Chapter 1 FDD-LTE Principle and Key Technology

Chapter1
FDD-LTE principle and key

technology
Contents
1 Overview ..................................................................................................................................................... 1
1.1 Background ....................................................................................................................................... 1
1.1.1 Mobile Communications Evolution ....................................................................................... 1
1.1.2 CDMA200 Evolution ............................................................................................................. 2
1.2 LTE Overview and Standard Development....................................................................................... 2
2 LTE Indexes and Requirements ................................................................................................................ 5
2.1 Overview ........................................................................................................................................... 5
2.2 Frequency Band Division.................................................................................................................. 5
2.3 Peak Data Rate .................................................................................................................................. 6
2.4 Control Plane Delay .......................................................................................................................... 7
2.5 User Plane Delay............................................................................................................................... 7
2.6 User Throughput ............................................................................................................................... 7
2.7 Spectrum Efficiency .......................................................................................................................... 8
2.8 Mobility............................................................................................................................................. 8
2.9 Coverage ........................................................................................................................................... 8
2.10 Spectrum Flexibility ........................................................................................................................ 9
2.11 Coexistence and Interoperability with Existing 3GPP Systems ...................................................... 9
2.12 Reducing CAPEX and OPEX ....................................................................................................... 10
3 LTE Architecture...................................................................................................................................... 11
3.1 System Architecture ........................................................................................................................ 11
3.2 Radio Protocol Architecture ............................................................................................................ 17
3.2.1 Control Plane Protocol Architecture .................................................................................... 17
3.2.2 User Plane Protocol Architecture ......................................................................................... 18

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3.3 S1 Interface and X2 Interface ..........................................................................................................18
3.3.1 S1 Interface ...........................................................................................................................18
3.3.2 X2 Interface ..........................................................................................................................22
4 Physical Layer ...........................................................................................................................................25
4.1 Frame Structure ...............................................................................................................................25
4.2 Physical Resources ..........................................................................................................................25
4.3 Physical Channels ............................................................................................................................27
4.4 Transport Channels ..........................................................................................................................28
4.5 Mapping Between Transport Channels and Physical Channels .......................................................30
4.6 Physical Signals ...............................................................................................................................31
4.7 Physical Layer Model ......................................................................................................................32
4.8 Physical Layer Procedures ...............................................................................................................34
4.8.1 Synchronization Procedures .................................................................................................34
4.8.2 Power Control .......................................................................................................................34
4.8.3 Random Access Procedures ..................................................................................................35
5 Layer 2 .......................................................................................................................................................37
5.1 MAC Sub-Layer ..............................................................................................................................38
5.1.1 MAC Functions ....................................................................................................................38
5.1.2 Logical Channels ..................................................................................................................39
5.1.3 Mapping Between Logical Channels and Transport Channels .............................................40
5.2 RLC Sub-Layer................................................................................................................................41
5.2.1 RLC Functions ......................................................................................................................41
5.2.2 PDU Structure .......................................................................................................................41
5.3 PDCP Sub-Layer..............................................................................................................................42
5.3.1 PDCP Functions ....................................................................................................................42
5.3.2 PDU Structure .......................................................................................................................43
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6 RRC ........................................................................................................................................................... 45
6.1 RRC Functions ................................................................................................................................ 45
6.2 RRC State........................................................................................................................................ 46
6.3 NAS State and the Relationship With the RRC State ..................................................................... 47
6.4 RRC Procedure ............................................................................................................................... 47
6.4.1 System Information .............................................................................................................. 47
6.4.2 RRC Connection Control ..................................................................................................... 49
7 Orthogonal Frequency Division Multiplexing (OFDM) ....................................................................... 51
7.1 Downlink OFDMA ......................................................................................................................... 51
7.1.1 Basic Principles of OFDM ................................................................................................... 51
7.1.2 OFDM Implementation Using IFFT/FFT Processing .......................................................... 53
7.1.3 Cyclic-Prefix Insertion ......................................................................................................... 55
7.1.4 LTE OFDM Parameters ....................................................................................................... 57
7.2 Uplink SC-FDMA ........................................................................................................................... 58
7.2.1 Basic Principles of DFTS-OFDM ........................................................................................ 58
7.2.2 LTE DFTS-OFDM Parameters ............................................................................................ 60
8 Multi-Antenna Techniques ...................................................................................................................... 62
8.1 Transmission Diversity ................................................................................................................... 62
8.1.1 Cyclic Delay Diversity ......................................................................................................... 62
8.1.2 Diversity by Means of Space-Time Coding ......................................................................... 63
8.1.3 Antenna Switched Diversity ................................................................................................. 65
8.2 Beam Forming................................................................................................................................. 66
8.3 Spatial Multiplexing ........................................................................................................................ 68
8.3.1 Multi-Codeword Transmission............................................................................................. 69
8.3.2 Pre-Coding ........................................................................................................................... 69
8.3.3 Combination with CDD ....................................................................................................... 70
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8.3.4 MU-MIMO ...........................................................................................................................71
8.4 Multi-Antenna Techniques for LTE .................................................................................................73
9 Link Adaptation ........................................................................................................................................75
9.1 Link Adaptation ...............................................................................................................................75
10 Fast Packet Scheduling...........................................................................................................................78
10.1 Fast Packet Scheduling ..................................................................................................................78
10.2 HARQ ............................................................................................................................................81
10.3 FEC, ARQ, and HARQ ..................................................................................................................81
10.4 Hybrid ARQ With Soft Combining ...............................................................................................87
11 Inter-Cell Interference Elimination .......................................................................................................90
11.1 Beam Forming at the Transmitter Side and IRC ............................................................................90
11.2 Inter-Cell Interference Coordination ..............................................................................................92
11.3 Power Control ................................................................................................................................94
11.4 Bit-Level Scrambling .....................................................................................................................94
Appendix A Abbreviation ............................................................................................................................97
Appendix B Reference Document ..............................................................................................................99
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Figure of Content
Figure 1.1-1 Development and Evolution of Wireless Communication Technologies ............................. 1

Figure 1.1-2 CDMA200 Evolution ......................................................................................................... 2
Figure 1.2-1 Organization and establishment stages of 3GPP standards .................................................. 2
Figure 2.1-1 LTE Indexes and Requirements ........................................................................................... 5
Figure 3.1-1 SAE/LTE Architecture ....................................................................................................... 11
Figure 3.1-2 E-UTRAN Architecture ..................................................................................................... 11
Figure 3.1-3 EPC/E-UTRAN Functional split ....................................................................................... 15
Figure 3.1-4 EPS Bearer ......................................................................................................................... 15
Figure 3.2-1 Control Plane Protocol Stack ............................................................................................. 17
Figure 3.2-2 User plane protocol stack ................................................................................................... 18
Figure 3.3-1 S1 interface control plane (eNodeB-MME) ....................................................................... 18
Figure 3.3-2 S1 interface user plane (eNodeB–S-GW) .......................................................................... 19
Figure 3.3-3 Initial Context Establishment (Blue Parts) in Idle-to-Active Procedure ............................ 21
Figure 3.3-4 X2 interface control plane .................................................................................................. 22
Figure 3.3-5 X2 interface user plane ...................................................................................................... 23
Figure 3.3-6 X2 Interface LOAD INDICATION message ..................................................................... 24
Figure 4.1-1 Frame structure 1 ............................................................................................................... 25
Figure 4.2-1 Physical Resource Structure of a Downlink Slot ............................................................... 26
Figure 4.2-2 Physical Resource Structure of an Uplink Slot .................................................................. 26
Figure 4.5-1 Mapping Between Downlink Transport Channels and Downlink Physical Channels ....... 30
Figure 4.5-2 Mapping Between Uplink Transport Channels and Uplink Physical Channels ................. 30
Figure 4.7-1 Physical Layer Model for DL-SCH Transmission ............................................................. 32
Figure 4.7-2 Physical Layer Model for BCH Transmission ................................................................... 32
Figure 4.7-3 Physical Layer Model for PCH Transmission .................................................................... 33
Figure 4.7-4 Physical Layer Model for MCH Transmission .................................................................. 33
Figure 4.7-5 Physical Layer Model for UL-SCH Transmission ............................................................. 34
Figure 4.8-1 Layer 2 Downlink Structure ............................................................................................... 37
Figure 4.8-2 Layer 2 Uplink Structure.................................................................................................... 37
Figure 5.1-1 Mapping Between Downlink Logical Channels and Transport Channels.......................... 40
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Figure 5.1-2 Mapping between uplink logical channels and transport channels .....................................40
Figure 5.2-1 RLC PDU Structure ............................................................................................................42
Figure 5.3-1 PDCP PDU Structure ..........................................................................................................43
Figure 7.1-1 Orthogonal Subcarriers ........................................................................................................51
Figure 7.1-2 OFDM Modulator ................................................................................................................51
Figure 7.1-3 OFDM Subcarriers ..............................................................................................................52
Figure 7.1-4 basic principle of Modulation .............................................................................................52
Figure 7.1-5 basic principle of OFDM demodulation ..............................................................................53
Figure 7.1-6 FFT processing ....................................................................................................................54
Figure 7.1-7 inter-symbol interference .....................................................................................................55
Figure 7.1-8 cyclic- prefix ........................................................................................................................56
Figure 7.2-1 Basic Principles of DFTS-OFDM .......................................................................................58
Figure 7.2-2 mapping from the DFT output to IDFT input ......................................................................59
Figure 7.2-3 transmitted spectrum in localized and distributed DFTS-OFDM ......................................60
Figure 8.1-1 delay diversity......................................................................................................................62
Figure 8.1-2 cyclic shift ...........................................................................................................................63
Figure 8.1-2 Space-Time Coding (STC) ..................................................................................................63
Figure 8.1-4 SFBC and CDD ...................................................................................................................64
Figure 8.1-5 SFBC ...................................................................................................................................65
Figure 8.1-5 TSTD and FSTD .................................................................................................................65
Figure 8.1-5 FSTD ..................................................................................................................................66
Figure 8.2-1 classical beam-forming, .......................................................................................................67
Figure 8.2-2 pre-coding-based beam-forming ..........................................................................................67
Figure 8.3-1 Multi-Codeword Transmission ............................................................................................69
Figure 8.3-2 Pre-Coding ...........................................................................................................................69
Figure 8.3-3 CDD delay is small ..............................................................................................................70
Figure 8.3-4 CDD delay is large...............................................................................................................71
Figure 8.3-5 Spatial Diversity Multiple Access (SDMA) .......................................................................72
Figure 8.3-6 SU-MIMO and MU-MIMO................................................................................................72
Figure 8.4-1 Multi-Antenna Techniques for LTE ....................................................................................73
Figure 9.1-1 Power control......................................................................................................................75
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Figure 9.1-2 Rate control ........................................................................................................................ 76
Figure 10.1-1 channel selective ............................................................................................................... 78
Figure 10.1-2 Packet Scheduling ............................................................................................................. 79
Figure 10.1-3 channel variations ............................................................................................................. 80
Figure 10.3-1 signal receiving time and signal processing time .............................................................. 82
Figure 10.3-2 different subframes ........................................................................................................... 84
Figure 10.3-3 HARQ ............................................................................................................................... 86
Figure 10.4-1 Chase Combining (CC) ..................................................................................................... 87
Figure 10.4-2 Incremental Redundancy (IR) ........................................................................................... 88
Figure 11.1-1 IRC .................................................................................................................................... 90
Figure 11.1-2 IRC in downlink ................................................................................................................ 91
Figure 11.1-3 IRC in uplink ..................................................................................................................... 92
Figure 11.2-1 Inter-Cell Interference Coordination ................................................................................. 93
Figure 11.2-2 power resource coordination method ............................................................................... 93
Figure 11.3-1 Power Control ................................................................................................................... 94
Figure 11.4-1 Bit-Level Scrambling ........................................................................................................ 94
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1 Overview
1.1 Background
1.1.1 Mobile Communications Evolution
The development history from 2G and 3G to 3.9 G is the development history from
low-speed voice services to high-speed multimedia services of mobile communications.
3GPP has been progressively perfected LTE R8 standard:
1. LTE R8 RAN1 was frozen in December, 2008.
2. LTE R8 RAN2, RAN3, and RAN4 were frozen in December, 2008.
3. LTE R8 standard was completed by March, 2009, implementing basic LTE

functions at the first commercial use of LTE systems.
Error! Reference source not found. shows the development and evolution of wireless
communication technologies.
Figure 1.1-1 Development and Evolution of Wireless Communication Technologies
1
LTE_FDD_eNB_E_10 LTE Overview
1.1.2 CDMA200 Evolution
CDMA One is a collection of all IS-95-based CDMA products. More specifically, IS-
95 is used as a standard for key technologies of all CDMA One-based products.
When CDMA2000 1x employs 1.25 MHz bandwidth, the highest rate on a single-
carrier reaches 307.2 kbit/s, the peak rate of 1xEV-DO Rev.0 reaches 2.4 Mbit/s in the
downlink, and the peak rate of Rev.A reaches 3.1 Mbit/s in the downlink.
Figure 1.1-2 CDMA200 Evolution
Downlink
100 Mbps
CDMA2000
1xEV-DO Rev. B
Eliminating
3 Mbps CDMA2000
1xEV-DO Rev. A Deploying
Developing
2 Mbps CDMA2000
1xEV-DO Rev. 0
1 Mbps
CDMA2000 1x
CDMA One
100 kbps 1 Mbps 10 Mbps 100 Mbps Uplink
1.2 LTE Overview and Standard Development

3GPP working groups started LTE standardization in December, 2004. LTE focuses on
the enhancement of UTRAN and UTRA.
The establishment of 3GPP standards can be divided into four stages: requirement
proposal, architecture establishment, detailed specifications, and testing and
verification.
3GPP works in workgroup mode and RAN1/2/3/4/5 workgroups are directly related to
LTE.
Figure 1.2-1 Organization and establishment stages of 3GPP standards

2
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3
2 LTE Indexes and Requirements
2.1 Overview
Peak data rate

DL: 100 Mbit/s
UL: 50 Mbit/s
Enhanced Delay reduced

cell CP: 100 ms
coverage UP: 5 ms
LTE
features
Enhanced Lower
spectrum OPEX and
efficiency CAPEX
Different
bandwidth
supported
Figure 2.1-1 LTE Indexes and Requirements
2.2 Frequency Band Division

Table 2.2-1 lists the E-UTRA frequency bands.
Table 2.2-1 E-UTRA frequency bands
E-UTRA Uplink (UL) operating band BS receive Downlink (DL) operating band BS Duplex
Operating UE transmit transmit UE receive Mode
Band
5
FUL_low – FUL_high FDL_low –
FDL_high
1 1920 MHz – 1980 MHz 2110 MHz – 2170 MHz FDD

5 824 MHz – 849 MHz 869 MHz – 894MHz FDD
9 1749.9 MHz – 1784.9 MHz 1844.9 MHz – 1879.9 MHz FDD
11 1427.9 MHz – 1452.9 MHz 1475.9 MHz – 1500.9 MHz FDD
…
...
33 1900 MHz – 1920 MHz 1900 MHz – 1920 MHz TDD
2.3 Peak Data Rate

According to 25.913,the instantaneous downlink peak rate reaches 100 Mbit/s (5 bit/s/Hz) at 20
MHz downlink spectrum band (two transmit antennas on the network side and two receive
antennas on the UE side).
The instantaneous uplink peak rate reaches 50 Mbit/s (2.5 bit/s/Hz) at 20 MHz uplink spectrum
band (one receive antenna on the UE side).
Wideband, MIMOs, and advanced modulation technologies are the key technologies to increase
the peak data rate. With 2*2 MIMO,20MHz bandwith, FDD-LTE peak data rate can reach to
6
75Mbps(Uplink)/150Mp(Downlink).
2.4 Control Plane Delay

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

Release 6, the transmission delay time of the control plane is shorter than 50 ms and
does not include the DRX interval.
Additionally, if the control plane operates at 5 MHz spectrum band, each cell is
expected to support 200 activated users. In the case of higher spectrum bands, each cell
is expected to support 400 activated users.
2.5 User Plane Delay

The user-plane delay is the unidirectional transmission time that a packet is transmitted
from the IP layer of a UE/RAN edge node to the IP layer of a RAN edge node/UE. The
RAN edge node indicates the interface nodes of the RAN and core network.
In the case of "zero loads" (a single user and a single data flow) and "small IP packets"
(only one IP header and no effective load), the user-plane delay is expected to be no
longer than 5 ms.
2.6 User Throughput

Downlink:
1. The user throughput per MHz at the Cumulative Distribution Function (CDF) of
5% must reach two to three times the throughput of R6 HSDPA.
2. The average user throughput per MHz must reach three to four times the
throughput of R6 HSDPA.
R6 HSDPA uses one transmitter and one receiver (1T1R) while LTE uses two
transmitters and two receivers (2T2R).
Uplink:
1. The user throughput per MHz at the CDF of 5% must reach two to three times
7
the throughput of R6 HSUPA.
2. The user throughput per MHz must reach two to three times the throughput of
R6 HSUPA.
R6 HSUPA uses 1T2R, and so does LTE.
2.7 Spectrum Efficiency

Downlink: On a network with effective load, the target LTE spectrum efficiency
(measured by the bit quantity per site, per Hz, and per second) is three to four times
more efficient than R6 HSDPA. R6 HSDPA uses 1T1R while LTE uses 2T2R.
Uplink: On a network with effective load, the target LTE spectrum efficiency
(measured by the bit quantity per site, per Hz, and per second) is two to three times
more efficient than R6 HSUPA. R6 HSUPA uses 1T2R, and so does LTE.
2.8 Mobility
E-UTRAN can provide optimum network performance for mobile users at the speed of
0–15 km/h, high performance services at the speed of 15–120 km/h, and cell network
services at the speed of 120–350 km/h (the speed even reaches 500 km/h at specified
bands).
Voice services and other real-time services provided in the R6 CS domain are
supported by PS domain on the E-UTRAN and all these services can reach or exceed
the quality of UTRAN services. The interruption time caused by handovers within the
E-UTRA system must be shorter than or equal to the handover time of the GERAN CS
domain.
In a special case where the moving speed exceeds 250 km/h (in a high-speed train), the
physical layer parameters of E-UTRAN must be set to be capable of protecting the
connections between users and networks at the highest speed of 350 km/h (the speed
even reaches 500 km/h at specified bands).
2.9 Coverage
The E-UTRA system must flexibly support all coverage scenarios on the basis of
reusing the current UTRAN sites and frequencies to meet the preceding performance
indexes such as the user throughput, spectrum efficiency, and mobility.
8
The performance requirements of the E-UTRA system within different coverage scope
are listed as follows:
1. Coverage radius within 5 km: The preceding performance indexes such as the
user throughput, spectrum efficiency, and mobility must be fully satisfied.
2. Coverage radius within 30 km: The throughput and spectrum efficiency are
allowed to slightly drop but within an acceptable range, and the mobility index
must be fully satisfied.
3. Maximum coverage radius: 100 km.
2.10 Spectrum Flexibility

On one hand, the spectrum flexibility allows deployment of E-UTRA at varied bands
including 1.4 MHz, 3 MHz, 5 MHz, 10 MHz, 15 MHz, and 20 MHz. The E-UTRA
supports paired and unpaired spectrums.
On the other hand, the spectrum flexibility allows consolidation of spectrum bands.
2.11 Coexistence and Interoperability with Existing 3GPP Systems

Interoperability requirements of the E-UTRA and 3GPP systems include but are not
limited to:
1. E-UTRAN and UTRAN/GERAN multi-mode terminals support

UTRAN/GERAN measurement and handover between E-UTRAN systems and
UTRAN/GERAN systems.
2. The E-UTRAN system supports inter-system measurement.
3. The handover interruption time between E-UTRAN and UTRAN must be

shorter than 300 ms for real-time services.
4. The handover interrupting time between E-UTRAN and UTRAN must be

shorter than 500 ms for non-real-time services.
5. The handover interruption time between E-UTRAN and GERAN must be

shorter than 300 ms for real-time services.
6. The handover interruption time between E-UTRAN and GERAN must be

shorter than 500 ms for non-real-time services.
9
7. Paging information of only one of the GERAN, UTRA, or E-UTRA systems

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

The flat system architecture and less intermediate nodes dramatically reduce the
equipment costs and maintenance costs.
10
3 LTE Architecture
3.1 System Architecture

As illustrated in the following figure, the EPC is made up of a control-plane node,
called MME (Mobility Management Entity), and two user-plane nodes, called S-GW
(Serving GW) and P-GW (Packet Data Network GW). In the non-roaming case, the S-
GW and P-GW functionalities are both located within one operator’s network and can
be implemented in a combined S-GW and P-GW node.
Figure 3.1-1 SAE/LTE Architecture
LTE adopts an OFDM-based air interface technology that is different from those of 2G
and 3G networks. LTE adopts flat network architecture within which E-UTRAN
contains only eNodeBs but not RNCs to optimize the traditional 3G network
architecture. LTE supports the functions of PDCP, RLC, MAC, and physical layer
protocols on the E-UTRA user plane and those of the RRC protocol on the control
plane. Error! Reference source not found. shows the E-UTRAN system architecture.
Figure 3.1-2 E-UTRAN Architecture

11
MME / S-GW MME / S-GW
S1
S1
S1
S1
X2 E-UTRAN
eNB X2 eNB
X2
eNB
eNodeBs are connected over an x2 interface and every eNodeB is connected to the
Evolved Packet Core (EPC) network over an S1 interface. The user plane of S1
interfaces terminates on the Serving-Gateway (S-GW) and the control plane of S1
interfaces terminates on the Mobile Management Entity (MME). The other ends of the
control plane and user plane terminate on the eNodeB. Functions of all NEs in the
preceding figure are listed as follows:
 eNodeB
Besides the original eNodeB functions, an LTE eNodeB undertakes most of

original RNC functions such as physical layer, MAC layer (including HARQ),
RLC layer (including ARQ functions), PDCP, RRC, scheduling, radio access
control, access mobility management, and radio resource management of
different cells.
An LTE eNodeB has the following functions:
Manages radio resources, for example, radio bearer control, radio access control,
connection mobility control, and dynamic resource assignment of uplink and
downlink (scheduling).
Compresses IP headers and encrypts user data streams.
Chooses the UE-attached MME when the MME routing information cannot be
known from the information provided for the UE.
12
Transmits routing data of user planes to the S-GW.
Schedules and transmits the paging information initiated by the MME.
Schedules and transmits the broadcast information initiated by the MME or

O&M.
Measures the mobility and scheduling information and performs measurement

reporting configuration.
Schedules and transmits the Earthquake and Tsunami Warning System (ETWS)
information initiated by the MME.
 MME
As the control core of the SAE, an MME implements such functions as user
access control, service bearer control, paging, and handover control.
The function of the MME is separated from that of the gateway. The structure of
separated control plane and user plane facilitates network deployment, single
technology evolution, and flexible capacity expansion.
NAS signaling
NAS signaling security
AS security control
Mobile signaling among 3GPP radio networks
The reachability of an UE in idle state (including the control and implementation

of paging signal re-transmission)
Tracking area list management
P-GW or S-GW selection
MME selection at the time of handover
SGSN selection at handover to 2G or 3GPP network
Roaming
Authentication
Bearer management, including dedicated bearer establishment
ETWS signal transmission
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 S-GW
As the anchor point at local eNodeB handover, the S-GW implements the
following functions: data transfer between the eNodeB and the public data
gateway, downlink packet buffer, and user-based billing.
Local mobile anchor points at eNodeB handover
Mobile anchor points among 3GPP systems.
Downlink packet buffering and initialization of network-triggered service

request procedure in the E-UTRAN idle mode
Lawful interception
Packet routing and forwarding
Transport-layer packet marking (uplink/downlink)
Accounting on user and QCI granularity for inter-operator charging.
Uplink/downlink charging per UE, PDN, or QCI
 PDN gateway (P-GW)
As the designated anchor point of the data bearer, the Public Data Network
Gateway (P-GW) has the following functions: packet forwarding, packet
resolving, lawful interception, service-based billing, QoS control, and
interconnection with non-3GPP networks.
Per-user packet filtering (for example, utilize deep packet inspection)
Lawful interception
IP address assignment of the UE
Transport-layer packet marking (downlink)
Uplink/downlink service level charging, gating, and rate enforcement
Aggregate Maximum Bit Rate (AMBR)-based downlink rate control
As shown in the preceding figure, the original Iu interface, Iub interface, and Iur
interface are replaced with the S1 interface and X2 interface in the new LTE
architecture.
Error! Reference source not found. shows the functional split between E-UTRAN
14
and EPC. Yellow boxes depict the logical nodes, white boxes depict the functional
entities of the control plane, and blue boxes depict the radio protocol layers.
Figure 3.1-3 EPC/E-UTRAN Functional split
An E-UTRA capable terminal is connected directly to E-UTRAN. However some parts

of the terminal control-plane protocol stack are also terminated in the EPC.
Similar to UMTS, the EPS supports a bearer concept (see Figure 3.1-3) for supporting
end-user data services. The EPS bearer (similar to a PDP context of previous 3GPP
releases) is defined between the User Equipment (UE) and the P-GW node in the EPC
(which provide the end users IP point of presence towards external networks). The EPS
bearer is further sub-divided into an E-UTRAN Radio Access Bearer (E-RAB), over
the radio interface and S1 interface between the UE and S-GW.
End-to-end services (for example, IP services) are multiplexed on different EPS bearers.
There is a many-to-one relation between end-to-end services and EPS bearers.
Figure 3.1-4 EPS Bearer
15
An UL TFT (Traffic Flow Template) in the UE binds an SDF (Service Data Flow) to an
EPS bearer in the uplink direction.
Multiple SDFs can be multiplexed onto the same EPS bearer by including multiple
uplink packet filters in the UL TFT.
A DL TFT in the PDN GW binds an SDF to an EPS bearer in the downlink direction.
Multiple SDFs can be multiplexed onto the same EPS bearer by including multiple
downlink packet filters in the DL TFT.
An E-RAB transports the packets of an EPS bearer between the UE and the EPC.
When an E-RAB exists, there is a one-to-one mapping between this E-RAB and an
EPS bearer.
A data radio bearer transports the packets of an EPS bearer between a UE and an eNB.
When a data radio bearer exists, there is a one-to-one mapping between this data radio
bearer and the EPS bearer/E-RAB.
An S1 bearer transports the packets of an E-RAB between an eNodeB and a Serving

GW.
An S5/S8 bearer transports the packets of an EPS bearer between a Serving GW and a
PDN GW.
A UE stores a mapping between an uplink packet filter and a data radio bearer to create
the binding between an SDF and a data radio bearer in the uplink.
A PDN GW stores a mapping between a downlink packet filter and an S5/S8a bearer to
16
create the binding between an SDF and an S5/S8a bearer in the downlink.
An eNB stores a one-to-one mapping between a data radio bearer and an S1 bearer to
create the binding between a data radio bearer and an S1 bearer in both the uplink and
downlink.
A Serving GW stores a one-to-one mapping between an S1 bearer and an S5/S8a bearer

to create the binding between an S1 bearer and an S5/S8a bearer in both the uplink and
downlink.
3.2 Radio Protocol Architecture
3.2.1 Control Plane Protocol Architecture
Error! Reference source not found. shows the control plane protocol architecture.
Figure 3.2-1 Control Plane Protocol Stack
UE eNB MME
NAS NAS
RRC RRC
PDCP PDCP
RLC RLC
MAC MAC
PHY PHY
The PDCP terminates at an eNodeB and implements functions such as control-plane

encryption and integrity protection.
The RLC and MAC terminate at an eNodeB on the network side and implement the
same functions on the user plane and control plane.
The RRC terminates at an eNodeB and implements such functions as broadcast, paging,
RRC connection management, RB control, mobility, and UE measurement reporting
and control.
17
The NAS terminates at an MME and implements such functions as EPS bearer
management, authentication, idle-mode EPS Connection Management (ECM), idle-
mode ECM paging, and security control.
3.2.2 User Plane Protocol Architecture
Error! Reference source not found. shows the user plane protocol architecture.
Figure 3.2-2 User plane protocol stack
UE eNB
PDCP PDCP
RLC RLC
MAC MAC
PHY PHY
The user-plane PDCP, RLC, and MAC terminate at an eNodeB and implement such
functions as header compression, encryption, scheduling, ARQ, and HARQ.
3.3 S1 Interface and X2 Interface

Different from those in 2G and 3G systems, S1 interface and X2 interface are newly
added in the LTE system.
3.3.1 S1 Interface
The S1 interface is defined as the interface between the E-UTRAN and EPC. The S1
interface contains two parts: the control-plane S1-MME interface and user-plane S1-U
interface. The S1-MME interface is defined as the interface between the eNodeB and
MME, and the S1-UE interface is defined as the interface between the eNodeB and S-
GW. Error! Reference source not found. and Error! Reference source not found.
show the protocol stack architecture of the S1-MME interface and S1-U interface.
Figure 3.3-1 S1 interface control plane (eNodeB-MME)
18
S1-AP
SCTP
IP
Data link layer
Physical layer
Figure 3.3-2 S1 interface user plane (eNodeB–S-GW)
User plane PDUs
GTP-U
UDP
IP
Data link layer
Physical layer
The S1 interface has the following acknowledged functions:
 E-RAB service management
Establishment, modification, and release
 UE mobility in ECM-CONNECTED state
Handover within the LTE system
Handover between the LTE system and the 3GPP system
19
 S1 paging
 NAS signaling transmission
 S1 interface management
Error indication
Reset
 Network sharing
 Roaming and area restriction
 NAS node selection
 Initial context establishment
 UE context modification
 MME load balance
 Location report
 ETWS message transmission
 Overload
 RAN information management
 The S1 interface has the following acknowledged signaling procedures:
 E-RAB signaling procedure
E-RAB establishment
E-RAB modification
MME-initiated E-RAB release
eNodeB-initiated E-RAB release
 Handover signaling procedure
Handover preparation
Resource assignment
Handover termination
Handover cancellation
20
 Paging
 NAS transmission procedure
Direct uplink transmission (initial UE message)
Direct uplink transmission (uplink NAS transmission)
Direct downlink transmission (downlink NAS transmission)
 Error indication procedure
eNodeB-initiated error indication
MME-initiated error indication
 Reset
eNodeB-initiated reset
MME-initiated reset
 Initial context establishment
 UE context modification
 S1 establishment
 eNodeB configuration update
 MME configuration update
 Location report
Location report control
Location report
Location report failure indication
 Overload startup
 Overload stop
 Write replacement alarm
 Directly transmitted information transfer
Error! Reference source not found. shows the S1 interface signaling procedure.
Figure 3.3-3 Initial Context Establishment (Blue Parts) in Idle-to-Active Procedure
21
UE eNB MME
Paging
Paging
Random Access Procedure
NAS: Service Request

S1-AP: INITIAL UE MESSAGE (FFS)
+ NAS: Service Request
+ eNB UE signalling connection ID
RRC: Radio Bearer Setup S1-AP: INITIAL CONTEXT SETUP REQUEST

(NAS Message) + (NAS message)
+ MME UE signalling connection ID
+ Security Context
+ UE Capability Information (FFS)
+ Bearer Setup (Serving SAE-GW TEID, QoS
profile)
RRC: Radio Bearer Setup Complete
S1-AP: INITIAL CONTEXT SETUP COMPLETE
+ eNB UE signalling connection ID
+ Bearer Setup Confirm (eNB TEID)
The similarities between S1 interface and X2 interface lie in the fact that S1-U and X2-
U adopt the same user-plane protocol to reduce protocol processing at eNodeB data
forward.
3.3.2 X2 Interface
The X2 interface is defined as the interface between eNodeBs. The X2 interface

contains two parts: the X2-CP and X2-U, where the X2-CP is the control plane
interface between eNodeBs and the X2-U is the user plane interface between eNodeBs.
Error! Reference source not found. and Error! Reference source not found. show
the protocol stack architecture of the X2-CP interface and X2-U interface.
Figure 3.3-4 X2 interface control plane
22
X2-AP
SCTP
IP
Data link layer
Physical layer
Figure 3.3-5 X2 interface user plane
User plane PDUs
GTP-U
UDP
IP
Data link layer
Physical layer
The X2-CP has the following functions:
 UE mobility in ECM-CONNECTED state within the LTE system
Context transfer from the source eNodeB to the target eNodeB
User plane channel control between the source eNodeB and the target eNodeB
Handover cancellation
 Uplink load management
23
 General X2 interface management and error processing
Error indication
The X2-CP interface has the following acknowledged signaling procedures:
 Handover preparation
 Handover cancellation
 UE context release
 Error indication
 Load management
The management of load among cells is implemented over the X2 interface.
Error! Reference source not found. shows that the LOAD INDICATOR message is
used for load state communication among eNodeBs.
Figure 3.3-6 X2 Interface LOAD INDICATION message
eNB eNB
[X2 AP] LOAD INDICATOR
24
4 Physical Layer
4.1 Frame Structure

The LTE system supports the following two radio frame structures:
 Structure 1: applicable to FDD mode.
 Structure 2: applicable to TDD mode.
Figure 4.1-1 shows the frame structure 1. Every 10 ms radio frame is divided into ten
sub-frames of fixed length. Each sub-frame contains two time slots each of which is
0.5 ms long.
#0 #1 #2 #18 #19
slot
Sub-frame
One radio frame = 10ms
Figure 4.1-1 Frame structure 1
For FDD, at every 10 ms, ten sub-frames can be used for downlink transmission and
another ten sub-frames can be used for uplink transmission. The uplink transmission
and downlink transmission are separated on the frequency domain.
4.2 Physical Resources

The minimum resource unit for uplink/downlink transmission in the LTE system is
called a Resource Element (RE).
At the time of data transmission, the LTE system consolidates uplink and downlink
time-frequency domain physical resources into Resource Blocks (RBs) for scheduling
and allocation.
Several REs constitute an RB. There are 12 consecutive sub-carriers on the frequency
domain and seven consecutive OFDM symbols (six symbols for Extended CP). That is,
the frequency domain width is 180 kHz and the time length is 0.5 ms.
25
the physical resource structure of downlink and uplink slots.
Figure 4.2-1 Physical Resource Structure of a Downlink Slot
One downlink slot Tslot
DL
N symb OFDM symbols
k  N RB N sc  1
DL RB
Resource
block resource
DL
N symb  N scRB
elements
subcarrier
subcarrier
Resource
s
(k , l )
element
 N scRB
s
N scRB
DL
N RB
k 0
l0 l  N symb
DL
1
Figure 4.2-2 Physical Resource Structure of an Uplink Slot
26
One uplink slot Tslot
UL
N symb SC-FDMA symbols
k  N RB N sc  1
UL RB
Resource
block resource
UL
N symb  N scRB
elements
subcarrier
subcarrier
Resource
s
(k , l )
element
 N scRB
s
N scRB
UL
N RB
k 0
l0 l UL
N symb 1
4.3 Physical Channels

The downlink physical channels contain the following:
1. Physical Broadcast Channel (PBCH)
The coded BCH transmission block maps to four sub-frames within a 40 ms

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

indicates the 40 ms timing.
27
With excellent-enough channels, every sub-frame that the PBCH is located can
separately decode signals.
2. Physical Control Format Indicator Channel (PCFICH)
Notifies the number of PDCCH-occupied OFDM marks to the UE.
Transmits the information in every sub-frame.
3. Physical Downlink Control Channel (PDCCH)
Notifies the resource assignment information of the PCH, DL-SCH, and DL-
SCH-related HARQ information to the UE.
Carries the uplink scheduling information.
4. Physical HARQ Indicator Channel (PHICH)
Carries the HARQ ACK/NACKs for uplink data transfer.
5. Physical Downlink Sharing Channel (PDSCH)
Carries the DL-SCH and PCH information.
6. Physical Multicast Channel (PMCH)
Carries the MCH information.
The uplink physical channels contain the following:
1. Physical Uplink Control Channel (PUCCH)
Carries HARQ ACK/NACKs for downlink data transfer.
Carries the scheduling request information.
Carries the CQI report information.
2. Physical Uplink Sharing Channel (PUSCH)
Carries the UL-SCH information.
3. Physical Random Access Channel (PRACH)
Carries the random access preamble.
4.4 Transport Channels

The downlink transport channels contain the following:
28
1. Broadcast Channel (BCH)
Fixed predefined transport format
Broadcast in the entire coverage area of the cell
2. Downlink Sharing Channel (DL-SCH)
Supports HARQ.
Implements dynamic link adaptation by varying the demodulation, coding mode,

and transmit power.
Supports broadcast in the entire cell.
Supports beamforming.
Supports dynamic or semi-static resource allocation.
Supports the UE Discontinuous Reception (DRX) to enable UE power saving.
Supports the MBMS transmission.
3. Paging Channel (PCH)
Supports the UE DRX to save power. (The network notifies the DRX period to
the UE.)
Broadcast in the entire coverage area of the cell.
Map to physical resources that can be used dynamically also for traffic or other
control channels.
4. Multicast Channel (MCH)
Broadcast in the entire coverage area of the cell.
Supports Multicast/Broadcast over Single Frequency Network (MBSFN)

combing of MBMS transmission on multiple cells.
Supports semi-static resource allocation.
The uplink transport channels contain the following:
1. Uplink Sharing Channel (UL-SCH)
Supports beamforming.
Implements dynamic link adaptation by varying the transmit power, potential
29
demodulation, and coding mode.
Supports HARQ.
Supports dynamic or semi-static resource allocation.
2. Random Access Channel (RACH)
Carries limited control information.
Collision risks.
4.5 Mapping Between Transport Channels and Physical Channels

the mapping relationships between downlink/uplink transport channels and
downlink/uplink physical channels.
Figure 4.5-1 Mapping Between Downlink Transport Channels and Downlink Physical
Channels
BCH MCH PCH DL-SCH

Downlink
Transport channels
Downlink
Physical channels
PBCH PMCH PDSCH PDCCH
Figure 4.5-2 Mapping Between Uplink Transport Channels and Uplink Physical
Channels
30
UL-SCH RACH
Uplink
Transport channels
Uplink
Physical channels
PUSCH PRACH PUCCH
4.6 Physical Signals

Physical signals correspond to several physical layer REs, but do not carry any
information that comes from higher layers.
The downlink physical signals include the reference signal and the synchronization
signal.
 Reference signal
The downlink reference signals include the following three types of reference
signals:
Cell-specific reference signals associated with non-MBSFN transmission
MBSFN reference signals associated with MBSFN transmission
UE-specific reference signals
 Synchronization signals
The synchronization signals include the following two types of signals:
Primary synchronization signal
Secondary synchronization signal
For FDD, the primary synchronization signal maps to the last OFDM symbol of
time slot 0 and time slot 10. The secondary synchronization signal maps to the
second last OFDM symbol of time slot 0 and time slot 10.
The uplink physical signals include the reference signals.
 Reference signals
31
The uplink reference signals include the following two types of signals:
Demodulation reference signals associated with PUSCH or PUCCH

transmission
Sounding reference signals not associated with PUSCH or PUCCH transmission
The demodulation reference signals and the sounding reference signals use the
same base sequence set.
4.7 Physical Layer Model

The following figures show the physical layer models of various types of channels.
Node Bs in all of the following figures are called eNodeBs in LTE.
Figure 4.7-1 Physical Layer Model for DL-SCH Transmission
Node B UE
Error
Channel-state N Transport blocks indications
information, etc. (dynamic size S1..., SN)
ACK/NACK ACK/NACK
HARQ HARQ info HARQ info HARQ
CRC
CRC
Redundancy for
CRC
error detection CRC
Coding + RM Redundancy for

Coding + RM
Coding + RM
MAC scheduler
Redundancy data detection Decoding + RM

version
Interl.
Interleaving Interl.
Deinterleaving
Modulation
scheme QPSK, 16QAM,
Data modulation Data modulation
Data modulation 64QAM Data demodulation
Resource/power
assignment RB mapping
Resource mapping RB mapping
Resource demapping
Antenna
mapping Multi-antenna
Antenna mapping processing Antenna demapping
Figure 4.7-2 Physical Layer Model for BCH Transmission
32
Node B UE
Error
Single Transport blocks indication
(fixed size S)
CRC CRC
Coding + RM Decoding + RM
Interleaving Deinterleaving
Data modulation QPSK only

Data demodulation
Resource mapping Resource demapping
Antenna mapping Antenna demapping
Figure 4.7-3 Physical Layer Model for PCH Transmission
Node B UE
Error
Single Transport blocks indication
(dynamic size S)
CRC CRC
Coding + RM
MAC scheduler
Decoding + RM
Interleaving Deinterleaving
Modulation
scheme
Data modulation Data demodulation
Resource/power
assignment
Resource mapping Resource demapping
Antenna
mapping
33
Figure 4.7-4 Physical Layer Model for MCH Transmission
Node B UE
Error
N Transport blocks indications
(dynamic size S1..., SN)
CRC
CRC CRC
CRC
Coding + RM Coding + RM
Coding + RM
MAC scheduler
Decoding + RM
Interl.
Interleaving Interl.
Deinterleaving
Modulation
scheme Data modulation
Data modulation Data modulation
Data demodulation
Resource/power
assignment RB mapping
Resource mapping RB mapping
Resource demapping
Antenna
mapping
Semi-static
configuration
Figure 4.7-5 Physical Layer Model for UL-SCH Transmission
Node BError UE
indications
Channel -state
information, etc.
ACK/NACK
HARQ HARQ info HARQ
ACK/NACK
CRC
CRC CRC Uplink transmission control
CRC
MAC scheduler Coding + RM

Decoding + RM Coding + RM
Coding + RM
Interl.
Deinterleaving Interl.
Interleaving
Modulation Modulation
scheme Data modulation scheme
Data demodulation Data
Datamodulation
modulation
Resource Resource/power
assignment RB mapping assignment
Resource demapping RB mapping
Resource mapping
Antenna
mapping
Antenna demapping
34
4.8 Physical Layer Procedures
4.8.1 Synchronization Procedures
 Cell search
Cell search is the procedure by which a UE acquires time and frequency

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

synchronization, and transmission timing adjustments.
4.8.2 Power Control
Power control determines the Energy Per Resource Element (EPRE). EPRE denotes the
energy prior to CP insertion. EPRE also denotes the average energy taken over all
constellation points for the applied modulation scheme. Uplink power control
determines the average power of one DFT-SOFDM symbol on a physical channel.
 Uplink power control
The uplink power control procedure controls the transmit power of different
uplink physical channels.
 Downlink power allocation
The eNodeB determines the downlink transmit energy per resource element.
4.8.3 Random Access Procedures
Prior to initiation of the non-synchronized physical random access procedure, the

physical layer should receive the following information from the higher layers:
1. Random access channel parameters (PRACH configuration, frequency position,

and preamble format).
2. Parameters for determining the root sequences and their cyclic shifts in the
preamble sequence set for the cell (index to root sequence table, cyclic shift
35
(Ncs), and set type (normal or high-speed set)).
From the physical layer perspective, the physical random access procedure
encompasses the transmission of random access preamble and random access response.
The remaining messages are scheduled for transmission by the higher layer on the
shared data channel and are not considered as a part of the L1 random access procedure.
The following steps are required for the physical random access procedure:
1. The physical layer procedure is triggered upon request of a preamble

transmission by higher layers.
2. A preamble index, preamble transmission power

(PREAMBLE_TRANSMISSION_POWER), associated RA-RNTI, and PRACH
resource are indicated by higher layers as part of the request.
3. Determine preamble transmit power: PPRACH = min{Pmax,

PREAMBLE_RECEIVED_TARGET_POWER + PL}, where, Pmax indicates the
maximum allowed power configured at higher layers, and PL indicates UE-
calculated downlink path loss.
4. A preamble sequence is then selected from the preamble sequence set through
the preamble index.
5. A single preamble transmission then occurs using the selected preamble

sequence with transmission power PREAMBLE_TRANSMISSION_POWER
on the indicated PRACH resource.
6. The associated PDCCH with RA-RNTI is detected in the random access

response window controlled by higher layers. If an associated PDCCH with RA-
RNTI is detected, then the corresponding PDSCH transport block is passed to
the higher layers. Higher layers resolve the transport block and indicate the 20-
bit UL-SCH grant to the physical layer.
36
5 Layer 2
Layer 2 consists of three sub-layers: PDCP, RLC, and MAC. Figure Error!
Reference source not found. and Figure Error! Reference source not found.Error!
Reference source not found. show Layer 2 downlink and uplink structures.
Figure 4.8-1 Layer 2 Downlink Structure
Radio Bearers
ROHC ROHC ROHC ROHC

PDCP
Security Security Security Security
Segm. Segm. Segm. Segm.

RLC ... ...
ARQ etc ARQ etc ARQ etc ARQ etc CCCH BCCH PCCH
Logical Channels
Scheduling / Priority Handling
MAC Multiplexing UE1 Multiplexing UEn
HARQ HARQ
Transport Channels
Figure 4.8-2 Layer 2 Uplink Structure
37
Radio Bearers
ROHC ROHC
PDCP
Security Security
Segm. Segm.
RLC ...
ARQ etc ARQ etc
CCCH
Logical Channels
Scheduling / Priority Handling
MAC Multiplexing
HARQ
Transport Channels
The connection points among sub-layers are known as the Service Access Points (SAP).
The service provided by PDCP is referred to as the radio bearer. The PDCP provides
the Robust Header Compression (ROHC) and security protection. The SAP between
the physical layer and MAC layer provides transport channels and that between the
MAC layer and RLC layer provides logical channels.
The MAC layer provides multiplexing and mapping of logical channels (radio bearer)
to transport channels (transport block).
Only one transport block is generated at each TTI (1 ms) in the uplink or downlink in
the case of non-MIMO.
5.1 MAC Sub-Layer
5.1.1 MAC Functions
The MAC sub-layer provides the following functions:
 Mapping between logical channels and transport channels
 MAC Service Data Unit (SDU) multiplexing/demultiplexing
38
 Scheduling information report
 Error correction through HARQ
 Logical channel prioritization of the same UE
 UE prioritization through dynamic scheduling
 Selection of transmission formats
 Padding
5.1.2 Logical Channels
The MAC layer provides different types of data transmission services. The type of each
logical channel is defined based on the type of transmitted data.
Logical channels are categorized into:
 Control channels: used to transfer data on the control plane.
 Traffic channels: used to transfer data on the user plane.
Control channels include:
 Broadcast Control Channel (BCCH).
This is a downlink channel which is used to broadcast System Information (SI)

and any Public Warning System (PWS) messages. In the RLC layer, it is
associated with a TM RLC entity.
 Paging Control Channel (PCCH).
The PCCH is a downlink channel used to transfer paging messages and system
information change notifications. The PCCH is used to page a UE when the UE
cell location is unknown to the network.
 Common Control Channel (CCCH).
This channel is used to deliver control information in both uplink and downlink
directions when there is no confirmed association between a UE and the eNodeB
– i.e. during connection establishment. In the RLC layer, it is associated with a
TM RLC entity.
 Multicast Control Channel (MCCH).
A point-to-multipoint downlink channel used for transmitting MBMS control
39
information from the network to the UE for one or several MTCHs. This
channel is only used for UEs that receive MBMS.
 Dedicated Control Channel (DCCH).
This channel is used to transmit dedicated control information relating to a

specific UE, in both uplink and downlink directions. It is used when a UE has an
RRC connection with eNodeB. In the RLC layer, it is associated with an AM
RLC entity
Traffic channels include:
 Dedicated Traffic Channel (DTCH).
This channel is used to transmit dedicated user data in both uplink and downlink
directions. In the RLC layer, it can be associated with either a UM RLC entity or
an AM RLC entity
 Multicast Traffic Channel (MTCH).
A point-to-multipoint downlink channel for transmitting traffic data from the

network to the UE. This channel is only used for UEs that receive MBMS.
5.1.3 Mapping Between Logical Channels and Transport Channels
the mapping between downlink and uplink logical channels and transport channels.
Figure 5.1-1 Mapping Between Downlink Logical Channels and Transport Channels
PCCH BCCH CCCH DCCH DTCH MCCH MTCH

Downlink
Logical channels
Downlink
Transport channels
PCH BCH DL-SCH MCH
Figure 5.1-2 Mapping between uplink logical channels and transport channels
40
CCCH DCCH DTCH

Uplink
Logical channels
Uplink
Transport channels
RACH UL-SCH
5.2 RLC Sub-Layer
5.2.1 RLC Functions
The RLC sub-layer provides the following functions:
 Transfer of upper layer PDUs
 Error Correction through ARQ (only for AM data transfer)
 Concatenation, segmentation, and reassembly of RLC SDUs (only for UM and

AM data transfer)
 Re-segmentation of RLC data PDUs (only for AM data transfer)
 In-sequence delivery of upper layer PDUs (only for UM and AM data transfer)
 Duplicate detection (only for UM and AM data transfer)
 Protocol error detection and recovery
 RLC SDU discard (only for UM and AM data transfer)
 RLC re-establishment
5.2.2 PDU Structure
Error! Reference source not found. shows the RLC PDU structure.
 The PDU sequence number carried by the RLC header is independent of the
SDU sequence number (that is, the PDCP sequence number).
 The red dotted lines in Error! Reference source not found. indicate
41
segmentation positions.
Figure 5.2-1 RLC PDU Structure
RLC SDU n n+1 n+2 n+3
... ...
RLC header RLC header
RLC PDU
5.3 PDCP Sub-Layer
5.3.1 PDCP Functions
The main services and functions of the PDCP sub-layer for the user plane include:
 Header compression and decompression: ROHC only
 Transfer of user data
 In-sequence delivery of upper layer PDUs at PDCP re-establishment procedure

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

for RLC AM
 Retransmission of PDCP SDUs at handover for RLC AM
 Ciphering and deciphering
 Timer-based SDU discard in uplink
 The main services and functions of the PDCP sublayer for the control plane
include:
 Ciphering and Integrity Protection
 Transfer of control plane data
42
5.3.2 PDU Structure
Error! Reference source not found. shows the PDCP PDU structure.
 PDCP PDU and PDCP header are octet-aligned.
 PDCP header can be either 1 or 2 bytes long.
Figure 5.3-1 PDCP PDU Structure
PDCP header PDCP SDU
PDCP PDU
43
6 RRC
6.1 RRC Functions

The main Functions of RRC include:
 Broadcast of system information related to the NASs
 Broadcast of system information related to the ASs
 Paging
 Establishment, retention, and release of RRC connection between UEs and E-

UTRANs, including:
- Allocation of temporary identifiers between UEs and E-UTRANs
- Configuration of the Signaling Radio Bearers (SRBs) for RRC

connection
- Low priority and high priority SRBs
 Security management including key management
 Establishment, configuration, retention, and release point-to-point RBs
 Mobility management, including:
- Measurement report and reporting control of the mobile UEs between

cells and between RATs.
- Handover
- UE cell selection and reselection. Cell selection and reselection control
- Context forwarding during handover
 MBMS notification
 Establishment, configuration, retention, and release of RBs for the MBMS
 QoS management
 UE measurement report and reporting control
 NAS direct transfer
45
6.2 RRC State

The RRC states include RRC_IDLE and RRC_CONNECTED
 RRC idle state (RRC_IDLE)
PLMN selection
DRX configured by NAS
System information broadcast
Paging
Cell reselection mobility
A unique identifier allocated to a UE within a Tracking Area (TA)
No RRC contexts stored in eNodeBs
 Connection state (RRC_CONNECTED)
The UE has an E-UTRAN-RRC connection.
The UE has a context in E-UTRAN.
The E-UTRAN knows the cell to which the UE belongs.
The network can transmit and receive data to/from the UEs.
Network-controlled mobility (handover).
Neighboring cell measurements.
PDCP/RLC/MAC features in RRC_CONNECTED state:
The UE can transmit and receive data to/from the networks.
The UE intercepts controlled signaling channels related to the shared data

channels to view that whether the UE is allocated any data on the shared data
channel.
The UE also reports channel quality information and feeds back information to
eNodeB.
The DRX cycle can be conformed according to the UE mobility level to save
UE power and enhance resource efficiency. This function is controlled by
eNodeB.
46
6.3 NAS State and the Relationship With the RRC State
The NAS state model can be described by the two-dimensional state model of the EPS
Mobility Management state (EMM) and the EPS Connection Management state.
 EMM state:
EMM-DEREGISTERED state
EMM-REGISTERED state
 ECM state:
ECM-IDLE state
ECM-CONNECTED state
Note: The EMM state and the ECM state are mutually independent.
The relationship between the NAS state and the RRC state is as follows:
 EMM-DEREGISTERED state + ECM-IDLE state  RRC_IDLE state
Mobility feature: PLMN selection
UE location: Unknown to the network.
 EMM-REGISTERED state + ECM-IDLE state  RRC_IDLE state
Mobility feature: Cell selection
UE location: Known to the network at TA level.
 EMM-REGISTERED state + ECM-CONNECTED state + RB Established 

RRC_CONNECTED state
Mobility feature: Handover
UE location: Known to the network at cell level.
6.4 RRC Procedure

The RRC procedure includes system information, connection control, mobility
procedure, measurements, and direct transfer.
6.4.1 System Information
System information includes the Master Information Block (MIB) and a series of
47
System Information Blocks (SIBs).
 Master Information Block: defines the most important physical information of

the cells and is used to receive a further system information.
 System Information Block Type 1: assesses the related information of whether

the UE is allowed to access to a cell and defines the dispatch of other system
information blocks.
 System Information Block Type 2: includes common and shared channel

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

mainly related to the service cells.
 System Information Block Type 4: includes cell reselection related service

frequency points and intra-frequency neighboring cell information.
 System Information Block Type 5: includes cell reselection related other E-

UTRA frequency points and inter-frequency neighboring cell information.
 System Information Block Type 6: includes cell reselection related UTRA

frequency points and UTRA neighboring cell information.
 System Information Block Type 7: includes cell reselection related GERAN

frequency points information.
 System Information Block Type 8: includes cell reselection related

CDMA2000 frequency points and CDMA2000 neighboring cell information.
 System Information Block Type 9: includes home eNodeB identifiers

(HNBID).
 System Information Block Type 10: includes ETWS primary notification.
 System Information Block Type 11: includes ETWS secondary notification.
 The MIB maps to the BCCH and BCH. The SI maps to the BCCH and DL-
SCH, and is identifies through the System Information RNTI (SI-RNTI). The
MIB uses a fixed dispatch cycle of 40 ms. The System Information Block Type
1 uses a fixed dispatch cycle of 80 ms. The other SI dispatch cycle is not fixed
and indicated by the System Information Block Type 1.
48
6.4.2 RRC Connection Control
RRC connection control includes:
 Paging
 RRC connection establishment
 Initial security activation
 RRC connection reconfiguration
 Counter check
 RRC connection re-establishment
 RRC connection release
 Radio resource configuration
 SRB addition/ modification
 DRB release
 SRB addition/ modification
 MAC main reconfiguration
 Semi-persistent scheduling reconfiguration
 Physical channel reconfiguration
 Radio link failure related actions
49
7 Orthogonal Frequency Division
Multiplexing (OFDM)
In the LTE system, the CP OFDM technology is used in the downlink direction while
the CP SC-FDMA technology is used in the uplink direction.
7.1 Downlink OFDMA
7.1.1 Basic Principles of OFDM
Transmission by means of OFDM can be seen as a kind of multi-carrier transmission.

Compared with the traditional multi-carrier transmission, more and narrower
orthogonal subcarriers are used for transmission, see the following figure.
Figure 7.1-1 Orthogonal Subcarriers
An illustrative description of a basic OFDM modulator is provided in the following

figure. It consists of a bank of Nc complex modulators, where each modulator
corresponds to one OFDM subcarrier.
Figure 7.1-2 OFDM Modulator
51
In complex baseband notation, a basic OFDM signal x(t) during the time interval mTu
≤ t < (m+1) Tu can thus be expressed as
Nc 1 Nc 1
xt    xk t   a m
k e j 2kft
k 0 k 0
where xk(t) is the kth modulated subcarrier with frequency fk = k · Δf and ak(m) is the, in
general complex, modulation symbol applied to the k th subcarrier during the m th
OFDM symbol interval, i.e. during the time interval mT u ≤ t < (m+1)Tu. OFDM
transmission is thus block based, implying that, during each OFDM symbol interval, Nc
modulation symbols are transmitted in parallel. The modulation symbols can be from
any modulation alphabet, such as QPSK, 16QAM, or 64QAM.
Figure 7.1-3 OFDM Subcarriers
Figure 7.1-4 basic principle of Modulation
52
The term Orthogonal Frequency Division Multiplex is due to the fact that two
modulated OFDM subcarriers xk1 and xk2 are mutually orthogonal over the time
interval mTu ≤ t < (m+1)Tu, i.e.
m1Tu m1Tu
 x t x t dt   a a e j 2k1ft e  j 2k2ft dt  0 k1  k2

* *
k1 k2 k1 k 2
mTu mTu
The following figure illustrates the basic principle of OFDM demodulation consisting
of a bank of correlators, one for each subcarrier.
Figure 7.1-5 basic principle of OFDM demodulation
7.1.2 OFDM Implementation Using IFFT/FFT Processing
OFDM allows for low-complexity implementation by means of computationally
53
efficient Fast Fourier Transform (FFT) processing.
To confirm this, consider a time-discrete (sampled) OFDM signal where it is assumed

that the sampling rate fs is a multiple of the subcarrier spacing Δf , i.e. fs = 1/Ts =
N · Δf. The parameter N should be chosen so that the sampling theorem [50] is
sufficiently fulfilled. As Nc · Δf can be seen as the nominal bandwidth of the OFDM
signal, this implies that N should exceed Nc with a sufficient margin.
With these assumptions, the time-discrete OFDM signal can be expressed as

Nc 1 Nc 1 N 1
xn  xnTs    ak e j 2kfnTs   ak e j 2kn / N   a'k e j 2kn / N
k 0 k 0 k 0
Where
a 0  k  Nc
a 'k   k
0 Nc  k  N
The index m on the modulation symbols, indicating the OFDM-symbol number, will be
ignored unless especially needed.
The sequence xn , i.e. the sampled OFDM signal, is the size- N Inverse Discrete Fourier
Transform (IDFT) of the block of modulation symbols a0 , a1 , … , aNc-1 extended with
zeros to length N. OFDM modulation can thus be implemented by means of IDFT
processing followed by digital-to-analog conversion, as illustrated in the following
figure. Especially, by selecting the IDFT size N equal to 2m for some integer m , the
OFDM modulation can be implemented by means of implementation-efficient radix-2
Inverse Fast Fourier Transform (IFFT) processing.
Similar to OFDM modulation, efficient FFT processing can be used for OFDM
demodulation, replacing the bank of Nc parallel demodulators of the above figure with
sampling with some sampling rate fs = 1/Ts, followed by a size-N DFT/FFT, as
illustrated in the following figure.
Figure 7.1-6 FFT processing
54
7.1.3 Cyclic-Prefix Insertion
In case of a time-dispersive channel the orthogonality between the subcarriers will, at

least partly, be lost. The reason for this loss of subcarrier orthogonality in case of a
time-dispersive channel is that, in this case, the demodulator correlation interval for
one path will overlap with the symbol boundary of a different path, as illustrated in the
following figure. Thus, the integration interval will not necessarily correspond to an
integer number of periods of complex exponentials of that path as the modulation
symbols ak may differ between consecutive symbol intervals. As a consequence, in
case of a time-dispersive channel there will not only be inter-symbol interference
within a subcarrier but also interference between subcarriers.
Figure 7.1-7 inter-symbol interference
55
To deal with this problem and to make an OFDM signal truly insensitive to time
dispersion on the radio channel, so-called cyclic-prefix insertion is typically used in
case of OFDM transmission. As illustrated in the following figure, cyclic-prefix
insertion implies that the last part of the OFDM symbol is copied and inserted at the
beginning of the OFDM symbol. Cyclic-prefix insertion thus increases the length of the
OFDM symbol from Tu to Tu + TCP , where TCP is the length of the cyclic prefix, with a
corresponding reduction in the OFDM symbol rate as a consequence.
As illustrated in the lower part of the following figure, if the correlation at the receiver
side is still only carried out over a time interval Tu = 1/Δf, subcarrier orthogonality will
then be preserved also in case of a time-dispersive channel, as long as the span of the
time dispersion is shorter than the cyclic- prefix length.
Figure 7.1-8 cyclic- prefix
In practice, cyclic-prefix insertion is carried out on the time-discrete output of the

transmitter IFFT. Cyclic-prefix insertion then implies that the last NCP samples of the
IFFT output block of length N is copied and inserted at the beginning of the block,
increasing the block length from N to N + NCP. At the receiver side, the corresponding
samples are discarded before OFDM demodulation by means of, for example,
56
DFT/FFT processing.
Cyclic-prefix insertion is beneficial in the sense that it makes an OFDM signal

insensitive to time dispersion as long as the span of the time dispersion does not exceed
the length of the cyclic prefix. The drawback of cyclic-prefix insertion is that only a
fraction Tu /(Tu + TCP) of the received signal power is actually utilized by the OFDM
demodulator, implying a corresponding power loss in the demodulation. In addition to
this power loss, cyclic-prefix insertion also implies a corresponding loss in terms of
bandwidth as the OFDM symbol rate is reduced without a corresponding reduction in
the overall signal bandwidth.
7.1.4 LTE OFDM Parameters
For OFDM transmission, the basic OFDM parameters are listed as follows:
Subcarrier spacing
f .
Number of subcarriers
N c . It works with  f to determine the transmission
bandwidth of OFDM signals.
TCP . It works with the subcarrier spacing f  1 / Tu to determine
Cyclic prefix length
theOFDM symbol time length
T  TCP  Tu .
For LTE downlink transmission, the basic OFDM parameters are listed as follows:
Subcarrier spacing: The following two types of subcarrier spacing are supported
f  15kHz , used for unicast and muticast transmissions.
f  7.5kHz , only used for MBSFN transmission for independent carriers.
N c . Different system bandwidths have different number of
subcarriers. The following table lists the number of subcarriers specified for LTE.
Channel
bandwidth 1.4 3 5 10 15 20
(MHz)
Number of
subcarriers 72 180 300 600 900 1200
( Nc )

TCP
: For
f  15kHz , two cyclic prefixes are supported:
common CP and extended CP, repectively used for different transmission environments.
57
For
f  7.5kHz , only the extended CP is supported. Meanwhile, to ensure that the
timeslot length is 0.5 ms, different OFDM symbols have different cyclic prefix lengths,
refer to the following table.
Configuration Cyclic Prefix Length N CP ,l
Common 160 for l  0

f  15 kHz
CP 144 for l  1,2,...,6
Extended f  15 kHz 512 for l  0,1,...,5
CP f  7.5 kHz 1024 for l  0,1,2
N CP ,l
Where represents the sample value contained in the cyclic prefix corresponding
to the Lth OFDM symbol in a timeslot.
7.2 Uplink SC-FDMA

SC-FDMA, namely DFTS-OFDM, is used as the uplink transmission scheme for LTE.
7.2.1 Basic Principles of DFTS-OFDM
The basic principle of DFTS-OFDM transmission is illustrated in the following figure.
A block of M modulation symbols from some modulation alphabet, e.g. QPSK or

16QAM, is first applied to a size-M DFT. The output of the DFT is then applied to
consecutive inputs (subcarriers) of an OFDM modulator where, in practice, the OFDM
modulator will be implemented as a size-N inverse DFT (IDFT) with N > M and where
the unused inputs of the IDFT are set to zero. Typically, the IDFT size N is selected as
N = 2n for some integer n to allow for the IDFT to be implemented by means of
computationally efficient radix-2 IFFT processing. Also similar to normal OFDM, a
cyclic prefix is preferable inserted for each transmitted block. The presence of a cyclic
prefix allows for straightforward low-complexity frequency-domain equalization at the
receiver side.
Figure 7.2-1 Basic Principles of DFTS-OFDM
58
If the DFT size M would equal the IDFT size N , the cascaded DFT/IDFT processing
would obviously completely cancel out each other. However, if M is smaller than N
and the remaining inputs to the IDFT are set to zero, the output of the IDFT will be a
signal with single-carrier properties, namely, a signal with low power variations, and
with a bandwidth that depends on M. More specifically, assuming a sampling rate fs at
the output of the IDFT, the nominal bandwidth of the transmitted signal will be
BW  M / N  f s . Thus, by varying the block size M, the instantaneous bandwidth of
the transmitted signal can be varied, allowing for flexible-bandwidth assignment.
To have a high degree of flexibility in the instantaneous bandwidth, given by the DFT
size M , it is typically not possible to ensure that M can be expressed as 2m for some
integer m. However, as long as M can be expressed as a product of relatively small
prime numbers, the DFT can still be implemented as relatively lowcomplexity non-
radix-2 FFT processing. As an example, a DFT size M = 144 can be implemented by
means of a combination of radix-2 and radix-3 FFT processing (144 = 32 · 24 ).
The following two methods can be used for mapping from the DFT output to IDFT
input:
 Localized DFTS-OFDM
 Distributed DFTS-OFDM
What has been illustrated in the following figure represents the two methods. Localized
DFTS-OFDM refers to the fact that the output of the DFT is mapped to consecutive
inputs of the OFDM modulator. Distributed DFTS-OFDM refers to the fact that the
output of the DFT is mapped to equidistant inputs of the OFDM modulator with zeros
inserted in between.
Figure 7.2-2 mapping from the DFT output to IDFT input
59
The following figure illustrates the basic structure of the transmitted spectrum in the
case of localized and distributed DFTS-OFDM, respectively. Although the spectrum of
the localized DFTS-OFDM signal clearly indicates a single-carrier transmission, this is
not as clearly seen from the spectrum of the distributed DFTS-OFDM signal. However,
it can be shown that a distributed DFTS-OFDM signal has similar power variations as
localized DFTS-OFDM. Actually, it can be shown that a distributed DFTS-OFDM
signal is equivalent to so-called Interleaved FDMA (IFDMA). The benefit of
distributed DFTS-OFDM, compared to localized DFTS-OFDM, is the possibility for
additional frequency diversity as even a low-rate distributed DFTS-OFDM signal
(small DFT size M can be spread over a potentially very large overall transmission
bandwidth.
Figure 7.2-3 transmitted spectrum in localized and distributed DFTS-OFDM
Distributed DFTS-OFDM is not used for signal transmission for LTE.
7.2.2 LTE DFTS-OFDM Parameters
Similar to OFDM, DFTS-OFDM has the following basic parameters:
60
Subcarrier spacing
f .
N c . It works with  f to determine the transmission
bandwidth of DFTS-OFDM signals.
TCP . It works with the subcarrier spacing f  1 / Tu to determine
the DFTS-OFDM symbol time length
T  TCP  Tu .
Channel
bandwidth 1.4 3 5 10 15 20
(MHz)
Number of
subcarriers 72 180 300 600 900 1200
( Nc )
For LTE uplink transmission, the basic DFTS-OFDM parameters are listed as follows:
Subcarrier spacing: Only one subcarrier spacing is supported, that is,

f  15kHz
N c . Different system bandwidths have different number of
subcarriers. The following table lists the nubmer of subcarriers specified for LTE.

TCP : Two cyclic prefixes are supported: common CP and extended
CP, repectively used for different transmission environments. Meanwhile, to ensure
that the timeslot length is 0.5 ms, different DFTS-OFDM symbols have different cyclic
prefix lengths, refer to the following table.
Configuration Cyclic Prefix Length N CP ,l
160 for l  0
Common CP
144 for l  1,2,...,6
Extended CP 512 for l  0,1,...,5
N CP ,l
Where represents the sample value contained in the cyclic prefix corresponding
to the Lth DFTS-OFDM symbol in a timeslot.
61
8 Multi-Antenna Techniques
8.1 Transmission Diversity
8.1.1 Cyclic Delay Diversity
If the channel in itself is not time dispersive, the availability of multiple transmit
antennas can be used to create artificial time dispersion or, equivalently, artificial
frequency selectivity by transmitting identical signals with different relative delays
from the different antennas. In this way, the antenna diversity, i.e. the fact that the
fading experienced by the different antennas have low mutual correlation, can be
transformed into frequency diversity.
The following figure illustrates the delay diversity for the special case of two transmit
antennas.
Figure 8.1-1 delay diversity
Delay diversity is in essence invisible to the mobile terminal, which will simply see a
single radio-channel subject to additional time dispersion. Delay diversity can thus
straightforwardly be introduced in an existing mobile-communication system without
requiring any specific support in a corresponding radio-interface standard.
Cyclic-Delay Diversity (CDD) is similar to delay diversity with the main difference
that cyclic-delay diversity operates block-wise and applies cyclic shifts , rather than
linear delays, to the different antennas (see the following figure). Thus cyclic-delay
diversity is applicable to block-based transmission schemes such as OFDM and DFTS-
OFDM.
In the case of OFDM transmission, a cyclic shift of the time-domain signal corresponds
62
to a frequency-dependent phase shift before OFDM modulation, as illustrated in the

following figure. Similar to delay diversity, this will create artificial frequency
selectivity as seen by the receiver.
Figure 8.1-2 cyclic shift
The advantage of CDD over DD is that the delay can be set flexibly, but it requires that
different antennas transmit mutual-orthogonal reference signals.
8.1.2 Diversity by Means of Space-Time Coding
The most famous Space-Time Coding (STC) for two antennas is Alamouti code. As
shown in the following figure, the modulation symbols are directly transmitted on the
first antenna. However, on the second antenna the order of the modulation symbols
within a pair is reversed. Furthermore, the modulation symbols are sign-reversed and
complexconjugated.
Figure 8.1-3 Space-Time Coding (STC)
63
STBC
Encoder
Space–frequency block coding (SFBC) is similar to space–time block coding, with the
difference that the encoding is carried out in the antenna/frequency domains rather than
in the antenna/time domains.
As shown in the following figure, it can be noted that the difference between SFBC and
two-antenna cyclic-delay diversity in essence lies in how the block of frequency-
domain modulation symbols are mapped to the second antenna. The benefits of SFBC
compared to CDD is that SFBC provides diversity on modulation-symbol level while
CDD, in case of OFDM, must rely on channel coding in combination with frequency-
domain interleaving to provide diversity.
Figure 8.1-4 SFBC and CDD
(a) SFBC (b) CDD
In case of two antenna ports, LTE transmit diversity is based on Space Frequency
64
Block Coding (SFBC). The SFBC transmission mode is illustrated as follows:
Figure 8.1-5 SFBC
Frequency
domain
f1 f2
TX1 S1 S2
TX2  S 2* S1*
In case of four antenna ports, LTE transmit diversity is based on a combination of

SFBC and Frequency Shift Transmit Diversity (FSTD).
8.1.3 Antenna Switched Diversity
The antenna switched diversity technique refers to that, when there are multiple
tranmitting antennas at the transmitter side, an antenna is selected for transmission
according to the time sequence or frequency sequence. If antennas are switched
according to time sequence, it is called Time Switched Transmit Diversity (TSTD). If
antennas are switched among subcarriers, it is called Frequency Switched Transmit
Diversity (FSTD). The following figure illustrates TSTD and FSTD.
Figure 8.1-6 TSTD and FSTD
Antenna1 Antenna2
Time
Frequency
Used subcarrier Idle subcarrier
(a) TSTD
65
Antenna1 Antenna2
Time
Frequency
Subcarrier used by antenna 1 Subcarrier used by antenna 2 Idle subcarrier
(b) FSTD
FSTD can be combined with SFBC to support the 4-transmitting-antenna transmission

diversity technique, see the following figure.
Figure 8.1-7 FSTD
Frequency
f1 f2 f3 f4 domain
TX1 S1 S2 0 0
TX2 0 0 S3 S4
TX3  S 2* S1* 0 0
TX4 0 0  S 4* S3*
8.2 Beam Forming

Beam forming falls into two categories: classical beam-forming (also called long-term
beam-forming) and precoding-based beam-forming (also called short-term beam-
forming).
High mutual antenna correlation typically implies an antenna configuration with a

small inter-antenna distance as illustrated in (a) in the following figure. In this case, the
channels between the different antennas and a specific receiver are essentially the same,
including the same radio-channel fading, except for a direction-dependent phase
66
difference. The overall transmission beam can then be steered in different directions by
applying different phase shifts to the signals to be transmitted on the different antennas,
as illustrated in (b) in the following figure.
To ensure the performance of traditional beam forming, a large number of antennas are
required. The overload of reference signals will be too large if orthogonal common
reference siganls are transmitted on each antenna. Therefore, traditional beam forming
is implemented through specific reference signals.
Figure 8.2-1 classical beam-forming,
Low mutual antenna correlation typically implies either a sufficiently large antenna
distance, as illustrated in the following figure, or different antenna polarization
directions. However, in contrast to classical beam-forming, the antenna weights should
now take general complex values, i.e. both the phase and the amplitude of the signals
to be transmitted on the different antennas can be adjusted. This reflects the fact that,
due to the low mutual antenna correlation, both the phase and the instantaneous gain of
the channels of each antenna may differ.
Figure 8.2-2 pre-coding-based beam-forming
67
A key difference between classical beam-forming, which assumes high mutual antenna
correlation, and pre-coding-based beam-forming, which assumes low mutual antenna
correlation, is that, in the later case, there is a need for more detailed channel
knowledge, including estimates of the instantaneous channel fading. Updates to the
pre-coding vector are thus typically done on a relatively short time scale to capture the
fading variations. As the adjustment of the pre-coder weights takes into account also
the instantaneous fading, including the instantaneous channel gain, fast beam-forming
according to the following figure also provides diversity against radio-channel fading.
The precoding-based beam forming is implemened through codebooks or non-

codebooks. Because the channels for uplink transmission and downlink transmission
differ greatly in FDD, codebooks are appropriate for the implementation of precoding-
based beam forming. In other words, a mobile terminal estimates downlink channels,
selects the beam forming weight for the next transmission from existing codebooks,
and feeds it back to the base station. Because uplink and downlink channels are
symmetric in TDD, uplink channel estimations can be directly used for calculating
downlink beam forming weights, thus codebooks are not required.
If precoding-based beam-forming is implemented based on codebooks, orthogonal

reference symbols must be transmitted on different transmitting antennas. If the
number of antennas is large, it may cause a large reference symbol overload. If
precoding-based beam-forming is implemented based on non-codebooks, specific
reference symbols are required, similar to the traditional beam forming.
At present, specific reference symbols for an antenna interface are supported in the
LTE system to implement single-stream beam forming.
8.3 Spatial Multiplexing

The spatial multiplexing for LTE provides the following features:
68
 Multi-codeword transmission
 Pre-coding
 Combination with CDD
 MU-MIMO
8.3.1 Multi-Codeword Transmission
Another non-linear approach to the demodulation of spatially multiplexed signals is to

apply Successive Interference Cancellation (SIC). Successive Interference Cancellation
is based on an assumption that the spatially multiplexed signals are separately coded
before the spatial multiplexing. This is often referred to as Multi-Codeword
transmission, in contrast to Single-Codeword transmission where the spatially
multiplexed signals are assumed to be jointly coded (see the following figure). It
should be understood that, also in the case of multi-codeword transmission, the data
may originate from the same source but then de-multiplexed into different signals to be
spatially multiplexed before channel coding.
Figure 8.3-1 Multi-Codeword Transmission
(a) Single-codeword transmission (b) Multi-codeword transmission
The maximum number of codewords supported by LTE is two.
8.3.2 Pre-Coding
Similar to pre-coding-based beam forming, pre-coding-based spatial multiplexing uses

a pre-coding matrix to perform linear weighting for multiple data streams before they
are transmitted, see the following figure.
Figure 8.3-2 Pre-Coding
69
The pre-coding-based spatial multiplexing can serve the following two purposes:
 In the case when the number of signals to be spatially multiplexed equals the
number of transmit antennas (NL = NT), the pre-coding can be used to
orthogonalize the parallel transmissions, allowing for improved signal isolation at
the receiver side.
 In the case when the number signals to be spatially multiplexed is less than the
number of transmit antennas (NL < NT), the pre-coding also provides the
mapping of the NL spatially multiplexed signals to the NT transmit antennas
including the combination of spatially multiplexing and beam-forming.
8.3.3 Combination with CDD
Spatial multiplexing and CDD can be combined by the following two methods:
 If the CDD delay is small or is equal to 0, the transmitted signals are first pre-
coded, then CDD operations are performed on them, see the following figure
(signals transmitted through antenna 2 are used as an example):
Figure 8.3-3 CDD delay is small
70
x  DWa 1 0 
D  j 2 ki  
0 e 
Subcarrier number
Phase offset
corresponding to the symbol
corresponding to CDD
 a 2(1) a1(1)  b2(1) b1(1)  b2(1) b1(1)

Ant1
W D
 a ( 2)
2 a ( 2)
1  b ( 2)
2 b ( 2)
1  b2( 2) e  j 2 k2  b1( 2) e  j 2 k1 
Ant2
 When the CDD delay is large, CDD operations are performed on the transmitted
signals first, then the signals are pre-coded, see the following figure (signals
transmitted through antenna 2 are used as an example):
Figure 8.3-4 CDD delay is large
1 1  1 0 
x  WDUa U   D   0 e  j 2  i / 2 
1  1  
Sequence corresponding
to the symbol
 a 2(1) a1(1)  a2(1)  a2( 2) a1(1)  a1( 2)  x2(1) x1(1)

Ant1
DU W
 a ( 2)
2 a ( 2)
1  a (1)
2 a ( 2)
2 a ( 2)
1 a
(1)
1  x 2( 2 ) x1( 2 )
Ant2
8.3.4 MU-MIMO
The following figure illustrates downlink MU-MIMO. When a base station sends
multiple data streams occupying the same time-domain resource to the same user, it is
called Single-User MIMO (SU-MIMO) or spatial multiplexing (SDM). When a base
71
station sends multiple data streams occupying the same time-domain resource to
multiple users, it is called Multi-User MIMO (MU-MIMO) or Spatial Diversity
Multiple Access (SDMA).
Figure 8.3-5 Spatial Diversity Multiple Access (SDMA)
MU-MIMO can be implemented through two methods, and the difference between the
two lies in how to split spatial data streams.
With one method, data streams are split at the receiver side, multiple antennas ate the
receiver side are used to perform canceling or nulling on the interfering data streams to
split the data streams.
With the other method, ZF beam forming is used at the transmitter side, and spatial
data streams are split at the base station, which performs beam forming for specified
users according to the reported channel status information. It generates no interference
or very small interference on other users. Theoretically in this case, a mobile terminal
can work with only a single antenna.
Different from downlink MIMO, uplink MIMO is a virtural MIMO system. In other
words, each terminal sends a data stream, but two or more data streams occupy the
same time-domain resource. Therefore, these data streams, which come from different
terminals, are considered as data streams coming from antennas of the same terminal,
see the following figure.
Figure 8.3-6 SU-MIMO and MU-MIMO
72
(a) SU-MIMO (b) MU-MIMO
Compared with SU-MIMO, MU-MIMO gets the multi-user diversity gain. For SU-
MIMO, all MIMO signals come from antennas of the same terminal. For MU-MIMO,
the signals come from different terminals. Therefore, MU-MIMO achieves inter-
channel independency more easily than SU-MIMO.
8.4 Multi-Antenna Techniques for LTE

The LTE downlink multi-antenna technique is implemented through the following two
modules and a module (Antenna Port Mapper) not defined in the standard:
Figure 8.4-1 Multi-Antenna Techniques for LTE

Code words Layers Antenna Ports Antennas
a b c d
Layer Antenna Port

Pre-coding
Mapper Mapper
Layer Mapper: This module maps codewords to layers. In the case of single-antenna
transmission, transmission diversity, and beam forming, the number of layers is equal
to the number of antenna interfaces. In the case of spatial multiplexing transmission,
the number of layers is equal to the number of Ranks of spatial channels, namely, the
number of transport streams.
Pre-coding: This module maps layers to antenna interfaces. It also implements pre-
73
coding operations in spatial multiplexing and transmission diversity operations.
Antenna Port Mapper: This module maps antenna interfaces to physical antenna units.
The beam forming operations are implemented through this module.
In the uplink direction, only MU-MIMO is supported, in other words, the uplink
transmission on each terminal uses single-antenna transmission.
74
9 Link Adaptation
9.1 Link Adaptation

Mobile radio channels have a common characteristic that the instantaneous channel
conditions change quickly and the change may be very large. The radio link
transmission quality can be improved through channel-dependent scheduling and link
adaptation.
Link adaptation involves power control and rate control. Link adaptation by means of
rate control is sometimes also referred to as Adaptive Modulation and Coding (AMC).
Historically, dynamic transmit-power control has been used in CDMA-based mobile-

communication systems such as WCDMA and cdma2000 to compensate for variations
in the instantaneous channel conditions. As the name suggests, dynamic power control
dynamically adjusts the radio-link transmit power to compensate for variations and
differences in the instantaneous channel conditions.
The aim of these adjustments is to maintain a (near) constant Eb / N0 at the receiver to

successfully transmit data without a too high error probability. In principle, transmit-
power control increases the power at the transmitter when the radio link experiences
poor radio conditions (and vice versa). Thus, the transmit power is in essence inversely
proportional to the channel quality as illustrated in the following figure. This results in
a basically constant data rate, regardless of the channel variations. For services such as
circuit-switched voice, this is a desirable property.
Figure 9.1-1 Power control
75
(a) Power control
However, in many cases of mobile communication, especially in case of packetdata

traffic, there is not a strong need to provide a certain constant data rate over a radio link.
Rather, from a user perspective, the data rate provided over the radio interface should
simply be as high as possible. Actually, even in case of typical constant-rate services
such as voice and video, (short-term) variations in the data rate are often not an issue,
as long as the average data rate remains constant, assuming averaging over some
relatively short time interval. In such cases, that is when a constant data rate is not
required, an alternative to transmit power control is link adaptation by means of
dynamic rate control. Rate control does not aim at keeping the instantaneous radio-link
data rate constant, regardless of the instantaneous channel conditions. Instead, with rate
control, the data rate is dynamically adjusted to compensate for the varying channel
conditions.
In situations with advantageous channel conditions, the data rate is increased and vice
versa.
This is illustrated in the following figure.
Figure 9.1-2 Rate control
76
(b) Rate control
It can be shown that rate control is more efficient than power control. Rate control in
principle implies that the power amplifier is always transmitting at full power and
therefore efficiently utilized. Power control, on the other hand, results in the power
amplifier in most situations not being efficiently utilized as the transmission power is
less than its maximum.
However, it does not mean that power control is not useful. In non-orthogonal multi-
access modes (for example, CDMA), power control helps avoid interference among
users in a cell.
For LTE link adaptation,
 In the downlink direction, adaptive modulation and coding is supported.
 In the uplink direction, adaptive modulation and coding, power control, and
adaptive transmission bandwidth are supported, as described in Chapter 4.
In AMC, the resource block corresponding to a codeword of a user uses the same
modulation and coding method.
77
10 Fast Packet Scheduling
10.1 Fast Packet Scheduling
Scheduling controls the allocation of the shared resources among the users at each time
instant. The utilization of radio resources is maximized if, at each time instant, all
resources are assigned to the user with the best instantaneous channel condition.
Scheduling the user with the instantaneously best radio link conditions is often referred
to as max-C/I (or maximum rate) scheduling, see the following figure. Since the radio
conditions for the different radio links within a cell typically vary independently, at
each point in time there is almost always a radio link whose channel quality is near its
peak. Thus, the channel eventually used for transmission will typically have a high
quality and, with rate control, a correspondingly high data rate can be used. This
translates into a high system capacity. The gain obtained by transmitting to users with
favorable radio-link conditions is commonly known as multi-user diversity. The larger
the channel variations, the larger the number of users in a cell, and the larger the user
diversity is.
Figure 10.1-1 channel selective
Mathematically, the max-C/I (maximum rate) scheduler can be expressed as scheduling

user k given by
78
k  arg max Ri
i
A pure max-C/I-scheduling strategy may then, in essence, ‘starve’ the mobile terminals
with bad channel conditions, and the mobile terminals with bad channel conditions will
never be scheduled. This is illustrated in (a) in the following figure.
An alternative to the max-C/I scheduling strategy is so-called round-robin scheduling,

illustrated in (b) in the following figure. This scheduling strategy let the users take
turns in using the shared resources, without taking the instantaneous channel conditions
into account. Round-robin scheduling can be seen as fair scheduling in the sense that
the same amount of radio resources (the same amount of time) is given to each
communication link. However, round-robin scheduling is not fair in the sense of
providing the same service quality to all communication links. In that case, more radio
resources (more time) must be given to communication links with bad channel
conditions.
A practical scheduler, called Proportional-Fair (PF), is a trade-off between the max-C/I

scheduler and the round-robin scheduler, see (c) in the following figure. In this strategy,
the shared resources are assigned to the user with the relatively best radio-link
conditions, that is, at each time instant user k is selected for transmission according to
Ri
k  arg max
i Ri
where Ri is the instantaneous data rate for user i and Ri is the average data rate for user
i. The average is calculated over a certain averaging period TPF. To ensure efficient
usage of the short-term channel variations and, at the same time, limit the long-term
differences in service quality to an acceptable level, the time constant TPF should be set
longer than the time constant for the short-term variations. At the same time TPF should
be sufficiently short so that quality variations within the interval TPF are not strongly
noticed by a user. Typically, TPF can be set to be in the order of one second.
Figure 10.1-2 Packet Scheduling
79
(a) Max-C/I (b) RR (c) PF
Compared with the single-carrier CDMA system, LTE has, in addition to the time
domain, also access to the frequency domain to implement channel scheduling and rate
control, due to the use of OFDM in the downlink and DFTS-OFDM in the uplink.
Therefore, the scheduler can, for each frequency region, select the user with the best
channel conditions. In other words, scheduling in LTE can take channel variations into
account not only in the time domain, as HSPA, but also in the frequency domain. This
is illustrated in the following figure.
Figure 10.1-3 channel variations
80
Channel condition information of different bands is required at the base station side. In
the downlink direction, the information is acquired by measuring full-bandwidth public
reference signals, then, the information is quantified to Channel Quality Identity (CQI)
information and is reported to the base station. In the uplink direction, the information
is acquired by measuring Sounding Reference Signals (SRS).
10.2 HARQ
10.3 FEC, ARQ, and HARQ

The fast fading characteristics of radio channels can be used in channel scheduling and
rate control. However, signal transmission may fail due to some unexpected
interference. The Forward Error Correction (FEC) technique is used to solve the
problem. The basic principle beyond forward error-correcting coding is to introduce
redundancy in the transmitted signal. This is achieved by adding parity bits to the
information bits prior to transmission (alternatively, the transmission could consists of
parity bits alone, depending on the coding scheme used). The parity bits are computed
from the information bits using a method given by the coding structure used. Thus, the
81
number of bits transmitted over the channel is larger then the number of original
information bits and a certain amount of redundancy has been introduced in the
transmitted signal.
Another approach to handle transmissions errors is to use Automatic Repeat Request

(ARQ). In an ARQ scheme, the receiver uses an error-detecting code, typically a Cyclic
Redundancy Check (CRC), to detect if the received packet is in error or not. If no error
is detected in the received data packet, the received data is declared error-free and the
transmitter is notified by sending a positive acknowledgment (ACK). On the other
hand, if an error is detected, the receiver discards the received data and notifies the
transmitter via a return channel by sending a negative acknowledgment (NAK). In
response to a NAK, the transmitter retransmits the same information.
Virtually all modern communication systems, including WCDMA and cdma2000,

employ a combination of forward error-correcting coding and ARQ, a combination
known as hybrid ARQ. Hybrid ARQ uses forward error correcting codes to correct a
subset of all errors and rely on error detection to detect uncorrectable errors.
Erroneously received packets are discarded and the receiver requests retransmissions of
corrupted packets.
The hybrid ARQ protocol uses multiple stop-and-wait hybrid ARQ processes similar to
HS-DSCH. The motivation is to allow continuous transmission, which cannot be
achieved with a single stop-and-wait scheme, while at the same time having some of
the simplicity of a stop-and-wait protocol. The use of multiple parallel stop-and-wait
processes for the hybrid ARQ protocol has proven efficient for HSDPA and is used for
Enhanced Uplink for the same reasons – fast retransmission and high throughput
combined with low overhead of the ACK/NAK signaling. Upon reception of the single
transport block transmitted in a certain TTI and intended for a certain hybrid ARQ
process, the NodeB attempts to decode the set of bits and the outcome of the decoding
attempt, ACK or NAK, is signaled to the UE.
In the following figure, the FDD downlink transmission is used as an example.
RTT = 2*TP + 2*Tsf + TRX + TTX
Nproc = RTT / Tsf
If the signal receiving time and signal processing time are not considered, RTT = 2*TP.
Figure 10.3-1 signal receiving time and signal processing time
82
t=0 TRTT=Nproc·Tsf t ReTX
Tsf
data @ eNodeB 0 1
ACK/NAK @ eNodeB 0 1
TTX
Tp Tp
TRX
ACK/NAK @ UE 0 1 2 nAN
data @ UE 0
The following figure shows the uplink HARQ for FDD, where RTT = 2*TP + 2*Tsf +
TRX + TTX, and Nproc = RTT / Tsf.
ACK/NAK @ eNodeB 0 nAN
data @ eNodeB 0
TRX
Tp Tp
TTX
data @ UE 0
ACK/NAK @ UE
TRTT=Nproc·Tsf
t=0
For TDD, RTT is related to factors including transmission delay, receiving time,
processing time, timeslot ratio, and subframe position where the transmission is located.
The following figure uses downlink HARQ as an example. Assuming the processing
time at the base station side is 3*Tsf and the processing time at the mobile terminal side
is 3*Tsf - 2*TP,
 For data transmissions started from subframe 0, the RTTs and the number of
processes are different in the case of different timeslot ratios, see (a) and (b) in the
following figure.
83
 For data transmissions started from different subframes, the RTTs and the number
of processes are different in the case of the same timeslot ratio, see (a) and (c) in
the following figure.
Figure 10.3-2 different subframes
RTT = 10 * Tsf Nproc = 6
0 1 2 3 4 0 1 2 3 4 0
T/R
5*Tsf
TP TP
3*Tsf - 2*TP
0 1 2 3 4 0 1 2 3 4
T
0 1 2 3 4 0 1 2 3 4
(a) Subframe 0, DL:UL = 3:2
0 1 2 3 4 0 1 2 3 4
T/R
3*Tsf
TP TP
3*Tsf - 2*TP
0 1 2 3 4 0 1 2 3 4
T
0 1 2 3 4 0 1 2 3 4
(b) Subframe 0, DL:UL = 4:1
0 1 2 3 4 0 1 2 3 4 0 1 2
T/R
3 *Tsf
TP TP
6*Tsf - 2*TP
0 1 2 3 4 0 1 2 3 4
T
0 1 2 3 4 0 1 2 3 4
(c) Subframe 1, DL:UL =3:2
For a data transmission, the ACK/NACK messages are transmitted at a predefined time.
 Because data transmissions are continuous in any direction for FDD, the
ACK/NACK message for a transmission in any subframe can be sent at a
84
predefined time which has a specified time difference from the subframe. For
example, for a data transmission in downlink subframe n, the ACK/NACK
message can be transmitted in uplink subframe n+4.
 Because data transmissions are not continuous in any direction for TDD, the time
interval between an ACK/NACK message and the previous transmission cannot
be a fixed value. When to send an ACK/NACK message depends on factors
including timeslot ratio and subframe position.
See the following figure, assuming the processing time at the base station side is 3*Tsf,
the processing time at the mobile terminal side is 3*Tsf - 2*TP.
n+4
0 1 2 3 4 0 1 2 3 4
T
0 1 2 3 4 0 1 2 3 4
TP TP
3*Tsf - 2*TP
0 1 2 3 4 0 1 2 3 4
0 1 2 3 4 0 1 2 3 4
(a) FDD
n+4
0 1 2 3 4 0 1 2 3 4
T/R
TP TP
3*Tsf - 2*TP
0 1 2 3 4 0 1 2 3 4
0 1 2 3 4 0 1 2 3 4
(b) TDD, DL:UL = 3:2, subframe 0
85
n+7
0 1 2 3 4 0 1 2 3 4
T/R
TP TP
6*Tsf - 2*TP
0 1 2 3 4 0 1 2 3 4
0 1 2 3 4 0 1 2 3 4
(c) TDD, DL:UL = 3:2, subframe 1
If the retransmission occurs at a predefined time after the previous transmission, the
process number can be implicitly derived, and this is called synchronous HARQ
protocol. If the retransmission can occur at any time after the previous transmission,
the process number must be explicitly notified, and this is called asynchronous HARQ
protocol. In the LTE system, the asynchronous HARQ protocol is used in the downlink
direction while the synchronous HARQ protocol is used in the uplink direction. With
the synchronous HARQ protocol, the time interval between the initial transmission and
the retransmission is a predefined value rather than a fixed value. Therefore, different
RTTs can be selected for different timeslot ratios to reduce uplink trasnmission delay.
Figure 10.3-3 HARQ
HARQ falls into two categories: adaptive HARQ and non-adaptive HARQ. An
adaptive hybrid-ARQ protocol implies that the frequency location and possibly also the
more detailed transmission format can be changed between retransmissions. A non-
adaptive protocol , in contrast, implies that the retransmission must occur at the same
frequency resources and with the same transmission format as the initial transmission.
86
The handling of retransmissions, more specifically when to perform a retransmission,

is one of the major differences between the hybrid ARQ operation in the uplink and the
downlink (see the above figure). Adaptive HARQ is used in the downlink direction
while both adaptive and non-adaptive HARQ are supported in the uplink direction.
Non-adaptive HARQ can only be triggered by an NACK message carried on the
PHICH. Adaptive HARQ is implemented by PDCCH scheduling, in other words, if a
receiving error is detected by a base station, no NACK message is returned, instead, the
base station is free to schedule the retransmission to the UE at any time instant.
10.4 Hybrid ARQ With Soft Combining

The hybrid ARQ operation described above discards erroneously received packets and
requests retransmission. However, despite that the packets are not possible to decode,
they still contain some information, which is lost by discarding erroneously received
packets. This shortcoming is addressed by hybrid ARQ with soft combining. In hybrid
ARQ with soft combining, the erroneously received packets are stored in a buffer
memory and later combined with the retransmission to obtain a single, combined
packet which is more reliable than its constituents. Decoding of the error-correcting
code operates on the combined signals.
Hybrid ARQ with soft combining is categorized into Chase Combining (CC) and
Incremental Redundancy (IR), depending on whether the retransmitted bits are required
to be identical to the original transmission or not.
In CC, the retransmissions consist of the same set of coded bits as the original
transmission. After each retransmission, the receiver uses maximum-ratio combining to
combine each received channel bit with any previous transmissions of the same bit and
the combined signal is sent to the decoder. As each retransmission is an identical copy
of the original transmission, retransmissions with CC can be seen as additional
repetition coding. Therefore, as no new redundancy is transmitted, CC does not give
any additional coding gain but only increases the accumulated received Eb/N0 for each
retransmission, see the following figure.
Figure 10.4-1 Chase Combining (CC)
87
With IR, each retransmission does not have to be identical to the original transmission.
Instead, multiple sets of coded bits are generated, each of them representing the same
set of information bits. Whenever a retransmission is required, the retransmission
typically uses a different set of coded bits than the previous transmission. The receiver
combines the retransmission with previous transmission attempts of the same packet.
As the retransmission may contain additional parity bits, not included in the previous
transmission attempts, the resulting code rate is generally lowered by a retransmission.
Furthermore, each retransmission does not necessarily have to consist of the same
number of coded bits as the original and, in general, the modulation scheme can be
different for different retransmissions.
Typically, incremental redundancy is based on a low-rate code and the different

redundancy versions are generated by puncturing the output of the encoder, see the
following figure.
Figure 10.4-2 Incremental Redundancy (IR)
88
Hence, IR can be seen as a generalization of CC or, stated differently, CC is a special

case of IR.
89
11 Inter-Cell Interference Elimination
Orthogonal multiple access is used in both the uplink and downlink directions for LTE.
Therefore, inter-cell interference is the major interference in the LTE system. However,
unlike the CDMA system, co-frequency networks cannot be implemented in the LTE
system. The following four methods can be used to eliminate inter-cell interference for
LTE:
 Beam forming at the transmit end and IRC
 Inter-cell interference coordination
 Power control
 Bit-level scrambling
11.1 Beam Forming at the Transmitter Side and IRC

In the downlink direction, the transmitter-side beam forming technique can be used to
align a beam to a target user, as illustrated in the following figure.
The advantages are:
 It provides the signal strengh of the target user.
 It reduces the interference on other users.
Especially, if the location of the interfered user is known, the radiation energy in the
direction can be actively reduced.
Figure 11.1-1 IRC
90
Expected user
Interfered
expected user
Transmitter-side beam forming refers to that inter-user interference can be reduced by

multiple antennas at the transmitter side. The principle is also applicable to the receiver
side. Applying receive-antenna combining with a target to suppress specific interferers
is often referred to as Interference Rejection Combining (IRC), see the following figure.
Assuming that there is a target base station and an interfering base station, the signals
received at the receiver side can be expressed as
 r1   h1   hI ,1   n1 
       
r          s      s I      h  s  hI  s I  n
r  h  h  n 
 NR   NR   I ,NR   NR 
The interfering signal will be completely suppressed if the weight vector w is selected
to fulfill the expression
w H  hI  0
At most NR-1 interferences can be suppressed by NR receiving antennas.
Figure 11.1-2 IRC in downlink
91
IRC can also be applied in the uplink direction to suppress interference from a
neighbor cell (inter-cell-interference ), see the following figure.
Figure 11.1-3 IRC in uplink
11.2 Inter-Cell Interference Coordination

The basic principle of inter-cell interference coordination is limiting the used resources,
including limiting which time-domain resources can be used and limiting transmit
power on some time-domain resources.
Inter-cell interference coordination can be implemented statically or semi-statically.
Static inter-cell interference coordination is implemented through a scheduler, without

requiring any specific support in a corresponding radio-interface standard. There are
two coordination types: frequency resource coordination and power resource
coordination. They are called Soft Frequency Reuse (SFR) or Fractional Frequency
Reuse (FFR).
The following figure shows a frequency resource coordination method. The frequency
resources are divided into three parts. The users in the cell center can use all frequency
resources while the users at the cell edge can only use some frequency resources. The
users at the edge of neighboring cells use different frequency resources, thus the
92
interference is reduced.
Figure 11.2-1 Inter-Cell Interference Coordination
Users in inner part of the cell may be assigned

the full spectrum.
2
7 3
Users at the outer part of the cell
may only be assigned part of the
full spectrum.
1
6 4
The following figure shows a power resource coordination method. The frequency
resources are divided into three parts. All frequency resources can be used in all the
cells, but for a cell type, only some frequencies are allowed to use a higher transmit
power. Different types of cells use different frequencies. Thus the interference on the
users at cell edges is reduced.
Figure 11.2-2 power resource coordination method
Cell type 1 P(f)
Cell type 2
Cell type 3
f
P(f)
2
1 f
3
P(f)
Semi-static inter-cell interference coordination requires inter-cell exchange information,

for example, resource usage information. At present, PRB usage information can be
exchanged over the X2 interface for inter-cell interference coordination for frequency
resources. The information indicates which PRB is allocated to which user on the cell
edge and which PRBs are sensitive to inter-cell interference.
93
Meanwhile, Overload Indicator (OI) information can be exchanged over the X2

interface for inter-cell uplink power control.
11.3 Power Control

Power control can be implemented in the uplink direction for LTE, including inter-cell
power control and intra-cell power control. As shown in the following figure, intra-cell
power control aims for path loss compensation and shadow attenuation. It helps save
the transmit power at the mobile terminals, reduces the interference on other cells, and
keep Interference rise over thermal noise (IoT) below a certain level. Inter-cell power
control aims for notifying the IoT information of the cell to other cells to control the
IoT of the cell. The IoT of the cell is affected by the interferences of the other cells. If
the interference power is higher than the IoT level (overloaded), the IoT of the cell
cannot be reduced by reducing the transmit power in the cell. At present, the Overload
Indicator (OI) information can be exchanged over the X2 interface for inter-cell uplink
power control.
Figure 11.3-1 Power Control
Intra-cell TPC Inter-cell TPC
Desired signal Interference to non-serving cell
Serving cell UE
TPC command Overload indicator Non-serving cell
Power control can also be implemented in the downlink direction for LTE. Intra-cell
power control can be implemented without requiring any specific support in a
corresponding radio-interface standard.
11.4 Bit-Level Scrambling

Bit-level scrambling is used for LTE to randomize inter-cell interference, in other
words, scrambling the bits in pre-modulated codes, see the following figure.
Figure 11.4-1 Bit-Level Scrambling
94
User A
Turbo Coding Interleaver
Scrambling A
The interference suppression gain acquired through scrambling is proportional to the

processing gain, also known as coding rate.
Cell-specific scrambling is used for BCH, PCH, and control signaling for LTE. There is
a one-one mapping relationship between the scrambling and physical-layer cell IDs.
For the DL-SCH, UE-specific scrambling or UE-group-specific scrambling is used.
For the MCH, cell-group-specfic scrambling is used.
In the uplink direction, UE-specific scrambling is supported, which can be enabled or

disabled.
95
Appendix A Abbreviation
Abbreviation Full Name

3GPP 3rd Generation Partnership Project
BPSK Binary Phase Shift Keying
CAPEX Capital Expenditure
DFT Discrete Fourier Transform
DRX Discontinuous Reception
E-MBMS Evolved Multimedia Broadcast and Multicast Service
eNodeB Evolution Node B
E3G evolved 3G
EPC Evolved Packet Core
E-UTRA Evolved Universal Terrestrial Radio Access
HCR High Chip Rate
HeNB Home eNodeB
IASA Inter Access System Anchor
IFFT Inverse Discrete Fourier transform
LCR Low Chip Rate
LDPC low-density parity-check
LTE Long Term Evolution
MIMO Multiple Input Multiple Output
MME Mobile Management Entity
OFDM Orthogonal Frequency Division Multiplex
OPEX Operating Expenditure
PAPR Peak to Average Power Ratio
QAM QUADRATURE AMPLITUDE MODULATION
QoS Quality of Service
QPSK QUADRATURE PHASE SHIFT KEYING
RRC Radio Resource Control
SAE System Architecture Evolution
SC-FDMA Single Carrier – Frequency Division Multiple Access
SDM Spatial Division Multiple
S-GW Serving Gateway
TTI Transmission Time Interval
97
Appendix B Reference Document
SN Name
25.912 Feasibility study for evolved Universal Terrestrial Radio Access (UTRA) and
1
Universal Terrestrial Radio Access Network (UTRAN)
2 25.913 Requirements for Evolved UTRA (E-UTRA) and Evolved UTRAN (E-UTRAN)
36.300 Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal
3
Terrestrial Radio Access Network (E-UTRAN), Overall description
4 25.814 Physical layer aspects for evolved Universal Terrestrial Radio Access (UTRA)
5 36.211 Physical Channels and Modulation
6 36.212 Multiplexing and channel coding
7 36.213 Physical layer procedures
8 36.214 Physical layer – Measurements
9 36.302 Services provided by the physical layer
10 36.331 Radio Resource Control (RRC)
11 36.104 Base Station (BS) radio transmission and reception
12 36.321 Medium Access Control (MAC) protocol specification
23.401 General Packet Radio Service (GPRS) enhancements for Evolved Universal
13
Terrestrial Radio Access Network (E-UTRAN) access
14 23.203 Policy and charging control architecture
99

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Chapter1

FDD-LTE principle and key

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

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

1.1.2 CDMA200 Evolution ............................................................................................................. 2

1.2 LTE Overview and Standard Development....................................................................................... 2

2 LTE Indexes and Requirements ................................................................................................................ 5

2.1 Overview ........................................................................................................................................... 5

2.2 Frequency Band Division.................................................................................................................. 5

2.3 Peak Data Rate .................................................................................................................................. 6

2.4 Control Plane Delay .......................................................................................................................... 7

2.5 User Plane Delay............................................................................................................................... 7

2.6 User Throughput ............................................................................................................................... 7

2.7 Spectrum Efficiency .......................................................................................................................... 8

2.9 Coverage ........................................................................................................................................... 8

2.10 Spectrum Flexibility ........................................................................................................................ 9

2.11 Coexistence and Interoperability with Existing 3GPP Systems ...................................................... 9

2.12 Reducing CAPEX and OPEX ....................................................................................................... 10

3.1 System Architecture ........................................................................................................................ 11

3.2 Radio Protocol Architecture ............................................................................................................ 17

3.2.1 Control Plane Protocol Architecture .................................................................................... 17

3.2.2 User Plane Protocol Architecture ......................................................................................... 18

3.3.1 S1 Interface ...........................................................................................................................18

3.3.2 X2 Interface ..........................................................................................................................22

4 Physical Layer ...........................................................................................................................................25

4.1 Frame Structure ...............................................................................................................................25

4.2 Physical Resources ..........................................................................................................................25

4.3 Physical Channels ............................................................................................................................27

4.4 Transport Channels ..........................................................................................................................28

4.5 Mapping Between Transport Channels and Physical Channels .......................................................30

4.6 Physical Signals ...............................................................................................................................31

4.7 Physical Layer Model ......................................................................................................................32

4.8 Physical Layer Procedures ...............................................................................................................34

4.8.1 Synchronization Procedures .................................................................................................34

4.8.2 Power Control .......................................................................................................................34

4.8.3 Random Access Procedures ..................................................................................................35

5.1 MAC Sub-Layer ..............................................................................................................................38

5.1.1 MAC Functions ....................................................................................................................38

5.1.2 Logical Channels ..................................................................................................................39

5.1.3 Mapping Between Logical Channels and Transport Channels .............................................40

5.2 RLC Sub-Layer................................................................................................................................41

5.2.1 RLC Functions ......................................................................................................................41

5.2.2 PDU Structure .......................................................................................................................41

5.3 PDCP Sub-Layer..............................................................................................................................42

5.3.1 PDCP Functions ....................................................................................................................42

5.3.2 PDU Structure .......................................................................................................................43

6.1 RRC Functions ................................................................................................................................ 45

6.2 RRC State........................................................................................................................................ 46

6.4 RRC Procedure ............................................................................................................................... 47

6.4.1 System Information .............................................................................................................. 47

6.4.2 RRC Connection Control ..................................................................................................... 49

7 Orthogonal Frequency Division Multiplexing (OFDM) ....................................................................... 51

7.1 Downlink OFDMA ......................................................................................................................... 51

7.1.1 Basic Principles of OFDM ................................................................................................... 51

7.1.2 OFDM Implementation Using IFFT/FFT Processing .......................................................... 53

7.1.3 Cyclic-Prefix Insertion ......................................................................................................... 55

7.1.4 LTE OFDM Parameters ....................................................................................................... 57

7.2 Uplink SC-FDMA ........................................................................................................................... 58

7.2.1 Basic Principles of DFTS-OFDM ........................................................................................ 58

7.2.2 LTE DFTS-OFDM Parameters ............................................................................................ 60

8 Multi-Antenna Techniques ...................................................................................................................... 62

8.1 Transmission Diversity ................................................................................................................... 62

8.1.1 Cyclic Delay Diversity ......................................................................................................... 62

8.1.2 Diversity by Means of Space-Time Coding ......................................................................... 63