![vi LTE Standards
1.4.1. LTE visualization tool from
Rohde and Schwartz . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
1.4.2. eUTRAN characteristics . . . . . . . . . . . . . . . . . . . . . 28
1.4.3. eUTRAN interfaces . . . . . . . . . . . . . . . . . . . . . . . . 30
1.4.4. Signaling on the radio path. . . . . . . . . . . . . . . . . . . . 35
1.4.5. Physical layer. . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
1.4.6. RLC and MAC layer . . . . . . . . . . . . . . . . . . . . . . . 49
1.4.7. Dynamic radio resource management in LTE. . . . . . . . . 51
1.4.8. MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
1.4.9. Macrocells, microcells and femtocells . . . . . . . . . . . . . 53
1.5. Core network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
1.5.1. LTE network elements . . . . . . . . . . . . . . . . . . . . . . 57
1.5.2. LTE interfaces [TS 23.401] . . . . . . . . . . . . . . . . . . . 59
1.5.3. Functional split between the
E-UTRAN and the EPC . . . . . . . . . . . . . . . . . . . . . . . . . 69
1.5.4. S1 interface-based handover . . . . . . . . . . . . . . . . . . . 70
1.6. LTE – roaming architecture. . . . . . . . . . . . . . . . . . . . . . 83
1.6.1. LTE network mobility management . . . . . . . . . . . . . . 87
1.7. SIM for communications privacy . . . . . . . . . . . . . . . . . . 89
1.7.1. SIM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
1.7.2. USIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
1.7.3. ISIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
1.8. Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
1.9. Appendix 1: Complete submission of
3GPP LTE release 10 and beyond (LTE-advanced)
under step 3 of the IMT-advanced process. . . . . . . . . . . . . . . . 98
1.9.1. Summary of the candidate submission . . . . . . . . . . . . . 98
1.9.2. Classification of the candidate submission . . . . . . . . . . 100
1.9.3. Detailed checklist for the required elements
for each candidate RIT within the composite SRIT
and/or for the composite SRIT of the candidate submission
(to fulfill section 3.1 of ITU-R Report M.2133) . . . . . . . . . . . 100
1.9.4. Additional supporting information . . . . . . . . . . . . . . . 102
1.9.5. Contact person . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
1.10. Appendix 2: GPRS Tunneling Protocol (GTP). . . . . . . . . . 102
1.11. Appendix 3: The SGW implementation by CISCO . . . . . . . 107
1.12. Appendix 4: AT&T has LTE small cells
“in the lab”: Source Dan Janes, Site Editor, Light
Reading mobile [JON 13]. . . . . . . . . . . . . . . . . . . . . . . . . . 110](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-12-320.jpg)
![Contents vii
CHAPTER 2. OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
2.1. What is OFDM/OFDMA?. . . . . . . . . . . . . . . . . . . . . . . 113
2.1.1. Claimed OFDMA advantages . . . . . . . . . . . . . . . . . . 115
2.1.2. Recognized disadvantages of OFDMA. . . . . . . . . . . . . 116
2.1.3. Characteristics and principles of operation . . . . . . . . . . 117
2.2. General principles . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
2.2.1. Cyclic prefixes . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
2.3. LTE channel: bandwidths and characteristics . . . . . . . . . . . 124
2.3.1. LTE OFDM cyclic prefix, CP . . . . . . . . . . . . . . . . . . 125
2.3.2. LTE OFDMA in the downlink. . . . . . . . . . . . . . . . . . 126
2.3.3. Downlink carriers and resource blocks. . . . . . . . . . . . . 127
2.3.4. LTE SC-FDMA in the uplink . . . . . . . . . . . . . . . . . . 128
2.3.5. Transmitter and receiver structure of
LP-OFDMA/SC-FDMA . . . . . . . . . . . . . . . . . . . . . . . . . 130
2.4. OFDM applied to LTE. . . . . . . . . . . . . . . . . . . . . . . . . 132
2.4.1. General facts . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
2.4.2. LTE downlink . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
2.4.3. Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
2.5. OFDMA in the LTE radio subsystem:
OFDMA and SCFDMA in LTE . . . . . . . . . . . . . . . . . . . . . . 138
2.5.1. The downlink physical-layer processing
of transport channels . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
2.5.2. Downlink multi-antenna transmission . . . . . . . . . . . . . 139
2.5.3. Uplink basic transmission scheme . . . . . . . . . . . . . . . 140
2.5.4. Physical-layer processing. . . . . . . . . . . . . . . . . . . . . 141
2.6. Appendix 1: the constraints of mobile radio . . . . . . . . . . . . 143
2.6.1. Doppler effect . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
2.6.2. Rayleigh/Rice fading . . . . . . . . . . . . . . . . . . . . . . . 145
2.6.3. Area of service . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
2.6.4. Shadow effect . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
2.7. Appendix 2: Example of OFDM/OFDMA
technological implementation Innovative DSP . . . . . . . . . . . . . 153
2.8. Appendix 3: LTE error correction on
the radio path [WIK 14d] . . . . . . . . . . . . . . . . . . . . . . . . . . 154
2.8.1. Hybrid ARQ with soft combining. . . . . . . . . . . . . . . . 156
2.9. Appendix 4: The 700 MHz frequencies
in the USA for LTE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
2.9.1. Upper and lower 700 MHz . . . . . . . . . . . . . . . . . . . . 158](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-13-320.jpg)
![xii LTE Standards
1.10. LTE interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.11. 3GPP image for eUTRAN . . . . . . . . . . . . . . . . . . . . . . 20
1.12. Tools from Rohde & Schwartz . . . . . . . . . . . . . . . . . . . 28
1.13. Description of eUTRAN with its interfaces. . . . . . . . . . . . 31
1.14. E-UTRAN architecture with HeNodeB
GW and HeNodeB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
1.15. X2 interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
1.16. This shows the enhancements in release
10 and release 11. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
1.17. Functional split between E-UTRAN and
EPC [3GPP TS 36.300] . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
1.18. Radio frequency protocol . . . . . . . . . . . . . . . . . . . . . . 36
1.19. User plane . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
1.20. Protocol stack for the control plane between
the UE and MME . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
1.21. Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
1.22. Token . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
1.23. Physical layer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
1.24. Signaling channel mapping . . . . . . . . . . . . . . . . . . . . . 48
1.25. Functions of the different layers . . . . . . . . . . . . . . . . . . 50
1.26. The protocol chain from IP packets to
transport blocks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
1.27. Optimization of the repartition of carriers. . . . . . . . . . . . . 51
1.28. Single-user MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . 52
1.29. MIMO signal processing. . . . . . . . . . . . . . . . . . . . . . . 52
1.30. Spatial multiplexing MIMO sector rate . . . . . . . . . . . . . . 53
1.31. Heterogeneous network (4G Americas) . . . . . . . . . . . . . . 53
1.32. Core network. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-18-320.jpg)
![evidence goes, it would appear that the Pre-Chellean culture did not
enter Europe directly from the east, or even along the northern
coast of the Mediterranean, but rather along the northern coast of
Africa,[W] where Chellean culture is recorded in association with
mammalian remains belonging to the middle Pleistocene Epoch.
The southernmost stations of Chellean culture at present known in
Europe are those of Torralba and San Isidro, in central Spain. In the
Department of the Gironde is the Chellean station of Marignac, and
it is not unlikely that other stations will be discovered in the same
region, because the Palæolithic races strongly favored the valleys of
the Dordogne and Garonne, but thus far this is the only station
known in southern France which represents this period of the dawn
of human culture.](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-58-320.jpg)
![In the Helin quarry near Spiennes(13) occur rude prototypes of the
Palæolithic coup de poing associated with numerous flakes which do
not greatly differ from those in the lowest river-gravels of St. Acheul;
there is a close correspondence in the workmanship of the two sites,
so that we may regard the Mesvinian of Rutot[X] as a culture stage
equivalent to the Pre-Chellean. The river-gravels and sands of Helin
which contain the implements also resemble those of St. Acheul in
their order of stratification. Of special interest is the fact that a
primitive flint from this Helin quarry, known as the 'borer,' is
strikingly similar to the 'Eolithic' borer found in the same layer with
the Piltdown skull in Sussex. By such indications as this, when
strengthened by further evidence of the same kind, we may be able
eventually to establish the date both of this Pre-Chellean or
Mesvinian culture and of the Piltdown race.
In considering the Pre-Chellean implements found at St. Acheul in
1906, we note(14) that at this dawning stage of human invention the
flint workers were not deliberately designing the form of their
implements but were dealing rather with the chance shapes of
shattered blocks of flint, seeking with a few well-directed blows to
produce a sharp point or a good cutting edge. This was the
beginning of the art of 'retouch,' which was done by means of light
blows with a second stone instead of the hammer-stone with which
the rough flakes were first knocked off. The retouch served a double
purpose: Its first and most important object was further to sharpen
the point or edge of the tool. This was done by chipping off small
flakes from the upper side, so as to give the flint a saw-like edge. Its
second object was to protect the hand of the user by blunting any
sharp edges or points which might prevent a firm grip of the
implement. Often the smooth, rounded end of the flint nodule, with
crust intact, is carefully preserved for this purpose (Fig. 61). It is this
grasping of the primitive tool by the hand to which the terms 'coup
de poing,' 'Faustkeil,' and 'hand-axe' refer. 'Hand-stone' is, perhaps,
the most fitting designation in our language, but it appears best to
retain the original French designation, coup de poing.](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-61-320.jpg)
![One Palæolithic
worked flint was found
in the middle of this
bed. Thickness = 2
feet, 6 inches.
3. Dark-brown gravel, with
flints, Pliocene rolled
fossils and
Eoanthropus skull,
beaver tooth, 'eoliths'
and one worked flint.
Thickness = 18 inches.
4. Pale-yellow clay and
sand. Thickness = 8
inches.
5. Undisturbed strata of
Wealden age.
The jaw appears to have been broken at the symphysis, and
somewhat abraded, perhaps after being caught in the gravel before
it was completely covered with sand. The fragments of the cranium
show little or no signs of stream rolling or other abrasion save an
incision caused by the workman's pick.
Analysis of the bones showed that the skull was in a condition of
fossilization, no gelatine or organic matter remained, and mingled
with a large proportion of the phosphates, originally present, was a
considerable proportion of iron.[Y]](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-68-320.jpg)
![Fig. 66. Eoliths found in or
near the Piltdown
gravel-pit. After
Dawson. One-half
actual size.
a. Borer (above).
b. Curved scraper (below).
The eoliths found in the gravel-pit and in the adjacent fields are of
the 'borer' and 'hollow-scraper' forms; also, some are of the
'crescent-shaped-scraper' type, mostly rolled and water-worn, as if
transported from a distance. This is a stream or river bed, not a
Palæolithic quarry.
There can be little doubt, however, that the Piltdown man belonged
to a period when the flint industry was in a very primitive stage,
antecedent to the true Chellean. It has subsequently been observed
that the gravel strata(3) containing the Piltdown man were deeper
than the higher stratum containing flints nearer the Chellean type.
The discovery of this skull aroused as great or greater interest even
than that attending the discovery of the two other 'river-drift' races,
the Trinil and the Heidelberg. In this discussion the most
distinguished anatomists of Great Britain, Arthur Smith Woodward,
Elliot Smith, and Arthur Keith, took part, and finally the original
pieces were re-examined by three anatomists of this country.[Z]](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-71-320.jpg)
![At first sight the brain-case resembles that of the Neanderthal skull
found at Gibraltar, which is supposed to be that of a woman; it is
relatively long, narrow, and especially flat, but it is smaller and
presents more primitive features than those of any known human
brain. Taking all these features into consideration, we must regard
this as being the most primitive and most ape-like human brain so
far recorded; one such as might reasonably be associated with a jaw
which presented such distinctive ape characters. The brain, however,
is far more human than the jaw, from which we may infer that the
evolution of the brain preceded that of the mandible, as well as the
development of beauty of the face and the human development of
the bodily characters in general.
The latest opinion of Smith Woodward[AA] is that the brain, while the
most primitive which has been discovered, had a bulk of nearly 1300
c.cm., equalling that of the smaller human brains of to-day and
surpassing that of the Australians, which rarely exceeds 1250 c.cm.
The original views of Smith Woodward and of Elliot Smith regarding
the relation of the Piltdown race to the Heidelberg and Neanderthal
races are also of very great interest and may be cited. First, the fact
that the Piltdown and Heidelberg races are almost of the same
geologic age proves that at the end of the Pliocene Epoch the
representatives of man in western Europe had already branched into
widely divergent groups: the one (Heidelberg-Neanderthal)
characterized by a very low projecting forehead, with a subhuman
head of Neanderthaloid contour; the other with a flattened forehead
and with an ape-like jaw of the Piltdown contour. We should not
forget that in the Piltdown skull the absence of prominent ridges
above the eyes may possibly be due in some degree to the fact that
the type skull may belong to a female, as suggested by certain
characters of the jaw; but among all existing apes the skull in early
life has the rounded shape of the Piltdown skull, with a high
forehead and scarcely any brow ridges. It seems reasonable,
therefore, to interpret the Piltdown skull as exhibiting a closer
resemblance to the skulls of our human ancestors in mid-Tertiary](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-79-320.jpg)
![appears rather that we have here two types of man which lived in
Chellean times, both distinguished by very low cranial characters. Of
these the Piltdown race seems to us the probable ancestor in the
direct line of the recent species of man, Homo sapiens; while the
Heidelberg race may be considered, until we have further
knowledge, as a possible precursor of Homo neanderthalensis."
The latest opinion of the German anatomist Schwalbe(22) is that the
proper restoration of the region of the chin in the Piltdown man
might make it possible to refer this jaw to Homo sapiens, but this
would merely prove that Homo sapiens already existed in early
Pleistocene times. The skull of the Piltdown man, continues
Schwalbe, corresponds with that of a well-developed, good-sized
skull of Homo sapiens; the only unusual feature is the remarkable
thickness of the bone.[AB]
Finally, our own opinion is that the Piltdown race was not related at
all either to the Heidelbergs or to the Neanderthals, nor was it
directly ancestral to any of the other races of the Old Stone Age, or
to any of the existing species of man. As shown in the human family
tree in Chapter VI, the Piltdown race represents a side branch of the
human family which has left no descendants at all.
Mammalian Life of Chellean and Acheulean Times(23)
Southern mammoth.
Hippopotamus.
Straight-tusked elephant.
Broad-nosed rhinoceros.
Spotted hyæna.
Lion.
Bison and wild ox.
Red deer.
Roe-deer.
Giant deer.](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-83-320.jpg)
![The forests were full of the red deer (Cervus elaphus), of the roe-
deer (C. capreolus), and of the giant deer (Megaceros), also of a
primitive species of wild boar (Sus scrofa ferus) and of wild horses
probably representing more than one variety. The brown bear (Ursus
arctos) of Europe is now for the first time identified; there was also a
primitive species of wolf (Canis suessi).
The small carnivora of the forests and of the streams are all
considered as closely related to existing species, namely, the badger
(Meles taxus), the marten (Mustela martes), the otter (Lutra
vulgaris), and the water-vole (Arvicola amphibius). The prehistoric
beaver of Europe (Castor fiber) now replaces the giant beaver
(Trogontherium) of Second Interglacial times.
Among the large carnivora, the lion (Felis leo antiqua) and the
spotted hyæna (H. crocuta) have replaced the sabre-tooth tiger and
the striped hyæna of early Pleistocene times. Four great Asiatic
mammals, including two species of elephants, one species of
rhinoceros, and the hippopotamus, roamed through the forests and
meadows of this warm temperate region. The horse of this period is
considered(24) to belong to the Forest or Nordic type, from which our
modern draught-horses have descended. The lions and hyænas
which abounded in Chellean and early Acheulean times are in part
ancestors of the cave types which appear in the succeeding Reindeer
or Cavern Period. In general, this mammalian life of Chellean and
early Acheulean times in Europe frequented the river shores and the
neighboring forests and meadows favored by a warm temperate
climate with mild winters, such as is indicated by the presence of the
fig-tree and of the Canary laurel in the region of north central France
near Paris.
Undoubtedly the Chellean and Acheulean hunters had begun the
chase both of the bison, or wisent (B. priscus), and of the wild
cattle, or aurochs.[AC]](https://image.slidesharecdn.com/2385028-250605192934-5687ccb5/85/Lte-Standards-1st-Edition-Jeangabriel-Rmy-Charlotte-Letamendia-86-320.jpg)
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- 5. LTE Standards Jean-Gabriel Remy Charlotte Letamendia www.iste.co.uk Z(7ib8e8-CBFIIH( LTE (Long Term Evolution) is commonly marketed as 4G. LTE and LTE Advanced have been recognized by ITU-R and ITU-T (International Telecommunications Union – Telecommunications) as the principal solution for the future mobile communication networks standards. They are thus the framework of what the marketing calls 4G and possibly also 5G. This book describes various aspects of LTE as well as the change of paradigm, which it is bringing to mobile communications, focusing on LTE standards and architecture, OFDMA, the Full IP Core Network and LTE security. Jean-Gabriel Remy is Professor at the Catholic University of Paris (ISEP) in France. He was Chief Scientist at SFR for more than 10 years. In that position, he participated in the creation of 3GPP, actively participating in it until 2010. He is currently an ingénieur général for the French Ministry of Finance in Paris. Charlotte Letamendia works for a French company that operates in the fields of broadband (broadband and residential terminals), management of documents (printing terminals, software and solutions, digital production workflow), digital set-top boxes (satellite, cable, terrestrial and IP TV) and telecom and energy (M2M, telecommunications infrastructure, smartgrids and metering). LTE Standards Jean-Gabriel Remy Charlotte Letamendia NETWORKS AND TELECOMMUNICATIONS SERIES W588-Remy.qxp_Layout 1 29/08/2014 11:19 Page 1
- 9. Series Editor Pierre-Noël Favennec LTE Standards Jean-Gabriel Remy Charlotte Letamendia
- 10. First published 2014 in Great Britain and the United States by ISTE Ltd and John Wiley & Sons, Inc. Apart from any fair dealing for the purposes of research or private study, or criticism or review, as permitted under the Copyright, Designs and Patents Act 1988, this publication may only be reproduced, stored or transmitted, in any form or by any means, with the prior permission in writing of the publishers, or in the case of reprographic reproduction in accordance with the terms and licenses issued by the CLA. Enquiries concerning reproduction outside these terms should be sent to the publishers at the undermentioned address: ISTE Ltd John Wiley & Sons, Inc. 27-37 St George’s Road 111 River Street London SW19 4EU Hoboken, NJ 07030 UK USA www.iste.co.uk www.wiley.com © ISTE Ltd 2014 The rights of Jean-Gabriel Remy and Charlotte Letamendia to be identified as the authors of this work have been asserted by them in accordance with the Copyright, Designs and Patents Act 1988. Library of Congress Control Number: 2014945533 British Library Cataloguing-in-Publication Data A CIP record for this book is available from the British Library ISBN 978-1-84821-588-7
- 11. Contents LIST OF FIGURES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi LIST OF TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxi CHAPTER 1. LTE STANDARDS AND ARCHITECTURE . . . . . . . . . . . 1 1.1. 3rd generation partnership project (3GPP) . . . . . . . . . . . . . 1 1.1.1. 3GPP history . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.1.2. 3GPP, the current organization . . . . . . . . . . . . . . . . . 3 1.1.3. 3GPP releases . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 1.2. LTE – numbering and addressing . . . . . . . . . . . . . . . . . . 10 1.2.1. The network IDs . . . . . . . . . . . . . . . . . . . . . . . . . . 11 1.2.2. The MME IDs . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 1.2.3. The tracking area IDs . . . . . . . . . . . . . . . . . . . . . . . 11 1.2.4. The Cell IDs . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 1.2.5. The mobile equipment ID . . . . . . . . . . . . . . . . . . . . 12 1.3. LTE architecture overview . . . . . . . . . . . . . . . . . . . . . . 13 1.3.1. Overall high level description of LTE . . . . . . . . . . . . . 14 1.3.2. LTE performance . . . . . . . . . . . . . . . . . . . . . . . . . 22 1.3.3. LTE – QoS architecture. . . . . . . . . . . . . . . . . . . . . . 23 1.3.4. FDD, TDD, LTE advanced. . . . . . . . . . . . . . . . . . . . 23 1.3.5. Frequencies for LTE. . . . . . . . . . . . . . . . . . . . . . . . 24 1.3.6. Basic parameters of LTE . . . . . . . . . . . . . . . . . . . . . 25 1.4. Radio access subsystem: eUTRAN (also called eUTRA). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
- 12. vi LTE Standards 1.4.1. LTE visualization tool from Rohde and Schwartz . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 1.4.2. eUTRAN characteristics . . . . . . . . . . . . . . . . . . . . . 28 1.4.3. eUTRAN interfaces . . . . . . . . . . . . . . . . . . . . . . . . 30 1.4.4. Signaling on the radio path. . . . . . . . . . . . . . . . . . . . 35 1.4.5. Physical layer. . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 1.4.6. RLC and MAC layer . . . . . . . . . . . . . . . . . . . . . . . 49 1.4.7. Dynamic radio resource management in LTE. . . . . . . . . 51 1.4.8. MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 1.4.9. Macrocells, microcells and femtocells . . . . . . . . . . . . . 53 1.5. Core network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 1.5.1. LTE network elements . . . . . . . . . . . . . . . . . . . . . . 57 1.5.2. LTE interfaces [TS 23.401] . . . . . . . . . . . . . . . . . . . 59 1.5.3. Functional split between the E-UTRAN and the EPC . . . . . . . . . . . . . . . . . . . . . . . . . 69 1.5.4. S1 interface-based handover . . . . . . . . . . . . . . . . . . . 70 1.6. LTE – roaming architecture. . . . . . . . . . . . . . . . . . . . . . 83 1.6.1. LTE network mobility management . . . . . . . . . . . . . . 87 1.7. SIM for communications privacy . . . . . . . . . . . . . . . . . . 89 1.7.1. SIM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 1.7.2. USIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 1.7.3. ISIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 1.8. Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 1.9. Appendix 1: Complete submission of 3GPP LTE release 10 and beyond (LTE-advanced) under step 3 of the IMT-advanced process. . . . . . . . . . . . . . . . 98 1.9.1. Summary of the candidate submission . . . . . . . . . . . . . 98 1.9.2. Classification of the candidate submission . . . . . . . . . . 100 1.9.3. Detailed checklist for the required elements for each candidate RIT within the composite SRIT and/or for the composite SRIT of the candidate submission (to fulfill section 3.1 of ITU-R Report M.2133) . . . . . . . . . . . 100 1.9.4. Additional supporting information . . . . . . . . . . . . . . . 102 1.9.5. Contact person . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 1.10. Appendix 2: GPRS Tunneling Protocol (GTP). . . . . . . . . . 102 1.11. Appendix 3: The SGW implementation by CISCO . . . . . . . 107 1.12. Appendix 4: AT&T has LTE small cells “in the lab”: Source Dan Janes, Site Editor, Light Reading mobile [JON 13]. . . . . . . . . . . . . . . . . . . . . . . . . . 110
- 13. Contents vii CHAPTER 2. OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 2.1. What is OFDM/OFDMA?. . . . . . . . . . . . . . . . . . . . . . . 113 2.1.1. Claimed OFDMA advantages . . . . . . . . . . . . . . . . . . 115 2.1.2. Recognized disadvantages of OFDMA. . . . . . . . . . . . . 116 2.1.3. Characteristics and principles of operation . . . . . . . . . . 117 2.2. General principles . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 2.2.1. Cyclic prefixes . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 2.3. LTE channel: bandwidths and characteristics . . . . . . . . . . . 124 2.3.1. LTE OFDM cyclic prefix, CP . . . . . . . . . . . . . . . . . . 125 2.3.2. LTE OFDMA in the downlink. . . . . . . . . . . . . . . . . . 126 2.3.3. Downlink carriers and resource blocks. . . . . . . . . . . . . 127 2.3.4. LTE SC-FDMA in the uplink . . . . . . . . . . . . . . . . . . 128 2.3.5. Transmitter and receiver structure of LP-OFDMA/SC-FDMA . . . . . . . . . . . . . . . . . . . . . . . . . 130 2.4. OFDM applied to LTE. . . . . . . . . . . . . . . . . . . . . . . . . 132 2.4.1. General facts . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 2.4.2. LTE downlink . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 2.4.3. Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 2.5. OFDMA in the LTE radio subsystem: OFDMA and SCFDMA in LTE . . . . . . . . . . . . . . . . . . . . . . 138 2.5.1. The downlink physical-layer processing of transport channels . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 2.5.2. Downlink multi-antenna transmission . . . . . . . . . . . . . 139 2.5.3. Uplink basic transmission scheme . . . . . . . . . . . . . . . 140 2.5.4. Physical-layer processing. . . . . . . . . . . . . . . . . . . . . 141 2.6. Appendix 1: the constraints of mobile radio . . . . . . . . . . . . 143 2.6.1. Doppler effect . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 2.6.2. Rayleigh/Rice fading . . . . . . . . . . . . . . . . . . . . . . . 145 2.6.3. Area of service . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 2.6.4. Shadow effect . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 2.7. Appendix 2: Example of OFDM/OFDMA technological implementation Innovative DSP . . . . . . . . . . . . . 153 2.8. Appendix 3: LTE error correction on the radio path [WIK 14d] . . . . . . . . . . . . . . . . . . . . . . . . . . 154 2.8.1. Hybrid ARQ with soft combining. . . . . . . . . . . . . . . . 156 2.9. Appendix 4: The 700 MHz frequencies in the USA for LTE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 2.9.1. Upper and lower 700 MHz . . . . . . . . . . . . . . . . . . . . 158
- 14. viii LTE Standards CHAPTER 3. THE FULL IP CORE NETWORK . . . . . . . . . . . . . . . . 159 3.1. Fixed mobile convergence. . . . . . . . . . . . . . . . . . . . . . . 159 3.2. IP multimedia subsystem . . . . . . . . . . . . . . . . . . . . . . . 160 3.2.1. General description of IMS. . . . . . . . . . . . . . . . . . . . 160 3.2.2. Session Initiation Protocol . . . . . . . . . . . . . . . . . . . . 162 3.2.3. IMS components and interfaces . . . . . . . . . . . . . . . . . 163 3.3. Evolved packet system in 3GPP standards . . . . . . . . . . . . . 182 3.3.1. Policy and charging rules function . . . . . . . . . . . . . . . 182 3.3.2. Release 8 system architecture evolution and evolved packet system. . . . . . . . . . . . . . . . . . . . . . . . 184 3.4. Telephony processing . . . . . . . . . . . . . . . . . . . . . . . . . 192 3.4.1. Enhanced voice quality . . . . . . . . . . . . . . . . . . . . . . 192 3.4.2. Circuit-switched fallback (CSFB). . . . . . . . . . . . . . . . 192 3.4.3. Simultaneous voice and LTE (SVLTE) . . . . . . . . . . . . 192 3.4.4. Over-The-Top (OTT) applications . . . . . . . . . . . . . . . 193 3.5. The requirements of VoLTE and V.VoIP applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 3.6. Voice and video over LTE are achieved using voice on IP channels (VoLTE). . . . . . . . . . . . . . . . . . . . . . . 196 3.7. Cut down version of IMS . . . . . . . . . . . . . . . . . . . . . . . 201 3.8. Latency management. . . . . . . . . . . . . . . . . . . . . . . . . . 202 3.9. Appendix 1: VoIP tests in UK . . . . . . . . . . . . . . . . . . . . 205 CHAPTER 4. LTE SECURITY. SIM/USIM SUBSYSTEM . . . . . . . . . . 207 4.1. LTE security. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 4.1.1. Principles of LTE security . . . . . . . . . . . . . . . . . . . . 209 4.1.2. LTE EPC security . . . . . . . . . . . . . . . . . . . . . . . . . 210 4.1.3. Interfaces protection. . . . . . . . . . . . . . . . . . . . . . . . 214 4.1.4. Femtocells and relays . . . . . . . . . . . . . . . . . . . . . . . 215 4.1.5. Specifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 4.2. SIM card . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216 4.2.1. SIM-lock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 4.2.2. Electronic component of the UICC . . . . . . . . . . . . . . . 219 4.2.3. Form factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219 4.2.4. SIM card physical interface . . . . . . . . . . . . . . . . . . . 221 4.2.5. UICC communication protocol . . . . . . . . . . . . . . . . . 221 4.2.6. Operating system (OS) and virtual machines . . . . . . . . . 223 4.2.7. (U)SIM authentication . . . . . . . . . . . . . . . . . . . . . . 224 4.2.8. LTE USIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225 4.2.9. ISIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226
- 15. Contents ix 4.2.10. Over the Air Activation (OTA) . . . . . . . . . . . . . . . . 228 4.2.11. Security services . . . . . . . . . . . . . . . . . . . . . . . . . 228 4.2.12. USIM directories . . . . . . . . . . . . . . . . . . . . . . . . . 228 4.2.13. The UICC/SIM/USIM/ISIM industry. . . . . . . . . . . . . 237 4.2.14. EAP-SIM and EAP. . . . . . . . . . . . . . . . . . . . . . . . 237 APPENDIX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 BIBLIOGRAPHY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 INDEX. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
- 17. List of Figures Introduction I.1. LTE and LTE Advanced logo. . . . . . . . . . . . . . . . . . . . . xix I.2. The LTE project: milestones. Short history of the birth of a worldwide standard . . . . . . . . . . . . . . . . . . . . . . . xxxiii I.3. 3GGP logo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxxiii Chapter 1 1.1. Organizational Partners’ deliverables . . . . . . . . . . . . . . . . 7 1.2. LTE architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 1.3. UTRAN and E-UTRAN . . . . . . . . . . . . . . . . . . . . . . . . 14 1.4. LTE general architecture . . . . . . . . . . . . . . . . . . . . . . . 15 1.5. Protocol stacks operating at S1 and S5/S8 interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 1.6. UE-MSC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 1.7. EPC/SAE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 1.8. The complete set of network elements and standardized signaling interfaces of LTE. . . . . . . . . . . . . . . . . 17 1.9. LTE subsystems and connections . . . . . . . . . . . . . . . . . . 19
- 18. xii LTE Standards 1.10. LTE interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 1.11. 3GPP image for eUTRAN . . . . . . . . . . . . . . . . . . . . . . 20 1.12. Tools from Rohde & Schwartz . . . . . . . . . . . . . . . . . . . 28 1.13. Description of eUTRAN with its interfaces. . . . . . . . . . . . 31 1.14. E-UTRAN architecture with HeNodeB GW and HeNodeB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 1.15. X2 interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 1.16. This shows the enhancements in release 10 and release 11. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 1.17. Functional split between E-UTRAN and EPC [3GPP TS 36.300] . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 1.18. Radio frequency protocol . . . . . . . . . . . . . . . . . . . . . . 36 1.19. User plane . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 1.20. Protocol stack for the control plane between the UE and MME . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 1.21. Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 1.22. Token . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 1.23. Physical layer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 1.24. Signaling channel mapping . . . . . . . . . . . . . . . . . . . . . 48 1.25. Functions of the different layers . . . . . . . . . . . . . . . . . . 50 1.26. The protocol chain from IP packets to transport blocks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 1.27. Optimization of the repartition of carriers. . . . . . . . . . . . . 51 1.28. Single-user MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . 52 1.29. MIMO signal processing. . . . . . . . . . . . . . . . . . . . . . . 52 1.30. Spatial multiplexing MIMO sector rate . . . . . . . . . . . . . . 53 1.31. Heterogeneous network (4G Americas) . . . . . . . . . . . . . . 53 1.32. Core network. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
- 19. List of Figures xiii 1.33. Three subsystems . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 1.34. LTE network elements . . . . . . . . . . . . . . . . . . . . . . . . 57 1.35. LTE interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 1.36. Protocol stack of S1-MME interface. . . . . . . . . . . . . . . . 61 1.37. Protocol stack of S3 interface . . . . . . . . . . . . . . . . . . . . 62 1.38. Protocol stack of S4 interface . . . . . . . . . . . . . . . . . . . . 62 1.39. Protocol stack of interface S5 or S8 . . . . . . . . . . . . . . . . 63 1.40. Protocol stack of S10 interface . . . . . . . . . . . . . . . . . . . 64 1.41. Protocol stack of S11 interface . . . . . . . . . . . . . . . . . . . 64 1.42. Protocol stack of S6a interface . . . . . . . . . . . . . . . . . . . 65 1.43. Protocol stack of S13 interface . . . . . . . . . . . . . . . . . . . 65 1.44. Protocol stack of SBc interface . . . . . . . . . . . . . . . . . . . 66 1.45. User plane . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 1.46. Protocol stack of S1-U interface . . . . . . . . . . . . . . . . . . 67 1.47. Protocol stacks of S4 interfaces used to connect UE from 2G network to PDN . . . . . . . . . . . . . . . . 68 1.48. Protocol stacks of S4 interfaces used to connect UE from 3G network to PDN . . . . . . . . . . . . . . . . 68 1.49. Protocol stack of S12 interface used to connect UE from 3G network to PDN . . . . . . . . . . . . . . . . . . 69 1.50. E-UTRAN and the EPC . . . . . . . . . . . . . . . . . . . . . . . 70 1.51. UE is moving from old to new RAN coverage provided by eNodeB. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 1.52. S1-based handover . . . . . . . . . . . . . . . . . . . . . . . . . . 73 1.53. S1-based handover reject scenario . . . . . . . . . . . . . . . . . 82 1.54. Rooming architecture. . . . . . . . . . . . . . . . . . . . . . . . . 84 1.55. Non-roaming architecture by 3GPP . . . . . . . . . . . . . . . . 85
- 20. xiv LTE Standards 1.56. Roaming architecture scenario with home routed traffic. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85 1.57. Roaming architecture for local breakout, with home operator’s application functions only . . . . . . . . . . . . 86 1.58. Roaming architecture for local breakout, with home visitor’s application functions only . . . . . . . . . . . . . 86 1.59. Security architecture . . . . . . . . . . . . . . . . . . . . . . . . . 90 1.60. The process for authentication and ciphering. . . . . . . . . . . 92 1.61. Kc Key . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 1.62. RAND and Ki . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 1.63. Ki . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 1.64. TMSI, Kc, RAND and SRES . . . . . . . . . . . . . . . . . . . . 94 1.65. Schema of the structure of a SIM card. . . . . . . . . . . . . . . 94 1.66. SIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 1.67. GTP present at the interface between eNodeB and S-GW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 1.68. GTP between S-GW and P-GW . . . . . . . . . . . . . . . . . . 103 1.69. GPRS tunneling protocol in LTE. . . . . . . . . . . . . . . . . . 104 1.70. GPRS tunneling protocol Types . . . . . . . . . . . . . . . . . . 104 Chapter 2 2.1. OFDM frequency and time domain . . . . . . . . . . . . . . . . . 114 2.2. OFDMA subcarriers . . . . . . . . . . . . . . . . . . . . . . . . . . 118 2.3. OFDM frequency . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 2.4. Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120 2.5. OFDM techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 2.6. Cyclic prefix. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 2.7. Transformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
- 21. List of Figures xv 2.8. Effect of multipath propagation . . . . . . . . . . . . . . . . . . . 125 2.9. LTE OFDMA in the downlink . . . . . . . . . . . . . . . . . . . . 126 2.10. 16 QAM modulation: 4 bits per symbol . . . . . . . . . . . . . . 127 2.11. LTE RB allocation . . . . . . . . . . . . . . . . . . . . . . . . . . 127 2.12. Uplink. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 2.13. SC-FDMA spreads the data symbols all over the system bandwidth . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 2.14. Localized mapping and distributed mapping . . . . . . . . . . . 131 2.15. SC-FDMA and OFDMA. DFT: discrete Fourier transform. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 2.16. LTE OFDMA physical layer structure LTE physical layer uses multiple OFDMA subcarriers and symbols separated by guard intervals . . . . . . . . . . . . . . . . 135 2.17. LTE resource blocks and resource elements (from the 3GPP standard). . . . . . . . . . . . . . . . . . . . . . . . . . 135 2.18. CDF PAPR comparison for OFDMA used in the LTE downlink, and SC-FDMA localized mode (LFDMA) used in the LTE uplink – 256 total subcarriers, 64 subcarrier per user, 0.5 roll-off factor, a) QPSK, b) 16 QAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 2.19. Some LTE resource elements are reserved for control channel and reference signals only a subset are used for user data, thus lowering actual throughput . . . . . . . . . . . . . . . . . . . . . . . . . 137 2.20. Conventional OFDMA with cyclic prefix. . . . . . . . . . . . . 138 2.21. Downlink: OFDMA transmission scheme: downlink physical layer processing chain. . . . . . . . . . . . . . . . 139 2.22. Transmitter scheme of SC-FDMA . . . . . . . . . . . . . . . . . 140 2.23. OFDMA and SC-FDMA. . . . . . . . . . . . . . . . . . . . . . . 140 2.24. Number of DL/UL component carriers . . . . . . . . . . . . . . 143
- 22. xvi LTE Standards Chapter 3 3.1. IMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160 3.2. IMS wide scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 3.3. IMS functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 3.4. Security aspects of early IMS and non-3GPP systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 3.5. Full scope of EPS. . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 3.6. PCRF connections in LTE’s EPC . . . . . . . . . . . . . . . . . . 183 3.7. Evolved packet core . . . . . . . . . . . . . . . . . . . . . . . . . . 185 3.8. EPC components . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 3.9. Cut down version of IMS Reduced IMS network for VoLTE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 3.10. Latency (50 ms) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 Chapter 4 4.1. LTE needs a layered security . . . . . . . . . . . . . . . . . . . . . 209 4.2. Layered security model . . . . . . . . . . . . . . . . . . . . . . . . 210 4.3. LTE eUTRAN protocole stack . . . . . . . . . . . . . . . . . . . . 211 4.4. Derivation of successive keys. . . . . . . . . . . . . . . . . . . . . 212 4.5. LTE keys hierarchy as in 3GPP TS 36.300. . . . . . . . . . . . . 212 4.6. EPS security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213 4.7. IPsec . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214 4.8. (U)SIM cards as released by the operator. . . . . . . . . . . . . . 216 4.9. Structure of the UICC electronic chip . . . . . . . . . . . . . . . . 217 4.10. UICC form factors . . . . . . . . . . . . . . . . . . . . . . . . . . 220 4.11. UICC contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 4.12. NFC applications of the UICC . . . . . . . . . . . . . . . . . . . 222 4.13. Example of UICC architecture . . . . . . . . . . . . . . . . . . . 223
- 23. List of Figures xvii 4.14. The complex structure of UICC applications in a modern device. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 4.15. The complex links of (U)SIM with the LTE world as seen by Telenor . . . . . . . . . . . . . . . . . . . . . . . 226 4.16. UICC structure with ISIM . . . . . . . . . . . . . . . . . . . . . . 227 4.17. Example of ISIM application: digital right management, as seen by Telenor . . . . . . . . . . . . . . . . . . . . . 227 4.18. Example of OTA use for non-telecommunication applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
- 25. List of Tables Introduction I.1. Mobile broadband explosion . . . . . . . . . . . . . . . . . . . . . xxxi Chapter 1 1.1. 3GPP organizational partners. . . . . . . . . . . . . . . . . . . . . 3 1.2. Organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 1.3. Releases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 1.4. Area and description . . . . . . . . . . . . . . . . . . . . . . . . . . 10 1.5. The network ID . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 1.6. The MME IDs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 1.7. The GUMMEI. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 1.8. TAI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 1.9. M-TMSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 1.10. GUTI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 1.11. Classes of mobiles . . . . . . . . . . . . . . . . . . . . . . . . . . 21 1.12. E-UTRA band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 1.13. Basic parameters of LTA . . . . . . . . . . . . . . . . . . . . . . 26 1.14. Control plane. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 1.15. Logical channel name . . . . . . . . . . . . . . . . . . . . . . . . 42
- 26. xx LTE Standards 1.16. Transport channel name . . . . . . . . . . . . . . . . . . . . . . . 43 1.17. Physical data channel name . . . . . . . . . . . . . . . . . . . . . 43 1.18. Control information field name . . . . . . . . . . . . . . . . . . . 44 1.19. Physical control channel name . . . . . . . . . . . . . . . . . . . 44 1.20. Images and memory recommendations for Cisco LTE SGW Release 1.x . . . . . . . . . . . . . . . . . . . . . 109 Chapter 2 2.1. Number of resource block by channel bandwidth . . . . . . . . . 128 2.2. LTE cyclic prefix lengths in number of symbols, subcarriers and time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134 2.3. Comparison of LTE with Wi-Fi and WiMAX . . . . . . . . . . . 142 Chapter 3 3.1. The chart describes the interfaces involved in IMS and figure 3.4 shows their place in the overall processing system. . . . . . . . . . . . . . . . . . . . . . . . . . 180 3.2. Priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203 3.3. Latency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203 3.4. Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 Chapter 4 4.1. SIM/USI Applicable standard. . . . . . . . . . . . . . . . . . . . . 220
- 27. Introduction Long Term Evolution (LTE) is commonly marketed as fourth generation (4G). LTE and LTE Advanced have been recognized by International Telecommunications Union – Radiocommunications (ITU-R) and International Telecommunications Union – Telecommunications (ITU-T) as the principal solution for the future mobile communication networks standards. Thus, they are the framework of what marketing calls 4G and maybe also fifth generation (5G). They have registered logos: Figure I.1. LTE and LTE Advanced logo It seems interesting to look at the evolution of mobile communication systems from their appearance upto LTE. This move has obviously been driven by commercial motivations as well as by the extraordinary improvement of microelectronics, especially from
- 28. xxii LTE Standards the 1960s to the present day. Functionalities, computing power and miniaturization have drastically progressed, while cost has constantly decreased. I.1. Mobile communication systems: 0G, 1G, 2G, 3G, 4G and 5G In this short introduction, many mobile communication systems will be omitted: – military communications and public utilities communications; – maritime and aviation communications; – trunk systems and more generally all kinds of professional dedicated radio systems. It does not mean that LTE will not have specific adaptations in order to fit the special requirements of such systems, especially for its radio interface, avoiding expensive developments being invested for a limited population of users. Only public land mobile network (PLMN) will be considered: the so-called “4G” belongs to this category as long as LTE is used for public communication. Also, the impressive list of various systems, which did not reach a high level of success, especially outside their country of origin, has been avoided. The classification of mobile systems into generations is not strictly related to any given metrics or parameters. It corresponds to marketing considerations. Therefore, it is commonly agreed upon, both by industry and by academia, and hence conceived to be an unwritten standard. I.1.1. Rationale Mobile communications have always been a wish for most of the people. Of course, at the beginning, the mobile networks have been invested for precise applications, such as military communications or professional management. The introduction of PLMN came later. But
- 29. Introduction xxiii the requirements for mobile services are most common for public systems and more specific networks. For a network addressing all citizens, the investment is very high, especially in research and development – millions of coded instructions have to be written and validated. Also, the precise areas where the service will be necessary have to be determined. Therefore, it is necessary to analyze what the customers are ready to pay for to avoid vain efforts and investments. Excluding applications that are just using the mobile network as a support, mobile services can be classified into three categories: – Mobile telephony: the mobile subscriber wants to discuss in real- time with distant interlocutors, who are connected with either a fixed telephone or a mobile set. Telephony offers the possibility to get immediate up-to-date information as well as the means to discuss any difficult item. Up until now it has been the most “money making” application. – Paging: by some means of collection of the information, the network offers the capacity to alert the mobile subscriber that something of interest is happening. The paging can be limited to a very simple binary signal – some tone or light – and the customer has to call an information center to get the message. It can also be accompanied by a short message, either written or vocal, giving the main details of the message. This paging is very popular and is now offered by the short message service (SMS) of Global System for Mobile communications (GSM) and further technologies. The SMS service is a “teleservice”, which means that the operator must carry it to destination. The multimedia messaging service (MMS) delivers much richer information, but it is not as reliable, because the delivery of messages is not guaranteed by the network operator; it is supported by a “bearer service”, the quality of service (QoS) is limited to the operator’s commitment. – The Internet, fax or any written dialog: in the latter case, the mobile network offers the possibility to carry the office environment of its customer anywhere. Like MMS, the Internet and Internet-like services are generally bearer services, which are sold with a certain grade of QoS.
- 30. xxiv LTE Standards For these services, the mobile network can provide two kinds of access: – nomadic access: the service is available anywhere inside the coverage of the network, but the customer must be static or is allowed to move very little; – full mobile access: the service is available when the customer is moving, eventually at any speed, again within the limits of the geographical coverage service. The paradigm of mobile communications is simple to summarize: – be able to be connected to and receive information from any calling party; – be able to be connected to any called party; – full bidirectional access and real-time exchange of information; – be accessed anywhere, outdoor, indoor, in urban and rural environment; – full bidirectional access at anytime. Going into detail shows a lot of issues: – size of the mobile device: devices such as smartphones or tablets such have limited space to support the broadband module; these days, the terminal can also be some communication part of a machine for machine to machine (M2M) communications; – nature and content of information to be transmitted, i.e. full telephony, television or data transmission, bilateral or unilateral. I.1.2. Short history of mobile communications, milestones I.1.2.1. 0G The systems that allow customers to communicate on the move depend on electronics and microelectronics technology. Therefore,
- 31. Introduction xxv before the mass production of semiconductors, only experimental services have been deployed. The first network appeared in the United States in 1940, with mobiles using electronic tubes for car mounted terminals. Connection to the called party was made by human operators, in a way similar to that ensured for maritime communications. Between 1960 and 1980, quite a few mobile communication systems were designed and deployed for either telephony or paging. Most of the advanced countries installed a home-made network. These systems offered automatic dialing with a good communication quality, obtained with a frequency/phase modulation radio access network. The radio path consisted of narrow frequency channels – 30 kHz in Northern America and 25 kHz everywhere else in the world. With the advent of transistors, a few handheld mobiles were available, especially for paging. Of course, the service was only operated by incumbent fixed telecommunication operators, which found a new service for wealthy customers. These systems will be called 0G. I.1.2.2. 1G During the 70s, some important innovations have brought a kind of revolution in the mobile communication world: – computer driven frequency tuning (frequency synthesis) allowing us to reach with precision a given radio frequency channel among many with only one quartz oscillator. This technology opened the way to high-capacity systems in so-called analog technology – where each individual communication is allocated one (time division multiplex (TDM) or simplex) or two (frequency division duplex (FDD) or duplex) precise narrow band frequency channels – managing hundreds of radio frequencies instead of a few tens in the previous systems. With such a number of channels, the radio communication system becomes able to cope with a large number of customers. Also,
- 32. xxvi LTE Standards frequency synthetization opened a way for massive production of handheld terminals: – standardization and generalization of Signaling System No. 7 (SS7) designed for telephony, mainly the international version of ISDN; – availability of microcomputers and computing chips offering greater speed and power for real-time processing, thus allowing us to implement sophisticated encoding, error correction and new transmission standards. All these innovations were applied to new designs including some important breakthroughs: – localization of the mobile terminal, which could be done manually, and automatically realized, in order to have the ability to route incoming calls; – detection of the need for changing the communication in progress from one radio base station (one “cell”) to another due to degradation of the radio link quality, and execution of the “handover” (US: hand off) to the other base station/cell, which is selected to provide a good quality communication. With all these new developments, the cost of R&D skyrocketed and only a few systems could be studied and deployed with a worldwide impact. Among them two standards will dominate the market: – First, the advanced mobile phone system (AMPS), designed by the Bell Labs with a prototype rollout installed in Chicago in 1978, serving more than one thousand customers. AMPS has been the first system to offer real-time seamless handover. This network probably shows the best possible design for a system where each individual communication carried by an individual duplex frequency modulation (FM) (or phase modulation (PM)) channel, each channel being given a narrow frequency bandwidth. The main features were standardized by the American National Standard Institute (ANSI). This AMPS system has the particularity of being able to modify channel spacing and FM excursion very simply, which allowed us to adapt it to various
- 33. Introduction xxvii frequency configurations (channel spacing of 30 kHz in the USA and 25 kHz in Europe and Japan). This is achieved simply by modifying the clock frequency driving the network. In North America, it was the genuine AMPS (initially, A stood for American). In Europe and Japan, it was a modified version with a 25 kHz channel spacing, called Total Access Communication System (TACS), Europe TACS (ETACS) and Japan TACS (JTACS)). Due to some specific US political process aiming at introducing competition, AMPS and TACS massive deployment was delayed to 1985. – However, the Scandinavian countries joined their strengths and developed the Nordic Mobile Telephone (NMT) system. This standard is by far simpler than the AMPS/TACS in all aspects of the technology. The spread of NMT is somehow due to the above- mentioned American political process, which delayed the mass deployment of AMPS. NMT became available around 1982 and was immediately rolled out in all Scandinavian countries. Nevertheless, due to its transnational origin, NMT introduced a very interesting feature: automatic international roaming. Another cellular system of the first generation was designed and deployed in Germany (C-Netz) and France (Radiocom, 2000) and counted a few hundred thousand subscribers. There was also a Japanese home-made “cellular” system. These systems and their unlucky competitors are considered to be 1G. I.1.2.3. 2G In the 1980s, with the spectacular increase of the computing power of integrated circuits, technology continued to progress with many breakthroughs: – Development of vocoders. In concordance with the design of very powerful processors. Instead of needing a bitrate of 64 kbps to correctly digitalize narrow band voice telephony as calculated from the ordinary Shannon sampling, a telephony 4 kHz analog signal can be coded with a very good quality with 12 kbps, and even 6 kbps
- 34. xxviii LTE Standards (GSM). For professional systems, vocoders provide a clear voice communication with a few hundred kilobits per second. – Vocoders are the key to switch from analog FM (or PM) radio to full digital transmission for telephony. The compression of the voice signal is a question of processing power. Today, a very high quality sound can be coded with less than 10 kbps; and correct voice communications are now available for professional and military communications with a bitrate of less than 1 kbps. – Development of identity chips. The 1G German C-Netz had introduced a device to dissociate the subscription from the mobile terminal hardware. Such chips make it possible to encrypt communications and protect customers’ privacy. AMPS or NMT were identifying the mobile terminal by a number which was included inside it and was very easy to copy or modify; so, customers were often suffering from pirated use of their identity. Concerning the privacy of communications, 1G networks did not provide protection against eavesdropping. In the meantime, continental European countries have been conscious of their technological backwardness compared with AMPS. In 1982 the “GSM” was created (at the beginning it was a “special mobile group” led by German FTZ and French Centre national d’études des télécommunications (CNET)), which was commissioned to study a revolutionary mobile system based on a fully digital radio access subsystem, since it was considered difficult to surpass AMPS as an analog system. This new system, also called GSM, passed through a lot of studies until 1991. Code division multiple access (CDMA), which was in the 1980s a spread spectrum technique in use for military purposes, was experienced in 1985. At that time, CDMA showed need for too much computing power, far over the performance of the available chips, thus a simpler process, time division multiple access (TDMA), was chosen. In 1987, all countries of the European Union signed a Memorandum of Understanding (MoU), which was accepted
- 35. Introduction xxix afterward by all GSM operators, always labeled as MoU. In this MoU, these countries decided: – to roll out a GSM coverage from 1991 onward using the common frequency bands which had been decided in 1979 for a common mobile system; – to authorize without restriction automatic international roaming for GSM mobiles, all expenses being paid by the home country of the subscription. GSM takes up the C-Netz innovation of selling the mobile terminal and the operator subscription separately, the latter being materialized by a SIM card, which is inserted into the mobile set. The chip of the SIM card controls all the telecommunication functions of the mobile and masters the encryption of the radio path for the calls. GSM introduces a kind of paging with the “SMS”, which became a very important part of the communications. As a response to the introduction of GSM, the AMPS industry designed the D-AMPS (IS-136 standard), where AMPS channels are used in TDMA mode in order to increase the overall network capacity. Beside the TDMA systems, the American society Qualcomm introduced its proprietary design based on a CDMA encoding, later called CDMA 2000, which was standardized as IS-95 by ANSI. This standard was adopted by South Korea, which had to solve a lot of difficulties. And again, Japanese NTT developed and rolled out a TDMA system, called PDC. They also rolled out a simpler system called PHS, which is probably the first implementation of a multiple input multiple output (MIMO) antenna system. All these systems can be considered to be the 2G mobile standards. I.1.2.4. 3G, the need for fast data transmission Of course, as time passed, the technology of chips continued to improve drastically. During the 1990s it finally delivered processors
- 36. xxx LTE Standards having a sufficient computing power to cope with the Qualcomm CDMA mobile system. In the 1990s, while GSM was being implemented all over the world including Northen America, the operators of fixed communications introduced the Internet services. At the beginning the available bitrate was limited to 50 kbps. Later it was increased to 10 Mbps downlink particularly with an Asymmetric Digital Subscriber Line (ADSL), provided the customer’s home is located a few hundred meters from the central office. The industry of mobile communications decided to adopt the internet service in their strategy, even when the response from the subscribers’ base surveys showed very little interest in telephony and SMS. GSM developed a “wart”, called General Packet Radio Service (GPRS), supporting data transmission upto 50 kbps. In response, CDMA 2000 introduced data transmission upto 144 kbps. As an answer, GSM standardized Enhanced Data Rates for GSM Evolution (EDGE), providing upto 240 kbps, which was rolled out massively by ATT Wireless in the USA, where it was facing the competition of Verizon Wireless, the CDMA 2000 champion. The way Qualcomm system manages data transmission makes it easy to reach good performances since the data flow and the telephony are transmitted by different networks, at least in the Evolution Data Optimized (EVDO) version. This conception answers the difficult challenge of mobility: – telephony is a real-time communication, but accepts very short cuts, e.g. 300 ms; this is managed by a smooth handover process; – data transmission in Transmission Control Protocol-Internet Protocol (TCP-IP) shows very poor performance if the flow is cut, as is the case when the mobile travels from one cell to another. In that case, a reselection is necessary and the usable bitrate is very poor Considering that in a town like Paris the mobile terminals process an average of four handovers for a 2 min call, the network
- 37. Introduction xxxi operator has to make a critical choice concerning the parameters of its network: – either the parameter set favors telephony with a change of cell achieved as soon as possible to give the customer a very good telephony quality; – or the parameters are stiffened and the mobile will drag its radio channel as far as possible in order to avoid reselection. It results in damaging the frequency planning, as well as creating poor quality telephone calls. Of course, most of the GSM operators chose to favor telephone calls. To examine what could be the future of mobile communications after the worldwide success of GSM, the European Union launched a consultation on the possible technologies which could be developed. Scandinavia pushed a variant of Qualcomm CDMA technology called wide band CDMA (WCDMA) very hard, which won the competition. This WCDMA technology immediately faced the issue of patents, since CEO of Qualcomm, who was a highly respected former professor of signal theory at MIT, had patented all possible implementation of CDMA. It also faced plenty of issues with the management of power, with the mobile needing too much energy, far more than GSM. Nevertheless, the industry worked very hard and some 10 years later, beginning of the 2000s, the WCDMA, renamed High Speed Packet Access (HSPA) and HSPA+, could service data users correctly. In the meantime, ATT had pushed in the 3rd Generation Partnership Project (3GPP) standard body, a variant of GSM, called EDGE, which had been rolled out by all GSM operators. The advantage of EDGE for the network operator is to keep the base stations of GSM for coverage and reuse the same backhaul infrastructure instead of deploying a new network. EDGE, described above, is a modification of GPRS (changing the modulation on the radio path) and provides 200 kbps and more.
- 38. xxxii LTE Standards EVDO, WCDMA and EDGE could be considered as the 3G mobile systems. I.1.2.5. 4G As seen above, the work on Universal Mobile Telecommunications Service (UMTS) finally produced a competitive system, called HSPA, then HSPA+, that reached upto 7.2 Mbps, and even 14.4 Mbps per cell. In the 3GPP studies, besides promoting EDGE, ATT called for a completely new system, strictly dedicated to mobile data transmission. Their concept at the beginning was to design something completely new with no backward compatibility with previous systems. The new system would be completely based on IP and would adopt a simple architecture. This project was called “LTE” and was the answer to ITU request of a future mobile system (called FPLMNTS in the 1990s, denomination replaced by IMT2000, then IMT Advanced). The LTE standard was finalized only in 2008 with the release 8 of 3GPP. When definitively designed in a viable release, LTE was immediately adopted by Qualcomm CDMA followers, especially Verizon, which will abandon CDMA 2000 progressively. So, de facto, LTE became the only standard of mobile communications for the future. The system is now widely deployed, mainly in Northern America with over 100 million subscribers there, and represents a very strong industry. Having been badly fleeced with intellectual property rights (IPR) in the UMTS case by Qualcomm, and less seriously by Motorola for GSM, 3GPP’s “individual members” exert a certain control on the ETSI IPR database. In 2012, 50 companies had declared holding essential patents covering some parts of the LTE standards. Nevertheless, these declarations are left to the goodwill of the companies, even if at each TSG meeting participants are invited to declare their patents with a certain solemnity.
- 39. The 4G I.1.2.6. Wha been ed of Orth describ OFDM bitrate for the (IEEE in UK p with th 5G followi (Source Rysavy Assu spectru of spec improv G mobile syst 5G at about the dited? LTE r hogonal freq bed in 1982 M is now reco flows of dat last versions 802.16, beyo power line c e DVB-S2 a is probably ing requirem e: mobile br y Research/4G uming that um (e.g. more ctrum can be ved or upgrad tem follows th e “5G” on w radio access quency-divisi by the CC ognized as th ta on wideba s of Wi-Fi (I ond “e”), Co ommunicatio nd DVB-T2. y what is co ments: Table I.1. Mob roadband exp G Americas, the “5G” w e than 20 MH e found), th ded as has be he LTE stand which many subsystem is ion multiple CETT labora he best techn and radio cha IEEE 802.11 ommunication ons (PLC),) . onsidered as bile broadband xplosion: the August 2012 will be allo Hz, or upto 1 e radio tran een the case f In dard. publications s based on di exing (OFDM atory of Ren nique for tra annels. It has n and further ns over Pow and televisio s IMT-Adva explosion e 3GPP wire 2) ocated a lar 100 MHz if s smission sch for the chang ntroduction xx s have alrea ifferent avata M), technolo nnes (Franc ansmitting hi s been adopt r), by WiMA wer Lines (CP on broadcaste anced with t eless evolutio rge amount such a quant heme could ge from Digi xxiii ady ars ogy ce). igh ted AX PL, ers the on, of tity be ital
- 40. xxxiv LTE Standards Video Broadcasting Terrestre (DVB-T) to DVB-T2 and from Digital Video Broadcasting Satellite (DVB-S) to DVB-S2. From the measured performance of DVB-T2 an overall bitrate of 100 Mbps available for the individual subscriber could be expected with a reasonable spectrum allowance. 1 Gbps would probably need a big part of spectrum, which could not be foreseen some 10–20 years ago, except if the system adopts frequencies above 3 GHz and restricts mobility. The difficulty to make a valuable forecast comes from 2 sides: – most smartphones and also mobiles can also communicate through Wi-Fi, and this communication cost nothing to the subscriber nor to the operator. This will probably impact the business plan of a possible 5G; – the development cost of such systems reaches very high levels, only very few industrial companies can finance the necessary R&D. To date, only two or three companies are competing for delivering the LTE infrastructure. LTE Advanced has been accepted as IMT-Advanced relevant solution in November 2010. LTE_advanced must be both backward and forward compatible with existing LTE. Devices must operate on both kinds of networks. A few operators and manufacturers claim that their research and development laboratories have already tested IMT-Advanced solutions with: – wider bandwidth support for up to 100 MHz via aggregation of 20 MHz blocks (carrier aggregation); – uplink MIMO (two or four transmit antennas in the device); – higher order downlink MIMO of up to 8 by 8 as described in release 10; – coordinated multipoint transmission (CoMP) with two proposed approaches: coordinated scheduling and/or beamforming, and joint processing/transmission (in release 11);
- 41. Introduction xxxv – heterogeneous network (Het-net) support including enhanced inter-cell interference coordination (eICIC); – relay. Figure I.2 shows the evolution flow: Figure I.2. The LTE project: milestones. Short history of the birth of a worldwide standard What is now called LTE had been proposed in 1998 as a successor to GSM, but was not chosen and 3G has been based on WCDMA mainly. LTE has been developed by 3GPP. Figure I.3. 3GGP logo After a long and difficult process in the 3GPP, ATT engineers succeeded to introduce LTE as a work item (3GPP, http://www.3gpp.org/specifications). Their concept was to describe a Simple communication Download Download & Upload Real time Latency Sensitive Seamless fixed mobile convergence File sharing, social networks Music, video, etc. Video conferencing, streaming video High QoS, real time services, high end VOD, MOD, etc. Mobile services Technology Increasingly powerful services for consumers
- 42. xxxvi LTE Standards “green field” system, which would have replaced all existing techniques and would provide, at last, a worldwide accepted technology. The emergence of LTE has been delayed by European actors, both mobile operators and industrial manufacturers, which had spent a huge amount of money for WCDMA, the 3G system called UMTS. Operators had to pay enormous fees for UMTS licenses; industrial companies had to pay high patent dues to Qualcomm for the use of a patented technology, even if UMTS is quite different from the Qualcomm’s CDMA2000. The Europeans insisted that LTE would be (and now is) quite compatible with GSM and its successors (WCDMA or TD-SCDMA, even when this second development seems strictly applicable to China). LTE is by many sides a revolutionary technology. Parallel to the 3GPP work, ITU-T set a work item for the future mobile communication system, first called FPLMNTS then renamed IMT to finish with IMT2000, followed by IMT Advanced. LTE release 8 is the first standard describing a working technology. Issued in 2008, this release 8 showed a system, which had no telephony service and was fully dedicated to Internet communications, and therefore had to fall back to GSM or WCDMA for telephony if not leaving the task to OTT applications. LTE was and is a pure Internet-based system deliberately designed for packet data communications. Packet communications are no longer a kind of wart added to a telephony system, like GPRS or EDGE for GSM, but the principal objective of a full “Internet multimedia system”. LTE had to wait for release 11 (at the end of 2012) to be able to provide a telephony service. Nevertheless, it has been recognized as the practical incarnation of IMT Advanced in 2010. This recognition has been eased by the renunciation of Qualcomm’s 3GPP2, the experts of which could not follow the breakthroughs obtained by the hundreds (maybe thousands) of engineers working on LTE. Moreover, the champion of CDMA2000, the American operator Verizon Wireless, was among the first in the world to roll out LTE.
- 43. Introduction xxxvii Some features will only be available in release 12 (at end of 2014) and probably later. It is expected that the “change requests” on LTE standards will continue to flourish until 2020. But now, the only competing standard is WIMAX, the IEEE 802.16 standard, which has evolved recently to somehow adopt the same technological choices as LTE on the radio path, especially OFDMA. Also, Wi-Fi, 802.11, in its last avatar has also switched to OFDMA. Wi-Fi is more in a position to compete since it has not at all the same business model, offering mainly free communications carried by unlicensed frequencies. The advantage of LTE on all competitors is that it is the only system which has a fully described and standardized core network, based on IMS. LTE has been the substrate of the frequency battle in ITU-R world radio conference 2007 with the American pushing for allocating the 700 MHz band to mobile communications (i.e. LTE) and the European deciding to offer to LTE high frequencies such as 2.6 GHz, 3.8 GHz and even higher. These frequencies may only be suitable for “Wi-Fi like” communications because at these high frequencies tens of thousands of base stations are needed with little chance to cover each more than one stretch of a street. They are obviously inadequate for the coverage of wide spaces, like a full country. Of course, on the opposite, the 700 MHz is excellent for the coverage of wide areas, e.g. the Middle West area. In urban areas, frequencies under 1 GHz are also much more efficient, as they better penetrate the buildings or the underground. The consequence of these choices is that LTE/4G is, in 2014, mainly rolled out in the United States and Canada using 700 MHz and 1800 MHz base stations. The market of many tens of millions of subscribers is a strong incentive to provide cheap and excellent smartphones following the American choices. The customers’ base in Northern America is already far over 100 million subscribers and increasing sharply. Not surprisingly, at the 2012 world radio conference (WRC 2012), African and Middle East countries pushed a motion requiring that, in Region 1, the 700 MHz band be allocated to mobile services, i.e. LTE,
- 44. xxxviii LTE Standards like in the USA. European delegations were not aware of this initiative and had to follow the movement. In Europe, at last the 800 MHz band has been freed for LTE, and the take off of LTE may be expected for the next five years. With around 20 million subscribers, LTE is far behind GSM and UMTS, considering the relative penetration rate. It will probably wait for 2015 when the next WRC 2015 will definitively allow the 700 MHz worldwide to LTE/4G. Already now, LTE is offered in the main European countries, such as the United Kingdom, Germany, France, Italy, Spain Belgium and Switzerland. In Europe, frequencies for LTE in the 800 MHz band are not optimal: while LTE allows us to engineer LTE with bandwidths from 1.4 MHz to 20 MHz, the allocations are limited to 5 MHz or 10 MHz. Of course, two allocations of 10 MHz, not adjacent, will carry less than one of 20 MHz and the ongoing proposals for the 700 MHz band do not seem to provide large bandwidths. Let us recall that “LTE Advanced” is supposed to receive 2 × 100 MHz in order to reach 1 Gbps downlink. I.2. High speed broadband mobile services: what the customers are waiting for I.2.1. Customers’ expectancies Demands for wireless data services are showing rapid growth due to evolved networks for high-speed connectivity, wide-scale deployment, flat-rate pricing plans and Internet-friendly devices (smartphones). Consumers rely heavily, and often exclusively, on mobile devices for their communications needs. Therefore, the normal trend is to require, from the mobile system, the same performances as the one offered by fixed networks with ADSL. Very high bit-rate DSL (VDSL), fiber optics or coaxial cable. This comparison raises the level of the bitrate upto 10 Mbps in the first step, and increases upto 30 Mbps. Officially, the target stands at 100 Mbps, the requirement assigned by ITU-T IMT Advanced, but as observed on the fixed networks, very few customers can make a proper use of such a bitrate.
- 45. Introduction xxxix Applications are developed to follow the technical improvement of the systems. They offer a whole range of services, which subsequently increases the request for more bandwidth and more capacity. Basically, they are composed of: – Internet applications, as for the fixed networks, including mail, downloads and interactive services; this covers laptops, PDAs and fixed broadband services: the most intuitive set of services that can be provided are related to all the fixed wired Digital Subscriber Line (DSL) Internet services that we have today, except that they should be provided wireless and should support mobility; – multimedia uploads and exchange services. The high uplink data rates of LTE allow for multimedia upload and exchange services such as file sharing, mobile blogging, social networking etc; – Internet applications specially designed for the mobile user, in particular location based services. The high data rates combined with mobility of LTE spurs a growth in development of newer and better consumer electronic goods leveraging these advantages. Better gaming consoles, vehicular entertainment systems, portable multimedia players, digital cameras with network capabilities and the likes will be introduced, which will add value to the technology; – television, especially download of movies; and real-time television needing some 4 Mbps or 5 Mbps with H264 or H265 encoding. In this category are premium video on demand/music on demand (VOD/MOD) services. LTE provides effective high data rates and differentiated QoS services. Operators can provide premium multimedia-based services such as VOD and MOD to subscribers who wish to avail such services. The critical point for these services will be superior quality coupled with ease of mobility; – and of course, telephony, with the possibility of wide band telephony (7 kHz instead of 4 kHz). It will support business applications for vertical markets. LTE allows operators to provide services to vertical business markets through business applications such as video conferencing to enterprise customers, video surveillance, services to homes. The list of services that can be provided through, is only restricted by our imagination. Limitless
- 46. xl LTE Standards applications can be supported through a truly mobile broadband infrastructure. Whichever are the services, wireless operators must also provide a high-quality cellular coverage anywhere customers want to communicate. This requirement is not related to broadband mobile services, it is the principal need for any mobile subscriber and for any service to be provided. Due to the high costs of backhaul, alternative means to improve cellular coverage in locations, which are difficult to reach, as well as to off-load traffic from the wireless networks. A way to fit to the subscribers’ wishes is to install femtocells, taking advantage of the home Internet high-speed link. It is a way to better support residential and small/home office applications. Vodafone UK was the first operator to launch a commercial femtocell service in Europe (July 2009). AT&T (2H 2009) and Verizon (early 2010) also launched commercial femtocell offerings. From a competitive perspective, femtocells can help mobile operators seize residential minutes from fixed providers, increase market share and respond to emerging Voice over Internet Protocol (VoIP) and Wi-Fi offerings. This of course implies a sharing agreement to be negotiated with the Internet service provider. From a QoS perspective, femtocells will improve the user experience in the home. This is essential for reducing churn and providing new revenues. Just recall that with the advent of smartphones, mobile communications are heavily using the Internet and high bitrates. A rapid increase of mobile data usage and the emergence of new applications such as Multimedia Online Gaming (MMOG), mobile TV, web 2.0, streaming contents have motivated the 3GPP to work on the LTE on the way toward 4G mobile.
- 47. Introduction xli I.2.2. Advantages of LTE for fulfilling these expectancies The main goal of LTE is to provide a high data rate, low latency and packet optimized radio access technology supporting flexible bandwidth deployments. At the same time its network architecture has been designed with the goal to support packet-switched traffic with seamless mobility and great QoS. LTE provides: – High throughput: high data rates can be achieved in both downlink as well as uplink. This causes high throughput. – Low latency: time required to connect to the network is in the range of a few hundred milliseconds and power saving states can now be entered and exited very quickly. – FDD and TDD in the same platform: FDD and Time Division Duplex (TDD), both schemes can be used on same platform. – Superior end-user experience: optimized signaling for connection establishment and other air interface and mobility management procedures have further improved the user experience. Reduced latency (to 10 ms) for better user experience. – Seamless Connection: LTE will also support seamless connection to existing networks such as GSM, CDMA and WCDMA. – Plug and play: the user does not have to manually install drivers for the device. Instead the system automatically recognizes the device, loads new drivers for the hardware if needed and begins to work with the newly connected device. – Simple architecture: because of simple architecture low operating expenditure (OPEX). I.2.3. How the advent of smartphones impacts customers’ expectations In recent years, the revolutionary event has been the introduction of the iPhone on the mobile market. Earlier, the mobile industry was under the constraints of operators, due to the common practice of
- 48. xlii LTE Standards operators buying millions of mobiles and including their delivery to the subscriber within the monthly subscription bill, especially in Europe. By these means, they have been able to banish many of the services, which the customer was very keen to obtain. Such applications were relatively easy to include in high-end mobiles, technically speaking. With the iPhone, Steve Jobs introduced a different paradigm. This paradigm has been the same as the one underlying the phenomenal success of “Minitel” in France. Developers are free to post applications into a common store – such as the “Applestore”, managed by Apple. Apple collects the fees from the customers and pays back a certain percentage to the author. In that value chain, the operator is limited to provision of the telecommunication duct and receives little money for the use of its network. Of course, operators adapted themselves to the new framework. They are now selling iPhones the same way as the other mobile terminals. Following the path opened by Apple, Google introduced Android, mainly based on Linux software, opened to any manufacturer without fee. As a result, Android is now the dominant standard for smartphones. Microsoftand Blackberry show little success in their smartphones at present. The Android world offers nearly the same applications as the Apple world. Among thousands of applications, it seems that location services and location based services are the key services. For this purpose, the smartphones include a GPS receiver and the necessary processor of the satellite signals, combined with precise maps of different areas of interest. However, smartphones include a Wi-Fi access, which is generally put as a priority choice. When Wi-Fi is present, the smartphone will automatically try to connect via the Wi-Fi, instead of the mobile network. Other successful applications are all kinds of games.
- 49. 1 LTE Standards and Architecture 1.1. 3rd generation partnership project (3GPP) 1.1.1. 3GPP history 3rd generation partnership project (3GPP) is a “de facto standard body”. It is not the only organization of this kind; let us quote OMA for the mobile services, 3rd generation partnership project 2 (3GPP2) for the Qualcomm CDMA IS95 system, and IEEE with its very successful 802 series. More selective for the choice of its members is “liberty alliance”. And there are plenty of others, with a more or less long lifetime. ITU-T has been the only worldwide body for telecommunication standards since 1866. International Telecommunication Union (ITU) has the possibility to consider the proposals rising from regional standardization bodies, which are backed by their state, like ANSI for the United States. ETSI was established by the European Union in order to fulfill this kind of task. “De facto standard bodies” are popping up and proliferating due to the will of industry and of the operators, without any recognition from the legal authorities. Nevertheless, the work they are realizing makes technology progress. The development of the Global System for Mobile communication (GSM) standard in the 1980s has been obtained essentially through a
- 50. 2 LTE Standards common work of state owned laboratories, in the framework of post and telecommunication administrations, such as CNET in France and FTZ in Germany. When the continuation of the drafting of various change requests was transferred to European Telecommunication Standard Institute (ETSI), it was returning somehow to the normal process. To elaborate the post-GSM standards, there was no suitable body because the aim of the promoters of Universal Mobile Telecommunications System (UMTS) was to associate non-European actors of the mobile business, in fact Chinese, North American, Japanese and South Korean representatives. The aim was to associate all the world’s actors in the mobile business. Therefore, the European manufacturers and mobile operators had to find a trick. They used a possibility offered by the ETSI rules a way it was not expected: the creation of a kind of temporary ad hoc group dedicated to a precise project, which was called 3GPP1. With the consensus of operators and manufacturers, the 3GPP was created in 1998. Of course, this 3GPP had no precise mandate at the beginning. At its first meeting, the delegates had to define the tasks and elaborate the rules. The short document settling the scope and objectives of 3GPP for its today’s activity has been signed in 2007. As a first legacy work, the 3GPP inherited the ETSI task of standardizing the evolution of GSM, now denominated global system for mobile communications. Among this evolution, the big inclusions have been general packet radio service (GPRS), then enhanced data rates for GSM evolution (EDGE). 3GPP had to provide contributions to the ITU work on the so called IMT 2000 project, and further to IMT advanced. 1 The 3GPP website contains all 3GPP specifications. They can be downloaded for free at http://www.3gpp.org/specifications. Descriptions of all 3GPP releases can be found at http://www.3gpp.org/ftp/Information.
- 51. LTE Standards and Architecture 3 Organization Country European Telecommunications Standards Institute ETSI Europe Telecommunication Technology Committee TTC Japan Association of Radio Industries and Businesses ARIB Japan Alliance for Telecommunications Industry Solutions ATIS USA China Communications Standards Association CCSA China Telecommunications Technology Association TTA Korea Table 1.1. 3GPP organizational partners 1.1.2. 3GPP, the current organization The 3GPP is presented as a collaboration working group between different standard bodies specialized in telecommunication. These organizations are called the organizational partners. These six 3GPP organizational partners meet regularly and ensure the completion of the following tasks: – approval and maintenance of the 3GPP scope; – maintenance of the partnership project description; – decision to create or cease technical specification groups; – approval of the scope and terms of reference of the technical specification groups; – approval of organizational partner funding requirements; – allocation of human and financial resources provided by the organizational partners to the project coordination group; – act as a body of appeal on procedural matters referred to them; – maintenance of the partnership project agreement; – approval of applications for 3GPP partnership; – decision on a possible dissolution of 3GPP.
- 52. 4 LTE Standards In fact, the standardization work has been done by experts coming from prominent mobile operators and from industry leaders. There has been no contribution from universities or academic research centers. The big contributions came from the mobile operators. Among them, the most active have been: – the Vodafone Group, having bought expensive third Generation (3G) licenses in Germany and in the United Kingdom, needed to control the Wideband Code Division Multiple Access (WCDMA) development; – China Telecom, the biggest mobile operator in the world; – ATT Wireless, which adopted GSM as an answer to Verizon Wireless commitment in CDMA 2000. Verizon was leading the 3GPP2, the standardization group copied on 3GPP dealing with CDMA 2000; – NTT DoCoMo, the main Japanese incumbent operator, facing the competition of KDDI and its CDMA 2000 network; – France Telecom (now Orange); – Deutsche Telekom; – And also Telecom Italia, Telefonica, British Telecom, SFR, Telenor, and most of the European mobile operators. For the industry counterpart, contributions mainly came from: – Ericsson; – Nokia; – Hua Wei; – ZTE; – LG; – Samsung; – Motorola; – NEC;
- 53. LTE Standards and Architecture 5 – Alcatel; – Lucent; – Nortel. The standards, at least at the beginning, are based on the GSM core specifications and the already available software, which had been successfully developed already, making GSM fully operational in 1998. It would have been crazy not to take advantage of the already optimized subsystems, such as the MAP. The mobile application part (MAP) is an SS7 protocol that provides an application layer for the various nodes in GSM and UMTS mobile core networks and GPRS core networks to communicate with each other in order to provide services to mobile phone users. The MAP is the application-layer protocol used to access the home location register (HLR), visitor location register, mobile switching center (MSC), equipment identity register, authentication centre, short message service center and serving GPRS support node (SGSN). From an agreement of all the organizational partners, ETSI hosts the “mobile competence center” (MCC) in Sophia Antipolis. This MCC has the task of keeping the whole standard documentation updated. MCC support team is also ensuring the logistics of the various 3GPP meetings, which take place in the different countries where they are invited. The MCC experts serve for a limited duration. They come from different countries, but the core team is composed of British citizens. The 3GPP organizational partners invite different market representation partners to provide advices on the market tendencies or requirements for the mobile communication business, mainly services, features and functionalities. These market representation partners have to sign the partnership project agreement, by which they commit themselves to all or part of 3GPP scope. They have no capability, nor authority to define, publish or set standards within the 3GPP scope, nationally or regionally. To date, these market representation partners include:
- 54. 6 LTE Standards Organization Purpose Website IMS Forum IMS dvpt imsforum TD-Forum TDSCDMA system tdscdma GSA GSM industry representatives gsacom GSM Association GSM operators gsmworld IPV6 Forum IPV6 ipv6forum UMTS Forum WCDMA umts 4G Americas 4G for America 4gamericas TD SCDMA Industry Alliance TDSCDMA system dscdma Info Communication Union icu Small Cell Forum (formerly Femto Forum) Femtocells smallcellforum CDMA Development Group cdg Cellular Operators Association of India (COAI) Operators in India coai Next Generation Mobile Networks (NGMN) ngmn TETRA and Critical Communications Association (TCCA) TETRA evolution tcca Table 1.2. Organization The highest decision making body in 3GPP is the Project Coordination Group. Is manages the overall timeframe and work progress. The work of 3GPP is orchestrated around four meetings a year (spring, summer, autumn and winter) of four technical specification groups (TSG). Three of them meet at the same time and in the same location: – radio access network (RAN); – core network and terminals (CT); – service and system aspects(SA).
- 55. Another Random Document on Scribd Without Any Related Topics
- 56. Southern mammoth. Etruscan rhinoceros. Hippopotamus. Primitive horse (Equus stenonis)? Sabre-tooth tiger. Broad-nosed rhinoceros. Straight-tusked elephant. Giant beaver (Trogontherium cuvieri). Short-faced hyæna. Typical Eurasiatic forest and meadow fauna, including deer, bison, and wild cattle. We have observed that from Torralba in the Province of Soria, Spain, to Abbeville, near the mouth of the Somme, in the north of France, three types of animals which entered Europe as early as Upper Pliocene times, namely, the Etruscan rhinoceros, the horse of Steno, and the sabre-tooth tiger, are said to occur in connection with early Chellean artifacts. The two former species may possibly be confused with early forms of Merck's rhinoceros and the true forest horses of Europe, but there can be no question as to the identification of the sabre-tooth tiger, numbers of which were found by M. d'Ault du Mesnil, at Abbeville, on the Somme, with early Chellean flints. The mammalian life of the Somme at this time, as found in the gisement du Champ de Mars near Abbeville, is very rich. Among the larger forms there is certainly the great southern mammoth (E. meridionalis trogontherii), and possibly also the straight-tusked elephant (E. antiquus). There are unquestionably two species of rhinoceros, the smaller of which is recognized by Boule as the Etruscan, and the larger as Merck's rhinoceros. Steno's horse is said to occur here, and there are abundant remains of the great hippopotamus (H. major); the sabre-tooth tigers were very numerous as attested by the discovery of the lower jaws of thirty or more individuals. The short-faced hyæna (H. brevirostris) is also found, and there are several species of deer and wild cattle.
- 57. This remarkably rich collection of mammals is associated with flints of primitive Chellean or, possibly, of Pre-Chellean type.(12) In Torralba, Spain, the same very ancient animals occur, and it appears possible that this was the prevailing mammalian life of Pre-Chellean times. We may conclude, therefore, that there is considerable evidence, although not as yet quite convincing, that the early Chellean flint workers arrived in western Europe before the disappearance of the Etruscan rhinoceros and the sabre-tooth tiger. The Pre-Chellean Stations (See Figs. 53 and 56.) The dawn of the Palæolithic Age is indicated in various river-drift stations by the appearance of crude flint weapons as well as tools or implements, in addition to the supposed tools of Eolithic times. There is an unmistakable effort to fashion the flint into a definite shape to serve a definite purpose: there can no longer be any question of human handiwork. Thus there gradually arise various types of flints, each of which undergoes its own evolution into a more perfect form. Naturally, the workers at some stations were more adept and inventive than at others. Nevertheless, the primitive stages of invention and of technique were carried from station to station; and thus for the first time we are enabled to establish the archæological age of various stations in western Europe. Only a few stations have been discovered where the Palæolithic men were first fashioning their flints into prototypes of the Chellean and Acheulean forms. With relation to the theory that these primitive flint workers may have entered Europe by way of the northern coast of Africa, we observe that these stations are confined to Spain, southern and northern France, Belgium, and Great Britain. Neither Pre-Chellean nor Chellean stations of unquestioned authenticity have been found in Germany or central Europe, and, so far as present
- 58. evidence goes, it would appear that the Pre-Chellean culture did not enter Europe directly from the east, or even along the northern coast of the Mediterranean, but rather along the northern coast of Africa,[W] where Chellean culture is recorded in association with mammalian remains belonging to the middle Pleistocene Epoch. The southernmost stations of Chellean culture at present known in Europe are those of Torralba and San Isidro, in central Spain. In the Department of the Gironde is the Chellean station of Marignac, and it is not unlikely that other stations will be discovered in the same region, because the Palæolithic races strongly favored the valleys of the Dordogne and Garonne, but thus far this is the only station known in southern France which represents this period of the dawn of human culture.
- 59. Fig. 60. Very primitive palæoliths from Piltdown, Sussex, consisting chiefly of tools and points of triangular and oval form, fashioned out of flint nodules split in two and flaked on one side only, with very coarse marginal retouch. After Dawson. Nos. 1 and 2 are nearly one-half actual size; No. 3 nearly one- quarter actual size. The chief Pre-Chellean and Chellean stations were clustered along the valleys of the Somme and Seine. Of those rare sites presenting a typical Pre-Chellean culture, we may note the neighboring stations of St. Acheul and Montières, both in the suburbs of Amiens on the Somme, and the station of Helin, near Spiennes, in Belgium, explored by Rutot. A very primitive and possibly Pre-Chellean culture was found on the site of the Champ de Mars, at Abbeville. This culture also extended westward across the broad plain which is now the Strait of Dover to the valley of the Thames, on whose northern bank is the important station of Gray's Thurrock, while farther to the south is the recently discovered site of Piltdown, in the valley of the Ouse, Sussex. The flint tools (Fig. 60) found in the layer immediately overlying the Piltdown skull are excessively primitive and indicate that the Piltdown flint workers had not attained the stage of craftsmanship described by Commont as 'Pre-Chellean' at St. Acheul. "Among the flints," observes Dawson, "we found several undoubted flint
- 60. implements besides numerous 'eoliths.' The workmanship of the former is similar to that of the Chellean or Pre-Chellean stage; but in the majority of the Piltdown specimens the work appears chiefly on one face of the implements." Fig. 61. Primitive coups de poing or 'hand-stones' of Pre-Chellean type, found in the lower gravels of the middle and high terraces at St. Acheul. After Commont. One- quarter actual size.
- 61. In the Helin quarry near Spiennes(13) occur rude prototypes of the Palæolithic coup de poing associated with numerous flakes which do not greatly differ from those in the lowest river-gravels of St. Acheul; there is a close correspondence in the workmanship of the two sites, so that we may regard the Mesvinian of Rutot[X] as a culture stage equivalent to the Pre-Chellean. The river-gravels and sands of Helin which contain the implements also resemble those of St. Acheul in their order of stratification. Of special interest is the fact that a primitive flint from this Helin quarry, known as the 'borer,' is strikingly similar to the 'Eolithic' borer found in the same layer with the Piltdown skull in Sussex. By such indications as this, when strengthened by further evidence of the same kind, we may be able eventually to establish the date both of this Pre-Chellean or Mesvinian culture and of the Piltdown race. In considering the Pre-Chellean implements found at St. Acheul in 1906, we note(14) that at this dawning stage of human invention the flint workers were not deliberately designing the form of their implements but were dealing rather with the chance shapes of shattered blocks of flint, seeking with a few well-directed blows to produce a sharp point or a good cutting edge. This was the beginning of the art of 'retouch,' which was done by means of light blows with a second stone instead of the hammer-stone with which the rough flakes were first knocked off. The retouch served a double purpose: Its first and most important object was further to sharpen the point or edge of the tool. This was done by chipping off small flakes from the upper side, so as to give the flint a saw-like edge. Its second object was to protect the hand of the user by blunting any sharp edges or points which might prevent a firm grip of the implement. Often the smooth, rounded end of the flint nodule, with crust intact, is carefully preserved for this purpose (Fig. 61). It is this grasping of the primitive tool by the hand to which the terms 'coup de poing,' 'Faustkeil,' and 'hand-axe' refer. 'Hand-stone' is, perhaps, the most fitting designation in our language, but it appears best to retain the original French designation, coup de poing.
- 62. Fig. 62. Primitive grattoir, or planing tool (side and edge views), of Pre-Chellean type, found in the lowest gravels of the terraces at St. Acheul. After Commont. One- quarter actual size. As the shape of the flint is purely due to chance, these Pre-Chellean implements are interpreted by archæologists chiefly according to the manner of retouch they have received. Already they are adapted to quite a variety of purposes, both as weapons of the chase and for trimming and shaping wooden implements and dressing hides. Thus Obermaier observes that the concave, serrated edges characteristic of some of these implements may well have been used for scraping the bark from branches and smoothing them down into poles; that
- 63. the rough coups de poing would be well adapted to dividing flesh and dressing hides; that the sharp-pointed fragments could be used as borers, and others that are clumsier and heavier as planes (see Fig. 62). The inventory of these ancestral Pre-Chellean forms of implements, used in industrial and domestic life, in the chase, and in war, is as follows: Grattoir, planing tool. Racloir, scraper. Perçoir, drill, borer. Couteau, knife. Percuteur, hammer-stone. Pierre de jet? throwing stone? Prototypes of coup de poing, hand-stone. It includes five, possibly six, chief types. The true coup de poing, a combination tool of Chellean times, is not yet developed in the Pre- Chellean, and the other implements, although similar in form, are more primitive. They are all in an experimental stage of development. Indications that this primitive industry spread over southeastern England as well, and that a succession of Pre-Chellean into Chellean culture may be demonstrated, occur in connection with the recent discovery of the very ancient Piltdown race. The Piltdown Race(15) The 'dawn man' is the most ancient human type in which the form of the head and size of the brain are known. Its anatomy, as well as its geologic antiquity, is therefore of profound interest and worthy of very full consideration. We may first review the authors' narrative of this remarkable discovery and the history of opinion concerning it.
- 64. Piltdown, Sussex, lies between two branches of the Ouse, about 35 miles south and slightly to the east of Gray's Thurrock, the Chellean station of the Thames. To the east is the plateau of Kent, in which many flints of Eolithic type have been found. Fig. 63. Discovery site of the famous Piltdown skull near Piltdown, Sussex. After Dawson. A shallow pit of dark- brown gravel, at the bottom of which were found the fragments of the skull and a single primitive implement of
- 65. worked flint (see Fig. 65). The gravel layer in which the Piltdown skull occurred is situated on a well-defined plateau of large area and lies about 80 feet above the level of the main stream of the Ouse. Remnants of the flint-bearing gravels and drifts occur upon the plateau and the slopes down which they trail toward the river and streams. This region was undoubtedly favorable to the flint workers of Pre-Chellean and Chellean times. Kennard(16) believes that the gravels are of the same age as those of the 'high terrace' of the lower valley of the Thames; the height above the stream level is practically the same, namely, about 80 feet. Another geologist, Clement Reid,(17) holds that the plateau, composed of Wealden chalk, through which flowed the stream bearing the Piltdown gravels, belongs to a period later than that of the maximum depression of Great Britain; that the deposits are of Pre-Glacial or early Pleistocene age; that they belong to the epoch after the cold period of the first glaciation had passed but occur at the very base of the succession of implement-bearing deposits in the southeast of England. On the other hand, Dawson,(18) the discoverer of the Piltdown skull, in his first description states: "From these facts it appears probable that the skull and mandible cannot safely be described as being of earlier date than the first half of the Pleistocene Epoch. The individual probably lived during the warm cycle in that age." The section of the gravel bed (Fig. 64) indicates that the remains of the Piltdown man were washed down with other fossils by a shallow stream charged with dark-brown gravel and unworked flints; some of these fossils were of Pliocene times from strata of the upper parts of the stream. In this channel were found the remains of a number of animals of the same age as the Piltdown man, a few flints resembling eoliths, and one very primitive worked flint of Pre- Chellean type, which may also have been washed down from
- 66. deposits of earlier age. These precious geologic and archæologic records furnish the only means we have of determining the age of Eoanthropus, the 'dawn man,' one of the most important and significant discoveries in the whole history of anthropology. We are indebted to the geologist Charles Dawson and the palæontologist Arthur Smith Woodward for preserving these ancient records and describing them with great fulness and accuracy as follows (pp. 132 to 139): Several years ago Dawson discovered a small portion of an unusually thick human parietal bone, taken from a gravel bed which was being dug for road-making purposes on a farm close to Piltdown Common. In the autumn of 1911 he picked up among the rain-washed spoil- heaps of the same gravel-pit another and larger piece of bone belonging to the forehead region of the same skull and including a portion of the ridge extending over the left eyebrow. Immediately impressed with the importance of this discovery, Dawson enlisted the co-operation of Smith Woodward, and a systematic search was made in these spoil-heaps and gravels, beginning in the spring of 1912; all the material was looked over and carefully sifted. It appears that the whole or greater part of the human skull had been scattered by the workmen, who had thrown away the pieces unnoticed. Thorough search in the bottom of the gravel bed itself revealed the right half of a jaw, which was found in a depression of undisturbed, finely stratified gravel, so far as could be judged on the spot identical with that from which the first portions of the cranium were exhumed. A yard from the jaw an important piece of the occipital bone of the skull was found. Search was renewed in 1913 by Father P. Teilhard, of Chardin, a French anthropologist, who fortunately recovered a single canine tooth, and later a pair of nasal bones were found, all of which fragments are of very great significance in the restoration of the skull.
- 67. Fig. 64. Geologic section of the Piltdown gravel bed, showing in restored outlines at the bottom of layer 3 the position in which the fragments of the skull and jaw were found. After Dawson. 1. Surface soil, with flints. Thickness = 1 foot. 2. Pale-yellow sandy loam with gravel and flints.
- 68. One Palæolithic worked flint was found in the middle of this bed. Thickness = 2 feet, 6 inches. 3. Dark-brown gravel, with flints, Pliocene rolled fossils and Eoanthropus skull, beaver tooth, 'eoliths' and one worked flint. Thickness = 18 inches. 4. Pale-yellow clay and sand. Thickness = 8 inches. 5. Undisturbed strata of Wealden age. The jaw appears to have been broken at the symphysis, and somewhat abraded, perhaps after being caught in the gravel before it was completely covered with sand. The fragments of the cranium show little or no signs of stream rolling or other abrasion save an incision caused by the workman's pick. Analysis of the bones showed that the skull was in a condition of fossilization, no gelatine or organic matter remained, and mingled with a large proportion of the phosphates, originally present, was a considerable proportion of iron.[Y]
- 69. Fig. 65. The single worked flint of very primitive type found in the same layer (3) with the fragments of the Piltdown skull. After Dawson. One-half actual size. The dark gravel bed (Fig. 64, layer 3), 18 inches in thickness, at the bottom of which the skull and jaw were found, contained a number of fossils which manifestly were not of the same age as the skull but were certainly from Pliocene deposits up-stream; these included the water-vole and remains of the mastodon, the southern mammoth, the hippopotamus, and a fragment of the grinding-tooth of a primitive elephant, resembling Stegodon. In the spoil-heaps, from which it is believed the skull of the Piltdown man was taken, were found an upper tooth of a rhinoceros, either of the Etruscan or of Merck's type; the tooth of a beaver and of a hippopotamus, and the leg-bone of a deer, which may have been cut or incised by man. Much more distinctive was a single flint (Fig. 65), worked only on one side, of the very primitive or Pre-Chellean type. Implements of
- 70. this stage, as the author observes, are difficult to classify with certainty, owing to the rudeness of their workmanship; they resemble certain rude implements occasionally found on the surface of the chalk downs near Piltdown. The majority of the flints found in the gravel were worked only on one face; their form is thick, and the flaking is broad and sparing; the original surface of the flint is left in a smooth, natural condition at the point grasped by the hand; the whole implement thus has a very rude and massive form. These flints appear to be of even more primitive form than those at St. Acheul described as Pre-Chellean by Commont.
- 71. Fig. 66. Eoliths found in or near the Piltdown gravel-pit. After Dawson. One-half actual size. a. Borer (above). b. Curved scraper (below). The eoliths found in the gravel-pit and in the adjacent fields are of the 'borer' and 'hollow-scraper' forms; also, some are of the 'crescent-shaped-scraper' type, mostly rolled and water-worn, as if transported from a distance. This is a stream or river bed, not a Palæolithic quarry. There can be little doubt, however, that the Piltdown man belonged to a period when the flint industry was in a very primitive stage, antecedent to the true Chellean. It has subsequently been observed that the gravel strata(3) containing the Piltdown man were deeper than the higher stratum containing flints nearer the Chellean type. The discovery of this skull aroused as great or greater interest even than that attending the discovery of the two other 'river-drift' races, the Trinil and the Heidelberg. In this discussion the most distinguished anatomists of Great Britain, Arthur Smith Woodward, Elliot Smith, and Arthur Keith, took part, and finally the original pieces were re-examined by three anatomists of this country.[Z]
- 72. Fig. 67. Skull of South African Bushman (upper) exhibiting the contrast in the structure of the jaw and forehead. One- quarter life size. Original restoration of the Piltdown skull (lower) made by Smith Woodward in 1913. One-quarter life size.
- 73. It is important to present in full the original opinions of Smith Woodward, who devoted most careful study to the first reconstruction of the skull (Fig. 67), a model which was subsequently modified by the actual discovery of one of the canine teeth. In his original description it is observed that the pieces of the skull preserved are noteworthy for the great thickness of the bone, it being 11 to 12 mm. as compared with 5 to 6 mm., the average thickness in the modern European skull, or 6 to 8 mm., the thickness in the skull of the Neanderthal races and in that of the modern Australian; the cephalic index is estimated at 78 or 79, that is, the skull is believed to have been proportionately low and wide, almost brachycephalic; there was apparently no prominent or thickened ridge above the orbits, a feature which immediately distinguishes this skull from that of the Neanderthal races; the several bones of the brain-case are typically human and not in the least like those of the anthropoid apes; the brain capacity was originally estimated at 1070 c.cm., not equalling that of some of the lowest brain types in the existing Australian races and decidedly below that of the Neanderthal man of Spy and La Chapelle-aux-Saints; the nasal bones are typically human but relatively small and broad, so that the nose was flattened, resembling that in some of the existing Malay and African races.
- 74. Fig. 68. Three views of the Piltdown skull as reconstructed by J. H. McGregor, 1915. This restoration includes the nasal bones and canine tooth, which were not known at the time of Smith Woodward's reconstruction of 1913. One-quarter life size.
- 75. The jaw presents profoundly different characters; the whole of the bone preserved closely resembles that of a young chimpanzee; thus the slope of the bony chin as restored is between that of an adult ape and that of the Heidelberg man, with an extremely receding chin; the ascending portion of the jaw for the attachment of the temporal muscles is broad and thickened anteriorly. Associated with the jaw were two elongated molar teeth, worn down by use to such an extent that the individual could not have been less than thirty years of age and was probably older. These teeth are relatively longer and narrower than those in the modern human jaw. The canine tooth, identified by Smith Woodward as belonging in the lower jaw, strengthened by the evidence afforded by the jaw itself, proves that the face was elongate or prognathous and that the canine teeth were very prominent like those of the anthropoid apes; it affords definite proof that the front teeth of the Piltdown man resembled those of the ape. The author's conclusion is that while the skull is essentially human, it approaches the lower races of man in certain characters of the brain, in the attachment of the muscles of the neck, in the large extent of the temporal muscles attached to the jaw, and in the probably large size of the face. The mandible, on the other hand, appears precisely like that of the ape, with nothing human except the molar teeth, and even these approach the dentition of the apes in their elongate shape and well-developed fifth or posterior intermediate cusp. This type of man, distinguished by the smooth forehead and supraorbital borders and ape-like jaw, represents a new genus called Eoanthropus, or 'dawn man,' while the species has been named dawsoni in honor of the discoverer, Charles Dawson. This very ancient type of man is defined by the ape-like chin and junction of the two halves of the jaw, by a series of parallel grinding-teeth, with narrow lower molar teeth, which do not diminish in size backward, and by the steep forehead and slight development of the brow ridges. The jaw manifestly differs from that of the Heidelberg man in
- 76. its comparative slenderness and relative deepening toward the symphysis. The discussion of this very important paper by Smith Woodward and Dawson centred about two points. First, whether the ape-like jaw really belonged with the human skull rather than with that of some anthropoid ape which happened to be drifted down in the same stratum; and second, whether the extremely low original estimate of the brain capacity of 1070 c.cm., was not due to incorrect adjustment or reconstruction of the separate pieces of the skull. Keith,(19) the leader in the criticism of Woodward's reconstruction, maintained that when the two sides of the skull were properly restored and made approximately symmetrical, the brain capacity would be found to equal 1500 c.cm.; the brain cast of the skull even as originally reconstructed was found to be close to 1200 c.cm. This author agreed that skull, jaw, and canine tooth belonged to Eoanthropus but that they could not well belong to the same individual. In defense of Woodward's reconstruction came the powerful support of Elliot Smith.(20) He maintained that the evidence afforded by the re-examination of the bones corroborated in the main Smith Woodward's identification of the median plane of the skull; further, that the original reconstruction of the prognathous face was confirmed by the discovery of the canine tooth, also that there remained no doubt that the association of the skull, the jaw, and the canine tooth was a correct one. The back portion of the skull is decidedly asymmetrical, a condition found both in the lower and higher races of man. A slight rearrangement and widening of the bones along the median upper line of the skull raise the estimate of the brain capacity to 1100 c.cm. as the probable maximum. Elliot Smith continued that he considered the brain to be of a more primitive kind than any human brain that he had ever seen, yet that it could be called human and that it already showed a considerable development of those parts which in modern man we associate with
- 77. the power of speech; thus, there was no doubt of the unique importance of this skull as representing an entirely new type of "man in the making." As regards the form of the lower jaw, it was observed that in the dawn of human existence teeth suitable for weapons of offense and defense were retained long after the brain had attained its human status. Thus the ape-like form of the chin does not signify inability to speak, for speech must have come when the jaws were still ape-like in character, and the bony changes that produced the recession of the tooth line and the form of the chin were mainly due to sexual selection, to the reduction in the size of the grinding-teeth, and, in a minor degree, to the growth and specialization of the muscles of the jaw and tongue employed in speech.
- 78. Fig. 69. The Piltdown skull with the right half removed to display the extreme thickness of the bones and the shape of the brain. As restored by J. H. McGregor. One-quarter life size. Fig. 70. Outline of the left side of the Piltdown brain, compared with similar brain outlines of a chimpanzee and of a high type of modern man. One-half life size.
- 79. At first sight the brain-case resembles that of the Neanderthal skull found at Gibraltar, which is supposed to be that of a woman; it is relatively long, narrow, and especially flat, but it is smaller and presents more primitive features than those of any known human brain. Taking all these features into consideration, we must regard this as being the most primitive and most ape-like human brain so far recorded; one such as might reasonably be associated with a jaw which presented such distinctive ape characters. The brain, however, is far more human than the jaw, from which we may infer that the evolution of the brain preceded that of the mandible, as well as the development of beauty of the face and the human development of the bodily characters in general. The latest opinion of Smith Woodward[AA] is that the brain, while the most primitive which has been discovered, had a bulk of nearly 1300 c.cm., equalling that of the smaller human brains of to-day and surpassing that of the Australians, which rarely exceeds 1250 c.cm. The original views of Smith Woodward and of Elliot Smith regarding the relation of the Piltdown race to the Heidelberg and Neanderthal races are also of very great interest and may be cited. First, the fact that the Piltdown and Heidelberg races are almost of the same geologic age proves that at the end of the Pliocene Epoch the representatives of man in western Europe had already branched into widely divergent groups: the one (Heidelberg-Neanderthal) characterized by a very low projecting forehead, with a subhuman head of Neanderthaloid contour; the other with a flattened forehead and with an ape-like jaw of the Piltdown contour. We should not forget that in the Piltdown skull the absence of prominent ridges above the eyes may possibly be due in some degree to the fact that the type skull may belong to a female, as suggested by certain characters of the jaw; but among all existing apes the skull in early life has the rounded shape of the Piltdown skull, with a high forehead and scarcely any brow ridges. It seems reasonable, therefore, to interpret the Piltdown skull as exhibiting a closer resemblance to the skulls of our human ancestors in mid-Tertiary
- 80. times than any fossil skull hitherto found. If this view be accepted, we may suppose that the Piltdown type became gradually modified into the Neanderthal type by a series of changes similar to those passed through by the early apes as they evolved into typical modern apes, with their low brows and prominent ridges above the eyes. This would tend to support the theory that the Neanderthal men were degenerate offshoots of the Tertiary race, of which the Piltdown skull provides the first discovered evidence—a race with a simple, flattened forehead and developed eye ridges. Fig. 71. Restoration of the head of Piltdown man, in profile, based upon the reconstruction shown in Fig. 68, p.
- 81. 137. After model by J. H. McGregor. One- quarter life size. Elliot Smith concluded that members of the Piltdown race might well have been the direct ancestors of the existing species of man (Homo sapiens), thus affording a direct link with undiscovered Tertiary apes; whereas, the more recent fossil men of the Neanderthal type, with prominent brow ridges resembling those of the existing apes, may have belonged to a degenerate race which later became extinct. According to this view, Eoanthropus represents a persistent and very slightly modified descendant of the type of Tertiary man which was the common ancestor of a branch giving rise to Homo sapiens, on the one hand, and of another branch giving rise to Homo neanderthalensis, on the other.
- 82. Fig. 72. Restoration of the head of Piltdown man, full front, after model by J. H. McGregor. One-quarter life size. (Compare Figs. 68 and 71.) Another theory as to the relationships of Eoanthropus is that of Marcelin Boule,(21) who is inclined to regard the jaws of the Piltdown and Heidelberg races as of similar geologic age, but of dissimilar racial type. He continues: "If the skull and jaw of Piltdown belong to the same individual, and if the mandibles of the Heidelberg and Piltdown men are of the same type, this discovery is most valuable in establishing the cranial structure of the Heidelberg race. But it
- 83. appears rather that we have here two types of man which lived in Chellean times, both distinguished by very low cranial characters. Of these the Piltdown race seems to us the probable ancestor in the direct line of the recent species of man, Homo sapiens; while the Heidelberg race may be considered, until we have further knowledge, as a possible precursor of Homo neanderthalensis." The latest opinion of the German anatomist Schwalbe(22) is that the proper restoration of the region of the chin in the Piltdown man might make it possible to refer this jaw to Homo sapiens, but this would merely prove that Homo sapiens already existed in early Pleistocene times. The skull of the Piltdown man, continues Schwalbe, corresponds with that of a well-developed, good-sized skull of Homo sapiens; the only unusual feature is the remarkable thickness of the bone.[AB] Finally, our own opinion is that the Piltdown race was not related at all either to the Heidelbergs or to the Neanderthals, nor was it directly ancestral to any of the other races of the Old Stone Age, or to any of the existing species of man. As shown in the human family tree in Chapter VI, the Piltdown race represents a side branch of the human family which has left no descendants at all. Mammalian Life of Chellean and Acheulean Times(23) Southern mammoth. Hippopotamus. Straight-tusked elephant. Broad-nosed rhinoceros. Spotted hyæna. Lion. Bison and wild ox. Red deer. Roe-deer. Giant deer.
- 84. Brown bear. Wolf. Badger. Marten. Otter. Beaver. Hamster. Water-vole. The mammalian life which we find with the more advanced implements of Chellean times apparently does not include the old Pliocene mammals, such as the Etruscan rhinoceros and the sabre- tooth tiger. With this exception it is so similar to that of Second Interglacial times that it may serve to prove again that the third glaciation was a local episode and not a wide-spread climatic influence. This life is everywhere the same, from the valley of the Thames, as witnessed in the low river-gravels of Gray's Thurrock and Ilford, to the region of the present Thuringian forests near Weimar, where it is found in the deposits of Taubach, Ehringsdorf, and Achenheim, in which the mammals belong to the more recent date of early Acheulean culture. The life of this great region during Chellean and early Acheulean times was a mingling of the characteristic forest and meadow fauna of western Europe with the descendants of the African-Asiatic invaders of late Pliocene and early Pleistocene times.
- 85. Pl. IV. The Piltdown man of Sussex, England. Antiquity variously estimated at 100,000 to 300,000 years. The ape-like structure of the jaw does not prevent the expression of a considerable degree of intelligence in the face. After the restoration modelled by J. H. McGregor.
- 86. The forests were full of the red deer (Cervus elaphus), of the roe- deer (C. capreolus), and of the giant deer (Megaceros), also of a primitive species of wild boar (Sus scrofa ferus) and of wild horses probably representing more than one variety. The brown bear (Ursus arctos) of Europe is now for the first time identified; there was also a primitive species of wolf (Canis suessi). The small carnivora of the forests and of the streams are all considered as closely related to existing species, namely, the badger (Meles taxus), the marten (Mustela martes), the otter (Lutra vulgaris), and the water-vole (Arvicola amphibius). The prehistoric beaver of Europe (Castor fiber) now replaces the giant beaver (Trogontherium) of Second Interglacial times. Among the large carnivora, the lion (Felis leo antiqua) and the spotted hyæna (H. crocuta) have replaced the sabre-tooth tiger and the striped hyæna of early Pleistocene times. Four great Asiatic mammals, including two species of elephants, one species of rhinoceros, and the hippopotamus, roamed through the forests and meadows of this warm temperate region. The horse of this period is considered(24) to belong to the Forest or Nordic type, from which our modern draught-horses have descended. The lions and hyænas which abounded in Chellean and early Acheulean times are in part ancestors of the cave types which appear in the succeeding Reindeer or Cavern Period. In general, this mammalian life of Chellean and early Acheulean times in Europe frequented the river shores and the neighboring forests and meadows favored by a warm temperate climate with mild winters, such as is indicated by the presence of the fig-tree and of the Canary laurel in the region of north central France near Paris. Undoubtedly the Chellean and Acheulean hunters had begun the chase both of the bison, or wisent (B. priscus), and of the wild cattle, or aurochs.[AC]
- 87. This warm temperate mammalian life spread very widely over northern Europe, as shown especially in the distribution (Fig. 44) of the hippopotamus, the straight-tusked elephant, and Merck's rhinoceros. The latter pair were constant companions and are seen to have a closely similar and somewhat more northerly range than the hippopotamus, which is rather the climatic companion of the southern mammoth and ranges farther south. These animals in the gravel and sand layers along the river slopes and 'terraces' mingled their remains with the artifacts of the flint workers. For example, in the gravel 'terraces' of the Somme we find the bones of the straight- tusked elephant and Merck's rhinoceros in the same sand layers with the Chellean flints. Thus the men of Chellean times may well have pursued this giant elephant (E. antiquus) and rhinoceros (D. merckii) as their tribal successors in the same valley hunted the woolly mammoth and woolly rhinoceros. Distribution of the Chellean Implements All over the world may be found traces of a Stone Age, ancient or modern, primitive implements of stone and flint analogous to those of the true Chellean period of western Europe but not really identical when very closely compared. These represent the early attempts of the human hand, directed by the primitive mind, to fashion hard materials into forms adapted to the purposes of war, the chase, and domestic life. The result is a series of parallels in form which come under the evolution principle of convergence. Thus, in all the continents except Australia—in Europe, in Asia, and even in North and South America—primitive races have passed through an industrial stage similar to the typical Chellean of western Europe. This we should rather attribute to a similarity in human invention and in human needs than to the theory that the Chellean industry originated at some particular centre and travelled in a slowly enlarging wave over the entire world.
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