equipment
2.2.1
Architecture of the UE
2.2.2
UE Capabilities
Evolved UMTS Terrestrial Radio Access Network
2.3.1
Architecture of the E-UTRAN
2.3.2
Transport Network
2.3.3
Small Cells and the Home eNB
Evolved Packet Core
2.4.1
Architecture of the EPC
2.4.2
Roaming Architecture
2.4.3
Network Areas
2.4.4
Numbering, Addressing and Identification
Communication Protocols
2.5.1
Protocol Model
2.5.2
Air Interface Transport Protocols
2.5.3
Fixed Network Transport Protocols
2.5.4
User Plane Protocols
2.5.5
Signalling Protocols
Example Signalling Flows
2.6.1
Access Stratum Signalling
2.6.2
Non-Access Stratum Signalling
Bearer Management
2.7.1
The EPS Bearer
2.7.2
Default and Dedicated Bearers
2.7.3
Bearer Implementation Using GTP
2.7.4
Bearer Implementation Using GRE and PMIP
2.7.5
Signalling Radio Bearers
State Diagrams
2.8.1
EPS Mobility Management
2.8.2
EPS Connection Management
2.8.3
Radio Resource Control
Spectrum Allocation
References

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21
22
23
23
24
25
25
25
27
28
28
30
30
31
31
32
33
34
34
35
36
36
37
38
39
39
40
40
40
41
43
45

Digital Wireless Communications
Radio Transmission and Reception
3.1.1
Carrier Signal
3.1.2
Modulation Techniques
3.1.3
The Modulation Process
3.1.4
The Demodulation Process
3.1.5
Channel Estimation
3.1.6
Bandwidth of the Modulated Signal
Radio Transmission in a Mobile Cellular Network
3.2.1
Multiple Access Techniques
3.2.2
FDD and TDD Modes
Impairments to the Received Signal

49
49
49
50
51
53
55
55
56
56
56
58

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3.4

4
4.1

4.2

4.3

5
5.1

5.2

5.3

ix

3.3.1
Propagation Loss
3.3.2
Noise and Interference
3.3.3
Multipath and Fading
3.3.4
Inter-symbol Interference
Error Management
3.4.1
Forward Error Correction
3.4.2
Automatic Repeat Request
3.4.3
Hybrid ARQ
References

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58
58
60
61
61
62
63
65

Orthogonal Frequency Division Multiple Access
Principles of OFDMA
4.1.1
Sub-carriers
4.1.2
The OFDM Transmitter
4.1.3
The OFDM Receiver
4.1.4
The Fast Fourier Transform
4.1.5
Block Diagram of OFDMA
4.1.6
Details of the Fourier Transform
Benefits and Additional Features of OFDMA
4.2.1
Orthogonal Sub-carriers
4.2.2
Choice of Sub-carrier Spacing
4.2.3
Frequency-Specific Scheduling
4.2.4
Reduction of Inter-symbol Interference
4.2.5
Cyclic Prefix Insertion
4.2.6
Choice of Symbol Duration
4.2.7
Fractional Frequency Re-use
Single Carrier Frequency Division Multiple Access
4.3.1
Power Variations From OFDMA
4.3.2
Block Diagram of SC-FDMA
References

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67
67
68
70
72
72
73
75
75
75
77
78
79
80
81
82
82
83
85

Multiple Antenna Techniques
Diversity Processing
5.1.1
Receive Diversity
5.1.2
Closed Loop Transmit Diversity
5.1.3
Open Loop Transmit Diversity
Spatial Multiplexing
5.2.1
Principles of Operation
5.2.2
Open Loop Spatial Multiplexing
5.2.3
Closed Loop Spatial Multiplexing
5.2.4
Matrix Representation
5.2.5
Implementation Issues
5.2.6
Multiple User MIMO
Beamforming
5.3.1
Principles of Operation
5.3.2
Beam Steering

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87
87
88
89
90
90
92
94
96
99
99
101
101
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Contents

x

6
6.1
6.2

6.3

6.4

6.5

7
7.1
7.2

7.3
7.4
7.5
7.6

7.7

8
8.1

5.3.3
Downlink Multiple User MIMO Revisited
References

103
104

Architecture of the LTE Air Interface
Air Interface Protocol Stack
Logical, Transport and Physical Channels
6.2.1
Logical Channels
6.2.2
Transport Channels
6.2.3
Physical Data Channels
6.2.4
Control Information
6.2.5
Physical Control Channels
6.2.6
Physical Signals
6.2.7
Information Flows
The Resource Grid
6.3.1
Slot Structure
6.3.2
Frame Structure
6.3.3
Uplink Timing Advance
6.3.4
Resource Grid Structure
6.3.5
Bandwidth Options
Multiple Antenna Transmission
6.4.1
Downlink Antenna Ports
6.4.2
Downlink Transmission Modes
Resource Element Mapping
6.5.1
Downlink Resource Element Mapping
6.5.2
Uplink Resource Element Mapping
References

105
105
107
107
107
108
109
110
111
111
111
111
113
115
116
117
118
118
119
119
119
121
123

Cell Acquisition
Acquisition Procedure
Synchronization Signals
7.2.1
Physical Cell Identity
7.2.2
Primary Synchronization Signal
7.2.3
Secondary Synchronization Signal
Downlink Reference Signals
Physical Broadcast Channel
Physical Control Format Indicator Channel
System Information
7.6.1
Organization of the System Information
7.6.2
Transmission and Reception of the System Information
Procedures after Acquisition
References

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125
126
126
127
128
128
129
130
131
131
133
133
134

Data Transmission and Reception
Data Transmission Procedures
8.1.1
Downlink Transmission and Reception
8.1.2
Uplink Transmission and Reception

135
135
135
137

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8.2

8.3

8.4

8.5

8.6

8.7

8.8

8.9

9
9.1

9.2
9.3

xi

8.1.3
Semi Persistent Scheduling
Transmission of Scheduling Messages on the PDCCH
8.2.1
Downlink Control Information
8.2.2
Resource Allocation
8.2.3
Example: DCI Format 1
8.2.4
Radio Network Temporary Identifiers
8.2.5
Transmission and Reception of the PDCCH
Data Transmission on the PDSCH and PUSCH
8.3.1
Transport Channel Processing
8.3.2
Physical Channel Processing
Transmission of Hybrid ARQ Indicators on the PHICH
8.4.1
Introduction
8.4.2
Resource Element Mapping of the PHICH
8.4.3
Physical Channel Processing of the PHICH
Uplink Control Information
8.5.1
Hybrid ARQ Acknowledgements
8.5.2
Channel Quality Indicator
8.5.3
Rank Indication
8.5.4
Precoding Matrix Indicator
8.5.5
Channel State Reporting Mechanisms
8.5.6
Scheduling Requests
Transmission of Uplink Control Information on the PUCCH
8.6.1
PUCCH Formats
8.6.2
PUCCH Resources
8.6.3
Physical Channel Processing of the PUCCH
Uplink Reference Signals
8.7.1
Demodulation Reference Signal
8.7.2
Sounding Reference Signal
Power Control
8.8.1
Uplink Power Calculation
8.8.2
Uplink Power Control Commands
8.8.3
Downlink Power Control
Discontinuous Reception
8.9.1
Discontinuous Reception and Paging in RRC_IDLE
8.9.2
Discontinuous Reception in RRC_CONNECTED
References

139
139
139
140
141
142
143
144
144
146
148
148
148
149
149
149
150
151
151
151
152
153
153
154
155
155
155
156
157
157
158
159
159
159
159
161

Random Access
Transmission of Random Access Preambles on the PRACH
9.1.1
Resource Element Mapping
9.1.2
Preamble Sequence Generation
9.1.3
Signal Transmission
Non-Contention-Based Procedure
Contention-Based Procedure
References

163
163
163
165
165
166
167
169

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Contents

xii

10
10.1

10.2

10.3

11
11.1
11.2

11.3

11.4

11.5

12
12.1

Air Interface Layer 2
Medium Access Control Protocol
10.1.1 Protocol Architecture
10.1.2 Timing Advance Commands
10.1.3 Buffer Status Reporting
10.1.4 Power Headroom Reporting
10.1.5 Multiplexing and De-multiplexing
10.1.6 Logical Channel Prioritization
10.1.7 Scheduling of Transmissions on the Air Interface
Radio Link Control Protocol
10.2.1 Protocol Architecture
10.2.2 Transparent Mode
10.2.3 Unacknowledged Mode
10.2.4 Acknowledged Mode
Packet Data Convergence Protocol
10.3.1 Protocol Architecture
10.3.2 Header Compression
10.3.3 Prevention of Packet Loss during Handover
References

171
171
171
173
173
173
174
174
175
176
176
177
177
178
180
180
180
182
183

Power-On and Power-Off Procedures
Power-On Sequence
Network and Cell Selection
11.2.1 Network Selection
11.2.2 Closed Subscriber Group Selection
11.2.3 Cell Selection
RRC Connection Establishment
11.3.1 Basic Procedure
11.3.2 Relationship with Other Procedures
Attach Procedure
11.4.1 IP Address Allocation
11.4.2 Overview of the Attach Procedure
11.4.3 Attach Request
11.4.4 Identification and Security Procedures
11.4.5 Location Update
11.4.6 Default Bearer Creation
11.4.7 Attach Accept
11.4.8 Default Bearer Update
Detach Procedure
References

185
185
187
187
187
188
189
189
190
191
191
192
192
194
195
196
197
198
199
200

Security Procedures
Network Access Security
12.1.1 Security Architecture
12.1.2 Key Hierarchy
12.1.3 Authentication and Key Agreement

203
203
203
204
205

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12.2

13
13.1

13.2

13.3

13.4

13.5

14
14.1

14.2

xiii

12.1.4 Security Activation
12.1.5 Ciphering
12.1.6 Integrity Protection
Network Domain Security
12.2.1 Security Protocols
12.2.2 Security in the Evolved Packet Core
12.2.3 Security in the Radio Access Network
References

207
208
209
210
210
210
211
212

Quality of Service, Policy and Charging
Policy and Charging Control
13.1.1 Quality of Service Parameters
13.1.2 Service Data Flows
13.1.3 Charging Parameters
13.1.4 Policy and Charging Control Rules
Policy and Charging Control Architecture
13.2.1 Basic PCC Architecture
13.2.2 Local Breakout Architecture
13.2.3 Architecture Using a PMIP Based S5/S8
13.2.4 Software Protocols
Session Management Procedures
13.3.1 IP-CAN Session Establishment
13.3.2 Mobile Originated SDF Establishment
13.3.3 Server Originated SDF Establishment
13.3.4 Dedicated Bearer Establishment
13.3.5 PDN Connectivity Establishment
13.3.6 Other Session Management Procedures
Data Transport in the Evolved Packet Core
13.4.1 Packet Handling at the PDN Gateway
13.4.2 Data Transport Using GTP
13.4.3 Differentiated Services
13.4.4 Multiprotocol Label Switching
13.4.5 Data Transport Using GRE and PMIP
Charging and Billing
13.5.1 High Level Architecture
13.5.2 Offline Charging
13.5.3 Online Charging
References

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215
215
217
218
219
219
219
220
220
221
222
222
223
224
225
226
228
228
228
229
230
231
231
231
231
232
233
234

Mobility Management
Transitions between Mobility Management States
14.1.1 S1 Release Procedure
14.1.2 Paging Procedure
14.1.3 Service Request Procedure
Cell Reselection in RRC_IDLE
14.2.1 Objectives

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239
241
241

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xiv

14.3

14.4

15
15.1

15.2
15.3

15.4

16
16.1

16.2

16.3

14.2.2 Measurement Triggering on the Same LTE Frequency
14.2.3 Cell Reselection to the Same LTE Frequency
14.2.4 Measurement Triggering on a Different LTE Frequency
14.2.5 Cell Reselection to a Different LTE Frequency
14.2.6 Fast Moving Mobiles
14.2.7 Tracking Area Update Procedure
14.2.8 Network Reselection
Measurements in RRC_CONNECTED
14.3.1 Objectives
14.3.2 Measurement Procedure
14.3.3 Measurement Reporting
14.3.4 Measurement Gaps
Handover in RRC_CONNECTED
14.4.1 X2 Based Handover Procedure
14.4.2 Handover Variations
References

241
242
243
244
244
245
246
247
247
247
248
249
250
250
252
253

Inter-operation with UMTS and GSM
System Architecture
15.1.1 Architecture of the 2G/3G Packet Switched Domain
15.1.2 S3/S4-Based Inter-operation Architecture
15.1.3 Gn/Gp-Based Inter-operation Architecture
Power-On Procedures
Mobility Management in RRC_IDLE
15.3.1 Cell Reselection
15.3.2 Routing Area Update Procedure
15.3.3 Idle Mode Signalling Reduction
Mobility Management in RRC_CONNECTED
15.4.1 RRC Connection Release with Redirection
15.4.2 Measurement Procedures
15.4.3 Optimized Handover
References

255
255
255
257
258
259
259
259
260
262
262
262
264
265
268

Inter-operation with Non-3GPP Technologies
Generic System Architecture
16.1.1 Network-Based Mobility Architecture
16.1.2 Host-Based Mobility Architecture
16.1.3 Access Network Discovery and Selection Function
Generic Signalling Procedures
16.2.1 Overview of the Attach Procedure
16.2.2 Authentication and Key Agreement
16.2.3 PDN Connectivity Establishment
16.2.4 Radio Access Network Reselection
Inter-Operation with cdma2000 HRPD
16.3.1 System Architecture
16.3.2 Preregistration with cdma2000

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273
274
275
275
276
278
280
280
280
281

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17
17.1

17.2
17.3

17.4

17.5

18
18.1

18.2

18.3

19
19.1

xv

16.3.3 Cell Reselection in RRC_IDLE
16.3.4 Measurements and Handover in RRC_CONNECTED
References

282
283
286

Self-Optimizing Networks
Self-Configuration of an eNB
17.1.1 Automatic Configuration of the Physical Cell Identity
17.1.2 Automatic Neighbour Relations
17.1.3 Random Access Channel Optimization
Inter-Cell Interference Coordination
Mobility Management
17.3.1 Mobility Load Balancing
17.3.2 Mobility Robustness Optimization
17.3.3 Energy Saving
Radio Access Network Information Management
17.4.1 Introduction
17.4.2 Transfer of System Information
17.4.3 Transfer of Self-Optimization Data
Drive Test Minimization
References

289
289
289
290
291
292
292
292
293
295
295
295
296
297
297
298

Enhancements in Release 9
Multimedia Broadcast/Multicast Service
18.1.1 Introduction
18.1.2 Multicast/Broadcast over a Single Frequency Network
18.1.3 Implementation of MBSFN in LTE
18.1.4 Architecture of MBMS
18.1.5 Operation of MBMS
Location Services
18.2.1 Introduction
18.2.2 Positioning Techniques
18.2.3 Location Service Architecture
18.2.4 Location Service Procedures
Other Enhancements in Release 9
18.3.1 Dual Layer Beamforming
18.3.2 Commercial Mobile Alert System
References

301
301
301
302
302
304
305
306
306
306
307
308
309
309
310
310

LTE-Advanced and Release 10
Carrier Aggregation
19.1.1 Principles of Operation
19.1.2 UE Capabilities
19.1.3 Scheduling
19.1.4 Data Transmission and Reception
19.1.5 Uplink and Downlink Feedback
19.1.6 Other Physical Layer and MAC Procedures

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313
314
316
316
317
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xvi

19.2

19.3

19.4

19.5

19.6

19.7

20
20.1

20.2
20.3
20.4

20.5
20.6

20.7

19.1.7 RRC Procedures
Enhanced Downlink MIMO
19.2.1 Objectives
19.2.2 Downlink Reference Signals
19.2.3 Downlink Transmission and Feedback
Enhanced Uplink MIMO
19.3.1 Objectives
19.3.2 Implementation
Relays
19.4.1 Principles of Operation
19.4.2 Relaying Architecture
19.4.3 Enhancements to the Air Interface
Heterogeneous Networks
19.5.1 Introduction
19.5.2 Enhanced Inter-Cell Interference Coordination
19.5.3 Enhancements to Self-Optimizing Networks
Traffic Offload Techniques
19.6.1 Local IP Access
19.6.2 Selective IP Traffic Offload
19.6.3 Multi-Access PDN Connectivity
19.6.4 IP Flow Mobility
Overload Control for Machine-Type Communications
References

317
318
318
318
320
321
321
321
322
322
323
324
324
324
325
326
326
326
327
327
329
330
331

Releases 11 and 12
Coordinated Multipoint Transmission and Reception
20.1.1 Objectives
20.1.2 Scenarios
20.1.3 CoMP Techniques
20.1.4 Standardization
20.1.5 Performance
Enhanced Physical Downlink Control Channel
Interference Avoidance for in Device Coexistence
Machine-Type Communications
20.4.1 Device Triggering
20.4.2 Numbering, Addressing and Identification
Mobile Data Applications
New Features in Release 12
20.6.1 Proximity Services and Device to Device Communications
20.6.2 Dynamic Adaptation of the TDD Configuration
20.6.3 Enhancements for Machine-Type Communications and Mobile Data
20.6.4 Traffic Offloading Enhancements
Release 12 Studies
20.7.1 Enhancements to Small Cells and Heterogeneous Networks
20.7.2 Elevation Beamforming and Full Dimension MIMO
References

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338
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xvii

21
21.1

Circuit Switched Fallback
Delivery of Voice and Text Messages over LTE
21.1.1 The Market for Voice and SMS
21.1.2 Third Party Voice over IP
21.1.3 The IP Multimedia Subsystem
21.1.4 VoLGA
21.1.5 Dual Radio Devices
21.1.6 Circuit Switched Fallback
System Architecture
21.2.1 Architecture of the 2G/3G Circuit Switched Domain
21.2.2 Circuit Switched Fallback Architecture
Attach Procedure
21.3.1 Combined EPS/IMSI Attach Procedure
21.3.2 Voice Domain Preference and UE Usage Setting
Mobility Management
21.4.1 Combined Tracking Area/Location Area Update Procedure
21.4.2 Alignment of Tracking Areas and Location Areas
21.4.3 Cell Reselection to UMTS or GSM
Call Setup
21.5.1 Mobile-Originated Call Setup using RRC Connection Release
21.5.2 Mobile Originated Call Setup using Handover
21.5.3 Signalling Messages in the Circuit Switched Domain
21.5.4 Mobile-Terminated Call Setup
21.5.5 Returning to LTE
SMS over SGs
21.6.1 System Architecture
21.6.2 SMS Delivery
Circuit Switched Fallback to cdma2000 1xRTT
Performance of Circuit Switched Fallback
References

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350
351
351
352
353
353
353
354
355
355
356
357
357
357
358
359
359
361
362
363
364
365
365
365
366
367
368

VoLTE and the IP Multimedia Subsystem
Introduction
22.1.1 The IP Multimedia Subsystem
22.1.2 VoLTE
22.1.3 Rich Communication Services
Hardware Architecture of the IMS
22.2.1 High-Level Architecture
22.2.2 Call Session Control Functions
22.2.3 Application Servers
22.2.4 Home Subscriber Server
22.2.5 User Equipment
22.2.6 Relationship with LTE
22.2.7 Border Control Functions
22.2.8 Media Gateway Functions
22.2.9 Multimedia Resource Functions

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375
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379

21.2

21.3

21.4

21.5

21.6

21.7
21.8

22
22.1

22.2

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xviii

22.2.10 Security Architecture
22.2.11 Charging Architecture
22.3 Signalling Protocols
22.3.1 Session Initiation Protocol
22.3.2 Session Description Protocol
22.3.3 Other Signalling Protocols
22.4 Service Provision in the IMS
22.4.1 Service Profiles
22.4.2 Media Feature Tags
22.4.3 The Multimedia Telephony Service for IMS
22.5 VoLTE Registration Procedure
22.5.1 Introduction
22.5.2 LTE Procedures
22.5.3 Contents of the REGISTER Request
22.5.4 IMS Registration Procedure
22.5.5 Routing of SIP Requests and Responses
22.5.6 Third-Party Registration with Application Servers
22.5.7 Subscription for Network-Initiated Deregistration
22.6 Call Setup and Release
22.6.1 Contents of the INVITE Request
22.6.2 Initial INVITE Request and Response
22.6.3 Acceptance of the Initial INVITE
22.6.4 Establishment of a Call to a Circuit Switched Network
22.6.5 Call Release
22.7 Access Domain Selection
22.7.1 Mobile-Originated Calls
22.7.2 Mobile-Terminated Calls
22.8 Single Radio Voice Call Continuity
22.8.1 Introduction
22.8.2 SRVCC Architecture
22.8.3 Attach, Registration and Call Setup Procedures
22.8.4 Handover Preparation
22.8.5 Updating the Remote Leg
22.8.6 Releasing the Source Leg
22.8.7 Handover Execution and Completion
22.8.8 Evolution of SRVCC
22.9 IMS Centralized Services
22.10 IMS Emergency Calls
22.10.1 Emergency Call Architecture
22.10.2 Emergency Call Setup Procedure
22.11 Delivery of SMS Messages over the IMS
22.11.1 SMS Architecture
22.11.2 Access Domain Selection
References

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Contents

23
23.1

23.2

23.3

23.4

xix

Performance of LTE and LTE-Advanced
Peak Data Rates of LTE and LTE-Advanced
23.1.1 Increase of the Peak Data Rate
23.1.2 Limitations on the Peak Data Rate
Coverage of an LTE Cell
23.2.1 Uplink Link Budget
23.2.2 Downlink Link Budget
23.2.3 Propagation Modelling
23.2.4 Coverage Estimation
Capacity of an LTE Cell
23.3.1 Capacity Estimation
23.3.2 Cell Capacity Simulations
Performance of Voice over IP
23.4.1 AMR Codec Modes
23.4.2 Transmission of AMR Frames on the Air Interface
23.4.3 Transmission of AMR Frames in the Fixed Network
References

413
413
413
415
416
416
418
419
420
421
421
422
424
424
425
426
427

Bibliography

429

Index

431

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Preface
This book is about the world’s dominant 4G mobile telecommunication system, LTE.
In writing the book, my aim has been to give the reader a concise, system level introduction
to the technology that LTE uses. The book covers the whole of the system, both the techniques
used for radio communication between the base station and the mobile phone, and the
techniques used to transfer data and signalling messages across the network. I have avoided
going into excessive detail, which is more appropriate for specialized treatments of individual
topics and for the LTE specifications themselves. Instead, I hope that the reader will come
away from this book with a sound understanding of the system and of the way in which its
different components interact. The reader will then be able to tackle the more advanced books
and the specifications with confidence.
The target audience is twofold. Firstly, I hope that the book will be valuable for engineers
who are working on LTE, notably those who are transferring from other technologies such as
GSM, UMTS and cdma2000, those who are experts in one part of LTE but who want to understand the system as a whole and those who are new to mobile telecommunications altogether.
Secondly, the book should give a valuable overview to those who are working in non technical
roles, such as project managers, marketing executives and intellectual property consultants.
Structurally, the book has four parts. The first part lays out the foundations that the reader
will need in the remainder of the book. Chapter 1 is an introduction, which relates LTE to
earlier mobile telecommunication systems and lays out its requirements and key technical
features. Chapter 2 covers the architecture of the system, notably the hardware components and
communication protocols that it contains and its use of radio spectrum. Chapter 3 reviews the
radio transmission techniques that LTE has inherited from earlier mobile telecommunication
systems, while Chapters 4 and 5 describe the more recent techniques of orthogonal frequency
division multiple access and multiple input multiple output antennas.
The second part of the book covers the air interface of LTE. Chapter 6 is a high level description of the air interface, while Chapter 7 relates the low level procedures that a mobile phone
uses when it switches on, to discover the LTE base stations that are nearby. Chapter 8 covers
the low level procedures that the base station and mobile phone use to transmit and receive
information, while Chapter 9 covers a specific procedure, random access, by which the mobile
phone can contact a base station without prior scheduling. Chapter 10 covers the higher level
parts of the air interface, namely the medium access control, radio link control and packet data
convergence protocols.
The third part covers the signalling procedures that govern how a mobile phone behaves.
In Chapter 11, we describe the high level procedures that a mobile phone uses when it
switches on, to register itself with the network and establish communications with the outside

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Preface

xxii

world. Chapter 12 covers the security procedures used by LTE, while Chapter 13 covers
the procedures that manage the quality of service and charging characteristics of a data
stream. Chapter 14 describes the mobility management procedures that the network uses to
keep track of the mobile’s location. Chapter 15 describes how LTE inter-operates with the
earlier technologies of GSM and UMTS, while Chapter 16 discusses inter-operation with
other technologies such as wireless local area networks and cdma2000. Chapter 17 covers the
self-configuration and self-optimization capabilities of LTE.
The final part covers more specialized topics. Chapters 18, 19 and 20 describe the enhancements that have been made to LTE in later releases of the specifications, notably an enhanced
version of the technology that is known as LTE-Advanced. Chapters 21 and 22 cover the two
most important solutions for the delivery of voice calls to LTE devices, namely circuit switched
fallback and the IP multimedia subsystem. Finally, Chapter 23 reviews the performance of
LTE and discusses the techniques that are used to estimate the coverage and capacity of an
LTE network.
LTE has a large number of acronyms, and it is hard to talk about the subject without using
them. However, they can make the material appear unnecessarily impenetrable to a newcomer,
so I have aimed to keep the use of acronyms to a reasonable minimum, often preferring the
full name or a colloquial one. There is a full list of abbreviations in the introductory material
and new terms are highlighted using italics throughout the text.
I have also endeavoured to keep the book’s mathematical content to the minimum needed
to understand the system. The LTE air interface makes extensive use of complex numbers,
Fourier transforms and matrix algebra, but the reader will not require any prior knowledge
of these in order to understand the book. We do make limited use of complex numbers in
Chapters 3 and 4 to illustrate our discussion of modulation, and introduce Fourier transforms
and matrices in subsections of Chapters 4 and 5 to cover the more advanced aspects of orthogonal frequency division multiple access and multiple antennas. Readers can, however, skip this
material without detracting from their overall appreciation of the subject.

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Acknowledgements
Many people have given me assistance, support and advice during the creation of this book.
I am especially grateful to Liz Wingett, Susan Barclay, Sophia Travis, Sandra Grayson, Mark
Hammond and the rest of the publishing team at John Wiley & Sons, Ltd for the expert knowledge and gentle encouragement that they have supplied throughout the production process.
I am indebted to Michael Salmon and Geoff Varrall for encouraging me to write the first edition of this book and to the publishing team at Wiley for requesting a second. The advice and
feedback I have received while preparing the manuscript have been invaluable and have given
me many opportunities to correct errors and improve the material. In this respect, I would particularly like to thank Jeff Cartwright, Joseph Hoy, Julian Nolan, Michael Salmon, Mohammad
Anas, Obi Chiemeka, Pete Doherty, Les Granfield, Karl van Heeswijk, Kit Kilgour and Paul
Mason. I am especially indebted to Nicola Rivers, for her support and encouragement throughout the preparation of the second edition. Naturally, the responsibility for any remaining errors
or omissions in the text, and for any lack of clarity in the explanations, is entirely my own.
Much of my knowledge of the more detailed aspects of LTE, notably of circuit switched fallback and the IP multimedia subsystem, has been gathered while delivering courses on behalf
of various training providers. I am indebted to the directors and staff of Imagicom, Informa
Telecoms Academy, Wray Castle and Mpirical, for the support and learning opportunities
that they have provided to me. I would also like to extend my thanks to the delegates who
have attended my training courses on LTE. Their questions and corrections have extended my
knowledge of the subject, while their feedback has regularly suggested ways to explain topics
more effectively.
Several diagrams in this book have been reproduced from the technical specifications for
LTE, with permission from the European Telecommunications Standards Institute (ETSI),
© 2013, 2012, 2011, 2010, 2006. 3GPP™ TSs and TRs are the property of ARIB, ATIS,
CCSA, ETSI, TTA and TTC who jointly own the copyright for them. They are subject to further modifications and are therefore provided to you ‘as is’ for information purposes only.
Further use is strictly prohibited.
Analysys Mason Limited kindly supplied the market research data underlying the illustrations of network traffic and operator revenue in Figures 1.6 and 21.1. I would like to extend my
appreciation to Hilary Bailey, Morgan Mullooly, Terry Norman and James Allen for providing this information. The measurements of network traffic in Figure 1.5 and the subscription
data underlying Figures 1.9 and 1.10 are by Ericsson, and I am grateful to Elin Pettersson and
Svante Bergqvist for making these available.

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