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LTE Air Interface

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Contents

Contents
1 The Air Interface ........................................................................................................................1-1
1.1 Evolution of Cellular Networks .................................................................................................................... 1-2
1.1.1 First Generation Mobile Systems ......................................................................................................... 1-2
1.1.2 Second Generation Mobile Systems .................................................................................................... 1-2
1.1.3 Third Generation Mobile Systems ....................................................................................................... 1-4
1.1.4 Fourth Generation Mobile Systems ..................................................................................................... 1-5
1.2 3GPP Releases............................................................................................................................................... 1-6
1.2.1 Pre-Release 99 ..................................................................................................................................... 1-6
1.2.2 Release 99 ............................................................................................................................................ 1-7
1.2.3 Release 4 .............................................................................................................................................. 1-7
1.2.4 Release 5 .............................................................................................................................................. 1-7
1.2.5 Release 6 .............................................................................................................................................. 1-7
1.2.6 Release 7 .............................................................................................................................................. 1-8
1.2.7 Release 8 .............................................................................................................................................. 1-9
1.2.8 Release 9 and Beyond ........................................................................................................................ 1-10
1.3 Radio Interface Techniques ......................................................................................................................... 1-10
1.3.1 Frequency Division Multiple Access ................................................................................................. 1-10
1.3.2 Time Division Multiple Access .......................................................................................................... 1-11
1.3.3 Code Division Multiple Access .......................................................................................................... 1-11
1.3.4 Orthogonal Frequency Division Multiple Access .............................................................................. 1-12
1.4 Transmission Modes.................................................................................................................................... 1-12
1.4.1 Frequency Division Duplex ............................................................................................................... 1-13
1.4.2 Time Division Duplex ........................................................................................................................ 1-13
1.5 Spectrum Usage .......................................................................................................................................... 1-14
1.5.1 Frequency Bands ................................................................................................................................ 1-14
1.5.2 Existing Mobile Deployment ............................................................................................................. 1-16
1.5.3 LTE Release 8 Bands ......................................................................................................................... 1-17
1.6 Channel Coding in LTE ............................................................................................................................... 1-20
1.6.1 Transport Block CRC ......................................................................................................................... 1-20
1.6.2 Code Block Segmentation and CRC Attachment ............................................................................... 1-21
1.6.3 Channel Coding ................................................................................................................................. 1-23
1.6.4 Rate Matching .................................................................................................................................... 1-28

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1.6.5 Code Block Concatenation................................................................................................................. 1-29


1.7 Principles of OFDM .................................................................................................................................... 1-30
1.7.2 Frequency Division Multiplexing ...................................................................................................... 1-30
1.7.1 OFDM Subcarriers ............................................................................................................................. 1-31
1.7.2 Fast Fourier Transforms ..................................................................................................................... 1-31
1.7.3 LTE FFT Sizes ................................................................................................................................... 1-32
1.7.4 OFDM Symbol Mapping ................................................................................................................... 1-32
1.7.5 Time Domain Interference ................................................................................................................. 1-33
1.7.6 OFDM Advantages and Disadvantages.............................................................................................. 1-35

2 LTE Physical Layer.....................................................................................................................2-1


2.1 The Uu Interface............................................................................................................................................ 2-3
2.2 LTE Radio Interface Protocols ...................................................................................................................... 2-3
2.2.1 Control and User Plane Protocols ........................................................................................................ 2-4
2.2.2 Non Access Stratum ............................................................................................................................. 2-4
2.2.3 RRC ..................................................................................................................................................... 2-7
2.2.4 PDCP ................................................................................................................................................... 2-7
2.2.5 RLC ...................................................................................................................................................... 2-8
2.2.6 MAC .................................................................................................................................................... 2-8
2.2.7 Physical ................................................................................................................................................ 2-9
2.3 LTE Channel Structure .................................................................................................................................. 2-9
2.3.1 Logical Channels ............................................................................................................................... 2-10
2.3.2 Transport Channels ............................................................................................................................ 2-11
2.3.3 Physical Channels .............................................................................................................................. 2-12
2.3.4 Radio Channels .................................................................................................................................. 2-13
2.3.5 Channel Mapping ............................................................................................................................... 2-13
2.4 LTE Frame Structure ................................................................................................................................... 2-15
2.4.1 Type 1 Radio Frames, Slots and Subframes ....................................................................................... 2-15
2.4.2 Type 2 Radio Frames, Slots and Subframes ....................................................................................... 2-17
2.5 OFDM Signal Generation ........................................................................................................................... 2-18
2.5.1 Codewords, Layers and Antenna Ports .............................................................................................. 2-19
2.5.2 Scrambling ......................................................................................................................................... 2-20
2.5.3 Modulation Mapper............................................................................................................................ 2-21
2.5.4 Layer Mapper ..................................................................................................................................... 2-22
2.5.5 Precoding ........................................................................................................................................... 2-23
2.5.6 Resource Element Mapper ................................................................................................................. 2-26
2.5.7 OFDM Signal Generation .................................................................................................................. 2-26
2.6 Downlink OFDMA ..................................................................................................................................... 2-26
2.6.1 General OFDMA Structure ................................................................................................................ 2-26
2.6.2 Physical Resource Blocks and Resource Elements ............................................................................ 2-27
2.7 LTE Physical Signals................................................................................................................................... 2-28
2.8 Downlink Reference Signals ....................................................................................................................... 2-31

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2.8.1 Cell Specific Reference Signals ......................................................................................................... 2-31


2.8.2 MBSFN Reference Signals ................................................................................................................ 2-33
2.8.3 UE Specific Reference Signals .......................................................................................................... 2-34
2.9 Downlink LTE Physical Channels ............................................................................................................... 2-34
2.9.1 PBCH (Physical Broadcast Channel) ................................................................................................. 2-34
2.9.2 PCFICH (Physical Control Format Indicator Channel) ..................................................................... 2-35
2.9.3 PDCCH (Physical Downlink Control Channel) ................................................................................. 2-37
2.9.4 PHICH (Physical Hybrid ARQ Indicator Channel) ........................................................................... 2-40
2.9.5 PDSCH (Physical Downlink Shared Channel) .................................................................................. 2-41
2.10 Downlink Control Signaling ..................................................................................................................... 2-42
2.10.1 DCI Format 0 ................................................................................................................................... 2-42
2.10.2 DCI Format 1 ................................................................................................................................... 2-43
2.10.3 DCI Format 1A ................................................................................................................................ 2-43
2.10.4 DCI Format 1B ................................................................................................................................ 2-44
2.10.5 DCI Format 1C ................................................................................................................................ 2-44
2.10.6 DCI Format 1D ................................................................................................................................ 2-45
2.10.7 DCI Format 2 ................................................................................................................................... 2-45
2.10.8 DCI Format 2A ................................................................................................................................ 2-46
2.10.9 DCI Format 3 ................................................................................................................................... 2-46
2.10.10 DCI Format 3A .............................................................................................................................. 2-46
2.11 LTE Cell Search Procedure ....................................................................................................................... 2-47
2.11.1 Cell Search ....................................................................................................................................... 2-47
2.11.2 PSS Correlation ................................................................................................................................ 2-48
2.11.3 SSS Correlation ................................................................................................................................ 2-49
2.11.4 Master Information Block ................................................................................................................ 2-50
2.11.5 System Information Messages ......................................................................................................... 2-50
2.11.6 PLMN Selection ............................................................................................................................... 2-55
2.11.7 Cell Selection ................................................................................................................................... 2-57
2.12 Uplink Transmission Technique ................................................................................................................ 2-58
2.12.1 SC-FDMA Signal Generation .......................................................................................................... 2-58
2.13 OFDMA Verses SC-FDMA....................................................................................................................... 2-61
2.14 Uplink LTE Physical Channels ................................................................................................................. 2-61
2.14.1 PRACH (Physical Random Access Channel) .................................................................................. 2-62
2.14.2 PUSCH (Physical Uplink Shared Channel) ..................................................................................... 2-66
2.14.3 PUCCH (Physical Uplink Control Channel) .................................................................................... 2-68
2.15 Timing Relationships................................................................................................................................. 2-69
2.16 Uplink Reference Signals .......................................................................................................................... 2-70
2.16.1 Demodulation Reference Signal ...................................................................................................... 2-71
2.16.2 Sounding Reference Signal .............................................................................................................. 2-72
2.17 Uplink Control Signaling .......................................................................................................................... 2-75
2.17.1 PUCCH Format 1 ............................................................................................................................. 2-75
2.17.2 PUCCH Format 1a and 1b ............................................................................................................... 2-76

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2.18 LTE Random Access Procedure ................................................................................................................ 2-78


2.18.1 RRC Connection .............................................................................................................................. 2-78
2.18.2 PRACH Preambles ........................................................................................................................... 2-79
2.18.3 Random Access Procedure Initialization .......................................................................................... 2-80
2.18.4 Random Access Response Window ................................................................................................. 2-82
2.18.5 Random Access Response ................................................................................................................ 2-82
2.18.6 Uplink Transmission ........................................................................................................................ 2-83
2.19 Uplink Power Control ............................................................................................................................... 2-84
2.19.1 PUSCH Power Control .................................................................................................................... 2-84
2.19.2 PUCCH Power Control .................................................................................................................... 2-85
2.19.3 PRACH Power Control .................................................................................................................... 2-86
2.20 Paging Procedures ..................................................................................................................................... 2-86
2.20.1 Discontinuous Reception for Paging ................................................................................................ 2-86
2.20.2 Paging Frame ................................................................................................................................... 2-87
2.21 HARQ Operation ...................................................................................................................................... 2-88
2.21.1 Retransmission Types....................................................................................................................... 2-88
2.21.2 HARQ Methods ............................................................................................................................... 2-88
2.21.3 HARQ in LTE .................................................................................................................................. 2-90
2.21.4 HARQ In the Downlink ................................................................................................................... 2-91
2.21.5 HARQ In the Uplink ........................................................................................................................ 2-91
2.21.6 ACK NACK Timing......................................................................................................................... 2-92
2.22 Diversity Options ...................................................................................................................................... 2-94
2.22.1 SU-MIMO and MU-MIMO ............................................................................................................. 2-94
2.22.2 MIMO and Transmission Options .................................................................................................... 2-94
2.22.3 MIMO Modes .................................................................................................................................. 2-95
2.22.4 Spatial Multiplexing in LTE ............................................................................................................. 2-96
2.22.5 Feedback Reporting ......................................................................................................................... 2-98

3 Dynamic Resource Allocation .................................................................................................3-1


3.1 Scheduling Principles and Signaling ............................................................................................................. 3-2
3.1.1 QoS in Packet Switched Networks ...................................................................................................... 3-3
3.1.2 Key Factors Influencing Scheduling .................................................................................................... 3-4
3.1.3 Scheduling Methods ............................................................................................................................. 3-4
3.1.4 Downlink Scheduling ........................................................................................................................... 3-5
3.1.5 PDSCH Resource Allocation ............................................................................................................... 3-6
3.1.6 Modulation and Coding Scheme .......................................................................................................... 3-7
3.1.7 Uplink Scheduling ............................................................................................................................... 3-9
3.2 Scheduler Interaction..................................................................................................................................... 3-9
3.2.1 Radio Bearers ....................................................................................................................................... 3-9
3.2.2 Scheduler Interaction with Layer 2 and Layer 1 .................................................................................. 3-9
3.3 Dynamic and Semi-persistent Scheduling ................................................................................................... 3-10
3.3.1 Dynamic Scheduling .......................................................................................................................... 3-11

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3.3.2 Downlink Semi-persistent Scheduling ............................................................................................... 3-11


3.3.3 Uplink Semi-persistent Scheduling .................................................................................................... 3-12

4 Intra LTE Mobility .....................................................................................................................4-1


4.1 Intra-LTE Mobility ........................................................................................................................................ 4-2
4.1.1 Idle State - Cell Reselection ................................................................................................................. 4-2
4.1.2 Active State Mobility ........................................................................................................................... 4-4
4.1.3 Handover Procedure ............................................................................................................................. 4-5
4.2 Reporting Options ......................................................................................................................................... 4-6
4.2.1 Measurement Configuration Parameter ............................................................................................... 4-6
4.2.2 Report Configuration Parameter .......................................................................................................... 4-7
4.3 Mobility Measurements................................................................................................................................. 4-8
4.3.1 Measurement Gaps ............................................................................................................................... 4-8
4.3.2 Gap Configuration ............................................................................................................................... 4-9
4.3.3 UE Measurements ................................................................................................................................ 4-9

5 Glossary .......................................................................................................................................5-1

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Figures
Figure 1-1 Evolution of Cellular Networks ........................................................................................................ 1-2
Figure 1-2 Second Generation Mobile Systems ................................................................................................. 1-3
Figure 1-3 Third Generation Mobile Systems .................................................................................................... 1-5
Figure 1-4 Forth Generation Mobile System ...................................................................................................... 1-6
Figure 1-5 3GPP Releases .................................................................................................................................. 1-6
Figure 1-6 HSDPA ............................................................................................................................................. 1-7
Figure 1-7 HSUPA ............................................................................................................................................. 1-8
Figure 1-8 HSPA+ (Release 7) ........................................................................................................................... 1-9
Figure 1-9 Release 8 HSPA+ and LTE ............................................................................................................... 1-9
Figure 1-10 Release 9 and Beyond ................................................................................................................... 1-10
Figure 1-11 Radio Interface Techniques ........................................................................................................... 1-10
Figure 1-12 Frequency Division Multiple Access ............................................................................................ 1-11
Figure 1-13 Time Division Multiple Access ..................................................................................................... 1-11
Figure 1-14 Code Division Multiple Access .................................................................................................... 1-12
Figure 1-15 Orthogonal Frequency Division Multiple Access ......................................................................... 1-12
Figure 1-16 Frequency Division Duplex .......................................................................................................... 1-13
Figure 1-17 Time Division Duplex ................................................................................................................... 1-13
Figure 1-18 GSM Deployments ....................................................................................................................... 1-16
Figure 1-19 Key UMTS Deployment Bands .................................................................................................... 1-17
Figure 1-20 EARFCN Calculation ................................................................................................................... 1-19
Figure 1-21 Example Downlink EARFCN Calculation ................................................................................... 1-19
Figure 1-22 Summary of LTE Transport Channel Processing .......................................................................... 1-20
Figure 1-23 Cyclic Redundancy Check Concept .............................................................................................. 1-21
Figure 1-24 CRC Parity Bits ............................................................................................................................ 1-21
Figure 1-25 Code Block Segmentation and CRC Attachment ......................................................................... 1-22
Figure 1-26 Example Calculation for Segmentation and Filler Bits................................................................. 1-22

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Figures

Figure 1-27 Repetition Coding of the HI .......................................................................................................... 1-24


Figure 1-28 Basic Rate Convolutional Coder ............................................................................................... 1-25
Figure 1-29 Convolutional Coding Trellis ........................................................................................................ 1-25
Figure 1-30 Example of Viterbi Decoding ....................................................................................................... 1-26
Figure 1-31 Initializing Tail Biting Convolutional Coding .............................................................................. 1-27
Figure 1-32 LTE 1/3 Rate Tail Biting Convolutional Coding........................................................................... 1-27
Figure 1-33 LTE Turbo Coding ........................................................................................................................ 1-28
Figure 1-34 LTE Rate Matching ....................................................................................................................... 1-28
Figure 1-35 Code Block Concatenation ........................................................................................................... 1-29
Figure 1-36 Use of OFDM in LTE ................................................................................................................... 1-30
Figure 1-37 FDM Carriers ................................................................................................................................ 1-30
Figure 1-38 OFDM Subcarriers........................................................................................................................ 1-31
Figure 1-39 Inverse Fast Fourier Transform ..................................................................................................... 1-31
Figure 1-40 Fast Fourier Transform ................................................................................................................. 1-32
Figure 1-41 OFDM Symbol Mapping .............................................................................................................. 1-33
Figure 1-42 OFDM PAPR (Peak to Average Power Ratio) .............................................................................. 1-33
Figure 1-43 Delay Spread ................................................................................................................................. 1-34
Figure 1-44 Inter Symbol Interference ............................................................................................................. 1-34
Figure 1-45 Cyclic Prefix ................................................................................................................................. 1-35
Figure 2-1 The LTE Air Interface ....................................................................................................................... 2-3
Figure 2-2 LTE Control Plane and User Plane ................................................................................................... 2-3
Figure 2-3 E-UTRA Protocols ............................................................................................................................ 2-4
Figure 2-4 NAS Signaling .................................................................................................................................. 2-4
Figure 2-5 Main RRC Functions ........................................................................................................................ 2-7
Figure 2-6 PDCP Functions ................................................................................................................................ 2-7
Figure 2-7 RLC Modes and Functions ............................................................................................................... 2-8
Figure 2-8 Medium Access Control Functions ................................................................................................... 2-9
Figure 2-9 Physical Layer Functions .................................................................................................................. 2-9
Figure 2-10 LTE Channels ............................................................................................................................... 2-10
Figure 2-11 Location of Channels .................................................................................................................... 2-10
Figure 2-12 BCCH and PCCH Logical Channels ............................................................................................ 2-10
Figure 2-13 CCCH and DCCH Signaling ........................................................................................................ 2-11
Figure 2-14 Dedicated Traffic Channel ............................................................................................................ 2-11

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Figure 2-15 LTE Release 8 Transport Channels ............................................................................................... 2-12


Figure 2-16 Radio Channel .............................................................................................................................. 2-13
Figure 2-17 Downlink Channel Mapping ......................................................................................................... 2-14
Figure 2-18 Uplink Channel Mapping.............................................................................................................. 2-15
Figure 2-19 LTE Frame Structure .................................................................................................................... 2-16
Figure 2-20 Normal and Extended Cyclic Prefix ............................................................................................. 2-16
Figure 2-21 Normal CP Configuration ............................................................................................................. 2-17
Figure 2-22 Type 2 TDD Radio Frame ............................................................................................................. 2-18
Figure 2-23 Downlink Physical Layer Processing ........................................................................................... 2-19
Figure 2-24 Codeword, Layer and Antenna Port Mapping .............................................................................. 2-19
Figure 2-25 Scrambling in LTE ........................................................................................................................ 2-20
Figure 2-26 LTE Scrambling Code Generation ................................................................................................ 2-20
Figure 2-27 BPSK, QPSK and 16QAM Modulation Mapper .......................................................................... 2-21
Figure 2-28 64QAM Modulation Mapper ........................................................................................................ 2-21
Figure 2-29 LTE Precoding Options................................................................................................................. 2-24
Figure 2-30 Example of the Downlink Signal Generation Equation ................................................................ 2-26
Figure 2-31 OFDMA in LTE ............................................................................................................................ 2-27
Figure 2-32 Physical Resource Block and Resource Element .......................................................................... 2-28
Figure 2-33 Downlink Cell ID ......................................................................................................................... 2-29
Figure 2-34 PSS and SSS Location for FDD.................................................................................................... 2-29
Figure 2-35 PSS and SSS Location for TDD ................................................................................................... 2-30
Figure 2-36 SSS Scrambling ............................................................................................................................ 2-31
Figure 2-37 Reference Signals - One Antenna Port.......................................................................................... 2-32
Figure 2-38 Reference Signal Physical Cell ID Offset ..................................................................................... 2-32
Figure 2-39 Reference Signals - Two Antenna Ports (Normal CP) .................................................................. 2-32
Figure 2-40 Reference Signals - Four Antenna Ports (Normal CP).................................................................. 2-33
Figure 2-41 MBSFN Reference Signals ........................................................................................................... 2-34
Figure 2-42 UE Specific Reference Signals ..................................................................................................... 2-34
Figure 2-43 Broadcast Signaling ...................................................................................................................... 2-35
Figure 2-44 MIB to PBCH Mapping (FDD and Normal CP) ........................................................................... 2-35
Figure 2-45 CFI to PCFICH Mapping .............................................................................................................. 2-36
Figure 2-46 FDD Downlink Control Region .................................................................................................... 2-37
Figure 2-47 REG to CCE and PDCCH Mapping ............................................................................................. 2-38

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Figure 2-48 PDCCH to Control Region Mapping ............................................................................................ 2-38


Figure 2-49 CCE Allocation Levels ................................................................................................................. 2-39
Figure 2-50 Common and UE-Specific Search Spaces .................................................................................... 2-39
Figure 2-51 PHICH Mapping ........................................................................................................................... 2-40
Figure 2-52 Extended PHICH Example ........................................................................................................... 2-41
Figure 2-53 Generic PDSCH Mapping ............................................................................................................ 2-41
Figure 2-54 Initial Procedures .......................................................................................................................... 2-47
Figure 2-55 PSS and SSS for Cell Search (FDD Mode) .................................................................................. 2-47
Figure 2-56 Physical Cell Identities ................................................................................................................. 2-48
Figure 2-57 PSS Correlation ............................................................................................................................ 2-48
Figure 2-58 SSS Correlation Example ............................................................................................................. 2-49
Figure 2-59 PBCH and the Master Information Block ..................................................................................... 2-50
Figure 2-60 System Information Block Type 1 ................................................................................................ 2-51
Figure 2-61 Example of SI Mapping ................................................................................................................ 2-52
Figure 2-62 System Information Block Type 2 ................................................................................................ 2-53
Figure 2-63 System Information Block Type 3 ................................................................................................ 2-53
Figure 2-64 System Information Block Type 4 ................................................................................................ 2-53
Figure 2-65 System Information Block Type 5 ................................................................................................ 2-54
Figure 2-66 System Information Block Type 6 ................................................................................................ 2-54
Figure 2-67 System Information Block Type 7 ................................................................................................ 2-54
Figure 2-68 System Information Block Type 8 ................................................................................................ 2-55
Figure 2-69 System Information Block Type 9 ................................................................................................ 2-55
Figure 2-70 PLMN Selection ........................................................................................................................... 2-55
Figure 2-71 LTE Cell Selection ........................................................................................................................ 2-57
Figure 2-72 SC-FDMA Subcarrier Mapping Concept ...................................................................................... 2-59
Figure 2-73 SC-FDMA Signal Generation ....................................................................................................... 2-60
Figure 2-74 SC-FDMA and the eNB ................................................................................................................ 2-60
Figure 2-75 Example of the Uplink Signal Generation Equation ..................................................................... 2-61
Figure 2-76 Release 8 Uplink Physical Channels ............................................................................................. 2-62
Figure 2-77 PRACH Preamble ......................................................................................................................... 2-62
Figure 2-78 PRACH Guard Period................................................................................................................... 2-63
Figure 2-79 PRACH FDD Formats .................................................................................................................. 2-64
Figure 2-80 PRACH Configuration.................................................................................................................. 2-64

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Figure 2-81 PRACH Configuration and Preamble Sequences Per Cell ........................................................... 2-66
Figure 2-82 PUSCH Mapping .......................................................................................................................... 2-67
Figure 2-83 Multiplexing Control Signaling .................................................................................................... 2-67
Figure 2-84 Mapping to Physical Resource Blocks for PUCCH ...................................................................... 2-68
Figure 2-85 FDD Timing .................................................................................................................................. 2-69
Figure 2-86 Example of TDD Configuration 2 ................................................................................................ 2-70
Figure 2-87 Uplink Reference Signals ............................................................................................................. 2-70
Figure 2-88 DRS Sequence Group Selection ................................................................................................... 2-71
Figure 2-89 Uplink Demodulation Reference Signal (Normal CP) .................................................................. 2-72
Figure 2-90 Uplink Demodulation Reference Signal (Extended CP) ............................................................... 2-72
Figure 2-91 Requirement for SRS .................................................................................................................... 2-73
Figure 2-92 Example of SRS Frequency Hopping ........................................................................................... 2-73
Figure 2-93 Example SRS Allocation .............................................................................................................. 2-74
Figure 2-94 PUCCH Format 1a and 1b (Normal CP) ...................................................................................... 2-76
Figure 2-95 PUCCH Format 2 (Normal CP) .................................................................................................... 2-77
Figure 2-96 PUCCH Format 2 (Extended CP) ................................................................................................. 2-77
Figure 2-97 PUCCH Format 2a and 2b ACK/NACK Coding .......................................................................... 2-78
Figure 2-98 Overall Random Access Procedure ............................................................................................... 2-78
Figure 2-99 Random Access RRC Signaling Procedure .................................................................................. 2-79
Figure 2-100 PRACH Probing ......................................................................................................................... 2-79
Figure 2-101 Allocating Preambles to Group A and Group B .......................................................................... 2-81
Figure 2-102 Random Access Response Window ............................................................................................ 2-82
Figure 2-103 MAC Random Access Response ................................................................................................ 2-82
Figure 2-104 Random Access - Assigned UL-SCH ......................................................................................... 2-83
Figure 2-105 MAC Contention Resolution ...................................................................................................... 2-84
Figure 2-106 Uplink Power Control ................................................................................................................. 2-84
Figure 2-107 Paging Issues .............................................................................................................................. 2-86
Figure 2-108 System with DRX Reception of Paging ...................................................................................... 2-87
Figure 2-109 ARQ Verses HARQ .................................................................................................................... 2-88
Figure 2-110 Basic Concept of SAW................................................................................................................ 2-89
Figure 2-111 HARQ Parallel Processes ............................................................................................................ 2-89
Figure 2-112 HARQ Methods .......................................................................................................................... 2-89
Figure 2-113 Example of Redundancy Versions and Soft Bits ......................................................................... 2-90

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Figure 2-114 FDD HARQ Processes ................................................................................................................ 2-91


Figure 2-115 Downlink FDD HARQ Timing ................................................................................................... 2-93
Figure 2-116 Uplink FDD HARQ Timing ........................................................................................................ 2-93
Figure 2-117 SU-MIMO and MU-MIMO ........................................................................................................ 2-94
Figure 2-118 Spatial Multiplexing MIMO ....................................................................................................... 2-95
Figure 2-119 Spatial Multiplexing Interference Issues ..................................................................................... 2-95
Figure 2-120 MIMO Space Time Coding ......................................................................................................... 2-96
Figure 2-121 AMS Concept.............................................................................................................................. 2-96
Figure 2-122 PDSCH Processing ..................................................................................................................... 2-97
Figure 2-123 Feedback Reporting .................................................................................................................... 2-98
Figure 2-124 4-bit CQI Table ........................................................................................................................... 2-98
Figure 3-1 IP Scheduling .................................................................................................................................... 3-2
Figure 3-2 Basic Scheduling in a Cell ................................................................................................................ 3-2
Figure 3-3 Packet Classifier and Packet Scheduler ............................................................................................ 3-3
Figure 3-4 Key Factors Influencing Scheduling ................................................................................................. 3-4
Figure 3-5 Possible Scheduling Method ............................................................................................................. 3-4
Figure 3-6 Type 0 Resource Allocation .............................................................................................................. 3-6
Figure 3-7 Type 1 Resource Allocation .............................................................................................................. 3-7
Figure 3-8 Type 2 Resource Allocation .............................................................................................................. 3-7
Figure 3-9 Using the TBS Size ........................................................................................................................... 3-8
Figure 3-10 Scheduler Interaction .................................................................................................................... 3-10
Figure 3-11 Dynamic Scheduling ..................................................................................................................... 3-11
Figure 3-12 Semi Persistent Scheduling ........................................................................................................... 3-12
Figure 4-1 Intra-LTE Mobility ........................................................................................................................... 4-2
Figure 4-2 Intra-Frequency and Inter-frequency ................................................................................................ 4-2
Figure 4-3 Sintrasearch Parameter ........................................................................................................................... 4-3
Figure 4-4 Impact to Treselection....................................................................................................................... 4-4
Figure 4-5 Ranking Equation ............................................................................................................................. 4-4
Figure 4-6 Intra-LTE Mobility ........................................................................................................................... 4-5
Figure 4-7 LTE Handover Procedure ................................................................................................................. 4-5
Figure 4-8 Measurement Configuration Parameters ........................................................................................... 4-6
Figure 4-9 Report Configuration Parameters ..................................................................................................... 4-7
Figure 4-10 Periodic and Event Reporting ......................................................................................................... 4-8

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Figure 4-11 Non Gap Assisted ............................................................................................................................ 4-8


Figure 4-12 Gap Assisted ................................................................................................................................... 4-9
Figure 4-13 Gap Configuration .......................................................................................................................... 4-9

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Tables

Tables
Table 1-1 2.5G and 2.75G GSM/GPRS Systems ................................................................................................ 1-3
Table 1-2 IMT Advanced Features ..................................................................................................................... 1-5
Table 1-3 GSM Frequency Bands ..................................................................................................................... 1-14
Table 1-4 UMTS FDD Frequency Bands ......................................................................................................... 1-15
Table 1-5 UMTS TDD Frequency Bands ......................................................................................................... 1-15
Table 1-6 LTE Release 8 Frequency Bands ...................................................................................................... 1-18
Table 1-7 Transport Channel Coding Options .................................................................................................. 1-23
Table 1-8 Control Information Coding Options ................................................................................................ 1-23
Table 1-9 CFI Encoding.................................................................................................................................... 1-24
Table 1-10 Convolutional Coding Example ..................................................................................................... 1-25
Table 1-11 Standard Convolutional Coding Verses Tail Biting Convolutional Coding .................................... 1-27
Table 1-12 LTE Sub-block Interleaver.............................................................................................................. 1-29
Table 1-13 LTE Channel and FFT Sizes ........................................................................................................... 1-32
Table 2-1 NAS EMM and ESM Procedures ....................................................................................................... 2-5
Table 2-2 Downlink CP Parameters .................................................................................................................. 2-17
Table 2-3 Type 2 Radio Frame Switching Points.............................................................................................. 2-18
Table 2-4 Layer Mapper Configuration ............................................................................................................ 2-22
Table 2-5 Codeword to Layer Mapping for Spatial Multiplexing .................................................................... 2-22
Table 2-6 Codeword to Layer Mapping for Transmit Diversity ....................................................................... 2-23
Table 2-7 Codebook for Transmission for Two Antenna Ports ......................................................................... 2-25
Table 2-8 Downlink PRB Parameters ............................................................................................................... 2-28
Table 2-9 Example of SSS Indices ................................................................................................................... 2-30
Table 2-10 CFI Mapping .................................................................................................................................. 2-36
Table 2-11 CFI Codewords ............................................................................................................................... 2-37
Table 2-12 DCI Formats ................................................................................................................................... 2-42
Table 2-13 DCI Ambiguous Sizes of Information Bits ..................................................................................... 2-43

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Table 2-14 Precoding Information Field for 4 Antenna Ports (Open Loop) ..................................................... 2-46
Table 2-15 Cell Selection Parameters ............................................................................................................... 2-57
Table 2-16 SC-FDMA verses OFDMA ............................................................................................................ 2-61
Table 2-17 Random Access Preamble Parameters ............................................................................................ 2-63
Table 2-18 PRACH Configuration Index ......................................................................................................... 2-65
Table 2-19 K Values for TDD Configurations............................................................................................... 2-69
Table 2-20 PUCCH Formats ............................................................................................................................. 2-75
Table 2-21 Parameters for Random Access ...................................................................................................... 2-80
Table 2-22 FDD Subframe Patterns .................................................................................................................. 2-87
Table 2-23 TDD Subframe Patterns .................................................................................................................. 2-88
Table 2-24 TDD HARQ Processes ................................................................................................................... 2-91
Table 2-25 UL HARQ Operation ...................................................................................................................... 2-92
Table 2-26 Codebook Precoding....................................................................................................................... 2-97
Table 3-1 Modulation and TBS index table for PDSCH..................................................................................... 3-7

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Objectives
On completion of this section the participants will be able to:
1.1 Describe the evolution of cellular networks.
1.2 Summarize the evolution of 3GPP releases, from release 99 to release 8.
1.3 Describe radio interface techniques.
1.4 Explain the difference between FDD and TDD mode.
1.5 Describe flexible spectrum usage.
1.6 Explain the concepts of channel coding and FEC (Forward Error Correction).
1.7 Describe the principles for OFDM.

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1.1 Evolution of Cellular Networks


Cellular mobile networks have been evolving for many years. The initial networks are
referred to as First Generation. These have now been replaced with Second Generation
and Third Generation networks. It is only now that 4G or Fourth Generation systems are
being deployed.
Figure 1-1 Evolution of Cellular Networks

1G (First
Generation)

2G (Second
Generation)

3G (Third
Generation)

4G (Fourth
Generation)

1.1.1 First Generation Mobile Systems


The 1G (First Generation) mobile systems were not digital, i.e. they utilized analogue
modulation techniques. The main systems included:

AMPS (Advanced Mobile Telephone System) - This first appeared in 1976 in the United
States. It was mainly implemented in the Americas, Russia and Asia. Various issues
including weak security features made the system prone to hacking and handset cloning.

TACS (Total Access Communications System) - This was the European version of
AMPS with slight modifications, as well as operating in different frequency bands. It
was mainly used in the United Kingdom, as well as parts of Asia.

ETACS (Extended Total Access Communication System) - This provided an improved


version of TACS. It enabled a greater number of channels and therefore facilitated more
users.

These analogue systems were all proprietary based FM (Frequency Modulation) systems and
therefore they all lacked security, any meaningful data service and international roaming
capability.

1.1.2 Second Generation Mobile Systems


2G (Second Generation) systems utilize digital multiple access technology, such as TDMA
(Time Division Multiple Access) and CDMA (Code Division Multiple Access). Figure 1-2
illustrates some of the different 2G mobile systems, these include:

1-2

GSM (Global System for Mobile communications) - this is the most successful of all 2G
technologies. It was initially developed by ETSI (European Telecommunications
Standards Institute) for Europe and designed to operate in the 900MHz and 1800MHz
frequency bands. It now has world-wide support and is available for deployment on
many other frequency bands, such as 850MHz and 1900MHz. A mobile described as
tri-band or quad-band indicates support for multiple frequency bands on the same device.
GSM is TDMA, such that it employs 8 timeslots on a 200kHz radio carrier.

cdmaOne - this is a CDMA (Code Division Multiple Access) system based on IS-95
(Interim Standard 95). It uses a spread spectrum technique and utilizes a mixture of
codes and timing to identify cells and channels. The system bandwidth is 1.25MHz.

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D-AMPS (Digital - Advanced Mobile Phone System) - this is based on IS-136 (Interim
Standard 136) and is effectively an enhancement to AMPS which provides a TDMA
access technique. It has been primarily used on the North American continent, as well as
in New Zealand and parts of Asia-Pacific.

Figure 1-2 Second Generation Mobile Systems

2G (Second
Generation)

GSM

Other

cdmaOne
(IS-95)

D-AMPS
(IS-136)

In addition to being digital, as well as improving capacity and security, these 2G digital
systems also offer enhanced services such as SMS (Short Message Service) and circuit
switched data.

2.5G Systems
Most 2G systems are being evolved. For example, GSM was extended with GPRS (General
Packet Radio System) to support efficient packet data services, as well as increasing the data
rates.
As this feature does not meet 3G requirements, GRPS is often referred to as 2.5G. A
comparison between 2G and 2.5G systems is illustrated in Table 1-1.

2.75G Systems
GSM/GPRS systems also added EDGE (Enhanced Data Rates for Global Evolution). This
nearly quadruples the throughput of GPRS. The theoretical data rate of 473.6kbit/s enables
service providers to efficiently offer multimedia services. Like GPRS, since it does not
comply with all the features of a 3G system, EDGE is usually categorized as 2.75G.

Table 1-1 2.5G and 2.75G GSM/GPRS Systems


System

Service

Theoretical Data
Rate

Typical Data Rate

2G GSM

Circuit Switched
Data Service

9.6kbit/s or
14.4kbit/s

9.6kbit/s or
14.4kbit/s

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2.5G GPRS

Packet Switched
Data

171.2kbit/s

4kbit/s to 50kbit/s

2.75G EDGE

Packet Switched
Data

473.6kbit/s

120kbit/s

1.1.3 Third Generation Mobile Systems


3G (Third Generation) systems are defined by IMT2000 (International Mobile
Telecommunications - 2000). IMT2000 defines that a 3G system should provide higher
transmission rates, for example: 2Mbit/s for stationary or nomadic use and 348kbit/s in a
moving vehicle.
The main 3G technologies are illustrated in Figure 1-3.These include:

1-4

WCDMA (Wideband CDMA) - This was developed by the 3GPP (Third Generation
Partnership Project). There are numerous variations on this standard, including
TD-CDMA and TD-SCDMA. WCDMA is the main evolutionary path from GSM/GPRS
networks. It is a FDD (Frequency Division Duplex) based system and occupies a 5MHz
carrier. Current deployments are mainly at 2.1GHz, however deployments at lower
frequencies are also being seen, e.g. UMTS1900, UMTS850, UMTS900 etc. WCDMA
supports voice and multimedia services with an initial theoretical rate of 2Mbit/s, with
most service providers initially offering 384kbit/s per user. However, this technology is
continuing to evolve and later 3GPP releases have increased the rates to in excess of
40Mbit/s.

TD-CDMA (Time Division CDMA) - This is typically referred to as UMTS TDD (Time
Division Duplex) and is part of the UMTS specifications, however it has only limited
support. The system utilizes a combination of CDMA and TDMA to enable efficient
allocation of resources.

TD-SCDMA (Time Division Synchronous CDMA) - This was jointly developed by


Siemens and the CATT (China Academy of Telecommunications Technology).
TD-SCDMA has links to the UMTS specifications and is often identified as UMTS-TDD
LCR (Low Chip Rate). Like TD-CDMA, it is also best suited to low mobility scenarios
in micro or pico cells.

CDMA2000 - This is a multi-carrier technology standard which uses CDMA.


CDMA2000 is actually a set of standards including CDMA2000 EV-DO
(Evolution-Data Optimized) which has various revisions. It is worth noting that
CDMA2000 is backward compatible with cdmaOne.

WiMAX (Worldwide Interoperability for Microwave Access) - This is another wireless


technology which satisfies IMT2000 3G requirements. The air interface is part of the
IEEE (Institute of Electrical and Electronics Engineers) 802.16 standard which originally
defined PTP (Point-To-Point) and PTM (Point-To-Multipoint) systems. This was later
enhanced to provide mobility and greater flexibility. The success of WiMAX is mainly
down to the WiMAX Forum, which is an organization formed to promote conformity
and interoperability between vendors.

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Figure 1-3 Third Generation Mobile Systems

UMTS
WCDMA

3G (Third
Generation)

UMTS
TD-CDMA

WiMAX

CDMA2000
TD-SCDMA

1.1.4 Fourth Generation Mobile Systems


4G (Fourth Generation) cellular wireless systems need to meet the requirements set by the
ITU (International Telecommunication Union) as part of IMT Advanced (International Mobile
Telecommunications Advanced). These features are illustrated in Table 1-2 and enable IMT
Advanced to address evolving user needs.
Table 1-2 IMT Advanced Features
Key IMT Advanced Features
A high degree of commonality of functionality worldwide while retaining the flexibility to
support a wide range of services and applications in a cost efficient manner.
Compatibility of services within IMT and with fixed networks.
Capability of interworking with other radio access systems.
High quality mobile services.
User equipment suitable for worldwide use.
User-friendly applications, services and equipment.
Worldwide roaming capability.
Enhanced peak data rates to support advanced services and applications (100Mbit/s for high
and 1Gbit/s for low mobility were identified as targets).
The main three 4G systems include:

LTE Advanced - LTE (Long Term Evolution) is part of 3GPP, however it does not meet
all IMT Advanced features, as such it is sometimes referred to as 3.99G. In contrast, LTE
Advanced is part of a later 3GPP Release and has been designed specifically to meet 4G
requirements.

WiMAX 802.16m - The IEEE and the WiMAX Forum have identified 802.16m as their
offering for a 4G system.

UMB (Ultra Mobile Broadband) - This is identified as EV-DO Rev C. It is part of 3GPP2
however most vendors and service providers have decided to promote LTE instead.

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Figure 1-4 Forth Generation Mobile System

4G (Fourth
Generation)
LTE
Advanced

UMB
(EV-DO Rev C)

WiMAX
802.16m

1.2 3GPP Releases


The development of GSM, GPRS, EDGE, UMTS, HSPA and LTE is in stages known as 3GPP
releases. Hardware vendors and software developers use these releases as part of their
development roadmap. Figure 1-5 illustrates the main 3GPP Releases that enhance the radio
interface.
Figure 1-5 3GPP Releases

Phase 2+
(Release 97)

Release 99

Release 6

Release 8

GPRS
171.2kbit/s

UMTS
2Mbit/s

HSUPA
5.76Mbit/s

LTE
+300Mbit/s

Release 9/10
LTE Advanced
GSM
9.6kbit/s

EDGE
473.6kbit/s

HSDPA
14.4Mbit/s

Phase 1

Release 99

Release 5

HSPA+
28.8Mbit/s
42Mbit/s
Release 7/8

3GPP Releases enhance various aspects, not just the radio interface. For example, Release 5
started the introduction of the IMS (IP Multimedia Subsystem) in the core network.

1.2.1 Pre-Release 99
Pre-Release 99 saw the introduction of GSM, as well as the addition of GPRS. The main
GSM Phases and 3GPP Releases include:

1-6

GSM Phase 1.

GSM Phase 2.

GSM Phase 2+ (Release 96).

GSM Phase 2+ (Release 97).

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GSM Phase 2+ (Release 98).

1.2.2 Release 99
3GPP Release 99 saw the introduction of UMTS, as well as the EDGE enhancement to GPRS.
UMTS contains all features needed to meet the IMT-2000 requirements as defined by the ITU.
It is able to support both CS (Circuit Switched) voice and video services, as well PS (Packet
Switched) data services over common and dedicated bearers. Initial data rates for UMTS were
64kbit/s, 128kbit/s and 384kbit/s. Note that the theoretical maximum was 2Mbit/s.

1.2.3 Release 4
Release 4 included enhancements to the core network. The concept of All IP Networks was
included and service providers were able to deploy Soft Switch based networks, i.e. the MSC
(Mobile Switching Centre) was replaced by MSC Servers and MGW (Media Gateways).

1.2.4 Release 5
Release 5 is the first major addition to the UMTS air interface. It adds HSDPA (High Speed
Downlink Packet Access) which improves capacity and spectral efficiency. Figure 1-6
illustrates some of the main features which include:

Adaptive Modulation - In addition to the original UMTS modulation scheme, QPSK


(Quadrature Phase Shift Keying), HSDPA also includes support for 16 QAM
(Quadrature Amplitude Modulation).

Flexible Coding - Based on fast feedback from the mobile in the form of a CQI (Channel
Quality Indicator) the UMTS base station, i.e. the Node B, is able to modify the effective
coding rate and thus increase system efficiency.

Fast Scheduling - HSDPA includes a 2ms TTI (Time Transmission Interval), which
enables the Node B scheduler to quickly and efficiently allocate resources to mobiles.

HARQ (Hybrid Automatic Repeat Request) - In the event a packet does not get through
to the UE (User Equipment) successfully, the system employs HARQ (Hybrid Automatic
Repeat Request). This improves the retransmission timing, thus requiring less reliance on
the RNC (Radio Network Controller).

Figure 1-6 HSDPA

HSDPA
Adaptive Modulation
Flexible Coding
Fast Scheduling (2ms)
HARQ

UTRAN

Iub
Node B

RNC

UE

1.2.5 Release 6
Release 6 adds various features, with HSUPA (High Speed Uplink Packet Data) being of most
interest to RAN development. Even though the term HSUPA is widespread, this 3GPP
enhancement also goes under the term Enhanced Uplink. It is also worth noting that

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HSDPA and HSUPA work in tandem and thus the term HSPA (High Speed Packet Access) is
used.
HSUPA, like HSDPA adds functionality to improve packet data. Figure 1-7 illustrates the
three main enhancements which include:

Flexible Coding - HSUPA has the ability to dynamically change the coding and therefore
improve the efficiency of the system.

Fast Power Scheduling - A key fact of HSUPA is that it provides a method to schedule
the power from different mobiles. This scheduling can use either a 2ms or 10ms TTI.

HARQ - Like HSDPA, HSUPA also utilizes HARQ. The main difference is the timing
relationship for the retransmission.

Figure 1-7 HSUPA

UTRAN

HSUPA
Flexible Coding
Fast Power Scheduling
HARQ

Iub
Node B

RNC

UE

1.2.6 Release 7
The main RAN based feature of Release 7 is HSPA+. This, like HSDPA and HSUPA,
provides various enhancements to improve packet switched data delivery. Figure 1-8
illustrates the main features which include:

1-8

64 QAM - This is added to the DL (Downlink) and enables HSPA+ to operate at a


theoretical rate of 21.6Mbit/s.

16 QAM - This is added to the UL (Uplink) and enables the uplink to theoretically
achieve 11.76Mbit/s.

MIMO (Multiple Input Multiple Output) Operation - this is added to HSPA+ Release 7
and offers various benefits including the ability to offer a theoretical 28.8Mbits/s in the
downlink.

Power Enhancements -Various enhancements such as CPC (Continuous Packet


Connectivity) have been included. Thus enabling DTX (Discontinuous Transmission),
DRX (Discontinuous Reception) and HS-SCCH (High Speed - Shared Control Channel)
Less Operation. Collectively these improve the mobiles battery consumption.

Less Overhead - The downlink includes an enhancement to the MAC (Medium Access
Control) layer which effectively means that fewer headers are required. This in turn
improves the system efficiency.

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Figure 1-8 HSPA+ (Release 7)

HSPA+
64 QAM (DL)
16 QAM (UL)
MIMO Operation (DL)
Power Enhancements (DL)
Less Overhead (DL)

UTRAN

Iub
Node B

RNC

UE

1.2.7 Release 8
There are many additions to the RAN functionality in Release 8, such as enhancements to
HSPA+. However the main aspect is the inclusion of LTE (Long Term Evolution). Figure 1-9
illustrates some of the main features for Release 8 HSPA+ and LTE.
Release 8 HSPA+ enables various key enhancements, these include:

64 QAM and MIMO - Release 8 enables the combination of 64 QAM and MIMO, thus
quoting a theoretical rate of 42Mbit/s, i.e. 2 x 21.6Mbit/s.

Dual Cell Operation - DC-HSDPA (Dual Cell - HSDPA) is a Release 8 feature which is
further enhanced in Release 9 and Release 10. It enables a mobile to effectively utilize
two 5MHz UMTS carriers. Assuming both are using 64 QAM (21.6Mbit/s), the
theoretical maximum is 42Mbps. Note that in Release 8 a mobile is not able to combine
MIMO and DC-HSDPA.

Less Uplink Overhead - In a similar way to Release 7 in the downlink, the Release 8
uplink has been enhanced to reduce overhead.

Figure 1-9 Release 8 HSPA+ and LTE

UTRAN

HSPA+
64 QAM + MIMO (DL)
Dual Cell Operation
Less Overhead (UL)

Iub
Node B
LTE
Enhanced Techniques
Flexible Bandwidth
Flexible Spectrum Options
High Data Rates
Very Fast Scheduling
Improved Latency

RNC

UE
E-UTRAN

eNB

LTE provides a new radio access technique, as well as enhancements in the E-UTRAN
(Evolved - Universal Terrestrial Radio Access Network). These enhancements are further
discussed as part of this course.
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1.2.8 Release 9 and Beyond


Even though LTE is a Release 8 system, it is further enhanced in Release 9. There are a huge
number of features in Release 9. One of the most important is the support of additional
frequency bands.
Figure 1-10 Release 9 and Beyond

LTE
Release 8

LTE
Release 9

LTE Advanced
Release 10

Release 10 includes the standardization of LTE Advanced, i.e. the 3GPPs 4G offering. As
such it includes modification to the LTE system to facilitate 4G services.

1.3 Radio Interface Techniques


In wireless cellular systems, mobiles have to share a common medium for transmission. There
are various categories of assignment, the main four include: FDMA (Frequency Division
Multiple Access), TDMA (Time Division Multiple Access), CDMA (Code Division Multiple
Access) and OFDMA (Orthogonal Frequency Division Multiple Access).
Figure 1-11 Radio Interface Techniques

Radio Interface
Techniques
FDMA

OFDMA

TDMA

CDMA

1.3.1 Frequency Division Multiple Access


In order to accommodate various devices on the same wireless network, FDMA divides the
available spectrum into sub-bands or channels. The concept of FDMA is illustrated in Figure
1-12. Using this technique a dedicated channel can be allocated to a user, whilst other users
occupy other channels, i.e. frequencies.
In a cellular system mobiles typically occupy multiple channels; one for the downlink and one
for the uplink. This does however make FDMA less efficient since most data applications are
downlink intensive.

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Figure 1-12 Frequency Division Multiple Access

Power

Time
FDMA
Each user allocated a
different subband/
channel.
Frequency

FDMA channels also suffer since they cannot be close together due to the energy from one
transmission affecting the adjacent/neighboring channels. To combat this, additional guard
bands between channels are required, which also reduces the systems spectral efficiency.

1.3.2 Time Division Multiple Access


In TDMA systems the channel bandwidth is shared in the time domain. Figure 1-13 illustrates
the concept of TDMA. It shows how each device is allocated a time on the channel, known as
a timeslot. These are then grouped into a TDMA frame. The number of timeslots in a
TDMA frame is dependent on the system, for example GSM utilizes 8 timeslots.
Figure 1-13 Time Division Multiple Access

Power

Time
TDMA
Each user allocated a
different time on the
channel.

Frequency
Devices must be allocated a timeslot; therefore it is usual to have one or more timeslots
reserved for common control and system access.
TDMA systems are normally digital and therefore offer additional features such as ciphering
and integrity. In addition, they can employ enhanced error detection and correction schemes
including FEC (Forward Error Correction). This enables the system to be more resilient to
noise and interference and therefore they have a greater spectral efficiency when compared to
FDMA systems.

1.3.3 Code Division Multiple Access


The concept of CDMA is slightly different to that of FDMA and TDMA. Instead of sharing
resources in the time or frequency domain, the devices are able to use the system at the same
time and using the same frequency/bandwidth. This is possible due to the fact that each
transmission is separated using a unique code.
There are two main types of CDMA, FHSS (Frequency Hopping Spread Spectrum) and DSSS
(Direct Sequence Spread Spectrum), with all the current cellular systems utilizing DSSS.

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Figure 1-14 illustrates the basic concept of CDMA. The narrowband signals are spread with a
wideband code and then transmitted. The receivers are designed to extract the encoded signal
(with the correct code) and reject everything else as noise.
Figure 1-14 Code Division Multiple Access

Time

Power

CDMA
Each user allocated a
different code on the
channel.

Frequency
UMTS, cdmaOne and CDMA2000 all use CDMA. However the implementation of the codes
and the bandwidths used is different. For example UMTS utilizes a 5MHz channel bandwidth,
whereas cdmaOne uses only 1.25MHz.

1.3.4 Orthogonal Frequency Division Multiple Access


OFDMA (Orthogonal Frequency Division Multiple Access) is the latest addition to cellular
systems. It provides a multiple access technique based on OFDM (Orthogonal Frequency
Division Multiplexing). Figure 1-15 illustrates the basic view of OFDMA. It can be seen that
the bandwidth is broken down to smaller units known as subcarriers. These are grouped
together and allocated as a resource to a device. It can also be seen that a device can be
allocated different resources in both the time and frequency domain.
Additional detail on OFDM and OFDMA is provided in Section 1.7 and 2.6 .
Figure 1-15 Orthogonal Frequency Division Multiple Access

Time

Power

OFDMA
Each user allocated a
different resource
which can vary in
time and frequency.
Frequency

1.4 Transmission Modes


Cellular systems can be designed to operate in two main transmission modes, namely FDD
(Frequency Division Duplex) and TDD (Time Division Duplex).

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1.4.1 Frequency Division Duplex


The concept of FDD is illustrated in Figure 1-16. A separate uplink and downlink channel are
utilized, enabling a device to transmit and receive data at the same time (assuming the device
incorporates a duplexer). The spacing between the uplink and downlink channel is referred to
as the duplex spacing.
Figure 1-16 Frequency Division Duplex

Channel
Bandwidth

Channel
Bandwidth

Uplink

Downlink

Frequency

Duplex Spacing
Normally the uplink channel (mobile transmit) operates on the lower frequency. This is done
because higher frequencies suffer greater attenuation than lower frequencies and therefore it
enables the mobile to utilize lower transmit levels.
Some systems also offer half-duplex FDD mode, where two frequencies are utilized, however
the mobile can only transmit or receive, i.e. not transmit and receive at the same time. This
allows for reduced mobile complexity since no duplex filter is required.

1.4.2 Time Division Duplex


TDD mode enables full duplex operation using a single frequency band and time division
multiplexing the uplink and downlink signals. One advantage of TDD is its ability to provide
asymmetrical uplink and downlink allocation. Depending on the system, other advantages
include dynamic allocation, increased spectral efficiency, as well as the improved use of
beamforming techniques - this is due to having the same uplink and downlink frequency
characteristics.
Figure 1-17 Time Division Duplex

Downlink
and Uplink

Downlink
TDD Frame

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Frequency

TDD

Asymmetric
Allocation

Uplink

Downlink

Uplink

Time

TDD Frame

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1.5 Spectrum Usage


One of the main factors in any cellular system is the frequency of deployment. Most 2G, 3G
and 4G systems offer multiple options. For example, GSM can be deployed at various bands
including: 900MHz, 1800MHz, 1900MHz, 850MHz etc.

1.5.1 Frequency Bands


Each cellular system defines its own set of frequency bands it is able to operate on. In order to
identify possible LTE bands it is worth noting the bands used by other technologies such as
GSM, UMTS etc.

GSM Bands
Table 1-3 illustrates the main frequency bands defined for GSM. However, this does not
guarantee that the spectrum is available since there may be regulatory issues, as well as
limitations in some handsets and base stations.
The initial GSM band was referred to as P-GSM (Primary GSM). This was mainly defined to
replace the TACS system which was also in the 900MHz band. Other 900MHz bands which
were added include E-GSM (Extended GSM) and R-GSM (Railways GSM) bands, providing
more channels and support of a railway based variant. Finally, other bands away from the
900MHz band are also available; however the support for 450MHz and 480MHz is limited.
The terms DCS (Digital Cellular Service) and PCS (Personal Communications Service) are
typically used in Europe and North America respectively to identify the higher frequency
deployment options. It was expected that these frequencies would offer a better re-use in built
up areas and therefore provide additional capacity.
Table 1-3 GSM Frequency Bands
Operating Band

Frequency
Band

Uplink Frequency
(MHz)

Downlink
Frequency (MHz)

GSM 400

450

450.4 - 457.6

460.4 - 467.6

GSM 400

480

478.8 - 486.0

488.8 - 496.0

GSM 850

850

824.0 - 849.0

869.0 - 894.0

GSM 900 (P-GSM)

900

890.0 - 915.0

935.0 - 960.0

GSM 900 (E-GSM)

900

880.0 - 915.0

925.0 - 960.0

GSM-R (R-GSM)

900

876.0 - 880.0

921.0 - 925.0

DCS 1800

1800

1710.0 - 1785.0

1805.0 - 1880.0

PCS 1900

1900

1850.0 - 1910.0

1930.0 - 1990.0

UMTS Bands
UMTS, like GSM, has a number of frequency bands defined. These are identified by an
Operating Band number which is illustrated in Table 1-4, along with the associated Uplink
and downlink frequency ranges.

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Table 1-4 UMTS FDD Frequency Bands


Operating Band

Frequency
Band

Uplink Frequency
(MHz)

Downlink
Frequency (MHz)

2100

1920 - 1980

2110 - 2170

II

1900

1850 - 1910

1930 - 1990

III

1800

1710 - 1785

1805 - 1880

IV

1700

1710 - 1755

2110 - 2155

850

824 - 849

869 - 894

VI

800

830 - 840

875 - 885

VII

2600

2500 - 2570

2620 - 2690

VIII

900

880 - 915

925 - 960

IX

1700

1749.9 - 1784.9

1844.9 - 1879.9

1700

1710 - 1770

2110 - 2170

XI

1500

1427.9 - 1452.9

1475.9 - 1500.9

XII

700

698 - 716

728 - 746

XIII

700

777 - 787

746 - 756

XIV

700

788 - 798

758 - 768

In addition to the previous UMTS FDD bands, various UMTS TDD bands are also defined.
Table 1-5 illustrates the main TDD bands, however the majority of these have never been
implemented.
Table 1-5 UMTS TDD Frequency Bands
Frequency Band
1900 - 1920
2010 - 2025
1850 - 1910
1930 - 1990
1910 - 1930
2570 - 2620

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1.5.2 Existing Mobile Deployment


The list of current mobile service providers is constantly increasing. The latest list of
GSM/UMTS and LTE operators is maintained by the GSMA (GSM Association).

GSM Deployments
Figure 1-18 summarizes the main GSM deployment bands. It can be seen that GSM 900 and
GSM 1800 are used in most parts of the world, i.e. Europe, Middle East, Africa and most of
Asia/Pacific. In contrast, GSM 850 and GSM 1900 are mainly used in North America and
Canada, as well as many other locations. Finally, the lower frequency bands, i.e. GSM
400/450 has limited support.
Figure 1-18 GSM Deployments

Europe, Middle
East, Africa,
and most of
Asia/Pacific.

United States,
Canada, and
many other
countries in the
Americas.

GSM 900
GSM 1800

This has
limited
support.

GSM 850
GSM 1900

GSM 400

Main UMTS Deployments


The main UMTS deployment bands are illustrated in Figure 1-19, these include:

Band I (WCDMA 2100) - This is mainly used in Europe, Africa, Asia, Australia, New
Zealand and Brazil.

Band II (WCDMA 1900) - This is used in North and South America.

Band IV (WCDMA 1700) - This is typically referred to as the AWS (Advanced Wireless
Services) band. Certain service providers in North America and Canada have access to
this band.

Band V (WCDMA 850) - This is found mainly in North and South America, as well as
Australia, New Zealand, Canada, Israel, Poland and Asia.

Band VIII (WCDMA 900) - This is now being found in Europe, Asia, Australia, New
Zealand and Venezuela.
This list and usage of bands is not exclusive. As such other countries, as well as other cellular systems
may exist.

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Figure 1-19 Key UMTS Deployment Bands

Band II
(WCDMA
1900)

Band I
(WCDMA
2100)

Band IV
(WCDMA
1700)

Main UMTS
Deployments
Band V
(WCDMA
850)

Band VIII
(WCDMA
900)

1.5.3 LTE Release 8 Bands


The LTE Radio interface, namely the E-UTRA (Evolved - Universal Terrestrial Radio Access),
is able to operate in many different radio bands. Table 1-6 illustrates the Release 8 frequency
bands as well as other parameters which are used to identify centre frequencies. FDD requires
two centre frequencies, one for the downlink and one for the uplink. These carrier frequencies
are each given an EARFCN (E-UTRA Absolute Radio Frequency Channel Number) which
ranges from 0 to 65535. In contrast, TDD only has one EARFCN. The parameters required to
calculate the EARFCN(s) include:

FDL_low - This is the lower frequency of the downlink band.

FDL_high - This is the higher frequency of the downlink band.

NOffs-DL - This is a parameter used as part of the downlink EARFCN calculation.

NDL - This is the actual downlink EARFCN number.

FUL_low - This is the lower frequency of the uplink band.

FUL_high - This is the higher frequency of the uplink band.

NOffs-UL - This is a parameter used as part of the uplink EARFCN calculation.

NUL - This is the actual uplink EARFCN number.

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Table 1-6 LTE Release 8 Frequency Bands


Band

Duplex

FDL_low

FDL_high

(MHz)

(MHz)

NOffs-DL

NDL

FUL_low

FUL_high

(MHz)

(MHz)

NOffs-UL

NUL

FDD

2110

2170

0-599

1920

1980

18000

18000-18599

FDD

1930

1990

600

600-1199

1850

1910

18600

18600-19199

FDD

1805

1880

1200

1200-1949

1710

1785

19200

19200-19949

FDD

2110

2155

1950

1950-2399

1710

1755

19950

19950-20399

FDD

869

894

2400

2400-2649

824

849

20400

20400-20649

FDD

875

885

2650

2650-2749

830

840

20650

20650-20749

FDD

2620

2690

2750

2750-3449

2500

2570

20750

20750-21449

FDD

925

960

3450

3450-3799

880

915

21450

21450-21799

FDD

1844.9

1879.9

3800

3800-4149

1749.9

1784.9

21800

21800-22149

10

FDD

2110

2170

4150

4150-4749

1710

1770

22150

22150-22749

11

FDD

1475.9

1500.9

4750

4750-4999

1427.9

1452.9

22750

22750-22999

12

FDD

728

746

5000

5000-5179

698

716

23000

23000-23179

13

FDD

746

756

5180

5180-5279

777

787

23180

23180-23279

14

FDD

758

768

5280

5280-5379

788

798

23280

23280-23379

17

FDD

734

746

5730

5730-5849

704

716

23730

23730-23849

33

TDD

1900

1920

36000

36000-36199

1900

1920

36000

36000-36199

34

TDD

2010

2025

36200

36200-36349

2010

2025

36200

36200-36349

35

TDD

1850

1910

36350

36350-36949

1850

1910

36350

36350-36949

36

TDD

1930

1990

36950

36950-37549

1930

1990

36950

36950-37549

37

TDD

1910

1930

37550

37550-37749

1910

1930

37550

37550-37749

38

TDD

2570

2620

37750

37750-38249

2570

2620

37750

37750-38249

39

TDD

1880

1920

38250

38250-38649

1880

1920

38250

38250-38649

40

TDD

2300

2400

38650

38650-39649

2300

2400

38650

38650-39649

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Carrier Frequency EARFCN Calculation


The EARFCN is calculated using a combination of the equations in Figure 1-20 and the
values in Table 1-6.
The channel raster for LTE is 100kHz for all bands, i.e. the carrier centre frequency must be
an integer multiple of 100kHz. This is represented in the equation by the 0.1 value.
Figure 1-20 EARFCN Calculation

FDL = FDL_low + 0.1(NDL - NOffs-DL)

eNB

FUL = FUL_low + 0.1(NUL - NOffs-UL)

UE

The channel numbers that designate carrier frequencies close to the edges of the operating band are not
used. This implies that the first 7, 15, 25, 50, 75 and 100 channel numbers at the lower operating band
edge and the last 6, 14, 24, 49, 74 and 99 channel numbers at the upper operating band edge are not used
for channel bandwidths of 1.4, 3, 5, 10, 15 and 20 MHz respectively.

Example
It is possible to utilize the previous equations to calculate the frequency for a given EARFCN.
In addition, it is possible to calculate the EARFCN for a given frequency. Figure 1-21
illustrates an example with a defined uplink and downlink frequency. The calculation shown
in the figure translates a downlink frequency of 2127.4MHz to an EARFCN equal to 174.
Figure 1-21 Example Downlink EARFCN Calculation

100kHz Raster
Uplink

Downlink

1937.4MHz

2127.4MHz

Frequency

FDL = FDL_low + 0.1(NDL - NOffs-DL)


NDL =
NDL =

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(FDL - FDL_low)
0.1

+ NOffs-DL

(2127.4 - 2110)
+ 0 = 174
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1.6 Channel Coding in LTE


The term channel coding can be used to describe the overall coding for the LTE channel. It
can also be used to describe one of the individual stages.
LTE channel coding is typically focused on a TB (Transport Block). This is a block of
information which is provided by the upper layer, i.e. MAC (Medium Access Control). Figure
1-22 summarizes the typical processes performed by the PHY (Physical Layer), these include:

CRC (Cyclic Redundancy Check) attachment for the Transport Block.

Code block segmentation and CRC attachment.

Channel Coding.

Rate Matching.

Code Block Concatenation.

Figure 1-22 Summary of LTE Transport Channel Processing

Transport Block

MAC Layer
PHY Layer

Transport Block CRC Attachment


Code Block CRC Attachment and
Segmentation
Channel Coding

Rate Matching

Code Block Concatenation

Additional Layer 1 Processes

The coding stages in Figure 1-22 are indicative of the LTE DL-SCH (Downlink Shared Channel) and the
PCH (Paging Channel). Other channels, such as the UL-SCH (Uplink Shared Channel), BCH (Broadcast
Channel) etc. are different but they can still utilize similar processes, e.g. they all have a channel coding
stage.

1.6.1 Transport Block CRC


The error detection method across the air interface is based on the addition of a CRC (Cyclic
Redundancy Check). Figure 1-23 illustrates the basic concept of attaching a CRC to the
Transport Block. The purpose of the CRC is to detect errors which may have occurred when
the data was being sent. In LTE the CRC is based on complex parity checking.

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Figure 1-23 Cyclic Redundancy Check Concept

Calculate
CRC

Calculate
CRC

Transport Block

CRC
Compare

Transport Block

CRC

Transmitter

Transport Block

CRC

Receiver
Possible radio
interface errors

The LTE transport block is used to calculate the CRC parity bits. The size of the CRC is set to
24bits, 16bits or 8bits. This is typically indicated by higher layer signaling, i.e. RRC (Radio
Resource Control). Figure 1-24 illustrates the CRC parity bits, where A is the size of the
transport block and L is the number of parity bits. In addition, the lowest order information bit
a0 is mapped to the most significant bit of the transport block.
Figure 1-24 CRC Parity Bits

A = Input Sequence
a0

a1

a2

a3

L = Parity Length
aA-1

p0

Transport Block

p1

pL-1

CRC Parity Bits

The parity bits are generated by one of the following cyclic generator polynomials:
gCRC24A(D) = D24 + D23 + D18 + D17 + D14 +D11 + D10 + D7 + D6 + D5 + D4 + D3 + D + 1
gCRC16(D) = D16 + D12 + D5 + 1
gCRC8(D) = D8 + D7 + D4 + D3 + D + 1

Parity Checking
The encoding is performed in a systematic form, which means that in GF(2) (Galois Field (2)),
the polynomial:
a0DA+23 + a1DA+22 ++ aA-1D24 + p0D23 + + p1D22+ p22D1 + p23
yields a remainder equal to 0 when divided by the corresponding 24bit CRC generator
polynomial. Note that the 16bit and 8bit CRC generators each have a different polynomial
which also yields a remainder equal to 0.

1.6.2 Code Block Segmentation and CRC Attachment


The next stage in the processing of the transport block is code block segmentation and CRC
attachment. Figure 1-25 illustrates the concept of code block segmentation. This process
ensures that the size of each block is compatible with later stages of processing, i.e. the turbo
interleaver. In addition, each code bock (segment) has a CRC included for the turbo coding.

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Figure 1-25 Code Block Segmentation and CRC Attachment

Transport Block CRC


Transport Block

CRC

CRC
Code Block #1

Code Block #2

Filler Bits

Code Block #3
Code Block CRC

The input bit sequence to the code block segmentation is denoted by b0 , b1 ,.bB1.
Segmentation is performed if B is larger than the maximum code block size Z (6144bits).
Finally, an additional CRC sequence of 24bits is attached to each code block.
Note that if B < 40, filler bits are added to the beginning of the code block.

The code block CRC is different to the one used by the transport blocks. The polynomial is:
gCRC24B(D) = D24 + D23 + D6 + D5 + D + 1
The verification polynomial is the same one used for the gCRC24A transport block which also
yields a remainder equal to 0.

Example
Figure 1-26 illustrates an example for segmentation when B=8000. In this instance the initial
segment size is 4200bits (including the 24bit transport block CRC) which gets a 24bit code
block CRC. The remaining 3800bits also get a 24bit code block CRC, however an additional
16bits of filler is required to ensure that the segments meet a valid turbo coding code block
size.
Figure 1-26 Example Calculation for Segmentation and Filler Bits.

8000bits

24bit Code
Block CRC
3800bits
3840bits
16 Filler Bits

24bit Code
Block CRC
4200bits
4224bits

In this example the total number of bits sent is 8064bits, thus an extra 64bits are sent (24bits
+24bits +16bits).

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1.6.3 Channel Coding


Channel coding in LTE facilitates FEC (Forward Error Correction) across the air interface.
There are four main types:

Repetition Coding

Block Coding.

Tail Biting Convolutional Coding.

Turbo Coding.

The actual method used is linked to the type of LTE transport channel (Table 1-7) or the
control information type (Table 1-8). Additional information on LTE channel types and
control information is discussed in Section 2.1 .
Table 1-7 Transport Channel Coding Options
Transport Channel

Coding Method

Rate

Turbo Coding

1/3

Tail Biting Convolutional Coding

1/3

DL-SCH
UL-SCH
PCH
MCH
BCH

Table 1-8 Control Information Coding Options


Control Information

Coding Method

Rate

DCI

Tail Biting Convolutional Coding

1/3

CFI

Block Code

1/16

HI

Repetition Code

1/3

UCI

Block Code

Variable

Tail Biting Convolutional Coding

1/3

Repetition Coding
Repetition coding is used for coding the HI (HARQ Indicator) bit. The HI bit set to 1 is
termed an ACK (Acknowledgement) and the HI bit set to 0 is a NACK (Negative
Acknowledgement). The process of repetition coding is applied to increase the channel
robustness. As such, for one initial bit, three bits are generated. These three bits are then map
to an orthogonal sequence. The use of the HI bit, as well as the orthogonal sequences, is
discussed in Section 2.21 .

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Figure 1-27 Repetition Coding of the HI

ACK

NACK
1

Repetition
Coding
1

Orthogonal sequences

Orthogonal sequences

Block Coding
The main utilization of block coding in LTE is for the CFI (Control Format Indicator). This
parameter is used to convey vital information about the size of the downlink control region.
Table 1-9 illustrates how the CFI values are encoded into a 32bit CFI codeword.
Table 1-9 CFI Encoding
CFI

CFI Codeword

< b0, b1, , b31 >

<0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1>

<1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0>

<1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1>

4 (Reserved)

<0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0>

The utilization of the CFI and the mapping to the Physical Channels is discussed in Section
2.9.2 .

Concept of Convolutional Coding


Prior to detailing the operation of tail biting convolutional coding and turbo coding in LTE it
is worth examining the basics of a CC (Convolutional Coder) and the decoding process.
Figure 1-28 illustrates a basic convolutional rate coder, i.e. for 1bit input, 2bits are
generated. It also has a constraint value of 3, meaning that three consecutive bits are used to
calculate the output. For standard convolutional coders, before any information is sent, the
registers are set to zero. This ensures that the initial information sent in the channel is at a
known state at the receiver. For each subsequent input bit the previous input bit is used to load
the registers S1 and S2 in turn.

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Figure 1-28 Basic Rate Convolutional Coder

Shift
Registers

DC BA
0110

Input

S1

S2
XOR Gate

G0

G1

Output

It can be seen in this simple coder that the output is dependent on the input and the state of the
registers at any given time. What is also important is to understand how the output will
change for any given input. For example, if the first input bit is 0 (bit A) and S1 and S2 are
both at 0, both outputs will be 0. As the next bit arrives (bit B) it affects the output, such
that G0 and G1 are both set to 1. Table 1-10 illustrates bit B (in bold) clocking through the
shift registers, as well as the output for the given sequence.
Table 1-10 Convolutional Coding Example
Input

S1

S2

G0

G1

Using the example coder from Figure 1-28 there are two possible outputs from each state.
Figure 1-29 illustrates these, as well as the relationship for an input of 0 or 1.
Figure 1-29 Convolutional Coding Trellis

Output

Input 0
Input 1

Current
State
00

Next State
00

11

00
11

10

10
00
10

01

01
01

11

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Concept of Viterbi Decoding


The Viterbi algorithm is one of the main methods for decoding standard convolutional coded
signals and it provides a valuable insight to how similar encoded signals can be decoded. The
Viterbi method is based on a concept of maximum-likelihood decoding. Figure 1-30 illustrates
the concept of trellis decoding by mapping the encoded data and current state to one of two
outputs. The values shown on the input lines indicate the number of error(s) when comparing
the received signal with the encoding trellis in Figure 1-29. For example, when the first bit 0
is encoded the output is 00. If this is received without error then from the initiating state (00)
there are only two possibilities:

0 was sent - This is the example shown, therefore there are 0 errors indicated on the
initial input=0 line.

1 was sent - This is not the example shown, however the 2 on the input=1 line
illustrates 2 errors, i.e. if the original input sequence was a 1, i.e. coded as 11 two
errors must have happened on the air interface.

Figure 1-30 Example of Viterbi Decoding

Input
0
Sequence
Transmitted
00
/Received
00

00

2
10

11

01

01

00

10

10

01

11
Input 0

10

01

10

2
01

0
11

00

1
1

1
01

00

Indicate possible
number of bits in
error.

11

0
2

01
0

11

0
2

11

Input 1

In order for the Viterbi decoding trellis to work all possible states are considered for the
sequence of bits. If errors did occur, it is the maximum-likelihood path which is chosen, i.e.
the one with the least amount of errors.

Tail Biting Convolutional Coding


As previously mentioned, LTE utilizes tail biting convolutional coding for the downlink BCH
(Broadcast Channel) and DCI (Downlink Control Information), as well as possibly for the
UCI (Uplink Control Information).
Table 1-11 illustrates the main difference between the tail biting convolutional coding and
standard convolutional coding.

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Table 1-11 Standard Convolutional Coding Verses Tail Biting Convolutional Coding
Standard Convolutional Coding

Tail Biting Convolutional Coding

Initializes the shift register with zeros.

Initializes the shift register with the last bits


of the stream, i.e. zeros are not added for
initialization.

Padded with zeros.

The shift register finishes, such that the last


bits of input are the same as what was used
to initialize the shift registers.

The initial value of the shift registers are set to the values corresponding to the last 6
information bits in the input stream as illustrated in Figure 1-31. This ensures that the initial
and final states of the shift registers are the same for the decoding process.
Figure 1-31 Initializing Tail Biting Convolutional Coding

Last 6bits used to


initialize coder.

Tail Biting
Convolutional Coding

Input Bits

The actual LTE tail biting convolutional coder is shown in Figure 1-32. There are six shift
registers and hence 6bits are required to initialize the coder. The input bit stream is identified
by ck, dk(0), dk(1) and dk(2) correspond to the first, second and third parity streams, respectively.
Figure 1-32 LTE 1/3 Rate Tail Biting Convolutional Coding

ck

S1

S2

S3

S4

S5

S6
dk(0) G0
dk(1) G1
dk(2) G2

Turbo Coding
Turbo coding defines a high-performance FEC mechanism. The term Turbo coding can be
used to describe many different types of encoders. For example, in LTE the turbo encoder is
known as a PCCC (Parallel Concatenated Convolutional Code) and it has two 8 state
constituent encoders and one contention-free QPP (Quadratic Permutation Polynomial) turbo
code internal interleaver. As previously mentioned, the coding rate of the LTE turbo encoder
is 1/3, i.e. for each input bit, three bits are produced. The structure of a turbo encoder is
illustrated in Figure 1-33.

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Figure 1-33 LTE Turbo Coding

Systematic
Bits
xk

The dotted lines


are part of the
trellis termination.

1st Constituent Encoder

ck

Turbo Code
Internal
Interleaver

zk
Parity
Bits

xk
Parity
Bits

2nd Constituent Encoder

ck

zk
The LTE turbo encoder employs two recursive convolutional encoders connected in parallel,
with the QPP turbo interleaver preceding the second encoder. The outputs of the constituent
encoders are punctured and repeated to achieve the correct output. It can be seen that the turbo
coder encodes the input block twice, i.e. with and without interleaving, to generate two
distinct sets of parity bits.

1.6.4 Rate Matching


The rate matching for turbo coded transport channels is defined per coded block and consists
of interleaving the three information bit streams dk(0), dk(1) and dk(2), followed by the collection
of bits and the generation of a circular buffer as illustrated in Figure 1-34.
Figure 1-34 LTE Rate Matching

1-28

dk(0)

Sub-block
Interleaver

vk(0)

dk(1)

Sub-block
Interleaver

vk(1)

dk(2)

Sub-block
Interleaver

vk(2)

Virtual
Circular
Buffer
wk
Bit
Bit Selection
Collection
and Pruning

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The sub-block interleaver is a row-column interleaver with 32 columns. Table 1-12 illustrates
the column permutations.
Table 1-12 LTE Sub-block Interleaver
Number of Columns

Inter-column Permutation Pattern

32

< 0, 16, 8, 24, 4, 20, 12, 28, 2, 18, 10, 26, 6,


22, 14, 30, 1, 17, 9, 25, 5, 21, 13, 29, 3, 19,
11, 27, 7, 23, 15, 31 >

The sub-block interlearver works by writing each stream of bits row-by-row into a matrix
with 32 columns. In so doing, the number of rows is based on the stream size. In addition,
padding is added to the front of each stream so that the matrix is complete.
The output of the sub-block interleaver consists of the columns read out in the permutation
order, i.e. 0, 16, 8 etc.
The bit collection block provides a circular buffer which can be read during bit selection and
pruning. The circular buffer is formed by concatenating the rearranged systematic bits with
the two rearranged/interlaced parity bit streams.
Finally, the bit selection and pruning block performs a very important function. It provides a
rate matching output, ek, of the correct length and utilizing the correct RV (Redundancy
Version). The redundancy version is identified by the parameter rvidx and can have the values
0, 1, 2 or 3. As such, this value impacts the HARQ (Hybrid ARQ) operation, enabling the
system to select and prune different sets of bits.

1.6.5 Code Block Concatenation


Code block concatenation effectively concatenates the previously segmented code blocks.
Figure 1-35 Code Block Concatenation

Code Block CRC Attachment and Segmentation


3800bits

4200bits

3840bits

4224bits

Channel Coding

Channel Coding

Rate Matching

Rate Matching
Code Block Concatenation

ek

ek

fk

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1.7 Principles of OFDM


The LTE air interface utilizes two different multiple access techniques both based on OFDM
(Orthogonal Frequency Division Multiplexing):

OFDMA (Orthogonal Frequency Division Multiple Access) used on the downlink.

SC-FDMA (Single Carrier - Frequency Division Multiple Access) used on the uplink.

Figure 1-36 Use of OFDM in LTE

OFDM
(OFDMA)

eNB
OFDM
(SC-FDMA)

UE

The concept of OFDM is not new and is currently being used on various systems such as
Wi-Fi and WiMAX. In addition, it was even considered for UMTS back in 1998. One of the
main reasons why it was not chosen at the time was the handsets limited processing power
and poor battery capabilities.
LTE was able to choose OFDM based access due to the fact mobile handset processing
capabilities and battery performance have both improved. In addition, there is continual
pressure to produce more spectrally efficient systems.

1.7.2 Frequency Division Multiplexing


OFDM is based on FDM (Frequency Division Multiplexing) and is a method whereby
multiple frequencies are used to simultaneously transmit information. Figure 1-37 illustrates
an example of FDM with four subcarriers. These can be used to carry different information
and to ensure that each subcarrier does not interfere with the adjacent subcarrier, a guard band
is utilized. In addition, each subcarrier has slightly different radio characteristics and this may
be used to provide diversity.
Figure 1-37 FDM Carriers

Guard Band

Subcarrier

Frequency
Channel
Bandwidth

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FDM systems are not that spectrally efficient (when compared to other systems) since
multiple subcarrier guard bands are required.

1.7.1 OFDM Subcarriers


OFDM follows the same concept as FDM but it drastically increases spectral efficiency by
reducing the spacing between the subcarriers. Figure 1-38 illustrates how the subcarriers can
overlap due to their orthogonality with the other subcarriers, i.e. the subcarriers are
mathematically perpendicular to each other. As such, when a subcarrier is at its maximum the
two adjacent subcarriers are passing through zero. In addition, OFDM systems still employ
guard bands. These are located at the upper and lower parts of the channel and reduce
adjacent channel interference.
Figure 1-38 OFDM Subcarriers

Centre Subcarrier
Not Orthogonal

Orthogonal
Subcarriers

Frequency
Channel
Bandwidth
The centre subcarrier, known as the DC (Direct Current) subcarrier, is not typically used in OFDM
system due to its lack of orthogonality.

1.7.2 Fast Fourier Transforms


OFDM subcarriers are generated and decoded using mathematical functions called FFT (Fast
Fourier Transform) and IFFT (Inverse Fast Fourier Transform). The IFFT is used in the
transmitter to generate the waveform. Figure 1-39 illustrates how the coded data is first
mapped to parallel streams before being modulated and processed by the IFFT.
Figure 1-39 Inverse Fast Fourier Transform

Subcarrier
Modulation

Coded
Bits

Serial
to
Parallel

Inverse Fast
Fourier
Transform

IFFT

RF
Complex
Waveform

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At the receiver side, this signal is passed to the FFT which analyses the complex/combined
waveform into the original streams. Figure 1-40 illustrates the FFT process.
Figure 1-40 Fast Fourier Transform

Subcarrier
Demodulation
Fast Fourier
Transform

Receiver

FFT

Parallel
Coded
to
Bits
Serial

1.7.3 LTE FFT Sizes


Fast Fourier Transforms and Inverse Fast Fourier Transforms both have a defining size. For
example, an FFT size of 512 indicates that there are 512 subcarriers. In reality, not all 512
subcarriers can be utilized due to the channel guard bands and the fact that a DC (Direct
Current) subcarrier is also required.
Table 1-13 illustrates the LTE channel bandwidth options, as well as the FFT size and
associated sampling rate. Using the sampling rate and the FFT size the subcarrier spacing can
be calculated, e.g. 7.68MHz/15kHz = 512.
Table 1-13 LTE Channel and FFT Sizes
Channel
Bandwidth

FFT Size

Subcarrier
Bandwidth

1.4MHz

128

1.92MHz

3MHz

256

3.84MHz

5MHz

512

Sampling Rate

7.68MHz
15kHz

10MHz

1024

15.36MHz

15MHz

1536

23.04MHz

20MHz

2048

30.72MHz

The subcarrier spacing of 15kHz is also used in the calculation to identify the OFDM symbol duration.

1.7.4 OFDM Symbol Mapping


The mapping of OFDM symbols to subcarriers is dependent on the system design. Figure
1-41 illustrates an example of OFDM mapping. The first 12 modulated OFDM symbols are
mapped to 12 subcarriers, i.e. they are transmitted at the same time but using different
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subcarriers. The next 12 subcarriers are mapped to the next OFDM symbol period. In addition,
a CP (Cyclic Prefix) is added between the symbols.
Figure 1-41 OFDM Symbol Mapping

Modulated
OFDM
Symbol

Time

Amplitude
Cyclic
Prefix

Frequency
OFDM
Symbol

LTE allocates resources in groups of 12 subcarriers. This is known as a PRB (Physical Resource Block).

In the previous example 12 different modulated OFDM symbols are transmitted


simultaneously. Figure 1-42 illustrates how the combined energy from this will result in either
constructive peaks (when the symbols are the same) or destructive nulls (when the symbols
are different). This means that OFDM systems have a high PAPR (Peak to Average Power
Ratio).
Figure 1-42 OFDM PAPR (Peak to Average Power Ratio)

PAPR (Peak to Average


Power Ratio) Issue
OFDM
Symbol

Amplitude

Peak
Average
Time

1.7.5 Time Domain Interference


The OFDM signal provides some protection in the frequency domain due to the orthogonality
of the subcarriers. The main issue is with delay spread, i.e. multipath interference.
Figure 1-43 illustrates two of the main multipath effects, namely delay and attenuation. The
delayed signal can manifest itself as ISI (Inter Symbol Interference), whereby one symbol
impacts the next. This is illustrated in Figure 1-44.

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Figure 1-43 Delay Spread

Energy

Delay Spread

Time

ISI (Inter Symbol Interference) is typically reduced with equalizers. However, for the
equalizer to be effective a known bit pattern or training sequence is required. However, this
reduces the system capacity, as well as impacts processing on a device. Instead, OFDM
systems employ a CP (Cyclic Prefix).
Figure 1-44 Inter Symbol Interference

1st Received
Signal

Delayed
Signal

Interference
Caused

Cyclic Prefix
A CP (Cyclic Prefix) is utilized in most OFDM systems to combat multipath delays. It
effectively provides a guard period for each OFDM symbol. Figure 1-45 illustrates the Cyclic
Prefix and its location in the OFDM Symbol. Notice that the Cyclic Prefix is effectively a
copy taken from the back of the original symbol which is then placed in front of the symbol to
make the OFDM symbol (Ts).
The size of the Cyclic Prefix relates to the maximum delay spread the system can tolerate. As
such, systems designed for macro coverage, i.e. large cells, should have a large CP. This does
however impact the system capacity since the number of symbols per second is reduced.

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Figure 1-45 Cyclic Prefix

Frequency
CP

CP

CP

CP

CP

CP

CP

CP

CP

CP

CP

CP
Symbol Period T(s)

Cyclic Prefix

Time

Bit Period T(b)

T(g)

Symbol Period T(s)

LTE has two defined Cyclic Prefix sizes, normal and extended. The extended Cyclic Prefix is designed
for larger cells.

1.7.6 OFDM Advantages and Disadvantages


OFDM Advantages
OFDM systems typically have a number of advantages:

OFDM is almost completely resistant to multi-path interference due to very long symbol
duration.

higher spectral efficiency for wideband channels.

flexible spectrum utilization.

relatively simple implementation using FFT and IFFT.

OFDM Disadvantages
OFDM also has some disadvantages:

frequency errors and phase noise can cause issues.

Doppler shift impacts subcarrier orthogonality.

some OFDM systems can suffer from high PAPR.

required accurate frequency and time synchronization.

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LTE Physical Layer

Objectives
On completion of this section the participants will be able to:
2.1 Detail the channel structure of the radio interface.
2.2 Detail the radio interface protocols.
2.3 Describe the physical signals in the UL and DL.
2.4 Detail the time-domain structure in the radio interface in the UL and DL for both FDD and
TDD mode.
2.5 Have a good understanding of the OFDM principle, signal generation and processing.
2.6 Detail the DL transmission technique.
2.7 Detail the DL synchronization signals.
2.8 Detail the reference symbols in the DL.
2.9 Detail the DL physical Channels.
2.10 Detail the DL control signaling and formats.
2.11 Explain the cell search procedure.
2.12 Detail the UL transmission technique.
2.12 Have a good understanding of the SC-FDMA principle, signal generation and processing.
2.13 Explain the pros and cons with OFDM and SC-FDMA.
2.14 Detail the UL Physical Channels.
2.15 Explain the timing relationships between the UL and DL.
2.16 Detail the reference signals.
2.17 Detail the UL control signaling and formats.
2.18 Detail the random access procedure.
2.19 Describe the Power Control in the UL.
2.20 Detail the paging procedures.
2.21 Explain HARQ.
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2.22 Describe the concepts of layers, channel rank, spatial multiplexing, open and closed loop
spatial multiplexing, TX diversity, beamforming, SU-MIMO and MU-MIMO.

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2.1 The Uu Interface


The LTE air interface is identified as the E-UTRA (Evolved - Universal Terrestrial Radio
Access) and can support varying bandwidth options ranging from 1.4MHz to 20MHz. The
interface is identified as Uu, with the capital U indicating the User to Network interface
and the lower case u indicating Universal. The UE (User Equipment) will utilize a channel
bandwidth based on the configuration of the eNB (Evolved Node B). However, the eNB may
implement multiple channels to improve capacity or as part of a frequency reuse mechanism.
Figure 2-1 The LTE Air Interface

E-UTRA
Uu

UE

1.4MHz, 3MHz,
5MHz, 10MHz,
15MHz, 20MHz

eNB

2.2 LTE Radio Interface Protocols


The E-UTRA interface provides connectivity between the User Equipment and the eNB. It
can be logically split into a control plane and a user plane. There are effectively two control
planes, the first is provided by RRC (Radio Resource Control) and carries signaling between
the User Equipment and the eNB. The second carries NAS (Non Access Stratum) signaling
messages to the MME (Mobility Management Entity), which are carried by RRC. Figure 2-2
illustrates the RRC and NAS control planes, as well as the user plane which focuses on the
delivery of IP datagrams to and from the EPC (Evolved Packet Core), namely the S-GW
(Serving Gateway) and PDN-GW (Packet Data Network - Gateway).
Figure 2-2 LTE Control Plane and User Plane

NAS Control
Plane

E-UTRAN

EPC

S1-MME

UE

RRC
Control
Plane

MME
S11

eNB
S1-U
User
Plane

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S-GW

PDN-GW

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2.2.1 Control and User Plane Protocols


The control and user plane lower layer protocols are the same. As such, they both utilize the
services of PDCP (Packet Data Convergence Protocol), RLC (Radio Link Control) and MAC
(Medium Access Control), as well as the PHY (Physical Layer). Figure 2-3 illustrates the
radio interface protocol stacks. It can be seen that the NAS signaling uses the services of RRC,
which is then mapped into PDCP. On the user plane IP datagrams are also mapped into PDCP.
Figure 2-3 E-UTRA Protocols

Control Plane
NAS Signaling

User Plane

RRC

NAS User - IP

PDCP

PDCP

RLC

RLC

MAC

MAC

PHY

PHY

UE

eNB

2.2.2 Non Access Stratum


The term Non Access Stratum, or NAS, identifies the layer(s) above the AS (Access Stratum).
The access stratum defines the procedures and protocols associated with the RAN (Radio
Access Network), i.e. the E-UTRAN. There are two main aspects to NAS, namely higher
layer signaling and user data.

NAS Signaling
In terms of NAS signaling, messages pass between the User Equipment and the MME. This is
illustrated in Figure 2-4.
Figure 2-4 NAS Signaling

EMM (EPS Mobility


Management)
MME
ESM (EPS Session
Management)
UE

eNB

Two categories of NAS signaling exist:

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EMM (EPS Mobility Management).

ESM (EPS Session Management).

Table 2-1 illustrates the main EMM and ESM LTE procedures.
Table 2-1 NAS EMM and ESM Procedures
EMM Procedures

ESM Procedures

Attach

Default EPS Bearer Context Activation

Detach

Dedicated EPS Bearer Context Activation

Tracking Area Update

EPS Bearer Context Modification

Service Request

EPS Bearer Context Deactivation

Extended Service Request

UE Requested PDN Connectivity

GUTI Reallocation

UE Requested PDN Disconnect

Authentication

UE Requested Bearer Resource Allocation

Identification

UE Requested Bearer Resource Modification

Security Mode Control

ESM Information Request

EMM Status

ESM Status

EMM Information
NAS Transport
Paging

EMM Procedures
The key EMM procedures include:

Attach - this is used by the UE to attach to an EPC (Evolved Packet Core) for packet
services in the EPS (Evolved Packet System). Note that it can be also used to attach to
non-EPS services.

Detach - this is used by the UE to detach from EPS services. In addition, it can also be
used for other procedures such as disconnecting from non-EPS services.

Tracking Area Updating - this procedure is always initiated by the UE and is used for the
various purposes. The most common include normal and periodic tracking area updating.

Service Request - this is used by the UE to get connected and establish the radio and S1
bearers when uplink user data or signaling is to be sent.

Extended Service Request - this is used by the UE to initiate a Circuit Switched fallback
call or respond to a mobile terminated Circuit Switched fallback request from the
network.

GUTI Reallocation - This is used to allocate a GUTI (Globally Unique Temporary


Identifier) and optionally to provide a new TAI (Tracking Area Identity) list to a
particular UE.

Authentication - this is used for AKA (Authentication and Key Agreement) between the
user and the network.

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Identification - this is used by the network to request a particular UE to provide specific


identification parameters, e.g. the IMSI (International Mobile Subscriber Identity) or the
IMEI (International Mobile Equipment Identity).

Security mode control - this is used to take an EPS security context into use, and
initialize and start NAS signaling security between the UE and the MME with the
corresponding NAS keys and security algorithms.

EMM Status - this is sent by the UE or by the network at any time to report certain error
conditions.

EMM Information - this allows the network to provide information to the UE.

Transport of NAS messages - this is to carry SMS (Short Message Service) messages in
an encapsulated form between the MME and the UE.

Paging - this is used by the network to request the establishment of a NAS signaling
connection to the UE. Is also includes the Circuit Switched Service Notification

EMM Procedures
The key ESM procedures include:

Default EPS Bearer Context Activation - this is used to establish a default EPS bearer
context between the UE and the EPC.

Dedicated EPS Bearer Context Activation - this is to establish an EPS bearer context
with specific QoS (Quality of Service) and TFT (Traffic Flow Template) between the UE
and the EPC. The dedicated EPS bearer context activation procedure is initiated by the
network, but may be requested by the UE by means of the UE requested bearer resource
allocation procedure.

EPS Bearer Context Modification - this is used to modify an EPS bearer context with a
specific QoS and TFT.

EPS Bearer Context Deactivation - this is used to deactivate an EPS bearer context or
disconnect from a PDN by deactivating all EPS bearer contexts to the PDN.

UE Requested PDN Connectivity - this is used by the UE to request the setup of a


default EPS bearer to a PDN.

UE Requested PDN Disconnect - this is used by the UE to request disconnection from


one PDN. The UE can initiate this procedure to disconnect from any PDN as long as it is
connected to at least one other PDN.

UE Requested Bearer Resource Allocation - this is used by the UE to request an


allocation of bearer resources for a traffic flow aggregate.

UE Requested Bearer Resource Modification - this is used by the UE to request a


modification or release of bearer resources for a traffic flow aggregate or modification of
a traffic flow aggregate by replacing a packet filter.

ESM Information Request - this is used by the network to retrieve ESM information, i.e.
protocol configuration options, APN (access Point Name), or both from the UE during
the attach procedure.

ESM Status - this is used to report at any time certain error conditions detected upon
receipt of ESM protocol data.

NAS User
The NAS user plane is based on IP (Internet Protocol). As such, IP datagrams are passed to
the lower layers, i.e. PDCP, for processing.

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2.2.3 RRC
The main air interface control protocol is RRC (Radio Resource Control). For RRC messages
to be transferred between the UE and the eNB it uses the services of PDCP, RLC, MAC and
PHY. Figure 2-5 identifies the main RRC functions. In summary, RRC handles all the
signaling between the UE and the E-UTRAN, with signaling between the UE and Core
Network, i.e. NAS (Non Access Stratum) signaling, being carried by dedicated RRC
messages. When carrying NAS signaling, RRC does not alter the information but instead,
provides the delivery mechanism.
RRC provides the main configuration and parameters to the lower layers. As such, the PHY layer will
get information from RRC on how to configure certain aspects of the Physical Layer.

Figure 2-5 Main RRC Functions

System Information
PLMN and Cell Selection
Admission Control
Security Management
Cell Reselection
Measurement Reports
Handovers and Mobility
NAS Transport
Radio Resource Management

NAS Signaling
RRC
PDCP
RLC
MAC
PHY
eNB

2.2.4 PDCP
LTE implements PDCP in both the user plane and control plane. This is unlike UMTS, where
PDCP was only found in the user plane. The main reason for the difference is that PDCP in
LTE takes on the role of security, i.e. encryption and integrity. In addition, Figure 2-6
illustrates some of the other functions performed by PDCP.
Figure 2-6 PDCP Functions

Control Plane
Encryption
Integrity Checking

NAS Signaling

User Plane
IP Header Compression
Encryption
Sequencing and Duplicate Detection

RRC
PDCP
RLC
MAC
PHY
eNB

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In the control plane, PDCP facilitates encryption and integrity checking of signaling messages,
i.e. RRC and NAS. The user plane is slightly different since only encryption is performed. In
addition, the user plane IP datagrams can also be subjected to IP header compression
techniques in order to improve the systems performance and efficiency. Finally, PDCP also
facilitates sequencing and duplication detection.

2.2.5 RLC
The RLC (Radio Link Control) protocol exists in the UE and the eNB. As its name suggests it
provides radio link control, if required. In essence, RLC supports three delivery services to
the higher layers:

TM (Transparent Mode) - This is utilized for some of the air interface channels, e.g.
broadcast and paging. It provides a connectionless service for signaling.

UM (Unacknowledged Mode) - This is like Transparent Mode, in that it is a


connectionless service; however it has the additional features of sequencing,
segmentation and concatenation.

AM (Acknowledged Mode) - This offers an ARQ (Automatic Repeat Request) service.


As such, retransmissions can be used.

These modes, as well as the other RLC features are illustrated in Figure 2-7. In addition to
ARQ, RLC offers segmentation, re-assembly and concatenation of information.
Figure 2-7 RLC Modes and Functions

NAS Signaling
TM (Transparent Mode)
UM (Unacknowledged Mode)
AM (Acknowledged Mode)
Segmentation and Re-Assembly
Concatenation
Error Correction

RRC
PDCP
RLC
MAC
PHY
eNB

2.2.6 MAC
MAC (Medium Access Control) provides the interface between the E-UTRA protocols and
the E-UTRA Physical Layer. In doing this it provides the following services:

2-8

Mapping - MAC maps the information received on the LTE Logical Channels into the
LTE transport channels. These channels and their mapping are discussed further in
Section 2.3 .

Multiplexing - The information provided to MAC will come from a RB (Radio Bearer)
or multiple Radio Bearers. The MAC layer is able to multiplex different bearers into the
same TB (Transport Block), thus increasing efficiency.

HARQ (Hybrid Automatic Repeat Request) - MAC utilizes HARQ to provide error
correction services across the air. HARQ is a feature which requires the MAC and
Physical Layers to work closely together. This is discussed further in Section 2.21 .

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Radio Resource Allocation - QoS (Quality of Service) based scheduling of traffic and
signaling to users is provided by MAC. There are various scheduling options, these are
described further in Section 3 .

In order to support these features the MAC and Physical layers need to pass various
indications on the radio link quality, as well as the feedback from HARQ operation.
Figure 2-8 Medium Access Control Functions

NAS Signaling
RRC
PDCP

Channel Mapping and Multiplexing


Error Correction - HARQ
QoS Based Scheduling

RLC
MAC
PHY
eNB

2.2.7 Physical
The PHY (Physical Layer) in LTE provides a new and flexible channel. It does however
utilize features and mechanisms defined in earlier systems, i.e. UMTS. Figure 2-9 illustrates
the main functions provided by the Physical Layer.
Figure 2-9 Physical Layer Functions

Error Detection
FEC Encoding/Decoding
Rate Matching
Mapping of Physical Channels
Power Weighting
Modulation and Demodulation
Frequency and Time Synchronization
Radio Measurements
MIMO Processing
Transmit Diversity
Beamforming
RF Processing

NAS Signaling
RRC
PDCP
RLC
MAC
PHY
eNB

2.3 LTE Channel Structure


The concept of channels is not new. Both GSM and UMTS defined various channel
categories, however LTE terminology is closer to UMTS. Broadly there are four categories of
channel.

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Figure 2-10 LTE Channels

Logical
Channels

Transport
Channels

Physical
Channels

Radio
Channels

2.3.1 Logical Channels


In order to describe Logical Channels it is best to identify where Logical Channels are located
in relation to the LTE protocols and the other channel types. Figure 2-11 shows Logical
Channels located between the RLC and the MAC layers.
Figure 2-11 Location of Channels

Logical
Channels

RLC

Transport
Channels

MAC
PHY
Physical
Channels

Radio
Channel

Logical channels are classified as either Control Logical Channels, which carry control data
such as RRC signaling, or traffic Logical Channels which carry user plane data.

Control Logical Channels


The various forms of these Control Logical Channels include:

BCCH (Broadcast Control Channel) - This is a downlink channel used to send SI


(System Information) messages from the eNB. These are defined by RRC.

PCCH (Paging Control Channel) - This downlink channel is used by the eNB to send
paging information.

Figure 2-12 BCCH and PCCH Logical Channels

System Information
Messages
BCCH
PCCH
UE

2-10

Paging
Devices

eNB

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CCCH (Common Control Channel) - This is used to establish a RRC (Radio Resource
Control) connection, also known as a SRB (Signaling Radio Bearer). The SRB is
discussed further in Section 2.18 . The SRB is also used for re-establishment procedures.
SRB 0 maps to the CCCH.

DCCH (Dedicated Control Channel) - This provides a bidirectional channel for signaling.
Logically there are two DCCH activated:

SRB 1 - This is used for RRC messages, as well as RRC messages carrying high
priority NAS signaling.

SRB 2 - This is used for RRC carrying low priority NAS signaling. Prior to its
establishment low priority signaling is sent on SRB1.

Figure 2-13 CCCH and DCCH Signaling

UE

SRB 0

CCCH

SRB 0

CCCH

SRB 1

DCCH

SRB 2

DCCH

eNB
Low Priority
NAS Signaling

Traffic Logical Channels


Release 8 LTE has one type of Logical Channel carrying traffic, namely the DTCH
(Dedicated Traffic Channel). This is used to carry DRB (Dedicated Radio Bearer) information,
i.e. IP datagrams.
Figure 2-14 Dedicated Traffic Channel

DRB

DTCH
Carries AM or UM
RLC Traffic

UE

eNB

The DTCH is a bidirectional channel that can operate in either RLC AM or UM mode. This is
configured by RRC and is based on the QoS (Quality of Service) of the E-RAB (EPS Radio
Access Bearer).

2.3.2 Transport Channels


Historically, Transport Channels were split between common and dedicated channels.
However, LTE has moved away from dedicated channels in favor of the common/shared
channels and the associated efficiencies provided. The main Release 8 Transport Channels
include:

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BCH (Broadcast Channel) - This is a fixed format channel which occurs once per frame
and carries the MIB (Master Information Block). Note that the majority of System
Information messages are carries on the DL-SCH (Downlink - Shared Channel).

PCH (Paging Channel) - This channel is used to carry the PCCH, i.e. paging messages. It
also utilizes DRX (Discontinuous Reception) to improve UE battery life.

DL-SCH (Downlink - Shared Channel) - This is the main downlink channel for data and
signaling. It supports dynamic scheduling, as well as dynamic link adaptation. In
addition, it supports HARQ (Hybrid Automatic Repeat Request) operation to improve
performance. As previously mentioned it also facilitates the sending of System
Information messages.

RACH (Random Access Channel) - This channel carries limited information and is used
in conjunction with Physical Channels and preambles to provide contention resolution
procedures.

UL-SCH (Uplink Shared Channel) - Similar to the DL-SCH, this channel supports
dynamic scheduling (eNB controlled) and dynamic link adaptation by varying the
modulation and coding. In addition, it too supports HARQ (Hybrid Automatic Repeat
Request) operation to improve performance.

Figure 2-15 LTE Release 8 Transport Channels

BCH
PCH
DL-SCH
UE

RACH

eNB

UL-SCH

2.3.3 Physical Channels


The Physical Layer facilitates transportation of MAC Transport Channels, as well as
providing scheduling, formatting and control indicators. Sections 2.9 and 2.14 examines the
Physical Channels in greater detail.

Downlink Physical Channels


There are a number of downlink Physical Channels in LTE. These include:

PBCH (Physical Broadcast Channel) - This channel carries the BCH.

PCFICH (Physical Control Format Indicator Channel) - This is used to indicate the
number of OFDM symbols used for the PDCCH.

PDCCH (Physical Downlink Control Channel) - This channel is used for resource
allocation.

PHICH (Physical Hybrid ARQ Indicator Channel) - This channel is part of the HARQ
process.

PDSCH (Physical Downlink Shared Channel) - This channel carries the DL-SCH.

Uplink Physical Channels


There are a number of Uplink Physical Channels in LTE. These include:

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PRACH (Physical Random Access Channel) - This channel carries the Random Access
Preamble. The location of the PRACH is defined by higher layer signaling, i.e. RRC
signaling.

PUCCH (Physical Uplink Control Channel) - This channel carries uplink control and
feedback. It can also carry scheduling requests to the eNB.

PUSCH (Physical Uplink Shared Channel) - This is the main uplink channel and is used
to carry the UL-SCH (Uplink Shared Channel) Transport Channel. It carries both
signaling and user data, in addition to uplink control. It is worth noting that the UE is not
allowed to transmit the PUCCH and PUSCH at the same time.

2.3.4 Radio Channels


The term Radio Channel is typically used to describe the overall channel, i.e. the downlink
and uplink carrier for FDD or the single carrier for TDD.
Figure 2-16 Radio Channel

Radio
Channel
TDD
FDD

eNB
Radio
Channel

UE

UE

2.3.5 Channel Mapping


There are various options for multiplexing multiple bearers together, such that Logical
Channels may be mapped to one or more Transport Channels. These in turn are mapped into
Physical Channels. Figure 2-17 and Figure 2-18 illustrate the mapping options.

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Figure 2-17 Downlink Channel Mapping

ESM

NAS Layer

EMM

IP

Integrity

ROHC

RRC

RRC Layer

PDCP Layer

Ciphering Ciphering

TM

TM

TM

UM/AM

UM/AM

Logical
Channels

BCCH

PCCH

CCCH

DCCH

DTCH

Transport
Channels

BCH

PCH

Physical
Channels

PBCH

PCFICH

RLC Layer

MAC Layer

Physical Layer

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DL-SCH

PHICH

PDCCH

PDSCH

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Figure 2-18 Uplink Channel Mapping

ESM

NAS Layer

EMM

IP

RRC

RRC Layer

PDCP Layer

Integrity

ROHC

Ciphering

Ciphering

TM

UM/AM

UM/AM

Logical
Channels

CCCH

DCCH

DTCH

Transport
Channels

RACH

Physical
Channels

PRACH

RLC Layer

MAC Layer

Physical Layer

UL-SCH

PUCCH

PUSCH

In order to facilitate the multiplexing from Logical Channels to Transport Channels, the MAC
Layer typically adds a LCID (Logical Channel Identifier).

2.4 LTE Frame Structure


In LTE, devices are allocated blocks of subcarriers for a period of time. These are referred to
as a PRB (Physical Resource Block). The resource blocks are contained within the LTE
generic frame structure. Two types are defined, namely type 1 and type 2 radio frames.

2.4.1 Type 1 Radio Frames, Slots and Subframes


The type 1 radio frame structure is used for FDD and is 10ms in duration. It consists of 20
slots, each lasting 0.5ms. Two adjacent slots form one subframe of length 1ms. For FDD
operation 10 subframes are available for downlink transmission and 10 subframes are
available for uplink transmission, with each transmission separated in the frequency domain.
Figure 2-19 illustrates the FDD frame structure, as well as highlighting the slots and subframe
concept. In addition, it illustrates how the slots are numbered 0 to 19.

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Figure 2-19 LTE Frame Structure

Slot (0.5ms)

Subframe (1ms)

Tslot = 15360 x Ts
4

10 11 12 13 14 15 16 17 18 19

Radio Frame Tf = 307200 x Ts = 10ms


Ts = 1/(15000x2048)
= 32.552083ns

LTE Time Unit


The LTE time unit is identified as Ts and is calculated as 1/(15000x2048), which equates to
approximately 32.552083ns. Various aspects of LTE utilize this parameter, or multiple of it, to
identify timing and configuration.

Cyclic Prefix Options


Section 1.7.5 introduced the concept of a CP (Cyclic Prefix) in OFDM systems. In LTE, it
was chosen to have two different cyclic prefix sizes, namely Normal and Extended. In
order to facilitate these, two different slot formats are available. Figure 2-20 illustrates the 7
and 6 ODFM symbol options. Obviously, to facilitate a larger cyclic prefix one of the symbols
is sacrificed, thus the symbol rate is reduced.
Figure 2-20 Normal and Extended Cyclic Prefix

Radio Frame = 10ms


0

7 OFDM
Symbols (Normal
Cyclic Prefix)
6 OFDM Symbols
(Extended Cyclic
Prefix)

10 11 12 13 14 15 16 17 18 19

Ts
0

Ts
0

CP (Cyclic
Prefix)

The use of the extended cyclic prefix is intended for scenarios when the range of the cell
needs to be extended, e.g. for planning purposes.

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Table 2-2 illustrates the sizes of the cyclic prefix for different configurations. It can be seen
that the CP size can vary during a slot, such that the first CP is larger than the rest when the
normal CP size is chosen.
Table 2-2 Downlink CP Parameters
Configuration

CP Length (Ts)

Time

Delay
Spread

160 for slot 0

~ 5.208s

~ 1.562km

144 for slot 1, 2, 6

~ 4.688s

~ 1.406km

Normal Cyclic
Prefix

f = 15kHz

Extended Cyclic
Prefix

f = 15kHz

512 for slot 0, 1, 5

~16.67s

~ 5km

f = 7.5kHz

1024 for 0, 1, 2

~ 33.33 s

~ 10km

The 7.5kHz option is part of MBSFN (MBMS over Single Frequency Network) which is still in the
Release 8 PHY specifications, however the MBMS feature which utilizes this has been delayed until
Release 9. In addition, this option (7.5kHz) is only available in the downlink.

The symbol (Ts) consists of a guard period, i.e. the cyclic prefix, and the Tb data duration
which is 2048 LTE time units for both the normal and extended 15kHz option. Figure 2-21
illustrates an example of the normal cyclic prefix configuration for a slot.
Figure 2-21 Normal CP Configuration

Larger first CP when


Normal CP is configured
DL
Nsymb
OFDM Symbols (= 7 for Normal CP)

0
160

2048

1
144

2048

2
144

2048

3
144

2048

4
144

2048

5
144

2048

6
144

2048

E.g. NCP = 144,


TCP= 144 x Ts = 4.6875s

2.4.2 Type 2 Radio Frames, Slots and Subframes


The type 2 radio frame structure is used for TDD. One key addition to the TDD frame
structure is the concept of special subframes. This includes a DwPTS (Downlink Pilot Time
Slot), GP (Guard Period) and UpPTS (Uplink Pilot Time Slot). These have configurable
individual lengths and a combined total length of 1ms.
For TDD operation the 10 subframes are shared between the uplink and the downlink. A 5ms
and 10ms switch-point periodicity is supported however subframes 0 and 5 must be allocated
to the downlink as these contain the PSS (Primary Synchronization Signal) and SSS
(Secondary Synchronization Signal), as well as the broadcast information in subframe 0. The
PSS and SSS are discussed in Section 2.7

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Figure 2-22 Type 2 TDD Radio Frame


Special
Subframe

GP (Guard Period)
DwPTS (Downlink
Pilot Time Slot)
3

UpPTS (Uplink
Pilot Time Slot)

Type 2 Radio Frame Tf = 307200 x Ts = 10ms

There are various frame configuration options supported for TDD. Table 2-3 illustrates the
different options. Configuration options 0, 1, 2 and 6 have a 5ms switching point and
therefore require 2 special subframes, whereas the rest are based on a 10ms switching point.
In the table, the letter D is reserved for downlink transmissions, U denotes subframes
reserved for uplink transmissions and S denotes a special subframe with the three fields
DwPTS, GP and UpPTS.
Table 2-3 Type 2 Radio Frame Switching Points
Switching
Point
Periodicity

Subframe Number
0

5ms

5ms

5ms

10ms

10ms

10ms

5ms

Configuration

The DwPTS and UpPTS in a special frame may carry information. For example the DwPTS can include
scheduling information and the UpPTS can be configured to facilitate random access bursts.

2.5 OFDM Signal Generation


There are various Physical Layer stages involved in the generation of the downlink and uplink
signals. Figure 2-23 illustrates the possible stages for a PDSCH.

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Figure 2-23 Downlink Physical Layer Processing

Codewords

Modulation
Mapper

Scrambling

Layer
Mapper

Resource
Element
Mapper

OFDM
Signal
Generation

Resource
Element
Mapper

OFDM
Signal
Generation

Precoding

Modulation
Mapper

Scrambling

Antenna
Ports

Layers

2.5.1 Codewords, Layers and Antenna Ports


Prior to identifying the various stages it is worth clarifying the concept of codewords, layers
and antenna ports. The use of layers and multiple antenna ports is related to diversity and
MIMO (Multiple Input Multiple Output). In addition, the term rank is typically applied to
the number of layers.
In LTE, when discussing the Physical Layer processing, a codeword corresponds to a TB
(Transport Block). One or two codewords can be used and these are mapped onto layers. The
number of layers can vary from one up to a maximum which is equal to the number of
antenna ports. When there is one codeword, i.e. one transport block, a single layer is used. In
contrast, two codewords, i.e. two transport blocks, can be used with two or more layers.
Figure 2-24 illustrates the mapping options.
Figure 2-24 Codeword, Layer and Antenna Port Mapping

Codeword
Rank 1
1

Rank 2
1

Rank 3
1

Rank 4
2

1 Layer

2 Layers

3 Layers

4 Layers

1, 2 or 4
Antenna
Ports

2 or 4
Antenna
Ports

4 Antenna
Ports

4 Antenna
Ports

It is important to note that the number of modulation symbols on each layer needs to be the
same. As such, when operating with three layers, the second codeword is twice as large as the
first. This can be achieved due to the supported TB sizes and the other Physical Layer stages.

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2.5.2 Scrambling
The initial stage of the Physical Layer processing is scrambling. This stage is applied to the
signal in order to provide interference rejection properties. Scrambling effectively randomizes
interfering signals using a pseudo-random scrambling process. Figure 2-25 illustrates the
concept of scrambling, showing a Physical Resource Block on each of the cells using the
same frequency. The scrambling feature statistically improves the interference by scrambling
the information with a scrambling code based on the physical cell ID and RNTI.
Figure 2-25 Scrambling in LTE

Interference

F1

F1

No
Scrambling
PRB

PRB
Less
Interference

eNB

Cell RNTI
specific
scrambling

PRB

eNB

PRB

Figure 2-26 illustrates the generation of the scrambling code which is applied to most of the
Physical Channels. It is worth noting that scrambling is not used on the downlink PHICH and
on certain parts of the uplink.
Figure 2-26 LTE Scrambling Code Generation

MSB

Fixed Bit Pattern

LSB

Scrambling
Code

cinit = nRNTI 214 + q 213 + ns / 2 29 + NIDcell For PDSCH


cinit = nRNTI 214 + ns / 2 29 + NIDcell

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2.5.3 Modulation Mapper


The modulation mapper converts the scrambled bits to complex-valued modulation symbols
(BPSK, QPSK, 16QAM or 64QAM).
Figure 2-27 BPSK, QPSK and 16QAM Modulation Mapper

BPSK

QPSK

1
-1
1

10

00

-1

-1

11

16QAM
Q

1
-1

01

1011

1001

0001

0011

1010

1000

0000

0010

-3

-1

1110

1100

0100

0110

1111

1101

0101

0111

-1

-3

Figure 2-28 64QAM Modulation Mapper

64QAM
Q
7

101111

101101

100101

100111

101110

101100

100100

100110

101010

101000

100000

100010

101011

101001

100001

-7

-5

111011

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000111

000101

001101

001111

000110

000100

001100

001110

000010

000000

001000

001010

100011

000011

000001

001001

001011

-3

-1

111001

110001

110011

010011

010001

011001

011011

111010

111000

110000

110010

010010

010000

011000

011010

111110

111100

110100

110110

010110

010100

011100

011110

111111

111101

110101

110111

010111

010101

011101

011111

5
3
1

-1
-3
-5
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2.5.4 Layer Mapper


The layer mapper effectively maps the complex-valued modulation symbols onto one or
several transmission layers, thus splitting the data into a number of layers. Depending on the
transmission mode, various options are available.
Table 2-4 Layer Mapper Configuration
Mapper Configuration

Layers ( )

Antenna Ports ( P )

Single Antenna

P 1

Transmit Diversity

P 1 (2 or 4)

Spatial Multiplexing

1 P

P 1 (2 or 4)

The complex-valued modulation symbols for each of the codewords to be transmitted are
mapped onto one or several layers. Complex-valued modulation symbols
(q)
d ( q ) (0),..., d ( q ) ( M symb
1) for codeword q are mapped onto the layers

layer
1 where is the number of layers and
x(i) x (0) (i) ... x ( 1) (i) , i 0,1,..., M symb

layer
M symb
is the number of modulation symbols per layer.

Single Antenna
For transmission on a single antenna port, a single layer is used, 1 , and the mapping is
layer
(0)
M symb
defined by x (0) (i) d (0) (i) with M symb
.

Spatial Multiplexing
For spatial multiplexing, the layer mapping is illustrated in Table 2-5. The number of layers
is less than or equal to the number of antenna ports P used for transmission of the physical
channel. The case of a single codeword mapped to two layers is only applicable when the
number of antenna ports is 4.
Table 2-5 Codeword to Layer Mapping for Spatial Multiplexing
Number
of Layers

Number of
Codewords

x (0) (i) d (0) (i)

layer
( 0)
M symb
M symb

x (0) (i) d (0) (i)

layer
( 0)
(1)
M symb
M symb
M symb

layer
1
Codeword to Layer Mapping i 0,1,..., M symb

x (1) (i) d (1) (i )

2-22

x ( 0) (i ) d ( 0) (2i )
x (1) (i ) d ( 0) (2i 1)

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(0)
M symb
M symb
2

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x (0) (i) d (0) (i)

layer
( 0)
(1)
M symb
M symb
M symb
2

x (1) (i ) d (1) (2i )


x ( 2) (i ) d (1) (2i 1)

layer
( 0)
(1)
M symb
M symb
2 M symb
2

x ( 0) (i ) d ( 0) (2i )
x (1) (i ) d ( 0) (2i 1)
x ( 2) (i ) d (1) (2i )
x (3) (i ) d (1) (2i 1)

Transmit Diversity
For transmit diversity there is only one codeword and the number of layers is equal to the
number of antenna ports used for transmission of the physical channel.
Table 2-6 Codeword to Layer Mapping for Transmit Diversity
Number
of
Layers

Number
of Code
words

layer
1
Codeword to Layer Mapping i 0,1,..., M symb

x (0) (i) d (0) (2i)

layer
( 0)
M symb
M symb
2

x (1) (i) d (0) (2i 1)

x (0) (i ) d (0) (4i )


x (1) (i ) d (0) (4i 1)
x ( 2) (i ) d (0) (4i 2)
x (3) (i ) d (0) (4i 3)

(0)
M ( 0 ) 4
if M symb
mod 4 0
layer
M symb
( 0 )symb
(0)
M symb 2 4 if M symb mod 4 0
( 0)
If M symb
mod 4 0 two null symbols are

( 0)
appended to d (0) (M symb
1)

2.5.5 Precoding
The next stage is precoding the complex-valued modulation symbols on each layer for
transmission. Figure 2-29 illustrates the different precoding options:

Single Antenna Port.

Transmit Diversity.

Spatial Multiplexing - This includes two options, i.e. with CDD (Cyclic Delay Diversity)
and without.
CDD (Cyclic Delay Diversity) is a method whereby a delayed version of the same OFDM symbol is
transmitted from multiple antennas. It provides a method for transforming spatial diversity into
frequency diversity thus avoiding Inter Symbol Interference.

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Figure 2-29 LTE Precoding Options

LTE Precoding
Single Antenna Port

LTE Spatial Multiplexing


CDD (Cyclic
Delay
Diversity

Precoding
Transmit Diversity

Precoding Concept

The precoder takes as input a block of vectors x(i) x (0) (i) ... x ( 1) (i) ,
T

layer
i 0,1,..., M symb
1 from the layer mapping and generates a block of vectors

ap
1 to be mapped onto resources on each of the antenna
y(i) ... y ( p) (i) ... , i 0,1,..., M symb

ports, where y ( p ) (i ) represents the signal for antenna port .

Precoding for Single Antenna Port


For transmission on a single antenna port, precoding is defined by y ( p) (i) x (0) (i) where
p 0,4,5 is the number of the single antenna port used for transmission of the physical
ap
ap
layer
1 , M symb
M symb
channel and i 0,1,..., M symb
.

Precoding for Transmit Diversity


The precoding operation for transmit diversity is defined for two and four antenna ports. For

transmission on two antenna ports, p 0,1 , the output y(i) y (0) (i) y (1) (i) ,
T

ap
i 0,1,..., M symb
1 of the precoding operation is defined by:

y (0) (2i )
j 0 Re x ( 0) (i )
1 0
(1)

0 1 0
j Re x (1) (i )
y (2i ) 1
y (0) (2i 1)
0
j Im x (0) (i )
2 0 1
(1)

(1)
y (2i 1)
1 0 j 0 Im x (i )
layer
ap
layer
1 with M symb
2M symb
for i 0,1,..., M symb
.

It is worth noting that any two columns of the coding matrix are orthogonal. In addition, the
precoding has facilitated space-frequency transmit diversity, i.e. coding in frequency domain.
ap
layer
The precoding for four antenna ports is similar, however typically M symb
.
4M symb

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Precoding for Spatial Multiplexing


Spatial multiplexing supports two or four antenna ports and the set of antenna ports used is
p 0,1 or p 0,1,2,3 , respectively.
Without Cyclic Delay Diversity), precoding for spatial multiplexing is defined by:
y (0) (i )
x ( 0) (i )

W (i )

y ( P 1) (i )
x ( 1) (i )

ap
ap
layer
1 , M symb
M symb
where the precoding matrix W (i) is of size P and i 0,1,..., M symb
.

Note that the values of W (i) are selected among the precoder elements in the codebook
configured in the eNodeB and the UE.
For large-delay CDD, precoding for spatial multiplexing is defined by
y (0) (i )
x (0) (i )

W (i ) D(i )U

y ( P 1) (i )
x ( 1) (i )

ap
ap
layer
1 , M symb
M symb
where the precoding matrix W (i) is of size P and i 0,1,..., M symb
.

Compared to none CDD precoding, D (i ) provides the CDD (Cyclic Delay Diversity)
diagonal matrix, whereas U uses a square matrix.

Spatial Multiplexing Codebook for Precoding


The size of the codebook varies for two and four antenna transmissions. The two antenna
ports, p 0,1 , the precoding matrix W (i) is selected from Table 6.3.4.2.3-1 or a subset
thereof. For the closed-loop spatial multiplexing transmission mode, the codebook index 0 is
not used when the number layers is 2 .
Table 2-7 Codebook for Transmission for Two Antenna Ports
Codebook Index

Number of layers
1

1 1

2 1

1 1 0

2 0 1

1 1

2 1

1 1 1

2 1 1

1 1

2 j

1 1 1

2 j j

1 1

2 j

Note that for transmission on four antenna ports there are 16 codebook indexes to choose
from.

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2.5.6 Resource Element Mapper


Following on from the precoding stage the resource element mapper maps the
complex-valued symbols to the allocated resources.
For each of the antenna ports used for transmission of the Physical Channel, the block of
complex-valued symbols is mapped in sequence to resource elements (see Section 2.6.2 .)
which meet all of the following criteria:

They are in the PRB (Physical Resource Blocks) assigned for transmission.

They are not used for transmission of PBCH, synchronization signals or reference
signals.

They are not in an OFDM symbol used for PDCCH.

Additional information on the physical resources is provided in Section 2.6.2 .

2.5.7 OFDM Signal Generation


The final Physical Layer processing stage is the actual OFDM signal generation, i.e. the
generation of time-domain signals for each antenna. This is a purely mathematical process
with various equations and parameters being used. Figure 2-30 illustrates the downlink
equation; however the detail is not discussed as part of this course.
Figure 2-30 Example of the Downlink Signal Generation Equation

sl p t

akp ,l e j 2kf tNCP,lTs

DL RB

N DLN RB / 2
RB sc

k NRB Nsc / 2

j 2kf t NCP,lTs
p
ak ,l e
k 1

2.6 Downlink OFDMA


2.6.1 General OFDMA Structure
The E-UTRA downlink is based on OFDMA. As such, it enables multiple devices to receive
information at the same time but on different parts of the radio channel. In most OFDMA
systems this is referred to as a Subchannel, i.e. a collection of subcarriers. However, in
E-UTRA, the term subchannel is replaced with the term PRB (Physical Resource Block).
Figure 2-31 illustrates the concept of OFDMA, whereby different users are allocated one or
more resource blocks in the time and frequency domain, thus enabling efficient scheduling of
the available resources.

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Figure 2-31 OFDMA in LTE

Frequency
Device is allocated one
or more PRB (Physical
Resource Blocks)

Channel
Bandwidth
E.g. 3MHz

OFDMA

PRB consists of 12
subcarriers for 0.5ms

Time
It is also worth noting that a device is typically allocated 1ms of time, i.e. a subframe, and not
an individual PRB.

2.6.2 Physical Resource Blocks and Resource Elements


A PRB (Physical Resource Block) consists of 12 consecutive subcarriers and lasts for one slot,
i.e. 0.5ms. Figure 2-32 illustrates the size of a PRB.
The NRBDL parameter is used to define the number of RB (Resource Blocks) used in the DL
(Downlink). This is dependent on the channel bandwidth. In contrast, NRBUL is used to
identify the number of resource blocks in the uplink. Each RB (Resource Block) consists of
NSCRB subcarriers, which for standard operation is set to 12. In addition, another configuration
is available when using MBSFN and a 7.5kHz subcarrier spacing.
The PRB is used to identify an allocation. It typically includes 6 or 7 symbols, depending on
whether an extended or normal cyclic prefix is configured.
The term RE (Resource Element) is used to describe one subcarrier lasting one symbol. This
can then be assigned to carry modulated information, reference information or nothing.

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Figure 2-32 Physical Resource Block and Resource Element

Radio Frame = 10ms


0

Subframe
Slot 8

Slot 9

NSCRB Subcarriers = 12

Physical Resource
Block

NRBDL

Resource
Element
NSymbDL

The different configurations for the downlink E-UTRA PRB are illustrated in Table 2-8.
Table 2-8 Downlink PRB Parameters
Configuration
Normal Cyclic Prefix
Extended Cyclic
Prefix

NSCRB

NSymbDL

f = 15kHz
f = 15kHz
f = 7.5kHz

7
12
6
24

The uplink PRB configuration is similar; however the 7.5kHz option is not available.

2.7 LTE Physical Signals


In order to acquire the system, the eNB must broadcast various downlink signals. In addition,
since the downlink is scalable from 1.4MHz to 20MHz and the device may not be aware of
the eNB configuration, the method of finding the system needs to be consistent. Consequently,
synchronization and cell identity information must appear on the downlink in a fixed place
irrespective of the radio spectrum configuration. Figure 2-33 illustrates the structure of the
NIDcell (Physical Cell Identity).

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Figure 2-33 Downlink Cell ID

ls
n Signa
io
t
a
iz
n
hro
nk Sync
Downli
eNB

(1)
(2)
Ncell
ID = 3NID + NID

Where: NID(1) = 0,..167


NID(2) = 0, 1, or 2

UE

In LTE there are two synchronization sequences, known as the PSS (Primary Synchronization
Signal) and the SSS (Secondary Synchronization Signal). The location of these is dependent
on the transmission mode, i.e. FDD or TDD, as well as the use of the normal or extended
cyclic prefix.
Figure 2-34 PSS and SSS Location for FDD

Extended CP 0 1 2 3 4 5
PSS (Primary
Synchronization
Sequence)

Bandwidth

Normal CP

0 1 2 3 4 5 6
62
Subcarriers

72
Subcarriers

Bandwidth
SSS (Secondary
Synchronization
Sequence)
Slots

9 10 11 12 13 14 15 16 17 18 19

Radio Frame
Repeated in
slots 0 and 10

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Figure 2-35 PSS and SSS Location for TDD

Extended CP 0 1 2 3 4 5 0 1 2 3 4 5
Bandwidth

Normal CP

0 1 2 3 4 5 6 0 1 2 3 4 5 6

Bandwidth

Slots

9 10 11 12 13 14 15 16 17 18 19

Radio Frame

Primary Synchronization Signal


The PSS provides downlink synchronization information for the device. The signal sent is one
of three ZC (Zadoff-Chu) sequences. This provides a pseudo noise pattern which devices can
correlate, whilst at the same time enabling adjacent cells/sectors on the eNB to utilize
different synchronization signals. The NID(2) (0,1 or 2) is mapped to a Zadoff-Chu root index
which is used in the sequence generation process.

Secondary Synchronization Signal


The SSS is generated from the interleaved concatenation of two length-31 binary sequences
which are cyclic shifted based on the value of NID(1). Table 2-9 illustrates the indices
generated from NID(1). It is worth noting that additional algorithms are used, as well as a
different combination for subframe 0 and subframe 10.
Table 2-9 Example of SSS Indices
N ID

m0

m1

N ID

m0

m1

N ID

m0

m1

N ID

m0

m1

N ID

m0

m1

34

68

12

102

15

19

136

22

27

35

69

10

13

103

16

20

137

23

28

36

70

11

14

104

17

21

138

24

29

37

71

12

15

105

18

22

139

25

30

167

33

2-30

67

11

101

14

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The secondary synchronization sequence is an interleaving of two length-31 sequences s0(m0)


and s1(m1) scrambled with sequences c0 and c1, which are based on NID(2), as well as scrambled
with a z sequence. Figure 2-36 illustrates the concept mapping the sequences to the 62
subcarriers in subframes 0 and 5.
Figure 2-36 SSS Scrambling

Length 31 Sequence
Cyclic Shift based on
NID(1)
s0 (m0)

Scrambling
sequence z

s1(m1)

s1(m1)

c1 and z1(m0)

c0

Subframe 0
62 interleaved
bits

c0

s0(m0)

c1 and z1(m1)

Subframe 5
Scrambling sequence c0
and c1 based on NID(2)

The concatenated sequence is scrambled with a scrambling sequence given by the primary
synchronization signal.

2.8 Downlink Reference Signals


Unlike other systems, the LTE air interface does not employ a frame preamble. Instead it
utilizes various RS (Reference Signals) to facilitate coherent demodulation, channel
estimation, channel quality measurements and timing synchronization etc. Fundamentally
there are three types of downlink reference signals:

Cell Specific (non-MBSFN).

MBSFN (MBMS over Single Frequency Network).

UE Specific.

2.8.1 Cell Specific Reference Signals


In LTE, the cell specific reference signals are arranged in a two dimensional lattice of time
and frequency. This has been done so that they are equidistant and therefore provides a
minimum mean squared error estimate for the channel. In addition, the spacing in time
between the Reference Symbols is an important factor for channel estimation and relates to
the maximum Doppler spread supported, i.e. speed. In LTE, this works out at 2 Reference
symbols per slot.
The spacing in the frequency domain is also an important factor, as this relates to the expected
coherent bandwidth and delay spread of the channel. In LTE there is a 6 subcarrier separation
of reference signals, however these are staggered in time such that they appear every 3
subcarriers.

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One Antenna Port Configuration


The location of the RSs is dependent on the number of antennas and use of a Normal CP or
Extended CP. Figure 2-37 illustrates the two options.
Figure 2-37 Reference Signals - One Antenna Port
Normal CP
R
R

R
R

Extended CP

Antenna Port 0

R
R

Antenna Port 0

This is used for a single TX (Transmit) antenna. The reference signals are transmitted during
the first and fifth OFDM symbols of each slot when the normal CP is used and during the first
and fourth OFDM symbols when the extended CP is used.

Cell ID Offset
It is worth noting that the position of the reference signals is dependent on the value of the
Physical Cell ID. As such, the system performs a calculation (Physical Cell ID mod 6) to
determine the correct offset. Figure 2-38 illustrates two cells, each producing a different
offset.
Figure 2-38 Reference Signal Physical Cell ID Offset
Physical Cell ID = 0
R
R

RS position is
based on Physical
Cell ID (Physical
Cell ID mod 6)

R
R

eNB

R
R

Physical Cell ID = 8
R
R

R
R

R
R

eNB

Two Antenna Port Configuration


LTE is designed to operate with multiple transmit antennas for MIMO, or Transmit Diversity.
The concept of reference signals is used to define different patterns for multiple antenna ports.
Figure 2-39 illustrates the concept for two antennas. The RS pattern corresponding to a given
antenna port enables the device to derive channel estimation.
Figure 2-39 Reference Signals - Two Antenna Ports (Normal CP)
x

2-32

Antenna Port 0

R
R

RS symbol for antenna port 0


RS symbol for antenna port 1

Antenna Port 1

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Whilst Reference Symbols are transmitted on one antenna, the other antennas resource element is null.
In addition, like the single antenna port configuration the location of the reference signals is offset based
on the Physical Cell ID.

Four Antenna Port Configuration


LTE supports up to four cell-specific antenna ports (0 to 3). As such, the device is required to
derive up to four separate channel estimates. Figure 2-40 illustrates the configuration for four
antenna ports.
Figure 2-40 Reference Signals - Four Antenna Ports (Normal CP)
R
R
R
R

RS symbol for antenna port 0


RS symbol for antenna port 1
RS symbol for antenna port 2
RS symbol for antenna port 3

x x

x x

R x

R x

x x

x R

x R

x x

R x

R x

x x

x x

x R

x x

x x

x R

x x

x x

R x

R x

x x

x R

x R

x x

R x

R x

x x

x x

x R

x x

x x

x R

Antenna Port 0

Antenna Port 1

Antenna Port 2

Antenna Port 3

Antenna port 2 and antenna port 3 both have a reduced number of reference symbols.
This is to reduce the reference signal overhead. It does also have a negative impact on the
system since the lack of reference signals will mean that in high mobility, i.e. fast channel
variations, the channel estimation will not be as accurate. This however can be offset by the
fact that spatial multiplexing MIMO with 4 antennas will mostly be performed in low
mobility scenarios. In addition, like the single antenna port configuration the location of the
reference signals is offset based on the Physical Cell ID.

2.8.2 MBSFN Reference Signals


The LTE system also defines a set of reference signal for MBSFN. This is referred to as
antenna port 4. Figure 2-41 illustrates the two MBSFN reference signal configurations, one
for 15kHz and one for 7.5kHz.

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Figure 2-41 MBSFN Reference Signals

Subframe
Slot

Subframe

R
R

R
R

R
R

R
R

R
R

R
R

Extended CP
15kHz

R
R

Extended CP
7.5kHz

R
R

R
R

2.8.3 UE Specific Reference Signals


UE specific reference signals are supported for single antenna port transmission on the
PDSCH and are transmitted on antenna port 5. It is typically used for beamforming when
non-codebook based precoding is applied.
Figure 2-42 UE Specific Reference Signals
Normal CP

Extended CP
R

R
R

R
R

R
R

R
R

R
R
R

R
R

Antenna Port 5

R
R
R

Antenna Port 5

Since the device has no information on the beamforming attributes applied by the eNB it
needs to estimate these as part of the channel estimation process.

2.9 Downlink LTE Physical Channels


In Release 8 there are five downlink Physical Channels.

2.9.1 PBCH (Physical Broadcast Channel)


Along with synchronization information the eNB also schedules a MIB (Master Information
Block) over the logical BCCH (Broadcast Control Channel). This is mapped into the transport
BCH (Broadcast Channel) and ultimately into the PBCH (Physical Broadcast Channel).

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Figure 2-43 Broadcast Signaling

ation)
t Inform
s
a
c
d
a
Bro
BCCH (
eNB
UE
The coded BCH TB (Transport Block) is mapped into four subframes within a 40ms interval.
This 40ms timing is blindly detected by the UE and the information within the subframe is
assumed to be self decodable. This means that it is not dependent on information in
subsequent transmissions of Transport Blocks on the PBCH. The PBCH is located in 4
symbols of slot 1 only (symbols 0, 1, 2 and 3).
Figure 2-44 MIB to PBCH Mapping (FDD and Normal CP)

CRC
Channel Coding
Rate Matching
Scrambling
Modulation
Layer Mapping
Precoding
Mapping to REs

System
Bandwidth

MIB

PBCH

10ms Frame

Only the MIB is carried in the PBCH, other SIB (System Information Blocks) are sent using the
PDSCH.

Section 2.11.4 discusses the LTE SI (System Information) messages and scheduling options.

2.9.2 PCFICH (Physical Control Format Indicator Channel)


The PCFICH (Physical Control Format Indicator Channel) is used to inform the UE about the
number of OFDM symbols used for the PDCCH in a subframe. This channel consists of
32bits which are cell-specific and scrambled prior to modulation and mapping.

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Table 2-10 CFI Mapping


CFI Value

Number of OFDM Symbols Assigned to PDCCH


N RB 10

N RB 10

DL

DL

The control area within a PRB is grouped into multiple REG (Resource Element Group), with
one REG containing four Resource Elements. It is worth noting that the REG does not use
Resource Elements assigned to Reference Signals.
Figure 2-45 CFI to PCFICH Mapping

CFI
k
Channel Coding
(Block1/16)
Scrambling
Modulation
Layer Mapping
Precoding
Mapping to REs

OFDM Symbols
allocated to
PDCCH

PCFICH
NRBDL

Cell

DL
k = (NRB
sc /2)(NID mod 2NRB)

Reserved RSs

k=k
DL
k = k + NRB
)/2 NRB
sc /2
DL

RB

k = k + 2NRB)/2 Nsc /2
RB

k = k + 3NDL
RB)/2 Nsc /2

The PCFICH requires four REGs, i.e. 16 Resource Elements, which are distributed over the
channel bandwidth. The location of these varies depending on the system bandwidth (NSCRB)
and the NIDcell. Figure 2-45 illustrates the processes involved in mapping the CFI (Control
Format Indicator) to the correct REGs. In addition, the calculations required are also
illustrated. Table 2-11 illustrates the CFI codewords which are mapped to the PCFICH. These
can change every subframe, i.e. 1ms.

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Table 2-11 CFI Codewords


CFI

CFI Codeword < b0, b1, , b31 >

<0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1>

<1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0>

<1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1,0,1,1>

4 (Reserved)

<0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0>

Since there are 2bits, i.e. four combinations, coded to 32bits the result is 1/16 Block Coding.

2.9.3 PDCCH (Physical Downlink Control Channel)


The PDCCH control area size is defined by the PCFICH, i.e. 1, 2 or 3 OFDM symbols. The
PDCCH carries scheduling assignments and other control information. Figure 2-46 illustrates
the downlink control region. In addition, it shows how the size of the region can vary per
subframe.
Figure 2-46 FDD Downlink Control Region

Frame - 10ms
0

5MHz (25 Resource Blocks)

Downlink
Control
Region

In TDD the control regions are only available on the downlink subframes and the DwPTS.

The PDCCH is transmitted on an aggregation of one or several consecutive CCE (Control


Channel Element), where a CCE corresponds to nine REGs. The number of REGs not
assigned to PCFICH or PHICH (Physical Hybrid ARQ Indicator Channel) is NREG. The CCEs
available in the system are numbered from 0 and NCCE -1, where NCCE = NREG / 9. The
PDCCH supports multiple formats, these include:

PDCCH Format 0 - This consist of one CCE.

PDCCH Format 1 - This consist of two CCE.

PDCCH Format 2 - This consist of four CCE.

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PDCCH Format 3 - This consist of eight CCE.

Figure 2-47 illustrates the PDCCH mapping process.


Figure 2-47 REG to CCE and PDCCH Mapping

REG

Resource Element

CCE (9 x REG)
1, 2, 4 or
8 CCEs

PDCCH

PDCCH

PDCCH

PDCCH Mapping
Figure 2-48 illustrates the concept of mapping the PDCCH to REGs. It assumes that the
PCFICH indicated 2 symbols, as well as two antennas and one PHICH. The numbers in the
control region relate to the grouping of REs into a REG.
Figure 2-48 PDCCH to Control Region Mapping

PCFICH
PDCCH #N
RB

PDCCH #0

PHICH
REG

RB

Interleaving and Cyclic


cell
Shift based on NID
REG

R
3
3
x
3
3
R
6
6
x
6
6
R

0
0
0
0
1
1
1
1
2
2
2
2
4
4
4
4
5
5
5
5
7
7
7
7

Each control channel carries downlink or uplink scheduling information for one MAC identity,
namely a C-RNTI (Cell - Radio Network Temporary Identifier). This is implicitly encoded in
the CRC.

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There are various rules governing when a PDCCH can start in a subframe. Effectively there is
a tree based method to the aggregation of CCE, these include:

1 - CCE - these start on any CCE position (0, 1, 2, 3, 4, ...).

2 - CCE - these start every second location (0, 2, 4, 6, ...).

4 - CCE - these start on every fourth (0, 4, 8, ...).

8 - CCE - these start on every eighth position (0, 8, ...).

Figure 2-49 illustrates how CCEs could be mapped.


Figure 2-49 CCE Allocation Levels

1 CCE Level
Utilization

2 CCE Level
4 CCE Level
8 CCE Level

Search Spaces
The set of PDCCH candidates to monitor are defined in terms of search spaces. The diagram
illustrates the concept of search spaces and the relationship to the CCEs.
Figure 2-50 Common and UE-Specific Search Spaces

Candidate
Aggregation Set
for Common
Control

Candidate
Aggregation Set
for UE-specific
Control

8 - CCE
4 - CCE
2 - CCE
CCE

1 - CCE
0 1 2 3 4 5 6 7 8 9
Common Search Space

UE-specific Search Space

There are two types of search spaces, namely common and UE specific. The common search
space corresponds to CCEs 0-15 at two levels:

4-CCE - CCEs 0-3, 4-7, 8-11, 12-15.

8-CCE - CCEs 0-7, 8-15.

These are monitored by all UEs in the cell and can be used for any PDCCH signaling. In
addition, a UE must monitor one UE specific search space at each of the aggregation levels 1,
2, 4 and 8. This may overlap with the common control search space. The location of the
UE-specific search space is based on the C-RNTI (Cell - Radio Network Temporary Identity).

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The number of available CCEs in a cell is dependent on a number of attributes including:

Bandwidth.

Number of antenna ports.

PHICH configuration.

PCFICH value (1, 2 or 3).

2.9.4 PHICH (Physical Hybrid ARQ Indicator Channel)


The PHICH carries HARQ (Hybrid ARQ) ACK/NAKs and is transmitted in PHICH groups. A
PHICH group consists of up to eight ACK/NACK processes and requires three REGs for
transmission. Each PHICH within the same PHICH group is separated through different
orthogonal sequences.
There are two PHICH frame formats:

Frame structure type 1 - the number of PHICH groups remains constant.

Frame structure type 2 (TDD) - the number of PHICH groups may vary between
downlink subframes; this is achieved through different configuration formats.

The amount of PHICH resources (Ng) is signaled on the PBCH, as part of the MIB. Figure
2-51 illustrates how the number of PHICH groups is calculated using this parameter.
Figure 2-51 PHICH Mapping

ACK/
NACK

Up to eight
ACK/NACK per
PHICH Group
Group 0

Repetition 1/3
Modulation
Orthogonal Sequence
Scrambling
Layer Mapping
Precoding

group

NPHICH

Ng (NDL
RB /8)
2 Ng (NDL
RB /8)

PCFICH
PHICH
Mapping
Equation

For normal CP
For extended CP

Where: Ng = 1/6, , 1 or 2

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Normal and Extended PHICH


It is worth noting that the different REGs belonging to a PHICH group may be transmitted on
different symbols.
Figure 2-52 Extended PHICH Example

Subframe
Extended
PHICH
5MHz (25 Resource Blocks)

Normal
PHICH

2.9.5 PDSCH (Physical Downlink Shared Channel)


The PDSCH is used to send various Transport Channels, such as the PCH and DL-SCH.
Figure 2-53 illustrates PDSCH mapping for one subframe. In this example the PDSCH
symbols are mapped, avoiding the control region and symbols reserved for reference signals.
Figure 2-53 Generic PDSCH Mapping

Subframe

PDSCH
Symbols
PDSCH
Symbol
Mapping
Reserved for
Control

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2.10 Downlink Control Signaling


The LTE system uses a set of DCI (Downlink Control Information) messages to convey
control and scheduling information to devices. The set of Downlink Control Information
messages is defined LTE Release 8. Note that future releases could include additional formats.
Table 2-12 illustrates the DCI Formats.
Table 2-12 DCI Formats
DCI Format

Usage

Scheduling of PUSCH

Scheduling of one PDSCH codeword

1A

Compact scheduling of one PDSCH codeword and random access


procedure initiated by a PDCCH order

1B

Compact scheduling of one PDSCH codeword with precoding


information (Rank-1 transmission)

1C

Very compact scheduling of one PDSCH codeword

1D

Compact scheduling of one PDSCH codeword with precoding and


power offset information (multi-user MIMO)

Scheduling PDSCH to UEs configured in closed-loop spatial


multiplexing MIMO

2A

Scheduling PDSCH to UEs configured in open-loop spatial


multiplexing MIMO

Transmission of TPC (Transmit Power Control) commands for


PUCCH and PUSCH with 2-bit power adjustments

3A

Transmission of TPC (Transmit Power Control) commands for


PUCCH and PUSCH with 1-bit power adjustments
DCI formats 0, 1A, 3, and 3A have the same payload size.

The size of the DCI format depends on its function, as well as the system bandwidth. There
are various rules associated with the formatting of the DCI messages. As such, padding is
typically added to ensure the rules are met.

2.10.1 DCI Format 0


This is used when scheduling the PUSCH. The following information is sent:

2-42

Flag for format0/format1A differentiation - 1 bit, where value 0 indicates format 0 and
value 1 indicates format 1A.

Hopping flag.

Resource block assignment and hopping resource allocation.

Modulation and coding scheme and redundancy version.

New data indicator.

TPC command for scheduled PUSCH.

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Cyclic shift for DM RS.

UL index - This field is present only for TDD operation with uplink-downlink
configuration 0.

DAI (Downlink Assignment Index) - This field is present only for TDD operation with
uplink-downlink configurations 1-6.

CQI Request.

2.10.2 DCI Format 1


This is used when scheduling one PDSCH codeword. The following information is sent:

Resource allocation header (resource allocation type 0 / type 1).

Resource block assignment.

Modulation and coding scheme.

HARQ process number.

New data indicator.

Redundancy version.

TPC command for PUCCH.

Downlink Assignment Index - This field is present in TDD.

It is important that the size of a DCI format 1 message does not match other DCI messages. If
the number of information bits in DCI format 1 is equal to that for format 0/1A, one zero is
added. In addition, if the number of information bits in DCI format 1 belongs to one of the
sizes in Table 2-13, one or more zeros can be added.
Table 2-13 DCI Ambiguous Sizes of Information Bits
Ambiguous Sizes of Information Bits
12, 14, 16 ,20, 24, 26, 32, 40, 44, 56

2.10.3 DCI Format 1A


This is used for compact scheduling of one PDSCH codeword and random access procedure
initiated by a PDCCH order.
When used for the random access procedure initiated by a PDCCH order the CRC is
scrambled with C-RNTI and the following information is sent:

Flag for format0/format1A differentiation - 1 bit, where value 0 indicates format 0 and
value 1 indicates format 1A.

Localized/Distributed VRB assignment flag - This is 1 bit and set to 0.

Resource block assignment - all bits are set to 1.

Preamble Index.

PRACH Mask Index.

All the remaining bits are set to zero.

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Otherwise, when used for compact scheduling of one PDSCH codeword the following
information is sent:

Flag for format0/format1A differentiation - 1 bit, where value 0 indicates format 0 and
value 1 indicates format 1A.

Localized/distributed VRB (Virtual Resource Block) assignment flag.

Resource block assignment (localized VRB /distributed VRB).

Modulation and coding scheme.

HARQ process number.

New data indicator.

Redundancy version.

TPC command for PUCCH.

Downlink Assignment Index - This is present in TDD and is applicable to TDD


configurations 1-6.

Like format 0, various rules apply to the size of the message, such that zeros may need to be
inserted. In addition, depending on the channel usage, i.e. the CRC is scrambled with random
access, paging or system information RNTIs, certain fields may be reserved.

2.10.4 DCI Format 1B


This is used for compact scheduling of one PDSCH codeword with precoding information
(Rank-1 transmission). The message contains the following information:

Localized/Distributed VRB assignment flag.

Resource block assignment - different for localized and distributed VRB.

Modulation and coding scheme.

HARQ process number.

New data indicator.

Redundancy version.

TPC command for PUCCH.

Downlink Assignment Index - This is present in TDD and is applicable to TDD


configurations 1-6.

TPMI information for precoding - The TPMI (Transmitted Precoding Matrix Indicator)
information indicates which codebook index is used corresponding to the single-layer
transmission.

PMI (Precoding Matrix Indicator) confirmation for precoding - This indicates whether
precoding is based on the indicated TPMI or on the latest PMI report sent on the
PUSCH.

If the number of information bits in format 1B belongs to one of the sizes in Table 2-13, one
zero bit is added.

2.10.5 DCI Format 1C


This is used for very compact scheduling of one PDSCH codeword. The messages include:

2-44

Gap value - This indicates if N gap,1 or N gap,2 is to be utilized.

Resource block assignment.

Transport block size index.

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2.10.6 DCI Format 1D


This is used for compact scheduling of one PDSCH codeword with precoding and power
offset information. The following information is sent:

Localized/Distributed VRB assignment flag.

Resource block assignment.

Modulation and coding scheme.

HARQ process number - the size of this varies depending on FDD or TDD mode.

New data indicator.

Redundancy version.

TPC command for PUCCH.

Downlink Assignment Index - This is present in TDD and is applicable to TDD


configurations 1-6.

TPMI information for precoding.

Downlink power offset - This is required for multi-user MIMO scheduling in the
downlink.

If the number of information bits in format 1D belongs to one of the sizes in Table 2-13, one
zero bit is added.

2.10.7 DCI Format 2


This is used for scheduling PDSCH to UEs configured in closed-loop SM (Spatial
Multiplexing). The concept of MIMO and SM is discussed in Section 2.22 .
The following information is sent as part of DCI format 2:

Resource allocation header - This indicates resource allocation type 0 or type 1.

Resource block assignment - This is for type 0 or 1 information.

TPC command for PUCCH.

Downlink Assignment Index - This is present in TDD and is applicable to TDD


configurations 1-6.

HARQ process number - the size of this varies depending on FDD or TDD mode.

Transport block to codeword swap flag - This determines the transport block to
codeword mapping. However, if one of the transport blocks is disabled the mapping is
different.

For the first Transport Block:

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Modulation and coding scheme.

New data indicator.

Redundancy version.

For the second Transport Block:

Modulation and coding scheme.

New data indicator.

Redundancy version.

Precoding information - This is either 3bits or 6bits depending on the number of antenna
ports.

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2.10.8 DCI Format 2A


This is for scheduling PDSCH to UEs configured in open-loop spatial multiplexing MIMO,
i.e. without PMI feedback. The format of DCI format 2A is the same as format 2, except that
the precoding information parameter is not used for 2 antenna ports (0 bits) and carries
transmission rank information (2bits) if 4 antenna ports are used.
Table 2-14 Precoding Information Field for 4 Antenna Ports (Open Loop)
One codeword: Codeword 0 enabled,
Codeword 1 disabled

Two codewords: Codeword 0 enabled,


Codeword 1 enabled

Bit field
mapped to
index

Message

Bit field
mapped
to index

Message

4 layers: Transmit diversity

2 layers: precoder cycling with


large delay CDD

2 layers: precoder cycling


with large delay CDD

3 layers: precoder cycling with


large delay CDD

Reserved

4 layers: precoder cycling with


large delay CDD

Reserved

Reserved

2.10.9 DCI Format 3


DCI format 3 is for the transmission of TPC (Transmit Power Control) commands for
PUCCH and PUSCH with 2-bit power adjustments. The following information is transmitted:

TPC command number 1, TPC command number 2,, TPC command number N,
where:

N format 0 ,
2

The parameter Lformat 0 is equal to the payload size of format 0 before CRC attachment.
A power control parameter, namely tpc-Index, is provided by higher layers. This is utilized by
the mobile to determine the index to the TPC command for a given UE. Power control is
discussed in Section 2.19 .

2.10.10 DCI Format 3A


Transmission of TPC (Transmit Power Control) commands for PUCCH and PUSCH with
1-bit power adjustments. The following information is transmitted by means of the DCI
format 3A:

2-46

TPC command number 1, TPC command number 2,, TPC command number M where M Lformat 0 , and where Lformat 0 is equal to the payload size of format 0
before CRC attachment.
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2.11 LTE Cell Search Procedure


The LTE device needs to perform an LTE Attach procedure, i.e. transition from the LTE
Detached to LTE Active State, to connect to the EPC (Evolved Packet Core) and ultimately
services.
Figure 2-54 Initial Procedures

Uplink Synchronization
Complete
Power On

PLMN/Cell
Selection

Cell Search

RACH
Process

Downlink Synchronization
Complete
In order to access a cell the device must find and synchronize to the cell. It is then able to
decode the System Information messages and perform PLMN (Public Land Mobile Network)
and Cell Selection. Once this has been completed, the device is in a position to access the cell
and establish a RRC connection, i.e. a SRB (Signaling Radio Bearer).

2.11.1 Cell Search


The downlink in LTE is based on scalable OFDMA with channels ranging from 1.4MHz to
20MHz (Note that not all bandwidths are available at the different frequency bands). Initially
the UE is unaware of the downlink configuration of the cell, unless it has stored information
from when it was previously attached. Assuming no information, the synchronization process
must be quick and concise. Figure 2-55 illustrates the location of the PSS and SSS.
Figure 2-55 PSS and SSS for Cell Search (FDD Mode)

Frame - 10ms
0

5MHz (25
Resource
Blocks)
PSS

SSS
PBCH

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In order for the UE to identify the cell and synchronize with the downlink transmission, the
eNB sends synchronization signals over the centre 72 sub-carriers. For FDD mode (using a
normal CP) this is in the first and sixth subframes of each downlink frame.
These synchronization signals comprise of the PSS (Primary Synchronization Signal) and
SSS (Secondary Synchronization Signal). Together they enable the UE to become downlink
synchronized and identify the Physical Cell Identity. There are 504 unique physical cell
identities, divided into 168 cell identity groups each containing three cell identities (sectors).
Figure 2-56 Physical Cell Identities

SSS - One of 168


Group Identities

eNB

eNB
eNB

504 Unique Cell


Identities

PSS - One of 3 Identities

The Physical Cell ID is able to be reused based on the cell and frequency reuse mechanism employed.

2.11.2 PSS Correlation


The device cross correlates 3 possible PSSs with the received signal. Figure 2-57 illustrates
the cross correlation results. In this example PSS1 is found.
Figure 2-57 PSS Correlation

Subframe

PSS0
PSS1
PSS2

Correlation
At this stage the cell identity within the group is known. In addition, the location of the SSS is
also known because it occupies the previous OFDM symbol (FDD mode). However, at this
stage the frame synchronization is not known since subframe 0 and 5 both utilize the same
PSS sequence.

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2.11.3 SSS Correlation


As previously discussed in Section 2.7 the sequence used for the second synchronization
signal is an interleaved concatenation of two length-31 binary sequences. The concatenated
sequence is scrambled with a scrambling sequence given by the primary synchronization
signal.
The combination of two length-31 sequences defining the secondary synchronization signal
differs between subframe 0 and subframe 5 according to:
s ( m0 ) (n)c0 n in subframe 0
d (2n) 0( m )
s1 1 (n)c0 n in subframe 5
s ( m1 ) (n)c1 n z1( m0 ) n in subframe 0
d (2n 1) 1( m )
(m )
s0 0 (n)c1 n z1 1 n in subframe 5

where 0 n 30 .
(1)
The indices m 0 and m1 are derived from the Physical Layer cell identity group N ID
and
are shown in Table 2-9.

The references to the m-sequences include:

The two sequences s0(m0 ) (n) and s1( m1 ) (n) are defined as two different cyclic shifts of
the m-sequence ~s (n) .

The two scrambling sequences c0 (n) and c1 (n) depend on the primary
synchronization signal and are defined by two different cyclic shifts of the m-sequence
c~(n) .

The scrambling sequences z1(m0 ) (n) and z1( m1 ) (n) are defined by a cyclic shift of the
m-sequence ~z (n) .

Figure 2-58 illustrates the correlation of the SSS. Note that the device is
monitoring/processing a number of different SSS possibilities, i.e. more than the two shown.
Figure 2-58 SSS Correlation Example

Subframe

SSS
SSS

Cyclic Shift based


on Cell ID and
Subframe (0 or 5)

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Device can
identify Cell ID
and frame timing

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2.11.4 Master Information Block


Once the device has decoded the PSS and SSS it is able to:

Decode cell specific Reference Signals (since their location is based on the Physical Cell
ID).

Perform channel estimation procedures.

Decode the PBCH which carries the MIB (Master Information Block).

The MIB repeats every 40ms and uses a 40ms TTI (Time Transmission Interval), i.e. the
message is interleaved over 4 frames. The MIB transmission is aligned to the SFN (System
Frame Number) such that it starts when SFN mod 4 = 0.
Figure 2-59 PBCH and the Master Information Block

MIB (Master Information Block)


DL-Bandwidth (6, 15, 25, 50, 75, 100)
PHICH Configuration (Ng and Normal/Extended)
System Frame Number

NRB

Frame 0

The MIB is always transmitted in subframe 0. The MIB carries three very important bits of
information. It indicates the downlink bandwidth, i.e. 6, 15, 25, 50, 75 or 100 Resource
Blocks. This enables the device to know where it should be looking (subcarriers) for the
downlink control information. In addition, the PHICH configuration parameter is included.
This indicates that Ng is equal to 1/6, 1/2, 1 or 2 and whether Normal or Extended
PHICH mode is being used. These are used by the device to determine the number of PHICH
groups configured on the cell and their location. Finally, the SFN is also included.
In addition, the PBCH is layer mapped and precoded. As such, the PBCH can employ transmit
diversity over multiple antennas ports.
Based on the MIB the UE is able to decode the PCFICH. This identifies the number of OFDM
symbols assigned to the downlink control region in the subframe.

2.11.5 System Information Messages


Limited system information is sent on the MIB. As such additional SIB (System Information
Block) messages are required. SIBs, other than SIB 1 (System Information Block Type1), are
carried in System Information messages which are then transmitted on the DL-SCH
(Downlink - Shared Channel) based on various system parameters. SIB 1 is slightly different
in that it has predefined rules on how it may be sent.

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System Information Block Type 1


System Information Block Type 1 contains key information about the cell and network. In
addition, it defines the scheduling window for the other System Information messages. SIB1
is transmitted on subframe 5 when SFN mod 8=0. It is also repeated in subframe 5 when SFN
mod 2=0. This is illustrated in Figure 2-60.
Figure 2-60 System Information Block Type 1

SIB1 (System Information Block Type 1)


PLMN Identity List
Tracking Area Code
E-CGI (Evolved Cell Global Identity)
Cell Barred Indication
Intra Frequency Reselection
CSG Indication
CSG Identity
Qrxlevminoffset
P-Max
Frequency Band Indicator
Scheduling Info List
SIB Window Length (1, 2, 5, 10, 15, 20, 40ms)
System Info Value Tag

NRB

Frame 0

Repetitions are scheduled in subframe #5 of all


other radio frames for which SFN mod 2 = 0
The main information in SIB1 includes:

PLMN Identity List - This is a list of PLMN identities. The first listed PLMN-Identity is
the primary PLMN.

Tracking Area Code - This is a TAC (Tracking Area Code) that is common for all the
PLMNs listed.

E-CGI - This is a 28bit cell identifier.

Cell Barred Indication.

Intra Frequency Reselection - This is used to control cell reselection to intra-frequency


cells when the highest ranked cell is barred, or treated as barred by the UE.

CSG Indication - if set to TRUE, the UE CSG (Closed Subscriber Group) identity
needs to match.

CSG Identity - This is the identity of the Closed Subscriber Group within the primary
PLMN the cell belongs to.

Qrxlevminoffset - This affects the minimum required Rx level in the cell.

P-Max - This is part of the cell selection process.

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Frequency Band Indicator.

SI Periodicity Mapping Information - This denotes a value in radio frames: rf8, rf16, rf32,
rf64, rf128, rf256, rf512 and is used to calculate the occurrence of messages.

SIB Window Length - This is a common SI scheduling window for all SIB and indicates
1, 2, 5, 10, 15, 20 or 40ms.

System Info Value Tag - Common for all SIBs other than MIB, SIB1, SIB10 and SIB11.

Acquisition of an SI Message
When acquiring an SI message, the UE performs various calculations to determine the start of
the SI-window for the concerned SI message:

For the concerned SI message, determine the number n which corresponds to the order of
entry in the list of SI messages configured by schedulingInfoList in
SystemInformationBlockType1.

Determine the integer value x = (n 1)*w, where w is the si-WindowLength.

The SI-window starts at the subframe #a, where a = x mod 10, in the radio frame for
which SFN mod T = FLOOR(x/10), where T is the si-Periodicity of the concerned SI
message.

In order to identify the scheduling of SI messages the UE looks for the SI-RNTI (System
Information - Radio Network Temporary Identifier) on the PDCCH.
Figure 2-61 Example of SI Mapping

SI2 {rf16, SIB6, SIB7, SIB8, SIB9}

9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 SFN

SI1 {rf8, SIB3, SIB4, SIB5}

SIB1 (System Information Block Type 1)


.
SI-Window=5ms
Scheduling Info List
- SI1 {rf8, SIB3, SIB4, SIB5}
- SI2 {rf16, SIB6, SIB7, SIB8, SIB9}

E-UTRAN should configure an SI-window of 1 ms only if all SIs are scheduled before subframe #5 in
radio frames for which SFN mod 2 = 0.

System Information Block Type 2


System Information Block Type 2 contains radio resource configuration information that is
common for all UEs. This includes detailed information on the access channels and paging
channels.

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Figure 2-62 System Information Block Type 2

SIB2 (System Information Block Type 2)


Access Class Information
Uplink Carrier Frequency
UL Bandwidth
MBSFN Configuration Information

System Information Block Type 3


System Information Block Type 3 contains cell reselection information common for
intra-frequency, inter-frequency and/or inter-RAT cell reselection (i.e. applicable for more
than one type of cell reselection but not necessarily all), as well as intra-frequency cell
reselection information other than that which is neighbor cell related.
Figure 2-63 System Information Block Type 3

SIB3 (System Information Block Type 3)


Cell Reselection Information
Q-Hyst
Speed State Reselection Parameters
Q-Hyst Speed SF (Scaling Factor)
Treselection EUTRA
Treselection EUTRA SF
S Intra Search
Cell Reselection Serving Freq Info
S-Non-Intra Search Info
Threshold Serving Low Value
Intra Freq Cell Reselection Info
p-Max
Allowed Measurement Bandwidth

System Information Block Type 4


System Information Block Type 4 contains neighboring cell related information relevant only
for intra-frequency cell reselection. It includes cells with specific reselection parameters and
blacklisted cells.
Figure 2-64 System Information Block Type 4

SIB4 (System Information Block Type 4)


Intra Freq Neighbour Cell List
q-OffsetCell
Intra Freq Black Cell List
CSG Physical Cell Id Range

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System Information Block Type 5


System Information Block Type 5 contains information relevant only for inter-frequency cell
reselection i.e. information about other E-UTRA frequencies and inter-frequency neighboring
cells relevant for cell reselection. It includes cell reselection parameters common for a
frequency as well as cell specific reselection parameters.
Figure 2-65 System Information Block Type 5

SIB5 (System Information Block Type 5)


Inter Frequency Carrier Freq List
Inter Frequency Carrier Freq Info
Inter Frequency Neighbour Cell List
Inter Frequency Neighbour Cell Info
Inter Frequency Black Cell List
Inter Frequency Black Cell Info

System Information Block Type 6


System Information Block Type 6 contains information relevant only for inter-RAT cell
reselection i.e. information about UTRA frequencies and UTRA neighboring cells relevant for
cell reselection. It includes cell reselection parameters common for a frequency as well as cell
specific reselection parameters.
Figure 2-66 System Information Block Type 6

SIB6 (System Information Block Type 6)


Carrier Frequency List UTRA
UTRA Reselection Information

System Information Block Type 7


The System Information Block Type 7 contains information relevant only for inter-RAT cell
reselection i.e. information about GERAN frequencies relevant for cell reselection. It includes
cell reselection parameters for each frequency.
Figure 2-67 System Information Block Type 7

SIB7 (System Information Block Type 7)


Carrier Frequency List GERAN
GERAN Reselection Information

System Information Block Type 8


The System Information Block Type 8 contains information relevant only for inter-RAT cell
reselection i.e. information about CDMA2000 frequencies and CDMA2000 neighboring cells
relevant for cell reselection. It includes cell reselection parameters common for a frequency as
well as cell specific reselection parameters.

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Figure 2-68 System Information Block Type 8

SIB8 (System Information Block Type 8)


CDMA2000 Information

System Information Block Type 9


The System Information Block Type 9 contains a HeNB (Home eNB) name.
Figure 2-69 System Information Block Type 9

SIB9 (System Information Block Type 9)


Home eNB Name

System Information Block Type 10 and 11


SIB 10 and SIB 11 are used to send ETWS (Earthquake and Tsunami Warning System)
primary notification and ETWS secondary notification respectfully.

2.11.6 PLMN Selection


The transition from LTE Detached to LTE Active can be used to describe the processes
through which the UE must progress in order to establish a point of attachment within the
Evolved Packet Core and ultimately connect to services. The initial processes including
scanning for downlink and uplink channels and synchronization are passive in that the
information required to achieve this is broadcast from the eNB within the relevant E-UTRAN.
Before the UE can access the network it must first select a suitable PLMN (Public Land
Mobile Network) and then a suitable cell. Services may be available to the user through a
choice of several serving networks in a given location, possibly using different types of Radio
Access Network.
Figure 2-70 PLMN Selection

3G Visited
PLMN

PLMN selection
may be initiated
automatically or
manually

LTE Visited
PLMN

Node B
eNB
UE
LTE Home eNB
PLMN

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upto 6 PLMN
Identities

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E-UTRA PLMN Selection


In the UE, the Access Stratum reports available PLMNs to the NAS on request from the NAS
or autonomously. During PLMN selection, based on the list of PLMN identities in priority
order, the particular PLMN may be selected either automatically or manually. Each PLMN in
the list of PLMN identities is identified by a 'PLMN identity'. In the system information on
the broadcast channel, the UE can receive one or multiple 'PLMN identity' in a given cell.
The UE scans all RF channels in the E-UTRA bands according to its capabilities to find
available PLMNs. On each carrier, the UE searches for the strongest cell and read its system
information, in order to find out which PLMN(s) the cell belongs to. If the UE can read one or
several PLMN identities in the strongest cell, each found PLMN is reported to the NAS as a
high quality PLMN (but without the RSRP value), provided that the following high quality
criterion is fulfilled:

For an E-UTRAN cell, the measured RSRP value is greater than or equal to -110 dBm.

Found PLMNs that do not satisfy the high quality criterion, but for which the UE has been
able to read the PLMN identities are reported to the NAS together with the RSRP value. The
quality measure reported by the UE to NAS is the same for each PLMN found in one cell.
Note that the UE may optimize the PLMN search by using stored information e.g. carrier
frequencies and optionally also information on cell parameters from previously received
measurement control information elements.

NAS PLMN Selection


The UE utilizes all the information stored in the USIM (Universal Subscriber Identity Module)
related to the PLMN selection; e.g. "HPLMN (Home PLMN) Selector with Access
Technology", "Operator controlled PLMN Selector with Access Technology", "User
Controlled PLMN Selector with Access Technology", "Forbidden PLMNs", "Equivalent
HPLMN". Note that these are the same for UMTS PLMN selection.
The PLMN/access technology combinations are listed in priority order. If no particular access
technology is indicated in an entry, the UE assumes that all access technologies supported by
the UE apply. In addition, the UE stores a list of EHPLMN (Equivalent HPLMN). This list is
replaced or deleted as part of various EMM Procedures. The stored list consists of a list of
equivalent PLMNs as downloaded by the network plus the PLMN code of the registered
PLMN that downloaded the list. All PLMNs in the stored list, in all access technologies
supported by the PLMN, are regarded as equivalent to each other for PLMN selection, cell
selection/re-selection and handover.
The UE selects and attempts registration on other PLMN/access technology combinations, if
available and allowable, in the following order:

2-56

Either the HPLMN (if the EHPLMN list is not present or is empty) or the highest priority
EHPLMN that is available (if the EHPLMN list is present).

Each PLMN/access technology combination in the "User Controlled PLMN Selector


with Access Technology" data file in the SIM (in priority order).

Each PLMN/access technology combination in the "Operator Controlled PLMN Selector


with Access Technology" data file in the SIM (in priority order).

Other PLMN/access technology combinations with received high quality signal in


random order.

Other PLMN/access technology combinations in order of decreasing signal quality.

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Once the UE NAS has selected a PLMN, the cell selection procedure can be performed in
order to select a suitable cell of that PLMN to camp on.

2.11.7 Cell Selection


For LTE there are two cell selection procedures supported:

Initial Cell Selection - This is when the UE has no prior knowledge of the cell.

Stored Information Cell Selection - This is when the UE has stored information which is
used to optimize the selection process, i.e. it stored information before it was switched
off.

Once a UE has synchronized with the cell and decoded the necessary System Information
messages, it must camp on it; or one of the surrounding cells. This is achieved through the cell
selection process. The UE is aiming to find the cell which will provide the best quality radio
link between it and the network. Figure 2-71 illustrates the S (Cell Selection) calculation.
Figure 2-71 LTE Cell Selection

eNB

Qrxlevmeas
Qrxlevmeas
eNB

UE
Qrxlevmeas

Srxlev > 0
Srxlev = Qrxlevmeas - (Qrxlevmin + Qrxlevminoffset) - Pcompensation
eNB
Table 2-15 identifies the parameters used as part of the Cell Selection process.
Table 2-15 Cell Selection Parameters
Parameter

Description

Srxlev

Cell Selection RX level value (dB).

Qrxlevmeas

Measured cell RX level value (RSRP),


where RSRP is defined as the linear average
over the power contributions of the resource
elements that carry cell specific reference
signals within the considered measurement
frequency bandwidth.

Qrxlevmin

Minimum required RX level in the cell


(dBm).

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Qrxlevminoffset

Offset to the signaled Qrxlevmin taken into


account in the Srxlev evaluation as a result
of a periodic search for a higher priority
PLMN while camped normally in a visited
PLMN.

Pcompensation

max (PEMAX - PUMAX, 0), where PEMAX is the


maximum allowed power configured by
higher layers.

PUMAX

RF output power of the UE (dBm) according


to the UE power class (this may vary
depending on allowed tolerances).

In terms of the radio channel, the UE measures the RSRP (Reference Signal Received Power).
The LTE downlink contains cell specific RS (Reference Signals) which are used for channel
equalization and determining the RSRP (Reference Signal Received Power).
The device calculates the Qrxlevmeas for each cell. It then gathers the related Qrxlevmin and
other parameters from the SI messages (each cell may provide different parameters). Once it
has gathered all the information it is able to calculate Srxlev for each cell.
All cells that return a value of Srxlev greater than zero are considered candidates for selection.
The cell with the most positive value is selected and becomes the camped on cell.

Cell Random Access


Once a UE has selected a cell it performs a random access procedure on the PRACH/RACH.
Section 2.18 details this procedure.

2.12 Uplink Transmission Technique


The uplink in LTE, as previously mentioned, is based on SC-FDMA (Single Carrier Frequency Division Multiple Access). This was chosen for its low PAPR (Peak to Average
Power Ratio) and flexibility which reduced complexity in the handset and improved power
performance and battery life. SC-FDMA tries to combine the best characteristics of single
carrier systems like low peak-to-average power ratio, with the advantages of multi carrier
OFDM and as such, is well suited to the LTE uplink requirements.

2.12.1 SC-FDMA Signal Generation


The basic transmitter and receiver architecture is very similar (nearly identical) to OFDM, and
it offers the same degree of multipath protection. Importantly, because the underlying
waveform is essentially single carrier, the PAPR is lower. It is quite difficult to visually
represent SC-FDMA in the time and frequency domain. This section aims to illustrate the
concept. Figure 2-72 illustrates the basic structure of the SC-FDMA process.

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Figure 2-72 SC-FDMA Subcarrier Mapping Concept

Time Domain

Frequency Domain

Time Domain

0
0
0
0
Symbols

DFT

Subcarrier
Mapping

IDFT

CP
Insertion

0
0
0

In Figure 2-72 the SC-FDMA signal generation process starts by creating a time domain
waveform of the data symbols to be transmitted. This is then converted into the frequency
domain, using a DFT (Discrete Fourier Transform). DFT length and sampling rate are chosen
so that the signal is fully represented, as well as being spaced 15kHz apart. Each bin
(subcarrier) will have its own fixed amplitude and phase for the duration of the SC-FDMA
symbol. Next the signal is shifted to the desired place in the channel bandwidth using the zero
insertion concept, i.e. subcarrier mapping. Finally, the signal is converted to a single carrier
waveform using an IDFT (Inverse Discrete Fourier Transform) and other functions. Finally a
cyclic prefix can be added. Note that additional functions such as S-P (Serial to Parallel) and
P-S (Parallel to Serial) converters are also required as part of a detailed functional description.
Figure 2-73 illustrates the concept of the DFT, such that a group of N symbols map to N
subcarriers. However depending on the combination of N symbols into the DFT the output
will vary. As such, the actual amplitude and phase of the N subcarriers is like a code word.
For example the first combination represents the first set of symbols. Since the second set of
symbols is different the amplitude and phase of the N subcarriers would then be different.

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Figure 2-73 SC-FDMA Signal Generation

N symbols sequence
produces N subcarriers

DFT Output

First N Symbols
DFT
Modulated and
Coded Symbols
Second N Symbols
DFT

Different input sequence


produces different output

The process at the eNB receiver takes the N subcarriers and reverses the process. This is
achieved using an IDFT (Inverse Discrete Fourier Transform) which effectively reproduces
the original N symbols.
Figure 2-74 illustrates the basic view of how the subcarriers received at the eNB are converted
back into the original signals.
Note that the SC-FDMA symbols have a constant amplitude and phase and like ODFMA, a
CP (Cyclic Prefix) is still required.
Figure 2-74 SC-FDMA and the eNB

Time

Second N Symbols
IDFT

Power
Cyclic
Prefix

First N Symbols
IDFT

N Subcarriers

SC-FDMA Signal Generation Equation


The previous diagrams go some way to visualizing the concept of SC-FDMA. However the
true time-continuous signal sl t in SC-FDMA symbol l in an uplink slot is defined by the
equation in Figure 2-75.
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Figure 2-75 Example of the Uplink Signal Generation Equation


UL RB
N sc / 2 1
N RB

sl t

UL RB
k N RB
N sc / 2

ak ( ) ,l e

j 2 k 1 2 f t N CP ,l Ts

RB
for 0 t N CP ,l N Ts where k ( ) k N UL
RB N sc 2 , N 2048 , f 15 kHz and a k ,l
is the content of resource element k, l .

The SC-FDMA symbols in a slot are transmitted in increasing order of l , starting with l 0 ,
where SC-FDMA symbol l 0 starts at time

l 1
l 0

( N CP ,l N )Ts within the slot.

2.13 OFDMA Verses SC-FDMA


The main reason SC-FDMA was specified for the uplink was because of its PA (Power
Amplifier) characteristics. Typically, the SC-FDMA signal will operate with a 2-3dB lower
PAPR (Peak-to-Average Power Ratio). This makes the system more efficient, thus increasing
the battery life for mobile users. SC-FDMA is also better when it comes to larger cell
coverage.
It must be noted that OFDMA is better in a number of areas, such as Inter-symbol
orthogonality and the ability to provide a more flexible frequency domain scheduling
mechanism. This increases the system performance. In addition, OFDMA is more suitable for
uplink MIMO operation and associated high date rate services.
Table 2-16 highlights three main features and indicates which technology is best suited.

Table 2-16 SC-FDMA verses OFDMA


Feature

SC-FDMA

OFDMA

Low PAPR

Performance

Uplink MIMO

2.14 Uplink LTE Physical Channels


There are a number of Uplink Physical Channels in LTE. These include:

PRACH (Physical Random Access Channel) - This channel carries the Random Access
Preamble. The location of the PRACH is defined by higher layer signaling.

PUCCH (Physical Uplink Control Channel) - This channel carries UCI (Uplink Control
Information) such as ACK/NAKs in response to downlink transmission, as well as CQI
(Channel Quality Indicator) reports. It also carries scheduling request indicators and
MIMO codeword feedback.

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PUSCH (Physical Uplink Shared Channel) - This is the main uplink channel and is used
to carry the UL-SCH (Uplink Shared Channel) Transport Channel. It carries both
signaling and user data, in addition to UCI.

Figure 2-76 Release 8 Uplink Physical Channels

PRACH

PUSCH

PUCCH

2.14.1 PRACH (Physical Random Access Channel)


The random access procedure is used in various scenarios, including initial access, handover,
or re-establishment. Like other 3GPP systems the random access procedure provides a method
for contention and non-contention based access. The PRACH (Physical Random Access
Channel) includes RA (Random Access) preambles generated from ZC (Zadoff-Chu)
sequences. Figure 2-77 illustrates the basic structure of the PRACH preamble. This is
effectively an OFDM symbol.
Figure 2-77 PRACH Preamble
CP

Sequence

TCP

TSEQ

Guard Period

Preamble

The Guard Period is required since the eNB does not know when the preambles will arrive.
Figure 2-78 illustrates an example with two UEs. The first is next to the eNB therefore there
is very little delay. In contrast UE B is some distance from the eNB, as such the initial
access preamble is delayed, i.e. there is a round trip delay. The eNB must allocate a large
enough window such that the preambles from UE at the edge of the cell dont arrive outside
of this window.

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Figure 2-78 PRACH Guard Period

UE - A

UE - B

eNB
UE - A

CP

UE - B

Sequence

CP

UE B delay
due to distance

Sequence

eNB Access Window

PRACH Frame Formats


As well as the position of the PRACH, four PRACH frame formats for FDD are also defined.
These contain a CP (Cyclic Prefix) and Zadoff Chu sequence. The formats are designed to
enable efficient operation in different scenarios. For example, the varying length of CP can be
employed to counter either small or large delay spread effects due to the mobiles position.
Table 2-17 illustrates the different PRACH formats.
Table 2-17 Random Access Preamble Parameters
Preamble
Format

Allocated
TSEQ
Subframes (Ts)

TCP
(Ts)

TCP (s)

TGT
(Ts)

TGT
(s)

Max.
Delay
Spread
(s)

Max
Cell
Radius
(km)

24576

3168

103.125

2976

96.875

5.208

14.531

24576

21024

684.375

15840

515.625

16.666

77.344

49152

6240

203.125

6048

196.875

5.208

29.531

49152

21024

684.375

21984

715.625

16.666

102.65

4 (TDD)

Special
Frame

4096

448

14.583

576

18.75

16.666

4.375

Format 4 is only available for frame structure type 2 and special subframe configurations with UpPTS
lengths 4384Ts and 5120Ts only.

For FDD format 0, 1 2 or 3 can be configured. Figure 2-79 visualizes the different formats. It
is worth noting that they can occupy more than a subframe and in addition the guard period is
not specified.

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Figure 2-79 PRACH FDD Formats

Subframe 1ms

Subframe 1ms

Format 3
Format 2
Format 1
6
PRB

Format 0

CP

Zadoff Chu Sequence

The actual PRACH channel utilizes 6 PRBs, i.e. it occupies 1.4MHz of uplink channel
capacity.
For FDD the subcarrier spacing is 1.25kHz and there are 839 subcarriers, whilst TDD utilizes
a 7.5kHz subcarrier spacing and 139 carriers. As such for FDD the duration is 1/T =
1/1.25kHz = 0.8ms.
Figure 2-80 PRACH Configuration

Subframe
0

Subframe
1

Subframe
2

RB 24

839
Subcarriers
1.25kHz
(6RBs)

C
P

ZC

PRACH Frequency
Offset (0 to 104
Resource Blocks)

RB 0

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The exact position of the PRACH is defined in the SI (System Information) messages by
using the PRACH Configuration Index. This is based on a table and can vary from 0 to 63.
Table 2-18 illustrates the first part of the table.
Table 2-18 PRACH Configuration Index
PRACH
Configuration
Index

Preamble
Format

System
Frame
Number

Subframe
Number

Even

Even

Even

Any

Any

Any

Any

1, 6

Any

2 ,7

Any

3, 8

Any

1, 4, 7

10

Any

2, 5, 8

11

Any

3, 6, 9

12

Any

0, 2, 4, 6, 8

13

Any

1, 3, 5, 7, 9

14

Any

0, 1, 2, 3, 4,
5, 6, 7, 8, 9

15

Even

63

Even

PRACH Sequence Generation


The network configures the set of preamble sequences the UE is allowed to use. There are 64
preamble sequences per cell.

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Figure 2-81 PRACH Configuration and Preamble Sequences Per Cell

PRACH-Configuration
Root Sequence Index (0 to 837)
PRACH Configuration Index (0 to 63)
High Speed Flag
Zero Correlation Zone Configuration (0 to 15)
PRACH Frequency Offset (0 to 104)

Cell has 64
Preamble
Sequences

eNB

The random access preamble is generated from Zadoff-Chu sequences. These have key
properties:

Constant Amplitude - This improves the PARP and increases the amplifier efficiency.

Autocorrelation - This enables the eNB to provide accurate timing.

Cross Correlation - This enables different base sequence cyclic shifts to be used.
Additional mechanisms are required when the cyclic shift is greater than the time
expected for round trip propagation and signal delay spread.

The set of 64 preamble sequences in a cell is found by including first, in the order of
increasing cyclic shift, all the available cyclic shifts of a root Zadoff-Chu sequence with the
logical index RACH_ROOT_SEQUENCE, where RACH_ROOT_SEQUENCE is
broadcasted as part of the System Information.
Additional preamble sequences, in case 64 preambles cannot be generated from a single root
Zadoff-Chu sequence, are obtained from the root sequences with the consecutive logical
indexes until all the 64 sequences are found.
The relation between a logical root sequence index and physical root sequence index u is
defined by various tables and calculations in the 3GPP 36.211 specification - Physical
Channels and Modulation.
The u th root Zadoff-Chu sequence is defined by:
xu n e

un( n 1)
N ZC

, 0 n N ZC 1

where the length N ZC of the Zadoff-Chu sequence, e.g. 829 for Format 0. Various rules
apply to identify the chosen set. In addition, the parameter Highspeed-flag is provided by
higher layers and determines if unrestricted set or restricted set is used. The restricted set
adds additional rules on the cyclic shifts that can be used as preambles, i.e. taking Doppler
spread into account.

2.14.2 PUSCH (Physical Uplink Shared Channel)


Uplink resource scheduling is performed by the eNB. Note that Section 3 provides more
information on resource allocation and scheduling. The eNB utilizes information, e.g. QoS
parameters, buffer status, UE capabilities, CQI (Channel Quality Indicator) measurements, to
identify the best scheduling of resources. Like the downlink, the uplink allocation is multiples
of Resource Blocks, each consisting of 12 subcarriers.
The Physical Uplink Shared Channel is the main delivery mechanism for higher layer
Transport Channels. Figure 2-82 illustrates an example of the mapping of PUSCH symbols to

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the Resource Elements. Like the downlink, the uplink also has resource elements reserved for
Reference Signals and control.
Figure 2-82 PUSCH Mapping

Subframe

PUSCH
Symbols
PDSCH
Symbol
Mapping
Reference
Signals

Additional Resource Elements are typically required to carry extra control signaling, e.g. CQI (Channel
Quality Information), ACK/NACK, etc.

Multiplexing of Control Signaling and UL-SCH Data


There are various types of control signaling which may need to be sent in the same subframe
as the allocated PUSCH. A device is not allowed to transmit the PUCCH and PUSCH in the
same subframe; therefore the control information needs to be multiplexed with the UL-SCH
Transport Channel before the DFT process.
Figure 2-83 Multiplexing Control Signaling

Subframe

PUSCH Data
PUSCH Reference Signals
ACK/NACK

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RI (Rank)

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Figure 2-83 illustrates an example of control signaling to the PUSCH. In this example, three
additional types of signaling are added:

ACK/NACK - These are part of the HARQ process and are located next to the RS. This
ensures that they benefit from the best possible channel estimation. The information is
punctured to make way for the ACK/NACK information.

CQI/PMI - The CQI (Channel Quality Information) and PMI (Precoding Matrix
Indicator) can also be multiplexed onto the PUSCH. These are rate matched with the
UL-SCH. The mapping of these is sequential on one subcarrier before continuing on the
next.

RI - RI (Rank Indication) - These are placed next to the ACK/NACK.

Various rules on the mapping and coding of control information exist. In addition, it is also
possible to send control information on the PUSCH without data, i.e. not the UL-SCH.

2.14.3 PUCCH (Physical Uplink Control Channel)


The PUCCH carries UCI (Uplink Control Information); examples include: ACK/NAKs in
response to downlink transmission, CQI (Channel Quality Indicator) reports, SR (Scheduling
Requests) and MIMO feedback such as PMI (Precoding Matrix Indicator) and RI (Rank
Indication).
The PUCCH is transmitted on a reserved frequency region. This is configured by the higher
layer. Figure 2-84 illustrates an example of this mapping. It is worth noting that the number of
control regions is variable.

Uplink Carrier Bandwidth

Figure 2-84 Mapping to Physical Resource Blocks for PUCCH

PRB=n

Control Region 0
Control Region 1
Control Region 2
PRB=0
Slot n

Slot n+1
Subframe

The PUCCH resource blocks are located at both edges of the uplink bandwidth. It uses
inter-slot hopping to improve frequency diversity. Note that a UE only uses the PUCCH when
it does not have any data to transmit on the PUSCH, i.e. no allocated resources.
There are various types of PUCCH formats associated with uplink control. Section 2.17
discusses these in detail.

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2.15 Timing Relationships


FDD Timing
In LTE there are various rules associated with timing between the downlink and uplink
transmissions. The timing for FDD is illustrated in Figure 2-85. If a UE detects a PDCCH
with DCI format 0 and/or a PHICH transmission in subframe n intended for the UE, it will
adjust the corresponding PUSCH transmission in subframe n+4 according to the PDCCH and
PHICH information. This offset is identified as K, such that K=4 for FDD.
Figure 2-85 FDD Timing

PDCCH

Subframe
3

Subframe
4

Subframe
5

FD D :

Subframe
3

Subframe
4

Subframe
6

Subframe
7

Subframe
8
Downlink

Subframe
6

Subframe
7

Subframe
8

K=4

Subframe
5

Uplink
4 Subframe Delay

PUSCH

TDD Timing
For TDD the timing relationship is more complex. As such, it now depends on the UL/DL
TDD configurations, namely 0 to 6. Table 2-19 illustrates the different K values for TDD.
Table 2-19 K Values for TDD Configurations
TDD UL/DL
Configuration

K value for DL Subframe Number


0

4*

6*

2
3

4*

6*

4
4
4

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The UE, upon detection of a PDCCH with DCI format 0 and/or a PHICH transmission in
subframe n intended for the UE, adjusts the corresponding PUSCH transmission in subframe
n+k, with k given in Table 2-19.
Figure 2-86 illustrates an example of frame configuration 2. In this configuration, K=4 in
subframes 3 and 8. This relates to transmission being scheduled for subframes 7 and 2
respectively.
Figure 2-86 Example of TDD Configuration 2

Special
Subframe

TDD Configuration 2
(DSUDDDSUDD)
0

K=4 Subframe Delay


Switch to
Uplink

Switch to
Downlink

2.16 Uplink Reference Signals


In addition to the higher layer control and data being sent on the uplink, lower layer Reference
Signals are also required. Like other Reference Signals these require good auto correlation
and cross correlation properties. In addition, there needs to be a sufficient number of
sequences to minimize interference.
There are two variants of uplink Reference Signal supported:

DRS (Demodulation Reference Signal) - This is associated with transmission of PUSCH


or PUCCH.

SRS (Sounding Reference Signal) - This is not associated with transmission of PUSCH
or PUCCH.

Figure 2-87 Uplink Reference Signals

DRS (Demodulation
Reference Signal)

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Base Sequences
Reference Signals are generated using Base Sequences, with the same set of base sequences
used for demodulation and sounding Reference Signals. These sequences need to support
different bandwidth options whilst at the same time having auto correlation and cross
correlation properties. In addition, they need to have acceptable cubic metric values.

2.16.1 Demodulation Reference Signal


The DRS (Demodulation Reference Signal) is used for channel estimation to help the
demodulation of the control and data channels in the eNB. There are two different
demodulation Reference Signals; these are used for the PUSCH and PUCCH respectively.
There are various RS sequences defined, as well as different lengths. As a result, the DRS is
defined using four parameters:

Sequence length - This is part of the uplink allocation.

Sequence Groups (0-29) - This is cell specific.

Sequence - Each group contains one sequence for each length up to 5PRB, and two
sequences for each length from 6PRB.

12 Cyclic Shift options.

Sequence Group Selection


In any given slot, the reference sequences used within a cell are from the same group.
However the group assignment may change. There are two group assignment methods.
Figure 2-88 DRS Sequence Group Selection

Sequence Group Selection


Fixed Group

Group Hopping

When using a fixed group, i.e. not group hopping, the same group is used for all slots.
However, the group number to use is dependent on the channel type. As such, the PUCCH
group number is based on the cell identity and the PUSCH group number is influenced by a
higher layer parameter.
If using group hopping, the group number changes with slots based on an equation. There are
17 different hopping patterns and 30 different sequence-shift patterns. As such, the PUCCH
and PUSCH have the same hopping pattern but may have different sequence-shift patterns.

PUSCH DRS
The DRS varies in its location depending on a number of attributes, such as the use of a
normal or extended cyclic prefix. Figure 2-89 illustrates the DRS location for the PUSCH and
a normal CP. In this case the DRS is located on the 4th symbol in each slot and uses the same
transmission bandwidth allocated to the UEs in the uplink. Reference Signals for different
UEs are derived by different cyclic shifts from the same base sequence.

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Figure 2-89 Uplink Demodulation Reference Signal (Normal CP)

12 Subcarriers

R
R
R
R
R
R
R
R
R
R
R
R

R
R
R
R
R
R
R
R
R
R
R
R

LTE DRS (Demodulation


Reference Signals) transmitted
across all subcarriers assigned
to a UE

Slot

Slot
Subframe

In contrast, if the system is utilizing an extended CP then the DRS is located in a different
OFDM symbol.

12 Subcarriers

Figure 2-90 Uplink Demodulation Reference Signal (Extended CP)

R
R
R
R
R
R
R
R
R
R
R
R

R
R
R
R
R
R
R
R
R
R
R
R

Slot

Slot

Extended CP
DRS Location

Subframe

2.16.2 Sounding Reference Signal


The SRS (Sounding Reference Signal) provides the eNB with uplink channel quality
information which can be used for scheduling. The UE sends a Sounding Reference Signal in
different parts of the allocated bandwidth where no uplink data transmission is available.
Figure 2-91 illustrates an example whereby a UE has been allocated resources in the uplink.
The eNB is able to use the DRS to provide channel estimation in this sub-band. However the
eNB does not know how the UE will perform in the other bands. As such, if the eNB was to
allocate resources in these other bands, the conditions may not be favorable and additional
errors could be introduced.
Effectively there are two modes for transmitting SRS, either wideband mode or frequency
hopping mode. In wideband mode, the SRS occupies the bandwidth required. This could
however lead to poor channel quality estimates. In contrast, frequency hopping mode sends
multiple SRS signals using a narrowband transmission. This will, over time, cover the same
bandwidth.

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Figure 2-91 Requirement for SRS

Subframe

Subframe

5MHz (25 Resource Blocks)

No Channel
Information

eNB
UE
Assigned
Resources

No Channel
Information

The configuration of the sounding signal, e.g. bandwidth, duration and periodicity, are given
by higher layers. The SRS is transmitted in the last symbol of the subframe. Figure 2-92
illustrates an example, whereby the eNB has configured the mobile to send SRS over a
desired portion of the band.
Figure 2-92 Example of SRS Frequency Hopping

5MHz (25 Resource Blocks)

Subframe

eNB

UE
SRS

Since the SRS can be sent when the UE has no current PUSCH or PUCCH assignment,
mechanisms must exist to stop the UE interfering with other users PUSCHs. This is done by
making sure all UEs know when the SRS are transmitted, such that the last symbol of the
subframe where SRS is transmitted is not used by any mobiles for their PUSCH.

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SRS Transmission
There are various Sounding Reference Symbol parameters defined. Most are UE
semi-statically configurable by higher layers:

Transmission comb.

Starting physical resource block assignment.

Duration of SRS transmission: single or indefinite (until disabled).

SRS configuration index ISRS for SRS periodicity and SRS subframe offset Toffset .

SRS bandwidth BSRS .

Frequency hopping bandwidth, bhop .

Cyclic shift n SRS .

cs

In addition, cell specific parameters, SRS transmission bandwidths ( C SRS ) and subframe
transmission are configured by higher layers.
Figure 2-93 illustrates an example of multiplexing the SRS from different users. Notice that
multiple UEs can send the SRS at the same time, using different resources as well as a
different cyclic shift.
Figure 2-93 Example SRS Allocation

SRS Symbol

UE 1 and 2 (Using
different cyclic
shifts)

12 Subcarriers

UE 3 and 4 (Using
different cyclic
shifts)

Subframe
Note that the SRS may need to interact with ACK/NACK, CQI or SR information. If
interacting with ACK/NACK the SRS may be dropped or the ACK/NACK punctured. In
contrast, when interacting with the CQI and SR information, the SRS is dropped.

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2.17 Uplink Control Signaling


The PUCCH supports multiple formats; these are illustrated in Table 2-20.
Table 2-20 PUCCH Formats
PUCCH
Format

Description

Modulation
Type

Bits per
subframe

Scheduling Request

N/A

N/A

1a

ACK/NACK

BPSK

QPSK

QPSK

20

QPSK+BPSK

21

QPSK+QPSK

22

ACK/NACK+SR
1b

ACK/NACK
ACK/NACK+SR

CQI/PMI or RI
(CQI/PMI or RI)+ACK/NACK
(Extended CP only)

2a

(CQI/PMI or RI)+ACK/NACK
(normal CP only)

2b

(CQI/PMI or RI)+ACK/NACK
(normal CP only)

Demodulation Reference Signal on the PUCCH


The PUCCH formats include DRS (Demodulation Reference Signal). The location of these is
dependent on the format type and the use of normal or extended CP. In summary these are:

Format 1, 1a and 1b (Normal CP) - DRS is symbols 2, 3 and 4.

Format 1, 1a and 1b (Extended CP) - DRS is symbols 2 and 3.

Format 2, 2a and 2b (Normal CP) - DRS is symbols 1 and 5.

Format 2 (Extended CP) - DRS is symbol 3.

If a UE has a scheduling request or CQI to send, higher layer signaling configures the
resource.

2.17.1 PUCCH Format 1


For PUCCH format 1, information is carried by the presence/absence of transmission of the
PUCCH from the UE.
The UE is assigned a resource index which indicates a resource every nth frame that can be
used to transmit a SR (Scheduling Request). The size of PUCCH format 1 is 0bits. However,
the eNB knows when to expect a scheduling request from a UE. As such, if the eNB detects
energy on the PUCCH it can assume it came from the scheduled UE.

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Note that various rules apply to the sending of scheduling requests, especially if the UE is
multiplexing it with CQI and/or ACK/NAK on PUCCH. In this case:

CQI: Drop CQI when SR is transmitted.

ACK/NAK: Support multiplexing of SR and ACK/NAK.

2.17.2 PUCCH Format 1a and 1b


The PUCCH Format 1a and 1b carry 1 or 2 HARQ bits. Figure 2-94 illustrates the process for
one of the slots. The BPSK/QPSK symbol are applied to a cyclically shifted length-12
sequence ru(,v ) (n) . Finally, an orthogonal cover code (Walsh Code) is applied. The example
shows a Normal CP option with 3 DRS included. A length 3 code is applied to these, enabling
the eNB to perform channel estimations for devices sharing the same resource.
Figure 2-94 PUCCH Format 1a and 1b (Normal CP)

1 or 2 bit ACK/NACK
To Next
Slot

BPSK/QPSK
Cyclically
shifted
length-12
sequence
IFFT

IFFT

IFFT

IFFT

Length 4 Sequence
W0

W1

UL RS

W2

UL RS

W3

UL RS

Slot

For an extended CP, there are six symbols and only two UL RS (Reference Signals).

Interference Issues
There should be no intra cell interference in a RB since the system is using the same base
reference sequence with different cyclic shifts and orthogonal codes. However there may be
inter cell interference. This is improved with the use of different cyclic shifts and orthogonal
codes, as well as applying different hopping patterns (since these are cell specific too).

PUCCH Format 2
Format 2 is used when CQI/PMI is transmitted without ACK/NACK or when CQI/PMI and
ACK/NACK are jointly coded for the case of the extended cyclic prefix. Format 2 is
characterized as follows:

2-76

It is bit scrambled by a UE specific scrambling sequence.

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The initialization of the scrambling sequence generator is the same as that of the
PUSCH.

It contains CS (Cyclic Shift) based sequences.

CS hopping is performed on a symbol basis.

Figure 2-95 PUCCH Format 2 (Normal CP)

No Orthogonal
Code Applied
Cyclically
shifted
length-12
sequence

CQI/PMI or RI
To Next
Slot

IFFT

IFFT

IFFT

IFFT

IFFT

Slot (Normal CP)

Figure 2-96 PUCCH Format 2 (Extended CP)

CQI/PMI or RI + ACK/NACK
Cyclically
shifted
length-12
sequence

To Next
Slot
IFFT

IFFT

IFFT

IFFT

IFFT

Slot (Extended CP)

PUCCH Format 2a and 2b (ACK/NACK and CQI)


These formats are only supported when using the normal CP. They are characterized as
follows:

They are bit scrambled by a UE specific scrambling sequence.

The initialization of the scrambling sequence generator is the same as that of the
PUSCH.

BPSK (2a) or QPSK (2b) modulation for the 2nd RS symbol in each slot is used. This
carries ACK/NACK.

Format 2a: QPSK CQI + BPSK ACK/NACK

Format 2b: QPSK CQI + QPSK ACK/NACK

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Figure 2-97 PUCCH Format 2a and 2b ACK/NACK Coding

1 or 2 bit
ACK/NACK

Cyclically
shifted
length-12
sequence

1st RS

To Next
Slot
IFFT

2nd RS
Slot (Normal CP)

2.18 LTE Random Access Procedure


Prior to registering on the network the UE must first establish a SRB (Signaling Radio Bearer)
to the eNB that it has camped on during the cell selection process. Figure 2-98 illustrates
the overall processes required, typically termed the RACH (Random Access Channel)
process.
Figure 2-98 Overall Random Access Procedure

No
Identify
PRACH
Format

Identify RACH
Preambles

Send
Preamble

Receive
Response
Yes

Send RRC
Connection
Request

Decode
Response

MAC
Connection
Resolution

SRB
Established

2.18.1 RRC Connection


The SRB is also termed the RRC Connection, i.e. the UE has moved into the
RRC-Connected State. In order to achieve this signaling between the eNB and the UE is
required. Figure 2-99 illustrates the main signaling messages to establish a SRB. Note: some
of these are messages or indicators at the PHY or MAC layer.
The sequence starts with the probing of the network on the PRACH. Once the UE has
successfully probed for uplink resources and has been allocated these on the UL-SCH, the
RRC Connection is established through a three way signaling handshake on the UL-SCH and
the DL-SCH respectively.

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Figure 2-99 Random Access RRC Signaling Procedure

eNB

UE
PRACH Preamble Sequence

RACH

MAC Scheduling Grant


RRC Connection Request

UL-SCH

RRC Connection Setup


UL-SCH

MAC
Contention
Resolution
DL-SCH

RRC Connection Setup Complete


Signalling Radio Bearer
(RRC Connected)

2.18.2 PRACH Preambles


Figure 2-100 illustrates the probing process. The UE send an initial probe based on the
PRACH configuration parameter, discussed in Section 2.14.1 and open loop power control.
This is discussed in Section 2.19.3 .
Figure 2-100 PRACH Probing

eNB indicates the


preamble/ZC sequence
was received and
includes initial UL grant

PRACH
Power
Control
Noise/
Interference

Scheduled Message
E.g. RRC Connection
Request

DPCCH
PUSCH
DL-SCH
In this example the initial probe is below the noise/interference level and thus is not heard.
The UE increases its power based on a step size until a response is heard on the PDCCH.
PRACH

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2.18.3 Random Access Procedure Initialization


The Random Access procedure is initiated by the MAC sublayer or by a PDCCH Order. The
UE is required to gather various parameters before it can initiate the random access procedure.
Table 2-21 lists the main parameters.
Table 2-21 Parameters for Random Access

2-80

Parameter

Description

PRACH-ConfigInfo

This contains: prach-ConfigIndex, highSpeedFlag,


zeroCorrelationZoneConfig and prach-FreqOffset.

ra-ResponseWindowSize

Random access response window size in subframes


(sf2, sf3, sf4, sf5, sf6, sf7, sf8 or sf10).

powerRampingStep

Power ramping factor (dB0, dB2,dB4 or dB6).

preambleTransMax

Maximum number of preamble transmission (n3, n4,


n5, n6, n7, n8, n10, n20, n50, n100 or n200).

preambleInitialReceivedTargetPower

Initial preamble power (-120, -118, -116, -114, -112,


-110, -108, -106, -104, -102, -100, -98, -96, -94, -92
or -90 dBm).

DELTA_PREAMBLE

Preamble format based offset.

maxHARQ-Msg3Tx

Maximum number of Msg3 HARQ transmissions (1


to 8).

mac-ContentionResolutionTimer

Contention Resolution Timer (sf8, sf16, sf24, sf32,


sf40, sf48, sf56 or sf64).

numberOfRA-Preambles

Number of preambles used (n4, n8, n12, n16 ,n20,


n24, n28, n32, n36, n40, n44, n48, n52, n56, n60 or
n64).

sizeOfRA-PreamblesGroupA

Number of preambles assigned to group A (n4, n8,


n12, n16 ,n20, n24, n28, n32, n36, n40, n44, n48,
n52, n56 or n60).

messagePowerOffsetGroupB

Part of the power equation to identify which group


to use (minusinfinity, dB0, dB5, dB8, dB10, dB12,
dB15, or dB18).

messageSizeGroupA

Part of the size equation to identify which group to


use (b56, b144, b208, b256}.

ra-PreambleIndex

The preamble to use as part of dedicated


configuration (0 to 63).

ra-PRACH-MaskIndex

The resource to use as part of dedicated


configuration (0 to 15).

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Allocation of Preamble Groups


The LTE random access procedure can group the access preambles into one of two groups. In
so doing, it enables the UE to indicate power or payload size requirements to the eNB for the
initial UL-SCH allocation.
Figure 2-101 illustrates how the random access preambles are grouped into group A and group
B. Two key parameters are required to make the groups: numberOfRA-Preambles and
sizeOfRA-PreamblesGroupA. The preambles in random access preamble group A are the
preambles 0 to sizeOfRA-PreamblesGroupA - 1 and, if it exists, the preambles in random
access preamble group B are the preambles sizeOfRA-PreamblesGroupA to
numberOfRA-Preambles - 1 from the set of 64 preambles.
Figure 2-101 Allocating Preambles to Group A and Group B

numberOfRA-Preambles

0 1 2 3 4
eNB

63

sizeOfRA-PreamblesGroupA

0 1 2 3 4

UE

Preambles Group B
is used dependent
on messages size
and pathloss

If sizeOfRA-PreamblesGroupA is equal to numberOfRA-Preambles then there is no Random Access


Preambles group B.

Group Utilization
For the first Msg3 (Higher Layer Message) the selection of group B is based on message size
and pathloss attributes:

Data size plus MAC and control is greater than messageSizeGroupA.

Pathloss is less than (PCMAX preambleInitialReceivedTargetPower


deltaPreambleMsg3 messagePowerOffsetGroupB).

For retransmissions the UE uses the same group as was used for the initial preamble
transmission attempt.

PDCCH Access Order


If a UE receives a PDCCH transmission consistent with a PDCCH order masked with its
C-RNTI, it initiates a Random Access procedure.

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2.18.4 Random Access Response Window


Once the UE has transmitted the randomly selected preamble from the appropriate group, it
monitors the PDCCH for Random Access Response(s) identified by the RA-RNTI (Random
Access - RNTI) in the RA Response window. This starts at the subframe that contains the end
of the preamble transmission plus three subframes and has length ra-ResponseWindowSize
subframes.
Figure 2-102 Random Access Response Window

+3 Subframes

Subframes

eNB

Random
Access

RA Response
Window Size
sf2, sf3, sf4, sf5,
sf6, sf7, sf8, sf10

UE

The RA-RNTI is calculated using the formula: 1 + t_id+10*f_id, where t_id is the index of
the first subframe of the specified PRACH (Physical Random Access Channel) resource and
f_id is the index of the specified PRACH resource within that subframe.

2.18.5 Random Access Response


On receiving the preamble, the eNB sends a Random Access Response on the DL-SCH. This
is addressed to the RA-RNTI on the PDCCH (Physical Downlink Control Channel). It
includes the RAPID (Random Access Preamble Identifier), TA (Timing Alignment)
information, initial UL (Uplink) grant and assignment of a Temporary C-RNTI.
Figure 2-103 MAC Random Access Response

eNB

UE
PRACH Preamble Sequence
MAC Scheduling Grant

RAPID (Random Access Preamble ID)


TA
UL Grant
Temporary C-RNTI

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The UL grant contains 20bits of information, including:

Hopping flag - 1bit.

Fixed size resource block assignment - 10bits.

Truncated modulation and coding scheme - 4bits.

TPC command for scheduled PUSCH - 3bits.

UL delay - 1bit.

CQI request - 1bit.

The UE utilizes these parameters to access the resource.

2.18.6 Uplink Transmission


If the UE decodes a PDCCH with the correct RA-RNTI identified, it decodes the DL-SCH
transport block to check if the RAPID is included. If so, it transmits an UL-SCH transport
block in the first subframe n+k1, where k1 6.
Figure 2-104 Random Access - Assigned UL-SCH

RA
Response
Window

Subframes

eNB

Random
Access

+3

n+k1 (k1 6)
RAPID
Response

Assigned
UL-SCH

UE
The UE would postpone the PUSCH transmission to the next available UL subframe if the UL Delay
field is set to 1.

If no random access response is received in the RA response window, the UE is able to


transmit a new preamble sequence. This should happen no later than 4 subframes after the end
of the RA response window.
Figure 2-105 illustrates the MAC contention resolution process. This is achieved by the UE
sending its identity to the eNB in the first UL-SCH message. Granted, this resource could be
contention based, i.e. another UE sent the same access preambles in the same subframe.
Consequently, each would include their own higher layer identity.
The eNB then adds the UE identity in the MAC header. Other UEs with different identifiers
realize that a collision has taken place and then re-access the system, i.e. they send a new
preamble.

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Figure 2-105 MAC Contention Resolution

UE
UL-SCH

Includes UE
Identity

eNB

RRC Connection Request


MAC Responds
with UE Identity
MAC Contention Resolution

2.19 Uplink Power Control


The E-UTRA, like most cellular systems, requires power control to be implemented. This
reduces interference and enables it to be managed/optimized by the eNB. Uplink power
control determines the average power over a SC-FDMA symbol in which the Physical
Channel is transmitted.
Figure 2-106 Uplink Power Control

Uplink Power Control


PUSCH
PUCCH
PRACH
SRS

eNB

UE

2.19.1 PUSCH Power Control


The setting of the UE Transmit power PPUSCH (dBm) for the Physical Uplink Shared Channel
transmission in subframe i is defined by:

PPUSCH (i ) min{ PCMAX , 10 log10 ( M PUSCH (i )) PO_PUSCH ( j ) ( j ) PL TF (i ) f (i )}


Where:

PCMAX - This is the configured UE transmitter power. It relates to either the maximum
allowed by the eNB or the UE power class.

2-84

M PUSCH (i ) - This is related to the bandwidth of the PUSCH resource assignment


expressed in number of resource blocks.

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PO_PUSCH ( j ) - This parameter is the sum of various cell and UE specific parameters. It is

also based on retransmission and scheduling options.

- This is a 3bit cell specific parameter provided by higher layers (0, 0.4, 0.5,
0.6,.1).

PL (Pathloss) - This is the downlink pathloss estimate calculated in the UE. Note
pathloss is calculated based on the reference signal power and other higher layer filter
configurations.

TF - This is a UE specific parameter which relates to the MCS (Modulation and Coding
Scheme) and TF (Transport Format), i.e. TBS (Transport Blok Size).

F - This enables UE specific power control, i.e. TPC (Transmit Power Control). Different
options can be configured, e.g. accumulation or current absolute power.

Power headroom
The LTE System also defines UE PH (Power Headroom) as:

PH (i) PCMAX 10 log10 ( M PUSCH (i)) PO_PUSCH ( j ) ( j ) PL TF (i) f (i) db

A PHR (Power Headroom Report) is typically sent by the UE when the prohibitPHR-Timer
expires, or when the power headroom reporting functionality is configured or re-configured.

2.19.2 PUCCH Power Control


The UE power calculation whilst on the PUCCH (Physical Uplink Control Channel) is
defined as:

PPUCCH i min PCMAX , P0_PUCCH PL h nCQI , n HARQ F_PUCCH F g i dBm

Where:

PCMAX - This is the configured UE transmitter power. It relates to either the maximum
allowed by the eNB or the UE power class.

PO_PUCCH - This is a parameter is the sum of cell specific and UE specific parameters.

PL (Pathloss) - This is the downlink pathloss estimate calculated in the UE. Note
pathloss is calculated based on the reference signal power and other higher layer filter
configurations.

hn - This is a PUCCH format dependent value, where nCQI relates to the number of

CQI bits and nHARQ is the number of HARQ bits.

F_PUCCH ( F ) - This is provided by higher layers and provides a frame format dB offset.

g (i ) - This is the current PUCCH power control and enables UE specific power control,
i.e. TPC (Transmit Power Control).

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2.19.3 PRACH Power Control


The UE power calculation whilst on the PRACH (Physical Random Access Channel), i.e. for
preambles, is determined as:
PPRACH = min{ PCMAX , PREAMBLE_RECEIVED_TARGET_POWER + PL} dBm
Where:

PCMAX - This is the configured UE transmitter power. It relates to either the maximum
allowed by the eNB or the UE power class.

PREAMBLE_RECEIVED_TARGET_POWER - This is set to the


preambleInitialReceivedTargetPower + DELTA_PREAMBLE +
(PREAMBLE_TRANSMISSION_COUNTER 1) * powerRampingStep.

PL (Pathloss) - This is the downlink pathloss estimate calculated in the UE. Note
pathloss is calculated based on the Reference Signal Power and other higher layer filter
configurations.

2.20 Paging Procedures


2.20.1 Discontinuous Reception for Paging
A UE in the Idle State is required to listen for paging messages. However, if left unmanaged
the UE would potentially have to look at every subframe for a possible paging message.
Figure 2-107 illustrates the issue this would cause, i.e. a reduction in battery performance.
Figure 2-107 Paging Issues

Subframes

Paging Message
for this UE

eNB
Decoding every subframe would
impact battery performance
UE

To combat this, LTE supports DRX (Discontinuous Reception) of paging messages. Figure
2-108 illustrates the concept, whereby a UE looks at pre-determined times.

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Figure 2-108 System with DRX Reception of Paging

Subframes

Paging Message
for this UE

Buffered in eNB

eNB
DRX improves battery
performance
UE
The eNB may have to buffer the paging message until a UEs paging occasion occurs. The UE
is given various parameters which enable it to identify a time when it should listen. This is
termed a PO (Paging Occasion) and relates to a subframe. In addition, the DRX parameters
also define a PF (Paging Frame), i.e. Radio Frame, which may contain one or multiple Paging
Occasion(s). The system information messages provide the necessary DRX parameters to
enable a UE to calculate listening times. Alternatively they can be sent to a specific UE as part
of higher layer signaling.

2.20.2 Paging Frame


The PF is given by the following equation: SFN mod T= (T div N)*(UE_ID mod N).
This indicates the frames in which the PO (Paging Occasion) could occur. In addition, to
derive the PO, a subframe pattern table and calculation is used to derive the i_s (Index). The
calculation is defined as: i_s = floor(UE_ID/N) mod Ns.
The following Parameters are used for the calculation of the PF and i_s:

T - This is a range of DRX values: 32, 64, 128, 256 radio frames. Note that shorter UE
specific values override T.

N - This is calculated as: min(T,nB).

nB -This is defined as: 4T, 2T, T, T/2, T/4, T/8, T/16, T/32.

Ns - This is calculated as: max(1,nB/T).

UE_ID - This is calculated as: IMSI mod 1024.

The i_s and Ns parameters are used to identify the PO pattern from the pattern tables. Table
2-22 illustrates the subframe patterns for FDD.
Table 2-22 FDD Subframe Patterns
Ns

PO when
i_s=0

PO when
i_s=1

PO when
i_s=2

PO when
i_s=3

N/A

N/A

N/A

N/A

N/A

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Table 2-23 illustrates the subframe patterns for TDD.


Table 2-23 TDD Subframe Patterns
Ns

PO when
i_s=0

PO when
i_s=1

PO when
i_s=2

PO when
i_s=3

N/A

N/A

N/A

N/A

N/A

2.21 HARQ Operation


2.21.1 Retransmission Types
There are two types of retransmissions, namely ARQ (Automatic Repeat Request) and HARQ
(Hybrid Automatic Repeat Request). The ARQ is performed by RLC (Radio Link Control),
whereas the HARQ is part of the MAC (Medium Access Control) and Physical Layer. Figure
2-109 illustrates some of the features/issues of ARQ, as well the benefits of HARQ.
Figure 2-109 ARQ Verses HARQ

ARQ
Implemented at RLC Layer
Slow Retransmission
Not optimized for Radio Interference
UE

HARQ
Not New used in HSPA and HSPA+
Implemented at MAC and PHY Layers
Fast Retransmission
Optimized for Radio Interference
Improved system efficiency

eNB

2.21.2 HARQ Methods


HARQ provides a Physical Layer retransmission function that significantly improves
performance and adds robustness. The retransmission protocol selected in LTE is SAW (Stop
And Wait) due to the simplicity of this form of ARQ. In SAW, the transmitter persists on the
transmission of the current transport block until it has been successfully received, before
initiating the transmission of the next one. Figure 2-110 illustrates the basic concept of SAW.
It also highlights a possible issue associated with sending more packets between each
transmission.

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Figure 2-110 Basic Concept of SAW

SAW (Stop
and Wait)

What is sent here?

eNB
ACK
UE acknowledges and next
transmission can be sent

UE

The mechanism for sending more packets between each transmission is relatively simple;
have a number of HARQ processes that can run in parallel. Figure 2-111 illustrates the
concept of the HARQ processes. In LTE there are various rules and options for how many
HARQ processes are configured, i.e. it depends on downlink, uplink, FDD or TDD. This
example illustrates the downlink FDD frame where 8 HARQ processes are used. It also
highlights one of these processes, namely process 3, being sent by the eNB and initially
acknowledged by the UE. Whilst the eNB is awaiting the ACK (Acknowledgement) for this,
the additional processes can be utilized to ensure the UE can receive a stream of packets.
Figure 2-111 HARQ Parallel Processes

HARQ with 8
parallel processes

New
data

Retransmission

1 2 3 4 5 6 7 8 1 2 3 4 5 6 7 8 1 2 3
eNB
A A A A A A A A A A N A A A A
UE
If the mobile identified an error in the transmission it is able to send a NACK (Negative
Acknowledgement) to the eNB. The eNB is then able to quickly re-schedule the data.
There are two main concepts of HARQ, namely CC (Chase Combining) and IR (Incremental
Redundancy).
Figure 2-112 HARQ Methods

Chase
Combing

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Chase Combining
Chase Combining ensures that each retransmission is simply a replica of the data first
transmitted. The decoder at the receiver combines these multiple copies (of the same
information). This type of combining provides time diversity and soft combining gain at a low
complexity cost and imposes the least demanding UE memory requirements of all H-ARQ
methods.

Incremental Redundancy
The IR (Incremental Redundancy) method ensures that retransmissions include additional
redundant information that is incrementally transmitted if the decoding fails on the first
attempt. This causes the effective coding rate to increase based on the number of
retransmissions sent. Incremental Redundancy can be further classified in Partial IR and Full
IR. Partial IR includes the systematic bits in every coded word, which implies that every
retransmission is self-decodable, whereas Full IR only includes parity bits, and therefore its
retransmissions are not self-decodable.
Figure 2-113 illustrates an example showing how rate matching and redundancy versions are
used for retransmission. In addition, it highlights the concept of the effective code rate.
Figure 2-113 Example of Redundancy Versions and Soft Bits

Original Data
1/3 Rate Turbo Coding
Rate Matching

Redundancy
Version
1st TX

IR Buffer Size = 10bits


Reff.=4/5

Reff. = 4/5
NACK
2nd

TX

Reff.=2/5

Reff. = 4/5
ACK

2.21.3 HARQ in LTE


The HARQ within the MAC sublayer is designed to transmit and retransmit transport blocks.
For FDD, there are 8 HARQ processes in the downlink. In contrast the uplink has 8 HARQ
processes for non-subframe bundling operation, i.e. normal HARQ operation, and 4 HARQ
processes in the uplink for subframe bundling operation. The concept of subframe bundling is
discussed in Section 3 0as part of LTE scheduling options.
Various HARQ scheduling parameters are required, such as NDI (New Data Indicator) and
TB (Transport Block) size. In addition, the DL-DSCH HARQ information also includes the
HARQ process ID. For UL-SCH transmission the HARQ info also includes RV (Redundancy
Version). In case of spatial multiplexing, i.e. MIMO, on the DL-SCH the HARQ information
comprises a set of NDI and TB size for each transport block.

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Figure 2-114 FDD HARQ Processes

8 HARQ Processes

eNB
UE

8 HARQ Processes - Normal Scheduling


4 HARQ Processes - Subframe Bundling Scheduling

The number of HARQ processes for TDD is related to the frame configuration and varies
between 4 and 15.
Table 2-24 illustrates the different TDD HARQ configurations.
Table 2-24 TDD HARQ Processes
TDD UL/DL
Configuration

Maximum Number
of HARQ Processes

10

12

15

2.21.4 HARQ In the Downlink


The downlink HARQ is summarized by:

Asynchronous adaptive HARQ.

Uplink ACK/NAKs in response to downlink (re)transmissions are sent on PUCCH or


PUSCH.

PDCCH signals the HARQ process number, indicating transmission or retransmission.

Retransmissions are always scheduled through PDCCH.

2.21.5 HARQ In the Uplink


The uplink HARQ is summarized by:

Synchronous HARQ.

Maximum number of retransmissions configured per UE (as opposed to per Radio


Bearer).

Downlink ACK/NAKs in response to uplink (re)transmissions are sent on PHICH.

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HARQ operation in uplink is governed by the following principles:

Regardless of the content of the HARQ feedback (ACK or NACK), when a PDCCH for
the UE is correctly received, the UE follows what the PDCCH asks the UE to do i.e.
perform a transmission or a retransmission (referred to as adaptive retransmission).

When no PDCCH addressed to the C-RNTI of the UE is detected, the HARQ feedback
dictates how the UE performs retransmissions:

NACK - the UE performs a non-adaptive retransmission i.e. a retransmission on the


same uplink resource as previously used by the same process.

ACK - the UE does not perform any uplink (re)transmission and keeps the data in the
HARQ buffer. A PDCCH is then required to perform a retransmission i.e. a
non-adaptive retransmission cannot follow.

Measurement gaps (part of the measurements for mobility) are of higher priority than
HARQ retransmissions: whenever an HARQ retransmission collides with a measurement
gap, the HARQ retransmission does not take place.

The sequence of redundancy versions is 0, 2, 3, 1.

Table 2-25 illustrates the UE behavior in various situations.


Table 2-25 UL HARQ Operation
HARQ feedback
seen by the UE

PDCCH seen by
the UE

UE behaviour

ACK or NACK

New Transmission

New transmission according to PDCCH.

ACK or NACK

Retransmission

Retransmission according to PDCCH (adaptive


retransmission).

ACK

None

No (re)transmission, keep data in HARQ


buffer and a PDCCH is required to resume
retransmissions.

NACK

None

Non-adaptive retransmission.

2.21.6 ACK NACK Timing


FDD Mode
In FDD mode, when data is sent on the PDSCH for a UE, the DCI scheduling messages
provide the UE with the necessary information to decode the message. Based on the
validation of a CRC the UE then sends an ACK or NACK to the eNB. Figure 2-115
illustrates the ACK/NACK in the transmission in subframe i+4, where subframe i is
associated with the PDSCH.

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Figure 2-115 Downlink FDD HARQ Timing

PDCCH+PDPSCH
Data
Subframe
3

Subframe
4

Subframe
5

FD D :

Subframe
3

Subframe
4

Subframe
6

Subframe
7

Subframe
8
Downlink

K=4

Subframe
5

Subframe
6

Subframe
7

Subframe
8
Uplink
ACK on PUCCH
or PUSCH

Figure 2-116 illustrates an ACK/NACK received on the PHICH assigned to a UE in subframe


i, where the associated PUSCH was in transmission subframe i-4.
Figure 2-116 Uplink FDD HARQ Timing

PHICH
Subframe
3

Subframe
4

Subframe
5

Subframe
6

FD D
Subframe
3

Subframe
4

Subframe
5

: K=

Subframe
7

Subframe
8
Downlink

Subframe
7

Subframe
8
Uplink

Subframe
6

PUSCH

TDD ACK Modes


In TDD, an ACK/NACK received on the PHICH assigned to a UE in subframe i is associated
with the PUSCH transmission in the subframe i-k, where k is dependent on the TDD
configuration mode table. In addition, TDD has two ACK/NACK feedback modes defined:

ACK/NACK bundling feedback mode - This is used when the associated HARQ
ACK/NACK from multiple PDSCH subframes map into the same uplink subframe. It
utilizes a logical AND operation across the downlink subframes.

ACK/NACK multiplexing feedback mode - This uses spatial ACK/NACK bundling


across multiple codewords within a downlink subframe and is performed by a logical
AND operation of all the corresponding individual ACK/NACKs.

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2.22 Diversity Options


Cellular systems are continually improving the performance and spectral efficiency achieved
on the radio interface. One method of providing this is through the inclusion of diversity
techniques. This may be through schemes like SFBC (Space Frequency Block Coding) and
FSTD (Frequency Shift Time Diversity), as well as various types of MIMO (Multiple Input
Multiple Output).

2.22.1 SU-MIMO and MU-MIMO


MIMO relates to the use of multiple antennas at both the transmitter (multiple input) and
receiver (multiple output). The terminology and methods used in MIMO can differ from
system to system, however most fall into one of two categories:

SU-MIMO (Single User - MIMO) - this utilizes MIMO technology to improve the
performance towards a single user.

MU-MIMO (Multi User - MIMO) - this enables multiple users to be served through the
use of spatial multiplexing techniques.

Figure 2-117 SU-MIMO and MU-MIMO

Increases capacity since a


single user benefits from
multiple data streams.

MU-MIMO

SU-MIMO

eNB

eNB

UE

Increases sector
capacity by allowing
users to share streams.

UE
UE

2.22.2 MIMO and Transmission Options


The LTE system supports various modes of transmission, some of which include TD
(Transmit Diversity) techniques. Some techniques are open-loop, i.e. no feedback, which
are mainly used for common downlink channels that are not able to benefit from channel
selective scheduling.

Transmission Modes
In the downlink, the method of transmission is sent when a mobile is semi-statically
configured via higher layer signaling to receive PDSCH data. LTE includes the following
Transmission Modes:

2-94

Mode 1 - Single-Antenna transmission, port 0, no MIMO.

Mode 2 - Transmit diversity.

Mode 3 - Transmit diversity or with Large Delays CDD (Cyclic Delay Diversity) is used.

Mode 4 - Transmit diversity or Closed-loop spatial multiplexing.

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Mode 5 - Transmit diversity or multi user MIMO (more than one UE is assigned to the
same resource block).

Mode 6 - Transmit diversity or closed loop precoding for rank=1 (i.e. no spatial
multiplexing, but precoding is used).

Mode 7 - Single-antenna port, port 5 (beamforming).

2.22.3 MIMO Modes


LTE supports MIMO (Multiple Input Multiple Output), or multi-antenna transmission, with 2
or 4 transmit antennas. The maximum number of codewords is two, irrespective of the
number of antennas with fixed mapping between code words to layers.

Spatial Multiplexing
The most common MIMO category is referred to as SM (Spatial Multiplexing). This allocates
multiple modulation symbol streams to a single UE using the same time/frequency. The
differentiation of signals is achieved by the different Reference Signals which were sent as
part of the PRB (Physical Resource Block). Figure 2-118 illustrates the concept of Spatial
Multiplexing using a 2x2 MIMO system.
Figure 2-118 Spatial Multiplexing MIMO

2x2 SM (Spatial
Multiplexing)
eNB Port 0

TB

TB

MIMO
TB

Port 1

UE

TB

The main issue with Spatial Multiplexing in a cellular system is associated with high levels of
interference, especially at the cell edge. Unfortunately, this can affect both spatial streams and,
as such, twice as many errors could be introduced. Hence, SM is typically used close to the
eNB, i.e. not at the cell edge.
Figure 2-119 Spatial Multiplexing Interference Issues

Interference
causes twice
as may errors
eNB Port 0

TB

TB

MIMO
TB

Port 1
Interference

UE

TB

If a UE was at the cell edge it could still benefit from MIMO. However it would rely on
different implementations, such as using a single stream precoding. Figure 2-120 illustrates
the basic concept of precoding using STC (Space Time Coding) as a visual example. Note that
precoding is more involved.
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Figure 2-120 MIMO Single Stream

Increased
Robustness

Form of
STC
eNB Port 0

TB
1 2 3 4 5 6

1 2 3 4 5 6

MIMO

TB
Port 1

3 6 5 2 1 4
Interference

UE
TB Still
Recoverable

AMS (Adaptive MIMO Switching)


To truly optimize the channel efficiency, some systems offer the ability to support AMS
(Adaptive MIMO Switching). Figure 2-121 illustrates how a system could utilize a mixture of
Spatial Multiplexing and other methods, such as Space Time Coding, to optimize the eNB
performance.
Figure 2-121 AMS Concept

Efficiency

Spatial
Multiplexing

AMS Point
Other
Methods

eNB
UE

Low SNR

High SNR

Other Techniques
In addition, the following techniques are supported in LTE:

Code-book-based pre-coding.

Rank adaptation with single rank feedback. Note: the eNB can override a rank report.

2.22.4 Spatial Multiplexing in LTE


LTE allows up to two code words to be mapped onto different layers. The system uses
precoding to enable spatial multiplexing. Figure 2-122 illustrates the processing undertaken
by the PDSCH. This was previously introduced in Section 2.5 with the concept of rank
transmission and layers.

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Figure 2-122 PDSCH Processing

Codewords

Scrambling

Modulation
Mapper
Layer
Mapper

Scrambling

Antenna
Ports

Layers
Resource
Element
Mapper

OFDM
Signal
Generation

Resource
Element
Mapper

OFDM
Signal
Generation

Precoding

Modulation
Mapper

In order for the signal to be spatially multiplexed onto the different antenna ports various
mathematical processes are required. In addition, variances occur for 2 and 4 antenna
configurations, as well as open and closed loop spatial multiplexing.

Codebook Based Precoding


A key part of the system is the codebook based coding mechanism. It uses a:

7 element codebook for 2 antenna ports.

16 element codebook for 4 antenna ports.

Table 2-26 illustrates the mapping of codebook indexs onto layers for a 2 transmit antenna
configuration. Note that the 3GPP 36.211 specification includes the detail of precoding and
layer mapping equations for the different techniques and also for 4 antenna configurations.
Table 2-26 Codebook Precoding
Codebook Index

Number of Layers
1

1 1

2 1

1 1 0

2 0 1

1 1

2 1

1 1 1

2 1 1

1 1

2 j

1 1 1

2 j j

1 1

2 j

For the closed-loop spatial multiplexing transmission mode, the codebook index 0 is not used when the
number of layers is equal to 2.

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2.22.5 Feedback Reporting


In order to optimize the systems performance, the UE can provide various feedback
information about the radio channel environment. LTE has various feedback reporting options
which depend on the MIMO and eNB configuration. The reporting may consist of the
following elements.
Figure 2-123 Feedback Reporting

CQI

PMI

RI

CQI (Channel Quality Indicator)


This provides an indication of the downlink channel quality and effectively identifies an
optimum modulation and coding scheme for the eNB to use. There are various coding options
for the CQI; Figure 2-124 illustrates the main CQI index.
Figure 2-124 4-bit CQI Table

2-98

CQI Index

Modulation

Code Rate x 1024

Efficiency

out of range

QPSK

78

0.1523

QPSK

120

0.2344

QPSK

193

0.3770

QPSK

308

0.6016

QPSK

449

0.8770

QPSK

602

1.1758

16QAM

378

1.4766

16QAM

490

1.9141

16QAM

616

2.4063

10

64QAM

466

2.7305

11

64QAM

567

3.3223

12

64QAM

666

3.9023

13

64QAM

772

4.5234

14

64QAM

873

5.1152

15

64QAM

948

5.5547

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The system defines multiple types of CQI, whereby the term wideband CQI relates to the
entire system bandwidth. In contrast, sub-band CQI relates to a value per sub-band. This is
defined and configured by the higher layers and relates to the number of resource blocks. It is
also worth noting that a CQI per codeword is reported for MIMO spatial multiplexing.
Depending on the scheduling mode, Periodic and Aperiodic CQI reporting can be used. In
Frequency Non-selective and Frequency selective mode the PUCCH is used to carry
periodic CQI reports. In contrast, for Frequency selective mode, the PUSCH is used to carry
aperiodic CQI reports.

PMI (Precoding Matrix Indicator)


This enables the mobile to select an optimal precoding matrix. The PMI value relates to a
codebook table within the specifications. Like sub-band CQI, the eNB defines which resource
blocks are related to a PMI report. The PMI reports are used in various mode, including:
closed loop spatial multiplexing, multi-user MIMO and closed-loop rank 1 precoding.

RI (Rank Indication)
This indicates the number of useful transmission layers when spatial multiplexing is used.
Thus, in case of transmit diversity, rank is equal to 1 (RI=1).

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Dynamic Resource Allocation

Objectives
On completion of this section the participants will be able to:
3.1 Describe UL and DL Scheduling principles and signaling
3.2 Explain how the scheduler interactions with other functions
3.3 Explain the concepts of dynamic and semi-persistent scheduling

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3.1 Scheduling Principles and Signaling


LTE air interface scheduling is the responsibility of the eNB, however additional scheduling
and QoS (Quality of Service) handling could take place in the EPC (Evolved Packet Core).
Typically, the main goal of scheduling is to meet the different users expectations. Historically
the radio interface is the weak link or bottle neck in the overall end-to-end service. This is
typically due to limited physical resources, i.e. limited bandwidth or channels. The scheduling
in previous systems, such as GSM and UMTS, was easier. This was due to the fact that voice
was the main service and required a dedicated channel. As such, the number of channels (or
elements) on the base station limited the number of simultaneous calls.
Systems are now evolving, e.g. UMTS has evolved into HSPA and HSPA+, towards packet
based services. LTE is the same, such that it is a pure packet based system. In so doing, all
services utilize IP (Internet Protocol).
Figure 3-1 IP Scheduling

Historically voice is
delivered on dedicated
channels

LTE is purely
IP based

Services including
voice are packetized

BTS

eNB

Node B
Since LTE is 100% packet based it makes the system design easier. This is because the eNB
does not have to interwork its scheduling algorithms with dedicated functions.
Figure 3-2 illustrates the basic scheduling concept. In this example three users, each with a
defined QoS, have data to send.
Figure 3-2 Basic Scheduling in a Cell

Ideal Resource (based


on QoS) for this
subframe (1ms TTI)

C
Users

Loading and scheduling


issues need managing
eNB
Available Cell
Resources

Time

This is a simple example but it does highlight some of the fundamental concepts:

3-2

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Multiple users can have different amounts of data in the eNB buffers, as well as in their
uplink buffers.

UEs could be in different locations and hence features such as MIMO may or may not be
available.

Users and specifically the services (QoS) supported could have different priorities, thus
requiring the eNB to prioritize traffic. In the previous example, User Bs data was
scheduled, however User As data was delayed until the next subframe. This could have
been based on the service, e.g. a guaranteed service.

The eNB only has a finite amount of resources. This can vary based on a number of
factors. One such factor is the location of users, whereby if they were all close to the
eNB, the scheduler could allocate SM MIMO resources.

3.1.1 QoS in Packet Switched Networks


Packet switched technologies are designed to provide enhance network utilization and
converge multiple data types (multimedia). Unfortunately, services such as voice and
multimedia have various issues associated with delay and jitter. To combat this, the LTE
packet switches / bearer managers are QoS aware, in that they are able to classify packets, as
well as enforce forwarding characteristics. The eNB (Evolved Node B), S-GW (Serving
Gateway) and PDN-GW (Packet Data Network - Gateway) all get involved in the managing
of QoS. Figure 3-3 illustrates the concept of packet classifiers and packet schedulers. Note
that most of the packets have already been classified by the time they reach the eNB.
Figure 3-3 Packet Classifier and Packet Scheduler

E-UTRAN

EPC

MME

UE
VoIP

PDN-GW
eNB
S-GW

UE
FTP

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VoIP

FTP

VoIP

x5

FTP

X2

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3.1.2 Key Factors Influencing Scheduling


Figure 3-4 illustrates a number of factors which influence the scheduling process. This is not a
complete list and some of the factors may contain a lot of other aspects. For example, eNB
configuration could relate to:

Frequency planning.

Cell size.

Power limitations.

MIMO feature support.

Etc.

Figure 3-4 Key Factors Influencing Scheduling

Neighbor Cell
Interference

Feedback
e.g. CQI

Uplink
Interference

Guaranteed
Bearers

Buffer
Status

eNB

UE

Scheduling
Mode

UE
Retransmissions

eNB
UE

eNB
Configuration

UE Category

Bandwidth
Configuration

3.1.3 Scheduling Methods


One of the other big influences in the performance of the eNB and the scheduler is the actual
algorithm used and its associated efficiency for the type(s) of traffic being scheduled. Broadly
speaking, there is a handful of basic scheduling methods, which are then customized into
proprietary scheduling algorithms. Most schedulers use QoS classes of the services for radio
resource allocation.
Figure 3-5 Possible Scheduling Method

Minimum throughput
demands for
guaranteed service in
order of priority

3-4

Proportional Fair
Maximum throughput
demands (various
methods)

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Proportional Fair
This is a very common scheduling method. It effectively allocates the same amount of
resources to all the users. In so doing, each user will get the resources they require
(throughput demand) or they will get an equal share. This is effectively the total amount of
resources divided by the total number of users.

MAX C/I
In order to achieve the best eNB throughput rates it makes sense to allocate resources to
those users with the best signal, i.e. C/I (Carrier to Interference). In this way features such as
MIMO SM and high order modulation schemes (64 QAM) can be used. In so doing this
increases the systems spectral efficiency.
Unfortunately, this means that users closer to the eNB continually get resources allocated up
to their maximum demanded rate. At the same time, users at the cell edge will be limited to
their minimum guaranteed rate. This could be detrimental to the marketing plan, since users
of LTE will expect higher data rates.

Biased (QoS Based)


The biased scheduling method relates to the users services and their QoS class, such that
users with high QoS service attributes are allocated the resources first. If multiple users shared
the same QoS, e.g. they are both performing a VoIP session, then the system revertes back to
another method (usually Proportional Fair).

3.1.4 Downlink Scheduling


The signaling required for scheduling downlink resources is firstly dependent on the type of
resources being scheduled. The LTE system defines various DCI (Downlink Control
Information) messages which were introduced in Section 2.10 . These enable both downlink
and uplink scheduling, as well as linking to different MIMO and diversity options.
For the purpose of this section, DCI Format 2 for FDD is re-visited.

DCI Format 2
This is used for scheduling PDSCH to UEs configured in closed-loop SM (Spatial
Multiplexing). The following information is sent as part of DCI format 2:

Resource allocation header - This indicates resource allocation type 0 or type 1. These
are detailed in Section 3.1.5 .

Resource block assignment - This is for type 0 or 1 information.

TPC command for PUCCH - Previous discussed under power control.

HARQ process number.

Transport block to codeword swap flag - This determines the transport block to
codeword mapping. However, if one of the transport blocks is disabled the mapping is
different.

For the first Transport Block:

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Modulation and coding scheme.

New data indicator.

Redundancy version.

For the second Transport Block:


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Modulation and coding scheme.

New data indicator.

Redundancy version.

Precoding information - This is either 3bits or 6bits depending on the number of antenna
ports.

3.1.5 PDSCH Resource Allocation


The UE interprets the DCI resource allocation field depending on the PDCCH DCI format
message. A resource allocation field in each PDCCH includes two parts. These are:

A resource allocation header field.

Information consisting of the actual resource block assignment.

There are three types of resource allocation.

Type 0 Resource Allocation


The resource block assignment information includes a bitmap indicating the RBG (Resource
Block Groups) that are allocated to the scheduled UE, where a RBG is a set of consecutive
PRBs. Resource Block Group size (P) is a function of the system bandwidth, examples
include: 5MHz P=2, 10MHz P=3 and for 15MHz and 20MHz P=4.
Figure 3-6 Type 0 Resource Allocation

Type 0
0 1 2 3 4 5 6

1 Bit

Type 1 Resource Allocation


Type 1 - resource block assignment information of size NRBG indicates to a scheduled UE
the PRBs from the set of PRBs from one of P RBG subsets. A RBG subsetp, where 0
p < P , consists of every Pth RBG starting from RBG p . The resource block assignment
information consists of three fields:

3-6

The first field is used to indicate the selected RBG subset among P RBG subsets.

The second field with one bit is used to indicate a shift of the resource allocation span
within a subset. A bit value of 1 indicates a shift is triggered. Otherwise a shift is not
triggered.

The third field includes a bitmap, where each bit of the bitmap addresses a single PRB in
the selected RBG subset in such a way that MSB to LSB of the bitmap are mapped to the
PRBs in the increasing frequency order.

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Figure 3-7 Type 1 Resource Allocation

Type 1
0 1 2 3 4 5 6

Subset 0

P
P

p Bits

Subset p
P

Type 2 Resource Allocation


Type 2 - resource block assignment information indicates to a scheduled UE a set of
contiguously allocated localized VRB (Virtual Resource Block) or distributed VRB, which are
then mapped onto physical resource blocks. The information field for the resource block
assignment carried on the PDCCH contains a RIV (Resource Indication Value) from which a
starting VRB and a length in terms of contiguously allocated virtual resource blocks, can be
derived.
Figure 3-8 Type 2 Resource Allocation

9
14
10
5
0

7
2

11

12

11

RIV

13

3.1.6 Modulation and Coding Scheme


One of the key parameters in the DCI messages is the MCS Index Parameter. Table 3-1
illustrates the mapping of the MCS index to the modulation and TBS (Transport Block Set)
Index.
Table 3-1 Modulation and TBS index table for PDSCH
MCS
Index
I MCS

Modulation
Order
Qm

TBS
Index
I T BS

MCS
Index
I MCS

Modulation
Order
Qm

TBS
Index
I T BS

16

15

17

15

18

16

19

17

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20

18

21

19

22

20

23

21

24

22

25

23

10

26

24

11

10

27

25

12

11

28

26

13

12

29

Reserved

14

13

30

15

14

31

The modulation order parameter indicates whether the scheduled transmission is QPSK (2
bits), 16QAM (4bits) or 64QAM (6bits). The UE is able to use this information, in
conjunction with the physical number of Resource Blocks, i.e. symbols, to receive all the bits.
Figure 3-9 illustrates an example of a scheduled message. As previously mentioned the
resource allocation, modulation order and precoding information enables the UE to determine
the number and location of the physical bits. The TBS (Transport Block Set) parameter in the
previous table enables the UE to identify the size of the transport block(s) using a mixture of a
table and equation. Since the coding is all predefined, the UE is able to replicate the number
of coded bits (pre puncturing) and therefore, using the RV (Redundancy Version) parameter,
identify which bits the eNB would have punctured/rate matched. Using this it can now
attempt to decoded the transport block and verify the CRC.

5MHz (25 Resource Blocks)

Figure 3-9 Using the TBS Size

Local and Distributed


VRB (Virtual Resource
Block) Options

Scheduled

1/3 Rate coding

5RB (MIMO SM)

Punctured

16QAM
RV

TBS(s) Size
RV

3-8

TBS
size

Physical Bits

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3.1.7 Uplink Scheduling


The uplink scheduling process is similar. The eNB provides the relevant parameters in the
DCI Format 0 message. In order to simplify uplink signal processing and the DFT (Discrete
Fourier Transform) design the PUSCH can only be allocated in factors of 2, 3, and 5, i.e. 7
RBs are not allowed.

LTE TTI Bundling


LTE also supports subframe bundling where a bundle of PUSCH transmissions consists of
four consecutive uplink subframes in both FDD and TDD. The subframe bundling operation
is configured by the parameter ttiBundling provided by higher layers.

3.2 Scheduler Interaction


A good scheduler is one that is harmonized with all the flexibilities of the LTE air interface. In
so doing, it can quickly adapt to various issues and changes in the radio environment.
As previously mentioned, the scheduler needs to be QoS aware for different users and their
services. This is achieved by the scheduler interacting with different functions and the process
which manages those functions. In addition, it must have a mixture of pre-configured and
dynamic variables it can use and possibly change.

3.2.1 Radio Bearers


The scheduling of user information can be broadly broken down into three areas:

SRB (Signaling Radio Bearer) - each UE on the network will establish a SRB, i.e. RRC
connection, when it moves to the LTE Active state. There are three types of SRB, namely
SRB 0, SRB 1 and SRB 2. Each have different scheduling requirements.

Default EPS Bearer - The process of attaching to the network causes a default EPS
bearer to be established. The QoS attributes for this are part of the users subscription.
This is passed to the eNB as part of the Initial Context Setup procedure.

Dedicated EPS Bearers - In addition to the default bearer, one or more dedicated bearers
can be established (each with their own QoS attributes). The process of E-RAB setup
from the MME typically activates these.

3.2.2 Scheduler Interaction with Layer 2 and Layer 1


It is mainly the responsibility of RRM and RRC to configure the bearers between the eNB and
the UE. As a result, configuration parameters can be sent for various layer 2 management
functions looking after scheduling, link adaptation, RLC, HARQ etc. Figure 3-10 illustrates
some of the interaction that may take place within the eNB.

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Figure 3-10 Scheduler Interaction

Layer 3 RRM
Manager

Layer 3
Layer 2

Buffer Status

UE
MAC

HARQ
Link
Adaptation

Layer 2
Layer 1

Scheduler

Layer 2 RRM Manager


Layer 1 Reports + UCI + SRS

Dynamic
Allocation
In order to correctly schedule resources, various layer 1 and layer 2 indications and
configurations are required. The link adaptation function manages the current MCS
(Modulation and Coding Scheme) based on feedback from both layer 1 in the eNB and the
UE. In addition, SRS (Sounding Reference Signals) provide intelligence about the channel.
Other reports from the eNB Layer 1, as well as UCI (Uplink Control Information) from the
UE, can be collated to provide an up-to-date representation of the channel.
The scheduler also needs to interact closely with HARQ, since layer 1 NACKs and
subsequent retransmissions impact resources. Additional functionality which monitors the
relationship between retransmissions, the choice of MSC and power control is also vital,
enabling the system to adapt to the channel conditions.

3.3 Dynamic and Semi-persistent Scheduling


LTE supports Dynamic and Semi-persistent scheduling, the latter being used to reduce the
amount of control channel overhead/signaling. This enables the eNB scheduler to efficiently
schedule resources for application/bearers which have a continual allocation requirement, e.g.
VoIP. The semi-persistent allocation persists until the eNB scheduler changes it.
When Semi-Persistent Scheduling is enabled by RRC, the following information is provided:

3-10

Semi-Persistent Scheduling C-RNTI.

semiPersistSchedIntervalUL - This is the uplink Semi-Persistent Scheduling interval.

implicitReleaseAfter - This is the number of empty transmissions before implicit release


if Semi-Persistent Scheduling is enabled for the uplink.

semiPersistSchedIntervalDL - This is the downlink Semi-Persistent Scheduling interval .

numberOfConfSPS-Processes - This is the number of configured HARQ processes for


Semi-Persistent Scheduling (downlink).

Whether twoIntervalsConfig is enabled or disabled for uplink (only for TDD).

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3.3.1 Dynamic Scheduling


Figure 3-11illustrates the concept of dynamic scheduling, whereby an individual scheduling
message allocates a resource. Note that in the uplink TTI bundling could also be used.
Figure 3-11 Dynamic Scheduling

PDSCH
Downlink
PDCCH

Mobile
Receives

Mobile
Sends

Dynamic

PUCCH

ACK/
NACK
Uplink

3.3.2 Downlink Semi-persistent Scheduling


After a Semi-Persistent downlink assignment is configured, the UE considers that the
assignment recurs in each subframe for which:
(10 * SFN + subframe) = [(10 * SFNstart time + subframestart time) + N *
semiPersistSchedIntervalDL] modulo 10240, for all N>0.
Where SFNstart time and subframestart time are the SFN (System Frame Number) and subframe,
respectively, at the time the configured downlink assignment were (re-)initialised. Figure 3-12
illlustrates the basic concept of uplink Semi-Persistent Scheduling.

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Figure 3-12 Semi Persistent Scheduling

PDSCH
Downlink
PDCCH

S
SemiPersistent

Mobile
Receives

Mobile
Sends

ACK/
NACK

PUCCH

Mobile
Sends

ACK/
NACK
Uplink

3.3.3 Uplink Semi-persistent Scheduling


When a Semi-Persistent Scheduling uplink grant is configured, the UE considers that the
grant recurs in each subframe for which:
(10 * SFN + subframe) = [(10 * SFNstart time + subframestart time) + N *
semiPersistSchedIntervalUL + Subframe_Offset * (N modulo 2)] modulo 10240, for all N>0.
Where SFNstart time and subframestart time are the SFN (System Frame Number) and subframe at
the time the configured uplink grant were (re-)initialised.
In additon, the Subframe_Offset is set to 0 unless twoIntervalsConfig is enabled. In this case
the Subframe_Offset is set according to a table in the 3GPP 36.321 specification.
Retransmissions for Semi-Persistent Scheduling can continue after clearing the configured uplink grant.

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4 Intra LTE Mobility

Intra LTE Mobility

Objectives
On completion of this section the participants will be able to:
4.1 Describe intra-LTE mobility in ECM-CONNECTED and ECM-IDLE mode.
4.2 Explain the concept of event triggered periodical reporting.
4.3 Describe the mobility measurements.

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4.1 Intra-LTE Mobility


Intra-LTE mobility can be split into Idle State mobility and Active State mobility.
Figure 4-1 Intra-LTE Mobility

Idle State
Mobility

Active State
Mobility

A UE in the Idle State has previously registered on the network and is performing two main
procedures, namely cell reselection and listening to paging messages.

4.1.1 Idle State - Cell Reselection


The E-UTRA cell reselection process is similar (not identical) to the one used in UMTS. In
addition, various parameters are used to define if intra and inter frequency measurements
should be taken. Figure 4-2 illustrates the concept of intra-frequency and inter-frequency.
Figure 4-2 Intra-Frequency and Inter-frequency

Intra-Frequency

Frequency
1

Frequency
1

eNB
UE
Frequency
2

eNB

Inter-Frequency
eNB

Intra-Frequency Measurements
Criteria to perform intra-frequency measurements are as follows.

If Squal > Sintrasearch - the UE may choose not to perform intra-frequency measurements.

If Squal <= Sintrasearch - the UE performs intra-frequency measurements.

If Sintrasearch is not sent for the serving cell then the UE performs intra-frequency
measurements.

Figure 4-3 illustrates the basic concept of Sintresearch.

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Figure 4-3 Sintrasearch Parameter

Squal

Sintrasearch

Time

Inter-frequency Measurements
E-UTRA includes a cell priority mechanism; as such, an inter-frequency cell may have a
higher or lower priority. The decision to monitor these cells is based on their priority, as well
as the presence of and the relationship to the Snonintrasearch parameter.

High and Medium Mobility State


In addition to the normal mobility state, a High-mobility and a Medium-mobility state are also
configurable in the E-UTRA. The presence of valid hysteresis values, counters and timers sent
in the system information broadcast messages activates this feature.
The parameters (TCRmax, NCR_H, NCR_M and TCRmaxHyst) are sent in the System Information
broadcast of the serving cell. In so doing the criteria for mobility state can be checked:

Medium-mobility state criteria - This is met if the number of cell reselections during
time period TCRmax exceeds NCR_M and does not exceed NCR_H.

High-mobility state criteria - This is met if the number of cell reselections during time
period TCRmax exceeds NCR_H.

If High-mobility state is detected the UE:

Adds the sf-High parameter (from Speed dependent ScalingFactor for Qhyst) to Qhyst.

Multiplies the TreselectionEUTRA by the sf-High (from Speed dependent ScalingFactor


for TreselectionEUTRA).

If Medium-mobility state is detected the UE:

Adds the sf-Medium parameter (from Speed dependent ScalingFactor for Qhyst) to
Qhyst.

Multiplies the TreselectionEUTRA by the sf-Medium (from Speed dependent


ScalingFactor for TreselectionEUTRA).

The Qhyst parameter is used as part of the ranking / reselection equations. The
TreselectionEUTRA parameter (with possible scaling) is used to identify the time duration a cell
must meet the criteria before reselection can take place.

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Figure 4-4 Impact to Treselection

Cell is better for duration


of Treselection (may have
scaling applied )

UE
eNB

eNB

Ranking of Cells
The cell reselection evaluation process is known as R (Cell Ranking). The calculations for the
Rs (serving cell) and Rn (neighbouring cells) are illustrated in Figure 4-5.
Figure 4-5 Ranking Equation

Rs = Qmeas,s + QHyst
Rn = Qmeas,n - Qoffset
Where:

Qmeas - This is the RSRP (Reference Signal Received Power) measurement quantity
used in cell reselections.

QHyst - This the hysteresis to apply to the servingcell. It may have had some scaling
applied due to mobility.

Qoffset - For intra-frequency cells this is equal to the Qoffsets,n parameter (if sent). For
inter-frequency cells this equals Qoffsets,n + Qoffsetfrequency.

4.1.2 Active State Mobility


When the UE is in the LTE Active State, i.e. RRC Connected, the eNB performs network
controlled UE assisted handovers. This process may be divided into three distinct phases.
These are:

Measurement and Reporting - In this phase the UE takes measurements of neighbor cells
and reports these measurements to the serving eNB.

Handover Preparation Phase - Once the serving eNB has identified that various criteria
for handover have been met it can select the target eNB. This could trigger signaling
directy between eNBs (across the X2 interface) or if that is not available the MME
(Mobility Management Entity) will get involved.

Perform Handover - The UE will be informed when to handover. It will also be provided
with sufficient information to access the target cell. The Random Access process will be
utilized since the UE and target eNB are not synchronized.

Figure 4-6 illustrates the main phases of an intra LTE handover.

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Figure 4-6 Intra-LTE Mobility

RSRP

RSRP

Perform
Handover
Margin

eNB
Serving

eNB
Neighbor

UE
Measurements and
Reporting

Handover
Preparation

4.1.3 Handover Procedure


There are various messages included in a LTE handover, Figure 4-7 illustrates the main
message which trigger the handover on the air interface, as well as the additional signaling
required in the e-UTRAN.
Figure 4-7 LTE Handover Procedure

Source

Target

UE
eNB

eNB

Measurement
Report(s)

Handover Request

RRC Connection
Reconfiguration
Request

Handover
Request Ack
SN Status
Transfer

MME

S-GW

Handover Confirmed
Path Switch
Request

Modify
Bearer

Path Switch
Request Ack
Initially the measurement reports need to be configured. This could be a mixture of fixed
configuration triggers, as well as some triggers which are dynamically provisioned.

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In the standard handover, the mobile is configured to send MR (Measurement Reports)


based on the measurement configuration information in RRC signaling. These measurement
reports (discussed later in the section) form the basis for most handovers.
The actual handover process is initiated by the source eNB when it sends the Handover
Request message to the target eNB (assuming the X2 interface is present). This message
provides the target eNB with the necessary information, e.g. the target cell ID, security keys,
UE and RRC Context information, including the E-RAB (EPS Radio Access Bearer)
information and associated QoS.
The target eNB may then perform Admission Control based on the QoS requirements.
Assuming that the handover can be supported the target eNB allocates a C-RNTI and
optionally a RACH preamble. These are sent back in the Handover Request Acknowledge
message to the source eNB.
The UE receives a RRC Connection Reconfiguration message (with handover information)
from the source eNB. Using the information included it is then able to access the new cell and
complete the procedure.
Like UMTS, various timers are used in the event that the UE cannot access the target eNB.

4.2 Reporting Options


One of the main mobility reporting parameters is MeasConfig. This is an optional IE
(Information Element) in the RRC Connection Reconfiguration message. Figure 4-8 identifies
the main parameters included as part of MeasConfig.
Figure 4-8 Measurement Configuration Parameters

UE

message
figuration
n
o
c
e
R
n
ectio
RRC Conn
MeasConfig
measObjectToRemoveList
measObjectId
measObject
reportConfigToRemoveList
reportConfigId
reportConfig
measIdToRemoveList
measGapConfig
s-Measure
timeToTrigger-SF

eNB

4.2.1 Measurement Configuration Parameter


In summary MeasConfig includes the following parameters:

4-6

measObjectToRemoveList - This is a list of measurement objects to remove.

measObjectId - This is used to identify a measurement object configuration.

measObject - Specifies measurement object configurations for E-UTRA, UTRA,


GERAN, or CDMA2000 measurements.

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reportConfigToRemoveList - This is a list of measurement reporting configurations to


remove.

reportConfigId - This is used to identify a measurement reporting configuration.

reportConfig - This specifies measurement reporting configurations for E-UTRA, UTRA,


GERAN, or CDMA2000 measurements.

measIdToRemoveList - This is a list of measurement identities to remove.

measGapConfig - This is used to setup and release measurement gaps.

s-Measure - This identifies the Serving cell quality threshold and controls whether or not
the UE is required to perform measurements of intrafrequency, inter-frequency and
inter-RAT neighboring cells. Value 0 indicates to disable s-Measure.

timeToTrigger-SF - This is the timeToTrigger which is multiplied with the scaling factor
applicable for the UEs speed state.

4.2.2 Report Configuration Parameter


The IE ReportConfigEUTRA specifies criteria for the triggering of an E-UTRA measurement
reporting event. The E-UTRA measurement reporting events are labeled AN with N equal to 1,
2 and so on.

Event A1: Serving becomes better than the absolute threshold.

Event A2: Serving becomes worse than the absolute threshold.

Event A3: Neighbor becomes the amount of offset better than the serving.

Event A4: Neighbor becomes better than the absolute threshold.

Event A5: Serving becomes worse than the absolute threshold1 AND neighbor becomes
better than the another absolute threshold2.

Figure 4-9 illustrates the reportConfig parameter as part of the Measurement Configuration
parameter .
Figure 4-9 Report Configuration Parameters

ssage
ration me
u
g
fi
n
o
c
e
ection R
RRC Conn

UE

eNB
MeasConfig
reportConfigEUTRA
triggerType (event or Periodic)
triggerQuantity (RSRP, RSRQ)
reportQuantity
maxReportCells
reportInterval
reportAmount
ThresholdEUTRA

Figure 4-10 illustrates the difference between a periodic and event based reporting
mechanism.

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Figure 4-10 Periodic and Event Reporting

Threshold
eNB

Periodic
UE

Event triggered based on


threshold, hysterisis and TTT
(Time To Trigger)

Event Based
UE

4.3 Mobility Measurements


4.3.1 Measurement Gaps
Time may need to be allocated to measure neighbor cells. This depends on whether they
utilize the same frequency (Intra-Frequency) or a different frequency (Inter-Frequency).
Typically when cells are on different frequencies they require gap assisted (the serving eNB
allocates time to take measurements) mode. Figure 4-11 illustrates scenarios when no
assistance is required.

Same frequency, same


bandwidth, non gap
assisted

Same frequency,
different bandwidth,
non gap assisted

Bandwidth

Fc

Bandwidth

Bandwidth

Fc

Bandwidth

Bandwidth

Fc

Bandwidth

Figure 4-11 Non Gap Assisted

Same frequency,
different bandwidth,
non gap assisted

In contrast, Figure 4-12 illustrates when gap assisted mode is required.

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Different frequency,
overlapping
bandwidth, gap
assisted

Different frequency,
overlapping
bandwidth, gap
assisted

Bandwidth

Fc

Bandwidth

Bandwidth

Fc

Bandwidth

Bandwidth

Fc

Bandwidth

Figure 4-12 Gap Assisted

Different frequency,
no overlapping
bandwidth, gap
assisted

4.3.2 Gap Configuration


The measurement gap configuration parameter is sent in the RRC Connection
Reconfiguration message as part of the Measurement Configuration. This indicates the gap
pattern(s) in accordance with the received gapOffset parameter. Each gap starts at an SFN
(System Frame Number) and subframe, meeting the equations in Figure 4-13.
Figure 4-13 Gap Configuration

SFN mod T = FLOOR(gapOffset /10)


subframe = gapOffset mod 10
where: T= TGRP/10
Two Gap Patterns, with associated TGRP (Transmission Gap Repetition Period), are defined.
These indicate either 40ms or 80ms.

4.3.3 UE Measurements
There are various intra and inter system UE measurements.

E-UTRA Carrier RSSI


The E-UTRA Carrier RSSI (Received Signal Strength Indicator) comprises the total received
wideband power observed by the UE from all sources, including co-channel serving and
non-serving cells, adjacent channel interference, thermal noise etc.

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RSRP (Reference Signal Received power)


The RSRP (Reference Signal Received Power) is determined for a considered cell as the
linear average over the power contributions (Watts) of the resource elements that carry cell
specific Reference Signals within the considered measurement frequency bandwidth.
If receiver diversity is in use by the UE, the reported value is equivalent to the linear average
of the power values of all diversity branches.

RSRQ (Reference Signal Received Quality)


RSRQ (Reference Signal Received Quality) is defined as the ratio:

N RSRP
(E - UTRA carrier RSSI)
where N is the number of RBs of the E-UTRA carrier RSSI measurement bandwidth. The
measurements in the numerator and denominator are made over the same set of resource
blocks.

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5 Glossary

5
Numerics
16 QAM (Quadrature Amplitude
Modulation
2G (Second Generation)
3G (Third Generation)
3GPP (Third Generation
Partnership Project)
4G (Fourth Generation)
A
ACK (Acknowledgement)
AM (Acknowledged Mode)
AMPS (Advanced Mobile
Telephone System)
AMS (Adaptive MIMO
Switching)
APN (access Point Name)
ARQ (Automatic Repeat Request)
AS (Access Stratum)
AWS (Advanced Wireless
Services)
B
BCCH (Broadcast Control
Channel)
BCH (Broadcast Channel)
C
CATT (China Academy of
Telecommunications Technology)
CC (Chase Combining)
CCCH (Common Control
Channel)
CCE (Control Channel Element)
CDD (Cyclic Delay Diversity)
CDMA (Code Division Multiple
Access)
CFI (Control Format Indicator)
CP (Cyclic Prefix)
CPC (Continuous Packet
Connectivity)
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Glossary

CQI (Channel Quality Indicator)


CRC (Cyclic Redundancy Check)
C-RNTI (Cell - Radio Network
Temporary Identifier)
CS (Circuit Switched)
CS (Cyclic Shift)
CSG (Closed Subscriber Group)
D
DAI (Downlink Assignment
Index)
D-AMPS (Digital - Advanced
Mobile Phone System)
DC (Direct Current)
DCCH (Dedicated Control
Channel)
DC-HSDPA (Dual Cell - HSDPA)
DCI (Downlink Control
Information)
DCS (Digital Cellular Service)
DFT (Discrete Fourier Transform)
DL (Downlink)
DL-SCH (Downlink - Shared
Channel)
DL-SCH (Downlink Shared
Channel)
DRB (Dedicated Radio Bearer)
DRS (Demodulation Reference
Signal)
DRX (Discontinuous Reception)
DSSS (Direct Sequence Spread
Spectrum)
DTCH (Dedicated Traffic
Channel)
DTX (Discontinuous
Transmission)
DwPTS (Downlink Pilot Time
Slot)

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E
EARFCN (E-UTRA Absolute
Radio Frequency Channel
Number)
EDGE (Enhanced Data Rates for
Global Evolution)
E-GSM (Extended GSM)
EMM (EPS Mobility
Management)
eNB (Evolved Node B)
EPC (Evolved Packet Core)
EPLMN (Equivalent HPLMN)
EPS (Evolved Packet System)
E-RAB (EPS Radio Access
Bearer)
ESM (EPS Session Management)
ETACS (Extended Total Access
Communication System)
ETSI (European
Telecommunications Standards
Institute)
ETWS (Earthquake and Tsunami
Warning System)
E-UTRA (Evolved - Universal
Terrestrial Radio Access)
E-UTRAN (Evolved - Universal
Terrestrial Radio Access
Network)
EV-DO (Evolution-Data
Optimized)
F
FDD (Frequency Division
Duplex)
FDM (Frequency Division
Multiplexing)
FDMA (Frequency Division
Multiple Access)
FEC (Forward Error Correction)
FFT (Fast Fourier Transform)
FHSS (Frequency Hopping
Spread Spectrum)
FM (Frequency Modulation)
FSTD (Frequency Shift Time
Diversity)
G
GF(2) (Galois Field (2))
GP (Guard Period)
GPRS (General Packet Radio
System)
GSM (Global System for Mobile
communications)
GSMA (GSM Association)

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GUTI (Globally Unique


Temporary Identifier)
H
HARQ (Hybrid ARQ)
HARQ (Hybrid Automatic Repeat
Request)
HeNB (Home eNB)
HI (HARQ Indicator)
HPLMN (Home PLMN)
HSDPA (High Speed Downlink
Packet Access)
HSPA (High Speed Packet
Access)
HS-SCCH (High Speed - Shared
Control Channel)
HSUPA (High Speed Uplink
Packet Data)
I
IDFT (Inverse Discrete Fourier
Transform)
IEEE (Institute of Electrical and
Electronics Engineers)
IFFT (Inverse Fast Fourier
Transform)
IMEI (International Mobile
Equipment Identity)
IMS (IP Multimedia Subsystem)
IMSI (International Mobile
Subscriber Identity)
IMT Advanced (International
Mobile Telecommunications
Advanced)
IMT2000 (International Mobile
Telecommunications - 2000)
IP (Internet Protocol)
IR (Incremental Redundancy)
IS-136 (Interim Standard 136)
ISI (Inter Symbol Interference)
ITU (International
Telecommunication Union)
L
LCID (Logical Channel
Identifier)
LCR (Low Chip Rate)
LTE (Long Term Evolution)
M
MAC (Medium Access Control)
MBSFN (MBMS over Single
Frequency Network)

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MCS (Modulation and Coding


Scheme)
MGW (Media Gateways)
MIB (Master Information Block)
MIMO (Multiple Input Multiple
Output)
MME (Mobility Management
Entity)
MSC (Mobile Switching Centre)
Msg3 (Higher Layer Message)
MU-MIMO (Multi User - MIMO)
N
NACK (Negative
Acknowledgement)
NAS (Non Access Stratum)
NDI (New Data Indicator)
O
OFDM (Orthogonal Frequency
Division Multiplexing)
OFDMA (Orthogonal Frequency
Division Multiple Access)
P
PAPR (Peak to Average Power
Ratio)
PBCH (Physical Broadcast
Channel)
PCCH (Paging Control Channel)
PCFICH (Physical Control
Format Indicator Channel)
PCH (Paging Channel)
PCS (Personal Communications
Service)
PDCCH (Physical Downlink
Control Channel)
PDCP (Packet Data Convergence
Protocol)
PDN-GW (Packet Data Network Gateway)
PDSCH (Physical Downlink
Shared Channel),
PF (Paging Frame)
P-GSM (Primary GSM)
PH (Power Headroom),
PHICH (Physical Hybrid ARQ
Indicator Channel)
PHR (Power Headroom Report),
2-85
PHY (Physical Layer)
PL (Pathloss)
PLMN (Public Land Mobile
Network)

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PMI (Precoding Matrix Indicator)


PO (Paging Occasion)
PRACH (Physical Random
Access Channel)
PRB (Physical Resource Block)
PS (Packet Switched)
P-S (Parallel to Serial)
PSS (Primary Synchronization
Signal)
PTM (Point-To-Multipoint)
PTP (Point-To-Point)
PUCCH (Physical Uplink Control
Channel)
PUSCH (Physical Uplink Shared
Channel)
Q
QoS (Quality of Service)
QPP (Quadratic Permutation
Polynomial)
QPSK (Quadrature Phase Shift
Keying)
R
R (Cell Ranking)
RA (Random Access)
RACH (Random Access Channel)
RAN (Radio Access Network)
RAPID (Random Access
Preamble Identifier)
RA-RNTI (Random Access RNTI)
RB (Radio Bearer)
RB (Resource Block)
RBG (Resource Block Groups)
RE (Resource Element)
REG (Resource Element Group)
R-GSM (Railways GSM)
RI (Rank Indication)
RIV (Resource Indication Value)
RLC (Radio Link Control)
RNC (Radio Network Controller)
RRC (Radio Resource Control)
RS (Reference Signals)
RSRP (Reference Signal Received
Power)
RSRQ (Reference Signal
Received Quality)
RSSI (Received Signal Strength
Indicator)
RV (Redundancy Version)
S
S (Cell Selection)

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SAW (Stop And Wait)


SC-FDMA (Single Carrier Frequency Division Multiple
Access)
SFBC (Space Frequency Block
Coding)
SFN (System Frame Number),
S-GW (Serving Gateway)
SI (System Information)
SIB (System Information Block)
SIB 1 (System Information Block
Type1)
SI-RNTI (System Information Radio Network Temporary
Identifier)
SM (Spatial Multiplexing)
SMS (Short Message Service)
S-P (Serial to Parallel)
SR (Scheduling Request)
SRB (Signaling Radio Bearer)
SRS (Sounding Reference Signal)
SSS (Secondary Synchronization
Signal)
STC (Space Time Coding)
SU-MIMO (Single User - MIMO)

UE (User Equipment)
UL (Uplink)
UL-SCH (Uplink Shared
Channel)
UM (Unacknowledged Mode)
UMB (Ultra Mobile Broadband)
UpPTS (Uplink Pilot Time Slot)
USIM (Universal Subscriber
Identity Module)
V
VRB (Virtual Resource Block)
W
WCDMA (Wideband CDMA)
WiMAX (Worldwide
Interoperability for Microwave
Access)
Z
ZC (Zadoff-Chu)

T
TA (Timing Alignment)
TAC (Tracking Area Code)
TACS (Total Access
Communications System)
TAI (Tracking Area Identity)
TB (Transport Block)
TBS (Transport Block Set)
TBS (Transport Blok Size)
TD (Transmit Diversity)
TD-CDMA (Time Division
CDMA)
TDD (Time Division Duplex)
TDMA (Time Division Multiple
Access)
TD-SCDMA (Time Division
Synchronous CDMA)
TF (Transport Format)
TFT (Traffic Flow Template)
TM (Transparent Mode)
TPC (Transmit Power Control)
TPMI (Transmitted Precoding
Matrix Indicator)
TTI (Time Transmission Interval)
TX (Transmit)
U
UCI (Uplink Control Information)

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