LTE Overview

Objectives:

·Understand the development of mobile communications, and Long

Term Evolution (LTE) position and network architecture

·Understand the protocol architecture and basic technologies of E-

UTRAN

·Understand key LTE technologies

Contents

1 Overview ..................................................................................................................................................... 1

1.1 Background ....................................................................................................................................... 1

1.1.1 Mobile Communications Evolution ....................................................................................... 1

1.1.2 Comparison Among WCDMA, TD-SCDMA, and CDMA2000 ........................................... 2

1.1.3 WCDMA Evolution ............................................................................................................... 2

1.1.4 TD-SCDMA Evolution .......................................................................................................... 3

1.1.5 CDMA200 Evolution ............................................................................................................. 4

1.2 LTE Overview and Standards Development ..................................................................................... 4

2 LTE Indexes and Requirements................................................................................................................ 7

2.1 Overview ........................................................................................................................................... 7

2.2 Frequency Band Division ................................................................................................................. 8

2.3 Peak Data Rate .................................................................................................................................. 9

2.4 Control Plane Delay .......................................................................................................................... 9

2.5 User Plane Delay ............................................................................................................................. 10

2.6 User Throughput ............................................................................................................................. 10

2.7 Spectrum Efficiency ........................................................................................................................ 11

2.8 Mobility........................................................................................................................................... 11

2.9 Coverage ......................................................................................................................................... 11

2.10 Spectrum Flexibility ...................................................................................................................... 12

2.11 Coexistence and Interoperability with Existing 3GPP Systems .................................................... 12

2.12 Reducing CAPEX and OPEX ....................................................................................................... 13

3 LTE Architecture...................................................................................................................................... 15

i
 3.1 System Architecture ......................................................................................................................... 15

3.2 Radio Protocol Architecture ............................................................................................................ 22

3.2.1 Control Plane Protocol Architecture .....................................................................................22

3.2.2 User Plane Protocol Architecture..........................................................................................23

3.3 S1 Interface and X2 Interface .......................................................................................................... 24

3.3.1 S1 Interface ...........................................................................................................................24

3.3.2 X2 Interface ..........................................................................................................................29

4 Physical Layer ........................................................................................................................................... 33

4.1 Frame Structure ............................................................................................................................... 33

4.2 Physical Resources .......................................................................................................................... 33

4.3 Physical Channels ............................................................................................................................ 35

4.4 Transport Channels .......................................................................................................................... 37

4.5 Mapping Between Transport Channels and Physical Channels ...................................................... 38

4.6 Physical Signals ............................................................................................................................... 39

4.7 Physical Layer Model ...................................................................................................................... 40

4.8 Physical Layer Procedures ............................................................................................................... 43

4.8.1 Synchronization Procedures .................................................................................................43

4.8.2 Power Control .......................................................................................................................44

4.8.3 Random Access Procedures ..................................................................................................44

5 Layer 2 ....................................................................................................................................................... 47

5.1 MAC Sublayer .................................................................................................................................48

5.1.1 MAC Functions ....................................................................................................................48

5.1.2 Logical Channels ..................................................................................................................49

5.1.3 Mapping Between Logical Channels and Transport Channels .............................................50

5.2 RLC Sublayer .................................................................................................................................. 51

5.2.1 RLC Functions ......................................................................................................................51

ii
 5.2.2 PDU Structure ...................................................................................................................... 52

5.3 PDCP Sublayer................................................................................................................................ 53

5.3.1 PDCP Functions ................................................................................................................... 53

5.3.2 PDU Structure ...................................................................................................................... 53

6 RRC ........................................................................................................................................................... 55

6.1 RRC Functions ................................................................................................................................ 55

6.2 RRC State ........................................................................................................................................ 56

6.3 NAS State and the Relationship With the RRC state ...................................................................... 57

6.4 RRC Procedure ............................................................................................................................... 58

6.4.1 System Information .............................................................................................................. 58

6.4.2 Connection Control .............................................................................................................. 60

7 Core LTE Technologies ............................................................................................................................ 61

7.1 Duplex Mode .................................................................................................................................. 61

7.2 Multi-access Mode .......................................................................................................................... 61

7.3 Multi-antenna Technologies ............................................................................................................ 62

7.4 Link Adaptation .............................................................................................................................. 63

7.5 HARQ and ARQ ............................................................................................................................. 63

7.5.1 HARQ .................................................................................................................................. 63

7.5.2 ARQ ..................................................................................................................................... 64

7.5.3 HARQ/ARQ Interactions ..................................................................................................... 65

Appendix A Abbreviations .......................................................................................................................... 67

Appendix B References ............................................................................................................................... 69

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1 Overview

 Key points

Mobile communications development

WCDMA evolution

TD-SCDMA evolution

CDMA2000 evolution

1.1 Background

1.1.1 Mobile Communications Evolution

The development history from 2G and 3G to 3.9 G is the development history from
low-speed voice services to high-speed multimedia services of mobile communications.

3GPP has been progressively perfected LTE R8 standard:

1. LTE R8 RAN1 was frozen in December, 2008.

2. LTE R8 RAN2, RAN3, and RAN4 were frozen in December, 2008.

3. LTE R8 standard was completed by March, 2009, implementing basic LTE

functions at the first commercial use of LTE systems.

错 误 ！ 未 找 到 引 用 源 。 shows the development and evolution of wireless

communication technologies.

Figure 1.1-1 Development and Evolution of Wireless Communication Technologies

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LTE_FDD_eNB_E_10 LTE Overview

1.1.2 Comparison Between WCDMA, TD-SCDMA, and CDMA2000

Table 1.1-1Comparison Between WCDMA, TD-SCDMA, and CDMA2000

Standard WCDMA CDMA2000 TD-SCDMA

Inheritance basis GSM Narrowband CDMA GSM
Synchronous mode Asynchronous Synchronous Synchronous
Chip rate 3.84 Mcps 1.2288 Mcps 1.28 Mcps
System bandwidth 5 MHz 1.25 MHz 1.6 MHz
Core network GSM MAP ANSI-41 GSM MAP
QCELP, EVRC, and
Voice coding mode AMR AMR
VMR-WB

1.1.3 WCDMA Evolution

错误！未找到引用源。 shows the WCDMA technology roadmap.

Figure 1.1-2 WCDMA technology roadmap

2
 Chapter 1 Overview

1.1.4 TD-SCDMA Evolution

ZTE wireless network equipment supports smooth evolution of recent TD evolution

software.

TD evolution can be divided into two stages: standard stage of CDMA technologies
and that of OFDMA technologies.

The standard stage of CDMA technologies can smoothly evolve to HSPA+ with
spectrum efficiency close to that of LTE.

Figure 1.1-3 TD-SCDMA evolution

Long-term evolution version (4G)

Mid-term evolution version IMT-Adv

Short-term evolution version

3GPP LTE
OFDMA
Basic version 3GPP (R5/6/7) MIMO
HSPA/HSPA+
3GPP (R4) MBMS/Multi-Carrier
Voice/Data
N frequency point

Phase I Phase II Phase III

CDMA standard OFDMA standard

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LTE_FDD_eNB_E_10 LTE Overview

1.1.5 CDMA200 Evolution

CDMA One is a collection of all IS-95-based CDMA products. More specifically, IS-
95 is used as a standard for key technologies of all CDMA One-based products.

When CDMA2000 1x employs 1.25 MHz bandwidth, the highest rate on a single-
carrier reaches 307.2 kbit/s, the peak rate of 1xEV-DO Rev.0 reaches 2.4 Mbit/s in the
downlink, and the peak rate of Rev.A reaches 3.1 Mbit/s in the downlink.

Figure 1.1-4 CDMA200 Evolution

Downlink
100 Mbps
CDMA2000
1xEV-DO Rev. B
Eliminating
3 Mbps CDMA2000
1xEV-DO Rev. A Deploying

Developing
2 Mbps CDMA2000
1xEV-DO Rev. 0

1 Mbps

CDMA2000 1x

CDMA One
100 kbps 1 Mbps 10 Mbps 100 Mbps Uplink

1.2 LTE Overview and Standard Development

3GPP working groups started LTE standardization in December, 2004. LTE focuses on
the enhancement of UTRAN and UTRA.

The establishment of 3GPP standards can be divided into four stages: requirement
proposal, architecture establishment, detailed specifications, and testing and

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 Chapter 1 Overview

verification.

3GPP works in workgroup mode and RAN1/2/3/4/5 workgroups are directly related to
LTE.

Figure 1.2-1 Organization and establishment stages of 3GPP standards

5
2 LTE Indexes and Requirements

2.1 Overview

 Key points

Spectrum division

LTE system requirements

Others

Physical channels and mapping relationship

错误！未找到引用源。 shows the LTE indexes and requirements prescribed by 3GPP.

Figure 2.1-1 LTE Indexes and Requirements

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LTE_FDD_eNB_E_10 LTE Overview

Peak data rate

DL: 100 Mbit/s
UL: 50 Mbit/s

Enhanced Delay reduced

cell CP: 100 ms
coverage UP: 5 ms

LTE
features

Enhanced Lower
spectrum OPEX and
efficiency CAPEX

Different
bandwidth
supported

2.2 Frequency Band Division

Table 2.2-1 lists the E-UTRA frequency bands.

Table 2.2-1 E-UTRA frequency bands

E-UTRA Uplink (UL) operating band BS receive Downlink (DL) operating band BS Duplex
Operating UE transmit transmit UE receive Mode
Band

FUL_low – FUL_high FDL_low –

FDL_high

1 1920 MHz – 1980 MHz 2110 MHz – 2170 MHz FDD

2 1850 MHz – 1910 MHz 1930 MHz – 1990 MHz FDD
3 1710 MHz – 1785 MHz 1805 MHz – 1880 MHz FDD
4 1710 MHz – 1755 MHz 2110 MHz – 2155 MHz FDD
5 824 MHz – 849 MHz 869 MHz – 894MHz FDD
6 830 MHz – 840 MHz 875 MHz – 885 MHz FDD

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 Chapter 2 LTE Indexes and Requirements

7 2500 MHz – 2570 MHz 2620 MHz – 2690 MHz FDD

8 880 MHz – 915 MHz 925 MHz – 960 MHz FDD
9 1749.9 MHz – 1784.9 MHz 1844.9 MHz – 1879.9 MHz FDD
10 1710 MHz – 1770 MHz 2110 MHz – 2170 MHz FDD
11 1427.9 MHz – 1452.9 MHz 1475.9 MHz – 1500.9 MHz FDD
12 698 MHz – 716 MHz 728 MHz – 746 MHz FDD
13 777 MHz – 787 MHz 746 MHz – 756 MHz FDD
14 788 MHz – 798 MHz 758 MHz – 768 MHz FDD
…
17 704 MHz – 716 MHz 734 MHz – 746 MHz FDD
...
33 1900 MHz – 1920 MHz 1900 MHz – 1920 MHz TDD
34 2010 MHz – 2025 MHz 2010 MHz – 2025 MHz TDD
35 1850 MHz – 1910 MHz 1850 MHz – 1910 MHz TDD
36 1930 MHz – 1990 MHz 1930 MHz – 1990 MHz TDD
37 1910 MHz – 1930 MHz 1910 MHz – 1930 MHz TDD
38 2570 MHz – 2620 MHz 2570 MHz – 2620 MHz TDD
39 1880 MHz – 1920 MHz 1880 MHz – 1920 MHz TDD
40 2300 MHz – 2400 MHz 2300 MHz – 2400 MHz TDD

2.3 Peak Data Rate

The instantaneous downlink peak rate reaches 100 Mbit/s (5 bit/s/Hz) at 20 MHz
downlink spectrum band (two transmit antennas on the network side and two receive
antennas on the UE side).

The instantaneous uplink peak rate reaches 50 Mbit/s (2.5 bit/s/Hz) at 20 MHz uplink
spectrum band (one receive antenna on the UE side).

Wideband, MIMOs, and advanced modulation technologies are the key technologies to
increase the peak data rate.

2.4 Control Plane Delay

From residence to activation, similarly, from idle state to CELL_DCH state of Release
6, the transmission delay time of the control plane is shorter than 100 ms and does not
include the paging delay time or NAS delay time.

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LTE_FDD_eNB_E_10 LTE Overview

From sleep to activation, similarly, from CELL_PCH state to CELL_DCH state of

Release 6, the transmission delay time of the control plane is shorter than 50 ms and
does not include the DRX interval.

Additionally, if the control plane operates at 5 MHz spectrum band, each cell is
expected to support 200 activated users. In the case of higher spectrum bands, each cell
is expected to support 400 activated users.

2.5 User Plane Delay

The user-plane delay is the unidirectional transmission time that a packet is transmitted
from the IP layer of a UE/RAN edge node to the IP layer of a RAN edge node/UE. The
RAN edge node indicates the interface nodes of the RAN and core network.

In the case of "zero loads" (a single user and a single data flow) and "small IP packets"
(only one IP header and no effective load), the user-plane delay is expected to be no
longer than 5 ms.

2.6 User Throughput

Downlink:

1. The user throughput per MHz at the Cumulative Distribution Function (CDF) of
5% must reach two to three times the throughput of R6 HSDPA.

2. The average user throughput per MHz must reach three to four times the
throughput of R6 HSDPA.

R6 HSDPA uses one transmitter and one receiver (1T1R) while LTE uses two
transmitters and two receivers (2T2R).

Uplink:

1. The user throughput per MHz at the CDF of 5% must reach two to three times
the throughput of R6 HSUPA.

2. The user throughput per MHz must reach two to three times the throughput of
R6 HSUPA.

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 Chapter 2 LTE Indexes and Requirements

R6 HSUPA uses 1T2R, and so does LTE.

2.7 Spectrum Efficiency

Downlink: On a network with effective load, the target LTE spectrum efficiency
(measured by the bit quantity per site, per Hz, and per second) is three to four times
more efficient than R6 HSDPA. R6 HSDPA uses 1T1R while LTE uses 2T2R.

Uplink: On a network with effective load, the target LTE spectrum efficiency
(measured by the bit quantity per site, per Hz, and per second) is two to three times
more efficient than R6 HSUPA. R6 HSUPA uses 1T2R, and so does LTE.

2.8 Mobility

E-UTRAN can provide optimum network performance for mobile users at the speed of
0–15 km/h, high performance services at the speed of 15–120 km/h, and cell network
services at the speed of 120–350 km/h (the speed even reaches 500 km/h at specified
bands).

Voice services and other real-time services provided in the R6 CS domain are
supported by PS domain on the E-UTRAN and all these services can reach or exceed
the quality of UTRAN services. The interruption time caused by handovers within the
E-UTRA system must be shorter than or equal to the handover time of the GERAN CS
domain.

In a special case where the moving speed exceeds 250 km/h (in a high-speed train), the
physical layer parameters of E-UTRAN must be set to be capable of protecting the
connections between users and networks at the highest speed of 350 km/h (the speed
even reaches 500 km/h at specified bands).

2.9 Coverage

The E-UTRA system must flexibly support all coverage scenarios on the basis of
reusing the current UTRAN sites and frequencies to meet the preceding performance
indexes such as the user throughput, spectrum efficiency, and mobility.

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LTE_FDD_eNB_E_10 LTE Overview

The performance requirements of the E-UTRA system within different coverage scope
are listed as follows:

1. Coverage radius within 5 km: The preceding performance indexes such as the
user throughput, spectrum efficiency, and mobility must be fully satisfied.

2. Coverage radius within 30 km: The throughput and spectrum efficiency are
allowed to slightly drop but within an acceptable range, and the mobility index
must be fully satisfied.

3. Maximum coverage radius: 100 km.

2.10 Spectrum Flexibility

On one hand, the spectrum flexibility allows deployment of E-UTRA at varied bands
including 1.4 MHz, 3 MHz, 5 MHz, 10 MHz, 15 MHz, and 20 MHz. The E-UTRA
supports paired and unpaired spectrums.

On the other hand, the spectrum flexibility allows consolidation of spectrum bands.

2.11 Coexistence and Interoperability with Existing 3GPP Systems

Interoperability requirements of the E-UTRA and 3GPP systems include but are not
limited to:

1. E-UTRAN and UTRAN/GERAN multi-mode terminals support

UTRAN/GERAN measurement and handover between E-UTRAN systems and
UTRAN/GERAN systems.

2. The E-UTRAN system supports inter-system measurement.

3. The handover interruption time between E-UTRAN and UTRAN must be

shorter than 300 ms for real-time services.

4. The handover interrupting time between E-UTRAN and UTRAN must be

shorter than 500 ms for non-real-time services.

5. The handover interruption time between E-UTRAN and GERAN must be

12
 Chapter 2 LTE Indexes and Requirements

shorter than 300 ms for real-time services.

6. The handover interruption time between E-UTRAN and GERAN must be

shorter than 500 ms for non-real-time services.

7. Paging information of only one of the GERAN, UTRA, or E-UTRA systems

needs to be monitored for multi-mode terminals in non-active state (similar to
R6 Idle mode or Cell_PCH state).

2.12 Reducing CAPEX and OPEX

The flat system architecture and less intermediate nodes dramatically reduce the
equipment costs and maintenance costs.

13
3 LTE Architecture

 Key points

Radio protocol structure

S1 interface

X2 interface

3.1 System Architecture

As illustrated in the following figure, the EPC is made up of a control-plane node,

called MME (Mobility Management Entity), and two user-plane nodes, called S-GW
(Serving GW) and P-GW (Packet Data Network GW). In the non-roaming case, the S-
GW and P-GW functionalities are both located within one operator’s network and can
be implemented in a combined S-GW and P-GW node.

Figure 3.1-1 SAE/LTE Architecture

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LTE_FDD_eNB_E_10 LTE Overview

LTE adopts an OFDM-based air interface technology that is different from those of 2G
and 3G networks. LTE adopts flat network architecture within which E-UTRAN
contains only eNodeBs but not RNCs to optimize the traditional 3G network
architecture. LTE supports the functions of PDCP, RLC, MAC, and physical layer
protocols on the E-UTRA user plane and those of the RRC protocol on the control
plane. 错误！未找到引用源。 shows the E-UTRAN system architecture.

Figure 3.1-2 E-UTRAN Architecture

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 Chapter 3 LTE Architecture

MME / S-GW MME / S-GW

S1

S1
S1

S1
X2 E-UTRAN
eNB eNB

X2

X2
eNB

eNodeBs are connected over an x2 interface and every eNodeB is connected to the
Evolved Packet Core (EPC) network over an S1 interface. The user plane of S1
interfaces terminates on the Serving-Gateway (S-GW) and the control plane of S1
interfaces terminates on the Mobile Management Entity (MME). The other ends of the
control plane and user plane terminate on the eNodeB. Functions of all NEs in the
preceding figure are listed as follows:

 eNodeB

Besides the original eNodeB functions, an LTE eNodeB undertakes most of

original RNC functions such as physical layer, MAC layer (including HARQ),
RLC layer (including ARQ functions), PDCP, RRC, scheduling, radio access
control, access mobility management, and radio resource management of
different cells.

An LTE eNodeB has the following functions:

Manages radio resources, for example, radio bearer control, radio access
control, connection mobility control, and dynamic resource assignment of
uplink and downlink (scheduling).

Compresses IP headers and encrypts user data streams.

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LTE_FDD_eNB_E_10 LTE Overview

Chooses the UE-attached MME when the MME routing information cannot be
known from the information provided for the UE.

Transmits routing data of user planes to the S-GW.

Schedules and transmits the paging information initiated by the MME.

Schedules and transmits the broadcast information initiated by the MME or

O&M.

Measures the mobility and scheduling information and performs measurement

reporting configuration.

Schedules and transmits the Earthquake and Tsunami Warning System (ETWS)
information initiated by the MME.

 MME

As the control core of the SAE, an MME implements such functions as user
access control, service bearer control, paging, and handover control.

The function of the MME is separated from that of the gateway. The structure of
separated control plane and user plane facilitates network deployment, single
technology evolution, and flexible capacity expansion.

NAS signaling

NAS signaling security

AS security control

Mobile signaling among 3GPP radio networks

The reachability of an UE in idle state (including the control and

implementation of paging signal re-transmission)

Tracking area list management

P-GW or S-GW selection

MME selection at the time of handover

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 Chapter 3 LTE Architecture

SGSN selection at handover to 2G or 3GPP network

Roaming

Authentication

Bearer management, including dedicated bearer establishment

ETWS signal transmission

 S-GW

As the anchor point at local eNodeB handover, the S-GW implements the
following functions: data transfer between the eNodeB and the public data
gateway, downlink packet buffer, and user-based billing.

Local mobile anchor points at eNodeB handover

Mobile anchor points among 3GPP systems.

Downlink packet buffering and initialization of network-triggered service

request procedure in the E-UTRAN idle mode

Lawful interception

Packet routing and forwarding

Transport-layer packet marking (uplink/downlink)

Accounting on user and QCI granularity for inter-operator charging.

Uplink/downlink charging per UE, PDN, or QCI

 PDN gateway (P-GW)

As the designated anchor point of the data bearer, the Public Data Network
Gateway (P-GW) has the following functions: packet forwarding, packet
resolving, lawful interception, service-based billing, QoS control, and
interconnection with non-3GPP networks.

Per-user packet filtering (for example, utilize deep packet inspection)

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LTE_FDD_eNB_E_10 LTE Overview

Lawful interception

IP address assignment of the UE

Transport-layer packet marking (downlink)

Uplink/downlink service level charging, gating, and rate enforcement

Aggregate Maximum Bit Rate (AMBR)-based downlink rate control

As shown in the preceding figure, the original Iu interface, Iub interface, and Iur
interface are replaced with the S1 interface and X2 interface in the new LTE
architecture.

错误！未找到引用源。 shows the functional split between E-UTRAN and EPC.

Yellow boxes depict the logical nodes, white boxes depict the functional entities of the
control plane, and blue boxes depict the radio protocol layers.

Figure 3.1-3 EPC/E-UTRAN Functional split

An E-UTRA capable terminal is connected directly to E-UTRAN. However some parts

of the terminal control-plane protocol stack are also terminated in the EPC.

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 Chapter 3 LTE Architecture

Similar to UMTS, the EPS supports a bearer concept (see Figure 3.1-3) for supporting
end-user data services. The EPS bearer (similar to a PDP context of previous 3GPP
releases) is defined between the User Equipment (UE) and the P-GW node in the EPC
(which provide the end users IP point of presence towards external networks). The EPS
bearer is further sub-divided into an E-UTRAN Radio Access Bearer (E-RAB), over
the radio interface and S1 interface between the UE and S-GW.

End-to-end services (for example, IP services) are multiplexed on different EPS

bearers. There is a many-to-one relation between end-to-end services and EPS bearers.

Figure 3.1-4 EPS Bearer

An UL TFT (Traffic Flow Template) in the UE binds an SDF (Service Data Flow) to an
EPS bearer in the uplink direction.

Multiple SDFs can be multiplexed onto the same EPS bearer by including multiple
uplink packet filters in the UL TFT.

A DL TFT in the PDN GW binds an SDF to an EPS bearer in the downlink direction.
Multiple SDFs can be multiplexed onto the same EPS bearer by including multiple
downlink packet filters in the DL TFT.

An E-RAB transports the packets of an EPS bearer between the UE and the EPC.
When an E-RAB exists, there is a one-to-one mapping between this E-RAB and an
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LTE_FDD_eNB_E_10 LTE Overview

EPS bearer.

A data radio bearer transports the packets of an EPS bearer between a UE and an eNB.
When a data radio bearer exists, there is a one-to-one mapping between this data radio
bearer and the EPS bearer/E-RAB.

An S1 bearer transports the packets of an E-RAB between an eNodeB and a Serving

GW.

An S5/S8 bearer transports the packets of an EPS bearer between a Serving GW and a
PDN GW.

A UE stores a mapping between an uplink packet filter and a data radio bearer to create
the binding between an SDF and a data radio bearer in the uplink.

A PDN GW stores a mapping between a downlink packet filter and an S5/S8a bearer to
create the binding between an SDF and an S5/S8a bearer in the downlink.

An eNB stores a one-to-one mapping between a data radio bearer and an S1 bearer to
create the binding between a data radio bearer and an S1 bearer in both the uplink and
downlink.

A Serving GW stores a one-to-one mapping between an S1 bearer and an S5/S8a

bearer to create the binding between an S1 bearer and an S5/S8a bearer in both the
uplink and downlink.

3.2 Radio Protocol Architecture

3.2.1 Control Plane Protocol Architecture

错误！未找到引用源。 shows the control plane protocol architecture.

Figure 3.2-1 Control Plane Protocol Stack

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 Chapter 3 LTE Architecture

UE eNB MME

NAS NAS

RRC RRC

PDCP PDCP

RLC RLC

MAC MAC

PHY PHY

The PDCP terminates at an eNodeB and implements functions such as control-plane

encryption and integrity protection.

The RLC and MAC terminate at an eNodeB on the network side and implement the
same functions on the user plane and control plane.

The RRC terminates at an eNodeB and implements such functions as broadcast, paging,
RRC connection management, RB control, mobility, and UE measurement reporting
and control.

The NAS terminates at an MME and implements such functions as EPS bearer
management, authentication, idle-mode EPS Connection Management (ECM), idle-
mode ECM paging, and security control.

3.2.2 User Plane Protocol Architecture

错误！未找到引用源。 shows the user plane protocol architecture.

Figure 3.2-2 User plane protocol stack

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LTE_FDD_eNB_E_10 LTE Overview

UE eNB

PDCP PDCP

RLC RLC

MAC MAC

PHY PHY

The user-plane PDCP, RLC, and MAC terminate at an eNodeB and implement such
functions as header compression, encryption, scheduling, ARQ, and HARQ.

3.3 S1 Interface and X2 Interface

Different from those in 2G and 3G systems, S1 interface and X2 interface are newly
added in the LTE system.

3.3.1 S1 Interface

The S1 interface is defined as the interface between the E-UTRAN and EPC. The S1
interface contains two parts: the control-plane S1-MME interface and user-plane S1-U
interface. The S1-MME interface is defined as the interface between the eNodeB and
MME, and the S1-UE interface is defined as the interface between the eNodeB and S-
GW. 错误！未找到引用源。 and 错误！未找到引用源。 show the protocol stack
architecture of the S1-MME interface and S1-U interface.

Figure 3.3-1 S1 interface control plane (eNodeB-MME)

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 Chapter 3 LTE Architecture

S1-AP

SCTP

IP

Data link layer

Physical layer

Figure 3.3-2 S1 interface user plane (eNodeB–S-GW)

User plane PDUs

GTP-U

UDP

IP

Data link layer

Physical layer

The S1 interface has the following acknowledged functions:

 E-RAB service management

Establishment, modification, and release

 UE mobility in ECM-CONNECTED state

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LTE_FDD_eNB_E_10 LTE Overview

Handover within the LTE system

Handover between the LTE system and the 3GPP system

 S1 paging

 NAS signaling transmission

 S1 interface management

Error indication

Reset

 Network sharing

 Roaming and area restriction

 NAS node selection

 Initial context establishment

 UE context modification

 MME load balance

 Location report

 ETWS message transmission

 Overload

 RAN information management

 The S1 interface has the following acknowledged signaling procedures:

 E-RAB signaling procedure

E-RAB establishment

E-RAB modification

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 Chapter 3 LTE Architecture

MME-initiated E-RAB release

eNodeB-initiated E-RAB release

 Handover signaling procedure

Handover preparation

Resource assignment

Handover termination

Handover cancellation

 Paging

 NAS transmission procedure

Direct uplink transmission (initial UE message)

Direct uplink transmission (uplink NAS transmission)

Direct downlink transmission (downlink NAS transmission)

 Error indication procedure

eNodeB-initiated error indication

MME-initiated error indication

 Reset

eNodeB-initiated reset

MME-initiated reset

 Initial context establishment

 UE context modification

 S1 establishment

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LTE_FDD_eNB_E_10 LTE Overview

 eNodeB configuration update

 MME configuration update

 Location report

Location report control

Location report

Location report failure indication

 Overload startup

 Overload stop

 Write replacement alarm

 Directly transmitted information transfer

错误！未找到引用源。 shows the S1 interface signaling procedure.

Figure 3.3-3 Initial Context Establishment (Blue Parts) in Idle-to-Active Procedure

28
 Chapter 3 LTE Architecture

UE eNB MME
Paging
Paging

Random Access Procedure

NAS: Service Request

S1-AP: INITIAL UE MESSAGE (FFS)
+ NAS: Service Request
+ eNB UE signalling connection ID

RRC: Radio Bearer Setup S1-AP: INITIAL CONTEXT SETUP REQUEST

(NAS Message) + (NAS message)
+ MME UE signalling connection ID
+ Security Context
+ UE Capability Information (FFS)
+ Bearer Setup (Serving SAE-GW TEID, QoS
profile)
RRC: Radio Bearer Setup Complete
S1-AP: INITIAL CONTEXT SETUP COMPLETE
+ eNB UE signalling connection ID
+ Bearer Setup Confirm (eNB TEID)

The similarities between S1 interface and X2 interface lie in the fact that S1-U and X2-
U adopt the same user-plane protocol to reduce protocol processing at eNodeB data
forward.

3.3.2 X2 Interface

The X2 interface is defined as the interface between eNodeBs. The X2 interface

contains two parts: the X2-CP and X2-U, where the X2-CP is the control plane
interface between eNodeBs and the X2-U is the user plane interface between eNodeBs.
错误！未找到引用源。 and 错误！未找到引用源。 show the protocol stack
architecture of the X2-CP interface and X2-U interface.

Figure 3.3-4 X2 interface control plane

29
LTE_FDD_eNB_E_10 LTE Overview

X2-AP

SCTP

IP

Data link layer

Physical layer

Figure 3.3-5 X2 interface user plane

User plane PDUs

GTP-U

UDP

IP

Data link layer

Physical layer

The X2-CP has the following functions:

 UE mobility in ECM-CONNECTED state within the LTE system

Context transfer from the source eNodeB to the target eNodeB

User plane channel control between the source eNodeB and the target eNodeB

30
 Chapter 3 LTE Architecture

Handover cancellation

 Uplink load management

 General X2 interface management and error processing

Error indication

The X2-CP interface has the following acknowledged signaling procedures:

 Handover preparation

 Handover cancellation

 UE context release

 Error indication

 Load management

The management of load among cells is implemented over the X2 interface.

错误！未找到引用源。 shows that the LOAD INDICATOR message is used for load
state communication among eNodeBs.

Figure 3.3-6 X2 Interface LOAD INDICATION message

eNB eNB

[X2 AP] LOAD INDICATOR

31
4 Physical Layer

4.1 Frame Structure

The LTE system supports the following two radio frame structures:

 Structure 1: applicable to FDD mode.

 Structure 2: applicable to TDD mode.

Figure 4.1-1 shows the frame structure 1. Every 10 ms radio frame is divided into ten
sub-frames of fixed length. Each sub-frame contains two time slots each of which is
0.5 ms long.

#0 #1 #2 #18 #19

slot
Sub-frame
One radio frame = 10ms

Figure 4.1-1 Frame structure 1

For FDD, at every 10 ms, ten sub-frames can be used for downlink transmission and
another ten sub-frames can be used for uplink transmission. The uplink transmission
and downlink transmission are separated on the frequency domain.

4.2 Physical Resources

The minimum resource unit for uplink/downlink transmission in the LTE system is
called a Resource Element (RE).

At the time of data transmission, the LTE system consolidates uplink and downlink
time-frequency domain physical resources into Resource Blocks (RBs) for scheduling

33
LTE_FDD_eNB_E_10 LTE Overview

and allocation.

Several REs constitute an RB. There are 12 consecutive sub-carriers on the frequency
domain and seven consecutive OFDM symbols (six symbols for Extended CP). That is,
the frequency domain width is 180 kHz and the time length is 0.5 ms.

错误！未找到引用源。 and 错误！未找到引用源。 show the physical resource

structure of downlink and uplink slots.

Figure 4.2-1 Physical Resource Structure of a Downlink Slot

One downlink slot Tslot

DL
N symb OFDM symbols

k  N RB N sc  1
DL RB

Resource
block resource
DL
N symb  N scRB
elements
subcarrier

subcarrier

Resource
s

(k , l )
element
 N scRB

s
N scRB
DL
N RB

k 0

l0 l  N symb
DL
1

34
 Chapter 4 Physical Layer

Figure 4.2-2 Physical Resource Structure of an Uplink Slot

One uplink slot Tslot

UL
N symb SC-FDMA symbols

k  N RB N sc  1
UL RB

Resource
block resource
UL
N symb  N scRB
elements
subcarrier

subcarrier

Resource
s

(k , l )
element
 N scRB

s
N scRB
UL
N RB

k 0

l0 l UL
N symb 1

4.3 Physical Channels

The downlink physical channels contain the following:

35
LTE_FDD_eNB_E_10 LTE Overview

1. Physical Broadcast Channel (PBCH)

The coded BCH transmission block maps to four sub-frames within a 40 ms

interval.

The 40 ms timing is obtained by blind tests, that is, no specified signaling

indicates the 40 ms timing.

With excellent-enough channels, every sub-frame that the PBCH is located can
separately decode signals.

2. Physical Control Format Indicator Channel (PCFICH)

Notifies the number of PDCCH-occupied OFDM marks to the UE.

Transmits the information in every sub-frame.

3. Physical Downlink Control Channel (PDCCH)

Notifies the resource assignment information of the PCH, DL-SCH, and DL-
SCH-related HARQ information to the UE.

Carries the uplink scheduling information.

4. Physical HARQ Indicator Channel (PHICH)

Carries the HARQ ACK/NACKs for uplink data transfer.

5. Physical Downlink Sharing Channel (PDSCH)

Carries the DL-SCH and PCH information.

6. Physical Multicast Channel (PMCH)

Carries the MCH information.

The uplink physical channels contain the following:

1. Physical Uplink Control Channel (PUCCH)

Carries HARQ ACK/NACKs for downlink data transfer.

36
 Chapter 4 Physical Layer

Carries the scheduling request information.

Carries the CQI report information.

2. Physical Uplink Sharing Channel (PUSCH)

Carries the UL-SCH information.

3. Physical Random Access Channel (PRACH)

Carries the random access preamble.

4.4 Transport Channels

The downlink transport channels contain the following:

1. Broadcast Channel (BCH)

Fixed predefined transport format

Broadcast in the entire coverage area of the cell

2. Downlink Sharing Channel (DL-SCH)

Supports HARQ.

Implements dynamic link adaptation by varying the demodulation, coding mode,

and transmit power.

Supports broadcast in the entire cell.

Supports beamforming.

Supports dynamic or semi-static resource allocation.

Supports the UE Discontinuous Reception (DRX) to enable UE power saving.

Supports the MBMS transmission.

3. Paging Channel (PCH)

37
LTE_FDD_eNB_E_10 LTE Overview

Supports the UE DRX to save power. (The network notifies the DRX period to
the UE.)

Broadcast in the entire coverage area of the cell.

Map to physical resources that can be used dynamically also for traffic or other
control channels.

4. Multicast Channel (MCH)

Broadcast in the entire coverage area of the cell.

Supports Multicast/Broadcast over Single Frequency Network (MBSFN)

combing of MBMS transmission on multiple cells.

Supports semi-static resource allocation.

The uplink transport channels contain the following:

1. Uplink Sharing Channel (UL-SCH)

Supports beamforming.

Implements dynamic link adaptation by varying the transmit power, potential

demodulation, and coding mode.

Supports HARQ.

Supports dynamic or semi-static resource allocation.

2. Random Access Channel (RACH)

Carries limited control information.

Collision risks.

4.5 Mapping Between Transport Channels and Physical Channels

错误！未找到引用源。 and 错误！未找到引用源。 show the mapping relationships

between downlink/uplink transport channels and downlink/uplink physical channels.

38
 Chapter 4 Physical Layer

Figure 4.5-1 Mapping Between Downlink Transport Channels and Downlink Physical
Channels

BCH MCH PCH DL-SCH

Downlink
Transport channels

Downlink
Physical channels
PBCH PMCH PDSCH PDCCH

Figure 4.5-2 Mapping Between Uplink Transport Channels and Uplink Physical
Channels

UL-SCH RACH
Uplink
Transport channels

Uplink
Physical channels
PUSCH PRACH PUCCH

4.6 Physical Signals

Physical signals correspond to several physical layer REs, but do not carry any
information that comes from higher layers.

The downlink physical signals include the reference signal and the synchronization
signal.

 Reference signal

39
LTE_FDD_eNB_E_10 LTE Overview

The downlink reference signals include the following three types of reference
signals:

Cell-specific reference signals associated with non-MBSFN transmission

MBSFN reference signals associated with MBSFN transmission

UE-specific reference signals

 Synchronization signals

The synchronization signals include the following two types of signals:

Primary synchronization signal

Secondary synchronization signal

For FDD, the primary synchronization signal maps to the last OFDM symbol of
time slot 0 and time slot 10. The secondary synchronization signal maps to the
second last OFDM symbol of time slot 0 and time slot 10.

The uplink physical signals include the reference signals.

 Reference signals

The uplink reference signals include the following two types of signals:

Demodulation reference signals associated with PUSCH or PUCCH

transmission

Sounding reference signals not associated with PUSCH or PUCCH transmission

The demodulation reference signals and the sounding reference signals use the
same base sequence set.

4.7 Physical Layer Model

The following figures show the physical layer models of various types of channels.
Node Bs in all of the following figures are called eNodeBs in LTE.

40
 Chapter 4 Physical Layer

Figure 4.7-1 Physical Layer Model for DL-SCH Transmission

Node B UE
Error
Channel-state N Transport blocks indications
information, etc. (dynamic size S1..., SN)
ACK/NACK ACK/NACK
HARQ HARQ info HARQ info HARQ

CRC
CRC
Redundancy for
CRC
error detection CRC

Coding + RM Redundancy for

Coding + RM
Coding + RM
MAC scheduler

Redundancy data detection Decoding + RM

version

Interl.
Interleaving Interl.
Deinterleaving
Modulation
scheme QPSK, 16QAM,
Data modulation Data modulation
Data modulation 64QAM Data demodulation
Resource/power
assignment RB mapping
Resource mapping RB mapping
Resource demapping
Antenna
mapping Multi-antenna
Antenna mapping processing Antenna demapping

Figure 4.7-2 Physical Layer Model for BCH Transmission

Node B UE
Error
Single Transport blocks indication
(fixed size S)

CRC CRC

Coding + RM Decoding + RM

Interleaving Deinterleaving

Data modulation QPSK only

Data demodulation

Resource mapping Resource demapping

Antenna mapping Antenna demapping

41
LTE_FDD_eNB_E_10 LTE Overview

Figure 4.7-3 Physical Layer Model for PCH Transmission

Node B UE
Error
Single Transport blocks indication
(dynamic size S)

CRC CRC

Coding + RM
MAC scheduler

Decoding + RM

Interleaving Deinterleaving
Modulation
scheme
Data modulation Data demodulation
Resource/power
assignment
Resource mapping Resource demapping
Antenna
mapping
Antenna mapping Antenna demapping

Figure 4.7-4 Physical Layer Model for MCH Transmission

Node B UE
Error
N Transport blocks indications
(dynamic size S1..., SN)

CRC
CRC CRC
CRC

Coding + RM Coding + RM
Coding + RM
MAC scheduler

Decoding + RM

Interl.
Interleaving Interl.
Deinterleaving
Modulation
scheme Data modulation
Data modulation Data modulation
Data demodulation
Resource/power
assignment RB mapping
Resource mapping RB mapping
Resource demapping
Antenna
mapping
Antenna mapping Antenna demapping
Semi-static
configuration

42
 Chapter 4 Physical Layer

Figure 4.7-5 Physical Layer Model for UL-SCH Transmission

Node BError UE
indications
Channel -state
information, etc.
ACK/NACK
HARQ HARQ info HARQ
ACK/NACK

CRC
CRC CRC Uplink transmission c
CRC

MAC scheduler Coding + RM

Decoding + RM Coding + RM
Coding + RM

Interl.
Deinterleaving Interl.
Interleaving
Modulation Modulation
scheme Data modulation scheme
Data demodulation Data
Datamodulation
modulation
Resource Resource/power
assignment RB mapping assignment
Resource demapping RB mapping
Resource mapping
Antenna
mapping
Antenna demapping

4.8 Physical Layer Procedures

4.8.1 Synchronization Procedures

 Cell search

Cell search is the procedure by which a UE acquires time and frequency

synchronization with a cell and detects that cell’s physical layer cell ID. E-
UTRA cell search is based on various signals transmitted in the downlink such
as primary and secondary synchronization signals, and downlink reference
signals.

 Timing synchronization

Timing synchronization procedures include radio link monitoring, inter-cell

synchronization, and transmission timing adjustments.

43
LTE_FDD_eNB_E_10 LTE Overview

4.8.2 Power Control

Power control determines the Energy Per Resource Element (EPRE). EPRE denotes
the energy prior to CP insertion. EPRE also denotes the average energy taken over all
constellation points for the applied modulation scheme. Uplink power control
determines the average power of one DFT-SOFDM symbol on a physical channel.

 Uplink power control

The uplink power control procedure controls the transmit power of different
uplink physical channels.

 Downlink power allocation

The eNodeB determines the downlink transmit energy per resource element.

4.8.3 Random Access Procedures

Prior to initiation of the non-synchronized physical random access procedure, the

physical layer should receive the following information from the higher layers:

1. Random access channel parameters (PRACH configuration, frequency position,

and preamble format).

2. Parameters for determining the root sequences and their cyclic shifts in the
preamble sequence set for the cell (index to root sequence table, cyclic shift
(Ncs), and set type (normal or high-speed set)).

From the physical layer perspective, the physical random access procedure
encompasses the transmission of random access preamble and random access response.
The remaining messages are scheduled for transmission by the higher layer on the
shared data channel and are not considered as a part of the L1 random access
procedure.

The following steps are required for the physical random access procedure:

1. The physical layer procedure is triggered upon request of a preamble

transmission by higher layers.

44
 Chapter 4 Physical Layer

2. A preamble index, preamble transmission power

(PREAMBLE_TRANSMISSION_POWER), associated RA-RNTI, and PRACH
resource are indicated by higher layers as part of the request.

3. Determine preamble transmit power: PPRACH = min{Pmax,

PREAMBLE_RECEIVED_TARGET_POWER + PL}, where, Pmax indicates the
maximum allowed power configured at higher layers, and PL indicates UE-
calculated downlink path loss.

4. A preamble sequence is then selected from the preamble sequence set through
the preamble index.

5. A single preamble transmission then occurs using the selected preamble

sequence with transmission power PREAMBLE_TRANSMISSION_POWER
on the indicated PRACH resource.

6. The associated PDCCH with RA-RNTI is detected in the random access

response window controlled by higher layers. If an associated PDCCH with RA-
RNTI is detected, then the corresponding PDSCH transport block is passed to
the higher layers. Higher layers resolve the transport block and indicate the 20-
bit UL-SCH grant to the physical layer.

45
5 Layer 2

Layer 2 consists of three sub-layers: PDCP, RLC, and MAC. Figure 错误！未找到
引用源。 and Figure 错误！未找到引用源。错误！未找到引用源。 show Layer 2
downlink and uplink structures.

Figure 4.8-1 Layer 2 Downlink Structure

Radio Bearers

ROHC ROHC ROHC ROHC

PDCP
Security Security Security Security

Segm. Segm. Segm. Segm.

RLC ... ...
ARQ etc ARQ etc ARQ etc ARQ etc CCCH BCCH PCCH

Logical Channels

Scheduling / Priority Handling

MAC Multiplexing UE1 Multiplexing UEn

HARQ HARQ

Transport Channels

Figure 4.8-2 Layer 2 Uplink Structure

47
LTE_FDD_eNB_E_10 LTE Overview

Radio Bearers

ROHC ROHC
PDCP
Security Security

Segm. Segm.
RLC ...
ARQ etc ARQ etc
CCCH

Logical Channels

Scheduling / Priority Handling

MAC Multiplexing

HARQ

Transport Channels

The connection points among sub-layers are known as the Service Access Points (SAP).
The service provided by PDCP is referred to as the radio bearer. The PDCP provides
the Robust Header Compression (ROHC) and security protection. The SAP between
the physical layer and MAC layer provides transport channels and that between the
MAC layer and RLC layer provides logical channels.

The MAC layer provides multiplexing and mapping of logical channels (radio bearer)
to transport channels (transport block).

Only one transport block is generated at each TTI (1 ms) in the uplink or downlink in
the case of non-MIMO.

5.1 MAC Sub-Layer

5.1.1 MAC Functions

The MAC sub-layer provides the following functions:

48
 Chapter 5 Layer 2

 Mapping between logical channels and transport channels

 MAC Service Data Unit (SDU) multiplexing/demultiplexing

 Scheduling information report

 Error correction through HARQ

 Logical channel prioritization of the same UE

 UE prioritization through dynamic scheduling

 Selection of transmission formats

 Padding

5.1.2 Logical Channels

The MAC layer provides different types of data transmission services. The type of
each logical channel is defined based on the type of transmitted data.

Logical channels are categorized into:

 Control channels: used to transfer data on the control plane.

 Traffic channels: used to transfer data on the user plane.

Control channels include:

 Broadcast Control Channel (BCCH).

The BCCH is a downlink channel used to broadcast system control messages.

 Paging Control Channel (PCCH).

The PCCH is a downlink channel used to transfer paging messages and system
information change notifications. The PCCH is used to page a UE when the UE
cell location is unknown to the network.

 Common Control Channel (CCCH).

49
LTE_FDD_eNB_E_10 LTE Overview

The CCCH is used to transfer control messages between UEs and the network
when there is no RRC connection between them.

 Multicast Control Channel (MCCH).

A point-to-multipoint downlink channel used for transmitting MBMS control

information from the network to the UE for one or several MTCHs. This
channel is only used for UEs that receive MBMS.

 Dedicated Control Channel (DCCH).

A point-to-point bi-directional channel that transmits dedicated control

information between a UE and the network. This channel is used by UEs having
an RRC connection.

Traffic channels include:

 Dedicated Traffic Channel (DTCH).

The DTCH is a point-to-point channel, dedicated to one UE, for the transfer of
user information.

 Multicast Traffic Channel (MTCH).

A point-to-multipoint downlink channel for transmitting traffic data from the

network to the UE. This channel is only used for UEs that receive MBMS.

5.1.3 Mapping Between Logical Channels and Transport Channels

错误！未找到引用源。 and 错误！未找到引用源。 show the mapping between

downlink and uplink logical channels and transport channels.

Figure 5.1-1 Mapping Between Downlink Logical Channels and Transport Channels

50
 Chapter 5 Layer 2

PCCH BCCH CCCH DCCH DTCH MCCH MTCH

Downlink
Logical channels

Downlink
Transport channels
PCH BCH DL-SCH MCH

Figure 5.1-2 Mapping between uplink logical channels and transport channels

CCCH DCCH DTCH

Uplink
Logical channels

Uplink
Transport channels
RACH UL-SCH

5.2 RLC Sub-Layer

5.2.1 RLC Functions

The RLC sub-layer provides the following functions:

 Transfer of upper layer PDUs

 Error Correction through ARQ (only for AM data transfer)

 Concatenation, segmentation, and reassembly of RLC SDUs (only for UM and

AM data transfer)
51
LTE_FDD_eNB_E_10 LTE Overview

 Re-segmentation of RLC data PDUs (only for AM data transfer)

 In-sequence delivery of upper layer PDUs (only for UM and AM data transfer)

 Duplicate detection (only for UM and AM data transfer)

 Protocol error detection and recovery

 RLC SDU discard (only for UM and AM data transfer)

 RLC re-establishment

5.2.2 PDU Structure

错误！未找到引用源。 shows the RLC PDU structure.

 The PDU sequence number carried by the RLC header is independent of the
SDU sequence number (that is, the PDCP sequence number).

 The red dotted lines in 错 误 ！ 未 找 到 引 用 源 。 indicate segmentation

positions.

Figure 5.2-1 RLC PDU Structure

RLC SDU n n+1 n+2 n+3

... ...

RLC header RLC header

RLC PDU

52
 Chapter 5 Layer 2

5.3 PDCP Sub-Layer

5.3.1 PDCP Functions

The main services and functions of the PDCP sub-layer for the user plane include:

 Header compression and decompression: ROHC only

 Transfer of user data

 In-sequence delivery of upper layer PDUs at PDCP re-establishment

procedure for RLC AM

 Duplicate detection of lower layer SDUs at PDCP re-establishment procedure

for RLC AM

 Retransmission of PDCP SDUs at handover for RLC AM

 Ciphering and deciphering

 Timer-based SDU discard in uplink

 The main services and functions of the PDCP sublayer for the control plane
include:

 Ciphering and Integrity Protection

 Transfer of control plane data

5.3.2 PDU Structure

错误！未找到引用源。 shows the PDCP PDU structure.

 PDCP PDU and PDCP header are octet-aligned.

 PDCP header can be either 1 or 2 bytes long.

Figure 5.3-1 PDCP PDU Structure

53
LTE_FDD_eNB_E_10 LTE Overview

PDCP header PDCP SDU

PDCP PDU

54
6 RRC

6.1 RRC Functions

The main Functions of RRC include:

 Broadcast of system information related to the NASs

 Broadcast of system information related to the ASs

 Paging

 Establishment, retention, and release of RRC connection between UEs and E-

UTRANs, including:

- A
llocation of temporary identifiers between UEs and E-UTRANs

- C
onfiguration of the Signaling Radio Bearers (SRBs) for RRC
connection

- L
ow priority and high priority SRBs

 Security management including key management

 Establishment, configuration, retention, and release point-to-point RBs

 Mobility management, including:

- M
easurement report and reporting control of the mobile UEs between
cells and between RATs.

55
LTE_FDD_eNB_E_10 LTE Overview

- H
andover

- U
E cell selection and reselection. Cell selection and reselection control

- C
ontext forwarding during handover

 MBMS notification

 Establishment, configuration, retention, and release of RBs for the MBMS

 QoS management

 UE measurement report and reporting control

 NAS direct transfer

6.2 RRC State

The RRC states include RRC_IDLE and RRC_CONNECTED

 RRC idle state (RRC_IDLE)

PLMN selection

DRX configured by NAS

System information broadcast

Paging

Cell reselection mobility

A unique identifier allocated to a UE within a Tracking Area (TA)

No RRC contexts stored in eNodeBs

 Connection state (RRC_CONNECTED)

56
 Chapter 6 RRC

The UE has an E-UTRAN-RRC connection.

The UE has a context in E-UTRAN.

The E-UTRAN knows the cell to which the UE belongs.

The network can transmit and receive data to/from the UEs.

Network-controlled mobility (handover).

Neighboring cell measurements.

PDCP/RLC/MAC features in RRC_CONNECTED state:

The UE can transmit and receive data to/from the networks.

The UE intercepts controlled signaling channels related to the shared data

channels to view that whether the UE is allocated any data on the shared data
channel.

The UE also reports channel quality information and feeds back information to
eNodeB.

The DRX cycle can be conformed according to the UE mobility level to save
UE power and enhance resource efficiency. This function is controlled by
eNodeB.

6.3 NAS State and the Relationship With the RRC State

The NAS state model can be described by the two-dimensional state model of the EPS
Mobility Management state (EMM) and the EPS Connection Management state.

 EMM state:

EMM-DEREGISTERED state

EMM-REGISTERED state

 ECM state:

57
LTE_FDD_eNB_E_10 LTE Overview

ECM-IDLE state

ECM-CONNECTED state

Note: The EMM state and the ECM state are mutually independent.

The relationship between the NAS state and the RRC state is as follows:

 EMM-DEREGISTERED state + ECM-IDLE state  RRC_IDLE state

Mobility feature: PLMN selection

UE location: Unknown to the network.

 EMM-REGISTERED state + ECM-IDLE state  RRC_IDLE state

Mobility feature: Cell selection

UE location: Known to the network at TA level.

 EMM-REGISTERED state + ECM-CONNECTED state + RB Established 

RRC_CONNECTED state

Mobility feature: Handover

UE location: Known to the network at cell level.

6.4 RRC Procedure

The RRC procedure includes system information, connection control, mobility

procedure, measurements, and direct transfer.

6.4.1 System Information

System information includes the Master Information Block (MIB) and a series of
System Information Blocks (SIBs).

 Master Information Block: defines the most important physical information of

the cells and is used to receive a further system information.

58
 Chapter 6 RRC

 System Information Block Type 1: assesses the related information of whether

the UE is allowed to access to a cell and defines the dispatch of other system
information blocks.

 System Information Block Type 2: includes common and shared channel

information.

 System Information Block Type 3: includes cell reselection information that is

mainly related to the service cells.

 System Information Block Type 4: includes cell reselection related service

frequency points and intra-frequency neighboring cell information.

 System Information Block Type 5: includes cell reselection related other E-

UTRA frequency points and inter-frequency neighboring cell information.

 System Information Block Type 6: includes cell reselection related UTRA

frequency points and UTRA neighboring cell information.

 System Information Block Type 7: includes cell reselection related GERAN

frequency points information.

 System Information Block Type 8: includes cell reselection related

CDMA2000 frequency points and CDMA2000 neighboring cell information.

 System Information Block Type 9: includes home eNodeB identifiers

(HNBID).

 System Information Block Type 10: includes ETWS primary notification.

 System Information Block Type 11: includes ETWS secondary notification.

 The MIB maps to the BCCH and BCH. The SI maps to the BCCH and DL-
SCH, and is identifies through the System Information RNTI (SI-RNTI). The
MIB uses a fixed dispatch cycle of 40 ms. The System Information Block
Type 1 uses a fixed dispatch cycle of 80 ms. The other SI dispatch cycle is not
fixed and indicated by the System Information Block Type 1.

59
LTE_FDD_eNB_E_10 LTE Overview

6.4.2 Connection Control

RRC connection control includes:

 Paging

 RRC connection establishment

 Initial security activation

 RRC connection reconfiguration

 Counter check

 RRC connection re-establishment

 RRC connection release

 Radio resource configuration

SRB addition/ modification

DRB release

SRB addition/ modification

MAC main reconfiguration

Semi-persistent scheduling reconfiguration

Physical channel reconfiguration

 Radio link failure related actions

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7 Core LTE Technologies

7.1 Duplex Mode

In addition to FDD and TDD duplex modes, the LTE system is expected to further
support the half-duplex FDD.

7.2 Multi-access Mode

OFDMA is employed as the multiplexing scheme in the LTE downlink systems.

Figure 7.2-1 Multiplexing Scheme in LTE Downlink Systems

Frequency
...
domain Time
Channel coding/ Subcarrier .. Add a domain
QAM modulation Serial –> . IFFT
interleaving/ ... mapping CP
（QPSK/16QAM/64QAM（ Parallel
scrambling

OFDM modulation

DFT-S-OFDM (also called SC-FDMA) is employed as the multiplexing scheme in the

LTE uplink systems.

Figure 7.2-2 Multiplexing Scheme in LTE Uplink Systems

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LTE_FDD_eNB_E_10 LTE Overview

Frequency
domain
Time domain
Time
Channel coding/ ...
QAM modulation Subcarrie Add a domain
interleaving/ DFT ... IFFT
（QPSK/16QAM/64QAM（ r mapping CP
scrambling
...

DFT-SOFDM modulation

7.3 Multi-antenna Technologies

Downlink multi-antenna transmission:

Multi-antenna transmission supports two or four antennas. The maximum number of

code words is 2 and is irrelevant of the number of antennas, but there is a fixed
mapping relationship between core words and layers. 错误！未找到引用源。 shows
the general relationship among code words, layers, and antenna ports.

Figure 7.3-1 Physical Channel Processing

code words layers antenna ports

Modulation Resource element OFDM signal

Scrambling mapper
mapper generation
Layer
Precoding
mapper
Modulation Resource element OFDM signal
Scrambling mapper
mapper generation

Multi-antenna technologies include the SDM and transmit diversity. The SDM
supports SU-MIMO and MU-MIMO. When a MIMO channel is solely assigned to a
single UE, this is called SU-MIMO. When MIMO data streams are spatially assigned
to different UEs, this is called MU-MIMO.

Uplink multi-antenna transmission:

The baseline antenna configuration for uplink MIMO is either SIMO 1X2 antenna

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 Chapter 7 Core LTE Technologies

configuration or MU-MIMO. To allow for MU-MIMO reception at the Node B,

allocation of the same time and frequency resource to several UEs, each of which
transmitting on a single antenna, is supported.

Closed-loop transmit diversity of adaptive antenna selection should be supported for

FDD (optional in UE).

7.4 Link Adaptation

Downlink adaptation:

Refer to the adaptive modulation and coding (AMC) that is applied with three
modulation schemes (QPSK, 16QAM, and 64QAM) and variable code rates.

Uplink adaptation:

Include three link adaptation techniques: 1) adaptive transmit bandwidth, 2) transmit

power control, and 3) adaptive modulation and channel code rate.

7.5 HARQ and ARQ

E-UTRAN provides ARQ and HARQ functionalities.

7.5.1 HARQ

The HARQ within the MAC sub-layer has the following characteristics:

 N-process Stop-And-Wait HARQ is used.

 The HARQ transmits and retransmits TBs.

In the downlink:

 Asynchronous adaptive HARQ

 PUSCH or PUCCH used for ACK/NACKS for DL (re-)transmissions

 PDCCH used to signal the HARQ process number and re-transmission or

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LTE_FDD_eNB_E_10 LTE Overview

transmission

 Adaptive re-transmissions scheduled through PDCCH

In the uplink:

 Synchronous HARQ

 Maximum number of re-transmissions configured per UE (instead of per radio

bearer)

 PHICH used to transmit ACK/NACKs for non-adaptive UL transmissions or

retransmissions

 HARQ operation in the 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, for example, performs transmission or 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 non-adaptive retransmission.

ACK: The UE does not perform any UL transmission or retransmission and

keeps the data in the HARQ buffer.

 Measurement gaps are of a higher priority than HARQ retransmissions:

Whenever H-ARQ retransmission collides with a measurement gap, the H-
ARQ retransmission does not occur.

7.5.2 ARQ

The ARQ within the RLC sub-layer has the following characteristics:

 The ARQ retransmits RLC SDUs or RLC PDUs (segments).

ARQ retransmissions are based on either RLC status reports or HARQ/ARQ

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 Chapter 7 Core LTE Technologies

interactions.

 The RLC must poll RLC status reports.

 Status reports can be triggered by upper layers.

7.5.3 HARQ/ARQ Interactions

If the HARQ transmitter detects a failed delivery of a TB — for example, maximum

retransmission limit is reached — the relevant transmitting ARQ entities are notified
and potential retransmissions and re-segmentation can be initiated.

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Appendix A Abbreviation

Abbreviation Full Name

3GPP 3rd Generation Partnership Project
BPSK Binary Phase Shift Keying
CAPEX Capital Expenditure
DFT Discrete Fourier Transform
DRX Discontinuous Reception
E-MBMS Evolved Multimedia Broadcast and Multicast Service
eNodeB Evolution Node B
E3G evolved 3G
EPC Evolved Packet Core
E-UTRA Evolved Universal Terrestrial Radio Access
HCR High Chip Rate
HeNB Home eNodeB
IASA Inter Access System Anchor
IFFT Inverse Discrete Fourier transform
LCR Low Chip Rate
LDPC low-density parity-check
LTE Long Term Evolution
MIMO Multiple Input Multiple Output
MME Mobile Management Entity
OFDM Orthogonal Frequency Division Multiplex
OPEX Operating Expenditure
PAPR Peak to Average Power Ratio
QAM QUADRATURE AMPLITUDE MODULATION
QoS Quality of Service
QPSK QUADRATURE PHASE SHIFT KEYING
RRC Radio Resource Control
SAE System Architecture Evolution
SC-FDMA Single Carrier – Frequency Division Multiple Access
SDM Spatial Division Multiple
S-GW Serving Gateway
TTI Transmission Time Interval

67
Appendix B Reference Document

SN Name
25.912 Feasibility study for evolved Universal Terrestrial Radio Access (UTRA) and
1
Universal Terrestrial Radio Access Network (UTRAN)
2 25.913 Requirements for Evolved UTRA (E-UTRA) and Evolved UTRAN (E-UTRAN)
36.300 Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal
3
Terrestrial Radio Access Network (E-UTRAN), Overall description
4 25.814 Physical layer aspects for evolved Universal Terrestrial Radio Access (UTRA)
5 36.211 Physical Channels and Modulation
6 36.212 Multiplexing and channel coding
7 36.213 Physical layer procedures
8 36.214 Physical layer – Measurements
9 36.302 Services provided by the physical layer
10 36.331 Radio Resource Control (RRC)
11 36.104 Base Station (BS) radio transmission and reception
12 36.321 Medium Access Control (MAC) protocol specification
23.401 General Packet Radio Service (GPRS) enhancements for Evolved Universal
13
Terrestrial Radio Access Network (E-UTRAN) access
14 23.203 Policy and charging control architecture

69