Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 2

TABLE OF CONTENTS
I NTRODUCTI ON ......................................................................................................... 4  
BROADBAND TRENDS ................................................................................................ 6 
Transit ion t o 4G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 
Wireless versus Wireline Advances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 
Bandwidt h Management Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 
Mobile Broadband Cost and Capacit y Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 
WI RELESS DATA MARKET ........................................................................................ 12  
Market Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 
EDGE/ HSPA/ HSPA+ / LTE Deployment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 
St at ist ics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 
WI RELESS TECHNOLOGY EVOLUTI ON ..................................................................... 16  
3GPP Evolut ionary Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 
Spect rum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 
Core- Net work Evolut ion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 
Service Evolut ion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 
Voice Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 
Device I nnovat ion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 
Net work I nt erfaces for Applicat ions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 
Mobile Applicat ion Archit ect ures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 
Broadband- Wireless Deployment Considerat ions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 
Dat a Offload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 
Feat ure and Net work Roadmap . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 
Deployment Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 
COMPETI NG TECHNOLOGI ES ................................................................................... 34  
CDMA2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 
WiMAX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 
Municipal Wi- Fi Syst ems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 
COMPARI SON OF WI RELESS TECHNOLOGI ES .......................................................... 39  
Dat a Throughput . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 
HSDPA Throughput in Represent at ive Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 
Release 99 and HSUPA Uplink Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 
HSPA+ Throughput . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 
LTE Throughput . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 
Lat ency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 
Spect ral Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 
Cost , Volume, and Market Comparison . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 
Compet it ive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 
CONCLUSI ON ........................................................................................................... 64  
APPENDI X: TECHNOLOGY DETAI LS ......................................................................... 66 
Spect rum Bands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 
EDGE/ EGPRS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 
Evolved EDGE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 
UMTS- HSPA Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 
UMTS Release 99 Dat a Capabilit ies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 
HSDPA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 


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HSUPA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 
Evolut ion of HSPA ( HSPA+ ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85 
HSPA Voice Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 
3GPP LTE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 
4G, I MT- Advanced and LTE- Advanced . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 
UMTS TDD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 
TD- SCDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 
I MS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 
Het erogeneous Net works and Self Opt imizat ion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 
Broadcast / Mult icast Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 
EPC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 
Whit e Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120 
ABBREVI ATI ONS ................................................................................................... 121  
ADDI TI ONAL I NFORMATI ON ................................................................................. 127  
REFERENCES ......................................................................................................... 127  


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Introduction
Over t he past year, t he promise of mobile broadband has become realit y as many t ens of
millions of users have act ively st art ed using smart phones, t ablet s, net books, and lapt ops
wit h wireless connect ions. Yet , we are only scrat ching t he surface of what is t o come. This
will be t he decade of “ anywhere” social exist ence, work, and ent ert ainment .
Maj or development s t his past year include 3
rd
Generat ion ( 3G) ubiquit y, deepening
smart phone capabilit y, t he availabilit y of hundreds of t housands of mobile applicat ions, t he
int roduct ion of new form fact ors such as t ablet s, proj ect ions of mobile- dat a demand
exceeding capacit y, acknowledgment by indust ry and government of t he need for more
spect rum, implement at ion of dat a offload via Wi- Fi, dramat ic performance increases t hrough
HSPA enhancement s, init ial deployment s of LTE t echnology, and significant progress on
specificat ions t hat will meet “ t rue” Fourt h Generat ion ( 4G) requirement s.
3G t echnology has shown us t he power and pot ent ial of always- on, everyplace net work
connect ivit y and has ignit ed a massive wave of indust ry innovat ion t hat spans devices,
applicat ions, I nt ernet int egrat ion, and new business models. Already used by hundreds of
millions of people, mobile broadband connect ivit y is on t he verge of becoming ubiquit ous. I t
will do so on a powerful foundat ion of net working t echnologies including Global Syst em for
Mobile Communicat ions ( GSM) wit h Enhanced Dat a Rat es for GSM Evolut ion ( EDGE) , High
Speed Packet Access ( HSPA) , and Long Term Evolut ion ( LTE) . LTE in a fort hcoming release
called LTE- Advanced will be one of t he first t echnologies t o meet t he requirement s of
I nt ernat ional Mobile Telecommunicat ions Advanced ( I MT- Advanced) , a proj ect of t he
I nt ernat ional Telecommunicat ions Union ( I TU) .
Through const ant innovat ion, Universal Mobile Telecommunicat ions Syst em ( UMTS) wit h
HSPA t echnology has est ablished it self as t he global, mobile- broadband solut ion. Building on
t he phenomenal success of GSM, t he GSM- HSPA ecosyst em has become t he most successful
communicat ions t echnology family ever. Through a process of const ant improvement , t he
GSM family of t echnologies has not only mat ched or exceeded t he capabilit ies of all
compet ing approaches, but has significant ly ext ended t he life of each of it s member
t echnologies.
HSPA is st rongly posit ioned t o be t he dominant mobile- dat a t echnology for t he next five t o
t en years. To leverage operat or invest ment s in HSPA, t he Third Generat ion Part nership
Proj ect ( 3GPP) st andards body has developed a series of enhancement s t o creat e “ HSPA
Evolut ion, ” also referred t o as “ HSPA+ . ” HSPA+ represent s a logical development of t he
Wideband Code Division Mult iple Access ( WCDMA) approach, and it is t he st epping st one t o
an ent irely new 3GPP radio plat form called 3GPP LTE. LTE, which uses Ort hogonal Frequency
Division Mult iple Access ( OFDMA) , is seeing init ial deployment t his year. Simult aneously,
3GPP—recognizing t he significant worldwide invest ment s in GSM net works—has defined
enhancement s t hat will significant ly increase EDGE dat a capabilit ies t hrough an effort called
Evolved EDGE.
Combined wit h t hese improvement s in radio- access t echnology, 3GPP has also spearheaded
t he development of maj or core- net work archit ect ure enhancement s such as t he I P
Mult imedia Subsyst em ( I MS) and t he Evolved Packet Core ( EPC) , previously called Syst em
Archit ect ure Evolut ion ( SAE) . These development s will facilit at e new t ypes of services, t he
int egrat ion of legacy and new net works, t he convergence of fixed and wireless syst ems, and
t he t ransit ion from circuit - swit ched approaches for voice t raffic t o a fully packet - swit ched
model.
The result is a balanced port folio of complement ary t echnologies t hat covers bot h radio-
access and core net works, provides operat ors maximum flexibilit y in how t hey enhance t heir
net works over t ime, and support s bot h voice and dat a services.


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This paper discusses t he evolut ion of EDGE, HSPA enhancement s, 3GPP LTE, t he capabilit ies
of t hese t echnologies, and t heir posit ion relat ive t o ot her primary compet ing t echnologies. I t
explains how t hese t echnologies fit int o t he I TU roadmap t hat leads t o I MT- Advanced. The
following are some of t he import ant observat ions and conclusions of t his paper:
 The wireless t echnology roadmap now ext ends t o I MT- Advanced wit h LTE- Advanced
being one of t he first t echnologies defined t o meet I MT- Advanced requirement s. LTE-
Advanced will be capable of peak t hroughput rat es t hat exceed 1 gigabit per second
( Gbps) .
 Fut ure net works will be net works of net works, consist ing of mult iple- access
t echnologies, mult iple bands, widely- varying coverage areas, all self- organized and
self- opt imized.
 GSM- HSPA
1
has an overwhelming global posit ion in t erms of subscribers, deployment ,
and services. I t s success will cont inue t o marginalize ot her wide- area wireless
t echnologies.
 I n current deployment s, HSPA users regularly experience t hroughput rat es well in
excess of 1 megabit per second ( Mbps) under favorable condit ions, on bot h downlinks
and uplinks, wit h 4 Mbps downlink speed commonly being measured. Planned
enhancement s such as dual- carrier operat ion will double peak user- achievable
t hroughput rat es.
 HSPA+ provides a st rat egic performance roadmap advant age for incumbent GSM-
HSPA operat ors. Feat ures such as mult i- carrier operat ion, Mult iple I nput Mult iple
Out put ( MI MO) , and higher- order modulat ion offer operat ors mult iple opt ions for
upgrading t heir net works, wit h many of t hese feat ures ( e. g. , mult i- carrier, higher-
order modulat ion) being available as net work soft ware upgrades. Wit h all planned
feat ures implement ed, HSPA+ peak rat es will event ually reach 168 Mbps.
 HSPA+ wit h 2x2 MI MO, successive int erference cancellat ion, and 64 Quadrat ure
Amplit ude Modulat ion ( QAM) is more spect rally efficient t han compet ing t echnologies
including Worldwide I nt eroperabilit y for Microwave Access ( WiMAX) Release 1. 0.
 The 3GPP OFDMA approach used in LTE mat ches or exceeds t he capabilit ies of any
ot her OFDMA syst em. Peak t heoret ical downlink rat es are 326 Mbps in a 20 MHz
channel bandwidt h. LTE assumes a full I nt ernet Prot ocol ( I P) net work archit ect ure,
and it is designed t o support voice in t he packet domain.
 LTE has become t he t echnology plat form of choice as GSM- UMTS and Code Division
Mult iple Access ( CDMA) / One Carrier Evolved, Dat a Opt imized ( EV- DO) operat ors are
making st rat egic, long- t erm decisions on t heir next - generat ion plat forms.
 GSM- HSPA will comprise t he overwhelming maj orit y of subscribers over t he next five
t o t en years, even as new wireless t echnologies are adopt ed. The deployment of LTE
and it s coexist ence wit h UMTS- HSPA will be analogous t o t he deployment of UMTS-
HSPA and it s coexist ence wit h GSM.
 3GPP has made significant progress on how t o enhance LTE t o meet t he requirement s
of I MT- Advanced in a proj ect called LTE- Advanced. LTE- Advanced is expect ed t o be
t he first t rue 4G syst em available. Specificat ions are scheduled t o be complet ed in
March of 2011, wit h earliest availabilit y for deployment in 2012.
 HSPA- LTE has significant economic advant ages over ot her wireless t echnologies.

1
This paper’s use of t he t erm “ GSM- HSPA” includes GSM, EDGE, UMTS, HSPA and HSPA+ .
“ UMTS- HSPA” refers t o UMTS t echnology deployed in conj unct ion wit h HSPA capabilit y.


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 WiMAX has developed an ecosyst em support ed by many companies, but it will st ill
represent only a very small percent age of wireless subscribers over t he next five
years.
 EDGE t echnology has proven ext remely successful and is widely deployed on GSM
net works globally. Advanced capabilit ies wit h Evolved EDGE can double and
event ually quadruple current EDGE t hroughput rat es, halve lat ency, and increase
spect ral efficiency.
 EPC will provide a new core net work t hat support s bot h LTE and int eroperabilit y wit h
legacy GSM- UMTS radio- access net works and non- 3GPP- based radio access net works.
Policy- based charging and cont rol provides flexible qualit y- of- service management ,
enabling new t ypes of applicat ions, as well as billing arrangement s.
 I nnovat ions such as EPC and UMTS one- t unnel archit ect ure will “ flat t en” t he net work,
simplifying deployment and reducing lat ency.
This paper begins wit h an overview of t he market , looking at t rends, EDGE and UMTS- HSPA
deployment s, and market st at ist ics. I t t hen examines t he evolut ion of wireless t echnology,
part icularly 3GPP t echnologies, including spect rum considerat ions, core- net work evolut ion,
broadband- wireless deployment considerat ions, and a feat ure and net work roadmap. Next ,
t he paper discusses ot her wireless t echnologies including Code Division Mult iple Access 2000
( CDMA2000) and WiMAX. Finally, it compares t he different wireless t echnologies t echnically,
based on feat ures such as performance and spect ral efficiency.
The appendix explains in det ail t he capabilit ies and workings of t he different t echnologies
including EDGE, Evolved EDGE, WCDMA
2
, HSPA, HSPA+ , LTE, I MT- Advanced, LTE-
Advanced, I MS, and EPC.
Broadband Trends
Broadband communicat ion is becoming a foundat ional element of t he ent ire economy,
support ing ent ire indust ries, and is t ransforming t he nat ure of human life it self. As report ed
in Morgan St anley’s “ I nt ernet Trends” Report of June 2010, in a survey among t he hierarchy
of human needs, voice and dat a connect edness now ranks t hird, behind food and shelt er.
As wireless t echnology represent s an increasing port ion of t he global communicat ions
infrast ruct ure, it is import ant t o underst and overall broadband t rends. Somet imes wireless
and wireline t echnologies compet e wit h each ot her, but , in most inst ances, t hey are
complement ary. For t he most part , backhaul t ransport and core infrast ruct ure for wireless
net works are based on wireline approaches, whet her opt ical or copper. This applies as readily
t o Wi- Fi net works as it does t o cellular net works.
Trends show explosive bandwidt h growt h of t he I nt ernet at large and for mobile broadband
net works in part icular. Cisco proj ect s global I P t raffic growing at a compound annual growt h
rat e of 38% bet ween 2009 and 2014, quadrupling t raffic in t hat period. Mobile broadband
t raffic will grow at a CAGR of 108 percent in t hat same period.
3

Wit h declining voice revenue, but increasing dat a revenue, cellular operat ors face a
t remendous opport unit y in cont inuing t o develop t heir mobile broadband businesses.
Successful execut ion, however, means more t han j ust providing high speed net works. I t also

2
Alt hough many use t he t erms “ UMTS” and “ WCDMA” int erchangeably, in t his paper we use “ WCDMA”
when referring t o t he radio int erface t echnology used wit hin UMTS and “ UMTS” t o refer t o t he complet e
syst em. HSPA is an enhancement t o WCDMA.
3
Source: Cisco, “ Hyperconnect ivit y and t he Approaching Zet t abyt e Era, ” June 2, 2010.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 7
means nurt uring an applicat ion ecosyst em, providing complement ary services, and supplying
at t ract ive devices. These are all areas in which t he indust ry has done well. This sect ion
discusses t he t ransit ion t o 4G, wireless versus wireline capabilit ies, bandwidt h management ,
and t rends in t he cost of delivering mobile broadband.
Transition to 4G
There is some confusion in t he indust ry as t o what t echnology falls int o which cellular
generat ion. 1G refers t o analog cellular t echnologies; it became available in t he 1980s.
2G denot es init ial digit al syst ems, int roducing services such as short messaging and
lower speed dat a. CDMA2000 1xRTT and GSM are t he primary 2G t echnologies, alt hough
CDMA2000 1xRTT is somet imes called a 3G t echnology because it meet s t he 144 kbps
mobile t hroughput requirement . EDGE, however, also meet s t his requirement . 2G
t echnologies became available in t he 1990s.
3G requirement s were specified by t he I TU as part of t he I nt ernat ional Mobile Telephone
2000 ( I MT- 2000) proj ect , for which digit al net works had t o provide 144 kbps of
t hroughput at mobile speeds, 384 kbps at pedest rian speeds, and 2 Mbps in indoor
environment s. UMTS- HSPA and CDMA2000 EV- DO are t he primary 3G t echnologies,
alt hough recent ly WiMAX was also designat ed as an official 3G t echnology. 3G
t echnologies began t o be deployed last decade.
The I TU has recent ly issued requirement s for I MT- Advanced, which const it ut es t he official
definit ion of 4G. Requirement s include operat ion in up- t o- 40 MHz radio channels and
ext remely high spect ral efficiency. The I TU recommends operat ion in up- t o- 100 MHz
radio channels and peak spect ral efficiency of 15 bps/ Hz, result ing in a t heoret ical
t hroughput rat e of 1. 5 Gbps. Previous t o t he publicat ion of t he requirement s, 1 Gbps was
frequent ly cit ed as a 4G goal.
No available t echnology meet s t hese requirement s yet . I t will require new t echnologies
such as LTE- Advanced ( wit h work already underway) and I EEE 802. 16m. Some have
t ried t o label current versions of WiMAX and LTE as “ 4G” , but t his is only accurat e t o t he
ext ent t hat such designat ion refers t o t he general approach or plat form t hat will be
enhanced t o meet t he 4G requirement s.
Wit h WiMAX and HSPA significant ly out performing 3G requirement s, calling t hese
t echnologies 3G clearly does not give t hem full credit , as t hey are a generat ion beyond
current t echnologies in capabilit y. But calling t hem 4G is not correct . Unfort unat ely, t he
generat ional labels do not properly capt ure t he scope of available t echnologies and have
result ed in some amount of market confusion.
Table 1 summarizes t he generat ions of wireless t echnology.
Tabl e 1: 1G t o 4G
Gener at i on Requi r ement s Comment s
1G No official requirement s.
Analog t echnology.
Deployed in t he 1980s.
2G No official requirement s.
Digit al Technology.
First digit al syst ems.
Deployed in t he 1990s.
New services such as SMS
and low- rat e dat a.
Primary t echnologies


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 8
Gener at i on Requi r ement s Comment s
include I S- 95 CDMA and
GSM.
3G I TU’s I MT- 2000 required 144
kbps mobile, 384 kbps
pedest rian, 2 Mbps indoors
Primary t echnologies
include CDMA2000 1X/ EV-
DO and UMTS- HSPA.
WiMAX now an official 3G
t echnology.
4G I TU’s I MT- Advanced
requirement s include abilit y t o
operat e in up t o 40 MHz radio
channels and wit h very high
spect ral efficiency.
No t echnology meet s
requirement s t oday.
I EEE 802. 16m and LTE
Advanced being designed
t o meet requirement s.

Despit e rapid UMTS deployment , market moment um means t hat even now, most
worldwide subscribers are st ill using GSM, alt hough most new subscribers are t aking
advant age of UMTS. Only over many years, as subscribers upgrade t heir equipment , will
most net work usage migrat e t o UMTS. Similarly, even as operat ors st art t o deploy LTE
net works, it will be t he middle of t he next decade before a large percent age of
subscribers will act ually be using LTE ( or LTE- Advanced) . During t hese years, most
net works and devices will support t he full scope of t he 3GPP family of t echnologies ( GSM-
EDGE, HSPA, and LTE) . The hist ory of wireless- net work deployment provides a useful
perspect ive. GSM, which in 2009 was st ill growing it s subscriber base, was specified in
1990 wit h init ial net works deployed in 1991. The UMTS Task Force est ablished it self in
1995, Release 99 specificat ions were complet ed in 2000, and HSPA+ specificat ions were
complet ed in 2007. Alt hough it ’s been more t han a decade since work began on t he
t echnology, only now is UMTS deployment and adopt ion st art ing t o surge.
Figure 1 shows t he relat ive adopt ion of t echnologies over a mult i- decadal period and t he
lengt h of t ime it t akes for any new t echnology t o be adopt ed widely on a global basis.
The t op line shows t he t ot al number of subscribers. The GSM/ EDGE curve shows t he
number of subscribers for GSM/ EDGE. The area bet ween t he GSM/ EDGE curve and t he
UMTS/ HSPA curve is for t he number of UMTS/ HSPA subscribers, and t he area bet ween
t he UMTS/ HSPA curve and LTE curve is t he number of LTE subscribers.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 9
Fi gur e 1: Rel at i v e Adopt i on of Technol ogi es
4


Wireless versus Wireline Advances
Wireless t echnology is playing a profound role in net working and communicat ions, even
t hough wireline t echnology, such as fiber links, has inherent capacit y advant ages.
The overwhelming global success of mobile t elephony, and now t he growing adopt ion of
mobile dat a, conclusively demonst rat es t he desire for mobile- orient ed communicat ions.
Mobile broadband combines compelling high- speed dat a services wit h mobilit y. Thus, t he
opport unit ies are limit less when considering t he many diverse market s mobile broadband
can successfully address. Developed count ries cont inue t o show t remendous upt ake of
mobile broadband services. Addit ionally, in developing count ries, t here is no doubt t hat
3G t echnology will cat er t o bot h ent erprises and t heir high- end mobile workers and
consumers, for whom 3G can be a cost - effect ive opt ion, compet ing wit h digit al subscriber
line ( DSL) for home use.
Relat ive t o wireless net works, wireline net works have always had great er capacit y, and
hist orically have delivered fast er t hroughput rat es. Figure 2 shows advances in t ypical
user t hroughput rat es wit h a consist ent 10x advant age of wireline t echnologies over
wireless t echnologies.

4
Source: Rysavy Research proj ect ion based on hist orical dat a.
1990 2000 2020 2010
LTE
UMTS/HSPA
R
e
l
a
t
i
v
e

S
u
b
s
c
r
i
p
t
i
o
n
s
GSM/EDGE
2030


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 10
Fi gur e 2: Wi r el i ne and Wi r el ess Advances


Despit e some of t he inherent limit at ions of wireless t echnology relat ive t o wireline, it s
fundament al appeal of providing access from anywhere has not const rained market
growt h. As t he decade progresses, t he lines bet ween wireline and wireless net works will
blur. The fact is t hat wireless net works are most ly wireline in t heir infrast ruct ure. I f an
LTE picocell is serving a small number of houses using fiber backhaul, is t his a wireline or
wireless net work? The answer is bot h.
Bandwidth Management Trends
Given huge growt h in usage, mobile operat ors are eit her employing or considering
mult iple approaches t o manage bandwidt h:
- Mor e spect r um. Spect rum correlat es direct ly t o capacit y, and more spect rum is
becoming available globally for mobile broadband.
- I ncr eased spect r al ef f i ci ency . Newer t echnologies are spect rally more efficient ,
meaning great er t hroughput in t he same amount of spect rum.
- Mor e cel l si t es. Smaller cell sizes result in more capacit y per subscriber.
- Femt ocel l s. Femt ocells can significant ly offload t he macro net work. Pricing plans
can encourage users t o move high- bandwidt h act ivit ies ( e. g. , movie downloads) t o
femt ocell connect ions.
- Wi - Fi . Wi- Fi net works offer anot her means of offloading heavy t raffic.
- Of f - peak hour s. Operat ors can offer lower rat es or perhaps fewer rest rict ions on
large dat a t ransfers t hat occur at off- peak hours such as overnight .
2010 2000 2005
100 kbps
10 kbps
1 Mbps
10 Mbps
100 Mbps
GPRS 40 kbps
UMTS 350 kbps
HSDPA 1 Mbps
HSPA+ 5 Mbps
LTE 10 Mbps
EDGE 100 kbps
ADSL 1 Mbps
ISDN
128 kbps
ADSL 3 to 5 Mbps
ADSL2+ 25 Mbps
FTTH 100 Mbps


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 11
- Qual i t y of ser v i ce ( QoS) . By priorit izing t raffic, large downloads can occur wit h
lower priorit y, t hus not affect ing ot her act ive users.
- I nnovat i ve dat a pl ans. Creat ive new dat a plans influencing consumpt ion
behavior, including t iered pricing, could make usage affordable for most users, but
could discourage excessive or abusive use.
I t will t ake a creat ive blend of all of t he above t o make t he mobile broadband market
successful and t o enable it t o exist as a complement ary solut ion t o wired broadband.
Mobile Broadband Cost and Capacity Trends
While t he cost of delivering dat a wit h wireless broadband remains higher t han wit h
wireline broadband, cost s cont inue t o decline rapidly. One vendor has calculat ed t hat in a
blended HSPA/ LTE net work t hat cost s could go below 1 Euro per gigabyt e ( GByt e) once
penet rat ion of mobile broadband reaches 40% and usage reaches 2 GByt e per mont h.
5

Fi gur e 3: Oper at or CAPEX+ OPEX Cost t o Del i v er a GBy t e of Dat a


3GPP t echnologies clearly address proven market needs; hence t heir overwhelming
success. The 3GPP roadmap, which ant icipat es cont inual performance and capacit y
improvement s, provides t he t echnical means t o deliver on proven business models. As
t he applicat ions for mobile broadband cont inue t o expand, HSPA, HSPA+ , LTE and LTE-
Advanced will cont inue t o provide a compet it ive plat form for t omorrow’s new business
opport unit ies.

5
Source: Nokia Siemens Net works whit e paper, “ Mobile Broadband wit h HSPA and LTE – Capacit y and
Cost Aspect s, ” 2010. Refer t o t he whit e paper for assumpt ions used.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 12
Wireless Data Market
By June 2010, more t han 4. 4 billion subscribers were using GSM- HSPA
6
—nearly t wo- t hirds of
t he world’s t ot al 6. 8 billion populat ion.
7
By t he end of 2014, t he global 3G wireless market is
expect ed t o include more t han 3. 3 billion subscribers of whom 2. 7 billion will use 3GPP
t echnologies, represent ing 87% market share.
8
Clearly, GSM- HSPA has est ablished global
dominance. Alt hough voice st ill const it ut es most cellular t raffic, wireless dat a worldwide now
comprises a significant percent age of average revenue per user ( ARPU) . I n t he Unit ed
St at es, wireless dat a exceeds 30% of ARPU on average and is likely t o reach 35% by t he end
of 2010.
9

This sect ion examines t rends and deployment , and t hen provides market dat a t hat
demonst rat es t he rapid growt h of wireless dat a.
Market Trends
As st at ed in a Rysavy Research report for t he Cellular Telephone I ndust ries Associat ion
( CTI A) on mobile broadband spect rum demand, ” We are at a unique and pivot al t ime in
hist ory, in which t echnology capabilit y, consumer awareness and comfort wit h emerging
wireless t echnology and indust ry innovat ion are converging t o creat e mass- market
accept ance of mobile broadband. ”
10

As dat a const it ut es a rising percent age of t ot al cellular t raffic, it is essent ial t hat
operat ors deploy spect rally efficient dat a t echnologies t hat meet cust omer requirement s
for performance—especially because dat a applicat ions can demand significant ly more
net work resources t han t radit ional voice services. Operat ors have a huge invest ment in
spect rum and in t heir net works; dat a services must leverage t hese invest ment s. I t is only
a mat t er of t ime before t oday’s more t han 4 billion cellular cust omers st art t aking full
advant age of dat a capabilit ies. The EDGE/ HSPA/ LTE evolut ionary pat hs provide dat a
capabilit ies t hat address market needs and deliver ever- higher dat a t hroughput s, lower
lat ency, and increased spect ral efficiency.
As a consequence, t his rich net work and device environment is spawning t he availabilit y
of a wide range of wireless applicat ions and cont ent . Because of it s growing size—and it s
unassailable pot ent ial—applicat ion and cont ent developers are making t he wireless
market a high priorit y.
Based on one leading UMTS- HSPA infrast ruct ure vendor’s st at ist ics, Figure 4 compares
t he rapid growt h in wireless dat a t raffic compared t o voice t raffic across mult iple
operat ors. By t he end of 2009, in HSPA coverage areas worldwide, t he volume of dat a
t raffic significant ly exceeded voice t raffic, wit h dat a usage act ually accelerat ing.
Operat ors t hat are t he most aggressive wit h mobile broadband services are experiencing
dat a growt h rat es even higher t han t hese average values.

6
Source: “ World Cellular I nformat ion Service, ” I nforma Telecoms & Media, June 2010.
7
Source: US Census Bureau, ht t p: / / www. census. gov/ ipc/ www/ idb/ worldpopinfo. ht ml.
8
Source: “ World Cellular I nformat ion Service, ” I nforma Telecoms & Media, June 2010
9
Chet an Sharma, US Wireless Dat a Market Updat e - Q1 2010.
10
Source: Rysavy Research, “ Mobile Broadband Spect rum Demand, ” December 2008.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 13
Fi gur e 4: WCDMA- HSPA Voi ce and Dat a Tr af f i c
11


Over t ime, dat a demands are expect ed t o grow significant ly. Figure 5 shows a proj ect ion
by Cisco of global mobile dat a growt h t hrough 2014 in pet abyt es ( million gigabt yes) per
mont h. Traffic more t han doubles every year.

11
Based on leading UMTS- HSPA infrast ruct ure vendor st at ist ics.
2007 2008 2009
Speech + Data
WCDMA
Speech
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
2007 2008 2009
WCDMA/HSPA
Speech + Data
WCDMA
Speech
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
2007 2008 2009
Speech + Data
WCDMA
Speech
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
2007 2008 2009
WCDMA/HSPA
Speech + Data
WCDMA
Speech
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Relat ive Net work Load


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 14
Fi gur e 5: Gl obal Mobi l e Dat a Gr ow t h
12


The key for operat ors is enhancing t heir net works t o support t he demands of consumer
and business applicat ions as t hey grow, along wit h offering complement ary capabilit ies
such as I P- based mult imedia. Anot her area t hat will drive wireless usage is machine- t o-
machine ( M2M) communicat ions. Ult imat ely, t here are billions of machines t hat could
communicat e, far more t han people.
This is where t he GSM family of wireless- dat a t echnologies is t he undisput ed leader. Not
only does it provide a plat form for cont inual improvement s in capabilit ies, but it does so
over huge coverage areas and on a global basis.
EDGE/HSPA/HSPA+/LTE Deployment
Most GSM net works t oday support EDGE, represent ing more t han 478 net works in
approximat ely 190 count ries.
13

Meanwhile, UMTS has est ablished it self globally. Nearly all WCDMA handset s are also
GSM handset s, so WCDMA users can access t he wide base of GSM net works and services.
There are more t han 500 million UMTS- HSPA cust omers worldwide spanning 347
commercial net works. Three hundred t went y- four operat ors in 137 count ries offer High
Speed Downlink Packet Access ( HSDPA) , and 100 of t hese have High Speed Uplink Packet
Access ( HSUPA) deployed.
14
Almost all UMTS operat ors are deploying HSPA for t wo
reasons: first , t he increment al cost of HSPA is relat ively low and second, HSPA makes
such efficient use of spect rum for dat a t hat it result s in a much lower overall cost per
megabyt e ( Mbyt e) of dat a delivered. Already, t here are more t han 2350 commercial
HSPA devices available worldwide from 230 suppliers.
15
Devices include handset s, dat a
cards, modems, rout ers, lapt ops, media players, and cameras.

12
Source: Cisco, “ Cisco Visual Net working I ndex: Global Mobile Dat a Traffic Forecast Updat e, ” February
10, 2010.
13
Source: GSA, June 2010
14
I bid.
15
Source: GSMA.
 
0
500
1000
1500
2000
2500
3000
3500
4000
2008 2009 2010 2011 2012 2013 2014 2015
P
e
t
a
b
y
t
e
s
 
P
e
r
 
M
o
n
t
h
Year


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 15
Operat ors have begun deploying evolved HSPA feat ures. Sixt y- five HSPA+ net works are
in service in 35 count ries as of June 2010.
16
As t he t echnology mat ures, upgrading t o
HSPA+ will likely represent a minimal invest ment for operat ors in order t o significant ly
boost net work performance.
LTE has not only become t he preferred choice for operat ors as t heir next - generat ion
wireless t echnology, but it has been chosen by public- safet y organizat ions as t heir
broadband t echnology of choice. The Associat ion of Public- Safet y Communicat ions
Officials ( APCO) and t he Nat ional Emergency Number Associat ion ( NENA) have bot h
endorsed LTE.
17

Statistics
A variet y of st at ist ics show t he rapid growt h in wireless dat a. Chet an Sharma report ed
t hat in Q1 2010, t he US wireless dat a market grew 22% over Q1 of 2009 t o reach $12. 5
billion in mobile- dat a service revenues, on t rack t o t he init ial est imat e of $54B for 2010.
He also st at es t hat 62% of US subscribers were using some form of dat a service.
18

I nforma proj ect s global mobile revenues t o exceed $1 t rillion in 2013.
19

Though most mobile broadband growt h t oday is based on HSPA ( wit h some EV- DO) , LTE
should see relat ively rapid adopt ion as it becomes deployed. TeliaSonera launched t he
world' s first commercial LTE net work in Oslo and St ockholm in December 2009, but Asia
Pacific and Nort h America will experience t he first maj or wave of LTE rollout s in 2010
t hrough 2012. I DATE forecast s growt h from 27 million subscribers in 2012 t o 300 million
by 2015 in five maj or areas
20
( EU5+ Scandinavia, Japan, Sout h Korea, China, USA) .
According t o 3G Americas, t here are more t han 100 operat ors t hat have commit t ed or
expressed int ent ions t o commit t o LTE.
I nt ernat ional Dat a Corporat ion ( I DC) forecast s t hat t he U. S. mobile broadband market
will grow from 6. 5 million subscribers in 2009 t o 30. 2 million in 2014, which account s for
a compound annual growt h rat e ( CAGR) of 36. 1% over t he forecast period.
21

From a device perspect ive, I nforma WCI S proj ect ed in June 2010 t he following sales rat e
for WCDMA handset s:
22

2010: 426 million ( 34% of global t ot al)
2011: 590 million ( 43% of global t ot al)
2012: 771 million ( 52% of global t ot al)
2013: 984 million ( 62% of global t ot al)
2014: 1. 2 billion ( 70% of global t ot al)

16
Source: 3G Americas, June, 2010.
17
Source: ht t p: / / www.fiercewireless. com/ st ory/ public- safet y- groups- endorse- lt e- broadband-
solut ion/ 2009- 06- 12
18
Source: Chet an Sharma, US Wireless Dat a Market Updat e - Q1 2010.
19
Source: I nforma Telecom & Media, January 15, 2010.
20
Source: I DATE, June 14, 2010. ht t p: / / www.idat e. org/ en/ News/ - LTE- forecast s- worldwide_642. ht ml
21
I DC Says Market for U.S. Mobile Broadband About t o Speed Up, June 15, 2010
22
Source: “ World Cellular I nformat ion Service, ” I nforma Telecoms & Media, June 2010.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 16
I t is clear t hat bot h EDGE and UMTS/ HSPA are dominant wireless t echnologies. And
powerful dat a capabilit ies and global presence mean t hese t echnologies will likely
cont inue t o capt ure most of t he available wireless- dat a market .
Wireless Technology Evolution
This sect ion discusses 1G t o 4G designat ions, t he evolut ion and migrat ion of wireless- dat a
t echnologies from EDGE t o LTE, as well as t he evolut ion of underlying wireless approaches.
Progress in 3GPP has occurred in mult iple phases, first wit h EDGE, and t hen UMTS, followed
by t oday’s enhanced 3G capabilit ies such as HSPA, HSPA+ , and now, LTE, which it self is
evolving t o LTE- Advanced. Meanwhile, underlying approaches have evolved from Time
Division Mult iple Access ( TDMA) t o CDMA, and now from CDMA t o OFDMA, which is t he basis
of LTE.
3GPP Evolutionary Approach
3GPP st andards development falls int o t hree principal areas: radio int erfaces, core
net works, and services.
Wit h respect t o radio int erfaces, rat her t han emphasizing any one wireless approach,
3GPP’s evolut ionary plan is t o recognize t he st rengt hs and weaknesses of every
t echnology and t o exploit t he unique capabilit ies of each one accordingly. GSM, based on
a Time Division Mult iple Access ( TDMA) approach, is mat ure and broadly deployed.
Already ext remely efficient , t here are nevert heless opport unit ies for addit ional
opt imizat ions and enhancement s. St andards bodies have already defined “ Evolved
EDGE, ” which will be available for deployment in t he 2009 t o 2010 t imeframe. Evolved
EDGE more t han doubles t hroughput over current EDGE syst ems, halves lat ency, and
increases spect ral efficiency. By t he end of t he decade, because of sheer market
moment um, t he maj orit y of worldwide subscribers will st ill be using GSM/ EDGE
t echnologies.
Meanwhile, CDMA was chosen as t he basis of 3G t echnologies including WCDMA for t he
frequency division duplex ( FDD) mode of UMTS and Time Division CDMA ( TD- CDMA) for
t he t ime division duplex ( TDD) mode of UMTS. The evolved dat a syst ems for UMTS, such
as HSPA and HSPA+ , int roduce enhancement s and simplificat ions t hat help CDMA- based
syst ems mat ch t he capabilit ies of compet ing syst ems, especially in 5 MHz spect rum
allocat ions.
HSPA innovat ions such as dual- carrier HSPA, explained in det ail in t he appendix sect ion
“ Evolut ion of HSPA ( HSPA+ ) , ” coordinat e t he operat ion of HSPA on t wo adj acent 5 MHz
carriers for higher t hroughput rat es. I n combinat ion wit h MI MO, dual- carrier HSPA will
achieve peak net work speeds of 84 Mbps, and quad- carrier HSPA will achieve peak rat es
of 168 Mbps.
Given some of t he advant ages of an Ort hogonal Frequency Division Mult iplexing ( OFDM)
approach, 3GPP has specified OFDMA as t he basis of it s LTE
23
effort . LTE incorporat es
best - of- breed radio t echniques t o achieve performance levels beyond what will be
pract ical wit h CDMA approaches, part icularly in larger channel bandwidt hs. I n t he same
way t hat 3G coexist s wit h Second Generat ion ( 2G) syst ems in int egrat ed net works, LTE
syst ems will coexist wit h bot h 3G syst ems and 2G syst ems. Mult imode devices will
funct ion across LTE/ 3G or even LTE/ 3G/ 2G, depending on market circumst ances. Beyond
radio t echnology, EPC provides a new core archit ect ure t hat enables bot h flat t er

23
3GPP also refers t o LTE as Enhanced UMTS Terrest rial Radio Access Net work ( E- UTRAN) .


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 17
archit ect ures and int egrat ion of LTE wit h bot h legacy GSM- HSPA net works, as well as
ot her wireless t echnologies. The combinat ion of EPC and LTE is referred t o as t he Evolved
Packet Syst em ( EPS) .
LTE is of crucial import ance t o operat ors since it provides t he efficiencies and capabilit ies
being demanded by t he quickly growing mobile broadband market . The cost for operat ors
t o deliver dat a ( e. g. , cost per Mbyt e) is almost direct ly proport ional t o t he spect ral
efficiency of t he t echnologies. LTE has t he highest spect ral efficiency of any specified
t echnology, making it an essent ial t echnology as t he market mat ures.
LTE is available in bot h FDD and TDD modes. Many deployment s will be based on FDD in
paired spect rum. The TDD mode, however, will be import ant in enabling deployment s
where paired spect rum is unavailable. LTE TDD will be deployed in China, will be available
for Europe at 2. 6 GHz, for t he U. S. Broadband Radio Service ( BRS) 2. 6 GHz band, and is
also being considered for t he TDD port ions of t he U. S. Wireless Communicat ions Service
( WCS) band. Over t he last year, LTE TDD has developed significant market moment um,
and is developing int o a compet it ive t hreat t o ot her OFDMA TDD t echnologies.
To address I TU’s I MT- Advanced requirement s, 3GPP is developing LTE- Advanced, a
t echnology t hat will have peak rat es of more t han 1 Gbps. See t he appendix sect ion “ 4G,
I MT- Advanced and LTE- Advanced” for a det ailed explanat ion.
Alt hough lat er sect ions quant ify performance and t he appendix of t his whit e paper
present s funct ional det ails of t he different t echnologies, t his sect ion provides a summary
int ended t o provide a frame of reference for t he subsequent discussion. Table 2
summarizes t he key 3GPP t echnologies and t heir charact erist ics.
Tabl e 2: Char act er i st i cs of 3GPP Technol ogi es
Technol ogy
Name
Ty pe Char act er i st i cs Ty pi cal
Dow nl i nk
Speed
Ty pi cal Upl i nk
Speed
GSM TDMA Most widely deployed
cellular t echnology in t he
world. Provides voice and
dat a service via
GPRS/ EDGE.

EDGE TDMA Dat a service for GSM
net works. An enhancement
t o original GSM dat a service
called GPRS.
70 kbps
t o 135 kbps
70 kbps
t o 135 kbps
Evolved
EDGE
TDMA Advanced version of EDGE
t hat can double and
event ually quadruple
t hroughput rat es, halve
lat ency and increase
spect ral efficiency.
175 kbps
t o 350 kbps
expect ed
( Single Carrier)
350 kbps
t o 700 kbps
expect ed ( Dual
Carrier)
150 kbps
t o 300 kbps
expect ed
UMTS CDMA 3G t echnology providing
voice and dat a capabilit ies.
Current deployment s
implement HSPA for dat a
200 t o 300
kbps
200 t o 300
kbps


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 18
Technol ogy
Name
Ty pe Char act er i st i cs Ty pi cal
Dow nl i nk
Speed
Ty pi cal Upl i nk
Speed
service.
HSPA
24
CDMA Dat a service for UMTS
net works. An enhancement
t o original UMTS dat a
service.
1 Mbps t o
4 Mbps
500 kbps
t o 2 Mbps
HSPA+ CDMA Evolut ion of HSPA in
various st ages t o increase
t hroughput and capacit y
and t o lower lat ency.
1. 9 t o Mbps t o
8. 8 Mbps
1 Mbps t o
4 Mbps
LTE OFDMA New radio int erface t hat
can use wide radio channels
and deliver ext remely high
t hroughput rat es. All
communicat ions handled in
I P domain.
5. 9 t o 21. 5
Mbps in 2 X 10
MHz

LTE-
Advanced
OFDMA Advanced version of LTE
designed t o meet I MT-
Advanced requirement s.


User achievable rat es and great er det ails on t ypical rat es are covered in Table 5 in t he
sect ion “ Dat a Throughput ” lat er in t his paper. Figure 6 shows t he evolut ion of t he
different wireless t echnologies and t heir peak net work performance capabilit ies.

24
HSPA and HSPA+ t hroughput rat es ar e for a 5 + 5 MHz deployment .


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 19
Fi gur e 6: Ev ol ut i on of TDMA, CDMA, and OFDMA Sy st ems

The development of GSM and UMTS- HSPA happens in st ages referred t o as 3GPP
releases, and equipment vendors produce hardware t hat support s part icular versions of
each specificat ion. I t is import ant t o realize t hat t he 3GPP releases address mult iple
t echnologies. For example, Release 7 opt imized Voice over I nt ernet Prot ocol ( VoI P) for
HSPA, but also significant ly enhanced GSM dat a funct ionalit y wit h Evolved EDGE. A
summary of t he different 3GPP releases is as follows:
25

 Rel ease 99: Complet ed. First deployable version of UMTS. Enhancement s t o GSM
dat a ( EDGE) . Maj orit y of deployment s t oday are based on Release 99. Provides
support for GSM/ EDGE/ GPRS/ WCDMA radio- access net works.
 Rel ease 4: Complet ed. Mult imedia messaging support . First st eps t oward using
I P t ransport in t he core net work.

25
Aft er Release 99, release versions went t o a numerical designat ion inst ead of designat ion by year.
E
D
G
E
H
S
P
A
L
T
E
C
D
M
A
2
0
0
0
F
i
x
e
d

W
i
M
A
X
M
o
b
i
l
e

W
i
M
A
X


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 20
 Rel ease 5: Complet ed. HSDPA. First phase of I nt ernet Prot ocol Mult imedia
Subsyst em ( I MS) . Full abilit y t o use I P- based t ransport inst ead of j ust
Asynchronous Transfer Mode ( ATM) in t he core net work.
 Rel ease 6: Complet ed. HSUPA. Enhanced mult imedia support t hrough Mult imedia
Broadcast / Mult icast Services ( MBMS) . Performance specificat ions for advanced
receivers. Wireless Local Area Net work ( WLAN) int egrat ion opt ion. I MS
enhancement s. I nit ial VoI P capabilit y.
 Rel ease 7: Complet ed. Provides enhanced GSM dat a funct ionalit y wit h Evolved
EDGE. Specifies HSPA+ , which includes higher order modulat ion and MI MO.
Performance enhancement s, improved spect ral efficiency, increased capacit y, and
bet t er resist ance t o int erference. Cont inuous Packet Connect ivit y ( CPC) enables
efficient “ always- on” service and enhanced uplink UL VoI P capacit y, as well as
reduct ions in call set - up delay for Push- t o- Talk Over Cellular ( PoC) . Radio
enhancement s t o HSPA include 64 Quadrat ure Amplit ude Modulat ion ( QAM) in t he
downlink DL and 16 QAM in t he uplink. Also includes opt imizat ion of MBMS
capabilit ies t hrough t he mult icast / broadcast , single- frequency net work ( MBSFN)
funct ion.
 Rel ease 8: Complet ed. Comprises furt her HSPA Evolut ion feat ures such as
simult aneous use of MI MO and 64 QAM. I ncludes dual- carrier HSPA ( DC- HSPA)
wherein t wo WCDMA radio channels can be combined for a doubling of t hroughput
performance. Specifies OFDMA- based 3GPP LTE. Defines EPC.
 Rel ease 9: Complet ed. HSPA and LTE enhancement s including HSPA dual- carrier
operat ion in combinat ion wit h MI MO, EPC enhancement s, femt ocell support ,
support for regulat ory feat ures such as emergency user- equipment posit ioning
and Commercial Mobile Alert Syst em ( CMAS) , and evolut ion of I MS archit ect ure.
 Rel ease 10: Under development . Expect ed t o be complet e in 2011. Will specify
LTE- Advanced t hat meet s t he requirement s set by I TU’s I MT- Advanced proj ect .
Also includes quad- carrier operat ion for HSPA+ .
Whereas operat ors and vendors act ively involved in t he development of wireless
t echnology are heavily focused on 3GPP release versions, most users of t he
t echnology are more int erest ed in part icular feat ures and capabilit ies such as whet her
a device support s HSDPA. For t his reason, t he det ailed discussion of t he t echnologies
in t his paper emphasizes feat ures as opposed t o 3GPP releases.
Spectrum
Anot her import ant aspect of UMTS- HSPA deployment is t he expanding number of
available radio bands and t he corresponding support from infrast ruct ure and mobile-
equipment vendors. The fundament al syst em design and net working prot ocols remain t he
same for each band; only t he frequency- dependent port ions of t he radios have t o
change.
As ot her frequency bands become available for deployment , st andards bodies are
adapt ing UMTS for t hese bands as well. This includes 450 and 700 MHz. The 1710- 1770
uplink was mat ched wit h 2110- 2170 downlink t o allow for addit ional global harmonizat ion
of t he 1. 7/ 2. 1GHz band. These new spect rum bands, allocat ed harmoniously across
Nort h, Cent ral and Sout h America, are crit ical t o efficient ly meet ing t he insat iable needs
of societ y for mobile broadband applicat ions. Meanwhile, t he Federal Communicat ions
Commission ( FCC) auct ioned t he 700 MHz band in t he Unit ed St at es in January 2008.
The availabilit y of t his band, t he Advanced Wireless Services ( AWS) band at 1710- 1755
MHz wit h 2110- 2155 MHz in t he US, and t he fort hcoming 2. 6 GHz frequency band in


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 21
Europe are providing operat ors wit h wider deployment opt ions. An increasing number of
operat ors are also deploying UMTS at 900 MHz, a t radit ional GSM band.
Figure 7 shows a Rysavy Research proj ect ion for t he amount of spect rum t hat an
operat or will require in t heir busiest market s t o meet ant icipat ed demand. Given t hat
many operat ors in t he U. S. have about 50 t o 90 MHz of spect rum, it will not be t hat long
before addit ional spect rum is essent ial.
Fi gur e 7: Oper at or Spect r um Requi r ement f or Busi est Mar k et s
26


The spect rum proj ect ion does not t ake int o account t hat small- message t raffic ( e. g. , e-
mail queries) consumes a disproport ionat e amount of capacit y, nor t hat operat ors need
addit ional radio channels for infill coverage or t o separat e voice and dat a t raffic on
different channels.
The spect rum sit uat ion varies by operat or. Some may experience short ages well before
ot hers depending on mult iple fact ors such as t he amount of spect rum t hey have, t heir
cell sit e densit y relat ive t o populat ion, t ype of devices t hey offer, and t heir service plans.
As t he t ot al amount of available spect rum does become available and as t echnologies
simult aneously become spect rally more efficient , t ot al capacit y rises rapidly, support ing
more subscribers and making many new t ypes of applicat ions feasible.
Refer t o t he sect ion “ Spect rum Bands” in t he appendix for furt her det ails on specific
bands for UMTS and LTE.
Different count ries have regulat ed spect rum more loosely t han ot hers. For example,
operat ors in t he Unit ed St at es can use eit her 2G or 3G t echnologies in cellular, Personal
Communicat ions Service ( PCS) , or 3G bands, whereas in Europe t here are great er

26
Source: Rysavy Research, “ Mobile Broadband Capacit y Const raint s And t he Need for Opt imizat ion, ”
February 24, 2010.
0
50
100
150
200
250
2010 2011 2012 2013 2014 2015 2016
M
H
z
 
o
f
 
S
p
e
c
t
r
u
m
Year
Operator Spectrum Requirement
Busiest Markets
Rysavy Research 2010


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 22
rest rict ions—alt hough effort s are under way t hat are result ing in great er flexibilit y
including t he use of 3G t echnologies in current 2G bands.
Wit h t he proj ect ed increase in t he use of mobile- broadband t echnologies, t he amount of
spect rum required by t he next generat ion of wireless t echnology ( t hat is, aft er 3GPP LTE
in proj ect s such as I nt ernat ional Mobile Telecommunicat ions [ I MT] Advanced) could be
subst ant ial. I n t he US, t he FCC t his year commit t ed it self t o finding an addit ional 500
MHz of spect rum over t he next 10 years as part of it s nat ional broadband plan. This
would effect ively double t he amount of spect rum for commercial mobile radio service. As
regulat ors make more spect rum available, it is import ant t hat such spect rum be:
1. Harmonized on a regional or global basis.
2. Unencumbered by spect rum caps and ot her legacy voice- cent ric spect rum policies.
3. Made available in as wide radio channels as possible ( i. e. , 10 MHz, 20 MHz and
more) .
4. Ut ilized efficient ly wit hout causing int erference t o exist ing spect rum holders.
Emerging t echnologies such as LTE benefit from wider radio channels. These wider radio
channels are not only spect rally more efficient , but offer great er capacit y, an essent ial
at t ribut e because t ypical broadband usage cont ribut es t o a much higher load t han a voice
user. For inst ance, wat ching a YouTube video consumes 100 t imes as many bit s per
second on t he downlink as a voice call.
Figure 8 shows increasing LTE spect ral efficiency obt ained wit h wider radio channels, wit h
20 MHz showing t he most efficient configurat ion.
Fi gur e 8: LTE Spect r al Ef f i ci ency as Funct i on of Radi o Channel Si ze
27


Of some concern in t his regard is t hat spect rum for LTE is becoming available in different
frequency bands in different count ries. For inst ance, init ial US deployment s will be at 700

27
Source: 3G Americas’ member company analysis.
0
10
20
30
40
50
60
70
80
90
100
1.4 3 5 10 20
%
 
E
f
f
i
c
i
e
n
c
y
 
R
e
l
a
t
i
v
e
 
t
o
 
2
0
 
M
H
z
MHz


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 23
MHz, in Japan at 1500 MHz and in Europe at 2. 6 GHz. Thus, wit h so many varying
spect rum bands, it will most likely necessit at e t hat roaming operat ion be based on GSM
or HSPA on common regional or global bands.
Core-Network Evolution
3GPP is defining a series of enhancement s t o t he core net work t o improve net work
performance and t he range of services provided, and t o enable a shift t o all- I P
archit ect ures.
One way t o improve core- net work performance is by using flat t er archit ect ures. The more
hierarchical a net work, t he more easily it can be managed cent rally; t he t radeoff,
however, is reduced performance, especially for dat a communicat ions, because packet s
must t raverse and be processed by mult iple nodes in t he net work. To improve dat a
performance and, in part icular, t o reduce lat ency ( delays) , 3GPP has defined a number of
enhancement s in Release 7 and Release 8 t hat reduce t he number of processing nodes
and result in a flat t er archit ect ure.
I n Release 7, an opt ion called one- t unnel archit ect ure allows operat ors t o configure t heir
net works so t hat user dat a bypasses a serving node and t ravels direct ly via a gat eway
node. There is also an opt ion t o int egrat e t he funct ionalit y of t he radio- net work cont roller
direct ly int o t he base st at ion.
For Release 8, 3GPP has defined an ent irely new core net work, called t he EPC, previously
referred t o as SAE. The key feat ures and capabilit ies of EPC include:
 Reduced lat ency and higher dat a performance t hrough a flat t er archit ect ure.
 Support for bot h LTE radio- access net works and int erworking wit h GSM- HSPA
radio- access net works.
 The abilit y t o int egrat e non- 3GPP net works such as WiMAX.
 Opt imizat ion for all services provided via I P.
 Sophist icat ed, net work- cont rolled, qualit y- of- service archit ect ure.
This paper provides furt her det ails in t he sect ions on HSPA Evolut ion ( HSPA+ ) and EPC.
Service Evolution
Not only do 3GPP t echnologies provide cont inual improvement s in capacit y and dat a
performance, t hey also evolve capabilit ies t hat expand t he services available t o
subscribers. Key service advances include Fixed Mobile Convergence ( FMC) , I MS, and
broadcast ing t echnologies. This sect ion provides an overview of t hese t opics, and t he
appendix provides great er det ail on each of t hese it ems.
FMC refers t o t he int egrat ion of fixed services ( such as t elephony provided by wireline or
Wi- Fi) wit h mobile cellular- based services. Though FMC is st ill in it s early st ages of
deployment by operat ors, it promises t o provide significant benefit s t o bot h users and
operat ors. For users, FMC will simplify how t hey communicat e making it possible for t hem
t o use one device ( for example, a cell phone) at work and at home where it might
connect via a Wi- Fi net work or a femt ocell. When mobile, users connect via a cellular
net work. Users will also benefit from single voice mailboxes and single phone numbers,
as well as t he abilit y t o cont rol how and wit h whom t hey communicat e. For operat ors,
FMC allows t he consolidat ion of core services across mult iple- access net works. For
inst ance, an operat or could offer complet e VoI P- based voice service t hat support s access


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 24
via DSL, Wi- Fi, or 3G. FMC also offloads t he macro net work from dat a- int ensive
applicat ions such as movie downloads.
There are various approaches for FMC including Generic Access Net work ( GAN) , formerly
known as Unlicensed Mobile Access ( UMA) , femt ocells, and I MS. Wit h GAN, GSM- HSPA
devices can connect via Wi- Fi or cellular connect ions for bot h voice and dat a. UMA/ GAN is
a 3GPP t echnology, and it has been deployed by a number of operat ors including T-
Mobile in t he Unit ed St at es. An alt ernat ive t o using Wi- Fi for t he “ fixed” port ion of FMC is
femt ocells. These are t iny base st at ions t hat cost lit t le more t han a Wi- Fi access point ,
and, like Wi- Fi, femt ocells leverage a subscriber' s exist ing wireline- broadband connect ion
( for example, DSL) . I nst ead of operat ing on unlicensed bands, femt ocells use t he
operat or’s licensed bands at very low power levels. The key advant age of t he femt ocell
approach is t hat any single- mode, mobile- communicat ions device a user has can now
operat e using t he femt ocells.
I MS is anot her key t echnology for convergence. I t allows access t o core services and
applicat ions via mult iple- access net works. I MS is more powerful t han GAN, because it
support s not only FMC, but also a much broader range of pot ent ial applicat ions. I n t he
Unit ed St at es, AT&T has commit t ed t o an I MS approach and has already deployed an
I MS- based video sharing service. Alt hough defined by 3GPP, t he Third Generat ion
Part nership Proj ect 2 ( 3GPP2) , CableLabs and WiMAX have adopt ed I MS. I MS is how VoI P
will ( or could) be deployed in CDMA 2000 EV- DO, WiMAX, HSPA and LTE net works.
I MS allows t he creat ive blending of different t ypes of communicat ions and informat ion
including voice, video, I nst ant Messaging ( I M) , presence informat ion, locat ion, and
document s. I t provides applicat ion developers t he means t o creat e applicat ions t hat have
never before been possible, and it allows people t o communicat e in ent irely new ways by
dynamically using mult iple services. For example, during an int eract ive chat session, a
user could launch a voice call. Or during a voice call, a user could suddenly est ablish a
simult aneous video connect ion or st art t ransferring files. While browsing t he Web, a user
could decide t o speak t o a cust omer- service represent at ive. I MS will be a key plat form
for all- I P archit ect ures for bot h HSPA and LTE.
A new init iat ive called Rich Communicat ions Suit e ( RCS) , support ed by many operat ors
and vendors, builds upon I MS t echnology t o provide a consist ent feat ure set , as well as
implement at ion guidelines, use cases, and reference implement at ions. RCS uses exist ing
st andards and specificat ions from 3GPP, OMA and GSMA.
Core feat ures include:
- An enhanced phone book ( device and/ or net work based) t hat includes service
capabilit ies and presence- enhanced cont act informat ion.
- Enhanced messaging ( support ing t ext , inst ant messaging, and mult imedia) wit h
chat and messaging hist ory.
- Enriched calls t hat include mult imedia cont ent ( e. g. , video sharing) during voice
calls.
Anot her import ant new service is support for mobile TV t hrough what is called mult icast
or broadcast funct ions. 3GPP has defined mult icast / broadcast capabilit ies for bot h HSPA
and LTE.
Voice Support
While 2G and 3G t echnologies were deployed from t he beginning wit h bot h voice and
dat a capabilit y, LTE net works can be deployed wit h or wit hout voice support . Moreover,
t here are a number of met hods available for voice support including fallback t o 2G/ 3G


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 25
and VoI P operat ion. These approaches are covered in more det ail in t he LTE sect ion of
t he appendix.
Device Innovation
Comput ing it self is becoming more mobile, and not ebook comput ers and smart phones
are now prevalent . I n fact , all mobile phones are becoming “ smart ,” wit h some form of
dat a capabilit y, and leading not ebook vendors are now offering comput ers wit h
int egrat ed 3G ( e. g. , HSPA) capabilit ies. Modems are available in mult iple format s
including USB devices, PC Cards, and Express cards.
Comput er manufact urers are also delivering new form fact ors such as net books, t ablet
comput ers, mobile I nt ernet devices ( MI D) , and smart books. The movement t o open
net works also allows a great er number of companies t o develop product s t hat use
wireless net works in bot h vert ical- market and horizont al- market scenarios.
Cellular t elephones are becoming more powerful and feat ure large color t ouch displays,
graphics and video viewers, st ill cameras, movie cameras, music players, I M client s, e-
mail client s, PoC, downloadable, execut able cont ent capabilit ies, and ever more powerful
browsers. All of t hese capabilit ies consume dat a.
Meanwhile, smart phones are becoming ext remely powerful comput ers wit h general-
purpose operat ing syst ems and sophist icat ed applicat ion development environment s.
Smart phones, originally t arget ed for t he high end of t he market , are now available at
much lower price point s and t hus affordable t o a much larger market segment .
Smart phones in t he U. S. already account for some 25% of phones t oday, on t rack t o
reach 50% by 2011.
28
The cont inued success of t he BlackBerry along wit h t he success of
t he iPhone and Android devices demonst rat es t he pot ent ial of t his market .
From a radio perspect ive, t oday’s phones can support ever more bands and t echnologies.
This makes world phones feasible. I ncreasingly, users expect t heir phones t o work
anywhere t hey go.
Network Interfaces for Applications
Anot her import ant development relat ed t o service evolut ion is operat ors making
int erfaces available t o ext ernal applicat ions for informat ion and cont rol. Two widely
deployed capabilit ies t oday include locat ion queries and short message service ( SMS) .
Wit h locat ion, mobile devices or ext ernal applicat ions ( e. g. , applicat ions operat ing on
comput ers out side of t he net work) can query t he locat ion of a user, subj ect t o privacy
rest rict ions. This can significant ly enhance many applicat ions including navigat ion,
supplying locat ion of nearby dest inat ions ( e. g. , rest aurant s, st ores) , locat ion of friends
for social net working, and worker dispat ch. Wit h SMS, ext ernal applicat ions can send
user- request ed cont ent such as flight updat es.
Unt il now, t he int erfaces for such funct ions have eit her been propriet ary, or specific t o
t hat funct ion. There are now int erfaces, however, t hat span mult iple funct ions using a
consist ent set of programming met hods. One set is t he Parlay X Web Services, a set of
funct ions specified t hrough a j oint proj ect of t he Parlay Group, t he European
Telecommunicat ions St andards I nst it ut e ( ETSI ) and 3GPP. The Open Mobile Alliance
( OMA) now manages t he Parlay X specificat ions. Parlay X Web Services include support

28
Nielsen, “ The Droid: I s t his t he Smart phone Consumers are Looking For?” November 11, 2009,
ht t p: / / blog. nielsen. com/ nielsenwire/ consumer/ t he- droid- is- t his- t he- smart phone- consumers- are-
looking- for/ .


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 26
for locat ion and SMS, as well as many ot her funct ions wit h which developers will be able
t o build innovat ive applicat ions.
Table 3 summarizes t he available Parlay X specificat ions.
29
Operat ors are beginning t o
select ively deploy t hese funct ions. The advant age of t his approach is t hat developers can
build applicat ions t hat are compat ible wit h mult iple operat or net works.
Tabl e 3: Par l ay X Speci f i cat i ons
Par t Ti t l e Funct i ons
1 Common Definit ions common across Parlay X specificat ions
2 Third Part y Call Creat es and manages calls
3 Call Not ificat ion Management of calls init iat ed by a subscriber
4 Short Messaging Send and receive of SMS including delivery receipt s
5 Mult imedia Messaging Send and receive of mult imedia messages
6 Payment Pre- paid and post - paid payment s and payment
reservat ions
7 Account Management Management of account s of prepaid cust omers
8 Terminal St at us Obt ain st at us such as reachable, unreachable or busy
9 Terminal Locat ion Obt ain locat ion of t erminal
10 Call Handling Cont rol by applicat ion for call handling of specific
numbers
11 Audio Call Cont rol for media t o be added/ dropped during call
12 Mult imedia Conference Creat e mult imedia conferences including dynamic
management of part icipant s
13 Address List
Management
Manage subscriber groups
14 Presence Provide presence informat ion
15 Message Broadcast Send messages t o all users in specified area
16 Geocoding Obt ain locat ion address of subscriber
17 Applicat ion- driven QoS Cont rol qualit y of service of end- user connect ion
18 Devices Capabilit ies
and Configurat ion
Obt ain device capabilit y informat ion and be able t o
push device configurat ion t o device
19 Mult imedia St reaming
Cont rol
Cont rol mult imedia st reaming t o device
20 Mult imedia Mult icast
Session Management
Cont rol mult icast sessions, members, mult imedia
st ream, and obt ain channel presence informat ion

A relat ed proj ect is GSM Associat ion ( GSMA) OneAPI , a proj ect t o also define net work
int erfaces, but t hat priorit izes implement at ion based on expect ed market demand.
OneAPI defines a simplified Web service for most funct ions t hat is essent ially a subset of
t he relat ed Parlay X Web service.
30
I t also defines a REST ( Represent at ional St at e
Transfer) int erface for most funct ions as an alt ernat ive t o using t he Web service. RESTful
int erfaces are simpler for developers t o work wit h and experiment wit h t han Web
services.
Regardless of whet her operat ors deploy wit h Parlay X or OneAPI , t hese are mainst ream
int erfaces t hat will open wireless net works t o t housands of I nt ernet programmers who

29
See ht t p: / / www. parlay. org/ en/ specificat ions/ pxws.asp for act ual specificat ions.
30
See ht t p: / / oneapi. aepona. com/ port al/ t ws_gsma/ Resources for more informat ion about OneAPI .


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 27
will be able t o build applicat ions t hat leverage t he lat ent informat ion and capabilit ies of
wireless net works.
Mobile Application Architectures
Many applicat ions used over wireless connect ions will be t he same as t hose used over t he
I nt ernet wit h deskt op/ lapt op PCs. An increasing number of applicat ions, however, will be
developed specifically for mobile devices. This can be a challenge for developers, because
t here are a number of different mobile plat forms now available including Android, Apple
iPhone, LiMo, Palm Pre, RI M BlackBerry, Symbian, and Windows Mobile. Unlike t he
deskt op market , t he mobile device market has become fragment ed. Each of t he device
plat forms comes wit h it s own applicat ion development environment , and developers must
face a learning curve t o become adept at programming for any specific plat form. Some
developers may be cont ent t arget ing specific plat forms. Ot hers, however, may need t heir
applicat ions t o operat e across mult iple plat forms.
Fort unat ely, t here are various development s t hat address t he fragment at ion challenge.
These include:
- Mobile Middleware. These are soft ware infrast ruct ures t hat consist of a client
component t hat operat es on t he mobile device, and a server component t hat act s
as a proxy for t he client . Vendors provide t ools wit h which developers can develop
an applicat ion in a plat form- neut ral manner, and which t hen operat es on mult iple
device t ypes. Mobile middleware is most ly used for business applicat ions.
- Mobile Web 2. 0. Mobile browsers are adopt ing many of t he same sophist icat ed
capabilit ies as deskt op browsers. Combined wit h net works t hat have higher
t hroughput s and lower lat ency, an increasing number of applicat ions can be Web
host ed, making t he applicat ions available from diverse plat forms. Mobile Web 2. 0
t echnologies include it ems such as Aj ax, offline operat ion, video capabilit ies, fast
JavaScript execut ion, and mashups ( combining dat a from mult iple Web sources) .
Cloud comput ing, enabled by Mobile Web 2. 0, will play as import ant a role for
mobile syst ems as for deskt ops.
- Push Archit ect ures. Many mobile applicat ions are not ificat ion orient ed, meaning
users want t o know when new informat ion is available in applicat ions like e- mail
or social net working. “ Pushing” small amount s of dat a on a regular basis t o large
numbers of users, or having devices poll on a regular basis, can st rain impact
net work capacit y. I n response, 3GPP has specified support ing mechanisms such as
Paging Channel ( PCH) st at es and t ools for enabling rapid t ransit ions bet ween
act ive and inact ive st at es.
- Event ual Market Consolidat ion. Though t he market is current ly fragment ed, t here
are cert ain plat forms ( e. g. , Android, BlackBerry, iPhone) t hat represent relat ively
dominant market share. I ncreasingly, developers are choosing t o develop for j ust
a small number of t hese plat forms using t he development t ools specific t o t hat
environment .
Broadband-Wireless Deployment Considerations
Much of t he debat e in t he wireless indust ry is on t he merit s of different radio
t echnologies, yet ot her fact ors are equally import ant in det ermining t he services and
capabilit ies of a wireless net work. These fact ors include t he amount of spect rum
available, backhaul, and net work t opology.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 28
Spect rum has always been a maj or considerat ion for deploying any wireless net work, but
it is part icularly import ant when looking at high- performance broadband syst ems. HSPA
and HSPA+ can deliver high t hroughput rat es on t he downlink and uplink wit h low lat ency
in 5 MHz channels when deployed in single frequency ( 1/ 1) reuse. By t his, we mean t hat
every cell sect or ( t ypically t hree per cell) in every cell uses t he same radio channel( s) .
To achieve higher dat a rat es requires wider radio channels, such as 10 or 20 MHz wide
channels, in combinat ion wit h emerging OFDMA radio t echnologies. Very few operat ors
t oday, however, have access t o t his much spect rum. I t was challenging enough for GSM
operat ors t o obt ain UMTS spect rum. I f delivering very high dat a rat es is t he obj ect ive,
t hen t he syst em must minimize int erference. This result is best achieved by employing
looser reuse, such as having every sect or use only one- t hird of t he available radio
channels ( 1/ 3 reuse) . The 10 MHz radio channel could now demand as much as 30 MHz
of available spect rum.
Backhaul is anot her fact or. As t he t hroughput of t he radio link increases, t he circuit s
connect ing t he cell sit es t o t he core net work must be able t o handle t he increased load.
Wit h many cell sit es t oday serviced by j ust a small number of T1/ E1 circuit s, each able t o
carry only 1. 5/ 2. 0 Mbps, operat ors are in t he process of upgrading backhaul capacit y t o
obt ain t he full benefit of next - generat ion wireless t echnologies. Approaches include
emerging wireline t echnologies such as VDSL and opt ical Et hernet , as well as point - t o-
point microwave syst ems. An OFDMA syst em wit h 1. 5 bps per hert z ( Hz) of spect ral
efficiency in 10 MHz on t hree sect ors has up t o 45 Mbps average cell t hroughput .
Addit ionally, any t echnology’s abilit y t o reach it s peak spect rum efficiency is somewhat
cont ingent on t he syst em’s abilit y t o reach t he inst ant aneous peak dat a rat es allowed by
t hat t echnology. For example, a syst em claiming spect rum efficiency of 1. 5 bps/ Hz ( as
described above) might rely on t he abilit y t o reach 100 Mbps inst ant aneously t o achieve
t his level of spect rum efficiency. Any const raint on t he t ransport syst em below 100 Mbps
will rest rict t he range of achievable t hroughput and, in t urn, impact t he spect ral efficiency
of t he syst em.
Finally, t he overall net work t opology also plays an import ant role, especially wit h respect
t o lat ency. Low lat ency is crit ical t o achieving very high dat a rat es, because of t he way it
affect s Transmission Cont rol Prot ocol ( TCP) / I P t raffic. How t raffic rout es t hrough t he core
net work—how many hops and nodes it must pass t hrough—can influence t he overall
performance of t he net work. One way t o increase performance is by using flat t er
archit ect ures, meaning a less hierarchical net work wit h more direct rout ing from mobile
device t o end syst em. The core EPC net work for 3GPP LTE emphasizes j ust such a flat t er
archit ect ure.
I n summary, it can be misleading t o say t hat one wireless t echnology out performs
anot her wit hout a full underst anding of how t hat t echnology will be deployed in a
complet e syst em t hat also t akes spect rum int o account .
Data Offload
As dat a loads increase, operat ors are seeking t o offload some of t he dat a t raffic t o ot her
net works, part icularly Wi- Fi net works. I n t he fut ure, once t hey are widely deployed,
offload ont o femt ocells will also play an import ant role.
The I EEE 802. 11 family of t echnologies has experienced rapid growt h, mainly in privat e
deployment s. The lat est 802. 11 st andard, 802.11n, offers users t hroughput s in excess of
100 Mbps and improved range t hrough use of MI MO. Complement ary st andards increase
t he at t ract ion of t he t echnology. 802. 11e provides qualit y- of- service enabling VoI P and
mult imedia, 802. 11i enables robust securit y, and 802. 11r provides fast roaming,
necessary for voice handover across access point s.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 29
Leveraging t his success, operat ors—including cellular operat ors—are offering hot spot
service in public areas such as airport s, fast - food rest aurant s, and hot els. For t he most
part , hot spot s are complement ary wit h cellular- dat a net works, because t he hot spot can
provide broadband services in ext remely dense user areas and t he cellular net work can
provide broadband services across much larger areas.
Wi- Fi has huge inherent capacit y for t wo reasons. First , a large amount of spect rum
( approximat ely 500 MHz) is available across 2.4 GHz and 5 bands. Second, t he spect rum
is used in small coverage areas, result ing in high frequency reuse. The result is much
higher bps rat es per square met er of coverage t han wit h wide- area net works.
Various organizat ions are looking at int egrat ing WLAN service wit h Global Syst em for
Mobile Communicat ions ( GSM) - HSPA dat a services. The GSM Associat ion has developed
recommendat ions for Subscriber I dent it y Module- ( SI M- ) based aut hent icat ion of
hot spot s, and 3GPP has mult iple init iat ives t hat address WLAN int egrat ion int o it s
net works, including 3GPP Syst em t o WLAN I nt erworking, UMA, I MS, and EPC.
I nt egrat ion can eit her be loose or t ight . Loose int egrat ion means dat a t raffic rout es
direct ly t o t he I nt ernet and minimizes t raversal of t he operat or net work. This is called
local breakout . Tight int egrat ion means dat a t raffic, or select port ions, may t raverse t he
operat or core net work. This is beneficial in sit uat ions where t he operat ors offer value-
added services ( e. g. , int ernal port als) t hat can only be accessed from wit hin t he core.
Essent ial t o successful dat a offload is providing a good subscriber experience. This
mandat es measures such as aut omat ically provisioning subscriber devices wit h t he
necessary Wi- Fi configurat ion opt ions and aut omat ically aut hent icat ing subscribers on
support ed public Wi- Fi net works.
Work in 3GPP Release 10 is defining some specific mechanisms for offloading t raffic. One
is called I P Flow and Seamless Offload ( I FOM) used t o carry select t raffic over Wi- Fi
inst ead of a femt o connect ion. Anot her is called Select ed I P Traffic Offload ( SI PTO) used
t o offload t he mobile core net work by separat ing t raffic out early.
Feature and Network Roadmap
GSM operat ors first enhanced t heir net works t o support dat a capabilit y t hrough t he
addit ion of General Packet Radio Service ( GPRS) infrast ruct ure wit h t he abilit y t o use
exist ing cell sit es, t ransceivers, and int erconnect ion facilit ies. Since inst alling GPRS, GSM
operat ors have largely upgraded dat a service t o EDGE, and any new GSM net work
includes EDGE capabilit y.
Operat ors have deployed UMTS- HSPA worldwide. Alt hough UMTS involves a new radio-
access net work, several fact ors facilit at e deployment . First , most UMTS cell sit es can be
collocat ed in GSM cell sit es enabled by mult i- radio cabinet s t hat can accommodat e
GSM/ EDGE, as well as UMTS equipment . Second, much of t he GSM/ GPRS core net work
can be used. This means t hat all core- net work element s above t he Serving GPRS Support
Node ( SGSN) and Mobile Swit ching Cent er ( MSC) —t he Gat eway GPRS Support Node
( GGSN) , t he Home Locat ion Regist er ( HLR) , billing and subscriber administ rat ion
syst ems, service plat forms, and so fort h—need, at most , a soft ware upgrade t o support
3G UMTS- HSPA. And while early 3G deployment used separat e 2G/ 3G SGSNs and MSCs,
all- new MSC and/ or SGSN product s are capable of support ing bot h GSM and UMTS- HSPA
radio- access net works. Similarly, new HSPA equipment will be upgradeable t o LTE
t hrough a soft ware upgrade.
New feat ures are being designed so t hat t he same upgraded UMTS radio channel can
support a mixt ure of t erminals. I n ot her words, a net work support ing Release 5 feat ures
( for example, HSDPA) can support Release 99, Release 5, and Release 6 t erminals ( for


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 30
example, HSUPA) operat ing in a Release 5 mode. This flexibilit y assures t he maximum
degree of forward- and backward- compat ibilit y. Not e also t hat most UMTS t erminals
t oday support GSM, t hus facilit at ing use across large coverage areas and mult iple
net works.
Once deployed, operat ors can minimize t he cost s of managing GSM/ EDGE and UMTS
net works, because t hese net works share many of t he same aspect s including:
 Packet - dat a archit ect ure
 Cell sit es
 Ant enna syst ems
 Backhaul circuit s
 Subscriber account management
 Service plat forms
Users largely don’t even need t o know t o what t ype of net work t hey are connect ed,
because t heir mult imode GSM- HSPA ( and event ually GSM- HSPA- LTE) devices can
seamlessly hand off bet ween net works.
The changes being planned for t he core net work are anot her aspect of evolut ion. Here,
t he int ent is t o reduce t he number of nodes t hat packet s must t raverse. This will result in
bot h reduced deployment cost s and reduced lat ency. The key enabling t echnology is EPC,
which is described in det ail lat er in t his paper.
The upgrade t o LTE will be relat ively st raight forward, wit h new LTE infrast ruct ure having
t he abilit y t o reuse a significant amount of t he UMTS- HSPA cell sit e and base st at ion
including using t he same shelt er, t ower, ant ennas, power supply and climat e cont rol.
Different vendors have different , so- called “ zero- foot print ” solut ions allowing operat ors t o
use empt y space t o enable re- use of exist ing sit es wit hout t he need for any new floor
space.
An operat or can add LTE capabilit y simply by adding an LTE baseband card. New mult i-
st andard radio unit s ( HSPA and LTE) , as well as LTE- only baseband cards, are
mechanically compat ible wit h older building pract ices, so t hat operat ors can use empt y
space in an old base st at ion for LTE baseband cards, t hus enabling re- use of exist ing sit es
wit hout t he need for any new floor space, as ment ioned previously.
Base st at ion equipment is available for many bands including t he 1. 7/ 2. 1 GHz AWS band
and t he recent ly auct ioned 700 MHz bands in t he US. I n 2010, operat ors and vendors
began LTE deployment .
On t he device side, mult i- mode chipset s will enable devices t o easily operat e across
UMTS and LTE net works. For example, one chipset vendor has announced a series of
chips t hat support t he following combinat ion of t echnologies: UMTS, HSPA+ and LTE; EV-
DO Rev B; and UMTS, HSPA+ , EV- DO Rev B and LTE.
31

One import ant and int erest ing aspect of t echnology deployment is t hat an advanced
t echnology such as LTE enables operat ors t o upgrade prior t echnologies, such as HSPA.
Examples include:

31
ht t p: / / www. qualcomm. com/ press/ r eleases/ 2008/ 080207_Qualcomm_t o_Ship. ht ml.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 31
 VoI P for HSPA. Since LTE uses an I P core, once it is deployed, support ing voice on
HSPA via VoI P will be a much simpler t ask as it can share t he same core I P net work
as LTE.
 Device processing power. Support ing t he high t hroughput rat es wit h LTE ( e. g. , 50
Mbps or higher) will provide sufficient processing in t he device t o also support very
high HSPA rat es ( e. g., 30 Mbps or higher) .
Table 4 shows t he rollout of EDGE/ HSPA/ LTE feat ures over t ime.
Tabl e 4: Ex pect ed UMTS/ LTE Feat ur e and Capabi l i t y Avai l abi l i t y
Year Feat ur es
2010 Evolved EDGE capabilit ies available t o significant ly increase EDGE
t hroughput rat es and announced deployment s.
32

HSPA+ peak speeds furt her increased t o peak rat es of 42 Mbps based on
Release 8.
LTE int roduced for next - generat ion t hroughput performance using 2X2
MI MO.
Advanced core archit ect ures available t hrough EPC, primarily for LTE, but
also for HSPA+ , providing benefit s such as int egrat ion of mult iple net work
t ypes and flat t er archit ect ures for bet t er lat ency performance.
2011 LTE enhancement s such as 4X2 MI MO and 4X4 MI MO available.
LTE- Advanced specificat ions complet ed.
HSPA+ wit h MI MO and dual- carrier available.
2012 and
lat er
LTE- Advanced pot ent ially deployed in init ial st ages.
HSPA+ wit h MI MO and quad- carrier available.
Most new services implement ed in t he packet domain.

Over t ime, t he separat e GSM/ EDGE Radio Access Net work ( GERAN) , UMTS Terrest rial
Access Net work ( UTRAN) , and core- infrast ruct ure element s will undergo consolidat ion,
t hus lowering t ot al net work cost and improving int egrat ed operat ion of t he separat e
access net works. For act ual users wit h mult imode devices, t he net works t hey access will
be largely t ransparent . Today, nearly all UMTS phones and modems support GSM/ EDGE.
Operat ors will deploy LTE in various configurat ions. Some will offer only dat a service on
LTE. Ot hers will offer dat a service on LTE in combinat ion wit h voice over 2G or 3G. Yet
ot hers will provide bot h voice and dat a service on LTE. I ndividual operat or configurat ions
will also evolve over t ime.
Figure 9 present s t he cont inuing advances in HSPA and LTE, plot t ed over t ime, showing
an approximat e doubling of t hroughput per year.

32
For example, March 31, 2010, announcement t hat Ericsson was deploying Evolved EDGE for Bhart i
Airt el in I ndia.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 32
Fi gur e 9: Peak Rat es f or Dow nl i nk and Upl i nk ov er Ti me
33


Deployment Scenarios
There are many different scenarios t hat operat ors will use t o migrat e from t heir current
net works t o fut ure t echnologies such as LTE. Figure 10 present s various scenarios
including operat ors who t oday are using CDMA2000, UMTS, GSM and Worldwide
I nt eroperabilit y for Microwave Access ( WiMAX) . For example, as shown in t he first bar, a
CMDA2000 operat or in scenario A could defer LTE deployment t o t he longer t erm. I n
scenario B, in t he medium t erm, t he operat or could deploy a combinat ion of 1xRTT, EV-
DO Rev A/ B and LTE and, in t he long t erm, could migrat e EV- DO dat a t raffic t o LTE. I n
scenario C, a CDMA2000 operat or wit h j ust 1xRTT could int roduce LTE as a broadband
service and, in t he long t erm, could migrat e 1xRTT users t o LTE including voice service.

33
Source: A 3G Americas’ member company.
DL R’99-384k
HSDPA 1.8M
HSDPA 3.6M
HSDPA 7.2M
HSDPA 14.4M
MIMO 2x2 28M
MIMO/64QAM 42M
DL LTE (20MHz) 140M
MIMO 2X2, 4X2
DL LTE (20MHz) 300M
MIMO 4X4
100 kbps
1 M|to
10 Mbps
20 Mbps
100 kbps
1 Mbps
10 Mbps
100 Mbps
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
UL R’99 384k
HSUPA 1.5M
HSUPA 5.6M
HSUPA/16QAM 11M
UL LTE (10MHz) 25M
16 QAM
UL LTE (10MHz) 50M
64 QAM
• HSPA DL and UL peak throughputs expected
to double every year on average
• Limitations not induced by the technology itself
but time frames required to upgrade
infrastructure and transport networks, obtain
devices with corresponding capabilities and
interoperability tests
Downlink Speeds
Uplink Speeds


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 33
Fi gur e 10: Di f f er ent Depl oy ment Scenar i os f or LTE
34



3GPP and 3GPP2 bot h have specified det ailed migrat ion opt ions for current 3G syst ems
( UMTS- HSPA and EV- DO) t o LTE. Due t o economies of scale for infrast ruct ure and
devices, 3GPP operat ors are likely t o have a compet it ive cost advant age over Third
Generat ion Part nership Proj ect 2 ( 3GPP2) operat ors.
One opt ion for GSM operat ors t hat have not yet commit t ed t o UMTS, and do not have an
immediat e pressing need t o do so, is t o migrat e direct ly from GSM/ EDGE or Evolved
EDGE t o LTE wit h net works and devices support ing dual- mode GSM- EDGE/ LTE operat ion.




34
Source: A 3G Americas’ member company.
11 ' Hpcocvtotiov Titìc ' Movtn 2008
GSM
LTE
GSM
LTE
GSM
GSM
WCDMA
GSM
GSM
WCDMA
GSM
WCDMA
LTE
GSM
WCDMA
LTE
GSM
WCDMA
LTE
3G1x
CDMA t o
LTE LTE
3G1x 3G1X
3G1x
LTE
3G1x
LTE
3G 1X
EV- DO RevA
EV- DO RevA/ B EV- DO RevA/ B
Today Medi um t er m Long t er m
Scenar i o A
Scenar i o B
W- CDMA
t o LTE
Scenar i o A
Scenar i o B
LTE
WCDMA
GSM t o
LTE
Wi MAX
Wi MAX. 16
e
evol
some 16m f eat ur es
LTE
Wi MAX
Wi MAX
t o LTE
3G1X
EV- DO RevA
3G1X
EV- DO RevA/ B
LTE
3G1x
EV- DO RevA/ B
Scenar i o c


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 34
Competing Technologies
Alt hough GSM- HSPA net works are dominat ing global cellular- t echnology deployment s,
operat ors are deploying ot her wireless t echnologies t o serve bot h wide and local areas. This
sect ion of t he paper looks at t he relat ionship bet ween GSM/ UMTS/ LTE and some of t hese
ot her t echnologies.
CDMA2000
CDMA2000, consist ing principally of One Carrier Radio Transmission Technology ( 1xRTT)
and One Carrier- Evolved, Dat a- Opt imized ( 1xEV- DO) versions, is t he ot her maj or cellular
t echnology deployed in many part s of t he world. 1xRTT is current ly t he most widely
deployed CDMA2000 version. A number of operat ors have deployed or are deploying
1xEV- DO in which a radio carrier is dedicat ed t o high- speed dat a funct ions. I n July 2010,
t here were 114 EV- DO Rel. 0 net works and 95 EV- DO Rev. A net works deployed
worldwide.
35

Current ly deployed net work versions are based on eit her Rel. 0 or Rev. A radio- int erface
specificat ions. EV- DO Rev. A incorporat es a more efficient uplink, which has spect ral
efficiency similar t o t hat of HSUPA. Operat ors st art ed t o make EV- DO Rev. A
commercially available in 2007.
EV- DO uses many of t he same t echniques for opt imizing spect ral efficiency as HSPA
including higher order modulat ion, efficient scheduling, t urbo- coding, and adapt ive
modulat ion and coding. For t hese reasons, it achieves spect ral efficiency t hat is virt ually
t he same as HSPA. The 1x t echnologies operat e in t he 1. 25 MHz radio channels,
compared t o t he 5 MHz channels UMTS uses, result ing in lower t heoret ical peak rat es,
alt hough average t hroughput s for high level net work loading are similar. Under low- t o
medium- load condit ions, because of t he lower peak achievable dat a rat es, EV- DO or EV-
DO Rev. A achieves a lower t ypical performance level t han HSPA. Operat ors have quot ed
400 t o 700 kilobit s per second ( kbps) t ypical downlink t hroughput for EV- DO Rev. 0
36
and
bet ween 600 kbps and 1. 4 Mbps for EV- DO Rev. A.
37

One challenge for EV- DO operat ors is t hat t hey cannot dynamically allocat e t heir ent ire
spect ral resources bet ween voice and high- speed dat a funct ions. The EV- DO channel is
not available for circuit - swit ched voice, and t he 1xRTT channels offer only medium- speed
dat a. I n t he current st age of t he market , in which dat a only const it ut es a small
percent age of t ot al net work t raffic, t his is not a key issue. But as dat a usage expands,
t his limit at ion will cause subopt imal use of radio resources. Figure 11 illust rat es t his
severe limit at ion.

35
Source: ht t p: / / www. cdg. org, July 5, 2010.
36
Source: Verizon Broadband Access Web page, July 29, 2005.
37
Source: Sprint press release, January 30, 2007.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 35
Fi gur e 11: Radi o Resour ce Management 1x RTT/ 1x EV- DO v er sus UMTS- HSPA

Anot her limit at ion of using a separat e channel for EV- DO dat a services is t hat it current ly
prevent s users from engaging in simult aneous voice and high- speed dat a services,
whereas t his is possible wit h UMTS and HSPA. Many users enj oy having a t et hered dat a
connect ion from t heir lapt op—by using Bluet oot h, for example—and being able t o init iat e
and receive phone calls while maint aining t heir dat a sessions.
EV- DO will event ually provide voice service using VoI P prot ocols t hrough EV- DO Rev. A,
which includes a higher speed uplink, QoS mechanisms in t he net work, and prot ocol
opt imizat ions t o reduce packet overhead, as well as addressing problems such as j it t er.
Even t hen, however, operat ors will face difficult choices: How many radio channels at
each base st at ion should be made available for 1xRTT t o support legacy t erminals versus
how many radio channels should be allocat ed t o EV- DO. I n cont rast , UMTS allows bot h
circuit - swit ched and packet - swit ched t raffic t o occupy t he same radio channel, where t he
amount of power each uses can be dynamically adj ust ed. This makes it simple t o migrat e
users over t ime from circuit - swit ched voice t o packet - swit ched voice.
3GPP2 has also defined EV- DO Rev. B, which can combine up t o 15 1. 25 MHz radio
channels in 20 MHz—significant ly boost ing peak t heoret ical rat es t o 73. 5 Mbps. More
likely, an operat or would combine t hree radio channels in 5 MHz. Such an approach by
it self does not necessarily increase overall capacit y, but it does offer users higher peak-
dat a rat es.
Beyond EV- DO Rev. B, 3GPP2 is working t o finalize t he specificat ions for EV- DO Rev C,
somet imes referred t o as EV- DO Advanced, t his year. Expect ed enhancement s include
MI MO and 64 QAM in t he downlink and 16 QAM in t he uplink. No public det ails are yet
available.
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Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 36
There are also a number of planned improvement s for CDMA2000 1xRTT in a version
referred t o as 1x- Advanced t hat will significant ly increase voice capacit y, doubling it if all
enhancement s are implement ed. CDMA operat ors are not only considering 1x- Advanced
as a means t o increase voice capacit y, but as a means t o free up spect rum t o support
more dat a services, such as deploying more EV- DO carriers or deploying LTE.
3GPP2 has defined t echnical means t o int egrat e CDMA2000 net works wit h LTE along t wo
available approaches:
1. Loose coupling. This involves lit t le or no int er- syst em funct ionalit y, and resources
are released in t he source syst em prior t o handover execut ion.
2. Tight coupling. The t wo syst ems int ercommunicat e wit h net work- cont rolled make-
before- break handovers. Tight coupling allows maint enance of dat a sessions wit h
t he same I P address. This will likely involve a more complex implement at ion t han
loose coupling.
CDMA2000 is clearly a viable and effect ive wireless t echnology and, t o it s credit , many of
it s innovat ions have been brought t o market ahead of compet ing t echnologies.
WiMAX
WiMAX has emerged as a pot ent ial alt ernat ive t o cellular t echnology for wide- area
wireless net works. Based on OFDMA and recent ly accept ed by t he I TU as an I MT- 2000
( 3G t echnology) under t he name OFDMA TDD Wireless Met ropolit an Area Net work
( WMAN) , WiMAX is t rying t o challenge exist ing wireless t echnologies—promising great er
capabilit ies and great er efficiencies t han alt ernat ive approaches such as HSPA. But as
WiMAX, part icularly mobile WiMAX, has come closer t o realit y, vendors have cont inued t o
enhance HSPA and perceived WiMAX advant ages are no longer apparent . Moreover, LTE
net works are now beginning t o be deployed.
I nst ead, WiMAX has gained t he great est t ract ion in developing count ries as an alt ernat ive
t o wireline deployment . I n t he Unit ed St at es, Clearwire, Sprint Next el and ot hers ( I nt el,
Google, Comcast , Time Warner Cable, and Bright House Net works) have creat ed a j oint
vent ure t o deploy a nat ionwide WiMAX net work. I n July 2010, t his net work was available
in 44 market s across t he U. S.
38

The original specificat ion, I EEE 802. 16, was complet ed in 2001 and int ended primarily for
t elecom backhaul applicat ions in point - t o- point , line- of- sight configurat ions using
spect rum above 10 GHz. This original version of I EEE 802. 16 uses a radio int erface based
on a single- carrier waveform.
The next maj or st ep in t he evolut ion of I EEE 802. 16 occurred in 2004 wit h t he release of
t he I EEE 802. 16- 2004 st andard. I t added mult iple radio int erfaces, including one based
on OFDM- 256 and one based on OFDMA. I EEE 802. 16- 2004 also support s point - t o-
mult ipoint communicat ions, sub- 10 GHz operat ion, and non- line- of- sight
communicat ions. Like t he original version of t he st andard, operat ion is fixed, meaning
t hat subscriber st at ions are t ypically immobile. Pot ent ial applicat ions include wireless
I nt ernet Service Provider ( I SP) service and local t elephony bypass ( as an alt ernat ive t o
cable modem or DSL service) . Vendors can design equipment for eit her licensed or
unlicensed bands.

38
Source: Clearwire Press Release, “ Clearwire Brings CLEAR 4G t o Merced and Visalia, California, ” July
1, 2010.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 37
I EEE 802. 16e- 2005 and now I EEE 802. 16- 2009 add mobilit y capabilit ies including
support for radio operat ion while mobile, handovers across base st at ions, and handovers
across operat ors. Unlike I EEE 802. 16- 2004, which operat es in bot h licensed and
unlicensed bands, I EEE 802. 16e- 2005 ( referred t o as mobile WiMAX) makes t he most
sense in licensed bands. Current WiMAX profiles emphasize TDD operat ion. Mobile WiMAX
net works are not backward- compat ible wit h I EEE 802. 16- 2004 net works.
Vendors deliver WiMAX Forum- cert ified equipment t hat conforms t o subset s of I EEE
802. 16e- 2005 or I EEE 802. 16- 2009 as defined t oday. The I EEE it self does not define a
cert ificat ion process.
Current mobile WiMAX net works use 2X2 MI MO or 4X2 MI MO, TDD, and 10 MHz radio
channels in a profile defined by t he WiMAX Forum known as WiMAX Wave 2 or, more
formally, as WiMAX Syst em Profile 1. 0. Beyond Release 1. 0, t he WiMAX Forum has
defined a new profile called WiMAX Release 1. 5. This profile includes various refinement s
int ended t o improve efficiency and performance and could be available for deployment in
a similar t imeframe as LTE.
Release 1. 5 enhancement s include Medium Access Cont rol ( MAC) overhead reduct ions for
VoI P ( persist ent scheduling) , handover opt imizat ions, load balancing, locat ion- based
services support , Frequency Division Duplex ( FDD) operat ion, 64 QAM in t he uplink,
downlink adapt ive modulat ion and coding, closed- loop MI MO ( FDD mode only) , and
uplink MI MO. There are no current Release 1. 5 deployment plans.
A subsequent version, Mobile WiMAX 2. 0, will be designed t o address t he performance
requirement s being developed in t he I TU I MT- Advanced Proj ect and will be st andardized
in a new I EEE st andard, I EEE 802. 16m. According t o Sprint Next el, I EEE 802. 16m will be
available in 2011.
39
Deployment , however, depends on not j ust finalizat ion of t he I EEE
specificat ions, but of associat ed WiMAX Forum profiles and associat ed cert ificat ion
programs.
WiMAX employs many of t he same mechanisms as HSPA t o maximize t hroughput and
spect ral efficiency, including high- order modulat ion, efficient coding, adapt ive modulat ion
and coding, and Hybrid Aut omat ic Repeat Request ( HARQ) . The principal difference from
HSPA is I EEE 802. 16e- 2005’s use of OFDMA. As discussed in t he sect ion “ Technical
Approaches ( TDMA, CDMA, OFDMA) ” above, OFDM provides a pot ent ial implement at ion
advant age for wide radio channels ( for example, 10 t o 20 MHz) . I n 5 t o 10 MHz radio
channels, t here is no evidence indicat ing t hat WiMAX will have any performance
advant age compared wit h HSPA+ .
I t should be not ed, however, t hat I EEE 802. 16e- 2005 cont ains some aspect s t hat may
limit it s performance, part icularly in scenarios in which a sect or cont ains a large number
of mobile users. The performance of t he MAC layer is inefficient when scheduling large
numbers of users, and some aspect s—such as power cont rol of t he mobile st at ion—are
provided using MAC signaling messages rat her t han t he fast power cont rol used in
WCDMA and ot her t echnologies. Thus, while WiMAX uses OFDMA, t he performance will
likely be somewhat less t han HSPA due t o increased overhead and ot her design issues.
Relat ive t o LTE, WiMAX has t he following t echnical disadvant ages: 5 msec frames inst ead
of 1 msec frames, Chase combining inst ead of increment al redundancy, coarser
granularit y for modulat ion and coding schemes and vert ical coding inst ead of horizont al
coding.
40
One deployment considerat ion is t hat TDD requires net work synchronizat ion. I t

39
Ali Tabassi, Sprint Next el, Fierce Wireless Webcast , “ WiMAX: Mobilizing t he I nt ernet ” , March 5, 2008.
40
I EEE I nt ernat ional Symposium on Personal, I ndoor and Mobile Radio Communicat ions: Anders
Furuskär et al “ The LTE Radio I nt erface – Key Charact erist ics and Performance, ” 2008.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 38
is not possible for one cell sit e t o be t ransmit t ing and an adj acent cell sit e t o be receiving
at t he same t ime. Different operat ors in t he same band must eit her coordinat e t heir
net works or have guard bands t o ensure t hat t hey don’t int erfere wit h each ot her.
Alt hough I EEE 802. 16e exploit s significant radio innovat ions similar t o HSPA+ and LTE, it
faces challenges such as economies of scale and t echnology mat urit y. Very few operat ors
t oday have access t o spect rum for WiMAX t hat would permit t hem t o provide widespread
coverage.
I n reference t o economies of scale, GSM- HSPA subscribers number in t he billions. Even
over t he next five years, t he number of WiMAX subscribers is likely t o be quit e low. The
Yankee Group proj ect s 95 million subscribers by 2015.
41

One specific area in which WiMAX has a t echnical disadvant age is cell size. I n fact , 3G
syst ems have a significant link budget advant age over mobile WiMAX because of soft -
handoff diversit y gain and an FDD duplexing advant age over TDD.
42
Art hur D. Lit t le
report s t hat t he radii of t ypical HSPA cells will be t wo t o four t imes great er t han t ypical
mobile WiMAX cells for high- t hroughput operat ion.
43
One vendor est imat es t hat for t he
same power out put , frequency, and capacit y, mobile WiMAX requires 1. 7 t imes more cell
sit es t han HSPA.
44
Given t hat many real world deployment s of HSPA will occur at
frequencies such as 850 MHz, and LTE at 700 MHz, WiMAX deployment s at 2. 5 GHz will
be at a significant disadvant age.
Wit h respect t o spect ral efficiency, WiMAX is comparable t o HSPA+ , as discussed in t he
sect ion “ Spect ral Efficiency” t hat follows. As for dat a performance, HSPA+ in Release 8—
wit h a peak rat e of 42 Mbps—essent ially mat ches mobile WiMAX in 10 MHz in TDD 3: 1
DL: UL using 2X2 MI MO wit h a peak rat e of 46 Mbps.
Some have cit ed int ellect ual propert y right s ( I PR) as an area in which WiMAX has an
advant age. There is lit t le subst ant ial, publicly available informat ion, however, t o support
such claims. First , t he large HSPA vendors have invest ed heavily in t hese t echnologies—
hopefully giving t hem significant leverage wit h which t o negot iat e reasonable int ellect ual
propert y right s rat es wit h ot her vendors. Second, t he mobile WiMAX indust ry is in it s
infancy, and t here is considerable lack of clarit y when it comes t o how different
companies will assert and resolve I PR issues.
Finally, wireless- dat a business models must also be considered. Today’s cellular net works
can finance t he deployment of dat a capabilit ies t hrough a successful voice business.
Building new net works for broadband wireless mandat es subst ant ial capacit y per
subscriber. Consumers who download 1 Gbyt e of dat a each mont h represent a t en t imes
great er load on t he net work t han a 1, 000- minut e- a- mont h voice user. And if t he fut ure is
in mult imedia services such as movie downloads, it is import ant t o recognize t hat
downloading a single DVD- qualit y movie—even wit h advanced compression—consumes
approximat ely 2 Gbyt es. I t is not clear how easily t he available revenue- per- subscriber
will be able t o finance large- scale deployment of net work capacit y. Despit e numerous

41
Source: Yankee Group, November 2009. ht t p: / / 4gt rends. com/ ?t ag= mobile- wimax.
42
Wit h a 2: 1 TDD syst em, t he reverse link only t ransmit s one t hird of t he t ime. To obt ain t he same cell
edge dat a rat es, t he mobile syst em must t ransmit at 4. 77 dB higher t ransmit power.
43
Source: "HSPA and mobile WiMAX for Mobile Broadband Wireless Access, " 27 March 2007, Art hur D.
Lit t le Limit ed.
44
Source: Ericsson public whit e paper, “ HSPA, t he undisput ed choice for mobile broadband, May 2007. ”


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 39
at t empt s, no t errest rial wireless- dat a- only net work has ever succeeded as a business.
45

Alt hough t here is discussion of providing voice services over WiMAX using VoI P, mobile-
voice users demand ubiquit ous coverage—including indoor coverage. Mat ching t he
cellular foot print wit h WiMAX will require nat ional roaming arrangement s, complement ed
by new dual- t echnology devices or significant operat or invest ment s.
Municipal Wi-Fi Systems
Many cit ies are now deploying met ro Wi- Fi syst ems t hat will provide Wi- Fi access in
downt own areas. These syst ems are based on a mesh t echnology, wherein access point s
forward packet s t o nodes t hat have backhaul connect ions. Alt hough some indust ry
observers are predict ing t hat t hese syst ems will have an adverse effect on 3G dat a
services, met ro Wi- Fi and 3G are more likely t o be complement ary in nat ure. Wi- Fi can
generally provide bet t er applicat ion performance over limit ed coverage areas, whereas
3G syst ems can provide access over much larger coverage areas.
Met ro syst ems t oday are st ill quit e immat ure and face t he following challenges:
 Many cit y proj ect s have been discont inued due t o t he difficult y of providing a
viable business model.
 Today’s mesh syst ems are all propriet ary. The I EEE is developing a mesh
net working st andard—I EEE 802. 11s—which is in let t er- ballot st age. Even t hen, it
is not clear t hat vendors will adopt t his st andard for out door syst ems.
 Coverage in most met ro syst ems is designed t o provide an out door signal. As
such, t he signal does not penet rat e many buildings in t he coverage area and
repeat ers are needed t o propagat e t he signal indoors. Many early net work
deployment s have experienced poorer coverage t han init ially expect ed, and t he
number of recommended access point s per square mile has increased st eadily.
 Operat ion is in unlicensed bands in t he 2. 4 GHz radio channel. Given only t hree
relat ively non- overlapping radio channels at 2. 4 GHz, int erference bet ween public
and privat e syst ems is inevit able.
 Alt hough mesh archit ect ure simplifies backhaul, t here are st ill considerable
expenses and net working considerat ions in backhauling a large number of out door
access point s.
Nevert heless, met ro net works have at t ract ed considerable int erest , and some numbers of
proj ect s are st ill proceeding. Technical issues will likely be resolved over t ime, and as
more devices support bot h 3G and Wi- Fi, users can look forward t o mult iple access
opt ions.
Comparison of Wireless Technologies
This sect ion of t he paper compares t he different wireless t echnologies looking at t hroughput ,
lat ency, spect ral efficiency, and market posit ion. Finally, t he paper present s a t able t hat
summarizes t he compet it ive posit ion of t he different t echnologies across mult iple
dimensions.

45
Source: Andy Seybold, January 18, 2006, comment ary: “ Will Dat a- Only Net works Ever Make
Money?” ht t p: / / www. out look4mobilit y. com/ comment ary2006/ j an1806. ht m


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 40
Data Throughput
Dat a t hroughput is an import ant met ric for quant ifying net work t hroughput performance.
Unfort unat ely, t he ways in which various organizat ions quot e t hroughput st at ist ics vary
t remendously. This oft en result s in misleading claims. The int ent of t his paper is t o
realist ically represent t he capabilit ies of t hese t echnologies.
One met hod of represent ing a t echnology’s t hroughput is what people call “ peak
t hroughput ” or “ peak net work speed. ” This refers t o t he fast est possible t ransmission
speed over t he radio link, and it is generally based on t he highest order modulat ion
available and t he least amount of coding ( error correct ion) overhead. Peak net work speed
is also usually quot ed at layer 2 of t he radio link. Because of prot ocol overhead, act ual
applicat ion t hroughput may be 10 t o 20 percent lower ( or more) t han t his layer- 2 value.
Even if t he radio net work can deliver t his speed, ot her aspect s of t he net work—such as
t he backhaul from base st at ion t o operat or- infrast ruct ure net work—can oft en const rain
t hroughput rat es t o levels below t he radio- link rat e.
Anot her met hod is t o disclose t hroughput s act ually measured in deployed net works wit h
applicat ions such as File Transfer Prot ocol ( FTP) under favorable condit ions, which
assume light net work loading ( as low as one act ive dat a user in t he cell sect or) and
favorable signal propagat ion. This number is useful because it demonst rat es t he high-
end, act ual capabilit y of t he t echnology. This paper refers t o t his rat e as t he “ peak user
rat e. ” Average rat es, however, are lower t han t his peak rat e and difficult t o predict ,
because t hey depend on a mult it ude of operat ional and net work fact ors. Except when t he
net work is congest ed, however, t he maj orit y of users should experience t hroughput rat es
higher t han one- half of t he peak- achievable rat e.
Some operat ors, primarily in t he US, also quot e t ypical t hroughput rat es. These rat es are
based on t hroughput t est s t he operat ors have done across t heir operat ing net works and
incorporat e a higher level of net work loading. Alt hough t he operat ors do not disclose t he
precise met hodology t hey use t o est ablish t hese figures, t he values provide a good
indicat ion of what users can t ypically expect .
Table 5 present s t he t echnologies in t erms of peak net work t hroughput rat es, peak user-
rat es ( under favorable condit ions) and t ypical rat es. I t omit s values t hat are not yet
known such as t hose associat ed wit h fut ure t echnologies.
The proj ect ed t ypical rat es for HSPA+ and LTE show a wide range. This is because t hese
t echnologies are designed t o exploit favorable radio condit ions t o achieve very high
t hroughput rat es. Under poor radio condit ions, however, t hroughput rat es are lower.
Tabl e 5: Thr oughput Per f or mance of Di f f er ent Wi r el ess Technol ogi es
( Bl ue I ndi cat es Theor et i cal Peak Rat es, Gr een Ty pi cal )

Dow nl i nk Upl i nk
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
EDGE ( t y pe 2 MS) 473. 6 kbps 473. 6 kbps
EDGE ( t y pe 1 MS)
( Pr act i cal Ter mi nal )
236. 8 kbps 200 kbps
peak
70 t o 135
kbps t ypical
236. 8 kbps 200 kbps
peak
70 t o 135
kbps t ypical


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 41

Dow nl i nk Upl i nk
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
Evol ved EDGE
( t y pe 1 MS)
46

1184 kbps
47
1 Mbps peak
350 t o 700
kbps t ypical
expect ed
( Dual
Carrier)
473. 6
kbps
48

400 kbps
peak
150 t o 300
kbps t ypical
expect ed
Evol ved EDGE
( t y pe 2 MS)
49

1894. 4
50

kbps
947. 2
kbps
51



UMTS WCDMA Rel ease 99 2. 048 Mbps 768 kbps
UMTS WCDMA Rel ease 99
( Pr act i cal Ter mi nal )
384 kbps 350 kbps
peak
200 t o 300
kbps t ypical
384 kbps 350 kbps
peak
200 t o 300
kbps t ypical
HSDPA I ni t i al Devi ces
( 2006)
1. 8 Mbps > 1 Mbps
peak
384 kbps 350 kbps
peak
HSDPA 14. 4 Mbps 384 kbps
HSPA
52
I ni t i al
I mpl ement at i on
7. 2 Mbps > 5 Mbps
peak
700 kbps t o
1. 7 Mbps
t ypical
53

2 Mbps > 1. 5 Mbps
peak
500 kbps t o
1. 2 Mbps
t ypical
HSPA Cur r ent
I mpl ement at i on
7. 2 Mbps 5. 76 Mbps

46
A t ype 1 Evolved EDGE MS can r eceive on up- t o- t en t imeslot s using t wo radio channels and can
t ransmit on up- t o- four t imeslot s in one radio channel using 32 QAM modulat ion ( wit h t urbo coding in
t he downlink) .
47
Type 1 mobile, 10 slot s downlink ( dual carrier) , DBS- 12( 118. 4 kbps/ slot ) .
48
Type 1 mobile, 4 slot s uplink, UBS- 12 ( 118. 4 kbps/ slot ) .
49
A t ype 2 Evolved EDGE MS can receive on up- t o- 6 t imeslot s using t wo radio channels and can
t ransmit on up- t o- eight t imeslot s in one radio channel using 32 QAM modulat ion ( wit h t urbo coding in
t he downlink) .
50
Type 2 mobile, 16 slot s downlink ( dual carrier) at DBS- 12 ( 118. 4 kbps/ slot ) .
51
Type 2 mobile, 8 slot s uplink, UBS- 12 ( 118. 4 kbps/ slot ) .
52
High Speed Packet Access ( HSPA) consist s of syst ems support ing bot h High Speed Downlink Packet
Access ( HSDPA) and High Speed Uplink Packet Access ( HSUPA) .
53
Typical downlink and uplink t hroughput rat es based on AT&T press release, June 4, 2008


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 42

Dow nl i nk Upl i nk
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
HSPA 14. 4 Mbps 5. 76 Mbps
HSPA+ ( DL 64 QAM, UL
16 QAM, 2 X 5 MHz)
21. 6 Mbps 1. 9 Mbps t o
8. 8 Mbps
54

13 Mbps
peak
55

11. 5 Mbps 1 Mbps t o
4 Mbps
HSPA+ ( 2X2 MI MO,
DL 16 QAM, UL 16 QAM,
2 X 5 MHz)
28 Mbps 11. 5 Mbps
HSPA+ ( 2X2 MI MO,
DL 64 QAM, UL 16 QAM,
2 X 5 MHz)
42 Mbps 11. 5 Mbps
HSPA+ ( 2X2 MI MO,
DL 64 QAM, UL 16 QAM,
Dual Car r i er , 2 X 10 MHz)
84 Mbps

23 Mbps
HSPA+ ( 2X2 MI MO,
DL 64 QAM, UL 16 QAM,
Quad Car r i er , 2 X 20
MHz)
168 Mbps 23 Mbps
LTE ( 2X2 MI MO, 2 X 10
MHz)
70 Mbps 5. 9 t o 21. 5
Mbps
56

35 Mbps
57

LTE ( 4X4 MI MO, 2 X 20
MHz)
326 Mbps 86 Mbps


CDMA2000 1XRTT
153 kbps 130 kbps
peak
153 kbps 130 kbps
peak
CDMA2000 1XRTT 307 kbps 307 kbps
CDMA2000 EV- DO Rel 0
2. 4 Mbps > 1 Mbps
peak
153 kbps 150 kbps
peak
CDMA2000 EV- DO Rev A
3. 1 Mbps > 1. 5 Mbps
peak
1. 8 Mbps > 1 Mbps
peak

54
Source: 3G Americas member company analysis. Assumes Release 7 wit h 64 QAM and F- DPCH.
Single user. 50% loading in neighboring cells. Higher rat es expect ed wit h subsequent versions.
55
Source: Vodafone pr ess release, “ Vodafone Trials HSPA+ Mobile Broadband at Speeds of Up To
16Mbps, ” January 15, 2009.
56
Source: 3G Americas’ member company analysis. Assumes single user wit h 50% load in ot her
sect ors. Verizon is quot ing average user rat es of 5- 12 Mbps on t he downlink and 2- 5 Mbps on t he
uplink for t heir net work.
ht t ps: / / www. lt e. vzw. com/ About LTE/ VerizonWirelessLTENet work/ t abid/ 6003/ Default . aspx
57
Assumes 64 QAM. Ot herwise 22 Mbps wit h 16 QAM.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 43

Dow nl i nk Upl i nk
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
Peak
Net w or k
Speed
Peak
and/ or
Ty pi cal
User Rat e
600 kbps t o
1. 4 Mbps
t ypical
58

300 t o 500
kbps t ypical
CDMA2000 EV- DO Rev B
( 3 r adi o channel s MHz)
14. 7
59
Mbps 5. 4 Mbps
CDMA2000 EV- DO Rev B
Theor et i cal ( 15 r adi o
channel s)
73. 5 Mbps 27 Mbps



Wi MAX Rel ease 1. 0 ( 10
MHz TDD, DL/ UL= 3, 2x 2
MI MO)
46 Mbps 1 t o 5 Mbps
t ypical
60

4 Mbps
Wi MAX Rel ease 1.5 TBD TBD
I EEE 802. 16m TBD TBD

HSDPA Throughput in Representative Scenarios
I t is inst ruct ive t o look at act ual HSDPA t hroughput in commercial net works. Figure 12
shows t he t hroughput s measured in one net work wit h voice and dat a in one West ern
European count ry across t hree larger cit ies. The dat a shows t he percent age of samples
on t he X axis t hat fall below t he t hroughput shown on t he Y axis. For example, t he 75
percent ile is at 5 Megabit s per second ( Mbps) , meaning t hat 75% of samples are below 5
Mbps and 25% are above. Significant ly, half of all t he measurement s showed 4 Mbps or
higher t hroughput .

58
Typical downlink and uplink t hroughput rat es based on Sprint press release January 30, 2007.
59
Assuming use of 64 QAM.
60
Source: WiMAX Forum, ht t p: / / www. wimaxforum. org/ resources/ frequent ly- asked- quest ions


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 44
Fi gur e 12: HSDPA Thr oughput Di st r i but i on i n Depl oy ed Net w or k s
61



I n anot her net work st udy, Figure 13 shows t he downlink t hroughput performance of a 7.2
Mbps device ( peak dat a rat e capabilit y) . I t result s in a median t hroughput of 1. 9 Mbps
when mobile, 1. 8 Mbps wit h poor coverage, and 3. 8 Mbps wit h good coverage.

61
Source: 3G Americas’ member company cont ribut ion.
0.0
1.0
2.0
3.0
4.0
5.0
6.0
1
0
0
%
9
5
%
9
0
%
8
5
%
8
0
%
7
5
%
7
0
%
6
5
%
6
0
%
5
5
%
5
0
%
4
5
%
4
0
%
3
5
%
3
0
%
2
5
%
2
0
%
1
5
%
1
0
%
5
%
0
%
T
h
r
o
u
g
h
p
u
t

[
M
b
p
s
]


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 45
Fi gur e 13: HSDPA Per f or mance of a 7.2 Mbps Devi ce i n a Commer ci al Net w or k
62



These rat es are consist ent wit h ot her vendor informat ion for t wo deployed HSPA
net works t hat support ed 7. 2 Mbps HSDPA. Test ers measured average FTP downlink
applicat ion t hroughput of 2. 1 Mbps in t he first net work, and 1. 9 Mbps in t he second
net work.
63

Release 99 and HSUPA Uplink Performance
HSUPA dramat ically increases uplink t hroughput s over 3GPP Release 99. Even Release 99
net works, however, have seen significant uplink increases. Many net works were init ially
deployed wit h a 64 kbps uplink rat e. Lat er, t his increased t o 128 kbps. Lat er st ill,
operat ors increased speeds t o 384 kbps peak rat es wit h peak user- achievable rat es of
350 kbps.
The ant icipat ed 1 Mbps achievable uplink t hroughput wit h HSUPA can be seen in t he
measured t hroughput of a commercial net work as document ed in Figure 14. The X axis
shows t hroughput rat e, t he Y axis shows t he cumulat ive dist ribut ion funct ion, and t he
bars show t he number of samples obt ained for t hat t hroughput rat e on a relat ive basis.
The median bit rat e is 1. 0 Mbps.

62
Source: 3G Americas’ member company cont ribut ion.
63
Source: 3G Americas’ member company cont ribut ion.
Good Coverage
Median bitrate
3.8 Mbps
Median bitrate
1.8 Mbps
Bad Coverage
Median bitrate
1.8 Mbps
Bad Coverage
-106 dBm
Mobile
Median bitrate
1.9 Mbps
Mobile
Median bitrate
1.9 Mbps


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 46
Fi gur e 14: Upl i nk Thr oughput i n a Commer ci al Net w or k
64


These rat es are consist ent wit h ot her vendor informat ion for a deployed HSPA net work
t hat support ed 2. 0 Mbps HSUPA
65
uplink speed. Test ers measured average FTP downlink
applicat ion t hroughput of 1. 2 Mbps.
66

One operat or has not ed t hat in it s net works, peak rat es are oft en higher t han t he st at ed
t ypical rat es, because for a large percent age of cells and for a large percent age of t ime,
cells are only light ly loaded.
67

HSPA+ Throughput
Performance measurement s of HSPA+ net works show significant gains over HSPA. Figure
15 shows t he cumulat ive dist ribut ion funct ion of t hroughput values in a commercially-
deployed HSPA+ net work in an indoor- coverage scenario.

64
Source: 3G Americas’ member company cont ribut ion.
65
2 x spreading fact or ( 2xSF2) code configurat ion.
66
Source: 3G Americas’ member company cont ribut ion.
67
Source: 3G Americas’ operat or member observat ion for 2009 condit ions.
0
7
0
1
4
0
2
1
0
2
8
0
3
5
0
4
2
0
4
9
0
5
6
0
6
3
0
7
0
0
7
7
0
8
4
0
9
1
0
9
8
0
1
0
5
0
1
1
2
0
1
1
9
0
1
2
6
0
1
3
3
0
1
4
0
0
0
10
20
30
40
50
60
70
80
90
100
Mobile
Median bitrate
1.0 Mbps
0
7
0
1
4
0
2
1
0
2
8
0
3
5
0
4
2
0
4
9
0
5
6
0
6
3
0
7
0
0
7
7
0
8
4
0
9
1
0
9
8
0
1
0
5
0
1
1
2
0
1
1
9
0
1
2
6
0
1
3
3
0
1
4
0
0
0
10
20
30
40
50
60
70
80
90
100
0
7
0
1
4
0
2
1
0
2
8
0
3
5
0
4
2
0
4
9
0
5
6
0
6
3
0
7
0
0
7
7
0
8
4
0
9
1
0
9
8
0
1
0
5
0
1
1
2
0
1
1
9
0
1
2
6
0
1
3
3
0
1
4
0
0
0
10
20
30
40
50
60
70
80
90
100
Mobile
Median bitrate
1.0 Mbps


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 47
Fi gur e 15: HSPA+ Per f or mance Measur ement s Commer ci al Net w or k ( 2 X
5MHz)
68


The figure shows a reasonably t ypical indoor scenario in a macro- cell deployment . Under
bet t er radio condit ions, HSPA+ will achieve higher performance result s.
LTE Throughput
Figure 16 shows t he result of a drive t est in a commercial LTE net work wit h a 10 MHz
carrier demonst rat ing 20 t o 50 Mbps t hroughput rat es across much of t he coverage area.

68
Source: 3G Americas’ member company cont ribut ion.
0 2000 4000 6000 8000 10000 12000
0
20
40
60
80
100

c
d
f
,

%
7.2 21 28
Indoor coverage
RSCP: -98 dBm
Median
MIMO: 8.2 Mbps
64QAM: 7.2 Mbps
HSPA7.2: 6.0 Mbps
Throughput (kbps)


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 48
Fi gur e 16: Dr i v e Test of Commer ci al Eur opean LTE Net w or k ( 2 X 10MHz)
69


Figure 17 provides addit ional insight int o LTE downlink t hroughput , showing layer 1
t hroughput simulat ed at 10 MHz bandwidt h using t he Ext ended Vehicular A 3 km/ hour
channel model. The figure shows t he increased performance obt ained wit h t he addit ion of
different orders of MI MO.



69
Source: 3G Americas’ member company cont ribut ion.
Mbps


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 49
Fi gur e 17: LTE Thr oughput i n Var i ous Modes
70


For t ypical and average t hroughput s, it is reasonable t o expect an order of magnit ude
higher performance t han HSPA, which one can ant icipat e from radio channels t hat are
four t imes wider ( 20 MHz vs. 5 MHz) , and at least a doubling of spect ral efficiency.
Act ual t hroughput rat es t hat users will experience will be lower t han t he peak rat es and
will depend on a variet y of fact ors including:
1. RF Condit ions and User Speed. Peak rat es depend on opt imal condit ions. Under
subopt imal condit ions, such as being at t he edge of t he cell or if t he user is
moving at high speed, t hroughput rat es will be lower.
2. Net work Loading. Like all wireless syst ems, t he t hroughput rat es will go down as
more users simult aneously use t he net work. This is largely a linear degradat ion.
3. Prot ocol Overhead. Peak rat es are generally st at ed for t he physical layer. Due t o
overhead at ot her layers, act ual dat a payload t hroughput rat es may be lower by
an approximat e 5% t o 20% amount . The precise amount depends on t he size of
packet s. Larger packet s ( e. g. , file downloads) result in a lower overhead rat io.
Figure 18 shows how t hroughput rat es can vary by number of act ive users and radio
condit ions. The higher curves are for bet t er radio condit ions.

70
Source: “ I nit ial Field Performance Measurement s of LTE, ” Jonas Karlsson, Mat hias Riback,
Ericsson Review No. 3 2008,
ht t p: / / www. ericsson. com/ ericsson/ corpinfo/ publicat ions/ review/ 2008_03/ files/ LTE. pdf.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 50
Fi gur e 18: LTE Act ual Thr oughput Rat es Based on Condi t i ons
71


Verizon Wireless has st at ed t hat it expect s it s LTE net work t o deliver 8 t o 12 Mbps of
t hroughput .
72

Latency
Just as import ant as t hroughput is net work lat ency, defined as t he round- t rip t ime it
t akes dat a t o t raverse t he net work. Each successive dat a t echnology from GPRS forward
reduces lat ency, wit h HSDPA net works having lat ency as low as 70 milliseconds ( msec) .
HSUPA brings lat ency down even furt her, as will 3GPP LTE. Ongoing improvement s in
each t echnology mean t hat all of t hese values will go down as vendors and operat ors
fine- t une t heir syst ems. Figure 19 shows t he lat ency of different 3GPP t echnologies.

71
Source: LTE/ SAE Trial I nit iat ive, “ Lat est Result s from t he LSTI , Feb 2009, ” www.lst iforum.org.
72
Source: ht t p: / / gigaom. com/ 2009/ 05/ 15/ verizons- lt e- plans- get - real/ .


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 51
Fi gur e 19: Lat ency of Di f f er ent Technol ogi es
73



Except for LTE, values shown in Figure 19 reflect measurement s of commercially
deployed t echnologies. Some vendors have report ed significant ly lower values in
net works using t heir equipment , such as 150 msec for EDGE, 70 msec for HSDPA, and 50
msec for HSPA. Wit h furt her refinement s and t he use of 2 msec Transmission Time
I nt erval ( TTI ) in t he HSPA uplink, 25 msec roundt rip is a realist ic goal. LTE will reduce
lat ency even furt her, t o as low as 10 msec in t he radio- access net work.
Spectral Efficiency
To bet t er underst and t he reasons for deploying t he different dat a t echnologies and t o
bet t er predict t he evolut ion of capabilit y, it is useful t o examine spect ral efficiency. The
evolut ion of dat a services is charact erized by an increasing number of users wit h ever-
higher bandwidt h demands. As t he wireless- dat a market grows, deploying wireless
t echnologies wit h high spect ral efficiency will be of paramount import ance. Keeping all
ot her t hings equal such as frequency band, amount of spect rum, and cell sit e spacing, an
increase in spect ral efficiency t ranslat es t o a proport ional increase in t he number of users
support ed at t he same load per user—or, for t he same number of users, an increase in
t hroughput available t o each user. Delivering broadband services t o large numbers of
users can best be achieved wit h high spect ral- efficiency syst ems, especially because t he
only ot her alt ernat ives are using more spect rum or deploying more cell sit es.

73
Source: 3G Americas' member companies. Measured bet ween subscriber unit and Gi int erface,
immediat ely ext ernal t o wireless net work. Does not include I nt ernet lat ency. Not e t hat t here is some
variat ion in lat ency based on net work configurat ion and operat ing condit ions.
100
700
600
500
400
300
200
GPRS
Rel’97
EDGE
Rel’99
EDGE
Rel’4
WCDMA
Rel’99
Evolved
EDGE
M
i
l
l
i
s
e
c
o
n
d
s
LTE HSPA HSDPA


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 52
I ncreased spect ral efficiency, however, comes at a price. I t generally implies great er
complexit y for bot h user and base st at ion equipment . Complexit y can arise from t he
increased number of calculat ions performed t o process signals or from addit ional radio
component s. Hence, operat ors and vendors must balance market needs against net work
and equipment cost s. One core aspect of evolving wireless t echnology is managing t he
complexit y associat ed wit h achieving higher spect ral efficiency. The reason t echnologies
such as OFDMA are at t ract ive is t hat t hey allow higher spect ral efficiency wit h lower
overall complexit y; t hus t heir use in t echnologies such as LTE and WiMAX.
The roadmap for t he EDGE/ HSPA/ LTE family of t echnologies provides a wide port folio of
opt ions t o increase spect ral efficiency. The exact t iming for deploying t hese opt ions is
difficult t o predict , because much will depend on t he growt h of t he wireless dat a market
and what t ypes of applicat ions become popular.
When det ermining t he best area on which t o focus fut ure t echnology enhancement s, it is
int erest ing t o not e t hat HSDPA, 1xEV- DO, and I EEE 802. 16e- 2005 all have highly
opt imized links—t hat is, physical layers. I n fact , as shown in Figure 20, t he link layer
performance of t hese t echnologies is approaching t he t heoret ical limit s as defined by t he
Shannon bound. ( The Shannon bound is a t heoret ical limit t o t he informat ion t ransfer
rat e [ per unit bandwidt h] t hat can be support ed by any communicat ions link. The bound
is a funct ion of t he Signal t o Noise Rat io [ SNR] of t he communicat ions link. ) Figure 20
also shows t hat HSDPA, 1xEV- DO, and I EEE 802. 16e- 2005 are all wit hin 2 t o 3 decibels
( dB) of t he Shannon bound, indicat ing t hat t here is not much room for improvement from
a link- layer perspect ive. Not e t hat differences do exist in t he design of t he MAC layer
( layer 2) , and t his may result in lower t han expect ed performance in some cases as
described previously.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 53
Fi gur e 20: Per f or mance Rel at i ve t o Theor et i cal Li mi t s f or HSDPA, EV- DO, and
I EEE 802.16e- 2005
74



The curves in Figure 20 are for an Addit ive Whit e Gaussian Noise Channel ( AWGN) . I f t he
channel is slowly varying and t he frame int erval is significant ly short er t han t he
coherence t ime, t he effect s of fading can be compensat ed for by pract ical channel
est imat ion algorit hms—t hus j ust ifying t he AWGN assumpt ion. For inst ance, at 3 km per
hour, and fading at 2 GHz, t he Doppler spread is about 5. 5 Hz. The coherence t ime of t he
channel is t hus 1 second ( sec) / 5. 5 or 180 msec. Frames are well wit hin t he coherence
t ime of t he channel, because t hey are t ypically 20 msec or less. As such, t he channel
appears “ const ant ” over a frame and t he Shannon bound applies. Furt hermore,
significant ly more of t he t raffic in a cellular syst em is at slow speeds ( for example, 3
km/ hr or less) rat her t han at higher speeds. The Shannon bound is consequent ly also
relevant for a realist ic deployment environment .
As t he speed of t he mobile st at ion increases and t he channel est imat ion becomes less
accurat e, addit ional margin is needed. This addit ional margin, however, would impact t he
different st andards fairly equally.
The Shannon bound only applies t o a single link; t echniques such as MI MO using mult iple
links would have a higher bound. I t does indicat e, however, t hat link layer performance is
reaching t heoret ical limit s. As such, t he focus of fut ure t echnology enhancement s should
be on improving syst em performance aspect s t hat maximize t he experienced Signal t o
Noise Rat ios ( SNRs) in t he syst em rat her t han on invest igat ing new air int erfaces t hat
at t empt t o improve t he link layer performance.

74
Source: A 3G Americas’ member company.
-15 -10 -5 0 5 10 15 20
0
1
2
3
4
5
6
Required SNR (dB)
A
c
h
i
e
v
a
b
l
e

E
f
f
i
c
i
e
n
c
y

(
b
p
s
/
H
z
)
Shannon bound
Shannon bound with 3dB margin
EV-DO
IEEE 802.16e-2005
HSDPA


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 54
Examples of t echnologies t hat improve SNR in t he syst em are t hose t hat minimize
int erference t hrough int elligent ant ennas or int erference coordinat ion/ cancellat ion
bet ween sect ors and cells. Not e t hat MI MO t echniques using spat ial mult iplexing t o
pot ent ially increase t he overall informat ion t ransfer rat e by a fact or proport ional t o t he
number of t ransmit or receive ant ennas do not violat e t he Shannon bound, because t he
per- ant enna t ransfer rat e ( t hat is, t he per- communicat ions link t ransfer rat e) is st ill
limit ed by t he Shannon bound.
Figure 21 compares t he spect ral efficiency of different wireless t echnologies based on a
consensus view of 3G Americas’ cont ribut ors t o t his paper. I t shows t he cont inuing
evolut ion of t he capabilit ies of all t he t echnologies discussed. The values shown are
reasonably represent at ive of real- world condit ions. Most simulat ion result s produce
values under idealized condit ions; as such, some of t he values shown are lower ( for all
t echnologies) t han t he values indicat ed in ot her papers and publicat ions. For inst ance,
3GPP st udies indicat e higher HSDPA and LTE spect ral efficiencies t han t hose shown
below. Nevert heless, t here are pract ical considerat ions in implement ing t echnologies t hat
can prevent act ual deployment s from reaching calculat ed values. Consequent ly, init ial
versions of t echnology may operat e at lower levels, but t hen improve over t ime as
designs are opt imized. Therefore, readers should int erpret t he values shown as
achievable, but not as t he act ual values t hat might be measured in any specific deployed
net work.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 55
Fi gur e 21: Compar i son of Dow nl i nk Spect r al Ef f i ci ency
75


The values shown in Figure 21 are not all t he possible combinat ions of available feat ures.
Rat her, t hey are represent at ive milest ones in ongoing improvement s in spect ral
efficiency. For inst ance, t here are t erminals t hat employ mobile- receive diversit y but not
equalizat ion.
The figure does not include EDGE, but EDGE it self is spect rally efficient at 0. 3 bit s per
second ( bps) / Hert z ( Hz) / sect or. Relat ive t o WCDMA Release 99, HSDPA increases
capacit y by almost a fact or of t hree. Type 3 receivers t hat include Minimum Mean Square
Error ( MMSE) equalizat ion and Mobile Receive Diversit y ( MRxD) will effect ively double
HSDPA spect ral efficiency. HSPA+ in Release 7 includes 2X2 MI MO, which furt her
increases spect ral efficiency by about 20 percent and exceeds WiMAX Release 1. 0
spect ral efficiency. Met hods like successive int erference cancellat ion ( SI C) and 64 QAM
allow gains in spect ral efficiency as high as 1. 3 bps/ Hz/ sect or, which is close t o LTE
performance in 5+ 5 MHz channel bandwidt h. Terminals wit h SI C can also be used wit h
Release 7 syst ems. Dual- carrier HSPA will offer a furt her modest gain in spect ral
efficiency from cross- carrier scheduling wit h possible gains of about 10%.
76
Wit h Release

75
Joint analysis by 3G Americas’ members. 5+ 5 MHz for UMTS- HSPA/ LTE and CDMA2000, and 10 MHz
DL/ UL= 29: 18 TDD for WiMAX. Mix of mobile and st at ionary users.
76
Source: 3G Americas’ member analysis. Vendor est imat es for spect ral- efficiency gains from dual-
carrier operat ion range from 5% t o 20%. Lower spect ral efficiency gains are due t o full- buffer t raffic
assumpt ions. I n more realist ic operat ing scenarios, gains will be significant ly higher.
0.1
0.7
0.6
0.5
0.4
0.3
0.2
UMTS/HSPA
S
p
e
c
t
r
a
l

E
f
f
i
c
i
e
n
c
y

(
b
p
s
/
H
z
/
s
e
c
t
o
r
)

0.8
0.9
UMTS R’99
HSDPA
EV-DO Rev 0
Rev B
Cross-Carrier
Scheduling
Rev A,
MRxD,
Equalizer
Rel 1.0
2X2 MIMO
CDMA2000 WiMAX
1.4
1.3
1.2
1.1
1.0
LTE
2X2 MIMO
HSPA+
2X2 MIMO
HSPA+
SIC, 64 QAM
HSDPA
MRxD,
Equalizer
1.5
2.1
2.0
1.9
1.8
1.7
1.6
2.2
2.3
2.5
2.4
Future
improvements
LTE
4X2 MIMO
Rel 1.5
2X2 MIMO
Rel 1.5
4X2 MIMO
Future
improvements
Future
improvements
LTE
Future
improvements
LTE
4X4 MIMO
SIC


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 56
8, operat ors can deploy eit her MI MO or dual- carrier operat ion. Wit h Release 9, dual-
carrier operat ion can be combined wit h MI MO.
Wit h respect t o act ual deployment , some enhancement s, such as 64 QAM, will be simpler
for some operat ors t o deploy t han ot her enhancement s such as 2X2 MI MO. The former
can be done as a soft ware upgrade, whereas t he lat t er requires addit ional hardware at
t he base st at ion. Thus, t he figure does not necessarily show t he act ual progression of
t echnologies t hat operat ors will deploy t o increase spect ral efficiency.
Beyond HSPA, 3GPP LTE will also result in furt her spect ral efficiency gains, init ially wit h
2X2 MI MO, and t hen opt ionally wit h SI C, 4X2 MI MO and 4X4 MI MO. The gain for 4X2
MI MO will be 20% more t han LTE wit h 2X2 MI MO; t he gain for 4X4 MI MO in combinat ion
wit h successive int erference cancellat ion will be 60% more t han 2X2 MI MO. This assumes
a simplified swit ched- beam approach defined in Release 8. Higher gains are possible wit h
more advanced adapt ive ant enna and beam- forming algorit hms, but are based on
propriet ary implement at ions and, t hus, t he act ual gains will depend on implement at ion.
The same is t rue for WiMAX. Downloadable codebooks in Release 9 LTE provide one
avenue for such addit ional gains. Mult i- user MI MO can provide higher spect ral- efficiency
gains t han single- user MI MO and is being considered carefully in Release 10
st andardizat ion effort s.
LTE is even more spect rally efficient wit h wider channels, such as 10 and 20 MHz,
alt hough most of t he gain is realized at 10 MHz. LTE TDD has spect ral efficiency t hat is
wit hin 1 or 2% of LTE FDD.
Similar gains t o t hose for HSPA and LTE are available for CDMA2000. CDMA2000 spect ral
efficiency values assume 7 carriers deployed in 10 MHz. The EV- DO Rev 0 value assumes
single receive- ant enna devices. As wit h HSPA, spect ral efficiency for EV- DO increases
wit h a higher populat ion of devices wit h mobile receive diversit y. These gains are
assumed in t he Rev A spect ral- efficiency value of . 9 bps/ Hz.
Mobile WiMAX also experiences gains in spect ral efficiency as various opt imizat ions, like
MRxD and MI MO, are applied. WiMAX Release 1. 0 includes 2X2 MI MO. Enhancement s t o
WiMAX will come wit h Release 1. 5, as well as ot her fut ure enhancement s.
The main reason t hat HSPA+ wit h MI MO is shown as more spect rally efficient t han
WiMAX Release 1. 0 wit h MI MO is because HSPA MI MO support s closed- loop operat ion
wit h precode weight ing and mult i- codeword MI MO, which enables t he use of SI C
receivers. Ot her reasons are t hat HSPA support s increment al- redundancy HARQ, while
WiMAX support s only Chase combining HARQ, and t hat WiMAX has larger cont rol
overhead in t he downlink t han HSPA, because t he uplink in WiMAX is fully scheduled.
OFDMA t echnology requires scheduling t o avoid t wo mobile devices t ransmit t ing on t he
same t ones simult aneously. An uplink MAP zone in t he downlink channel does t his
scheduling.
LTE has higher spect ral efficiency t han WiMAX Release 1. 0 for a number of reasons
77
:
- Closed- loop operat ion wit h precoded weight ing.
- Mult i- codeword MI MO, which enables t he use of SI C receivers.
- Lower Channel Qualit y I ndicat or delay t hrough use of 1 msec frames inst ead of 5
msec frames.
- Great er cont rol channel efficiency.

77
I EEE I nt ernat ional Symposium on Personal, I ndoor and Mobile Radio Communicat ions: Anders
Furuskär et al “ The LTE Radio I nt erface – Key Charact erist ics and Performance, ” 2008.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 57
- I ncrement al redundancy in error correct ion.
- Finer granularit y of modulat ion and coding schemes.
WiMAX Release 1. 5 addresses some of t hese it ems and t hus will have increased spect ral
efficiency. Expect ed feat ures include reduced MAC overhead, adapt ive modulat ion and
coding, and ot her physical- layer enhancement s.
One available improvement for LTE spect ral efficiency not shown in t he figure is
successive int erference cancellat ion. This will result in a gain of 5% in a low- mobilit y
environment and a gain of 10 t o 15% in environment s such as picocells in which t here is
cell isolat ion.
The following t able summarizes t he most import ant feat ures of LTE and WiMAX
t echnology t hat impact spect ral efficiency.
Tabl e 6: LTE and Wi MAX Feat ur es
Feat ur e LTE Wi MAX
Rel ease 1.0
Wi MAX
Rel ease 1.5
I mpact
Mul t i pl e
Access
OFDM in
downlink,
Discr et e Four ier
Transform ( DFT) -
spread OFDM in
uplink
OFDM in downlink
and uplink
OFDM in downlink
and uplink
DFT- spread OFDM reduces
t he peak- t o- average
power rat io and reduces
t er minal complexit y,
requir es one- t ap equalizer
in base st at ion receiver.
Upl i nk Pow er
Cont r ol
Fract ional pat h-
loss
compensat ion
Full pat h- loss
compensat ion
Full pat h- loss
compensat ion
Fract ional pat h- loss
compensat ion enables
flexible t radeoff bet ween
average and cell- edge
dat a rat es.
Schedul i ng Channel
dependent in
t ime and
frequency
domains
Channel dependent
in t ime domain
Channel dependent
in t ime and
frequency domains
Access t o t he frequency
domain yields larger
scheduling gains.
MI MO Scheme Mult i- codewor d
( horizont al) ,
closed loop wit h
pre- coding
Single codewor d
( vert ical)
Single codewor d
( vert ical) , wit h
rank- adapt ive
MI MO ( TDD) and
wit h closed- loop
pre- coding ( FDD)
Horizont al encoding
enables per- st r eam link
adapt at ion and successive
int erference cancellat ion
receivers.
Modul at i on
and Codi ng
Scheme
Gr anul ar i t y
Fine granular it y
( 1- 2 dB apart )
Coarse granularit y
( 2- 3 dB apart )
Coarse granularit y
( 2- 3 db apart )
Finer granular it y enables
bet t er link adapt at ion
precision.
Hy br i d
Aut omat i c
Repeat
Request
( ARQ)
I ncrement al
redundancy
Chase combining Chase combining I ncrement al redundancy is
more efficient ( lower SNR
requir ed for given error
rat e) .
Fr ame
Dur at i on
1 msec
subframes
5 msec subframes 5 msec subframes Short er subframes yield
lower user plane delay and
reduced channel qualit y
feedback delays.
Over head /
Cont r ol
Channel
Ef f i ci ency
Relat ively low
overhead
Relat ively high
overhead
Relat ively high
overhead apar t
from reduct ion in
pilot s
Lower overhead improves
performance.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 58


Figure 22 compares t he uplink spect ral efficiency of t he different syst ems.
Fi gur e 22: Compar i son of Upl i nk Spect r al Ef f i ci ency
78



The implement at ion of HSUPA in HSPA significant ly increases uplink capacit y, as does
Rev. A and Rev. B of 1xEV- DO, compared t o Rel. 0. OFDM- based syst ems can exhibit
improved uplink capacit y relat ive t o CDMA t echnologies, but t his improvement depends
on fact ors such as t he scheduling efficiency and t he exact deployment scenario. Wit h LTE,
spect ral efficiency gains increase by use of receive diversit y. I nit ial syst ems will employ
1X2 receive diversit y ( t wo ant ennas at t he base st at ion) and lat er 1X4 diversit y, which
should increase spect ral efficiency by 50%. I t is also possible t o employ Mult i- User MI MO
( MU- MI MO) , which allows simult aneous t ransmission by mult iple users on t he uplink on
t he same physical resource t o increase spect ral efficiency and is, in fact , easier t o
implement t han t rue MI MO, because it does not require an addit ional t ransmit t er in t he
mobile device. Spect ral efficiency gains, however, wit h Release 8 MU- MI MO are not as
great as wit h t he receive diversit y schemes.
Figure 23 compares voice spect ral efficiency.

78
Joint analysis by 3G Americas’ members. 5+ 5 MHz for UMTS- HSPA/ LTE and CDMA2000, and 10 MHz
DL/ UL= 29: 18 TDD for WiMAX. Mix of mobile and st at ionary users.
0.1
0.7
0.6
0.5
0.4
0.3
0.2
S
p
e
c
t
r
a
l

E
f
f
i
c
i
e
n
c
y

(
b
p
s
/
H
z
/
s
e
c
t
o
r
)

0.8
0.9
UMTS R’99
to Rel 5
HSUPA Rel 6
LTE 1X2
Receive
Diversity
EV-DO
Rev 0
EV-DO Rev B,
Interference
Cancellation
EV-DO
Rev A
HSPA+
Interference
Cancellation,
16 QAM
LTE 1x4
Receive
Diversity
Future
Improvements
Future
Improvements
1.0
UMTS/HSPA CDMA2000 WiMAX LTE
Rel
1.0
Future
Improvements
Rel 1.5 1X2
Rx Div
Rel 1.5
1X4
Receive
Diversity


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 59
Fi gur e 23: Compar i son of Voi ce Spect r al Ef f i ci ency
79


Figure 23 shows UMTS Release 99 wit h AMR 12. 2 kbps, 7. 95 kbps, and 5. 9 kbps
vocoders. The AMR 12. 2 kbps vocoder provides superior voice qualit y in good ( e. g.,
st at ic, indoors) channel condit ions. UMTS has dynamic adapt at ion bet ween vocoder rat es,
enabling enhanced voice qualit y compared t o EVRC at t he expense of capacit y in
sit uat ions t hat are not capacit y limit ed. Wit h t he addit ion of mobile receive diversit y,
UMTS circuit - swit ched voice capacit y could reach 240 Erlangs in 10 MHz.
Opport unit ies will arise t o improve voice capacit y using VoI P over HSPA channels. VoI P
Erlangs in t his paper are defined as t he average number of concurrent VoI P users t hat
can be support ed over a defined period of t ime ( oft en 1 hour) assuming a Poisson arrival
process and meet ing a specified out age crit eria ( oft en less t han 2% of t he users
exhibit ing great er t han 1% frame- error rat e) . Depending on t he specific enhancement s
implement ed, voice capacit y could double over exist ing circuit - swit ched syst ems. I t
should be not ed, however, t hat t he gains are not relat ed specifically t o t he use of VoI P;
rat her, gains relat e t o advances in radio t echniques applied t o t he dat a channels. Many of
t hese same advances may also be applied t o current circuit - swit ched modes. Ot her
benefit s of VoI P, however, are driving t he migrat ion t o packet voice. Among t hese
benefit s is a consolidat ed I P core net work for operat ors and sophist icat ed mult imedia
applicat ions for users.
LTE achieves very high voice spect ral efficiency because of bet t er uplink performance
since t here is no in- cell int erference. The figure shows LTE VoI P spect ral efficiency using
AMR at 12. 2 kbps, 7. 95 kbps and 5. 9 kbps.

79
Source: Joint analysis by 3G Americas’ members. 10 + 10 MHz for UMTS- HSPA/ LTE and CDMA2000,
and 20 MHz DL/ UL= 29: 18 TDD for WiMAX. Mix of mobile and st at ionary users.
50
350
300
250
200
150
100
E
r
l
a
n
g
s
,


1
0
+
1
0

M
H
z
UMTS
AMR 7.95 kbps
HSPA VOIP,
Interference
Cancellation
AMR 5.9 kbps
1xRTT
EVRC 8 kbps
VOIP, IC,
EVRC-B 6 kbps
Rel 1.5
EVRC-B
6kbps
UMTS
AMR 5.9 kbps
500
450
400
LTE AMR 5.9 kbps
UMTS MRxD
AMR 5.9 kbps
Future
Improvements
Future
Improvements
Future
Improvements
Rel 1.0
EVRC
8 kbps
LTE AMR 7.95
kbps
UMTS
AMR 12.2 kbps
UMTS/HSPA CDMA2000 WiMAX LTE
Future
Improvements
QLIC
EVRC-B 6 kbps
LTE VoIP
AMR 12.2 kbps
1xRTT QLI C,
EVRC- B 6 kbps
EV- DO Rev A VoI P, I C,
EVRC- B 6 kbps


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 60
1xRTT reaches voice spect ral efficiency of 280 Erlangs in 10 MHz wit h t he use of Quasi-
Linear I nt erference Cancellat ion ( QLI C) , EVRC- B at 6 kbps, and t he use of seven radio
channels. Wit h six channels, voice capacit y is 240 Erlangs.
There are a number of planned improvement s for CDMA2000 in a proj ect called 1x-
Advanced t hat will result in significant ly increased voice capacit y. Wit h all enhancement s
implement ed, 1x- Advanced could double 1xRTT voice efficiency.
EV- DO t echnologies could possibly exhibit a slight ly higher spect ral efficiency for VoI P
t han HSPA t echnologies ( alt hough not for packet dat a in general) , as t hey operat e purely
in t he packet domain and do not have circuit - swit ched cont rol overhead.
80
Unt il VoI P over
EV- DO becomes available, HSPA will have t he significant advant age, however, of being
able t o support simult aneous circuit - swit ched and packet - swit ched users on t he same
radio channel. I f adj acent carriers are available, seven CDMA2000 carriers can be
deployed in 10 MHz of spect rum, providing an addit ional gain of 12%.
Wit h respect t o codecs, in VoI P syst ems such as LTE and WiMAX, a variet y of codecs can
be used. The figures show performance assuming specific codecs at represent at ive bit
rat es. For codecs such as EVRC ( Enhanced Variable Rat e Codec) , t he bit rat e shown is an
average value.
WiMAX voice spect ral efficiency is shown at 180 Erlangs for Release 1. 0 and 210 Erlangs
for Release 1. 5. A spect ral efficiency gain of 50% is available by changing t he
Downlink: Uplink ( DL: UL) rat io from 29: 18 t o 23: 24, since now 18 dat a symbols per
frame are allocat ed for t he UL compared t o 12. A furt her gain of 15% is available t hrough
t he use of persist ent scheduling and changing t he DL: UL from 23: 24 t o 20: 27.
81

Changing t his rat io, however, may not be pract ical if t he same carrier frequency must
support bot h voice and dat a. Alt ernat ively, voice and dat a may be placed on different
carriers using different TDD rat ios.
Cost, Volume, and Market Comparison
So far, t his paper has compared wireless t echnologies on t he basis of t echnical capabilit y
and demonst rat ed t hat many of t he different opt ions have similar t echnical at t ribut es.
This is for t he simple reason t hat t hey employ many of t he same approaches.
There is a point of comparison, however, in which t he differences bet ween t he
t echnologies diverge t remendously; namely, t he difference in volume involved including
subscribers and t he amount of infrast ruct ure required. This difference should t ranslat e t o
dramat ically reduced cost s for t he highest volume solut ions, specifically GSM- HSPA.
Based on proj ect ions and numbers already present ed in t his paper, 3G subscribers on
UMTS net works will number in t he many hundreds of millions by t he end of t his decade,
whereas subscribers t o emerging wireless t echnologies, such as WiMAX, will number in
t he t ens of millions. See Figure 24 for det ails.

80
Transmit Power Cont rol ( TPC) bit s on t he uplink Dedicat ed Physical Cont rol Channel ( DPCCH) in
UMTS R’99. See also I EEE Journal on Select ed Areas in Communicat ion, Vol 24, No. 1, Qi Bi, “ An
Analysis of VoI P Service Using 1 EV- DO Revision A Syst em, ” January, 2006.
81
Source: I EEE Communicat ions Magazine, Mo- Han Fong and Robert Novak, Nort el Net works, Sean
McBeat h, Huawei Technologies, Roshni Srinivasan, I nt el Corporat ion, “ I mproved VoI P Capacit y in
Mobile WiMAX Syst ems Using Persist ent Resource Allocat ion, ” Oct ober, 2008.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 61
Fi gur e 24: Rel at i ve Vol ume of Subscr i ber s Acr oss Wi r el ess Technol ogi es


I n t he chart above, t he small “ Ot her” cat egory represent s bot h WiMAX and LTE. Table 7
shows proj ect ions for HSPA, LTE, and WiMAX subscribers.
Tabl e 7: Wi MAX, LTE, and HSPA Subscr i ber Pr oj ect i ons
82

2010 2011 2012 2013 2014 2015
WiMAX 3M 7M 16M 33M 61M
LTE 317T 3. 7M 16. 6M 50M 133M 265M
HSPA 378M 633M 985M 1. 4B 2. 0B 2. 6B

Alt hough proponent s for t echnologies such as mobile WiMAX point t o lower cost s for t heir
alt ernat ives, t here doesn’t seem t o be any inherent cost advant age—even on an equal-
volume basis. And when fact oring in t he lower volumes, any real- world cost advant age is
debat able.
From a deployment point of view, t he t ype of t echnology used ( for example, HSPA versus
WiMAX) only applies t o t he soft ware support ed by t he digit al cards at t he base st at ion.
This cost , however, is only a small fract ion of t he base st at ion cost wit h t he balance

82
Source: I nforma, 2010.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 62
covering ant ennas, power amplifiers, cables, racks, RF cards. As for t he rest of t he
net work including const ruct ion, backhaul, and core- net work component s, cost s are
similar regardless of Radio Access Net work ( RAN) t echnology. Spect rum cost s for each
t echnology can differ great ly depending on a count ry’s regulat ions and t he spect rum
band. As a general rule in most part s of t he world, spect rum sold at 3. 5 GHz will cost
much less t han spect rum sold at 850 MHz ( all ot her t hings being equal) .
As for UMTS- HSPA versus CDMA2000, higher deployment —by a fact or of five—could
t ranslat e t o significant cost savings. For example, research and development amort izat ion
result s in a four- t o- one difference in base st at ion cost s.
83
Similarly, j ust as GSM handset s
are considered much less expensive t han 1xRTT handset s, UMTS- HSPA wholesale
t erminal prices could be t he market leader in low- cost or mass- market 3G t erminals.
Even LTE is on t he road t o a robust wireless ecosyst em and significant economies of
scale. I n June of 2008, t he Next Generat ion Mobile Net works alliance ( NGMN) confirmed
it s select ion of LTE. Dr. Pet er Meissner, Operat ing Officer of NGMN announced t hat
“ based on int ensive and det ailed t echnology evaluat ions, 3GPP LTE is t he first t echnology
which broadly meet s it s recommendat ions and is approved by it s Board. ”
84
The NGMN is
comprised of 18 mobile net work operat ors, 29 vendor sponsors and 3 Universit y research
inst it ut es. I t s operat or members include: Allt el, AT&T, China Mobile, France Telecom,
Royal KPN, MSV Mobile Sat ellit e Vent ures, NTT DoComo, Reliance Communicat ions, SK
Telecom, Telecom I t alia, Telefonica, Telenor, TeliaSonera, Telst ra, Telus, T- Mobile and
Vodafone.
Competitive Summary
Based on t he informat ion present ed in t his paper, Table 8 summarizes t he compet it ive
posit ion of t he different t echnologies discussed.
Tabl e 8: Compet i t i ve Posi t i on of Maj or Wi r el ess Technol ogi es
Technol ogy EDGE/ HSPA/ LTE CDMA2000 Wi MAX
Subscr i ber s Over 4. 4 billion 518 million
85

t oday; slower
growt h expect ed
t han GSM- HSPA
61 million
ant icipat ed by 2014
Mat ur i t y Ext remely mat ure Ext remely mat ure Emerging

Adopt i on Cellular operat ors
globally
Cellular operat ors
globally
Limit ed t o dat e
Cov er age/ Foot pr i nt Global Global wit h t he
general except ion
of West ern Europe
Limit ed
Depl oy ment Fewer cell sit es
required at 700
and 850 MHz
Fewer cell sit es
required at 700
and 850 MHz
Many more cell
sit es required at 2. 5
GHz

83
Source: 3G Americas’ member analysis.
84
ht t p: / / www. umt s- forum. org/ cont ent / view/ 2479/ 172/ .
85
Source: CDG, July 2010 for Q4 2009.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 63
Technol ogy EDGE/ HSPA/ LTE CDMA2000 Wi MAX
Dev i ces Broad select ion of
GSM/ EDGE/ UMTS/
HSPA devices
Broad select ion of
1xRTT/ EV- DO
devices
I nit ial devices
emphasize dat a
Radi o Technol ogy Highly opt imized
TDMA for EDGE,
highly opt imized
CDMA for HSPA,
highly opt imized
OFDMA for LTE
Highly opt imized
CDMA for
Rev 0/ A/ B
Opt imized OFDMA
in Release 1. 0.
More opt imized in
Release 1. 5
Spect r al Ef f i ci ency Very high wit h
HSPA, mat ches
OFDMA approaches
in 5 MHz wit h
HSPA+
Very high wit h EV-
DO Rev A/ B
Very high, but not
higher t han HSPA+
for Release 1. 0, and
not higher t han LTE
for Release 1. 5
Thr oughput
Capabi l i t i es
Peak downlink
user- achievable
rat es of over 4
Mbps t oday wit h
achievable rat es of
over 8 Mbps t oday
wit h HSPA+
Peak downlink
user- achievable
rat es of over 1. 5
Mbps, wit h
significant ly higher
rat es in t he fut ure
3 t o 6 Mbps t ypical
rat es wit h burst s t o
10 Mbps
Voi ce Capabi l i t y Ext remely efficient
circuit - voice
available t oday;
smoot hest
migrat ion t o VoI P
of any t echnology
Ext remely efficient
circuit - voice
available t oday
EV- DO radio
channels wit h VoI P
cannot support
circuit - voice users
Relat ively inefficient
VoI P init ially; more
efficient in lat er
st ages, but lower
t han LTE
Voice coverage will
be much more
limit ed t han cellular
Si mul t aneous Voi ce
and Dat a
Available wit h
GSM
86
and UMTS
t oday
Not available t oday
Available wit h VoI P
and fut ure devices
Pot ent ially
available, t hough
init ial services will
emphasize dat a

Ef f i ci ent Spect r um
Usage
Ent ire UMTS radio
channel available
for any mix of
voice and high-
speed dat a
Radio channel
t oday limit ed t o
eit her
voice/ medium
speed dat a or high-
speed dat a only
Current ly only
efficient for dat a-
cent ric net works


86
Wit h t he applicat ion of Dual Transfer Mode.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 64
Conclusion
I n 2010, t he mobile broadband indust ry surged wit h dat a- hungry smart phones on t rack t o
becoming t he most common phone t ype in developed count ries, wit h innovat ive new devices
such as t he Apple iPad, wit h 3G becoming ubiquit ous in developed count ries, and wit h
advanced wireless t echnologies such as LTE seeing init ial deployment . The growing success
of mobile broadband, however, has mandat ed t he means of augment ing capacit y t o which
t he indust ry has responded by using more efficient t echnologies, deploying more cell sit es,
and offloading ont o eit her Wi- Fi or femt ocells. Government s have responded by vigorous
plans t o supply more spect rum.
Through const ant innovat ion, t he EDGE/ HSPA/ LTE family of t echnologies has proven it self as
t he predominant wireless net work solut ion and offers operat ors and subscribers a t rue
mobile- broadband advant age. The cont inued use of GSM and EDGE t echnology t hrough
ongoing enhancement s allows operat ors t o leverage exist ing invest ment s. Wit h UMTS- HSPA,
t he t echnologies’ advant ages provide for broadband services t hat will deliver increased dat a
revenue and provide a pat h t o all- I P archit ect ures. Wit h LTE now t he most widely chosen
t echnology plat form for t he fort hcoming decade and wit h deployment imminent , t he
advant ages offer a best - of- breed, long- t erm solut ion t hat mat ches or exceeds t he
performance of compet ing approaches.
The migrat ion t o 4G, however, is a long- t erm one. Unt il t he middle of t his decade, most
subscribers will be using 2G and 3G. Significant upt ake of LTE will not occur unt il t he second
half of t his decade.
Today, HSPA offers t he highest peak dat a rat es of any widely available, wide- area wireless
t echnology. Wit h cont inued evolut ion, peak dat a rat es will cont inue t o increase, spect ral
efficiency will improve, and lat ency will decrease. The result is support for more users wit h
more support ed applicat ions. The scope of applicat ions will also increase as new services
t hrough st andardized net work int erfaces become available such as locat ion informat ion,
video, and call cont rol. Great er efficiencies and capabilit ies t ranslat e t o more compet it ive
offers, great er net work usage, and increased revenues.
Because of pract ical benefit s and deployment moment um, t he migrat ion pat h from EDGE t o
HSPA, and t hen t o LTE is proving inevit able. Benefit s include t he abilit y t o roam globally,
huge economies of scale, widespread accept ance by operat ors, complement ary services such
as messaging and mult imedia, and an ast onishing variet y of compet it ive handset s and ot her
devices. Current ly more t han 347 commercial UMTS- HSPA net works are already in operat ion.
UMTS- HSPA and/ or LTE offer an excellent migrat ion pat h for GSM operat ors, as well as an
effect ive t echnology solut ion for greenfield operat ors.
HSPA has significant ly enhanced UMTS by providing a broadband dat a service wit h user-
achievable rat es t hat oft en exceed 1 Mbps on t he downlink in init ial deployment s and t hat
now exceed 4 Mbps in some commercial net works. Many net works are now being upgraded
t o include HSUPA providing users wit h uplink rat es in excess of 1 Mbps. HSPA+ increases
rat es furt her, wit h t ypical rat es bet ween 1. 9 and 8. 8 Mbps ant icipat ed in early versions of t he
t echnology ( based on 64 QAM) . Speeds will only increase as operat ors implement ot her
HSPA+ innovat ions such as Dual- Carrier, Mult i- Carrier, and MI MO.
Not only expect ed cont inual improvement s in radio t echnology, but improvement s t o t he
core net work t hrough flat t er archit ect ures—part icularly EPC—will reduce lat ency, speed
applicat ions, simplify deployment , enable all services in t he I P domain, and allow a common
core net work t o support bot h LTE and legacy GSM- HSPA syst ems.
Ot her innovat ions, such as MI MO and higher order modulat ion are now being deployed.
Evolved HSPA+ syst ems, wit h peak rat es of 42 Mbps, will largely mat ch t he t hroughput and


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 65
capacit y of OFDMA- based approaches in 5 MHz, 3GPP adopt ed OFDMA wit h 3GPP LTE, which
will provide a growt h plat form for t he next decade.
Wit h t he cont inued growt h in mobile comput ing, powerful new handheld- comput ing
plat forms, an increasing amount of mobile cont ent , mult imedia messaging, mobile
commerce, and locat ion services, wireless dat a has slowly, but inevit ably, become a huge
indust ry. EDGE/ HSPA/ LTE provides one of t he most robust port folios of mobile- broadband
t echnologies, and it is an opt imum framework for realizing t he pot ent ial of t his market .


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 66
Appendix: Technology Details
The EDGE/ HSPA/ LTE family of dat a t echnologies provides ever- increasing capabilit ies t hat
support ever more demanding applicat ions. EDGE, now available globally, already makes a
wealt h of applicat ions feasible including ent erprise applicat ions, messaging, e- mail, Web
browsing, consumer applicat ions, and even some mult imedia applicat ions. Wit h UMTS and
HSPA, users are enj oying videophones, high- fidelit y music, richer mult imedia applicat ions,
and efficient access t o t heir ent erprise applicat ions.
I t is import ant t o underst and t he needs ent erprises and consumers have for t hese services.
The obvious needs are broad coverage and high dat a t hroughput . Less obvious for users, but
as crit ical for effect ive applicat ion performance, are t he needs for low lat ency, QoS cont rol,
and spect ral efficiency. Spect ral efficiency, in part icular, is of paramount concern, because it
t ranslat es t o higher average t hroughput s ( and t hus more responsive applicat ions) for more
act ive users in a coverage area. The discussion below, which examines each t echnology
individually, det ails how t he progression from EDGE t o HSPA t o LTE is one of increased
t hroughput , enhanced securit y, reduced lat ency, improved QoS, and increased spect ral
efficiency.
I t is also helpful t o specifically not e t he t hroughput requirement s necessary for different
applicat ions:
 Microbrowsing ( for example, Wireless Applicat ion Prot ocol [ WAP] ) : 8 t o 128 kbps
 Mult imedia messaging: 8 t o 64 kbps
 Video t elephony: 64 t o 384 kbps
 General- purpose Web browsing: 32 kbps t o more t han 1 Mbps
 Ent erprise applicat ions including e- mail, dat abase access, and Virt ual Privat e
Net works ( VPNs) : 32 kbps t o more t han 1 Mbps
 Video and audio st reaming: 32 kbps t o 2 Mbps
Not e t hat EDGE already sat isfies t he demands of many applicat ions. Wit h HSPA, applicat ions
operat e fast er and t he range of support ed applicat ions expands even furt her.
Under favorable condit ions, EDGE delivers peak user- achievable t hroughput rat es close t o
200 kbps and init ial deployment s of HSPA deliver peak user- achievable downlink t hroughput
rat es of well over 1 Mbps, easily meet ing t he demands of many applicat ions. Lat ency has
cont inued t o improve, t oo, wit h HSPA net works t oday having round- t rip t imes as low as 70
msec. The combinat ion of low lat ency and high t hroughput t ranslat es t o a broadband
experience for users in which applicat ions are ext remely responsive.
I ncreasingly, devices will be mult i- modal, support ing mult iple t ypes of wireless t echnologies.
Users equipped wit h such mult imode devices may, t herefore, be grant ed quit e different
levels of connect ivit y ranging from a dense urban environment in which t hey may obt ain t he
lat est wireless t echnology t o slower speeds in a rural net work deployment or when roaming
in a visit ed net work. I n t hese cases, users will benefit from knowing what service level t o
expect such as from indicat ions on t he device screen. These are current ly available at a
rudiment ary level ( e. g. , 2G vs. 3G) , but fut ure improvement s will enable display of addit ional
det ails ( e. g. , Evolved EDGE vs. EDGE, HSUPA) .
Complement arily, operat ors are given t ools, via t he Universal I nt egrat ed Circuit Card ( UI CC)
SI M ( USI M) applicat ion t oolkit , for st eering devices t o t he appropriat e net work or wireless
t echnology so t hat mobile users can seamlessly be supplied wit h t he most suit able net work
connect ivit y when roaming out side t heir home net work.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 67
I n t his sect ion, we consider different t echnical approaches for wireless and t he parallel
evolut ion of 3GPP t echnologies. We t hen provide det ails on EDGE, UMTS- HSPA, HSPA+ , LTE,
and support ing t echnologies such as I MS.
Spectrum Bands
3GPP t echnologies operat e in a wide range of radio bands. As new spect rum becomes
available, 3GPP updat es it s specificat ions for t hese bands.
I t should be not ed t hat alt hough t he support of a new frequency band may be int roduced
in a part icular release, t he 3GPP st andard also specifies ways t o implement devices and
infrast ruct ure operat ing on any frequency band, according t o release ant erior t o t he
int roduct ion of t hat part icular frequency band. For example, alt hough band 5 ( US Cellular
Band) was int roduced in Release 6, t he first devices operat ing on t his band were
compliant wit h t he release 5 of t he st andard.
Table 9 shows t he UMTS FDD bands.
Tabl e 9: UMTS FDD Bands
87

Operating
Band
UL Frequencies
UE transmit, Node B receive
DL frequencies
UE receive, Node B transmit
I 1920 - 1980 MHz 2110 -2170 MHz
II 1850 -1910 MHz 1930 -1990 MHz
III 1710-1785 MHz 1805-1880 MHz
IV 1710-1755 MHz 2110-2155 MHz
V 824 - 849MHz 869-894MHz
VI 830-840 MHz 875-885 MHz
VII 2500 - 2570 MHz 2620 - 2690 MHz
VIII 880 - 915 MHz 925 - 960 MHz
IX 1749.9 - 1784.9 MHz 1844.9 - 1879.9 MHz
X 1710-1770 MHz 2110-2170 MHz
XI 1427.9 - 1447.9 MHz 1475.9 - 1495.9 MHz
XII 698 - 716 MHz 728 - 746 MHz
XIII 777 - 787 MHz 746 - 756 MHz
XIV 788 - 798 MHz 758 - 768 MHz
XV Reserved Reserved
XVI Reserved Reserved
XVII Reserved Reserved
XVIII Reserved Reserved
XIX 830 – 845 MHz 875 -890 MHz
XX 832 - 862 MHz 791 - 821 MHz
XXI 1447.9 - 1462.9 MHz 1495.9 - 1510.9 MHz

UMTS TDD bands are t he same as t he LTE TDD bands. Table 10 shows t he LTE FDD and
TDD bands.

87
Source: 3GPP Technical Specificat ion 25. 104, V9. 4. 0


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 68
Tabl e 10: LTE FDD and TDD bands
88

E-UTRA
Operating
Band
Uplink (UL) operating band
BS receive
UE transmit
Downlink (DL) operating band
BS transmit
UE receive
Duplex
Mode
F
UL_low
– F
UL_high
F
DL_low
– F
DL_high
1 1920 MHz – 1980 MHz 2110 MHz – 2170 MHz FDD
2 1850 MHz – 1910 MHz 1930 MHz – 1990 MHz FDD
3 1710 MHz – 1785 MHz 1805 MHz – 1880 MHz FDD
4 1710 MHz – 1755 MHz 2110 MHz – 2155 MHz FDD
5 824 MHz – 849 MHz 869 MHz – 894MHz FDD
6
1
830 MHz – 840 MHz 875 MHz – 885 MHz FDD
7 2500 MHz – 2570 MHz 2620 MHz – 2690 MHz FDD
8 880 MHz – 915 MHz 925 MHz – 960 MHz FDD
9 1749.9 MHz – 1784.9 MHz 1844.9 MHz – 1879.9 MHz FDD
10 1710 MHz – 1770 MHz 2110 MHz – 2170 MHz FDD
11 1427.9 MHz – 1447.9 MHz 1475.9 MHz – 1495.9 MHz FDD
12 698 MHz – 716 MHz 728 MHz – 746 MHz FDD
13 777 MHz – 787 MHz 746 MHz – 756 MHz FDD
14 788 MHz – 798 MHz 758 MHz – 768 MHz FDD
15 Reserved Reserved FDD
16 Reserved Reserved FDD
17 704 MHz – 716 MHz 734 MHz – 746 MHz FDD
18 815 MHz – 830 MHz 860 MHz – 875 MHz FDD
19 830 MHz – 845 MHz 875 MHz – 890 MHz FDD
20 832 MHz – 862 MHz 791 MHz – 821 MHz
21 1447.9 MHz – 1462.9 MHz 1495.9 MHz – 1510.9 MHz FDD
...
33 1900 MHz – 1920 MHz 1900 MHz – 1920 MHz TDD
34 2010 MHz – 2025 MHz 2010 MHz – 2025 MHz TDD
35 1850 MHz – 1910 MHz 1850 MHz – 1910 MHz TDD
36 1930 MHz – 1990 MHz 1930 MHz – 1990 MHz TDD
37 1910 MHz – 1930 MHz 1910 MHz – 1930 MHz TDD
38 2570 MHz – 2620 MHz 2570 MHz – 2620 MHz TDD
39 1880 MHz – 1920 MHz 1880 MHz – 1920 MHz TDD
40 2300 MHz – 2400 MHz 2300 MHz – 2400 MHz TDD
Note 1: Band 6 is not applicable.

EDGE/EGPRS
Today, most GSM net works support EDGE. I t is an enhancement applicable t o GPRS,
which is t he original packet dat a service for GSM net works, as well as t o GSM circuit -
swit ched services, t he lat t er not being considered furt her in t his document . GPRS
provides a packet - based I P connect ivit y solut ion support ing a wide range of ent erprise
and consumer applicat ions. GSM net works wit h EDGE operat e as wireless ext ensions t o
t he I nt ernet and give users I nt ernet access, as well as access t o t heir organizat ions from
anywhere. Wit h peak user- achievable
89
t hroughput rat es of up t o 200 kbps wit h EDGE
using four t imeslot devices, users have t he same effect ive access speed as a modem, but
wit h t he convenience of connect ing from anywhere.

88
Source: 3GPP Technical Specificat ion 36. 104, V9. 4. 0.
89
“ Peak user- achievable” means users, under favorable condit ions of net work loading and signal
propagat ion, can achieve t his rat e as measured by applicat ions such as file t ransfer. Average rat es
depend on many fact ors and will be lower t han t hese rat es.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 69
To underst and t he evolut ion of dat a capabilit y, we briefly examine how t hese dat a
services operat e, beginning wit h t he archit ect ure of GSM and EDGE, as depict ed in Figure
25.
Fi gur e 25: GSM/ GPRS/ EDGE Ar chi t ect ur e

EDGE is essent ially t he addit ion of a packet - dat a infrast ruct ure t o GSM. I n fact , t his same
dat a archit ect ure is preserved in UMTS and HSPA net works, and it is t echnically referred
t o as GPRS for t he core- dat a funct ion in all of t hese net works. The t erm GPRS may also
be used t o refer t o t he init ial radio int erface, now supplant ed by EDGE. Funct ions of t he
dat a element s are as follows:
1. The base st at ion cont roller direct s/ receives packet dat a t o/ from t he Serving GPRS
Support Node ( SGSN) , an element t hat aut hent icat es and t racks t he locat ion of
mobile st at ions.
2. The SGSN performs t he t ypes of funct ions for dat a t hat t he Mobile Swit ching
Cent er ( MSC) performs for voice. Each serving area has one SGSN, and it is oft en
collocat ed wit h t he MSC.
3. The SGSN forwards/ receives user dat a t o/ from t he Gat eway GPRS Support Node
( GGSN) , which can be viewed as a mobile I P rout er t o ext ernal I P net works.
Typically, t here is one GGSN per ext ernal net work ( for example, t he I nt ernet ) .
The GGSN also manages I P addresses, dynamically assigning t hem t o mobile
st at ions for t heir dat a sessions.
Anot her import ant element is t he Home Locat ion Regist er ( HLR) , which st ores users’
account informat ion for bot h voice and dat a services. Of significance is t hat t his same
dat a archit ect ure support s dat a services in GSM and in UMTS- HSPA net works, t hereby
simplifying operat or net work upgrades.
I n t he radio link, GSM uses radio channels of 200 kilohert z ( kHz) widt h, divided in t ime
int o eight t imeslot s comprising 577 microseconds ( us) t hat repeat every 4. 6 msec, as
shown in Figure 26. The net work can have mult iple radio channels ( referred t o as
t ransceivers) operat ing in each cell sect or. The net work assigns different funct ions t o
each t imeslot such as t he Broadcast Cont rol Channel ( BCCH) , circuit - swit ched funct ions
like voice calls or dat a calls, t he opt ional Packet Broadcast Cont rol Channel ( PBCCH) , and
packet dat a channels. The net work can dynamically adj ust capacit y bet ween voice and
dat a funct ions, and it can also reserve minimum resources for each service. This enables
more dat a t raffic when voice t raffic is low or, likewise, more voice t raffic when dat a t raffic
Public Switched
Telephone Network
External Data
Network (e.g., Internet)
Base
Station
Controller
Base
Transceiver
Station
Base
Transceiver
Station
Mobile
Switching
Center
Home
Location
Register
Serving
GPRS
Support
Node
Gateway
GPRS
Support
Node
IP
Traffic
Circuit-Switched
Traffic
Mobile
Station
Mobile
Station
Mobile
Station
GPRS/EDGE Data
Infrastructure


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 70
is low, t hereby maximizing overall use of t he net work. For example, t he PBCCH, which
expands t he capabilit ies of t he normal BCCH, may be set up on a t imeslot of a Time
Division Mult iple Access ( TDMA) frame when j ust ified by t he volume of dat a t raffic.
Fi gur e 26: Ex ampl e of GSM/ EDGE Ti mesl ot St r uct ur e
90


EDGE offers close coupling bet ween voice and dat a services. I n most net works, while in a
dat a session, users can accept an incoming voice call, which suspends t he dat a session,
and t hen resume t heir dat a session aut omat ically when t he voice session ends. Users can
also receive SMS messages and dat a not ificat ions
91
while on a voice call. Wit h net works
support ing DTM, users wit h DTM- capable devices can engage in simult aneous voice/ dat a
operat ion.
Wit h respect t o dat a performance, each dat a t imeslot can deliver peak user- achievable
dat a rat es of up t o about 50 kbps. The net work can aggregat e up t o four of t hese
t imeslot s on t he downlink wit h current devices.
I f mult iple dat a users are act ive in a sect or, t hey share t he available dat a channels. As
demand for dat a services increases, however, an operat or can accommodat e cust omers
by assigning an increasing number of channels for dat a service t hat is limit ed only by
t hat operat or’s t ot al available spect rum and radio planning.
EDGE is an official 3G cellular t echnology t hat can be deployed wit hin an operat or' s
exist ing 850, 900, 1800, and 1900 MHz spect rum bands. EDGE capabilit y is now largely
st andard in new GSM deployment s. A GPRS net work using t he EDGE radio int erface is
t echnically called an Enhanced GPRS ( EGPRS) net work, and a GSM net work wit h EDGE
capabilit y is referred t o as GSM Edge Radio Access Net work ( GERAN) . EDGE has been an
inherent part of GSM specificat ions since Release 99. I t is fully backward- compat ible wit h
older GSM net works, meaning t hat GPRS devices work on EDGE net works and t hat GPRS
and EDGE t erminals can operat e simult aneously on t he same t raffic channels. I n addit ion,
any applicat ion developed for GPRS will work wit h EDGE.
Many operat ors t hat originally planned t o use only UMTS for next - generat ion dat a
services have deployed EDGE as a complement ary 3G t echnology.
I t is import ant t o not e t hat EDGE t echnology is cont inuing t o improve. For example,
Release 4 significant ly reduced EDGE lat ency ( net work round- t rip t ime) —from t he t ypical
500 t o 600 msec t o about 300 msec. Operat ors also cont inue t o make improvement s in

90
Source: 3G Americas’ member company cont ribut ion.
91
Example: WAP not ificat ion message delivered via SMS.
BCCH TCH TCH TCH TCH PDTCH PDTCH PDTCH
0 1 2 3 4 5 6 7
577 S
per timeslot
4.615 ms per frame of 8 timeslots
Possible BCCH
carrier configuration
PBCCH TCH TCH PDTCH PDTCH PDTCH PDTCH PDTCH
0 1 2 3 4 5 6 7
Possible TCH carrier
configuration
BCCH: Broadcast Control Channel – carries synchronization, paging and other signalling information
TCH: Traffic Channel – carries voice traffic data; may alternate between frames for half-rate
PDTCH: Packet Data Traffic Channel – carries packet data traffic for GPRS and EDGE
PBCCH: Packet Broadcast Control Channel – additional signalling for GPRS/EDGE; used only if needed


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 71
how EDGE funct ions including net work opt imizat ions t hat boost capacit y and reduce
lat ency. The impact for users is t hat EDGE net works t oday are more robust wit h
applicat ions funct ioning more responsively. Release 7’s Evolved EDGE also int roduces
significant new feat ures.
Devices t hemselves are increasing in capabilit y. Dual Transfer Mode ( DTM) devices,
already available from vendors, allow simult aneous voice and dat a communicat ions. For
example, during a voice call, users will be able t o ret rieve e- mail, do mult imedia
messaging, browse t he Web, and do I nt ernet conferencing. This is part icularly useful
when connect ing phones t o lapt ops via cable or Bluet oot h and using t hem as modems.
DTM is a 3GPP- specified t echnology t hat enables new applicat ions like video sharing while
providing a consist ent service experience ( service cont inuit y) wit h UMTS. Typically, a
DTM end- t o- end solut ion requires only a soft ware upgrade t o t he GSM/ EDGE radio
net work. There are a number of net works and devices now support ing DTM.
Evolved EDGE
Recognizing t he value of t he huge inst alled base of GSM net works, 3GPP has worked t o
improve EDGE capabilit ies for Release 7. This work was part of t he GERAN Evolut ion
effort , which also includes voice enhancement s not discussed in t his paper.
Alt hough EDGE t oday already serves many applicat ions like wireless e- mail ext remely
well, it makes good sense t o cont inue t o evolve EDGE capabilit ies. From an economic
st andpoint , it is less cost ly t han upgrading t o UMTS, because most enhancement s are
designed t o be soft ware based, and it is highly asset - efficient , because it involves fewer
long- t erm capit al invest ment s t o upgrade an exist ing syst em. Wit h 85 percent of t he
world market using GSM, which is already equipped for simple roaming and billing, it is
easy t o offer global service t o subscribers. Evolved EDGE offers higher dat a rat es and
syst em capacit y, and reduced lat ency, and cable- modem speeds are realist ically
achievable.
I n addit ion, many regions do not have licensed spect rum for deployment of a new radio
t echnology such as UMTS- HSPA or LTE. Also, Evolved EDGE provides bet t er service
cont inuit y bet ween EDGE and HSPA or LTE, meaning t hat a user will not have a hugely
different experience when moving bet ween environment s, for example when an LTE user
moves t o a GSM/ Evolved EDGE net work t o est ablish a ( circuit - swit ched) voice call
92
or
when leaving LTE coverage.
Alt hough GSM and EDGE are already highly opt imized t echnologies, advances in radio
t echniques will enable furt her efficiencies. Some of t he obj ect ives of Evolved EDGE
included:
 A 100 percent increase in peak dat a rat es.
 A 50 percent increase in spect ral efficiency and capacit y in C/ I - limit ed scenarios.
 A sensit ivit y increase in t he downlink of 3 dB for voice and dat a.
 A reduct ion of lat ency for init ial access and round- t rip t ime, t hereby enabling
support for conversat ional services such as VoI P and PoC.
 To achieve compat ibilit y wit h exist ing frequency planning, t hus facilit at ing
deployment in exist ing net works.

92
Some init ial LTE net works will be dat a- only, wit h voice operat ion provided by GSM.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 72
 To coexist wit h legacy mobile st at ions by allowing bot h old and new st at ions t o
share t he same radio resources.
 To avoid impact s on infrast ruct ure by enabling improvement s t hrough a soft ware
upgrade.
 To be applicable t o DTM ( simult aneous voice and dat a) and t he A/ Gb mode
int erface. The A/ Gb mode int erface is part of t he 2G core net work, so t his goal is
required for full backward- compat ibilit y wit h legacy GPRS/ EDGE.
The met hods st andardized in Release 7 t o achieve or surpass t hese obj ect ives include:
 Downlink dual- carrier recept ion t o double t he number of t imeslot s t hat can be
received for a 100 percent increase in t hroughput .
 The addit ion of Quadrat ure Phase Shift Keying ( QPSK) , 16 QAM and 32 QAM, as
well as an increased symbol rat e ( 1. 2x) and a new set of modulat ion/ coding
schemes t hat will increase maximum t hroughput per t imeslot by up t o 100
percent ( EGPRS2- B) . Current ly, EDGE uses 8- PSK modulat ion.
 A reduct ion in overall lat ency. This is achieved by lowering t he Transmission Time
I nt erval ( TTI ) t o 10 msec and by including t he acknowledgement informat ion in
t he dat a packet . These enhancement s will have a dramat ic effect on t hroughput
for many applicat ions.
 Downlink diversit y recept ion of t he same radio channel t o increase t he robust ness
in int erference and t o improve t he receiver sensit ivit y. Simulat ions have
demonst rat ed sensit ivit y gains of 3 dB and a decrease in required Carrier- t o-
I nt ermodulat ion Rat io ( C/ I ) of up t o 18 dB for a single co- channel int erferer.
Significant increases in syst em capacit y can be achieved, as explained below.
Dual - Car r i er Recei ver
A key part of t he evolut ion of EDGE is t he ut ilizat ion of more t han one radio frequency
carrier. This overcomes t he inherent limit at ion of t he narrow channel bandwidt h of GSM.
Using t wo radio- frequency carriers requires t wo receiver chains in t he downlink, as shown
in Figure 27. Using t wo carriers enables t he recept ion of t wice ( or more t han t wice for
some mult i- slot classes) as many radio blocks simult aneously.
Fi gur e 27: Ev ol v ed EDGE Tw o- Car r i er Oper at i on
93



93
Source: 3G Americas’ member company cont ribut ion.
Rx1
Tx (1)
Neighbor Cell Measurements
Uplink Timeslot
Downlink Timeslot
Slot N
Slot N + 1
(Idle Frame)
Slot N + 2 Slot N + 3
Rx2


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 73

Alt ernat ively, t he original number of radio blocks can be divided bet ween t he t wo
carriers. This eliminat es t he need for t he net work t o have cont iguous t imeslot s on one
frequency.
Fi gur e 28: EDGE Mul t i - Car r i er Recei ve Logi c – Mobi l e Par t
94


Channel capacit y wit h dual- carrier recept ion improves great ly, not by increasing basic
efficiencies of t he air int erface, but because of st at ist ical improvement in t he abilit y t o
assign radio resources, which increases t runking efficiency.
As net work loading increases, it is st at ist ically unlikely t hat cont iguous t imeslot s will be
available. Wit h t oday’s EDGE devices, it is not possible t o change radio frequencies when
going from one t imeslot t o t he next . Wit h an Evolved EDGE dual receiver, however, t his
becomes possible, t hus enabling cont iguous t imeslot s across different radio channels. The
result is t hat t he syst em can allocat e a larger set of t ime slot s for dat a even if t hey are
not cont iguous, which ot herwise is not possible. Figure 29 shows why t his is import ant .
As t he net work becomes busy, t he probabilit y of being assigned 1 t imeslot decreases. As
t his probabilit y decreases ( X axis) , t he probabilit y of being able t o obt ain 5 t imeslot s on
t he same radio carrier decreases dramat ically. Being able t o obt ain t imeslot s across t wo
carriers in Evolved EDGE, however, significant ly improves t he likelihood of obt aining t he
desired t imeslot s.

94
Source: 3G Americas’ member company cont ribut ion.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 74
Fi gur e 29: Pr obabi l i t i es of Ti me Sl ot Assi gnment s
95



Mobi l e St at i on Recei v e Di ver si t y
Figure 30 illust rat es how mobile- st at ion receive diversit y increases syst em capacit y.
( BCCH refers t o t he Broadcast Cont rol Channel and TCH refers t o t he Traffic Channel. )
The BCCH carrier repeat s over 12 cells in a 4/ 12 frequency reuse pat t ern, which requires
2. 4 MHz for GSM. A fract ionally loaded syst em may repeat f12 t hrough f15 on each of t he
cells. This is a 1/ 1 frequency reuse pat t ern wit h higher syst em ut ilizat ion, but also
pot ent ially high co- channel int erference in loaded condit ions.
Fi gur e 30: Ex ampl e of 4/ 12 Fr equency Reuse w i t h 1/ 1 Ov er l ay
96



95
Source: 3G Americas’ member company cont ribut ion.
96
Source: 3G Americas’ member company cont ribut ion.
0 1
2
3 4
5
6 7
8
9 10
11
Example of a 4/12 frequency reuse pattern used for BCCH
carriers with a 1/1 frequency reuse pattern for TCH carriers.
BCCH carriers on
f0 - f11 are associated
with TCH carrier
frequencies f12 – f15
f12
f13
f14
f15
f12
f13
f14
f15
f12
f13
f14
f15


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 75
I n t oday’s EDGE syst ems, f12 t hrough f15 in t he 1/ 1 reuse layer can only be loaded t o
around 25 percent of capacit y. Thus, wit h four of t hese frequencies, it is possible t o
obt ain 100 percent of t he capacit y of t he frequencies in t he 4/ 12 reuse layer or t o double
t he capacit y by adding 800 KHz of spect rum.
Using Evolved EDGE and receive- diversit y- enabled mobile devices t hat have a high
t olerance t o co- channel int erference, however, it is possible t o increase t he load on t he
1/ 1 layer from 25 t o 50 percent and possibly t o as high as 75 percent . An increase t o 50
percent t ranslat es t o a doubling of capacit y on t he 1/ 1 layer wit hout requiring any new
spect rum and t o a 200 percent gain compared t o a 4/ 12 reuse layer.
Hi gher Or der Modul at i on and Hi gher Symbol Rat e Schemes
The addit ion of higher order modulat ion schemes enhances EDGE net work capacit y wit h
lit t le capit al invest ment by ext ending t he range of t he exist ing wireless t echnology. More
bit s- per- symbol means more dat a t ransmit t ed per unit t ime. This yields a fundament al
t echnological improvement in informat ion capacit y and fast er dat a rat es. Use of higher
order modulat ion exploit s localized opt imal coverage circumst ances, t hereby t aking
advant age of t he geographical locat ions associat ed wit h probabilit ies of high C/ I rat io and
enabling very high dat a t ransfer rat es whenever possible.
These enhancement s are only now being considered, because fact ors such as processing
power, variabilit y of int erference, and signal level made higher order modulat ions
impract ical for mobile wireless syst ems j ust a few years ago. Newer t echniques for
demodulat ion, however, such as advanced receivers and receive diversit y, help enable
t heir use.
Two different levels of support for higher order modulat ion are defined for bot h t he uplink
and t he downlink: EGPRS2- A and EGPRS2- B. I n t he uplink, EGPRS2- A level includes
Gaussian Minimum Shift Keying ( GMSK) , 8- Phase- Shift Keying ( PSK) , and 16 QAM at t he
legacy symbol rat e. This level of support reuses Modulat ion and Coding Schemes ( MCSs)
1 t hrough 6 from EGPRS and adds five new 16 QAM modulat ed schemes called uplink
EGPRS2- A schemes ( UAS) .
Tabl e 11: Upl i nk Modul at i on and Codi ng Schemes
Modul at i on
and Codi ng
Scheme
Name
Upl i nk EGPRS2 Suppor t Level A
Modul at i on
Ty pe
Peak Thr oughput ( k bps) –
4 sl ot s
MCS- 1 GMSK 35. 2
MCS- 2 GMSK 44. 8
MCS- 3 GMSK 59. 2
MCS- 4 GMSK 70. 4
MCS- 5 8- PSK 89. 6
MCS- 6 8- PSK 118. 4
UAS- 7 16 QAM 179. 2
UAS- 8 16 QAM 204. 8
UAS- 9 16 QAM 236. 8
UAS- 10 16 QAM 268. 8


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 76
UAS- 11 16 QAM 307. 2
The second support level in t he uplink includes QPSK, 16 QAM, and 32 QAM modulat ion
as well as a higher ( 1. 2x) symbol rat e. MCSs 1 t hrough 4 from EGPRS are reused, and
eight new uplink EGPRS2- B schemes ( UBS) are added.
Tabl e 12: Upl i nk Modul at i on and Codi ng Schemes w i t h Hi gher Symbol Rat e
Modul at i on
and Codi ng
Scheme
Name
Upl i nk EGPRS2 Suppor t Level B
Modul at i on
Ty pe
Peak Thr oughput ( k bps)
– 4 sl ot s
MCS- 1 GMSK 35. 2
MCS- 2 GMSK 44. 8
MCS- 3 GMSK 59. 2
MCS- 4 GMSK 70. 4
UBS- 5 QPSK 89. 6
UBS- 6 QPSK 118. 4
UBS- 7 16 QAM 179. 2
UBS- 8 16 QAM 236. 8
UBS- 9 16 QAM 268. 8
UBS- 10 32 QAM 355. 2
UBS- 11 32 QAM 435. 2
UBS- 12 32 QAM 473. 6
The first downlink support level int roduces a modified set of 8- PSK coding schemes and
adds 16 QAM and 32 QAM, all at t he legacy symbol rat e. Turbo codes are used for all new
modulat ions. MCSs 1 t hrough 4 are reused and eight new downlink EGPRS2- A level
schemes ( DAS) are added.
Tabl e 13: Dow nl i nk Modul at i on and Codi ng Schemes
Modul at i on
and Codi ng
Scheme
Name
Dow nl i nk HOM/ HSR Suppor t Level A
Modul at i on
Ty pe
Peak Thr oughput ( k bps) –
4 sl ot s
MCS- 1 GMSK 35. 2
MCS- 2 GMSK 44. 8
MCS- 3 GMSK 59. 2
MCS- 4 GMSK 70. 4
DAS- 5 8- PSK 89. 6
DAS- 6 8- PSK 108. 8
DAS- 7 8- PSK 131. 2
DAS- 8 16 QAM 179. 2


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DAS- 9 16 QAM 217. 6
DAS- 10 32 QAM 262. 4
DAS- 11 32 QAM 326. 4
DAS- 12 32 QAM 393. 6

The second downlink support level includes QPSK, 16 QAM, and 32 QAM modulat ions at a
higher ( 1. 2x) symbol rat e. MCSs 1 t hrough 4 are reused, and eight new downlink
EGPRS2- B level schemes ( DBS) are defined.
Tabl e 14: Dow nl i nk Modul at i on and Codi ng Schemes w i t h Hi gher Symbol Rat e
97

Modul at i on
and Codi ng
Scheme
Name
Dow nl i nk HOM/ HSR Suppor t Level B
Modul at i on
Ty pe
Peak Thr oughput ( k bps) –
4 sl ot s
MCS- 1 GMSK 35. 2
MCS- 2 GMSK 44. 8
MCS- 3 GMSK 59. 2
MCS- 4 GMSK 70. 4
DBS- 5 QPSK 89. 6
DBS- 6 QPSK 118. 4
DBS- 7 16 QAM 179. 2
DBS- 8 16 QAM 236. 8
DBS- 9 16 QAM 268. 8
DBS- 10 32 QAM 355. 2
DBS- 11 32 QAM 435. 2
DBS- 12 32 QAM 473. 6

The combinat ion of Release 7 Evolved EDGE enhancement s shows a dramat ic pot ent ial
increase in t hroughput . For example, in t he downlink, a Type 2 mobile device ( one t hat
can support simult aneous t ransmission and recept ion) using DBS- 12 as t he MCS and a
dual- carrier receiver can achieve t he following performance:
Highest dat a rat e per t imeslot ( layer 2) = 118. 4 kbps
Timeslot s per carrier = 8
Carriers used in t he downlink = 2
Tot al downlink dat a rat e = 118. 4 kbps X 8 X 2 = 1894. 4 kbps
98


97
These dat a r at es require a wide- pulse shaping filt er t hat is not part of Release 7.
98
For t he near fut ure, t wo carriers will be a scenario more pract ically realized on a not ebook comput er
plat form t han handheld plat forms.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 78
This t ranslat es t o a peak net work rat e close t o 2 Mbps and a user- achievable dat a rat e of
well over 1 Mbps!
Ev ol v ed EDGE I mpl ement at i on
Table 15 shows what is involved in implement ing t he different feat ures defined for
Evolved EDGE. For a number of feat ures, t here are no hardware changes required for t he
base t ransceiver st at ion ( BTS) . For all feat ures, Evolved EDGE is compat ible wit h legacy
frequency planning.
Tabl e 15: Ev ol v ed EDGE I mpl ement at i on
99



I n conclusion, it is int erest ing t o not e t he sophist icat ion and capabilit y t hat is achievable
wit h, and planned for, by GSM.
UMTS-HSPA Technology
UMTS has garnered t he overwhelming maj orit y of new 3G spect rum licenses wit h 283
commercial net works already in operat ion.
100
Compared t o emerging wireless
t echnologies, UMTS t echnology is mat ure and benefit s from research and development
t hat began in t he early 1990s. I t has been t horoughly t rialed, t est ed, and commercially
deployed. UMTS deployment is now accelerat ing wit h st able net work infrast ruct ures and
at t ract ive, reliable mobile devices t hat have rich capabilit ies. Wit h t he addit ion of HSPA
for high- speed packet dat a services, UMTS- HSPA is quickly emerging as t he dominant
global mobile- broadband net work.
UMTS employs a wideband CDMA radio- access t echnology. The primary benefit s of UMTS
include high spect ral efficiency for voice and dat a, simult aneous voice and dat a capabilit y
for users, high user densit ies t hat can be support ed wit h low infrast ruct ure cost s, support
for high- bandwidt h dat a applicat ions, and a clean migrat ion t o VoI P in t he fut ure.

99
Source: 3G Americas’ member company cont ribut ion.
100
Source: I nforma Telecoms & Media, “ World Cellular I nformat ion Service, ” June 2009.
 


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 79
Operat ors can also use t heir ent ire available spect rum for bot h voice and high- speed dat a
services.
Addit ionally, operat ors can use a common core net work t hat support s mult iple radio-
access net works including GSM, EDGE, WCDMA, HSPA, and evolut ions of t hese
t echnologies. This is called t he UMTS mult i- radio net work, and it gives operat ors
maximum flexibilit y in providing different services across t heir coverage areas ( see Figure
31) .
Fi gur e 31: UMTS Mul t i - r adi o Net w or k

The UMTS radio- access net work consist s of base st at ions referred t o as Node B
( corresponding t o GSM base t ransceiver syst ems) t hat connect t o RNCs ( corresponding t o
GSM base st at ion cont rollers [ BSCs] ) . The RNCs connect t o t he core net work as do t he
BSCs. When bot h GSM and WCDMA access net works are available, t he net work can hand
over users bet ween t hese net works. This is import ant for managing capacit y, as well as
in areas in which t he operat or has cont inuous GSM coverage, but has only deployed
WCDMA in some locat ions.
Whereas GSM can effect ively operat e like a spread- spect rum syst em
101
, based on t ime
division in combinat ion wit h frequency hopping, WCDMA is a direct - sequence, spread-
spect rum syst em. WCDMA is spect rally more efficient t han GSM, but it is t he wideband
nat ure of WCDMA t hat provides it s great est advant age—t he abilit y t o t ranslat e t he
available spect rum int o high dat a rat es. This wideband t echnology approach result s in t he
flexibilit y t o manage mult iple t raffic t ypes including voice, narrowband dat a, and
wideband dat a.
WCDMA allocat es different codes for different channels, whet her for voice or dat a, and it
can adj ust t he amount of capacit y, or code space, of each channel every 10 msec wit h
WCDMA Release 99 and every 2 msec wit h HSPA. WCDMA creat es high- bandwidt h t raffic
channels by reducing t he amount of spreading ( using a short er code) wit h WCDMA
Release 99 and higher- order modulat ion schemes for HSPA. Packet dat a users can share
t he same codes as ot her users, or t he net work can assign dedicat ed channels t o users.

101
Spread spect rum syst ems can eit her be direct sequence or frequency hopping.
UMTS
Core Network
(MSC, HLR,
SGSN, GGSN)
GSM/EDGE
WCDMA,
HSDPA
Other
e.g., WLAN
Radio-Access Networks External Networks
Packet-Switched
Networks
Circuit-Switched
Networks
Other Cellular
Operators


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 80
To furt her expand t he number of effect ively operat ing applicat ions, UMTS employs a
sophist icat ed QoS archit ect ure for dat a t hat provides four fundament al t raffic classes
including:
1. Conv er sat i onal . Real- t ime, int eract ive dat a wit h cont rolled bandwidt h and
minimum delay such as VoI P or video conferencing.
2. St r eami ng. Cont inuous dat a wit h cont rolled bandwidt h and some delay such as
music or video.
3. I nt er act i ve. Back- and- fort h dat a wit hout bandwidt h cont rol and some delay such
as Web browsing.
4. Back gr ound. Lower priorit y dat a t hat is non- real- t ime such as bat ch t ransfers.
This QoS archit ect ure, available t hrough all HSPA versions, involves negot iat ion and
priorit izat ion of t raffic in t he radio- access net work, t he core net work, and t he int erfaces
t o ext ernal net works such as t he I nt ernet . Consequent ly, applicat ions can negot iat e QoS
paramet ers on an end- t o- end basis bet ween a mobile t erminal and a fixed- end syst em
across t he I nt ernet or privat e int ranet s. This capabilit y is essent ial for expanding t he
scope of support ed applicat ions, part icularly mult imedia applicat ions including packet ized
video t elephony and VoI P.
UMTS Release 99 Data Capabilities
I nit ial UMTS net work deployment s were based on 3GPP Release 99 specificat ions, which
included voice and dat a capabilit ies. Since t hen, Release 5 has defined HSDPA and
Release 6 has defined HSUPA. Wit h HSPA- capable devices, t he net work uses HSPA
( HSDPA/ HSUPA) for dat a. Operat ors wit h Release 99 net works are upgrading t hem t o
HSPA capabilit y. I n advance of Release 6, t he uplink in HSDPA ( Release 5) net works uses
t he Release 99 approach.
I n UMTS Release 99, t he maximum t heoret ical downlink rat e is j ust over 2 Mbps.
Alt hough exact t hroughput depends on t he channel sizes t he operat or chooses t o make
available, t he capabilit ies of devices and t he number of users act ive in t he net work limit
t he peak t hroughput rat es a user can achieve t o about 350 kbps in commercial net works.
Peak downlink net work speeds are 384 kbps. Uplink peak- net work t hroughput rat es are
also 384 kbps in newer deployment s wit h user- achievable peak rat es of 350 kbps.
102
This
sat isfies many communicat ions- orient ed applicat ions.
Channel t hroughput s are det ermined by t he amount of channel spreading. Wit h more
spreading, as in voice channels, t he dat a st ream has great er redundancy, and t he
operat or can employ more channels. I n comparison, a high- speed dat a channel has less
spreading and fewer available channels. Voice channels use downlink spreading fact ors of
128 or 256, whereas a 384 kbps dat a channel uses a downlink spreading fact or of 8. The
commonly quot ed rat e of more t han 2 Mbps downlink t hroughput for UMTS can be
achieved by combining t hree dat a channels of 768 kbps, each wit h a spreading fact or of
4.
WCDMA has lower net work lat ency t han EDGE, wit h about 100 t o 200 msec measured in
act ual net works. Alt hough UMTS Release 99 offers at t ract ive dat a services, t hese services
become much more efficient and more powerful wit h HSPA.

102
I nit ial UMTS net works had peak uplink rat es of 64 kbps or 128 kbps, but many deployment s
emphasize 384 kbps.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 81
HSDPA
HSPA refers t o net works t hat support bot h HSDPA and HSUPA. All new deployment s
t oday are HSPA, and many operat ors have upgraded t heir HSDPA net works t o HSPA. For
example, in 2008, AT&T upgraded most of it s net work t o HSPA. By t he end of 2008,
HSPA was deployed t hroughout t he Americas. This sect ion covers t echnical aspect s of
HSDPA, while t he next sect ion covers HSUPA.
HSDPA, specified in 3GPP Release 5, is a high- performance, packet - dat a service t hat
delivers peak t heoret ical rat es of 14 Mbps. Peak user- achievable t hroughput rat es in
init ial deployment s are well over 1 Mbps and as high as 4 Mbps in some net works. The
same radio carrier can simult aneously service UMTS voice and dat a users, as well as
HSDPA dat a users. HSDPA also has significant ly lower lat ency, measured t oday on some
net works as low as 70 msec on t he dat a channel.
HSDPA achieves it s high speeds t hrough t echniques similar t o t hose t hat push EDGE
performance past GPRS including higher order modulat ion, variable coding, and soft
combining, as well as t hrough t he addit ion of powerful new t echniques such as fast
scheduling. The higher spect ral efficiency and higher dat a rat es not only enable new
classes of applicat ions, but also support a great er number of users accessing t he
net work.
HSDPA achieves it s performance gains from t he following radio feat ures:
 High- speed channels shared in bot h code and t ime domains
 Short TTI
 Fast scheduling and user diversit y
 Higher order modulat ion
 Fast link adapt at ion
 Fast HARQ
These feat ures funct ion as follows:
Hi gh- Speed Shar ed Channel s and Shor t Tr ansmi ssi on Ti me I nt er v al : First , HSDPA
uses high- speed dat a channels called High Speed Physical Downlink Shared Channels
( HS- PDSCH) . Up t o 15 of t hese channels can operat e in t he 5 MHz WCDMA radio channel.
Each uses a fixed spreading fact or of 16. User t ransmissions are assigned t o one or more
of t hese channels for a short TTI of 2 msec. The net work can t hen readj ust how users are
assigned t o different HS- PDSCH every 2 msec. The result is t hat resources are assigned
in bot h t ime ( t he TTI int erval) and code domains ( t he HS- PDSCH channels) . Figure 32
illust rat es different users obt aining different radio resources.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 82
Fi gur e 32: Hi gh Speed–Dow nl i nk Shar ed Channel s ( Ex ampl e)


Fast Schedul i ng and User Di v er si t y : Fast scheduling exploit s t he short TTI by
assigning users channels t hat have t he best inst ant aneous channel condit ions, rat her
t han in a round- robin fashion. Because channel condit ions vary somewhat randomly
across users, most users can be serviced wit h opt imum radio condit ions and t hereby
obt ain opt imum dat a t hroughput . Figure 33 shows how a scheduler might choose
bet ween t wo users based on t heir varying radio condit ions t o emphasize t he user wit h
bet t er inst ant aneous signal qualit y. Wit h about 30 users act ive in a sect or, t he net work
achieves significant user diversit y and significant ly higher spect ral efficiency. The syst em
also makes sure t hat each user receives a minimum level of t hroughput . This approach is
somet imes called proport ional fair scheduling.
2 msec
Time
C
h
a
n
n
e
l
i
z
a
t
i
o
n

C
o
d
e
s
User 4 User 3 User 2 User 1


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 83
Fi gur e 33: User Di v er si t y


Hi gher Or der Modul at i on: HSDPA uses bot h t he modulat ion used in WCDMA—namely
QPSK—and, under good radio condit ions, an advanced modulat ion scheme—16 QAM. The
benefit of 16 QAM is t hat 4 bit s of dat a are t ransmit t ed in each radio symbol as opposed
t o 2 bit s wit h QPSK. Dat a t hroughput is increased wit h 16 QAM, while QPSK is available
under adverse condit ions. HSPA Evolut ion will add 64 QAM modulat ion t o furt her increase
t hroughput rat es. Not e t hat 64 QAM was available in Release 7, and t he combinat ion of
MI MO and 64 QAM became available t his year in Release 8.
Fast Li nk Adapt at i on: Depending on t he condit ion of t he radio channel, different levels
of forward- error correct ion ( channel coding) can also be employed. For example, a t hree-
quart er coding rat e means t hat t hree quart ers of t he bit s t ransmit t ed are user bit s and
one quart er are error- correct ing bit s. The process of select ing and quickly updat ing t he
opt imum modulat ion and coding rat e is referred t o as fast link adapt at ion. This is done in
close coordinat ion wit h fast scheduling, as described above.
Fast Hy br i d Aut omat i c Repeat Request : Anot her HSDPA t echnique is Fast Hybrid
Aut omat ic Repeat Request ( Fast Hybrid ARQ) . “ Fast ” refers t o t he medium- access cont rol
mechanisms implement ed in Node B ( along wit h scheduling and link adapt at ion) , as
opposed t o t he BSC in GPRS/ EDGE, and “ hybrid” refers t o a process of combining
repeat ed dat a t ransmissions wit h prior t ransmissions t o increase t he likelihood of
successful decoding. Managing and responding t o real- t ime radio variat ions at t he base
st at ion, as opposed t o an int ernal net work node, reduces delays and furt her improves
overall dat a t hroughput .
Using t he approaches j ust described, HSDPA maximizes dat a t hroughput s and capacit y
and minimizes delays. For users, t his t ranslat es t o bet t er net work performance under
loaded condit ions, fast er applicat ion performance, a great er range of applicat ions t hat
funct ion well, and increased product ivit y.
Field result s validat e t he t heoret ical t hroughput result s. Wit h init ial 1. 8 Mbps peak- rat e
devices, vendors measured consist ent t hroughput rat es in act ual deployment s of more
t han 1 Mbps. These rat es rose t o more t han 2 Mbps for 3. 6 Mbps devices and are close t o
High data rate
Low data rate
Time
User 2
User 1
User 2
User 1 User 2 User 1 User 2 User 1
S
i
g
n
a
l

Q
u
a
l
i
t
y


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 84
4 Mbps for 7. 2 Mbps devices, assuming ot her port ions of t he net work ( for example,
backhaul) can support t he high t hroughput rat es.
I n 2008, t ypical devices support ing peak dat a rat es of 3. 6 Mbps or 7. 2 Mbps became
available. Many operat or net works support 7. 2 Mbps peak operat ion, and some even
support t he maximum rat e of 14. 4 Mbps.
HSPA t echnology is not st anding st ill. Advanced radio t echnologies are becoming
available. Among t hese t echnologies are mobile- receive diversit y and equalizat ion ( for
example, Minimum Mean Square Error [ MMSE] ) , which improve t he qualit y of t he
received radio signal prior t o demodulat ion and decoding. This improvement enables not
only higher peak HSDPA t hroughput speeds but makes t hese speeds available over a
great er percent age of t he coverage area.
HSUPA
Whereas HSDPA opt imizes downlink performance, HSUPA—which uses t he Enhanced
Dedicat ed Channel ( E- DCH) —const it ut es a set of improvement s t hat opt imizes uplink
performance. Net works and devices support ing HSUPA became available in 2007. These
improvement s include higher t hroughput s, reduced lat ency, and increased spect ral
efficiency. HSUPA is st andardized in Release 6. I t result s in an approximat ely 85 percent
increase in overall cell t hroughput on t he uplink and more t han a 50 percent gain in user
t hroughput . HSUPA also reduces packet delays, a significant benefit result ing in much
improved applicat ion performance on HSPA net works
Alt hough t he primary downlink t raffic channel support ing HSDPA serves as a shared
channel designed for t he support of services delivered t hrough t he packet - swit ched
domain, t he primary uplink t raffic channel defined for HSUPA is a dedicat ed channel t hat
could be used for services delivered t hrough eit her t he circuit - swit ched or t he packet -
swit ched domains. Nevert heless, by ext ension and for simplicit y, t he WCDMA- enhanced
uplink capabilit ies are oft en ident ified in t he lit erat ure as HSUPA.
Such an improved uplink benefit s users in a number of ways. For inst ance, some user
applicat ions t ransmit large amount s of dat a from t he mobile st at ion such as sending
video clips or large present at ion files. For fut ure applicat ions like VoI P, improvement s will
balance t he capacit y of t he uplink wit h t he capacit y of t he downlink.
HSUPA achieves it s performance gains t hrough t he following approaches:
 An enhanced dedicat ed physical channel
 A short TTI , as low as 2 msec, which allows fast er responses t o changing radio
condit ions and error condit ions
 Fast Node B- based scheduling, which allows t he base st at ion t o efficient ly allocat e
radio resources
 Fast Hybrid ARQ, which improves t he efficiency of error processing
The combinat ion of TTI , fast scheduling, and Fast Hybrid ARQ also serves t o reduce
lat ency, which can benefit many applicat ions as much as improved t hroughput . HSUPA
can operat e wit h or wit hout HSDPA in t he downlink, alt hough it is likely t hat most
net works will use t he t wo approaches t oget her. The improved uplink mechanisms also
t ranslat e t o bet t er coverage and, for rural deployment s, larger cell sizes.
HSUPA can achieve different t hroughput rat es based on various paramet ers including t he
number of codes used, t he spreading fact or of t he codes, t he TTI value, and t he t ransport
block size in byt es.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 85
I nit ial devices enabled peak user rat es of close t o 2 Mbps as measured in act ual net work
deployment s. Fut ure devices will ult imat ely approach speeds close t o 5 Mbps, alt hough
only wit h t he addit ion of int erference cancellat ion met hods t hat boost SNR.
Beyond t hroughput enhancement s, HSUPA also significant ly reduces lat ency. I n opt imized
net works, lat ency will fall below 50 msec, relat ive t o current HSDPA net works at 70
msec. And wit h a lat er int roduct ion of a 2 msec TTI , lat ency will be as low as 30 msec.
Evolution of HSPA (HSPA+)
OFDMA syst ems have at t ract ed considerable at t ent ion t hrough t echnologies such as 3GPP
LTE and WiMAX. As already discussed in t his paper, however, CDMA approaches can
mat ch OFDMA approaches in reduced channel bandwidt hs. The goal in evolving HSPA is
t o exploit available radio t echnologies—largely enabled by increases in digit al signal
processing power—t o maximize CDMA- based radio performance. This not only makes
HSPA compet it ive, it significant ly ext ends t he life of sizeable operat or infrast ruct ure
invest ment s.
Wireless and net working t echnologist s have defined a series of enhancement s for HSPA,
some of which are specified in Release 7 and some of which are being finalized in Release
8. These include advanced receivers, MI MO, Cont inuous Packet Connect ivit y, Higher-
Order Modulat ion and One Tunnel Archit ect ure.
Adv anced Recei v er s
One import ant area is advanced receivers for which 3GPP has specified a number of
designs. These designs include Type 1, which uses mobile- receive diversit y; Type 2,
which uses channel equalizat ion; and Type 3, which includes a combinat ion of receive
diversit y and channel equalizat ion. Type 3i devices, which are not yet available, will
employ int erference cancellat ion. Not e t hat t he different t ypes of receivers are release-
independent . For example, Type 3i receivers will work and provide a capacit y gain in a
Release 5 net work.
The first approach is mobile- receive diversit y. This t echnique relies on t he opt imal
combinat ion of received signals from separat e receiving ant ennas. The ant enna spacing
yields signals t hat have somewhat independent fading charact erist ics. Hence, t he
combined signal can be more effect ively decoded, which result s in an almost doubling of
downlink capacit y when employed in conj unct ion wit h t echniques such as channel
equalizat ion. Receive diversit y is effect ive even for small devices such as PC Card
modems and smart phones.
Current receiver archit ect ures based on rake receivers are effect ive for speeds up t o a
few megabit s per second. But at higher speeds, t he combinat ion of reduced symbol
period and mult ipat h int erference result s in int er- symbol int erference and diminishes rake
receiver performance. This problem can be solved by advanced- receiver archit ect ures
wit h channel equalizers t hat yield addit ional capacit y gains over HSDPA wit h receive
diversit y. Alt ernat e advanced- receiver approaches include int erference cancellat ion and
generalized rake receivers ( G- Rake) . Different vendors are emphasizing different
approaches. The performance requirement s for advanced- receiver archit ect ures,
however, are specified in 3GPP Release 6. The combinat ion of mobile- receive diversit y
and channel equalizat ion ( Type 3) is especially at t ract ive, because it result s in a large
capacit y gain independent of t he radio channel.
What makes such enhancement s at t ract ive is t hat t he net works do not require any
changes ot her t han increased capacit y wit hin t he infrast ruct ure t o support t he higher
bandwidt h. Moreover, t he net work can support a combinat ion of devices including bot h


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 86
earlier devices t hat do not include t hese enhancement s and lat er devices t hat do. Device
vendors can select ively apply t hese enhancement s t o t heir higher performing devices.
MI MO
Anot her st andardized capabilit y is MI MO, a t echnique t hat employs mult iple t ransmit
ant ennas and mult iple receive ant ennas, oft en in combinat ion wit h mult iple radios and
mult iple parallel dat a st reams. The most common use of t he t erm “ MI MO” applies t o
spat ial mult iplexing. The t ransmit t er sends different dat a st reams over each ant enna.
Whereas mult ipat h is an impediment for ot her radio syst ems, MI MO—as illust rat ed in
Figure 34—act ually exploit s mult ipat h, relying on signals t o t ravel across different
uncorrelat ed communicat ions pat hs. This result s in mult iple dat a pat hs effect ively
operat ing somewhat in parallel and, t hrough appropriat e decoding, in a mult iplicat ive
gain in t hroughput .
Fi gur e 34: MI MO Usi ng Mul t i pl e Pat hs t o Boost Thr oughput and Capaci t y

Test s of MI MO have proven very promising in WLANs operat ing in relat ive isolat ion in
which int erference is not a dominant fact or. Spat ial mult iplexing MI MO should also benefit
HSPA “ hot spot s” serving local areas such as airport s, campuses, and malls, where t he
t echnology will increase capacit y and peak dat a rat es. I n a fully loaded net work wit h
int erference from adj acent cells, however, overall capacit y gains will be more modest —in
t he range of 20 t o 33 percent over mobile- receive diversit y. Relat ive t o a 1x1 ant enna
syst em, however, 2X2 MI MO can deliver cell t hroughput gains of about 80 percent . 3GPP
has st andardized spat ial mult iplexing MI MO in Release 7 using Double Transmit Adapt ive
Array ( D- TxAA) .
103

Release 9 provides for a means t o leverage MI MO ant ennas at t he base st at ion when
t ransmit t ing t o user equipment t hat does not support MI MO. The t wo t ransmit ant ennas
in t he base st at ion can t ransmit a single st ream using beam forming. This is called

103
For furt her det ails on t hese t echniques, refer t o t he 3G Americas’ whit e paper “ Mobile Broadband:
The Global Evolut ion of UMTS- HSPA. 3GPP Release 7 and Beyond. ”
Encoder Decoder


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 87
“ single- st ream MI MO” or “ MI MO wit h single- st ream rest rict ion” and result s in higher
t hroughput rat es because of t he improved signal received by t he user equipment .
Alt hough MI MO can significant ly improve peak rat es, ot her t echniques such as Space
Division Mult iple Access ( SDMA) —also a form of MI MO—may be even more effect ive t han
MI MO for improving capacit y in high spect ral efficiency syst ems employing a reuse fact or
of 1.
Cont i nuous Pack et Connect i vi t y
I n Release 7, Cont inuous Packet Connect ivit y ( CPC) enhancement s reduce t he uplink
int erference creat ed by t he dedicat ed physical cont rol channels of packet dat a users
when t hose channels have no user dat a t o t ransmit . This, in t urn, increases t he number
of simult aneously connect ed HSUPA users. CPC allows bot h discont inuous uplink
t ransmission and discont inuous downlink recept ion, wherein t he modem can t urn off it s
receiver aft er a cert ain period of HSDPA inact ivit y. CPC is especially beneficial t o VoI P on
t he uplink, which consumes t he most power, because t he radio can t urn off bet ween VoI P
packet s. See Figure 35.
Fi gur e 35: Cont i nuous Pack et Connect i vi t y


Hi gher Or der Modul at i on
Anot her way of increasing performance is t o use higher order modulat ion. HSPA uses 16
QAM on t he downlink and QPSK on t he uplink. But radio links can achieve higher
t hroughput s—adding 64 QAM on t he downlink and 16 QAM on t he uplink—precisely what
is added in HSPA+ . Higher order modulat ion requires a bet t er SNR, which is enabled
t hrough ot her enhancement s such as receive diversit y and equalizat ion.
HSPA+
Taking advant age of t hese various radio t echnologies, 3GPP has st andardized a number
of feat ures in Release 7 including higher order modulat ion and MI MO. Collect ively, t hese
capabilit ies are referred t o as HSPA+ . Release 8 will include furt her enhancement s.
The goals of HSPA+ are t o:
Data
Pilot
Data
Pilot
Without CPC
With CPC


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 88
 Exploit t he full pot ent ial of a CDMA approach before moving t o an OFDM plat form
in 3GPP LTE.
 Achieve performance close t o LTE in 5 MHz of spect rum.
 Provide smoot h int erworking bet ween HSPA+ and LTE, t hereby facilit at ing t he
operat ion of bot h t echnologies. As such, operat ors may choose t o leverage t he
EPC planned for LTE.
 Allow operat ion in a packet - only mode for bot h voice and dat a.
 Be backward- compat ible wit h previous syst ems while incurring no performance
degradat ion wit h eit her earlier or newer devices.
 Facilit at e migrat ion from current HSPA infrast ruct ure t o HSPA+ infrast ruct ure.
Depending on t he feat ures implement ed, HSPA+ can exceed t he capabilit ies of I EEE
802. 16e- 2005 ( mobile WiMAX) in t he same amount of spect rum. This is mainly because
MI MO in HSPA support s closed- loop operat ion wit h precode weight ing, as well as
mult icode- word MI MO, and it enables t he use of SI C receivers. I t is also part ly because
HSPA support s I ncrement al Redundancy ( I R) and has lower overhead t han WiMAX.
Table 16 summarizes t he capabilit ies of HSPA and HSPA+ based on various met hods.
Tabl e 16: HSPA Thr oughput Evol ut i on
Technol ogy
Dow nl i nk
( Mbps) Peak
Dat a Rat e
Upl i nk ( Mbps)
Peak Dat a
Rat e
HSPA as def i ned i n Rel ease 6 14. 4 5. 76
Rel ease 7 HSPA+ DL 64 QAM,
UL 16 QAM
21. 1 11. 5
Rel ease 7 HSPA+ 2X2 MI MO,
DL 16 QAM, UL 16 QAM
28. 0 11. 5
Rel ease 8 HSPA+ 2X2 MI MO
DL 64 QAM, UL 16 QAM
42. 2 11. 5
Rel ease 8 HSPA+ ( no MI MO)
Dual Car r i er ( 2 X 10 MHz)
42. 2 11. 5
Rel ease 9 HSPA+ 2X2 MI MO,
Dual Car r i er ( 2 X 10 MHz)
84. 0 23. 0
Rel ease 10 HSPA + 4X4 MI MO,
Quad Car r i er ( 2 X 20 MHz)
168. 0 23. 0

Beyond t he peak rat e of 42 Mbps defined in Release 8, Release 9 may specify 2X2 MI MO
in combinat ion wit h dual- carrier operat ion, which would furt her boost peak net work rat es
t o 84 Mbps. Release 10 HSPA+ specifies opt ional use of a quad- carrier approach for even
higher t hroughput s. Dual- and mult i- carrier operat ion are explained furt her below.
HSPA+ will also have improved lat ency performance of below 50 msec and improved
packet call set up t ime of below 500 msec.
HSPA+ wit h 28 Mbps capabilit y will be available for deployment by t he end of 2009, and
HSPA+ wit h 42 Mbps capabilit y on t he downlink and 11. 5 Mbps on t he uplink could be
ready for deployment by 2009 or 2010.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 89
Given t he large amount of backhaul bandwidt h required t o support HSPA+ , as well as
addit ional MI MO radios at cell sit es, operat ors are likely t o init ially deploy HSPA+ in
limit ed “ hot spot ” coverage areas such as airport s, ent erprise campuses, and in- building
net works. Wit h advances in backhaul t ransport like met ropolit an Et hernet , however,
operat ors will be able t o expand coverage.
The prior discussion emphasizes t hroughput speeds, but HSPA+ will also more t han
double HSPA capacit y as well as reduce lat ency below 25 msec. Sleep- t o- dat a- t ransfer
t imes of less t han 200 msec will improve users’ “ always- connect ed” experience, and
reduced power consumpt ion wit h VoI P will result in t alk t imes t hat are more t han 50
percent higher.
From a deployment point of view, operat ors will be able t o int roduce HSPA+ capabilit ies
t hrough eit her a soft ware upgrade or hardware expansions t o exist ing cabinet s t o
increase capacit y. Cert ain upgrades will be simpler t han ot hers. For example, upgrading
t o 64- QAM support will be easier t o implement t han 2X2 MI MO for many net works. For
net works t hat have implement ed uplink diversit y in t he base st at ion, however, t hose
mult iple ant ennas will facilit at e MI MO deployment .
Dual - Car r i er HSPA
3GPP has defined a capabilit y in Release 8 for dual- carrier HSPA operat ion. This approach
coordinat es t he operat ion of HSPA on t wo adj acent 5 MHz carriers so t hat dat a
t ransmissions can achieve higher t hroughput rat es, as shown in Figure 36. The work it em
assumes t wo adj acent carriers, downlink operat ion and no MI MO. I n t his configurat ion, it
is possible t o achieve a doubling of t he 21 Mbps maximum rat e available on each channel
t o 42 Mbps.
Fi gur e 36: Dual - Car r i er Oper at i on w i t h One Upl i nk Car r i er
104


There are a number of benefit s t o t his approach:
 An increase in spect ral efficiency of about 20%, comparable t o what can be
obt ained wit h 2X2 MI MO.
 Significant ly higher peak t hroughput s available t o users, especially in light ly-
loaded net works.
 Same maximum- t hroughput rat e of 42 Mbps as using MI MO, but wit h a less
expensive infrast ruct ure upgrade.

104
Source: "LTE for UMTS, OFDMA and SC- FDMA Based Radio Access, ” Harri Holma and Ant t i Toskala,
Wiley, 2009.
2 x 5 MHz 1 x 5 MHz
2 x 5 MHz 1 x 5 MHz
UE1
UE2
Uplink Downlink


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 90
By scheduling packet s across t wo carriers, t here is bet t er resource ut ilizat ion, result ing in
what is called t runking gain. Mult i- user diversit y also improves because t here are more
users t o select from.
Release 9 allows for dual- carrier operat ion in combinat ion wit h MI MO and wit hout t he
need for t he carriers t o be adj acent . I n fact , t hey can be in different bands.
Under development in Release 10 is t he use of four channels, result ing in peak downlink
dat a rat es of 168 Mbps.
Figure 37 shows an analysis of dual- carrier performance using a cumulat ive dist ribut ion
funct ion. Cumulat ive Dist ribut ion Funct ion ( CDF) indicat es t he probabilit y of achieving a
part icular t hroughput rat e and t he figure demonst rat es a consist ent doubling of
t hroughput .
Fi gur e 37: Dual - Car r i er Per f or mance
105



Fast Dor mancy
Small- packet message t raffic places an inordinat e load on a net work, requiring a
disproport ionat e amount of signaling and resource ut ilizat ion compared t o t he size of t he
small- dat a t raffic packet . To help mit igat e t hese affect s, User Equipment ( UE) vendors
t rigger t he Radio Resource Cont rol ( RRC) Signaling Connect ion Release I ndicat ion ( SCRI )
message t o release t he signaling connect ion and ult imat ely cause t he release of t he RRC

105
Source: 3G Americas’ member company cont ribut ion.
0 5 10 15 20 25 30 35 40
0
10
20
30
40
50
60
70
80
90
100
C
D
F

[
%
]
Achievable bitrate [Mbps]


RAKE, single-carrier
RAKE, multi-carrier
GRAKE, single-carrier
GRAKE, multi-carrier
GRAKE2, single-carrier
GRAKE2, multi-carrier
Ped A, 10% load


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 91
connect ion bet ween t he net work and UE. This causes t he UE t o rapidly ret urn t o idle
mode, which is t he most bat t ery- efficient radio st at e. This is a highly desirable behavior
as it great ly increases t he bat t ery life of t he mobile t erminal device whilst freeing up
unused radio resource in t he net work.
I f t he device implement at ion for t riggering fast dormancy is not done in an appropriat e
manner, however, t hen t he result ing recurrent signaling procedures needed t o re-
est ablish t he dat a connect ion, as described above, may lead t o net work overload. I n
order t o overcome t his drawback, t here was broad indust ry consensus t o st andardize t he
fast dormancy feat ure in 3GPP Release 8 by providing t he net work cont inued cont rol over
t he UE RRC st at e t ransit ions.
A cell indicat es support for t he Release 8 feat ure via t he broadcast of an inhibit t imer.
The UE support ing t he feat ure, once it has det ermined it has no more packet - swit ched
dat a for a prolonged period, sends a SCRI conveying an explicit cause value. The net work
on receipt of t his message cont rols t he result ing st at e t ransit ion t o a more bat t ery
efficient st at e, such as CELL_PCH or Ut ran Regist rat ion Area Paging Channel ( URA_PCH) .
I n t his way, t he UE maint ains t he PS signaling connect ion and does not require t he re-
est ablishment of t he RRC connect ion for a subsequent dat a t ransfer. I n addit ion, t he
net work inhibit t imer prevent s frequent ly repeat ed fast dormancy request s from t he UE.
Thereby, t he feat ure mit igat es t he impact on net work signaling t raffic whilst reducing t he
lat ency for any follow- on packet - swit ched dat a t ransmission compared t o when t he
feat ure is not support ed and significant ly improves UE bat t ery efficiency.
Field t est result s have shown fast dormancy improves st andby t ime for a UMTS device by
as much as 30% t o 40%. The following graph provides an example of t he bat t ery life
improvement due t o fast dormancy for t his scenario. I t compares t wo devices running
concurrent ly on a commercial UMTS net work wit h an e- mail sent every 17 minut es. The
X- axis represent s t ime, wit h t he right side being how long a bat t ery would last in t he
absence of fast dormancy.



Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 92
Fi gur e 38: Bat t er y Li f e I mpr ovement w i t h Fast Dor mancy
106


One- Tunnel Ar chi t ect ur e
Anot her way HSPA performance can be improved is t hrough a flat t er archit ect ure. I n
Release 7, t here is t he opt ion of a one- t unnel archit ect ure by which t he net work
est ablishes a direct t ransfer pat h for user dat a bet ween RNC and GGSN, while t he SGSN
st ill performs all cont rol funct ions. This brings several benefit s such as eliminat ing
hardware in t he SGSN and simplified engineering of t he net work.
There is also an int egrat ed RNC/ NodeB opt ion in which RNC funct ions are int egrat ed in
t he Node B. This is part icularly beneficial in femt ocell deployment s, as an RNC would
ot herwise need t o support t housands of femt ocells. The int egrat ed RNC/ NodeB for HSPA+
has been agreed- upon as an opt ional archit ect ure alt ernat ive for packet - swit ched- based
services.
These new archit ect ures, as shown in Figure 39, are similar t o t he EPC archit ect ure,
especially on t he packet - swit ched core net work side in which t hey provide synergies wit h
t he int roduct ion of LTE.

106
Source: 3G Americas’ member cont ribut ion.


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 93
Fi gur e 39: HSPA One- Tunnel Ar chi t ect ur e
107



HSPA, HSPA+ , and ot her advanced funct ions provide a compelling advant age for UMTS
over compet ing t echnologies: The abilit y t oday t o support voice and dat a services on t he
same carrier and across t he whole available radio spect rum; t o offer t hese services
simult aneously t o users; t o deliver dat a at ever- increasing broadband rat es; and t o do so
in a spect rally efficient manner.
HS- FACH AND HS- RACH
I n Release 7, a new capabilit y called High- Speed Access Forward Access Channel ( HS-
FACH) , illust rat ed in

107
Source: 3G Americas’ whit e paper, 2007, “ UMTS Evolut ion from 3GPP Release 7 t o Release 8. ”

User Pl ane
Cont r ol Pl ane
Node B
RNC
SGSN
GGSN
Tr adi t i onal HSPA
Ar chi t ect ur e
Node B
SGSN
GGSN
Possi bl e HSPA+ wi t h
One-Tunnel Ar chi t ect ur e
Node B
SGSN
GGSN
HSPA wi t h One-Tunnel
Ar chi t ect ur e
RNC


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 94
Figure 40, reduces set up t ime t o pract ically zero and provides a more efficient way of
carrying applicat ion signaling for always- on applicat ions. The net work accomplishes t his
by using t he same HSDPA power/ code resources for access request s ( CELL_FACH st at e)
as for dedicat ed packet t ransfer ( CELL_DCH) . This allows dat a t ransmission t o st art
during t he HS- FACH st at e wit h increased dat a rat es immediat ely available t o t he user
equipment . During t he HS- FACH st at e, t he net work allocat es dedicat ed resources for
t ransit ioning t he user equipment t o a dedicat ed channel st at e.




Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 95
Fi gur e 40: Hi gh- Speed For w ar d Access Channel
108





HS- RACH
I n Release 8, t he concept above ext ends t o t he uplink by act ivat ing t he E- DCH in
CELL_FACH t o reduce t he delay before E- DCH can be used. This feat ure is called High-
Speed Reverse Access Channel ( HS- RACH) , and t oget her wit h HS- FACH, is referred t o as
t he enhanced CELL_FACH operat ion.
The RACH is int ended for small amount s of dat a and t hus has a limit ed dat a rat e and can
only support t ransmission of a single t ransport block. For larger amount s of dat a,
t erminals must t ransmit mult iple t ime on t he RACH or t ransit ion t o t he dedicat ed

108
Source: "LTE for UMTS, OFDMA and SC- FDMA Based Radio Access, ” Harri Holma and Ant t i Toskala,
Wiley, 2009.
RACH +
FACH
HSDPA +
HSUPA
HSDPA + HSUPA
R99-R6 solution R7/R8 solution
6-32 kbps >1 Mbps
Seamless transition Delay >0.5 s
>1 Mbps
Cell_FACH Cell_DCH Cell_FACH Cell_DCH
PCH
FACH
DCH
/HSPA
No data flow
during transition
>500 ms
Cell update and
C-RNTI allocation
takes >300 ms
RB recon-
figuration
RB recon-
figuration
PCH
eFACH
HSPA
Data flows on HS-
FACH also during
transition.
Immediate transmission w/o
cell update. No PCH
required.
R99-RC RRC States R7/8 RRC States
DCH – Dedicated Channel
FACH – Forward Access Channel
RACH – Reverse Access Channel
PCH – Paging Channel
HS-FACH – High Speed FACH
RB – Radio Bearer
RRC – Radio Resource Control


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 96
channel, which causes delays. Overcoming t hese delays can be done by t ransmit t ing dat a
on t he E- DCH while st ill in t he CELL_FACH st at e. Dat a t ransmissions can t hus cont inue
unint errupt ed as t he st at e changes from CELL_FACH t o CEL_DCH.
109

Figure 41 summarizes t he capabilit ies and benefit s of t he feat ures being deployed in
HSPA+ .
Fi gur e 41: Summar y of HSPA Funct i ons and Benef i t s
110


HSPA Voice Support
Voice support wit h WCDMA- dedicat ed channels in UMTS net works is spect rally very
efficient . Moreover, current net works support simult aneous voice and dat a operat ion.
There are, however, reasons t o consider alt ernat e approaches including reducing power
consumpt ion and being able t o support even more users. One approach is called circuit -
swit ched voice over HSPA. The ot her is VoI P.
Ci r cui t - Sw i t ched ( CS) Voi ce over HSPA
HSPA channels employ many opt imizat ions t o obt ain a high degree of dat a t hroughput ,
which is why it makes sense t o use t hem t o carry voice communicat ions. Doing so wit h
VoI P, however, requires not only support ing packet ized voice in t he radio channel, but
also wit hin t he infrast ruct ure net work. There is an elegant alt ernat ive: To packet ize t he
circuit - swit ched voice t raffic which is already in digit al form, use t he HSPA channels t o
carry t he CS voice, but t hen t o connect t he CS voice t raffic back int o t he exist ing CS
infrast ruct ure ( MSCs, et c. ) immediat ely beyond t he radio access net work. This requires

109
Source: “ 3G Evolut ion: HSPA and LTE for Mobile Broadband, ” E. Dahlman, et al, Elsevier, 2008.
110
Source: 3G Americas’ member cont ribut ion.
Uplink DTX + downlink
DRX
L2 optimization (Flexible
RLC)
High speed FACH + High
speed RACH
Downlink 64QAM, MIMO
and Dual carrier
CS voice over HSPA
Uplink 16QAM
Lower UE power consumption
Higher voice capacity
Higher L2 throughput and less
processing requirements
Lower latency = better response
times
More efficient common channels =
savings in channel elements
Higher downlink peak data rates
and higher data capacity
Higher uplink peak data rates
Flat architecture
optimization
Less network elements


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 97
relat ively st raight forward changes in j ust t he radio net work and in devices. The following
figure shows t he infrast ruct ure changes required at t he Node B and wit hin t he RNC.
Fi gur e 42: I mpl ement at i on of HSPA CS Voi ce
111



Wit h t his approach, legacy mobile phones can cont inue using WCDMA- dedicat ed t raffic
channels for voice communicat ions, while new devices use HSPA channels. HSPA CS voice
can be deployed wit h Release 7 or lat er net works.
The many benefit s of t his approach, list ed below, make it highly likely t hat operat ors will
adopt it :
 Relat ively easy t o implement and deploy.
 Transparent t o exist ing CS infrast ruct ure.
 Support s bot h narrowband and wideband codecs.
 Significant ly improves bat t ery life wit h voice communicat ions.
 Enables fast er call connect ions.
 Provides a 50% t o 100% capacit y gain over current voice implement at ions.
 Act s as a st epping st one t o VoI P over HSPA/ LTE in t he fut ure.
VoI P
Once HSDPA and HSUPA are available, operat ors will have anot her opt ion of moving
voice t raffic over t o t hese high- speed dat a channels, which is using VoI P. This will
event ually increase voice capacit y, allow operat ors t o consolidat e t heir infrast ruct ure on
an I P plat form, and enable innovat ive new applicat ions t hat combine voice wit h dat a

111
Source: 3G Americas’ whit e paper, 2007, “ UMTS Evolut ion from 3GPP Release 7 t o Release 8. ”
IuCS
IuPS
RNC
CS R99
AMR
adapt.
Transport
queues etc
HSPA
PS R99
NodeB
HSPA scheduler
Combined
to one
carrier
AMR adaptation
possible
CS mapped to R99 or HSPA bearer
depending on terminal capability
Scheduler prioritizes
voice packets


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 98
funct ions in t he packet domain. VoI P is possible in Release 6, but it is enhancement s in
Release 7 t hat make it highly efficient and t hus at t ract ive t o net work operat ors. VoI P will
be implement ed in conj unct ion wit h I MS, discussed lat er in t his paper.
One at t ract ive aspect of deploying VoI P wit h HSPA is t hat operat ors can smoot hly
migrat e users from circuit - swit ched operat ion t o packet - swit ched operat ion over t ime.
Because t he UMTS radio channel support s bot h circuit - swit ched voice and packet -
swit ched dat a, some voice users can be on legacy circuit - swit ched voice and ot hers can
be on VoI P. Figure 43 shows a syst em’s voice capacit y wit h t he j oint operat ion of circuit -
swit ched and I P- based voice services.
Fi gur e 43: Abi l i t y f or UMTS t o Suppor t Ci r cui t and Pack et Voi ce User s
112



VoI P capacit y gains are quant ified in det ail in t he main part of in t his paper. They range
from 20 % t o as high as 100 % wit h t he implement at ion of int erference cancellat ion and
t he minimizat ion of I P overhead t hrough a scheme called Robust Header Compression
( ROHC) .
Whereas packet voice is t he only way voice will be support ed in LTE, wit h HSPA+ , it may
not be used immediat ely for primary voice services. This is because UMTS already has a
highly efficient , circuit - swit ched voice service and already allows simult aneous voice/ dat a
operat ion. Moreover, packet voice requires a considerable amount of new infrast ruct ure
in t he core net work. As a result , packet voice will likely be used init ially as part of ot her
services ( for example, t hose based on I MS) , and only over t ime will it t ransit ion t o
primary voice service.
3GPP LTE
Alt hough HSPA and HSPA+ offer a highly efficient broadband- wireless service t hat will
enj oy success for t he remainder of t his decade and well int o t he next , 3GPP has
complet ed t he specificat ion for Long Term Evolut ion as part of Release 8. LTE will allow
operat ors t o achieve even higher peak t hroughput s in higher spect rum bandwidt h. Work

112
Source: 3G Americas’ member cont ribut ion.
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 2 4 6 8 10 12 14
VoIP
CS
CS + VoIP
Power reserved for PS traffic (W)
R
e
l
a
t
i
v
e

C
a
p
a
c
i
t
y
PS Evolution
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 2 4 6 8 10 12 14
VoIP
CS
CS + VoIP
Power reserved for PS traffic (W)
R
e
l
a
t
i
v
e

C
a
p
a
c
i
t
y
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 2 4 6 8 10 12 14
VoIP
CS
CS + VoIP
Power reserved for PS traffic (W)
R
e
l
a
t
i
v
e

C
a
p
a
c
i
t
y
PS Evolution


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page 99
on LTE began in 2004 wit h an official work it em st art ed in 2006 and a complet ed
specificat ion early 2009. I nit ial deployment s will occur in 2010.
LTE uses OFDMA on t he downlink, which is well suit ed t o achieve high peak dat a rat es in
high- spect rum bandwidt h. WCDMA radio t echnology is basically as efficient as OFDM for
delivering peak dat a rat es of about 10 Mbps in 5 MHz of bandwidt h. Achieving peak rat es
in t he 100 Mbps range wit h wider radio channels, however, would result in highly
complex t erminals, and it is not pract ical wit h current t echnology. This is where OFDM
provides a pract ical implement at ion advant age. Scheduling approaches in t he frequency
domain can also minimize int erference, t hereby boost ing spect ral efficiency. The OFDMA
approach is also highly fleble in channelizat ion, and LTE will operat e in various radio
channel sizes ranging from 1. 4 t o 20 MHz.
On t he uplink, however, a pure OFDMA approach result s in high Peak t o Average Rat io
( PAR) of t he signal, which compromises power efficiency and, ult imat ely, bat t ery life.
Hence, LTE uses an approach called SC- FDMA, which is somewhat similar t o OFDMA, but
has a 2 t o 6 dB PAR advant age over t he OFDMA met hod used by ot her t echnologies such
as WiMAX.
LTE capabilit ies include:
 Downlink peak dat a rat es up t o 326 Mbps wit h 20 MHz bandwidt h.
 Uplink peak dat a rat es up t o 86.4 Mbps wit h 20 MHz bandwidt h.
 Operat ion in bot h TDD and FDD modes.
 Scalable bandwidt h up t o 20 MHz covering 1. 4, 3, 5, 10, 15, and 20 MHz in t he
st udy phase.
 I ncreased spect ral efficiency over Release 6 HSPA by a fact or of t wo t o four.
 Reduced lat ency, t o 10 msec round- t rip t imes bet ween user equipment and t he
base st at ion, and t o less t han 100 msec t ransit ion t imes from inact ive t o act ive.
 Self- opt imizing capabilit ies under operat or cont rol and preferences t hat will
aut omat e net work planning and will result in lower operat or cost s.
LTE Thr oughput Rat es
The overall obj ect ive is t o provide an ext remely high- performance, radio- access
t echnology t hat offers full vehicular speed mobilit y and t hat can readily coexist wit h HSPA
and earlier net works. Because of scalable bandwidt h, operat ors will be able t o easily
migrat e t heir net works and users from HSPA t o LTE over t ime.
Table 17 shows LTE peak dat a rat es based on different downlink and uplink designs.
Tabl e 17: LTE Peak Thr oughput Rat es
LTE Conf i gur at i on
Dow nl i nk ( Mbps)
Peak Dat a Rat e
Upl i nk ( Mbps)
Peak Dat a Rat e
Using 2X2 MI MO in t he Downlink and
16 QAM in t he Uplink

172. 8 57. 6
Using 4X4 MI MO in t he Downlink and
64 QAM in t he Uplink

326. 4 86. 4



Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page
100
LTE is not only efficient for dat a but , because of a highly efficient uplink, is ext remely
efficient for VoI P t raffic. I n 10 MHz of spect rum, LTE VoI P capacit y will reach almost 500
users.
113

OFDMA and Schedul i ng
LTE implement s OFDM in t he downlink. The basic principle of OFDM is t o split a high- rat e
dat a st ream int o a number of parallel, low- rat e dat a st reams, each a narrowband signal
carried by a subcarrier. The different narrowband st reams are generat ed in t he frequency
domain, and t hen combined t o form t he broadband st ream using a mat hemat ical
algorit hm called an I nverse Fast Fourier Transform ( I FFT) t hat is implement ed in digit al-
signal processors. I n LTE, t he subcarriers have 15 kHz spacing from each ot her. LTE
maint ains t his spacing regardless of t he overall channel bandwidt h, which simplifies radio
design, especially in support ing radio channels of different widt hs. The number of
subcarriers ranges from 72 in a 1. 4 MHz channel t o 1, 200 in a 20 MHz channel.
The composit e signal is obt ained aft er t he I FFT is ext ended by repeat ing t he init ial part of
t he signal ( called t he Cyclic Prefix [ CP] ) . This ext ended signal represent s an OFDM
symbol. The CP is basically a guard t ime during which reflect ed signals will reach t he
receiver. I t result s in an almost complet e eliminat ion of mult ipat h- induced I nt ersymbol
I nt erference ( I SI ) , which ot herwise makes ext remely high dat a- rat e t ransmissions
problemat ic. The syst em is called ort hogonal, because t he subcarriers are generat ed in
t he frequency domain ( making t hem inherent ly ort hogonal) , and t he I FFT conserves t hat
charact erist ic. OFDM syst ems may lose t heir ort hogonal nat ure as a result of t he Doppler
shift induced by t he speed of t he t ransmit t er or t he receiver. 3GPP specifically select ed
t he subcarrier spacing of 15 kHz t o avoid any performance degradat ion in high- speed
condit ions. WiMAX syst ems t hat use a lower subcarrier spacing ( ~ 11 kHz) will be more
impact ed in high- speed condit ions t han LTE.
Fi gur e 44: OFDM Sy mbol w i t h Cy cl i c Pr ef i x


The mult iple- access aspect of OFDMA comes from being able t o assign different users
different subcarriers over t ime. A minimum resource block t hat t he syst em can assign t o
a user t ransmission consist s of 12 subcarriers over 14 symbols in 1. 0 msec. Figure 45
shows how t he syst em can assign t hese resource blocks t o different users over bot h t ime
and frequency.

113
Source: 3GPP Mult i- member analysis.
Cyclic Prefix
(4.8 usec)
Data
(66.7 usec)


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101
Fi gur e 45: LTE OFDMA Dow nl i nk Resour ce Assi gnment i n Ti me and Fr equency

By having cont rol over which subcarriers are assigned in which sect ors, LTE can easily
cont rol frequency reuse. By using all t he subcarriers in each sect or, t he syst em would
operat e at a frequency reuse of 1; but by using a different one t hird of t he subcarriers in
each sect or, t he syst em achieves a looser frequency reuse of 1/ 3. The looser frequency
reduces overall spect ral efficiency, but delivers high peak rat es t o users.
Beyond cont rolling frequency reuse, frequency domain scheduling, as shown in Figure 46
can use t hose resource blocks t hat are not faded, somet hing t hat is not possible in
CDMA- based syst ems. Since different frequencies may fade different ly for different users,
t he syst em can allocat e t hose frequencies for each user t hat result in t he great est
t hroughput . This result s in up t o a 40% gain in average cell t hroughput for low user
speed ( 3 km/ hour) , assuming a large number of users and no MI MO. The benefit
decreases at higher user speeds.
Time
F
r
e
q
u
e
n
c
y
User 1
User 2
User 3
User 4
Minimum resource block consists of
14 symbols and 12 subcarriers


Transit ion t o 4G: 3GPP Broadband Evolut ion t o I MT- Advanced, Rysavy Resear ch/ 3G Amer icas, Sept 2010 Page
102
Fi gur e 46: Fr equency - Domai n Schedul i ng i n LTE
114



Ant enna Conf i gur at i ons
LTE in Release 8 provides for mult iple t ypes of ant enna t ransmission modes, as shown in
Table 18.
Tabl e 18: LTE Tr ansmi ssi on Modes
115

Tr ansmi ssi on Mode Descr i pt i on
1 Single- ant enna port
2 Transmit diversit y
3 Large- delay, cyclic- delay diversit y ( open- loop spat ial
mult iplexing)
4 Closed- loop spat ial mult iplexing
5 Mult i- user MI MO
6 Closed- loop single- layer precoding
7 Single- ant enna port

Being able t o exploit different ant enna modes based on condit ions produces huge
efficiency and performance gains, and is t he reason t hat yet more advanced ant enna

114
3G Americas’ member cont ribut ion.
115
Source: “ Field Trials of LTE wit h 4× 4 MI MO, ” Ericsson Review No. 1, 2010.
Frequency
Resource block
Transmit on those resource
blocks that are not faded
Carrier bandwidth


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103
modes are being developed for subsequent releases of LTE. There are some fundament al
variables t hat dist inguish t he different ant enna modes.
- Si ngl e base- st at i on ant enna v er sus mul t i pl e ant ennas. Single ant ennas
provide for Single I nput Single Out put ( SI SO) , Single I nput Mult iple Out put
( SI MO) and planar- array beamforming. ( Mult iple Out put means t he UE has
mult iple ant ennas. ) Mult iple ant ennas at t he base st at ion provide for different
MI MO modes such as 2X2, 4X2, and 4X4.
- Si ngl e- user MI MO ver sus mul t i - user MI MO. Release 8 only provides for
single- user MI MO on t he downlink. Release 10 includes mult i- user MI MO.
- Open Loop ver sus Cl osed Loop. High vehicular speeds require open- loop
operat ion whereas slow speeds enabled closed- loop operat ion in which feedback
from t he UE modifies t he t ransmission.
- Rank . I n a MI MO syst em, t he channel rank is formally defined as t he rank of t he
channel mat rix and is a measure of t he degree of scat t ering t hat t he channel
exhibit s. For example, in a 2x2 MI MO syst em, a rank of one indicat es a low-
scat t ering environment , while a rank of t wo indicat es a high- scat t ering
environment . The rank t wo channel is highly uncorrelat ed, and is t hus able t o
support t he spat ial mult iplexing of t wo dat a st reams, while a rank one channel is
highly correlat ed, and t hus can only support single st ream t ransmission ( t he
result ing mult i- st ream int erference in a rank one channel as seen at t he receiver
would lead t o degraded performance) . Higher Signal t o I nt erference plus Noise
Rat ios ( SI NR) are t ypically required t o support spat ial mult iplexing, while lower
SI NRs are t ypically sufficient for single st ream t ransmission. I n a 4x4 MI MO
syst em channel rank values of t hree and four are possible in addit ion t o values of
one and t wo. The number of dat a st reams, however, or more specifically
codewords in LTE is limit ed t o a value of t wo. Thus, LTE has defined t he concept of
layers, in which t he DL t ransmit t er includes a codeword- t o- layer mapping, and in
which t he number of layers is equal t o t he channel rank. An ant enna mapping or
precoding operat ion follows, which maps t he layers t o t he ant enna port s. A 4x2
MI MO syst em is also possible wit h LTE Release 8, but here t he channel rank is
limit ed t o t he number of UE ant ennas, which is equal t o t wo.
The net work can dynamically choose bet ween different modes based on inst ant aneous
radio condit ions bet ween t he base st at ion and t he UE. Figure 47 shows t he decision t ree.
The ant enna configurat ion ( AC) values refer t o t he t ransmission modes. Not every
net work will support every mode. Operat ors will choose which modes are t he most
effect ive and economical. AC2, 3, 4, and 6 are t ypical modes t hat will be implement ed.


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104
Fi gur e 47: Deci si on Tr ee f or Di f f er ent Ant enna Schemes
116


The simplest mode is AC2, which is referred t o as Transmit Diversit y ( TD) or somet imes
Space Frequency Block Code ( SFBC) or even Open Loop Transmit Diversit y. TD can be
support ed under all condit ions, meaning it can operat e under low SI NR, high mobilit y,
and low channel rank ( rank = 1) . This rank means t hat t he channel is not sufficient ly
scat t ered or de- correlat ed t o support t wo spat ial st reams. Thus, in TD, only one spat ial
st ream or what is somet imes referred as a single codeword ( SCW) is t ransmit t ed. I f t he
channel rank increases t o a value of t wo, indicat ing a more scat t ered channel, and t he
SI NR is a bit higher, t hen t he syst em can adapt t o AC3 or Open- Loop Spat ial Mult iplexing
( OL- SM) , which is also referred t o as large- delay Cyclic Delay Diversit y ( CDD) . This mode
support s t wo spat ial st reams or t wo codewords. This mode, also referred t o as mult iple
codeword ( MCW) operat ion, increases t hroughput over SCW t ransmission.
I f t he rank of t he channel is one, but t he device is not moving very fast or is st at ionary,
t hen t he syst em can adapt t o AC6, called closed- loop ( CL) precoding ( or CL- rank 1 or CL-
R1) . I n t his mode, feedback is provided by t he device in t erms of Precoding Mat rix
I ndicat ion ( PMI ) bit s. These t ell t he base st at ion what precoding mat rix t o use in t he
t ransmit t er so as t o opt imize link performance. This feedback is only relevant for low-
mobilit y or st at ionary condit ions since in high mobilit y condit ions t he feedback will most
likely be out dat ed by t he t ime it can be used by t he base st at ion.
Anot her mode is AC4 or Closed Loop Spat ial Mult iplexing ( CL- SM) , which is enabled for
low mobilit y, high SI NR, and channel rank of t wo. This mode t heoret ically provides t he
best user t hroughput . The figure above shows how t hese modes can adapt downwards t o
eit her OL TD, or if in CL- SM mode, down t o eit her OL TD or CL R1.
For a 4x4 MI MO configurat ion, t he channel rank can t ake on values of t hree and four in
addit ion t o one or t wo. I nit ial deployment at t he base st at ion, however, will likely be t wo

116
Source: 3G Americas’ whit e paper “ MI MO and Smart Ant ennas for 3G and 4G Wireless Syst ems –
Pract ical Aspect s and Deployment Considerat ions, ” May 2010.


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TX ant ennas and most devices will only have 2 RX ant ennas, and t hus t he rank is limit ed
t o 2.
AC5 is MU- MI MO, which is not defined for t he downlink in Release 8.
AC1 and AC7 are single ant enna port modes in which AC1 uses a common Reference
Signal ( RS) , while AC7 uses a dedicat ed RS or what is also called a user specific RS. AC1
implies a single TX ant enna at t he base st at ion. AC7 implies an ant enna array wit h
ant ennal element s closely spaced so t hat a physical or spat ial beam can be formed
t owards an int ended user.
LTE is specified for a variet y of MI MO configurat ions. On t he downlink, t hese include 2X2,
4X2 ( four ant ennas at t he base st at ion) , and 4X4. I nit ial deployment will likely be 2x2.
4X4 will be most likely used init ially in femt ocells. On t he uplink, t here are t wo possible
approaches: single- user MI MO ( SU- MI MO) and mult i- user MI MO ( MU- MI MO) . SU- MI MO is
more complex t o implement as it requires t wo parallel radio t ransmit chains in t he mobile
device, whereas MU- MI MO does not require any addit ional implement at ion at t he device.
The first LTE release t hus incorporat es MU- MI MO wit h SU- MI MO deferred for t he second
LTE release.
Peak dat a rat es are approximat ely proport ional t o t he number of send and receive
ant ennas. 4X4 MI MO is t hus t heoret ically capable of t wice t he dat a rat e of a 2X2 MI MO
syst em. The spat ial- mult iplexing MI MO modes t hat support t he highest t hroughput rat es
will be available in early deployment s.
For a more det ailed discussion of 3GPP ant enna t echnologies, refer t o t he 3G Americas’
whit e paper “ MI MO and Smart Ant ennas for 3G and 4G Wireless Syst ems – Pract ical
Aspect s and Deployment Considerat ions, ” May 2010.
Channel Bandw i dt hs
LTE is designed t o operat e in channel bandwidt hs from 1. 4 MHz t o 20 MHz. The great est
efficiency, however, occurs wit h higher bandwidt h. A 3G Americas’ member analysis
predict s 40% lower spect ral efficiency wit h 1. 4 MHz radio channels and 13% lower
efficiency wit h 3 MHz channels.
117
The syst em, however, achieves nearly all of it s
efficiency wit h 5 MHz channels or wider.
I Pv4/ I Pv 6
Release 8 defines support for I Pv6 for bot h LTE and UMTS net works. An Evolved Packet
Syst em bearer can carry bot h I Pv4 and I Pv6 t raffic. This enables a UE t o communicat e
bot h I Pv4 and I Pv6 packet s ( assuming it has a dual st ack) while connect ed t hrough a
single EPS bearer. I t is up t o t he operat or, however, whet her it assigns I Pv4, I Pv6, or
bot h t ypes of addresses t o UE.
Communicat ing bet ween I Pv6- only devices and I Pv4 end- point s will require prot ocol-
conversion or proxies. For furt her det ails, refer t o t he 3G Americas’ whit e paper, “ I Pv6 –
Transit ion Considerat ions for LTE and Evolved Packet Core, ” February 2009.
Voi ce Suppor t
Voice support in LTE will range from no voice, t o voice implement ed in a circuit - swit ched
fallback ( CSFB) mode t o 2G or 3G, t o voice implement ed over LTE using I MS.
As a pure dat a service, especially for lapt ops, voice may not be needed. But once
available on handheld devices, voice will become import ant . The easiest implement at ion

117
3G Americas’ member company analysis 2009.


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106
will be CSFB. I n CSFB, t he LTE net work carries circuit - swit ched signaling over LTE
int erfaces. This allows t he subscriber t o be regist ered wit h t he 2G/ 3G MSC even while on
t he LTE net work. When t here is a CS- event , such as an incoming voice call, t he MSC
sends t he page t o t he LTE core net work which delivers it t o t he subscriber device. The
device t hen swit ches t o 2G/ 3G operat ion t o answer t he call.
Voice over LTE will operat e as VoI P and requires I MS infrast ruct ure. To facilit at e I MS-
based voice, vendors and operat ors creat ed t he One Voice init iat ive t o define required
baseline funct ionalit y for user equipment , t he LTE access net work, t he Evolved Packet
Core, and for t he I MS. Terminals and net works implement ing t hese capabilit ies could
become available in t he 2012 t imeframe. GSMA has adopt ed t he One Voice init iat ive in
what it calls Voice over LTE ( VoLTE) and is working t o enable int erconnect ion and
int ernat ional roaming bet ween LTE net works wit h work scheduled t o be complet ed by Q1
of 2011.
LTE VoI P will leverage t he QoS capabilit ies defined for EPC, which specify different qualit y
classes.
Single- Radio Voice Call Cont inuit y ( SR- VCC) will allow user equipment in midcall t o swit ch
t o a circuit - swit ched net work in t he event t hat it moves out of LTE coverage. Similarly,
dat a sessions can be handed over in what is called Packet Swit ched Handover ( PSHO) .
Figure 48 shows how an LTE net work might evolve in t hree st ages. I nit ially, LTE performs
only dat a service, and t he underlying 2G/ 3G net work provides voice service via CSFB. I n
t he second st age, voice over LTE is available, but LTE covers only a port ion of t he t ot al
2G/ 3G coverage area. Hence, voice in 2G/ 3G can occur via CSFB or SR- VCC. Event ually,
LTE coverage will mat ch 2G/ 3G coverage, and LTE devices will use only t he LTE net work.


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107
Fi gur e 48: Ev ol ut i on of Voi ce i n an LTE Net w or k
118



There is yet one ot her voice approach called Voice over LTE via Generic Access ( VoLGA) .
This met hod provides for circuit - swit ched operat ion t hrough an LTE I P t unnel. 3GPP has
st opped official st andards work t hat would support VoLGA and ongoing work is being
handled by t he VoLGA Forum.
TDD Har moni zat i on
3GPP developed LTE TDD t o be fully harmonized wit h LTE FDD including alignment of
frame st ruct ures, ident ical symbol- level numerology, t he possibilit y of using similar
reference signal pat t erns, and similar synchronizat ion and cont rol channels. Also, t here is
only one TDD variant . Furt hermore, LTE TDD has been designed t o co- exist wit h TD-
SCDMA and TD- CDMA/ UTRA ( bot h low- chip rat e and high- chip rat e versions) . LTE TDD
achieves compat ibilit y and co- exist ence wit h TD- SCDMA by defining frame st ruct ures
where t he DL and UL t ime periods can be t ime aligned t o prevent BTS t o BTS and UE t o
UE int erference t o support operat ion in adj acent carriers wit hout t he need for large
guardbands bet ween t he t echnologies. This will simplify deployment of LTE TDD in
count ries such as China t hat are deploying TD- SCDMA. Figure 49 demonst rat es t he
synchronizat ion bet ween TC- SCDMA and LTE- TDD in adj acent channels.

118
Source: 3G Americas’ member cont ribut ion.


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Fi gur e 49: TDD Fr ame Co- Ex i st ence Bet w een TD- SCDMA and LTE TDD
119


For LTE FDD and TDD t o coexist , large guardbands will be needed t o prevent
int erference. The organizat ion Next Generat ion Mobile Net works has a proj ect for LTE
TDD and FDD convergence.
120

4G, IMT-Advanced and LTE-Advanced
As int roduced earlier in t his paper, t he t erm 4G will apply t o net works t hat comply wit h
t he requirement s of I MT- Advanced t hat are art iculat ed in Report I TU- R M. 2134. Some of
t he key requirement s or st at ement s include:
- Support for scalable bandwidt h up t o and including 40 MHz.
- Encouragement t o support wider bandwidt hs ( e. g. , 100 MHz) .
- Minimum downlink peak spect ral efficiency of 15 bps/ Hz ( assumes 4X4 MI MO) .
- Minimum uplink peak spect ral efficiency of 6. 75 bps/ Hz ( assumes 2X4 MI MO) .
Table 19 shows t he requirement s for cell- spect ral efficiency.

119
Source: A 3G Americas’ member company.
120
Source: ht t p: / / www.ngmn. org/ workprogramme. ht ml.


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Tabl e 19: I MT- Advanced Requi r ement s f or Cel l - Spect r al Ef f i ci ency
Test Env i r onment
121
Dow nl i nk ( bps/ Hz) Upl i nk ( bps/ Hz)
I ndoor 3. 0 2. 25
Microcellular 2. 6 1. 8
Base Coverage Urban 2. 2 1. 4
High Speed 1. 1 0. 7

Table 20 shows t he requirement s for voice capacit y.
Tabl e 20: I MT- Advanced Requi r ement s f or Voi ce Capaci t y
Test Env i r onment
122
Mi ni mum VoI P Capaci t y
( Act i v e User s/ Sect or / MHz)
I ndoor 50
Microcellular 40
Base Coverage Urban 40
High Speed 30

3GPP is addressing t he I MT- Advanced requirement s t hrough a version of LTE called LTE-
Advanced, a proj ect t hat is a st udy it em in 2009 wit h specificat ions expect ed in t he
second half of 2010 as part of Release 10. LTE- Advanced will be bot h backwards- and
forwards- compat ible wit h LTE, meaning LTE devices will operat e in newer LTE- Advanced
net works, and LTE- Advanced devices will operat e in older LTE net works.
3GPP is st udying t he following capabilit ies for LTE- Advanced:
- Wider bandwidt h support for up t o 100 MHz via aggregat ion of 20 MHz blocks.
- Uplink MI MO ( t wo t ransmit ant ennas in t he device) .
- Downlink MI MO of up t o 8 by 8 as described below.
- Coordinat ed mult ipoint t ransmission ( CoMP) wit h t wo proposed approaches:
coordinat ed scheduling and/ or beamforming, and j oint processing/ t ransmission.
The int ent is t o closely coordinat e t ransmissions at different cell sit es, t hereby
achieving higher syst em capacit y and improving cell- edge dat a rat es.
123


121
Test environment s are described in I T Report I TU- R M. 2135.
122
I bid.
123
For furt her det ails, refer t o sect ion 7. 7. 5 of t he 3G Americas’ whit e paper “ The Mobile Broadband
Evolut ion: 3G Release 8 and Beyond, HSPA+ , SAE/ LTE and LTE- Advanced. ”


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Figure 50 shows t he carrier aggregat ion, wit h up t o 100 MHz of bandwidt h support ed.
Fi gur e 50: Rel ease 10 LTE- Advanced Car r i er Aggr egat i on
124



Figure 51 shows t he carrier aggregat ion operat ing at different prot ocol layers.
Fi gur e 51: Car r i er Aggr egat i on at Di f f er ent Pr ot ocol Lay er s
125



Some specific carrier aggregat ion schemes being proposed include:
- FDD: UL of 40 MHz, DL of 40 MHz in band 7 ( 2600 MHz)

124
Source: "LTE for UMTS, OFDMA and SC- FDMA Based Radio Access, ” Harri Holma and Ant t i Toskala,
Wiley, 2009.
125
Source: “ The Evolut ion of LTE t owards I MT- Advanced” , St efan Parkvall and David Ast ely, Ericsson
Research, ht t p: / / www. academypublisher.com/ j cm/ vol04/ no03/ j cm0403146154. pdf
Rel’8
100 MHz bandwidth
Rel’8 Rel’8 Rel’8 Rel’8
Release 10 LTE-Advanced UE resource pool
Release 8 UE uses a
single 20 MHz block
20 MHz


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- TDD: UL/ DL of 50 MHz in band 40 ( 2300 MHz)
- TDD: UL/ DL of 40 MHz in band 38 ( 2600 MHz)
126

Beyond wider bandwidt hs, LTE- Advanced will ext end performance t hrough more powerful
mult i- ant enna capabilit ies. For t he downlink, t he t echnology will be able t o t ransmit in up
t o eight layers using an 8X8 configurat ion for a peak spect ral efficiency of 30 bps/ Hz t hat
exceeds t he I MT- Advanced requirement s, conceivably support ing a peak rat e of 1 Gbps in
j ust 40 MHz and even higher rat es in wider bandwidt hs. This would require addit ional
reference signals for channel est imat ion and for measurement s such as channel qualit y t o
enable adapt ive, mult i- ant enna t ransmission. LTE- Advanced will also include four- layer
t ransmission in t he uplink result ing in spect ral efficiency exceeding 15 bps/ Hz.
Table 21 shows ant icipat ed performance relat ive t o I MT- Advanced Requirement s.
Tabl e 21: I MT- Advanced Requi r ement s and Ant i ci pat ed LTE- Advanced
Capabi l i t y .
I t em
I MT- Advanced
Requi r ement
LTE- Advanced
Pr oj ect ed Capabi l i t y
Peak Dat a Rat e Downlink 1 Gbps
Peak Dat a Rat e Uplink 500 Mbps
Spect rum Allocat ion Up t o 40 MHz Up t o 100 MHz
Lat ency User Plane 10 msec 10 msec
Lat ency Cont rol Plane 100 msec 50 msec
Peak Spect ral Efficiency DL
127
15 bps/ Hz 30 bps/ Hz
Peak Spect ral Efficiency UL 6. 75 bps/ Hz 15 bps/ Hz
Average Spect ral Efficiency DL 2. 2 bps/ Hz 2. 6 bps/ Hz
Average Spect ral Efficiency UL 1. 4 bps/ Hz 2. 0 bps/ Hz
Cell- Edge Spect ral Efficiency DL 0. 06 bps/ Hz 0. 09 bps/ Hz
Cell- Edge Spect ral Efficiency UL 0. 03 bps/ Hz 0. 07 bps/ Hz

I n all cases, proj ect ions of LTE- Advanced performance exceed t hat of t he I MT- Advanced
requirement s.
Anot her capabilit y being planned for LTE- Advanced is relays as shown in Figure 52.
The idea is t o relay frames at an int ermediat e node, result ing in much bet t er in- building
penet rat ion, and wit h bet t er signal qualit y, user rat es will be much improved. Relays
provide a means for lowering deployment cost s in init ial deployment s in which usage is
relat ively low. As usage increases and spect rum needs t o be allocat ed t o access only,
operat ors can t hen employ alt ernat e backhaul schemes.


126
3GPP TSG- RAN WG4 Meet ing # 54, R4- 101062, “ LTE- A Deployment Scenarios. ”
127
Spect ral efficiency values based on four ant ennas at t he base st at ion and t wo ant ennas at t he
t erminal.


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Fi gur e 52: LTE- Advanced Rel ay
128



As demonst rat ed in t his sect ion, LTE- Advanced will have t remendous capabilit y. Alt hough
init ial deployment s of LTE will be based on Release 8, as new spect rum becomes
available in t he next decade, especially if it includes wide radio channels, t hen LTE-
Advanced will be t he ideal t echnology for t hese new bands. Even in exist ing bands,
operat ors are likely t o event ually upgrade t heir LTE net works t o LTE- Advanced t o obt ain
spect ral efficiency gains and capabilit ies such as relaying.
UMTS TDD
Most WCDMA and HSDPA deployment s are based on FDD, in which t he operat or uses
different radio bands for t ransmit and receive. An alt ernat e approach is TDD, in which
bot h t ransmit and receive funct ions alt ernat e in t ime on t he same radio channel. 3GPP
specificat ions include a TDD version of UMTS, called UMTS TDD.
TDD does not provide any inherent advant age for voice funct ions, which need balanced
links—namely, t he same amount of capacit y in bot h t he uplink and t he downlink. Many
dat a applicat ions, however, are asymmet ric, oft en wit h t he downlink consuming more
bandwidt h t han t he uplink, especially for applicat ions like Web browsing or mult imedia
downloads. A TDD radio int erface can dynamically adj ust t he downlink- t o- uplink rat io
accordingly, hence balancing bot h forward- link and reverse- link capacit y. Not e t hat for
UMTS FDD, t he higher spect ral efficiency achievable in t he downlink versus t he uplink is
crit ical in addressing t he asymmet rical nat ure of most dat a t raffic.
The UMTS TDD specificat ion also includes t he capabilit y t o use j oint det ect ion in receiver-
signal processing, which offers improved performance.
One considerat ion, however, relat es t o available spect rum. Various count ries around t he
world including t hose in Europe, Asia, and t he Pacific region have licensed spect rum
available specifically for TDD syst ems. For t his spect rum, UMTS TDD or, in t he fut ure, LTE
in TDD mode is a good choice. I t is also a good choice in any spect rum t hat does not
provide a duplex gap bet ween forward and reverse links.
I n t he Unit ed St at es, t here is limit ed spect rum specifically allocat ed for TDD syst ems.
129

UMTS TDD is not a good choice in FDD bands; it would not be able t o operat e effect ively
in bot h bands, t hereby making t he overall syst em efficiency relat ively poor.

128
Source: 3G Americas’ member cont ribut ion.
Relay Link
Access
Link
Direct Link


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As discussed in more det ail in t he “ WiMAX” sect ion, TDD syst ems require net work
synchronizat ion and careful coordinat ion bet ween operat ors or guardbands, which may
be problemat ic in cert ain bands.
There has been lit t le deployment of UMTS TDD. Fut ure TDD deployment s of 3GPP
t echnologies are likely t o be based on LTE.
TD-SCDMA
TD- SCDMA is one of t he official 3G wireless t echnologies being developed, most ly for
deployment in China. Specified t hrough 3GPP as a variant of t he UMTS TDD Syst em and
operat ing wit h a 1. 28 megachips per second ( Mcps) chip rat e against 3. 84 Mcps for UMTS
TDD, t he primary at t ribut e of TD- SCDMA is t hat it is designed t o support very high
subscriber densit ies. This makes it a possible alt ernat ive for wireless local loops. TD-
SCDMA uses t he same core net work as UMTS, and it is possible for t he same core
net work t o support bot h UMTS and TD- SCDMA radio- access net works.
TD- SCDMA t echnology is not as mat ure as UMTS and CDMA2000, wit h 2008 being t he
first year of limit ed deployment s in China in t ime for t he Olympic Games. Alt hough t here
are no planned deployment s in any count ry ot her t han China, TD- SCDMA could
t heoret ically be deployed anywhere unpaired spect rum is available—such as t he bands
licensed for UMTS TDD—assuming appropriat e resolut ion of regulat ory issues.
IMS
I MS is a service plat form t hat allows operat ors t o support I P mult imedia applicat ions.
Pot ent ial applicat ions include video sharing, PoC, VoI P, st reaming video, int eract ive
gaming, and so fort h. I MS by it self does not provide all t hese applicat ions. Rat her, it
provides a framework of applicat ion servers, subscriber dat abases, and gat eways t o
make t hem possible. The exact services will depend on cellular operat ors and t he
applicat ion developers t hat make t hese applicat ions available t o operat ors.
The core net working prot ocol used wit hin I MS is Session I nit iat ion Prot ocol ( SI P) , which
includes t he companion Session Descript ion Prot ocol ( SDP) used t o convey configurat ion
informat ion such as support ed voice codecs. Ot her prot ocols include Real Time Transport
Prot ocol ( RTP) and Real Time St reaming Prot ocol ( RTSP) for t ransport ing act ual sessions.
The QoS mechanisms in UMTS will be an import ant component of some I MS applicat ions.
Alt hough originally specified by 3GPP, numerous ot her organizat ions around t he world are
support ing I MS. These include t he I nt ernet Engineering Taskforce ( I ETF) , which specifies
key prot ocols such as SI P, and t he Open Mobile Alliance, which specifies end- t o- end,
service- layer applicat ions. Ot her organizat ions support ing I MS include t he GSMA, t he
ETSI , CableLabs, 3GPP2, The Parlay Group, t he I TU, ANSI , t he Telecoms and I nt ernet
Converged Services and Prot ocols for Advanced Net works ( TI SPAN) , and t he Java
Communit y Process ( JCP) .
I MS is relat ively independent of t he radio- access net work and can, and likely will, be
used by ot her radio- access net works or wireline net works. Ot her applicat ions include
pict ure and video sharing t hat occur in parallel wit h voice communicat ions. Operat ors
looking t o roll out VoI P over net works could also use I MS. 3GPP init ially int roduced I MS in
Release 5 and has enhanced it in each subsequent specificat ion release.
As shown in Figure 53, I MS operat es j ust out side t he packet core.

129
The 1910- 1920 MHz band t arget ed unlicensed TDD syst ems, but has never been used.


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Fi gur e 53: I P Mul t i medi a Subsy st em

The benefit s of using I MS include handling all communicat ion in t he packet domain,
t ight er int egrat ion wit h t he I nt ernet , and a lower cost infrast ruct ure t hat is based on I P
building blocks used for bot h voice and dat a services. This allows operat ors t o pot ent ially
deliver dat a and voice services at lower cost , t hus providing t hese services at lower
prices and furt her driving demand and usage.
I MS applicat ions can reside eit her in t he operat or’s net work or in t hird- part y net works
including t hose of ent erprises. By managing services and applicat ions cent rally—and
independent ly of t he access net work—I MS can enable net work convergence. This allows
operat ors t o offer common services across 3G, Wi- Fi, and wireline net works.
I MS is one of t he most likely means t hat operat ors will use t o provide voice service in LTE
net works. Service Cont inuit y, defined in Release 8, provides for a user’s ent ire session t o
cont inue seamlessly as t he user moves from one access net work t o anot her. Release 9
expands t his concept t o allow sessions t o move across different device t ypes. For
example, t he user could t ransfer a video call in midsession from a mobile phone t o a
large- screen TV, assuming bot h have an I MS appearance in t he net work.
Release 8 int roduces t he I MS Cent ralized Services ( I CS) feat ure, which allows for I MS-
cont rolled voice feat ures t o use eit her packet - swit ched or circuit - swit ched access.
Heterogeneous Networks and Self Optimization
A fundament al concept in t he evolut ion of next - generat ion net works is t hat t hey will be a
blend of mult iple t ypes of net works: a net work of net works. These net works will be
charact erized by:
- Variat ions in coverage areas including femt ocells, picocells ( also referred t o as
met ro cells) , and macro cells. Cell range can vary from 10 met ers t o 50
kilomet ers.
- Different frequency bands.
Call Session Control Function ( CSCF)
( SIP Proxy)
Home Subscriber
Server ( HSS)
SIP Application
Server
SIP
DI AMETER
I MS
UMTS/HSPA
Packet Core
Network
Media Resource
Function Control
Media Resource
Gateway Cont rol
Wi-Fi DSL
Multiple Possible Access Net wor ks


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- Different t echnologies spanning Wi- Fi, 2G, 3G, and event ually 4G.
- Relaying capabilit y where wireless links can serve as backhaul.
Significant challenges must be addressed in t hese het erogeneous net works. One is near-
far effect s, where local small- cell signals can easily int erfere wit h macro cells.
As t he number of base st at ions increase t hrough denser deployment s and t hrough
deployment of femt ocells and picocells, manual configurat ion and maint enance of t his
infrast ruct ure becomes impract ical. 3GPP in TR36. 902 addresses t he issue of Self-
Organizing or Self- Opt imizing Net works ( SONs) for LTE. Wit h SON, base st at ions organize
and configure t hemselves by communicat ing wit h each ot her and wit h t he core net work.
SONs can also self heal in failure sit uat ions.
Self- configurat ion is primarily for handling simplified insert ion of new eNB ( base st at ion)
element s. Self opt imizat ion includes aut omat ic management of feat ures such as:
- Load balancing bet ween eNBs
- Handover paramet er det erminat ion
- St at ic and dynamic int erference cont rol
- Management of capacit y and coverage
Release 8 includes SON feat ures t hat are enhanced in subsequent versions of
specificat ions. For example, release 9 adds coverage and capacit y opt imizat ion and load-
balancing opt imizat ion. Figure 54 shows how different t ypes of user equipment might
access different net work layers.


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Fi gur e 54: Load Bal anci ng w i t h Het er ogeneous Net w or k s.
130


For furt her det ails, refer t o t he December 2009 3G Americas’ whit e paper, “ The Benefit s
of SON in LTE. ”
Broadcast/Multicast Services
An import ant capabilit y for 3G and evolved 3G syst ems is broadcast ing and mult icast ing,
wherein mult iple users receive t he same informat ion using t he same radio resource. This
creat es a much more efficient approach for delivering cont ent such as video programming
t o which mult iple users have subscript ions. I n a broadcast , every subscriber unit in a
service area receives t he informat ion, whereas in a mult icast , only users wit h
subscript ions receive t he informat ion. Service areas for bot h broadcast and mult icast can
span eit her t he ent ire net work or a specific geographical area. Because mult iple users in
a cell are t uned t o t he same cont ent , broadcast ing and mult icast ing result in much
great er spect rum efficiency for services such as mobile TV.
3GPP defined highly- efficient broadcast / mult icast capabilit ies for UMTS in Release 6 wit h
MBMS. Release 7 includes opt imizat ions t hrough a solut ion called mult icast / broadcast ,
single- frequency net work operat ion t hat involves simult aneous t ransmission of t he exact
waveform across mult iple cells. This enables t he receiver t o const ruct ively superpose
mult iple MBSFN cell t ransmissions. The result is highly efficient , WCDMA- based broadcast
t ransmission t echnology t hat mat ches t he benefit s of OFDMA- based broadcast
approaches.

130
Source: 3G Americas’ member cont ribut ion.


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LTE will also have a broadcast / mult icast capabilit y. OFDM is part icularly well- suit ed for
broadcast ing, because t he mobile syst em can combine t he signal from mult iple base
st at ions, and because of t he narrowband nat ure of OFDM. Normally, t hese signals would
int erfere wit h each ot her. As such, t he LTE broadcast capabilit y is expect ed t o be quit e
efficient .
Fi gur e 55: OFDM Enabl es Ef f i ci ent Br oadcast i ng

An alt ernat e approach for mobile TV is t o use an ent irely separat e broadcast net work wit h
t echnologies such as Digit al Video Broadcast ing–Handheld ( DVB- H) or Media Forward
Link Only ( MediaFLO) , which various operat ors around t he world have opt ed t o do.
Alt hough t his requires a separat e radio in t he mobile device, t he net works are highly
opt imized for broadcast .
Despit e various broadcast t echnologies being available, market adopt ion has been
relat ively slow. I nt ernet t rends favor unicast approaches, wit h users viewing videos of
t heir select ion on demand.
EPC
3GPP is defining EPC in Release 8 as a framework for an evolut ion or migrat ion of t he
3GPP syst em t o a higher- dat a- rat e, lower- lat ency, packet - opt imized syst em t hat
support s mult iple radio- access t echnologies. The focus of t his work is on t he packet -
swit ched domain wit h t he assumpt ion t hat t he syst em will support all services—including
voice—in t his domain.
Alt hough it will most likely be deployed in conj unct ion wit h LTE, EPC could also be
deployed for use wit h HSPA+ wherein it could provide a st epping- st one t o LTE. EPC will
be opt imized for all services t o be delivered via I P in a manner t hat is as efficient as
possible—t hrough minimizat ion of lat ency wit hin t he syst em, for example. I t will support
service cont inuit y across het erogeneous net works, which will be import ant for LTE
operat ors who must simult aneously support GSM- HSPA cust omers.
One import ant performance aspect of EPC is a flat t er archit ect ure. For packet flow, EPC
includes t wo net work element s, called Evolved Node B ( eNodeB) and t he Access Gat eway
( AGW) . The eNodeB ( base st at ion) int egrat es t he funct ions t radit ionally performed by t he


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radio- net work cont roller, which previously was a separat e node cont rolling mult iple Node
Bs. Meanwhile, t he AGW int egrat es t he funct ions t radit ionally performed by t he SGSN
and GGSN. The AGW has bot h cont rol funct ions, handled t hrough t he Mobile Management
Ent it y ( MME) , and user plane ( dat a communicat ions) funct ions. The user plane funct ions
consist of t wo element s: A serving gat eway t hat addresses 3GPP mobilit y and t erminat es
eNodeB connect ions, and a Packet Dat a Net work ( PDN) gat eway t hat addresses service
requirement s and also t erminat es access by non- 3GPP net works. The MME serving
gat eway and PDN gat eways can be collocat ed in t he same physical node or dist ribut ed,
based on vendor implement at ions and deployment scenarios.
The EPC archit ect ure is similar t o t he HSPA One- Tunnel Archit ect ure discussed in t he
“ HSPA+ ” sect ion t hat allows for easy int egrat ion of HSPA net works t o t he EPC. Anot her
archit ect ural opt ion is t o reverse t he t opology, so t hat t he EPC Access Gat eway is locat ed
close t o t he RAN in a dist ribut ed fashion t o reduce lat ency, while t he MME is cent rally
locat ed t o minimize complexit y and cost .
EPC also allows int egrat ion of non- 3GPP net works such as WiMAX. EPC will use I MS as a
component . I t will also manage QoS across t he whole syst em, which will be essent ial for
enabling a rich set of mult imedia- based services.
Figure 56 shows t he EPC archit ect ure.
Fi gur e 56: EPC Ar chi t ect ur e



Element s of t he EPC archit ect ure include:
MME
GERAN
UTRAN
Rel’7 Legacy GSM/ UMTS
SGSN
Evolved RAN,
e.g., LTE
Serving
Gateway
PDN
Gateway
Non 3GPP
IP Access
PCRF
IP
Services,
IMS
EPC/ SAE Access Gat eway
Cont rol
User Plane
One-Tunnel
Opt ion


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 Support for legacy GERAN and UTRAN net works connect ed via SGSN.
 Support for new radio- access net works such as LTE.
 The Serving Gat eway t hat t erminat es t he int erface t oward t he 3GPP radio- access
net works.
 The PDN gat eway t hat cont rols I P dat a services, does rout ing, allocat es I P
addresses, enforces policy, and provides access for non- 3GPP access net works.
 The MME t hat support s user equipment cont ext and ident it y, as well as
aut hent icat ing and aut horizing users.
 The Policy Cont rol and Charging Rules Funct ion ( PCRF) t hat manages QoS aspect s.
3GPP is planning t o support voice in EPS t hrough VoI P and I MS. However, t here is an
alt ernat ive voice approach being discussed in t he indust ry, namely t ransport ing circuit -
swit ched voice over LTE, called VOLGA. This approach is not current ly part of any 3GPP
specificat ions.
The need for support ing a broader variet y of applicat ions requiring higher bandwidt h and
lower lat ency led 3GPP t o alleviat e t he exist ing ( UMTS Release 99) QoS principles wit h
t he int roduct ion for EPS of a QoS Class I dent ifier ( QCI ) . The QCI is a scalar denot ing a
set of t ransport charact erist ics ( bearer wit h/ wit hout guarant eed bit rat e, priorit y, packet
delay budget , packet error loss rat e) and used t o infer nodes specific paramet ers t hat
cont rol packet forwarding t reat ment ( e. g. , scheduling weight s, admission t hresholds,
queue management t hresholds, link- layer prot ocol configurat ion, et c. ) . Each packet flow
is mapped t o a single QCI value ( nine are defined in t he Release 8 version of t he
specificat ions) according t o t he level of service required by t he applicat ion. The usage of
t he QCI avoids t he t ransmission of a full set of QoS- relat ed paramet ers over t he net work
int erfaces and reduces t he complexit y of QoS negot iat ion. The QCI , t oget her wit h
Allocat ion- Ret ent ion Priorit y ( ARP) and, if applicable, Guarant eed Bit Rat e ( GBR) and
Maximum Bit Rat e ( MBR) , det ermines t he QoS associat ed t o an EPS bearer. A mapping
bet ween EPS and pre- Release 8 QoS paramet ers has been defined t o allow proper
int erworking wit h legacy net works.
The QoS archit ect ure in EPC enables a number of import ant capabilit ies for bot h
operat ors and users:
- VoI P suppor t w i t h I MS. QoS is a crucial element for providing LTE/ I MS voice
service.
- Enhanced appl i cat i on per f or mance. Applicat ions such as gaming or video can
operat e more reliably.
- Mor e f l ex i bl e busi ness model s. Wit h flexible, policy- based charging cont rol,
operat ors and t hird- part ies will be able t o offer cont ent in creat ive new ways. For
example, an enhanced video st ream t o a user could be paid for by an advert iser.
- Congest i on cont r ol . I n congest ion sit uat ions, cert ain t raffic flows ( e. g., bulk
t ransfers, abusive users) can be t hrot t led down t o provide a bet t er user
experience for ot hers.


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White Space
The FCC in t he US has ruled t hat unlicensed devices t hat have mechanisms t o not
int erfere wit h TV broadcast channels may use TV channels t hat are not in use.
131
The
rules provide for fixed devices and personal/ port able devices. The FCC has suggest ed t wo
usage t ypes: broadband services t o homes and businesses at a higher power level t o
fixed devices over larger geographical areas; and wireless port able devices at a low-
power level in indoor environment s.
To prevent int erference wit h TV t ransmissions, bot h device t ypes must employ geo-
locat ion capabilit y wit h 50- met er accuracy ( alt hough fixed devices can st ore t heir posit ion
during inst allat ion) , as well as having t he abilit y t o access a dat abase t hat list s permit t ed
channels for a specific locat ion. I n addit ion, all devices must be able t o sense t he
spect rum t o det ect bot h TV broadcast ing and wireless microphone signals. The rules
include t ransmit power limit s and emission limit s.
The frequency- sensing and channel- change requirement s are not support ed by t oday’s
3GPP, 3GPP2 and WiMAX t echnologies. The I EEE, however, has developed a st andard,
I EEE 802. 22, based on I EEE 802. 16 concept s, t hat complies wit h t he FCC requirement s.
I EEE 802. 22 is aimed at fixed or nomadic services such as DSL replacement .
The indust ry is in t he very early st ages of det ermining t he viabilit y of using whit e- space
spect rum and, at t his t ime, t here are no product s or services available.


131
FCC- 08- 260: 2nd Repor t & Order.


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Abbreviations
The following abbreviat ions are used in t his paper. Abbreviat ions are defined on first use.
1G – First Generat ion
1xEV- DO – One Carrier Evolved, Dat a Opt imized
1xEV- DV – One Carrier Evolved, Dat a Voice
1XRTT – One Carrier Radio Transmission Technology
2G – Second Generat ion
3G – Third Generat ion
3GPP – Third Generat ion Part nership Proj ect
3GPP2 – Third Generat ion Part nership Proj ect 2
4G – Fourt h Generat ion ( meet ing requirement s set fort h by t he I TU I MT- Advanced proj ect )
8- PSK – Oct agonal Phase Shift Keying
AAS – Adapt ive Ant enna Syst ems
ABR – Allocat ion Ret ent ion Priorit y
AGW – Access Gat eway
AMR – Adapt ive Mult i Rat e
ANSI – American Nat ional St andards I nst it ut e
APCO – Associat ion of Public Safet y Officials
ARP – Allocat ion Ret ent ion Priorit y
ARPU – Average Revenue Per User
ARQ – Aut omat ic Repeat Request
ATM – Asynchronous Transfer Mode
AWGN – Addit ive Whit e Gaussian Noise Channel
AWS – Advanced Wireless Services
BCCH – Broadcast Cont rol Channel
bps – bit s per second
BRS – Broadband Radio Service
BSC – Base St at ion Cont roller
BTS – Base Transceiver St at ion
C/ I – Carrier t o I nt ermodulat ion Rat io
CAPEX- Capit al Expendit ure
CDD – Cyclic Delay Diversit y
CDF – Cumulat ive Dist ribut ion Funct ion
CDMA – Code Division Mult iple Access
CL – Closep Loop
CL- SM – Closed Loop Spat ial Mult iplexing
CMAS – Commercial Mobile Alert Syst em
CMOS – Complement ary Met al Oxide Semiconduct or
CoMP – Coordinat ed Mult ipoint Transmission


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CP – Cyclic Prefix
CPC – Cont inuous Packet Connect ivit y
CRM – Cust omer Relat ionship Management
CS – Convergence Sublayer
CSFB – Circuit - Swit ched Fallback
CTI A – Cellular Telephone I ndust ries Associat ion
DAS – Downlink EGPRS2- A Level Scheme
dB – Decibel
DBS – Downlink EGPRS2- B Level Scheme
DC- HSPA – Dual Carrier HSPA
DFT – Discret e Fourier Transform
DL – Downlink
DPCCH – Dedicat ed Physical Cont rol Channel
DSL – Digit al Subscriber Line
DTM – Dual Transfer Mode
D- TxAA – Double Transmit Adapt ive Array
DVB- H – Digit al Video Broadcast ing Handheld
E–DCH – Enhanced Dedicat ed Channel
EBCMCS – Enhanced Broadcast Mult icast Services
EDGE – Enhanced Dat a Rat es for GSM Evolut ion
EGPRS – Enhanced General Packet Radio Service
eNodeB – Evolved Node B
EPC – Evolved Packet Core
EPS – Evolved Packet Syst em
ERP – Ent erprise Resource Planning
ETRI – Elect ronic and Telecommunicat ions Research I nst it ut e
ETSI – European Telecommunicat ions St andards I nst it ut e
E- UTRAN – Enhanced UMTS Terrest rial Radio Access Net work
EV- DO – One Carrier Evolved, Dat a Opt imized
EV- DV – One Carrier Evolved, Dat a Voice
EVRC – Enhanced Variable Rat e Codec
FCC – Federal Communicat ions Commission
FDD – Frequency Division Duplex
Flash OFDM – Fast Low- Lat ency Access wit h Seamless Handoff OFDM
FLO – Forward Link Only
FMC – Fixed Mobile Convergence
FP7 – Sevent h Framework Programme
FTP – File Transfer Prot ocol
GAN – Generic Access Net work


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Gbps – Gigabit s Per Second
GBR – Guarant eed Bit Rat e
Gbyt e – Gigabyt e
GERAN – GSM EDGE Radio Access Net work
GGSN – Gat eway GPRS Support Node
GHz — Gigahert z
GMSK – Gaussian Minimum Shift Keying
GPRS – General Packet Radio Service
G- Rake – Generalized Rake Receiver
GSM – Global Syst em for Mobile Communicat ions
GSMA – GSM Associat ion
HARQ – Hybrid Aut omat ic Repeat Request
HD – High Definit ion
HLR – Home Locat ion Regist er
Hr – Hour
HSDPA – High Speed Downlink Packet Access
HS- FACH – High Speed Forward Access Channel
HS- PDSCH - High Speed Physical Downlink Shared Channels
HS- RACH – High Speed Reverse Access Channel
HSPA – High Speed Packet Access ( HSDPA wit h HSUPA)
HSPA+ – HSPA Evolut ion
HSUPA – High Speed Uplink Packet Access
Hz – Hert z
I CS – I MS Cent ralized Services
I CT – I nformat ion and Communicat ion Technologies
I EEE – I nst it ut e of Elect rical and Elect ronic Engineers
I ETF – I nt ernet Engineering Taskforce
I FFT – I nverse Fast Fourier Transform
I FOM – I P Flow and Seamless Offload
I M – I nst ant Messaging
I MS – I P Mult imedia Subsyst em
I MT – I nt ernat ional Mobile Telecommunicat ions
I PR - I nt ellect ual Propert y Right s
I P – I nt ernet Prot ocol
I PTV – I nt ernet Prot ocol Television
I R – I ncrement al Redundancy
I SI – I nt ersymbol I nt erference
I SP – I nt ernet Service Provider
I TU – I nt ernat ional Telecommunicat ions Union


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JCP – Java Communit y Process
kbps – Kilobit s Per Second
kHz — Kilohert z
km – Kilomet er
LTE – Long Term Evolut ion
LSTI – LTE/ SAE Trial I nit iat ive
M2M – Machine- t o- machine
MAC – Medium Access Cont rol
MBMS - Mult imedia Broadcast / Mult icast Service
Mbps – Megabit s Per Second
MBR – Maximum Bit Rat e
MBSFN – Mult icast / broadcast , Single Frequency
Mcps – Megachips Per Second
MCS – Modulat ion and Coding Scheme
MCW – Mult iple Codeword
MediaFLO – Media Forward Link Only
MHz – Megahert z
MI D – Mobile I nt ernet Devices
MI MO – Mult iple I nput Mult iple Out put
mI TF – Japan Mobile I T Forum
MMDS – Mult ichannel Mult ipoint Dist ribut ion Service
MME – Mobile Management Ent it y
MMSE – Minimum Mean Square Error
MRxD – Mobile Receive Diversit y
MS – Mobile St at ion
MSA – Mobile Service Archit ect ure
MSC – Mobile Swit ching Cent er
msec – millisecond
MU- MI MO – Mult i- User MI MO
NENA – Nat ional Emergency Number Associat ion
NGMC – Next Generat ion Mobile Commit t ee
NGMN – Next Generat ion Mobile Net works Alliance
OFDM – Ort hogonal Frequency Division Mult iplexing
OFDMA – Ort hogonal Frequency Division Mult iple Access
OL- SM – Open Loop Spat ial Mult iplexing
OMA – Open Mobile Alliance
PAR – Peak t o Average Rat io
PBCCH – Packet Broadcast Cont rol Channel
PCH – Paging Channel


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PCRF – Policy Cont rol and Charging Rules Funct ion
PCS – Personal Communicat ions Service
PDN – Packet Dat a Net work
PHY – Physical Layer
PMI – Precoding Mat rix I ndicat ion
PoC – Push- t o- t alk over Cellular
PSH – Packet Swit ched Handover
PSK – Phase- Shift Keying
QAM – Quadrat ure Amplit ude Modulat ion
QCI – Qualit y of Service Class I dent ifier
QLI C – Quasi- Linear I nt erference Cancellat ion
QoS – Qualit y of Service
QPSK – Quadrat ure Phase Shift Keying
RAB – Radio Access Bearer
RAN – Radio Access Net work
RCS – Rich Communicat ions Suit e
REST – Represent at ional St at e Transfer
RF – Radio Frequency
RNC – Radio Net work Cont roller
ROHC – Robust Header Compression
RRC – Radio Resource Cont rol
RTP – Real Time Transport Prot ocol
RTSP – Real Time St reaming Prot ocol
SAE – Syst em Archit ect ure Evolut ion
SC- FDMA – Single Carrier Frequency Division Mult iple Access
SCRI – Signaling Connect ion Release I ndicat ion
SCW – Single Codeword
SDMA – Space Division Mult iple Access
SDP – Session Descript ion Prot ocol
sec – Second
SFBA – Space Frequency Block Code
SGSN – Serving GPRS Support Node
SI C – Successive I nt erference Cancellat ion
SI M – Subscriber I dent it y Module
SI MO – Single I nput Mult iple Out put
SI NR – Signal t o I nt erference Plus Noise Rat ion
SI P – Session I nit iat ion Prot ocol
SI PTO – Select ed I P Traffic Offload
SI SO – Single I nput Single Out put


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SMS – Short Message Service
SNR – Signal t o Noise Rat io
SoN – Self Opt imizing Net work
SR- VCC – Single Radio Voice Call Cont inuit y
SU- MI MO – Single User MI MO
TCH – Traffic Channel
TCP/ I P – Transmission Cont rol Prot ocol/ I P
TD – Transmit Diversit y
TDD – Time Division Duplex
TDMA – Time Division Mult iple Access
TD- SCDMA – Time Division Synchronous Code Division Mult iple Access
TD- CDMA – Time Division Code Division Mult iple Access
TI A/ EI A – Telecommunicat ions I ndust ry Associat ion/ Elect ronics I ndust ry Associat ion
TI SPAN – Telecoms and I nt ernet converged Services and Prot ocols for Advanced Net works
TTI – Transmission Time I nt erval
UAS – Uplink EGPRS2- A Level Scheme
UBS – Uplink EGPRS2- B Level Scheme
UE – User Equipment
UI CC – Universal I nt egrat ed Circuit Card
UL – Uplink
UMA – Unlicensed Mobile Access
UMB – Ult ra Mobile Broadband
UMTS – Universal Mobile Telecommunicat ions Syst em
URA- PCH – Ut ran Regist rat ion Area Paging Channel
us – Microseconds
USI M – UI CC SI M
UTRAN – UMTS Terrest rial Radio Access Net work
VDSL – Very High Speed DSL
VoI P – Voice over I nt ernet Prot ocol
VOLGA – Voice over LTE Generic Access
VoLTE – Voice over LTE
VPN – Virt ual Privat e Net work
WAP – Wireless Applicat ion Prot ocol
WCDMA – Wideband Code Division Mult iple Access
WCA – Wireless Communicat ion Service
Wi- Fi – Wireless Fidelit y
WiMAX – Worldwide I nt eroperabilit y for Microwave Access
WLAN – Wireless Local Area Net work
WMAN – Wireless Met ropolit an Area Net work


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WRC- 07 – World Radiocommunicat ion Conference 2007
Additional Information
3G Americas maint ains complet e and current list s of market informat ion including EDGE,
UMTS, and HSDPA deployment s worldwide, available for free download on it s Web sit e:
ht t p: / / www. 3gamericas. org.
I f t here are any quest ions regarding t he download of t his informat ion, please call + 1 425 372
8922 or e- mail Krissy Gochnour, Public Relat ions Administ rat or, at info@3gamericas. org.
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This whit e paper was wr it t en for 3G Amer icas by Rysavy Resear ch ( ht t p: / / www.rysavy. com) and ut ilized a
composit e of st at ist ical infor mat ion from mult iple resources.




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