Radio - Fundamentals For Cellular Networks

Radio fundamentals
for cellular networks

White paper
White paper | Version 01.00
Radio_fundamentals_for_cellular_networks_wp_en_5216-0467-52_v0100.indd 1 02.08.2018 07:46:26

Table of contents
Introduction.................................................................................................................3
1 Making communications wireless ......................................................................4
2 Overview of radio interface processing...............................................................9

❙❙ 2.1 An overview of the radio interface protocol stack
❙❙ 2.3 OFDM baseband processing in 4G and 5G networks
3 Device network radio interface interactions ...................................................23

❙❙ 3.1 Overview of device operations
❙❙ 3.2 Cell search and cellular network acquisition
❙❙ 3.3 Contacting the cellular network: random access
❙❙ 3.5 Data transfer
❙❙ 3.6 Handover and cell reselection
4 Summary................................................................................................................33
5 References.............................................................................................................34
Cellular technologies have advanced from first generation (1G) analog technologies to advanced high-
performance fourth generation (4G) and fifth generation (5G) systems in just four decades. Despite the
increase in complexity of wireless standards and devices, cellular technologies maintain a set of common
principles that form the basis behind the design of cellular systems. In this white paper, we explore these
basic principles and examine the underlying technologies that lay the foundation for today and future
cellular systems.

Introduction Cellular networks enable devices such as smartphones and internet of things (IoT) devic-
es to communicate wirelessly. Cellular technologies have advanced from first generation
(1G) analog technologies to advanced high-performance fourth generation (4G) and fifth
generation (5G) systems in just about four decades. While 1G cellular technologies have
disappeared, 2G technologies are rapidly being replaced by newer generations of tech-
nologies. 3G and 4G cellular technologies are widely deployed around the world. And 5G
technologies have started to appear and will continue to be deployed through 2030.
Despite the increase in sophistication of wireless standards and devices over the years,
cellular technologies maintain a set of common principles that form the basis behind the
design of cellular systems. Certain principles are highly likely to be incorporated into 6G
systems, whatever that standard turns out to be in the future. Certainly, the implementa-
tion of these underlying principles will vary from one standard to another and sometimes
even within revisions of a given standard. We review these basic principles in this pa-
per, and in some cases provide more explicit details by comparing 3G systems and 4G
systems.
Section 1 introduces the composition of the network: the radio access network where the
signals are processed and managed; the core network to facilitate establishment of an
end-to-end logical link between the wireless device and an external entity such as a web
server; and a services network that manages applications running on the cellular network.
We discuss how the information of multiple users occupies the spectrum depending on
the multiple access technique (sharing of the spectrum through time, frequency, space
or coding separation) and the availability of spectrum to accommodate the base station
to handset link (downlink) and the handset to the base station link (uplink). The different
frequency bands that cellular systems can use are summarized along with the character-
istics of those operating bands.
In the second section, we discuss the radio interface and describe the protocols imple-
mented between the base station and the handset, the composition of a generic cellular
transceiver and some of the emerging architecture trends in the implementation of the
radio access network. Two examples of physical layer access are described: code division
multiple access (CDMA), which is used in 3G systems, and orthogonal frequency division
multiple access (OFDMA), which is used in 4G and 5G systems. Some of the features of
3G systems are discussed, for instance the ability to share a channel with multiple us-
ers, combining of multipath signals and soft handover and coding principles to overcome
errors introduced by the channel. Likewise, some of the features of 4G and 5G systems
are discussed, including the ability to share spectrum with multiple users, highly efficient
coding schemes and the mechanism for dealing with multipath signals.
In section 3, we talk about processes that occur in any cellular network, such as how the
handset can find a cell site (locate and extract the needed information for contacting the
base station), inform a cell site that the handset is in the cell’s coverage region and that it
is a legitimate user, approach for the handset and the base station to exchange data, and
processes for the handset to select and connect to another base station while it is moving
in and out of the coverage areas of different cell sites (handover).
The last section summarizes key points and talks about emerging trends in cellular
systems.
Rohde & Schwarz White paper | Radio fundamentals for cellular networks 3

1 Making communications wireless
Cellular networks enable devices such as smartphones and internet of things (IoT) devices
to communicate wirelessly. Cellular technologies have advanced from first generation(1G)
analog technology to advanced high-performance fourth generation (4G) and fifth gen-
eration (5G) systems in just about four decades [1]. While 1G cellular technologies have
disappeared, 2G technologies are gradually being replaced by newer generations of tech-
nologies. 3G and 4G cellular technologies are widely deployed around the world. And 5G
technologies have begun to appear in 2018.
Evolution of cellular standards
1970s – 1990s 1980s – 2000s 1990s – 2010s 2000s – 2020s 2020s – 2030s
5G: diverse services

and industries
4G: data centric
❙ LTE
3G: data capable ❙ LTE-Advanced
❙ CDMA2000 (or 1x) ❙ WiMAX™
2G: digital voice 1x-EV-DO ❙ HSPA+
centric ❙ WCDMA/HSPA
1G: analog cellular ❙ D-AMPS ❙ TD-SCDMA
❙ AMPS ❙ GSM/GPRS
❙ NMT ❙ cdmaOne (IS-95)
❙ TACS
Though the exact network architecture differs from one generation to another, a typical
cellular network consists of a radio access network (RAN), a core network (CN) and a ser-
vices network as shown in Fig. 1 [1]. The RAN contains base stations (BS) that commu-
nicate with the wireless devices using radio frequency (RF) signals, and it is this interface
between the base station and the devices that is the primary subject of this paper. The
RAN allocates radio resources to the devices to make wireless communications a reality.
The CN performs functions such as user authentication, service authorization, security
activation, IP address allocation and setup of suitable links to facilitate the transfer of user
traffic such as voice and video. The services network includes operator-specific servers
and IP multimedia subsystem (IMS) to offer a variety of services to the wireless subscrib-
er, including voice calls, text messages (SMS) and video calls.
The cellular network interfaces with external networks such as the public switched tele-
phone network (PSTN), the internet, enterprise networks and wireless fidelity (Wi-Fi) net-
works. The cellular network’s connectivity with the internet allows wireless subscribers
to access over-the-top (OTT) services such as YouTube videos, and the cellular network’s
connectivity with enterprise networks allows wireless subscribers to securely access pri-
vate enterprise networks. Auxiliary systems (not shown in the diagram) such as opera-
tions support systems (OSS) and business support systems (BSS) help manage RAN, CN
and services.
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Fig. 1: Cellular network: a high-level view
Services
network (e.g. IMS)
Radio
interface
Web
server
Mobile device Base station Core network Internet
IoT
application
server
Radio access network (RAN)

IoT smart meter
Wireless devices exchange more than just the user traffic with the cellular network or
wireless network 1). In addition to user traffic such as voice, emails and videos, the devic-
es and the cellular network exchange signaling messages. Signaling messages help set
up voice calls and data sessions and carry out auxiliary functions such as authentication
of user devices. Types of signaling include application-level signaling, cellular technology-
specific signaling such as non-access stratum (NAS) and access stratum (AS) signaling,
and lower layer signaling on the air interface. Protocols defined by standardization bodies
such as 3GPP 2) and IETF 3) facilitate such information exchange between the device and
the network. Fig. 2 shows the path traversed by different types of information in the cellu-
lar network as they are transferred between the endpoints of the communications link.
Fig. 2: Types of information passing through the cellular network
Services
network
(e.g. IMS)
Mobile device
Base station
Web
server
Core network Internet
Radio access network (RAN)
User traffic (e.g. video) Application-level signaling (e.g. IMS/SIP signaling) L1/L2 signaling (e.g. channel condition reporting)
User traffic (e.g. voice and SMS) Access stratum L3 signaling (e.g. handover signaling) Non-access stratum signaling (e.g. authentication signaling)
1)
While this paper uses the term cellular network and wireless network interchangeably, the cellular network is one example of
wireless networks. Examples of non-cellular wireless networks include Wi-Fi, Bluetooth® and satellite based networks.
2)
3GPP: 3rd Generation Partnership Project. 3GPP defined specifications for 3G technologies such as universal mobile telecom-
munication system (UMTS) and high-speed packet access (HSPA) and 4G standards such as long term evolution (LTE). 3GPP is
now defining 5G standards.
3)
IETF, the Internet Engineering Task Force, has defined specifications for numerous protocols, including internet protocol (IP)
and session initiation protocol (SIP).

When a user watches a video from a web server (e.g. YouTube), user traffic travels
through the data network (e.g. the internet), the core network and the radio access net-
work. For an IMS based voice call or SMS between two smartphones, the user traffic
passes through the radio access network, the core network, the IMS network, the core
network and the radio access network. Application-level signaling such as session ini-
tiation protocol (SIP) signaling between the device and the IMS network helps set up
and tear down sessions such as voice calls. The device and the core network exchange
technology-specific, non-access stratum (NAS) signaling messages. NAS signaling helps
with functions such as authentication of the user by the network, authentication of the
network by the device and activation of security. Layer 3 (L3) access stratum signaling be-
tween the device and the radio access network involves technology-specific signaling to
support procedures such as radio interface configuration of the device for device to radio
access network communications and handover of the device from one base station to an-
other. The device and the radio access network exchange layer 1/layer 2 (L1/L2) signaling
on the radio interface to facilitate reporting of radio channel conditions by the device to
the radio access network and allocation of radio resources to the device by the radio ac-
cess network. As shown in Fig. 2, a variety of information passes through the radio inter-
face between the device and the radio access network.
Let us discuss communications between the device and the radio access network. A
technique called duplexing allows the device or the base station to simultaneously trans-
mit and receive information. Fig. 3 illustrates duplexing techniques.
Fig. 3: Duplexing in a cellular network
Duplexing: simultaneous transmission and reception
Frequency
fy 1
fx 1
Frequency division duplex (FDD)
t1 Time
Frequency
fz 2 2
Time division duplex (TDD)
t2 t3 Time
Frequency
fy 3
fx 3
Half FDD (H-FDD)
t4 t5 Time
The communications link from the device to the base station is called the uplink or the
reverse link, and the communications link from the base station to the device is called the
downlink or the forward link. Duplexing allows the device and the base station to simul-
taneously send information on the one link while receiving information on the other link.
Duplexing facilitates bidirectional and realtime transfer of information. Two basic duplex-
ing methods are frequency division duplex (FDD) and time division duplex (TDD). A spe-
cial case of FDD is half-duplex FDD (H-FDD).
In FDD, one part of the frequency spectrum is used for the uplink and a different part of
the frequency spectrum for the downlink. From the device perspective, uplink transmis-
sion and downlink reception can occur at exactly the same time. From the base station
perspective, downlink transmission and uplink reception can occur at exactly the same

time. Paired spectrum with separate downlink spectrum and uplink spectrum is needed
for FDD. The device and the base station also need more complex RF and DSP process-
ing capability (e.g. simultaneously operating transmitter and receiver) for FDD.
In TDD, the same unpaired frequency spectrum is used for the uplink and the downlink.
The uplink exists at one instant, and the downlink exists at a different instant. Since the
switching between the uplink and the downlink is carried out rapidly (e.g. on the order of
milliseconds before 5G or even tens of microseconds in 5G), the uplink and the downlink
are considered “simultaneous” for all practical purposes.
TDD is simpler and less expensive than FDD from the device design perspective. How-
ever, interference is easier to manage with FDD due to the separation of the uplink and
the downlink in the frequency domain. The uplink channel bandwidth and the downlink
channel bandwidth tend to be identical in FDD due to the symmetric paired spectrum
allocation by the governments, although cellular technologies often allow different ag-
gregate channel bandwidths in the downlink and the uplink for FDD (e.g. 20 MHz in the
downlink and 10 MHz in the uplink). Since TDD shares the same spectrum between the
downlink and the uplink, the ratio of the downlink and the uplink can potentially be cho-
sen to match overall traffic volume in the downlink and the uplink. For example, more
time can be allocated to the downlink than the uplink when more data needs to be trans-
ferred in the downlink than in the uplink. FDD systems are very popular, but TDD systems
are quickly gaining in popularity because of the easier availability of unpaired spectrum at
higher frequencies.
Half-duplex FDD (H-FDD) can be viewed as a special case of FDD. Like FDD, H-FDD uses
different chunks of spectrum for the uplink and downlink. However, at the device, only
one link is active at an instant in time. Therefore, with H-FDD, the device either transmits
in the uplink using the uplink spectrum or receives in the downlink using the downlink
spectrum at a given instant. H-FDD is from the device perspective only; it is common
for the base station to use regular FDD. The base station has both the downlink and the
uplink active at the same time and can serve FDD devices and H-FDD devices. The base
station ensures that the uplink and the downlink do not occur at the same time for a giv-
en H-FDD device. H-FDD simplifies device operation and reduces the cost of the user’s
device.
While duplexing allows simultaneous (or “almost” simultaneous) transmission and re-
ception for a given entity such as the device and the base station, multiple access allows
multiple devices to access and use the network at the same time through suitable sharing
of radio resources. Fig. 4 depicts a simplified view of multiple access techniques com-
monly used in cellular networks 4).
Frequency division multiple access (FDMA) allows multiple devices to access the network
using different frequency channels. For example, three different users are assigned three
distinct frequency channels (e.g. fx, fy and fz in Fig. 4). An adequate guard band is de-
signed between adjacent frequency channels to minimize interference between adjacent
frequency channels. FDMA was widely used in 1G analog cellular networks. Modern 4G
and 5G digital cellular networks use a sophisticated version of FDMA called orthogonal
frequency division multiple access (OFDMA) where the frequency channels allocated to
different devices are orthogonal to one another to achieve high spectral efficiency.
Time division multiple access (TDMA) allows multiple devices to access the network us-
ing different time slots of a given frequency channel (e.g. frequency fx in Fig. 4). TDMA
has been widely used in 2G digital cellular networks (e.g. GSM, the global system for mo-
bile communications systems).
4)
Thanks to advanced antenna techniques available in 4G and especially in 5G, space division multiple access (SDMA) is possible
in addition to the traditional FDMA, TDMA and CDMA. SDMA is discussed in section 2.

Code division multiple access (CDMA) involves the use of a wideband frequency channel
with different users using different orthogonal codes. Such orthogonal codes eliminate or
minimize interference among users. For example, three different users can use three dis-
tinct orthogonal codes (e.g. codes 1, 2 and 3 in Fig. 4) to access the network simultane-
ously. 3G networks such as the universal mobile telecommunications system (UMTS) and
1x use CDMA.
Fig. 4: Traditional multiple access in a cellular network
Multiple access: simultaneous network access by multiple device
Frequency
fx 1
fy 2 Frequency division multiple access (FDMA)

fz 3
(special case: orthogonal FDMA (OFDMA))
t1 Time
Frequency
fx 1 2 3
Time division multiple access (TDMA)
t1 t2 t3 Time
Frequency
Code 1 1
fx Code 2
2
Code 3
3
Code division multiple access (CDMA)
t1 Time
Standardization bodies such as the 3rd Generation Partnership Project (3GPP) define the
frequency spectrum used for communications between the device and the base station.
Table 1 gives examples of the frequency bands for FDD and TDD. More FDD bands are
defined for lower frequencies (e.g. below 6 GHz), while more TDD bands are defined for
higher frequencies (e.g. millimeterwave spectrum). As cellular technologies evolve from
one generation to the next, newer frequency bands are often defined to deploy newer
generations of technologies since legacy (older generation) technologies often coexist
with newer generation technologies for some years (e.g. one or two decades). A com-
prehensive list of frequency bands can be found in [2] and [3]. Newer bands (e.g. band
46 and higher) often tend to be TDD since unpaired TDD spectrum is easier to find than
paired FDD spectrum.
Table 1: Example frequency bands for cellular communications

3GPP band Type Uplink frequency range Downlink frequency range
2 (PCS 1900) FDD 1850 MHz to 1910 MHz 1930 MHz to 1990 MHz
4 (AWS) FDD 1710 MHz to 1755 MHz 2110 MHz to 2155 MHz
5 (850, cellular) FDD 824 MHz to 849 MHz 869 MHz to 894 MHz
12 (lower 700) FDD 699 MHz to 716 MHz 729 MHz to 746 MHz
13 (upper 700) FDD 777 MHz to 787 MHz 746 MHz to 756 MHz
41 (TDD 2600) TDD 2496 MHz to 2690 MHz 2496 MHz to 2690 MHz
46 (unlicensed) TDD 5150 MHz to 5925 MHz 5150 MHz to 5925 MHz
n78 (5G NR, sub-6 GHz) TDD 3300 MHz to 3800 MHz 3300 MHz to 3800 MHz
n257 (5G NR, mmW) TDD 26 500 MHz to 29 500 MHz 26 500 MHz to 29 500 MHz
n260 (5G NR, mmW) TDD 37 000 MHz to 40 000 MHz 37 000 MHz to 40 000 MHz

In Table 1, band 2 (PCS 1900 band) is an FDD band with an uplink spectrum of 1850 MHz
to 1910 MHz and downlink spectrum of 1930 MHz to 1990 MHz. Initial 2G digital cellu-
lar technologies widely used band 2. 1G cellular technologies used band 5 (the 850 MHz
cellular band). Initial 4G long term evolution (LTE) deployments in the U.S. were in the
700 MHz frequency bands 12 and 13. Band 41 has been popular for LTE TDD deploy-
ments. In a TDD band, the uplink frequency range is identical to the downlink frequency
range because TDD makes use of the unpaired spectrum. While 3GPP primarily focuses
on licensed spectrum, some unlicensed spectrum is also available for use in band 46.
Band 46 is typically shared between cellular technologies and Wi-Fi. 5G New Radio (NR)
technologies use sub-6 GHz and even up to mmW frequency bands such as FDD band
n78 and TDD bands n257 and n260 5). Many of the newer bands for cellular systems are
shared bands with legacy spectrum users, and this trend is expected to continue and
likely accelerate in the future.
2 Overview of radio interface processing

2.1 An overview of the radio interface protocol stack
Communications between the device and the base station occurs using the technology-
specific radio interface protocol stack. The protocol stack defines a common language
for air interface communications between the device and the base station. Fig. 5 shows a
simplified radio interface protocol stack 6). The exact names and processing of the layers
of the radio interface protocol stack are technology-dependent.
Fig. 5: Radio interface protocol stack
Radio and core

signaling, user traffic
Layer 3: signaling and traffic interface
Layer 2: radio link control, medium access control

Multiplexing of information,
retransmissions, scheduling Layer 1: physical layer
Multiple access,
duplexing, RF and
baseband processing
Radio interface protocol stack
Common language
for communications
Base station
The protocol stack can be viewed as three layers (layers 1, 2 and 3). Layer 1 is the physi-
cal layer that supports features such as duplexing and multiple access as well as redun-
dancy through adaptive channel coding and modulation. Details of the physical layer for
CDMA and OFDMA respectively are provided in sections 2.2 and 2.3.
Layer 2 can have sublayers such as packet data convergence protocol (PDCP), radio link
control (RLC)/radio link protocol (RLP) and medium access control (MAC). Layer 2 helps
multiplex different types of information such as signaling and traffic for transmission at
a given instant. The physical layer is operated at a relatively high error rate (e.g. around
1 %) to optimize the use of precious radio resources, with error correction and retrans-
5)
The letter “n” in the frequency band name represents New Radio, which implies a 5G frequency band.
6)
The radio protocol stack has two or three cellular technology-specific layers. The endpoints of the communications link such
as the mobile device and the server (e.g. a website server) implement the upper three layers of the five-layer TCP/IP protocol
stack: layer 5, the application layer containing applications such as HTTP for web browsing; layer 4, the transport layer contain-
ing protocols such as transmission control protocol (TCP); and layer 3, the network layer containing internet protocol (IP). The
TCP/IP protocol stack collapses the traditional seven-layer OSI model into a five-layer model.

mission used to effectively lower the error rate. However, many services, including web
browsing and video streaming, require a much lower error rate (e.g. 0.0001 %). That is
where layer 2 comes into the picture. When the physical layer experiences an error, layer
2 retransmits a packet. Two main types of retransmissions are RLC retransmissions and
MAC/physical layer retransmissions. RLC retransmissions occur relatively slowly such as
on the order of tens or hundreds of milliseconds. MAC/physical layer retransmissions,
often called hybrid automatic repeat request (HARQ) retransmissions, occur much faster
such as on the order of few milliseconds. Since retransmissions are carried out only when
needed, precious radio resources are efficiently used due to the joint work by layer 2 and
layer 1. Layer 2 also carries out a critical scheduling task. Scheduling is performed by the
MAC sublayer of the base station. The base station scheduling algorithm allocates physi-
cal layer radio resources to the devices for the downlink and the uplink so that signaling
and traffic can be transferred over the radio interface.
Layer 3 for signaling helps exchange signaling between the device and the base station,
signaling between the device and the core network. User traffic between the device and
the core network typically involves transmission of IP packets using layer 1 and layer 2 of
the radio protocol stack.
Let us take an example of how user traffic such as email is sent over the air interface from
the base station to the device using the radio interface protocol stack. The radio access
network has received an IP packet for the device from the core network. The base station
simply provides the IP packet to layer 2. Layer 2 adds suitable protocol headers to facili-
tate the functions of the receiver. For example, one of the layer 2 headers conveys to the
receiver that the type of information is user traffic and not a signaling message. Layer 1
prepares the packet for a potentially challenging journey through the dynamic radio envi-
ronment by carrying out technology-specific processing such as CDMA or OFDMA.
A closer look at the physical layer shows that the physical layer processing can be broken
down into two distinct sections: a baseband section and a radio frequency (RF) section.
The physical layer waveform has various properties that can impact the complexity of RF
processing and how the channel will impair the signal. For instance, there is a distinct ap-
proach to the RF section of a system that uses TDD versus FDD:
❙❙ For TDD, a switch operates in realtime to separate the relatively high-power transmit
signal from the low-power received signal so that the same antenna can be used for
both transmission and reception
❙❙ In FDD, the transmit signal and the received signal can operate at the same time and
using the same antenna, but to keep the transmit signal separate from the received
signal, the signals use different frequencies and are separated using a filter called a
duplexer. For both the transmitter and receiver, the key challenge is to have the same
components, antennas, RF electronics and baseband processing operate over a wide
range of frequency bands. An example composition of an FDD system is shown in
Fig. 6.
10

Fig. 6: Composition of an FDD system
Information
Network interface Frames and Modulation
From network
and radio controller error correction
Control information
TX path
Duplexer Filter Power Frequency Digital to
amplifier translation analog converter
Filter Amplifier Frequency Demodulation

translation and evaluation
RX path
Radio control Info tracker

To application processing and decoding
At the transmitter, the signal must be amplified before it is transmitted. A cellular power
amplifier can be tricky to build. It must have high output power and also be able to handle
significant variations in the signal power level while providing linear amplification. We
quantify this capability as the peak-to-average power ratio (PAPR) of the amplifier. When
multiple users are being amplified by the same power amplifier, the PAPR plays an impor-
tant role in determining coverage and, in some cases, capacity. In a CDMA network, as
users are added to the network, the allocation of power per user goes down since there is
only so much output power available from the power amplifier in linear mode. With less
power per user, the effective coverage of the CDMA network is reduced, a phenomenon
that is called “cell breathing”.
Another consideration in the design of the cellular radio system is adjacent channel inter-
ference. This consideration plays a role in the design of the receiver as well as the trans-
mitter. Out-of-band interference from the channel of a base station can impact the fidelity
of communications in the adjacent channel. Consequently, effective filtering is required
at the transmitter. To minimize the possibility of interference, the output level in the adja-
cent channel is specified by the standard. Adjacent channel interference can also impact
the receiver. A receiver may have adjacent channel interference that is much stronger
than the desired signal. Filtering adjacent channel signals at the RF level near the antenna
has practical implementation challenges, which is why the RF circuitry at this early stage
must have the ability to simultaneously handle both very weak signals and very strong
signals while remaining in a linear amplification region. In other words, the receiver must
have a high dynamic range. The key to achieving this is to have a good amplifier that is
capable of handling a high dynamic range while contributing little noise to the signal.
There are two approaches for deploying a cellular base station. The old approach, as
shown in Fig. 7, is to link the antenna with the base station processing unit via an RF
cable. This strategy has a downside in that significant losses can occur in the cables that
link the antenna and processing unit. This cable loss means a loss of transmit power and
an increase in received noise power.

Fig. 7: BS configuration: RF cable between the antenna and BS processing unit
Radio link
Baseband Network To core

RF
processing interface network
RF cable
Base station processing unit
Base station
The new approach is to locate the RF processing near the antenna and transport the in-
formation in digital form between the RF unit and the digital unit located at a remote site
for processing as illustrated in Fig. 8. The advantage here is that the cable losses for the
analog signal disappear but the downside, in some instances, is having to put the RF
electronics on an antenna tower where it may be difficult to maintain. Nevertheless, this
approach, which uses a remote radio head or remote radio unit, has become very popular
and is cost-effective.
Fig. 8: BS configuration: digital cable between the RF unit and baseband unit
Remote radio unit

(RF electronics
and digitization)
Network
Digital cable
interface
Remote site
To core network
❙ Radio processing
2.2 CDMA based physical layer baseband processing in 3G networks

3G cellular technologies such as UMTS, HSPA, 1x and 1x evolution-data optimized (1xEV-
DO) use CDMA as the multiple access technique [1]. The key characteristic of CDMA is
that the signal is spread using an orthogonal code and therefore occupies a larger band-
width than a typical non-spread, non-CDMA signal. Section 2.2.1 describes the major
physical layer baseband processing blocks of a CDMA transmitter. Section 2.2.2 de-
scribes the major physical layer baseband processing blocks of a CDMA receiver.
12

How does CDMA work?
English German French
Imagine an international party attended by citizens of different countries. Three groups of people are communicating in three
different languages. Even though all the groups are talking at the same time, the members of a group are able to communicate
successfully because they are talking in the same language and voices coming from other groups appear like noise. Each group
can focus on its own language while ignoring the voices that are unfamiliar. That is how CDMA operates, where each language
is equivalent to a code. Different codes for different users or spectrum bandwidth allow CDMA to differentiate among users
within the same channel. For example, a UMTS network can simultaneously differentiate among about 128 different voice calls
in 5 MHz channel bandwidth in a sector (or cell) by using different orthogonal codes for the users.
2.2.1 Physical layer baseband processing in a CDMA transmitter

Fig. 9 shows simplified baseband processing carried out in a CDMA transmitter. The over-
all aim of baseband processing is to reliably and efficiently transfer information over the
challenging air interface.
Fig. 9: Physical layer baseband processing in a CDMA transmitter
❙ Representation ❙ Transformation
of information of information
❙ Shuffling of bits ❙ Compression ❙ Source separation
❙ Easier decoding ❙ Example: QPSK and ❙ Pseudonoise
❙ Example: block interleaving 16QAM sequence
Digital
Interleaved Modu- base-
Code code lation band
Bits Coding symbols Inter- symbols Modulation symbols Spreading Chips Scrambling signal
leaving and
combining
❙ Structured redundancy ❙ Signal bandwidth increase

❙ Enhanced reliability ❙ Efficient resource utilization
❙ Example: convolutional and turbo ❙ Example: direct sequence spread
spectrum
The physical layer receives bits from the upper layer, such as user traffic plus overhead
added by the radio interface protocol stack. These bits can be viewed as information bits
that need to be conveyed to the receiver. The information bits are appended with cyclic
redundancy check (CRC) bits so that the receiver can detect if it has correctly received
the bits or not. The information bits together with the CRC bits pass through channel cod-
ing or forward error correction (FEC). Channel coding adds redundancy in a structured
manner to improve transmission reliability. The simplest form of channel coding is repeti-
tion, where the same information bit is repeated multiple times. In this case, even if the
radio environment corrupts some of the repeated bits, uncorrupted bits would enable the
receiver to recover the original set of bits. Compared to simple repetition, coding tech-
niques such as convolutional coding and turbo coding provide better error performance
and achieve a very low error rate such as just one error out of thousands or even a mil-
lion bits. Convolutional coding is computationally less intensive, making it more suitable
than turbo coding when decoding needs to be performed quickly. Convolutional coding
is attractive for small payloads (e.g. tens or hundreds of bits) and services such as voice.
Turbo coding requires more processing power and time but has better error performance

than convolutional coding, especially when the payload is relatively large. Indeed, turbo
coding implementations often include two convolutional coders. Turbo coding is an ap-
propriate choice for large payloads (e.g. thousands or more bits) and data services such
as email and web browsing. In the interest of design simplification, turbo coding is also
used for small payloads. For example, LTE uses turbo coding even for voice services.
Just like shuffling playing cards changes the order of the cards, interleaving at the trans-
mitter changes the order of code symbols. Block interleaving maps a set of input code
symbols into a sequence of output code symbols that have a different order. The radio
environment causes errors in consecutive code symbols. The reverse processing of inter-
leaving, deinterleaving, is carried out at the receiver, which scatters such consecutive er-
rors by reshuffling the bits. The decoder at the receiver can correct more errors when er-
rors are distributed. Thus, interleaving at the transmitter and deinterleaving at the receiver
facilitates decoding at the receiver.
Interleaved code symbols are digitally modulated, where a set of input code symbols is
represented by a single modulation symbol. Examples of modulation schemes include
binary phase shift keying (BPSK), quadrature phase shift keying (QPSK), 8-ary phase shift
keying (8PSK) and 16-ary quadrature amplitude modulation (16QAM). A BPSK modulation
symbol represents one code symbol, a QPSK modulation symbol represents two code
symbols, an 8-PSK modulation symbol represents 3 code symbols and a 16QAM modula-
tion symbol represents 4 code symbols. Since a modulation symbol typically represents
multiple code symbols, it can be viewed as information compression and helps increase
the effective data rate or throughput. Indeed, adaptive modulation and coding (AMC) in-
volves finding the most suitable combination of the modulation scheme and the amount
of redundancy introduced by channel coding for the prevailing radio channel conditions.
Modulation symbols are multiplied by an orthogonal spreading code to increase the sig-
nal bandwidth. This is the fundamental characteristic that separates CDMA from other
multiple access techniques. The chip rate after spreading is 1.2288 megachips per sec-
ond (Mcps) in 3G 1x systems and 3.84 Mcps in 3G UMTS networks. The orthogonal
codes are referred to as Walsh codes or Walsh-Hadamard codes in 1x networks and
orthogonal variable spreading factor (OVSF) codes in UMTS networks. The chip rate is
kept constant to keep the baseband signal within the target channel bandwidth, which
is 1.25 MHz for 1x and 5 MHz in UMTS. Therefore, a lower data rate results in a larger
spreading factor and a higher data rate results in a smaller spreading factor. For example,
if the modulation symbol rate is 60k (modulation) symbols per second, a spreading fac-
tor of 64 is used to achieve the chip rate of 3.84 Mcps (60 ksps × 64 = 3840 kcps or
3.84 Mcps) for UMTS networks. And if the modulation symbol rate is 480k (modulation)
symbols per second, a spreading factor of 8 is used to achieve the chip rate of 3.84 Mcps
(480 ksps × 8 = 3840 kcps or 3.84 Mcps) for UMTS networks.
In the downlink, the base station allocates different orthogonal spreading codes to differ-
ent users to ensure minimal (ideally zero) interference among users in the cell or sector 7).
The chips for different users are added to create a combined signal that has information
for multiple users. Although the combined signal appears much like noise, there are or-
thogonal signals buried in this noise-like signal. In the uplink, the device can use different
spreading codes for different channels so that the base station can separate out all these
channels without any interference among the channels. The chips for different channels
are combined.
In a popular cellular network configuration, one base station controls three geographic regions called sectors (or cells), where
7)
each sector covers 120° region. Three sectors together provide 3 × 120° = 360° coverage around the base station.
14

Types of spread spectrum systems
There are two main types of spread spectrum systems: direct sequence spread spectrum (DSSS) and frequen-
cy hopping spread spectrum (FHSS). The DSSS system uses codes to spread the signal. The signal bandwidth
is enlarged after spreading is applied to the data. 1x and UMTS are examples of DSSS systems. The FHSS
system involves relatively narrow signal bandwidths, but the signal rapidly hops from one part of the spectrum
to another part of the spectrum using a predefined pseudorandom sequence. Over a sufficiently long observa-
tion period, the signal effectively uses a much wider bandwidth than that required by the data. Since the signal
uses different parts of the spectrum, the resulting frequency diversity enhances the reliability of the link. Some
Bluetooth® systems and GSM use FHSS.
The combined chips coming out of the combining block are scrambled using the identity
of the source of the transmission. In the downlink, the base station scrambles the chip se-
quence using a pseudorandom sequence that is a function of the identity of the sector (or
cell). Such source-specific scrambling enables the device to distinguish the signal of one
cell from the signals of other cells in the downlink. In the uplink, the device scrambles the
chip sequence using a pseudorandom sequence that is a function of the identity of the
device. Such device-specific scrambling in the uplink allows the base station to separate
the signal of one device from the signals of other devices in the cell. The scrambled chips
represent the digital baseband signal that undergoes RF processing before transmission.
2.2.3 Physical layer baseband processing in a CDMA receiver

The processing done by the transmitter prepares the signal to meet the challenges of
the dynamic radio environment. The receiver performs processing that is opposite to the
transmitter processing. The receiver is much more complex than the transmitter because
of the sophistication necessary to synchronize and extract the correct information as well
as deal with channel impairments.
The RF processor at the receiver receives the RF signal from the radio interface using one
or more receive antennas. After passing through stages such as filtering, low-noise ampli-
fication, frequency downconversion and analog-to-digital (A/D) conversion, the RF signal
is transformed to a digital baseband signal that is ready to be processed by the baseband
processor.
Fig. 10 shows how a simplified CDMA baseband receiver carries out physical layer pro-
cessing. The basic job of the receiver is to undo any damage done by the radio environ-
ment and retrieve the information bits intended by the transmitter.
Fig. 10: Physical layer baseband processing in a CDMA receiver
Digital Interleaved
baseband Descrambled Modulation code Code
signal chips symbols symbols symbols
De- De- De- De- Decoding Bits
Mission
scrambling spreading modulation interleaving
accomplished
The digital baseband signal consists of chips from the desired signal as well as any inter-
fering signals. The first step is to extract the information from the desired source. This is
done by descrambling, which is the opposite of scrambling. In the downlink, the receiver
at the device correlates the incoming signal with the scrambling sequence associated
with the known scrambling ID of its serving cell or sector. In the uplink, the receiver at the
base station individually correlates the incoming signal with the scrambling sequences
associated with the known scrambling IDs of its users. The descrambled chips of the
signal are despread using suitable orthogonal codes. In the downlink, the device uses
known orthogonal codes to determine the modulation symbols of interest. In the uplink,
the base station uses orthogonal codes to create modulation symbols of the device’s con-
trol or data channels.

The modulation symbols are demodulated to determine the interleaved code symbols.
Demodulation can be coherent or non-coherent. Coherent demodulation gets the help of
reference signals with known bits or signals to quantify radio channel conditions and uses
such channel knowledge to clean up the modulation symbols of the channel of interest
(e.g. traffic channel carrying information bits) before estimating the bits (the interleaved
code symbols) represented by modulation symbols.
The interleaved code symbols from the demodulator are deinterleaved. Deinterleaving is
the opposite of interleaving. Deinterleaving spreads out consecutive errors caused by the
radio environment as discussed above. Such non-consecutive errors are somewhat easier
for the decoder to rectify.
The deinterleaved code symbols are decoded. To decode convolutional code symbols,
Viterbi decoding or its variation is widely used. To decode turbo code symbols, the maxi-
mum a posteriori (MAP) algorithm or its variation is quite popular. A turbo decoder is
more complex than a convolutional decoder and requires significantly more processing
power. The decoder produces the information bits, and the CRC check helps detect the
presence of any error(s) in the decoded information.
While standards bodies such as 3GPP specify virtually all aspects of the transmitter, re-
ceiver implementations tend to be implementation-specific and proprietary. The stan-
dards, however, specify minimum performance requirements for receivers (as well as
transmitters) so that a certain implementation quality can be ensured and the transmitter
and the receiver can communicate seamlessly. The receiver implementation is one of the
important product differentiators for device and base station vendors.
Rake receiver in CDMA systems

In cellular networks, when the transmitter sends out a signal, the receiver may receive multiple copies of the
same signal due to reflections. These delayed copies are called multipath signals. In non-CDMA networks, the
receiver must overcome such multipath signal interference by, for example, inserting a guard time. However,
CDMA systems use a special receiver called a rake receiver that can make use of multipath signals by com-
bining the energy of those signals. The receiver’s name comes from the fact that it resembles a garden rake,
where each finger of the rake receiver can track a multipath signal. The multipath signals can be from one cell
or sector or multiple cells or sectors. It is quite common for a rake receiver to have four or more fingers. The
receiver can distinguish between two multipath signals if they arrive at least one chip period apart. Typical time
difference of arrivals for multipath signals is on the order of few microseconds in a cellular network. 1x and
UMTS networks have chip periods of about 0.3 µs and 0.8 µs, respectively. Therefore, rake receivers work very
well in the presence of multipath signals. The rake receiver combines the energy of modulation symbols using
a technique called maximal ratio combining. More reliable modulation symbols lead to better decoder error
performance.
2.3 OFDM baseband processing in 4G and 5G networks

4G LTE and 5G technologies use OFDMA as the multiple access technique. The key char-
acteristic of OFDMA is that a wideband signal is created using multiple narrowband chan-
nels called subcarriers. These subcarriers are orthogonal to one another. Section 2.3.1
describes the major physical layer baseband processing blocks of an OFDMA transmit-
ter. Section 2.3.2 describes the major physical layer baseband processing blocks of an
OFDMA receiver.
16

How does OFDMA work?
Imagine a showerhead distributing parallel streams of warm water. That is what OFDMA does, except OFDMA delivers data
streams instead of water streams. Just like the showerhead distributes a large amount of water using multiple tiny streams in
parallel, OFDMA distributes large amounts of data for different users by using different sets of narrowband frequency channels
in parallel. These frequency channels are called subcarriers. The subcarriers are orthogonal to one another so there is no inter-
ference (minimal interference in practice) between the subcarriers. The available channel bandwidth is divided among multiple
subcarriers. For example, in LTE, 600 subcarriers with 15 kHz subcarrier spacing are available in a 10 MHz channel bandwidth
with 9 MHz transmission bandwidth (600 × 15 kHz = 9 MHz) and 1 MHz total guard band within the channel bandwidth. A
group of 12 consecutive subcarriers constitutes a resource block. Users are allocated one or more resource blocks for data
transmission.
2.3.1 Physical layer baseband processing in an OFDMA transmitter

Fig. 11 shows simplified baseband processing carried out in an OFDMA transmitter.
Several processing blocks are common to both an OFDMA transmitter and a CDMA
transmitter.
Fig. 11: Physical layer baseband processing in an OFDMA transmitter
❙ Representation ❙ Structure for

❙ Transformation of code symbols of information over-the-air
❙ Source separation and ❙ Compression transmission
synchronization ❙ Example: QPSK, 16QAM, ❙ Scalability
❙ Pseudorandom sequence 64QAM and 256QAM ❙ Example: IFFT
Transformed Base-
Scrambled Modu- modu- band
Code code lation lation OFDM
Bits Channel symbols Scrambling symbols Modulation symbols Layer symbols OFDM signal
coding mapping and signal
precoding generation
❙ Structured redundancy and shuffling ❙ Transformation of modulation

❙ Enhanced reliability symbols
❙ Example: convolutional, turbo, polar, LDPC ❙ Support for advanced antenna
techniques
❙ Structure of information for
transmission from multiple antennas
An upper layer provides the physical layer information bits that need to be conveyed to
the receiver. The channel coding block adds CRC bits, forward error correction (FEC) cod-
ing and interleaving. The CRC bits are added to the block of information bits (often re-
ferred to as a transport block) so that the receiver can detect the presence of any errors.
Like 3G 1x and UMTS, LTE uses FEC techniques such as convolutional coding and turbo
coding. 5G introduces FEC techniques such as polar coding and low density parity check
(LDPC) coding. Polar coding is used as a replacement for convolutional coding to protect
certain types of signaling messages such as resource allocation signaling messages from
the base station to the device and a channel quality report from the device to the base
station. Polar coding is chosen instead of convolutional coding because it is more reli-
able than convolutional coding. Polar coding can achieve a lower error rate than convolu-
tional coding for a given radio channel condition. LDPC coding can achieve a lower error
rate than turbo coding and consumes less processing power (and consequently battery

ower) than turbo coding, especially for large packets, which is why LDPC coding is se-
p
lected in 5G instead of turbo coding. Like in a CDMA transmitter, interleaving is also used
in an OFDMA transmitter to reorder the sequence of code symbols to facilitate decoding
at the receiver.
Interleaved code symbols are scrambled using a pseudorandom sequence. Such scram-
bling helps separate one communications link from another. For example, in the LTE
downlink, the pseudorandom sequence used on a channel carrying user traffic is a func-
tion of the identity of the cell (e.g. physical cell identity or PCI in LTE and 5G), the radio
interface identity of the device (e.g. cell radio network temporary identifier (C-RNTI) allo-
cated to the device by the base station for use in a sector) and the identity of a timing unit
(e.g. slot number “1” where a slot occupies a 0.5 ms interval). The receiver can separate
out its own signal from all the other users’ signals in the same resources, such as the
same subcarriers allocated to users in different sectors.
Interleaved and scrambled code symbols are digitally modulated, where a set of input
code symbols is represented by a single modulation symbol. Higher-order modulation
schemes are available for use in 4G and 5G OFDMA systems than in 3G networks such
as 1x and UMTS. Typical modulation schemes supported for the traffic-carrying channels
include QPSK, 16QAM, 64QAM and 256QAM. A QPSK modulation symbol represents
2 code symbols, a 16QAM modulation symbol represents 4 code symbols, a 64QAM
modulation symbol represents 6 code symbols and a 256QAM modulation symbol repre-
sents 8 code symbols. Higher-order schemes such as 64QAM and 256QAM significantly
increase the effective data rate or throughput when the radio channel conditions cor-
respond to a high signal-to-interference-plus-noise ratio (SINR). AMC is used in OFDMA
just like in CDMA. Since the OFDMA time structures in 4G LTE and 5G allow short trans-
mission time intervals compared to 3G, more opportunities for fast channel-sensitive
AMC exist in OFDMA systems.
Modulation symbols undergo layer mapping and precoding, which facilitate implementa-
tion of advanced antenna techniques such as transmit diversity 8) and spatial multiplex-
ing. These antenna techniques make use of two or more transmit antennas and/or two
or more receive antennas. Transmit diversity involves transmitting the same information
(e.g. a given modulation symbol) on different dimensions. Examples of basic dimensions
are space, time and frequency. Due to the dynamic nature of the radio environment, the
probability of multiple dimensions simultaneously experiencing poor radio environment is
quite low. So if the propagation path associated with one dimension (e.g. an antenna or a
subcarrier) experiences a challenging radio environment such as a signal fade at a given
instant, an additional propagation path associated with another dimension can still carry
the modulation symbol successfully. Fundamental transmit diversity techniques are space
diversity, time diversity and frequency diversity. Space diversity sends the same informa-
tion using different spaces or antennas. Time diversity involves sending of the same in-
formation at different times. Frequency diversity implies that the same information is sent
using different frequencies or subcarriers.
LTE uses the transmit diversity scheme called space frequency block coding (SFBC),
which combines the benefits of both space diversity and frequency diversity. As shown
in Fig. 12, SFBC involves transmitting the same modulation symbol on two different an-
tennas using two different subcarriers. For example, from antenna 1, modulation symbol
X is sent using subcarrier 1, and modulation symbol Y is sent using subcarrier 2. From
antenna 2, transformed modulation symbol X is sent using subcarrier 2, and transformed
modulation symbol Y is sent using subcarrier 1 9). Since two different antennas are used
to send the same modulation symbol, the benefits of space diversity are realized. Simi-
8)
Receive diversity involves reception of signals on two or more antennas. Receive diversity can be (and often is) implementa-
tion-specific and does not need any explicit standardization requirements.
9)
A modulation symbol can be transformed by using a different phase shift relative to the original modulation symbol.
18

larly, since two different subcarriers are used to transmit the same modulation symbol,
frequency diversity is utilized. The exact forms of the modulation symbols sent from the
transmit antennas are different (e.g. suitable phase shifts) to facilitate the receiver’s job
of combining the received signals to retrieve the original modulation symbols. SFBC im-
proves the reliability of communications through redundant transmissions in different
space and frequency dimensions. SFBC can be used even when the radio channel condi-
tions are hostile, such as low SINR situations near the cell edge.
Fig. 12: Space frequency block coding: transmit diversity in LTE
Subcarrier 1: modulation symbol X

Subcarrier 2: modulation symbol Y
Antenna 1
Subcarrier 1: transformed modulation symbol Y

Subcarrier 2: transformed modulation symbol X
Antenna 2
While transmit diversity aims to enhance reliability through redundancy, spatial multiplex-
ing aims to increase data rate or throughput. Two main spatial multiplexing techniques
supported in LTE are single-user multiple input multiple output (SU-MIMO) and multi-user
multiple input multiple output (MU-MIMO). Digital beamforming is supported as a special
case of MIMO. SU-MIMO involves the simultaneous transmission of multiple spatial lay-
ers for a given user, where different layers transmit distinct modulation symbols using the
same radio resources but with the help of multiple antennas. For example, consider 2x2
SU-MIMO 10) transmission in the downlink shown in Fig. 13. Transmit antenna 1 sends
modulation symbol X from a subcarrier such as subcarrier 1. Furthermore, transmit an-
tenna 2 sends modulation symbol Y from the same subcarrier 1. Both receive antenna 1
and receive antenna 2 receive the signal transmitted by transmit antenna 1. Note that
the radio channel may affect the transmitted modulation symbol X differently because
the two propagation paths are different: “transmit antenna 1 to receive antenna 1” path
and “transmit antenna 1 to receive antenna 2” path. Similarly, transmit antenna 2 sends
modulation symbol X from the same subcarrier 1. Both receive antenna 1 and receive
antenna 2 receive the signal transmitted by transmit antenna 2. The radio channel may
also affect the transmitted modulation symbol Y differently on two different propagation
paths, “transmit antenna 2 to receive antenna 1” path and “transmit antenna 2 to receive
antenna 2” path. Since the same subcarrier is used on both transmit antennas to send
two different modulation symbols, the date rate doubles compared to single-antenna
transmission and single-antenna reception. Furthermore, the receive antenna 1 signal is
some combination of modulation symbols X and Y such as Rx1 = X+Y, and the receive
antenna 2 signal is some combination of modulation symbols X and Y such as Rx2 = X-Y
depending on the radio environment. The job of the receiver is to process Rx1 and Rx2 to
recover the original modulation symbols X and Y. The receiver estimates so-called spatial
signatures by observing how the radio channel influences the reference signals and uses
such spatial signatures to determine exactly how to process Rx1 and Rx2 to retrieve the
modulation symbols. Since the use of two antennas implies space or spatial multiplexing,
two spatial multiplexing layers are said to be used.
10)
SU-MIMO is an MxN downlink, where M indicates the number of transmit antennas in a sector at the base station and N indi-
cates the number of receive antennas at the device.

Fig. 13: Single-user multiple input multiple output (SU-MIMO):
spatial multiplexing in LTE
Modulation symbol X
on subcarrier 1
Transmit
antenna 1
Receive antenna 1
Transmit
antenna 2
Receive antenna 2
Modulation symbol Y
on subcarrier 1
Multi-layer transmission in SU-MIMO requires the receiver to be able to distinguish

among the transmit signals. In some channel conditions, the receiver may not be able to
separate out the transmit signals coming from different transmit antennas. In such cases,
multi-layer transmission is not feasible but digital beamforming is possible, where suitable
phase adjustments for a given modulation symbol for different transmit antenna signals
result in more cumulative energy at the receiver. The phase adjustments allow the differ-
ent signals from each of the transmitter’s antennas to add coherently at the position of
the receiver’s antenna. While SU-MIMO involves the transmission of multiple layers, digi-
tal beamforming is often a single-layer transmission case.
MU-MIMO involves the simultaneous transmission of multiple spatial layers, where dif-
ferent layers transmit distinct modulation symbols using the same radio resources for dif-
ferent users. Consider an example of MU-MIMO downlink transmission shown in Fig. 14.
The use of more transmit antennas enhances beamforming in support of MU-MIMO.
Fig. 14: Multi-user multiple input multiple output (MU-MIMO):

spatial multiplexing in LTE
Modulation symbol X
on subcarrier 1
Beam 1 for device 1
Transmit antenna 1
Transmit antenna 2
Transmit antenna 3
Transmit antenna 4
Beam 2 Modulation symbol Y

on subcarrier 1
for device 2
There are various ways to do MU-MIMO. For example, MU-MIMO in the downlink, the
base station can send different modulation symbols to different users at the same time
and for the same subcarrier. In one possible simplistic configuration, as shown in Fig.
14, one beam is created for one user to send a modulation symbol X on subcarrier 1.
The base station can create a separate beam for another user and then send modulation
symbol Y on subcarrier 1 using a second beam. These two beams reuse the same radio
resources in a given sector. In general, information going to antennas can be weighted
such that device 1 experiences relatively larger power for its own information while mini-
mal interference is caused to other devices. Likewise, device 1 is receiving minimal in-
terference from the signal intended for device 2 because of the appropriate weighting
20

applied to antenna signals. This is possible because MU-MIMO exploits the fact that the
radio channels are different for spatially-separated devices. Since the users are separated
in the space domain via spatial beams, MU-MIMO is a general extension of space divi-
sion multiple access (SDMA). The device receives the signals on one or more receive an-
tennas to retrieve its modulation symbols. MU-MIMO increases the number of users that
benefit from high data rates due to the reuse of radio resources (such as frequencies) in
the sector.
Consider the use of layer mapping and precoding to implement SFBC when two transmit
antennas in a sector are used at the base station. For SFBC, layer mapping and precoding
would result in the placement of two modulation symbols X and Y in specific forms such
as their original structures and transformed structures 11) on two antennas and two con-
secutive subcarriers as shown in Fig. 12. The receiver is informed about the use of SFBC
and can process the signals to combine the signals received on different subcarriers in
such a manner that the original modulation symbols X and Y can be retrieved.
Now, consider the use of layer mapping and precoding to implement SU-MIMO when
two transmit antennas in a sector are used at the base station. For 2x2 SU-MIMO in the
downlink, layer mapping and precoding can place two modulation symbols X and Y in
specific forms (e.g. original structures or potentially transformed structures 12)) on two
antennas on the same subcarrier as shown in Fig. 13. The receiver is informed about the
MIMO transmission parameters and can process the signals to retrieve the original modu-
lation symbols X and Y.
Modulation symbols in suitable forms for transmission on specific antenna ports are
given to the OFDM signal processing block. A distinct OFDM signal is generated for each
transmit antenna. Inverse fast Fourier transformation (IFFT) combines subcarriers carrying
layer-mapped and precoded modulation symbols and creates an OFDM symbol consist-
ing of a time-domain series of samples. The OFDM symbol is a combination of the modu-
lation symbols carried on all subcarriers. Since OFDMA is used in the downlink, such a
symbol is often called an OFDMA symbol. When the LTE channel bandwidth is 10 MHz,
a 1024-point IFFT is used to generate a series of 1024 samples during the symbol period
of 66.6 µs by combining modulation symbols on six hundred subcarriers. The subcarriers
are spaced 15 kHz apart, leading to a useful symbol period of 1/15 kHz = 66.6 µs. While
CDMA transmitters send out chips over the air, OFDM transmitters send out OFDM sym-
bols over the air. If there are four transmit antennas, four distinct baseband OFDM sym-
bols are generated with one symbol per transmit antenna. The digital baseband signals in
the form of OFDM symbols are sent over the air after undergoing RF processing.
11)
If the modulation symbol is X = a + jb, its transformed structure would be the complex conjugate X*, which is a – jb. Transmis-
sions of the original and transformed modulation symbols make it easier for the receiver to extract X and Y. For example, one
antenna transmits X on subcarrier f1 and Y on subcarrier f2, while the second antenna transmits Y* on f1 and –X* on f2.
12)
In one configuration, the base station may send X from one antenna and Y from another antenna using the same subcarrier. In
another configuration, the base station may send X + Y from one transmit antenna and X – Y from a second transmit antenna
using the same subcarrier. See 3GPP TS 36.211 for all possible supported configurations.

SC-FDMA: OFDMA with a twist
LTE uses single-carrier frequency division multiple access (SC-FDMA) instead of pure OFDMA in the uplink. At
a given instant, the OFDM/OFDMA sample involves contributions from modulation symbols carried by mul-
tiple subcarriers. This combining of essentially random numbers leads to high PAPR for OFDM/OFDMA and
therefore the cell-edge devices have relatively less average power available for communications when OFDM/
OFDMA is used in the uplink. Such transmit power constraints can adversely affect reliability and/or uplink
throughput. LTE uses a variation of OFDMA in the uplink called SC-FDMA. SC-FDMA can reduce PAPR by 3 dB
or even more. At the transmitter, SC-FDMA involves passing the modulation symbols through discrete Fourier
transform (DFT) and the DFT output symbols are placed on subcarriers by IFFT. Since DFT and IFFT are in-
verse operations, the result is that the SC-FDMA sample at any instant is influenced by one modulation symbol
rather than numerous modulation symbols. The absence of combining multiple modulation symbols at a given
instant enables SC-FDMA to reduce PAPR compared to OFDMA, improving cell-edge reliability and/or uplink
throughput while reducing power consumption.
2.3.2 Physical layer baseband processing in an OFDMA receiver

The RF processor at the OFDMA receiver receives the RF signal from the radio interface
using one or more receive antennas. After passing through stages such as filtering, low-
noise amplification, frequency downconversion and A/D conversion, the RF signal ac-
quired from a given receive antenna is transformed into a digital baseband physical layer
signal that is ready to be processed by the baseband processor.
Fig. 15 shows how a simplified OFDMA baseband receiver carries out physical layer
processing. As mentioned earlier, receiver implementations tend to be implementation-
specific and proprietary. Of course, 3GPP specifies many minimum performance require-
ments for receivers to ensure a certain implementation quality.
Fig. 15: Physical layer baseband processing in an OFDMA receiver
Baseband Transformed Modulation Scrambled Interleaved

OFDM modulation symbols interleaved code
signal symbols code symbols
OFDM Layer De- symbols De- Channel Bits
signal demapping modulation scrambling decoding
processing
The digital baseband signal is received for each receive antenna. It is common for an
OFDMA receiver to have two or four receive antennas. A suitable number of samples of
the received OFDM signal on a given receive antenna is taken during the total OFDMA
symbol time based on the value of cyclic prefix (CP), a set of symbols that resides both
at the front and the back of the OFDMA symbol. The overlap of multipath signals oc-
curs in the region of the CP. The redundancy allows the information to be extracted. In
other words, intersymbol interference (ISI) might have corrupted the initial portion of the
OFDMA symbol. If the CP is adequate for a given radio environment, the useful symbol
period of 66.6 µs would not have any degradation due to ISI.
OFDM signal processing, shown in Fig. 15, includes processing by a fast Fourier trans-
form (FFT). The FFT uses a block of 1024 samples over the symbol period of 66.6 µs in
the case of 10 MHz channel bandwidth and 600 subcarriers. The FFT is used to retrieve
transformed modulation symbols present on each of the subcarriers.
Layer demapping considers the layer mapping used by the transmitter and conveyed to
the receiver to recover original modulation symbols. For example, modulation symbols
might have been transformed into different structures due to layer mapping and precod-
ing at the transmitter.
The goal of demodulation is to estimate scrambled interleaved code symbols based on

the modulation symbols. The exact processing in demodulation depends on the type of
antenna technique used by the transmitter, e.g. transmit diversity or spatial multiplexing.
22

To help the receiver carry out coherent demodulation reliably, the transmitter transmits
orthogonal reference signals. The receiver can estimate radio channel conditions based
on such reference signals and use the knowledge to improve the estimates of scrambled
interleaved code symbols.
Descrambling uses the known scrambling sequence to descramble the signal and esti-
mate interleaved code symbols. Recall that the scrambling sequence is a function of the
cell identity and the device identity on the radio interface for the shared channel carrying
user traffic.
Interleaved code symbols are processed by channel decoding, where deinterleaving is

carried out first, followed by decoding of code symbols such as those generated by con-
volutional coding, turbo coding, polar coding or LDPC coding to produce the desired in-
formation for that user. Decoding of convolutional coding and turbo coding is similar for
CDMA and OFDMA. Polar decoding and LDPC decoding are quite different. To decode
polar code symbols, a successive cancellation decoder or its variants can be used. To de-
code LDPC code symbols, a message-passing belief propagation algorithm can be used.
Like other receiver functions, decoding algorithms are implementation-specific. Once de-
coding has been completed, the original bits are obtained and passed to the upper layers
of the radio interface protocol stack.
3 Device network radio interface interactions

3.1 Overview of device operations
The radio interface interactions between the device and the radio access network are car-
ried out with the help of the technology-specific radio interface protocol stack. Before the
device can exchange any traffic such as emails and videos, certain prerequisites have to
be met. Fig. 16 shows a typical series of operations from the power-up network acquisi-
tion to data transfer and handover [1].
Fig. 16: Overview of device radio access network operations
❙ Downlink synchronization
Cell search and network acquisition
❙ Suitable cell selection
❙ Uplink synchronization
Random access
❙ Device to radio access
network communications
❙ Authentication
Dedicated radio connection setup and
❙ Security
device to core network communications
❙ IP address allocation
Data transfer (downlink, uplink) ❙ Base station scheduler
❙ Device measurements
Handover
❙ Base station decisions

When a device is turned on, it needs to detect the cellular network and learn about the
network so that it can contact the network. The device looks for specific signals broad-
cast by the network. Such signals help the device synchronize with the network so that it
can look for relevant signals and channels to execute the remaining operations 13).
After the device learns adequate information about the network such as the identity of
the network (or the wireless service provider), the device contacts the base station using
common uplink resources such as the random access channel. Until dedicated resources
are assigned to the device, the device and the network need to reply on common chan-
nels and signals in the downlink and uplink for communications. Now that the base sta-
tion is aware of the existence of the device, a dedicated radio connection between the
device and the base station can be set up. Since the authenticity of the device needs to
be confirmed and since such authentication is the responsibility of the core network, a
connection between the device and the core network is established. Suitable security
between the device and the network is also activated. Relevant links among the network
nodes, from the device to the edge of the network (e.g. a gateway facing the internet),
are set up to facilitate end-to-end data transfer. The network assigns one or more IP ad-
dresses to the device since typical applications and services are IP-based. Now that all
prerequisites are met, data transfer can take place. The device can move from one cell to
another and one base station to another, which results in a handover. Sections 3.2 to 3.6
take a closer look at these operations.
3.2 Cell search and cellular network acquisition

When a device is turned on, it searches for a suitable cell on a carrier frequency using
well defined technology-specific signals. Successful cell search implies that the device
has achieved time and frequency synchronization in the downlink and that the device can
communicate with the found cell with satisfactory radio link quality.
Fig. 17 summarizes the overall cell search process.
Fig. 17: An overview of the cell search process
❙ Device configuration
Carrier frequency selection
❙ Last successful cell search
❙ Synchronization signals (primary, secondary)

Cell search signals
❙ Pilot channel
❙ Master information block

Network configuration ❙ System/network ID
❙ Common channel configuration
The exact mechanism for the cell search is implementation-specific. However, the device
is typically configured with a set of preferred carrier frequencies, such as those common-
ly used by a service provider. For example, an LTE device may be configured to look for
a carrier frequency first in the 700 MHz band and then in the PCS band. If the device has
successfully detected a cell on a certain carrier frequency in the past, storing and using
the information about the detected carrier frequency accelerates the cell search.
While observing a given carrier frequency, the device looks for well-known technology-
specific signals to get synchronized with the network. For example, the device looks for
a pilot channel in the case of a 3G 1x network and for the primary synchronization signal
and the secondary synchronization signal in the case of a 3G UMTS network, a 4G LTE
Cellular standards often distinguish between a physical signal and a physical channel. A physical signal exists only at the physi-
13)
cal layer and does not carry any upper layer information. A physical channel, on the other hand, carries information originating
at upper layers of the radio interface protocol stack.
24

network or a 5G network. The sequences of bits or symbols on the signals relevant to the
cell search (such as the pilot channel and the synchronization signals) are well defined
in the standards so that the base station knows what to transmit in a given cell or sector
and the device knows what to look for. Since the technologies transmit signals and chan-
nels at specific times using technology-specific radio resources, time and frequency syn-
chronization are quite critical.
After achieving synchronization in the downlink, the device continues to observe the
downlink to learn about the configuration of the network. 3G technologies such as 1x
and UMTS use the same channel bandwidth for cell search signals (e.g. synchronization
signals) and non cell search signals/channels (e.g. channels carrying system information
and user traffic). However, technologies such as LTE and 5G typically use different band-
widths for cell search signals and non cell search signals and channels. In LTE and 5G,
the device learns about the bandwidth of non cell search signals by observing messages
such as the master information block (MIB). The device also finds out the identity of the
cellular network (or the service provider). In 3G UMTS, 4G LTE and 5G, the network iden-
tity is represented by the public land mobile network (PLMN) 14). 3G 1x uses the system or
network ID pair to identify a given operator’s network.
The device also evaluates the need to look for another cell. For example, if a 4G or 5G
network has specified a certain signal level threshold (e.g. –110 dBm) and if the device re-
ceives the cell’s signal below this threshold, the device needs to shop around for a better
quality cell. Otherwise, the device continues to stay with the current cell. The device ob-
tains from the network relevant information about common channels such as the uplink
random access channel. Now the device is all set to contact the network.
3.3 Contacting the cellular network: random access

So far, all the action has been in the downlink because the device has been processing
signals/channels in the downlink. The base station has no idea about the device’s exis-
tence yet. Fig. 18 illustrates how the device establishes contact with the radio access
network.
Until dedicated resources are allocated to a device, common channels or signals are
used. In the uplink, the device uses the common random access channel to contact the
base station. The random access channel uses well-known radio resources. The device
sends a known sequence of bits or symbols on the random access channel at the trans-
mit power level that can overcome the estimated path loss between the device and the
base station. This sequence is randomly chosen from a set of sequences to minimize the
probability of two devices using the same sequence.
The base station is always on the lookout for the random access sequences on the time-
frequency resources designated for the random access channel. If the base station de-
tects one or more sequences, it sends a response to the device(s) on a common downlink
channel. This response is associated with the detected random access sequence.
If the device does not detect any response from the base station associated with the ran-
dom access sequence, it assumes that the base station did not detect the sequence. It
then randomly chooses another sequence and transmits this sequence at a time instant
randomly chosen within a time window. The transmit power level of the sequence is cho-
sen to be higher than the last transmission of the random access sequence to increase
the likelihood of detection by the base station. Parameters such as the allowed power in-
crease between successive transmissions of the sequences and the maximum number of
attempts are obtained by the device during the network acquisition stage.
The PLMN consists of two parts, the mobile country code (MCC) and the mobile network code (MNC). PLMNs are globally
14)
unique. Different countries have their own MCCs, and cellular service providers in a given country have one or more MNCs.
The system and network ID pairs used in 1x and 1xEV-DO systems are also globally unique.

If the random access procedure is successful, the base station allocates dedicated radio
resources to the device to ensure reliable communications. If the device remains unsuc-
cessful in getting a response from the base station, it typically re-enters the cell acquisi-
tion stage.
Fig. 18: An overview of the random access procedure
Base station
1. Random access sequence
3a. Random access response 2. Monitoring
or of the random
3b. Random access sequence (higher transmit power) access channel
3.4 Device core network interactions

Assigning dedicated resources to the device when a random access procedure is suc-
cessful results in a dedicated radio connection between the device and the base station in
a given cell or sector. This radio connection, along with the connection between the radio
access network and the core network, enables the device and the core network to carry
out procedures such as registration, authentication, security activation, session or bearer
setup and IP address allocation as shown in Fig. 19 15).
Fig. 19: Device core network interactions
Registration ❙ UE to core network connectivity
❙ Authentication of the network

Mutual authentication
❙ Authentication of the device
❙ Encryption
Security activation
❙ Integrity protection
Session setup and IP ❙ Device-network edge links

address allocation ❙ IPv4 and/or IPv6
When the device registers with the core network, the core network becomes aware of the
device’s reachability in a given geographic area. Such registration enables the network to
page the device for incoming traffic (e.g. receiving a phone call or email) when the device
is in idle mode. Note that the dedicated radio connection between the device and the
network is released if there is no data activity for a few seconds. When dedicated radio
resources are released, the device enters the idle mode. In the idle mode, there is no ded-
icated radio connection between the device and the radio network.
Although specific terms used for such procedures are often technology-dependent and there are minor technology-specific
15)
variations, these processes are universally carried out in 3G, 4G and 5G cellular technologies.
26

The device relies on the common channels and signals for communication with the radio
network. Without idle mode, the device would have consumed processing power as well
as precious radio resources for handover 16) measurements and handover signaling even
when there is no need to exchange data traffic.
During registration, authentication is carried out. Mutual authentication is quite common

in 3G, 4G and 5G. Mutual authentication means that the device authenticates the network
and the network authenticates the device. The core network stores important informa-
tion about the device such as a secret key for authentication. While exact authentication
mechanisms depend on the technologies, one popular approach involves an authentica-
tion algorithm in the network that uses the subscriber-specific secret key and a random
number to generate a response. The core network challenges the device with the random
number and the device uses the same authentication algorithm to create a response. The
core network then compares the response from the device with the expected response
to authenticate the device. To facilitate authentication of the network by the device, the
network sends an authentication token and the device compares this token with the ex-
pected token to authenticate the network.
Once authentication is completed, communications between the device and the network
is secured. For example, information can be encrypted so that the original information
cannot be retrieved by eavesdropping. If the original information bits are “100111”, the
transmitter may encrypt these bits and transform them into encrypted bits with an en-
tirely different bit pattern, e.g. “001011”. Only the intended recipient can decrypt such
encrypted bits and retrieve the original bits. A message authentication code may also be
added to the information to ensure that the information has not been tampered with be-
tween the transmitter and the receiver. Such a process is called integrity protection. For
example, let us say the original set of bits are “100101001”. A suitable integrity protec-
tion algorithm uses these bits as the input and creates the message authentication code
“110” that is a function of these original bits. The transmitter appends “110” to the origi-
nal information bits and transmits a longer set of bits “100101001110”. The receiver uses
the received information bits (i.e. “100101001” in the example) to determine the mes-
sage authentication code. If the code determined by the receiver does not match “110”,
it means that the original message bits have been altered between the transmitter and
the receiver. If the message authentication code determined by the receiver matches the
code present in the received payload, then the received payload is valid and has not been
altered.
Suitable links are established on the radio interface as well as within the network to facili-
tate the flow of user traffic. Finally, the network allocates an IP address to the device. In
general, an IPv4 or IPv6 address is assigned to the device. The device may be allocated
more than one IP address.
All the prerequisites for data transfer have now been met. As soon as the base station al-
locates radio resources for data transfer, user traffic can start flowing in the downlink and
the uplink.
3.5 Data transfer

The radio access network manages the precious radio resources and allocates these re-
sources among to the active devices in a cell. Advanced 3G networks such as 1xEV-DO
and HSPA as well as LTE and 5G networks give the base stations the responsibility of
managing radio resource. In particular, the MAC layer in the radio protocol stack imple-
ments a scheduling algorithm that allocates radio resources to the active devices.
16)
Handover is a process where the serving cell, sector or even the serving base station for the device is changed due to the mo-
bility of the user to ensure that the device has a dedicated radio connection with the best possible communications link. In ad-
dition, handover may be used to balance the load among serving base stations and among carrier frequencies available in a cell
or sector.

Fig. 20 summarizes the overall steps of downlink data transfer for a typical advanced 3G,
4G or 5G cellular network although the exact details vary from one technology to another.
Fig. 20: Downlink data transfer steps
4. Scheduling
1. Configuration for downlink measurements
algorithm
2. Reference signal
3. DL channel conditions (CQI, PMI, RI)
5. DL resource allocation and packet transmission
6. Positive/negative acknowledgement
7. New transmission or retransmission
Prior to any data transfer, the base station configures the device to observe and report the
downlink radio channel conditions in step 1.
In step 2, the base station transmits a cell-specific reference signal or a pilot channel
with a known sequence of symbols. The device observes that signal or channel to esti-
mate the quality of radio channel conditions. For example, based on a proprietary imple-
mentation-specific approach, the device measures quantities such as the signal-to-inter-
ference ratio (SIR) and estimates the supportable data rate at a given target error rate.
A target error rate is specified by the standards bodies in the form of a block error rate
(BLER) or packet error rate (PER). LTE and HSPA specify an instantaneous target BLER of
10 % 17). 5G allows the error rate to be configurable instead of a fixed value so that QoS re-
quirements can be better met for different services.
In step 3, the device reports the estimated downlink channel conditions to the base sta-
tion in the form of technology-specific quantities such as the channel quality indicator
(CQI) for LTE and HSPA and the data rate control (DRC) value for CDMA based 1xEV-DO.
Such quantities imply the supportable combination of the modulation and coding scheme
(MCS) under given radio channel conditions at the target error rate. For example, if the ra-
dio channel conditions are good, a relatively aggressive MCS of 64QAM and coding rate
of 2/3 can be used. Since a 64QAM modulation symbol represents 6 code symbols and
the coding rate of 2/3 corresponds to two bits becoming 3 code symbols, the effective
number of bits represented by a modulation symbol is 6 × 2/3 = 4. Poor channel condi-
tions may require the use of a more robust QPSK modulation scheme and a coding rate
of 1/6. The modulation symbol would then represent only 2 × 1/6 = 0.33 bit. These ex-
amples show that radio channel conditions have a significant influence on the achievable
throughput.
When advanced antenna techniques are supported by the base station and the device
(which is a typical scenario for LTE and 5G but not a prevalent scenario for 3G), additional
feedback in support of antenna techniques is needed. For example, the device sends
feedback such as a precoding matrix indicator (PMI) and rank indicator (RI). PMI specifies
how modulation symbols can be transformed through suitable phase shifts prior to the
IFFT operation and placed on specific antennas. RI specifies the number of spatial multi-
plexing layers. If RI = 2, the base station can use 2x2 SU-MIMO for the device to (theo-
retically) double the throughput compared to single-antenna transmission and single-an-
tenna reception. Similarly, if RI = 4, the base station can use 4x4 SU-MIMO for the device
to (theoretically) quadruple the throughput compared to single-antenna transmission and
single-antenna reception.
While the error rate of 10 % may seem high, it is an instantaneous error rate and a single retransmission statistically brings
17)
the effective error rate down to 1 % (i.e. probability of first transmission in error x probability of first retransmission in error =
0.1 × 0.1 = 0.01).
28

In step 4, the base station scheduler processes the reports from active devices on the
prevailing downlink radio channel conditions. The scheduler plays an important role in
dictating the overall radio access network performance. The scheduler implementation is
base station vendor proprietary and a key product differentiator for vendors. The sched-
uler considers a variety of factors such as the radio channel conditions reported by the
active devices (e.g. CQI, PMI and RI), the amounts and types of user traffic in buffers at
the base station, target QoS parameters configured for each device and its active servic-
es, capabilities of devices and the base station, wait times of packets and available radio
resources. The scheduler then selects the users for transmission in the next transmission
time interval (TTI) and the transmission parameters for these selected users. Examples
of transmission parameters include the amount and type of data to be sent, the antenna
technique and associated parameters such as the number of layers, suitable layer map-
ping and precoding, and radio resources (e.g. physical resource blocks (PRB) in the case
of an LTE or 5G network).
In step 5, the base station informs the selected devices about allocated downlink ra-
dio resources 18) and the devices collect their packets by processing the allocated radio
resources.
After the device decodes the packet, in step 6, it sends the base station a positive ac-
knowledgment in the case of successful reception and a negative acknowledgment in
the case of unsuccessful reception. Such acknowledgements were introduced in the en-
hanced versions of 3G technologies such as 1xEV-DO and HSPA and later technologies
such as LTE and 5G have continued making use of such fast acknowledgments due to
their significant positive impact on throughput and subsequently user experience.
In step 7, the base station transmits a new packet if the device sent a positive acknowl-
edgment in step 6 and retransmits the previously sent packet (with possibly a different
set of code symbols) if the device sent a negative acknowledgment in step 6. The maxi-
mum number of such fast retransmissions at the physical layer is typically determined by
the base station. After the limit on the number of retransmissions is reached, the physical
layer gives up and lets the RLC layer do any retransmissions (if configured). If both the
physical layer and the RLC layer cannot correct errors through retransmissions, the trans-
port layer protocol, e.g. transmission control protocol (TCP), does the retransmissions.
The physical layer retransmissions are called hybrid automatic repeat request (HARQ)
retransmissions and the RLC layer retransmissions are called automatic repeat request
(ARQ) retransmissions. The combination of various features such as AMC, HARQ and
ARQ enable the wireless network to achieve a very low error rate such as a residual error
rate of one packet error out of a million packets (and even one packet error out of a billion
packets in 5G).
Now that we have described downlink data transfer, let us turn our attention to uplink
data transfer. Uplink and downlink data transfer share several similarities. For example,
radio channel conditions are observed, the base station scheduling algorithm allocates
radio resources to the device, suitable transmission parameters are used and fast retrans-
missions occur when needed. Fig. 21 summarizes the overall steps of uplink data trans-
fer for typical LTE and 5G cellular networks. Specific details vary from one technology to
another.
In 1xEV-DO, the base station does not explicitly signal the exact transmission parameters to the device since the base station
18)
uses the transmission parameters specified by the device on the uplink DRC channel. In other technologies, including HSPA,
LTE and 5G, the base station explicitly conveys transmission parameters to the device.

Fig. 21: Uplink data transfer steps
2. and 5.
1. Scheduling request
Scheduling
3. Uplink grant (few resources) algorithm
4. Buffer status report
6. Uplink grant (more resources)
7. Uplink data transmission
8. Positive/negative acknowledgement
9. New transmission or retransmission
When the device has data to send in the uplink, step 1 is to use a dedicated signaling
connection to send a scheduling request to the base station.
In step 2, the base station executes a scheduling algorithm and, in step 3, allocates lim-
ited uplink radio resources to the device so that the device can send a buffer status report
in step 4. The buffer status report specifies the amount and type of data in the buffer at
the device. This report allows the base station to determine the appropriate amount of ra-
dio resources to allocate to the device. For example, if the device reports a large amount
of data, the base station can allocate more radio resources to the device so that the data
can be quickly transferred and the average packet latency can be reduced.
In step 5, the base station scheduler processes the buffer status reports from active de-
vices. Like in the downlink, the scheduler plays an important role in dictating the overall
radio access network performance. The scheduler considers a variety of factors such as
the observed uplink radio channel conditions, the amounts and types of user traffic re-
ported in buffer status reports, target QoS parameters configured for each device and its
active services, uplink capabilities of devices and the base station and available radio re-
sources. The scheduler then selects the users for uplink transmission in the next TTI and
specifies the uplink transmission parameters (e.g. the modulation and coding scheme
combination) and uplink radio resources for these selected users.
In step 6, the base station informs the selected devices about allocated uplink radio re-
sources. In step 7, the device sends a packet using the allocated uplink radio resources
and specified transmission parameters.
After the base station decodes the packet in step 8, it sends the device a positive ac-
knowledgment in the case of successful reception and a negative acknowledgment in the
case of unsuccessful reception. The base station also allocates suitable radio resources
to the device so that the device can send a new packet in the uplink or retransmit the old
packet in step 9.
3.6 Handover and cell reselection

As the mobile device moves around in a given area, it crosses cell boundaries. Handover
is a process where the dedicated radio connection between the device and the radio ac-
cess network is switched from one cell to another. In LTE and 5G networks, the device
typically communicates with a single cell or sector 19). In CDMA based networks such as
UMTS, 1x and 1xEV-DO, the device simultaneously communicates with multiple cells or
sectors. Handover in CDMA based networks implies a change in one or more cells that
serve the device. The set of serving cells is called the active set.
In LTE and 5G, a feature called coordinated multi-point (CoMP) allows the device to simultaneously communicate with multiple
19)
cells.
30

Fig. 22 shows the main steps of handover. In step 1, the radio access network configures
the device for radio channel measurements and measurement reporting. For example, the
LTE radio access network may ask the device to make measurements such as reference
signal received power (RSRP) and reference signal received quality (RSRQ) on the cur-
rently serving cell and neighboring cells. CDMA based networks such as UMTS, HSPA,
1x and 1xEV-DO ask the device to make measurements such as the ratio of the pilot
channel power and the total received power 20).
Fig. 22: Overview of handover steps
Source
1. Measurement configuration
base station
Mobility 2. Measurement report
7. Handover command
3. Handover
algorithm execution
4. Handover 6. Handover
request accept/reject
Target
base station
5. Evaluation of
handover request
In step 2, the device sends a measurement report to the radio access network. Depend-
ing upon the technology and the configuration chosen by the radio access network, mea-
surement reporting can be event based and/or periodic. Event based reporting means
that the device sends a measurement report when an event occurs. For example, when
a neighboring cell measurement is better than the serving cell measurement, an event is
said to occur and the device sends a measurement report containing relevant measure-
ments. Periodic reporting, as the name suggests, involves the device sending measure-
ment reports at the interval configured by the radio access network.
In step 3, the handover algorithm in the radio access network processes the measure-
ment report received from the device and makes a handover decision if deemed nec-
essary and/or efficient. The radio access network also chooses the target cell for the
handover based on the measurement report.
In step 4, the currently serving base station contacts the target base station 21) that
is managing the target cell to check if the target base station can accommodate the
handover request.
In step 5, the target base station evaluates the radio resource requirements of the
handover request and in step 6 accepts or rejects the request made by the source base
station. The target base station also typically specifies the radio resources that the device
can use to contact the target base station upon completion of handover.
In step 7, the source base station sends a handover command to the device and the
device establishes a radio connection with the target base station. Suitable connections
between the target base station and the core network are also set up so that end-to-end
data transfer is not interrupted due to handover.
The UMTS network calls this Ec/N0, while the 1x and 1xEV-DO network call it Ec/I0.
20)
In 3G networks, the handover algorithm is implemented in the radio network controller (RNC); the RNC manages the resources
21)
of multiple base stations.

If a device with a dedicated radio connection to the network does not engage in any data
transfer for a period of time (e.g. a few seconds or minutes), maintaining the radio con-
nection is quite expensive from the resource consumption perspective. The connected
device needs to make frequent measurements on the serving and neighboring cells, and
the base station needs to exchange handover related signaling messages with neighbor-
ing base stations. To avoid such processing, the network asks the device to enter idle
mode after a period of inactivity to save the device’s battery power and eliminate unnec-
essary consumption of precious radio resources. In idle mode, the device does not have a
dedicated radio connection.
In idle mode, the device periodically (and less frequently than in active or connected
mode) wakes up to monitor the strongest cell, while saving processing power during oth-
er times. If the device finds a better cell, it performs cell reselection and starts monitoring
the new better cell. The core network knows about the device location at the paging area
level, where a paging area contains numerous base stations 22). In the case of incoming
traffic, the core network instructs base stations within the device’s paging area to send a
page message. The device responds to the page message in the strongest cell that it has
been monitoring and exits idle mode to set up a dedicated radio connection. If the idle
device wants to send a traffic or signaling message in the uplink, it utilizes the random
access channel to contact the base station and exits idle mode. If the device moves from
one paging area to another paging area, it carries out a paging area update so that the
core network becomes aware of the new paging area for the device.
In LTE and 5G, a paging area is a set of one or more geographic areas called tracking areas.
22)
32

4 Summary
Cellular networks, independent of generations, share many common attributes end user
or handset devices, radio network, core network and services network. Many of the pro-
tocol-based communications exchanges between the device and the base station follow
a similar philosophy of identifying a potential cell, registering and authenticating with the
core network and support for mobility through handover signaling. There are differences
in processing mechanisms that occur between different generations of wireless devices,
such as how the spectrum is accessed and shared, error correction mechanisms and the
way that multipath is handled. These differences were discussed for 3G and 4G systems.
Deployment of 5G systems began in 2018, and we will see many new features for this
technology for years to come. Examples of these features include:
❙❙ Massive MIMO to increase capacity and throughput and improve link reliability
❙❙ A flexible frame structure to support diverse services and industries
❙❙ Advanced channel coding schemes such as polar coding and LDPC coding to reduce
the error rate and overall power consumption
❙❙ Millimeterwave bands (e.g. greater than 24 GHz) with large bandwidth and
significant propagation challenges
❙❙ Spectrum sharing between cellular technologies and non-cellular technologies
(e.g. radar), including sharing with devices using unlicensed spectrum
❙❙ Low latency, low power, highly reliable wireless connections in support of
IoT applications
❙❙ Ability to support much greater density in the deployment of user devices,
especially to support IoT
❙❙ Multi-access edge computing (MEC) to reduce end-to-end latency and
bandwidth requirements for the transport network
❙❙ Network slicing to realize custom and comprehensive QoS for diverse services and
customer requirements
❙❙ Virtualization and automation technologies such as network function virtualization
(NFV) and software defined networking (SDN) to implement cloud based radio access
networks, core networks and service networks for service agility, enhanced service
experience, scalability and cost-effective, end-to-end network design, maintenance and
optimization processes
Rapidly changing wireless technologies are challenging for the industry and bring a
new level of respect for the challenges faced by equipment manufacturers. Test equip-
ment has to be available before mass deployment of new wireless technologies, which
means that equipment manufacturers must be two steps ahead of the wireless industry
in understanding and implementing new technologies. Designing test equipment that as-
sesses the performance of systems based on new concepts is not the only goal. The test
equipment is only as good as the understanding of the engineer using the equipment.
At Rohde & Schwarz, our mission is not only to sell leading-edge test equipment but also
to help provide the knowledge and training that our customers need to handle the ever-
increasing technical challenges of emerging wireless systems.

5 References
[1] Nishith D. Tripathi and Jeffrey H. Reed, “Cellular Communications: A Comprehensive
and Practical Guide”, IEEE/Wiley, 2014
[2] 3GPP, TS 36.101, “Evolved Universal Terrestrial Radio Access (E-UTRA);

User Equipment (UE) radio transmission and reception”
[3] 3GPP, TS 38.101, “NR; User Equipment (UE) radio transmission and reception”
[4] Nishith D. Tripathi and Jeffrey H. Reed, “5G Cellular Communications: Journey and
Destination”, multimedia eBook, to be published in fall 2018.
34


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PD 5216.0467.52 | Version 01.00 | August 2018 (sk)
White paper | Radio fundamentals for cellular networks
Data without tolerance limits is not binding | Subject to change
© 2018 Rohde & Schwarz GmbH & Co. KG | 81671 Munich, Germany
5216046752

Radio - Fundamentals For Cellular Networks

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Radio fundamentals

for cellular networks

﻿White paper | Version 01.00

Radio_fundamentals_for_cellular_networks_wp_en_5216-0467-52_v0100.indd 1 02.08.2018 07:46:26

1 Making communications wireless ......................................................................4

2 Overview of radio interface processing...............................................................9

3 Device network radio interface interactions ...................................................23

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Rohde & Schwarz White paper | Radio fundamentals for cellular networks 3

Radio_fundamentals_for_cellular_networks_wp_en_5216-0467-52_v0100.indd 3 02.08.2018 07:46:26

Evolution of cellular standards

5G: diverse services

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Radio access network (RAN)

Fig. 2: Types of information passing through the cellular network

Radio access network (RAN)

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Fig. 3: Duplexing in a cellular network

Duplexing: simultaneous transmission and reception

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Rohde & Schwarz White paper | Radio fundamentals for cellular networks 7

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Fig. 4: Traditional multiple access in a cellular network

Multiple access: simultaneous network access by multiple device

fy 2 Frequency division multiple access (FDMA)

Table 1: Example frequency bands for cellular communications

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2 Overview of radio interface processing

Fig. 5: Radio interface protocol stack

Radio and core

Layer 2: radio link control, medium access control

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Filter Ampliﬁer Frequency Demodulation

Radio control Info tracker

Rohde & Schwarz White paper | Radio fundamentals for cellular networks 11

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Baseband Network To core

Remote radio unit

2.2 CDMA based physical layer baseband processing in 3G networks

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English German French

2.2.1 Physical layer baseband processing in a CDMA transmitter

Fig. 9: Physical layer baseband processing in a CDMA transmitter

❙ Structured redundancy ❙ Signal bandwidth increase

Rohde & Schwarz White paper | Radio fundamentals for cellular networks 13

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2.2.3 Physical layer baseband processing in a CDMA receiver

Fig. 10: Physical layer baseband processing in a CDMA receiver

Rohde & Schwarz White paper | Radio fundamentals for cellular networks 15

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Rake receiver in CDMA systems

2.3 OFDM baseband processing in 4G and 5G networks

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2.3.1 Physical layer baseband processing in an OFDMA transmitter

Fig. 11: Physical layer baseband processing in an OFDMA transmitter

❙ Representation ❙ Structure for

❙ Structured redundancy and shufﬂing ❙ Transformation of modulation

White paper | Version 01.00