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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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Figures
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
viii
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Figures
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ix
Figures
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Figures
Figure 2-81 PRACH Configuration and Preamble Sequences Per Cell ........................................................ 2-65
Figure 2-82 PUSCH Mapping .................................................................................................................... 2-66
Figure 2-83 Multiplexing Control Signaling ............................................................................................... 2-66
Figure 2-84 Mapping to Physical Resource Blocks for PUCCH .................................................................. 2-67
Figure 2-85 FDD Timing ........................................................................................................................... 2-68
Figure 2-86 Example of TDD Configuration 2 ........................................................................................... 2-69
Figure 2-87 Uplink Reference Signals ........................................................................................................ 2-69
Figure 2-88 DRS Sequence Group Selection .............................................................................................. 2-70
Figure 2-89 Uplink Demodulation Reference Signal (Normal CP) .............................................................. 2-71
Figure 2-90 Uplink Demodulation Reference Signal (Extended CP) ........................................................... 2-71
Figure 2-91 Requirement for SRS .............................................................................................................. 2-72
Figure 2-92 Example of SRS Frequency Hopping ...................................................................................... 2-72
Figure 2-93 Example SRS Allocation ......................................................................................................... 2-73
Figure 2-94 PUCCH Format 1a and 1b (Normal CP) .................................................................................. 2-75
Figure 2-95 PUCCH Format 2 (Normal CP) ............................................................................................... 2-76
Figure 2-96 PUCCH Format 2 (Extended CP) ............................................................................................ 2-76
Figure 2-97 PUCCH Format 2a and 2b ACK/NACK Coding ...................................................................... 2-77
Figure 2-98 Overall Random Access Procedure .......................................................................................... 2-77
Figure 2-99 Random Access RRC Signaling Procedure .............................................................................. 2-78
Figure 2-100 PRACH Probing ................................................................................................................... 2-78
Figure 2-101 Allocating Preambles to Group A and Group B ...................................................................... 2-80
Figure 2-102 Random Access Response Window ....................................................................................... 2-81
Figure 2-103 MAC Random Access Response ........................................................................................... 2-81
Figure 2-104 Random Access - Assigned UL-SCH ..................................................................................... 2-82
Figure 2-105 MAC Contention Resolution ................................................................................................. 2-83
Figure 2-106 Uplink Power Control ........................................................................................................... 2-83
Figure 2-107 Paging Issues ........................................................................................................................ 2-85
Figure 2-108 System with DRX Reception of Paging ................................................................................. 2-86
Figure 2-109 ARQ Verses HARQ............................................................................................................... 2-87
Figure 2-110 Basic Concept of SAW .......................................................................................................... 2-88
Figure 2-111 HARQ Parallel Processes ...................................................................................................... 2-88
Figure 2-112 HARQ Methods .................................................................................................................... 2-88
Figure 2-113 Example of Redundancy Versions and Soft Bits ..................................................................... 2-89
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Figures
xii
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Figures
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Figures
xiv
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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 .................................................................................................. 2-4
Table 2-2 Downlink CP Parameters ............................................................................................................ 2-16
Table 2-3 Type 2 Radio Frame Switching Points ......................................................................................... 2-17
Table 2-4 Layer Mapper Configuration....................................................................................................... 2-21
Table 2-5 Codeword to Layer Mapping for Spatial Multiplexing ................................................................. 2-21
Table 2-6 Codeword to Layer Mapping for Transmit Diversity ................................................................... 2-22
Table 2-7 Codebook for Transmission for Two Antenna Ports ..................................................................... 2-24
Table 2-8 Downlink PRB Parameters ......................................................................................................... 2-27
Table 2-9 Example of SSS Indices.............................................................................................................. 2-29
Table 2-10 CFI Mapping ............................................................................................................................ 2-35
Table 2-11 CFI Codewords......................................................................................................................... 2-36
Table 2-12 DCI Formats............................................................................................................................. 2-41
Table 2-13 DCI Ambiguous Sizes of Information Bits ................................................................................ 2-42
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Tables
Table 2-14 Precoding Information Field for 4 Antenna Ports (Open Loop) .................................................. 2-45
Table 2-15 Cell Selection Parameters ......................................................................................................... 2-56
Table 2-16 SC-FDMA verses OFDMA ....................................................................................................... 2-60
Table 2-17 Random Access Preamble Parameters ....................................................................................... 2-62
Table 2-18 PRACH Configuration Index .................................................................................................... 2-64
Table 2-19 K Values for TDD Configurations .......................................................................................... 2-68
Table 2-20 PUCCH Formats ...................................................................................................................... 2-74
Table 2-21 Parameters for Random Access ................................................................................................. 2-79
Table 2-22 FDD Subframe Patterns ............................................................................................................ 2-86
Table 2-23 TDD Subframe Patterns ............................................................................................................ 2-87
Table 2-24 TDD HARQ Processes ............................................................................................................. 2-90
Table 2-25 UL HARQ Operation ................................................................................................................ 2-91
Table 2-26 Codebook Precoding................................................................................................................. 2-96
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
1G (First
Generation)
2G (Second
Generation)
3G (Third
Generation)
4G (Fourth
Generation)
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.
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.
1-2
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.
2G (Second
Generation)
GSM
Other
cdmaOne
(IS-95)
D-AM PS
(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.
Service
Theoretical 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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1-3
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
1-4
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.
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UM TS
WCDM A
3G (Third
Generation)
UM TS
TD-CDM A
WiM AX
CDM A2000
TD-SCDM A
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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1-5
4G (Fourth
Generation)
LTE
Advanced
UM B
(EV-DO Rev C)
WiM AX
802.16m
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.
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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:
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).
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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1-7
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.
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
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.
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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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.
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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1-9
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.
Radio Interface
Techniques
FDM A
OFDM A
TDM A
CDM A
1-10
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Power
Time
FDM A
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.
Power
Time
TDM A
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.
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1-11
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
CDM A
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.
Time
Power
OFDM A
Each user allocated a
different resource
which can vary in
time and frequency.
Frequency
1-12
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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.
Downlink
and Uplink
Downlink
TDD Frame
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Frequency
TDD
Asymmetric
Allocation
Uplink
Downlink
Uplink
Time
TDD Frame
1-13
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
900
890.0 - 915.0
935.0 - 960.0
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.
1-14
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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
Issue 01 (2010-05-01)
1-15
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
Band I (WCDMA 2100) - This is mainly used in Europe, Africa, Asia, Australia, New
Zealand and Brazil.
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.
1-16
Issue 01 (2010-05-01)
Band II
(WCDM A
1900)
Band I
(WCDM A
2100)
Band IV
(WCDM A
1700)
M ain UM TS
Deployments
Band V
(WCDM A
850)
Band VIII
(WCDM A
900)
Issue 01 (2010-05-01)
1-17
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
1-18
Issue 01 (2010-05-01)
eNB
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
Issue 01 (2010-05-01)
(FDL - FDL_low )
0.1
+ NOffs-DL
(2127.4 - 2110)
+ 0 = 174
0.1
1-19
Channel Coding.
Rate Matching.
Transport Block
MAC Layer
PHY Layer
Rate Matching
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.
1-20
Issue 01 (2010-05-01)
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
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.
Issue 01 (2010-05-01)
1-21
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 b 0 , 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).
1-22
Issue 01 (2010-05-01)
Repetition Coding
Block 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
1/3
DL-SCH
UL-SCH
PCH
MCH
BCH
Coding Method
Rate
DCI
1/3
CFI
Block Code
1/16
HI
Repetition Code
1/3
UCI
Block Code
Variable
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 .
Issue 01 (2010-05-01)
1-23
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
<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 .
1-24
Issue 01 (2010-05-01)
Shift
Registers
DCBA
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
Issue 01 (2010-05-01)
10
01
11
1-25
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.
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.
1-26
Issue 01 (2010-05-01)
Table 1-11 Standard Convolutional Coding Verses Tail Biting Convolutional Coding
Standard Convolutional Coding
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
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.
Issue 01 (2010-05-01)
1-27
Systematic
Bits
xk
ck
Turbo Code
Internal
Interleaver
zk
Parity
Bits
x k
Parity
Bits
c k
z k
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.
1-28
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
ek
Issue 01 (2010-05-01)
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
32
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.
4200bits
3840bits
4224bits
Channel Coding
Channel Coding
Rate Matching
Rate Matching
Code Block Concatenation
ek
ek
fk
Issue 01 (2010-05-01)
1-29
SC-FDMA (Single Carrier - Frequency Division Multiple Access) used on the uplink.
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.
Guard Band
Subcarrier
Frequency
Channel
Bandwidth
1-30
Issue 01 (2010-05-01)
FDM systems are not that spectrally efficient (when compared to other systems) since
multiple subcarrier guard bands are required.
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.
Subcarrier
Modulation
Coded
Bits
Serial
to
Parallel
Inverse Fast
Fourier
Transform
IFFT
RF
Complex
Waveform
Issue 01 (2010-05-01)
1-31
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
FFT Size
Subcarrier
Bandwidth
Sampling Rate
1.4MHz
128
1.92MHz
3MHz
256
3.84MHz
5MHz
512
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.
Issue 01 (2010-05-01)
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).
Amplitude
Peak
Average
Time
Issue 01 (2010-05-01)
1-33
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.
1-34
Issue 01 (2010-05-01)
Frequency
CP
CP
CP
CP
CP
CP
CP
CP
CP
CP
CP
CP
Cyclic Prefix
Time
T(g)
LTE has two defined Cyclic Prefix sizes, normal and extended. The extended Cyclic Prefix is designed
for larger cells.
OFDM is almost completely resistant to multi-path interference due to very long symbol
duration.
higher spectral efficiency for wideband channels.
OFDM Disadvantages
OFDM also has some disadvantages:
Issue 01 (2010-05-01)
1-35
1-36
Issue 01 (2010-05-01)
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.
Issue 01 (2010-05-01)
2-1
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.
E-UTRA
Uu
UE
2-2
Issue 01 (2010-05-01)
NAS Control
Plane
E-UTRAN
EPC
S1-MME
UE
RRC
Control
Plane
MME
S11
eNB
S1-U
User
Plane
S5/S8
S-GW
PDN-GW
Control Plane
NAS Signaling
User Plane
RRC
NAS User - IP
PDCP
PDCP
RLC
RLC
MAC
MAC
PHY
PHY
UE
eNB
Issue 01 (2010-05-01)
2-3
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
eNB
Table 2-1 illustrates the main EMM and ESM LTE procedures.
Table 2-1 NAS EMM and ESM Procedures
EMM Procedures
ESM Procedures
Attach
Detach
Service Request
GUTI Reallocation
Authentication
Identification
EMM Status
ESM Status
EMM Information
NAS Transport
Paging
EMM Procedures
The key EMM procedures include:
2-4
Issue 01 (2010-05-01)
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.
Authentication - this is used for AKA (Authentication and Key Agreement) between the
user and the network.
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.
Issue 01 (2010-05-01)
2-5
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.
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.
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
2-6
Issue 01 (2010-05-01)
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
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.
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.
Issue 01 (2010-05-01)
2-7
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:
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 .
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
Channel Mapping and Multiplexing
Error Correction - HARQ
QoS Based Scheduling
PDCP
RLC
MAC
PHY
eNB
2-8
Issue 01 (2010-05-01)
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
Logical
Channels
Transport
Channels
Physical
Channels
Radio
Channels
Issue 01 (2010-05-01)
2-9
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.
PCCH (Paging Control Channel) - This downlink channel is used by the eNB to send
paging information.
System Information
Messages
BCCH
PCCH
UE
2-10
Paging
Devices
eNB
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.
Issue 01 (2010-05-01)
UE
SRB 0
CCCH
SRB 0
CCCH
SRB 1
DCCH
SRB 2
DCCH
eNB
Low Priority
NAS Signaling
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).
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.
Issue 01 (2010-05-01)
2-11
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.
BCH
PCH
DL-SCH
UE
RACH
eNB
UL-SCH
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.
2-12
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.
Issue 01 (2010-05-01)
Radio
Channel
TDD
eNB
FDD
Radio
Channel
UE
UE
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
M AC Layer
Physical Layer
Issue 01 (2010-05-01)
DL-SCH
PHICH
PDCCH
PDSCH
2-13
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
M AC 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).
2-14
Issue 01 (2010-05-01)
Slot (0.5ms)
Subframe (1ms)
Tslot = 15360 x Ts
4
10 11 12 13 14 15 16 17 18 19
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.
Issue 01 (2010-05-01)
2-15
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
~ 5.208s
~ 1.562km
~ 4.688s
~ 1.406km
Normal Cyclic
Prefix
f = 15kHz
Extended Cyclic
Prefix
f = 15kHz
~16.67s
~ 5km
f = 7.5kHz
~ 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
0
160
2048
1
144
2048
2
144
2048
3
144
2048
4
144
2048
5
144
2048
6
144
2048
2-16
Issue 01 (2010-05-01)
GP (Guard Period)
DwPTS (Downlink
Pilot Time Slot)
3
UpPTS (Uplink
Pilot Time Slot)
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
Configuration
Switching
Point
Periodicity
Subframe Number
0
5ms
5ms
5ms
10ms
10ms
10ms
5ms
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.
Issue 01 (2010-05-01)
2-17
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.
2-18
Issue 01 (2010-05-01)
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
LSB
Scrambling
Code
Issue 01 (2010-05-01)
For PUSCH
2-19
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
64QAM
Q
2-20
101111
101101
100101
100111
000111
000101
001101
001111
101110
101100
100100
100110
000110
000100
001100
001110
101010
101000
100000
100010
000010
000000
001000
001010
101011
101001
100001
100011
000011
000001
001001
001011
-7
-5
-3
-1
111011
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
-7
Issue 01 (2010-05-01)
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
layer
x(i) x (0) (i) ... x ( 1) (i) , i 0,1,...,M symb
1 where is the number of layers and M symb
Single Antenna
For transmission on a single antenna port, a single layer is used, 1 , and the mapping is
layer
(0)
defined by x (0) (i) d (0) (i) with M symb
.
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
layer
( 0)
M symb
M symb
layer
( 0)
(1)
M symb
M symb
M symb
layer
Codeword to Layer Mapping i 0,1,...,M symb
1
Issue 01 (2010-05-01)
layer
(0)
M symb
M symb
2
2-21
layer
( 0)
(1)
M symb
M symb
M symb
2
layer
( 0)
(1)
M symb
M symb
2 M symb
2
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
Codeword to Layer Mapping i 0,1,...,M symb
1
layer
( 0)
M symb
M symb
2
( 0)
( 0)
4
if M symb
mod 4 0
M
layer
M symb
( 0)symb
(0)
( 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:
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.
2-22
Issue 01 (2010-05-01)
LTE Precoding
Single Antenna Port
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
y(i) ... y ( p) (i) ... , i 0,1,...,M symb
1 to be mapped onto resources on each of the antenna
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
(1)
y (2i) 1
Re x (i )
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
for i 0,1,...,M symb
.
1 with M symb
2M 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
Issue 01 (2010-05-01)
2-23
W (i )
y ( P 1) (i )
x ( 1) (i )
ap
ap
layer
where the precoding matrix W (i) is of size P and i 0,1,...,M symb
.
M symb
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
where the precoding matrix W (i) is of size P and i 0,1,...,M symb
.
M symb
1 , M symb
Compared to none CDD precoding, D(i) provides the CDD (Cyclic Delay Diversity)
diagonal matrix, whereas U uses a square matrix.
Number of layers
2
1 1 0
2 0 1
1 1
2 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.
2-24
Issue 01 (2010-05-01)
They are in the PRB (Physical Resource Blocks) assigned for transmission.
They are not used for transmission of PBCH, synchronization signals or reference
signals.
sl p t
DL RB
N DLN RB / 2
RB sc
k NRB Nsc / 2
j 2kf t NCP,lTs
p
ak ,l e
k 1
Issue 01 (2010-05-01)
2-25
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.
2-26
Issue 01 (2010-05-01)
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
f = 15kHz
f = 15kHz
f = 7.5kHz
NSymbDL
7
12
6
24
The uplink PRB configuration is similar; however the 7.5kHz option is not available.
Issue 01 (2010-05-01)
2-27
als
ion Sign
t
a
iz
n
o
hr
nk Sync
Dow nli
eNB
(1)
(2)
Ncell
ID = 3NID + NID
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
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
Radio Frame
Repeated in
slots 0 and 10
2-28
Issue 01 (2010-05-01)
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
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
Slots
Radio Frame
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
Issue 01 (2010-05-01)
67
11
101
14
18
135
21
26
2-29
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
s0(m0)
c1 and z1(m1)
c0
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.
UE Specific.
2-30
Issue 01 (2010-05-01)
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
Antenna Port 0
Issue 01 (2010-05-01)
R
R
Antenna Port 1
2-31
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.
0
1
2
3
x x
x x
Rx
Rx
x x
x R
x R
x x
Rx
Rx
x x
x x
x R
x x
x x
x R
x x
x x
Rx
Rx
x x
x R
x R
x x
Rx
Rx
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.
2-32
Issue 01 (2010-05-01)
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
Extended CP
R
R
R
R
R
R
R
R
R
R
R
R
R
R
Antenna Port 5
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.
Issue 01 (2010-05-01)
2-33
at ion)
t Inf orm
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.
2-34
Issue 01 (2010-05-01)
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 (N SCRB)
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.
Issue 01 (2010-05-01)
2-35
<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.
Frame - 10ms
0
Downlink
Control
Region
In TDD the control regions are only available on the downlink subframes and the DwPTS.
2-36
Issue 01 (2010-05-01)
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
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.
Issue 01 (2010-05-01)
2-37
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 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
There are two types of search spaces, namely common and UE specific. The common search
space corresponds to CCEs 0-15 at two levels:
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).
2-38
Issue 01 (2010-05-01)
Bandwidth.
PHICH configuration.
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
Issue 01 (2010-05-01)
2-39
Subframe
Extended
PHICH
5MHz (25 Resource Blocks)
Normal
PHICH
Subframe
PDSCH
Symbols
PDSCH
Symbol
Mapping
Reserved for
Control
2-40
Issue 01 (2010-05-01)
Usage
Scheduling of PUSCH
1A
1B
1C
1D
2A
3A
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.
Flag for format0/format1A differentiation - 1 bit, where value 0 indicates format 0 and
value 1 indicates format 1A.
Hopping flag.
Issue 01 (2010-05-01)
2-41
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.
Redundancy version.
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
2-42
Flag for format0/format1A differentiation - 1 bit, where value 0 indicates format 0 and
value 1 indicates format 1A.
Preamble Index.
Issue 01 (2010-05-01)
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.
Redundancy version.
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.
Redundancy version.
TPC command for PUCCH.
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.
Issue 01 (2010-05-01)
2-43
HARQ process number - the size of this varies depending on FDD or TDD mode.
Redundancy version.
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.
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.
2-44
Redundancy version.
Redundancy version.
Precoding information - This is either 3bits or 6bits depending on the number of antenna
ports.
Issue 01 (2010-05-01)
Bit field
mapped to
index
Message
Bit field
mapped
to index
Message
Reserved
Reserved
Reserved
TPC command number 1, TPC command number 2,, TPC command number N,
where:
N format0 ,
2
The parameter Lformat0 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 .
Issue 01 (2010-05-01)
TPC command number 1, TPC command number 2,, TPC command number M where M Lformat0 , and where Lformat0 is equal to the payload size of format 0
before CRC attachment.
Huawei Proprietary and Confidential
Copyright Huawei Technologies Co., Ltd
2-45
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).
Frame - 10ms
0
5MHz (25
Resource
Blocks)
PSS
SSS
PBCH
2-46
Issue 01 (2010-05-01)
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
eNB
eNB
eNB
The Physical Cell ID is able to be reused based on the cell and frequency reuse mechanism employed.
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.
Issue 01 (2010-05-01)
2-47
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 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
2-48
Device can
identify Cell ID
and frame timing
Issue 01 (2010-05-01)
Decode cell specific Reference Signals (since their location is based on the Physical Cell
ID).
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
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.
Issue 01 (2010-05-01)
2-49
NRB
Frame 0
2-50
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.
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.
Issue 01 (2010-05-01)
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.
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
9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 SFN
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.
Issue 01 (2010-05-01)
2-51
2-52
Issue 01 (2010-05-01)
Issue 01 (2010-05-01)
2-53
3G Visited
PLMN
PLMN selection
may be initiated
automatically or
manually
LTE Visited
PLMN
Node B
eNB
UE
LTE Home eNB
PLMN
2-54
Issue 01 (2010-05-01)
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.
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).
Issue 01 (2010-05-01)
2-55
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.
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
2-56
Parameter
Description
Srxlev
Qrxlevmeas
Qrxlevmin
Issue 01 (2010-05-01)
Qrxlevminoffset
Pcompensation
PUMAX
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.
Issue 01 (2010-05-01)
2-57
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.
2-58
Issue 01 (2010-05-01)
N symbols sequence
produces N subcarriers
DFT Output
First N Symbols
DFT
Modulated and
Coded Symbols
Second N Symbols
DFT
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
Issue 01 (2010-05-01)
2-59
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
SC-FDMA
OFDMA
Low PAPR
Performance
Uplink MIMO
2-60
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.
Issue 01 (2010-05-01)
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.
PRACH
PUSCH
PUCCH
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.
Issue 01 (2010-05-01)
2-61
UE - A
UE - B
eNB
UE - A
CP
UE - B
Sequence
CP
UE B delay
due to distance
Sequence
Allocated
Subframes
TSEQ
(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.
2-62
Issue 01 (2010-05-01)
Subframe 1ms
Subframe 1ms
Format 3
Format 2
Format 1
6
PRB
Format 0
CP
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 94
Resource Blocks)
RB 0
Issue 01 (2010-05-01)
2-63
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
2-64
Issue 01 (2010-05-01)
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 94)
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.
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.
Issue 01 (2010-05-01)
2-65
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.
Subframe
PUSCH Data
PUSCH Reference Signals
ACK/NACK
2-66
CQI/PMI
RI (Rank)
Issue 01 (2010-05-01)
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.
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.
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.
Issue 01 (2010-05-01)
2-67
PDCCH
Subframe
3
Subframe
4
Subframe
5
Subframe
6
Subframe
7
Subframe
8
Downlink
Subframe
6
Subframe
7
Subframe
8
FDD:
K=4
Subframe
3
Subframe
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
4*
6*
4*
6*
4
4
4
2-68
2
3
Issue 01 (2010-05-01)
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
Switch to
Downlink
SRS (Sounding Reference Signal) - This is not associated with transmission of PUSCH
or PUCCH.
DRS (Demodulation
Reference Signal)
Issue 01 (2010-05-01)
SRS (Sounding
Reference Signal)
2-69
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.
Sequence - Each group contains one sequence for each length up to 5PRB, and two
sequences for each length from 6PRB.
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.
2-70
Issue 01 (2010-05-01)
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
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
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
Issue 01 (2010-05-01)
2-71
Subframe
Subframe
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
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.
2-72
Issue 01 (2010-05-01)
SRS Transmission
There are various Sounding Reference Symbol parameters defined. Most are UE
semi-statically configurable by higher layers:
Transmission comb.
SRS configuration index ISRS for SRS periodicity and SRS subframe offset Toffset .
cs
Cyclic shift n SRS
.
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.
Issue 01 (2010-05-01)
2-73
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)
If a UE has a scheduling request or CQI to send, higher layer signaling configures the
resource.
2-74
Issue 01 (2010-05-01)
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:
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:
Issue 01 (2010-05-01)
2-75
The initialization of the scrambling sequence generator is the same as that of the
PUSCH.
No Orthogonal
Code Applied
Cyclically
shifted
length-12
sequence
CQI/PMI or RI
To Next
Slot
IFFT
IFFT
IFFT
IFFT
IFFT
CQI/PMI or RI + ACK/NACK
Cyclically
shifted
length-12
sequence
To Next
Slot
IFFT
IFFT
IFFT
IFFT
IFFT
2-76
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.
Issue 01 (2010-05-01)
1 or 2 bit
ACK/NACK
Cyclically
shifted
length-12
sequence
1st RS
To Next
Slot
IFFT
2nd RS
Slot (Normal CP)
No
Identify RACH
Preambles
Identify
PRACH
Format
Send
Preamble
Receive
Response
Yes
Send RRC
Connection
Request
Decode
Response
MAC
Connection
Resolution
SRB
Established
Issue 01 (2010-05-01)
2-77
eNB
UE
PRACH Preamble Sequence
RACH
UL-SCH
MAC
Contention
Resolution
DL-SCH
PRACH
Power
Control
Noise/
Interference
Scheduled Message
E.g. RRC Connection
Request
PDCCH
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
2-78
PRACH
PRACH
Issue 01 (2010-05-01)
Description
PRACH-ConfigInfo
ra-ResponseWindowSize
powerRampingStep
preambleTransMax
preambleInitialReceivedTargetPower
DELTA_PREAMBLE
maxHARQ-Msg3Tx
mac-ContentionResolutionTimer
numberOfRA-Preambles
sizeOfRA-PreamblesGroupA
messagePowerOffsetGroupB
messageSizeGroupA
ra-PreambleIndex
ra-PRACH-MaskIndex
Issue 01 (2010-05-01)
2-79
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
Group Utilization
For the first Msg3 (Higher Layer Message) the selection of group B is based on message size
and pathloss attributes:
For retransmissions the UE uses the same group as was used for the initial preamble
transmission attempt.
2-80
Issue 01 (2010-05-01)
+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.
eNB
UE
PRACH Preamble Sequence
MAC Scheduling Grant
Issue 01 (2010-05-01)
2-81
UL delay - 1bit.
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.
2-82
Issue 01 (2010-05-01)
UE
UL-SCH
Includes UE
Identity
eNB
eNB
UE
PCMAX - This is the configured UE transmitter power. It relates to either the maximum
allowed by the eNB or the UE power class.
Issue 01 (2010-05-01)
2-83
PO_PUSCH ( j ) - This parameter is the sum of various cell and UE specific parameters. It is
- 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:
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.
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
2-84
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).
Issue 01 (2010-05-01)
PCMAX - This is the configured UE transmitter power. It relates to either the maximum
allowed by the eNB or the UE power class.
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.
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.
Issue 01 (2010-05-01)
2-85
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.
T - This is a range of DRX values: 32, 64, 128, 256 radio frames. Note that shorter UE
specific values override T.
nB -This is defined as: 4T, 2T, T, T/2, T/4, T/8, T/16, T/32.
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
2-86
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
Issue 01 (2010-05-01)
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
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
Issue 01 (2010-05-01)
2-87
SAW (Stop
and Wait)
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
2-88
Incremental
Redundancy
Issue 01 (2010-05-01)
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
Reff. = 4/5
NACK
2nd
TX
Reff.=2/5
Reff. = 4/5
ACK
Issue 01 (2010-05-01)
2-89
8 HARQ Processes
eNB
UE
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
2-90
Synchronous HARQ.
Issue 01 (2010-05-01)
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:
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.
PDCCH seen by
the UE
UE behaviour
ACK or NACK
New Transmission
ACK or NACK
Retransmission
ACK
None
NACK
None
Non-adaptive retransmission.
Issue 01 (2010-05-01)
2-91
PDCCH+PDPSCH
Data
Subframe
3
Subframe
4
Subframe
5
Subframe
6
Subframe
7
Downlink
FDD:
K=4
Subframe
3
Subframe
4
Subframe
5
Subframe
8
Subframe
6
Subframe
7
Subframe
8
Uplink
ACK on PUCCH
or PUSCH
PHICH
Subframe
3
Subframe
4
Subframe
5
Subframe
6
Subframe
7
Subframe
8
Downlink
Subframe
7
Subframe
8
Uplink
4
: K=
FDD
Subframe
3
Subframe
4
Subframe
5
Subframe
6
PUSCH
2-92
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.
Issue 01 (2010-05-01)
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.
MU-MIMO
SU-MIMO
eNB
eNB
UE
Increases sector
capacity by allowing
users to share streams.
UE
UE
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:
Mode 3 - Transmit diversity or with Large Delays CDD (Cyclic Delay Diversity) is used.
Issue 01 (2010-05-01)
2-93
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).
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.
2-94
Issue 01 (2010-05-01)
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
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.
Issue 01 (2010-05-01)
2-95
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.
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
2
1 1 0
2 0 1
1 1
2 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.
2-96
Issue 01 (2010-05-01)
CQI
PM I
RI
Modulation
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
Issue 01 (2010-05-01)
2-97
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.
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).
2-98
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Issue 01 (2010-05-01)
2-99
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
Issue 01 (2010-05-01)
3-1
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
C
Users
Time
This is a simple example but it does highlight some of the fundamental concepts:
3-2
Issue 01 (2010-05-01)
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.
E-UTRAN
EPC
MME
UE
VoIP
PDN-GW
eNB
S-GW
UE
FTP
Issue 01 (2010-05-01)
Packet
Classifier
Packet
Scheduler
VoIP
FTP
VoIP
x5
FTP
X2
3-3
Frequency planning.
Cell size.
Power limitations.
Etc.
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
Minimum throughput
demands for
guaranteed service in
order of priority
3-4
Proportional Fair
Maximum throughput
demands (various
methods)
MAX C/I
Biased
Issue 01 (2010-05-01)
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.
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 .
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.
Issue 01 (2010-05-01)
Redundancy version.
3-5
Redundancy version.
Precoding information - This is either 3bits or 6bits depending on the number of antenna
ports.
Type 0
0 1 2 3 4 5 6
1 Bit
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.
Issue 01 (2010-05-01)
Type 1
0 1 2 3 4 5 6
Subset 0
P
P
p Bits
Subset p
P
9
14
10
5
0
7
2
11
12
11
RIV
13
TBS
Index
MCS
Index
I MCS
Modulation
Order
Qm
TBS
Index
I MCS
Modulation
Order
Qm
I TBS
16
15
17
15
18
16
19
17
Issue 01 (2010-05-01)
I TBS
3-7
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.
Scheduled
Punctured
16QAM
RV
TBS(s) Size
RV
3-8
TBS
size
Physical Bits
Issue 01 (2010-05-01)
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.
Issue 01 (2010-05-01)
3-9
Layer 3 RRM
Manager
Layer 3
Layer 2
Buffer Status
UE
MAC
HARQ
Link
Adaptation
Layer 2
Layer 1
Scheduler
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.
3-10
Issue 01 (2010-05-01)
PDSCH
Downlink
PDCCH
Mobile
Receives
Mobile
Sends
Dynamic
PUCCH
ACK/
NACK
Uplink
Issue 01 (2010-05-01)
3-11
PDSCH
Downlink
PDCCH
S
SemiPersistent
Mobile
Receives
Mobile
Sends
ACK/
NACK
PUCCH
Mobile
Sends
ACK/
NACK
Uplink
3-12
Issue 01 (2010-05-01)
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.
Issue 01 (2010-05-01)
4-1
Idle State
M obility
Active State
M obility
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.
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 Sintrasearch is not sent for the serving cell then the UE performs intra-frequency
measurements.
4-2
Issue 01 (2010-05-01)
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.
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.
Adds the sf-High parameter (from Speed dependent ScalingFactor for Qhyst) to Q hyst.
Adds the sf-Medium parameter (from Speed dependent ScalingFactor for Qhyst) to
Qhyst.
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.
Issue 01 (2010-05-01)
4-3
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.
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.
4-4
Issue 01 (2010-05-01)
RSRP
RSRP
Perform
Handover
Margin
eNB
Serving
eNB
Neighbor
UE
Measurements and
Reporting
Handover
Preparation
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.
Issue 01 (2010-05-01)
4-5
UE
message
figuration
n
o
c
e
R
n
ectio
RRC Conn
M easConfig
measObjectToRemoveList
measObjectId
measObject
reportConfigToRemoveList
reportConfigId
reportConfig
measIdToRemoveList
measGapConfig
s-Measure
timeToTrigger-SF
eNB
4-6
Issue 01 (2010-05-01)
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.
Event A3: Neighbor becomes the amount of offset better than the serving.
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
M easConfig
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.
Issue 01 (2010-05-01)
4-7
Threshold
eNB
Periodic
UE
Event Based
UE
Same frequency,
different bandwidth,
non gap assisted
Bandwidth
Fc
Bandwidth
Bandwidth
Fc
Bandwidth
Bandwidth
Fc
Bandwidth
Same frequency,
different bandwidth,
non gap assisted
4-8
Issue 01 (2010-05-01)
Different frequency,
overlapping
bandwidth, gap
assisted
Different frequency,
overlapping
bandwidth, gap
assisted
Bandwidth
Fc
Bandwidth
Bandwidth
Fc
Bandwidth
Bandwidth
Fc
Bandwidth
Different frequency,
no overlapping
bandwidth, gap
assisted
4.3.3 UE Measurements
There are various intra and inter system UE measurements.
Issue 01 (2010-05-01)
4-9
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.
4-10
Issue 01 (2010-05-01)
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)
Issue 01 (2010-05-01)
Glossary
5-1
5 Glossary
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)
5-2
Issue 01 (2010-05-01)
5 Glossary
Issue 01 (2010-05-01)
5-3
5 Glossary
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)
5-4
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Issue 01 (2010-05-01)
5 Glossary
5-5