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Wireless and communication network Module 5-15ec81

Wireless Communication and 4G LTE Networks (Visvesvaraya Technological University)

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MODULE-5

Radio Resource Management and Mobility Management:

PDCP overview, MAC/RLC overview, RRC overview, Mobility Management, Inter-cell
Interference Coordination(Sec 10.1 – 10.5 of Text).

Data Flow, Radio Resource Management, and Mobility Management

Building on the physical layer procedures discussed in previous chapters, in this

chapter we describe higher-layer protocols and mobility management in LTE. Radio
re source management and inter-cell interference mitigation techniques will also be
discussed in this chapter. However, before discussing higher-layer protocols, we first
introduce the concept of bearer for Quality of Service (QoS) control and the protocol
architecture of LTE.

PDCP Overview :
A PDCP entity is associated either with the control plane or with the user plane
depending on which radio bearer it is carrying data for 7. Each radio bearer is
associated with one PDCP entity, and each PDCP entity is associated with one or two
RLC entities depending on the radio bearer characteristic (uni-directional or bi-
directional) and the RLC mode. PDCP is used only for radio bearers mapped on DOCH
and DTCH types of logical channels.
The main services and functions of the PDCP sub layer for the user plate and control
plane 5 shown in Figure 1 are as follows.

Figure 1: PDCP functions for the user plane and the control plane.

For the user plane:

1 Header compression and decompression of IP data flows with the Robust Header
Compression (ROHC) protocol.
2 Ciphering and deciphering of user plane data .
3 In-sequence delivery and reordering of upper-layer PDUs at handover.
4 Buffering and forwarding of upper-layer PDUs from the serving eNode-B to the
target eNode-B during handover .
5 Timer-based discarding of SDUs in the uplink .
For the control plane:
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1. Ciphering and deciphering of control plane data.

2. Integrity protection and integrity verification of control plane data.
3. Transfer of control plane data.

The PDCP PDUs can be divided into two categories:

The PDCP data PDU is used in both the control and user plane to transport higher-
layer packets. It is used to convey either user plane data containing a compressed/'un
compressed IP packet or control plate data containing one RRC merge and a Message
Authentication Code for Integrity (MAC-I) field for integrity protection, which will be
described in detail later in this section.
The PDCP control PDU is used only within the user plane to convey a PDCP status
report during handover and feedback information for header compression. Thus,
unlike a PDCP data PDU, the PDCP control PDU does not carry any higher layer SDU
but rather is used for peer-to-peer signalling between the PDCP entities at two ends.
The constructions of the PDCP data PDU formants from the PDCP SDU for the user
plane and the control plane are shown in Figure . The various types of PDCP PDU
carried on the user and control plane are shown in Table 1. There are three different
types of PDCP data PDUs, distinguished by the length of the Sequence Number (SN).
The PDCP SN is used to provide robustness against packet loss and to guarantee
sequential delivery at the receiver. The PDCP data PDU with the long SN is used for
the Un acknowledge Mode (UM) and Acknowledged Mode (AM) and the PDCP data
PDU with the short SN is used for the Transparent Mode (TM). Besides the SN field
and the ciphered data, the PDCP data PDU for the user plane contains a "D/C' field
that is

Figure 2: PDCP formats for the user plane and the control plane

PDCP Data units

Header Compression :
The header compression protocol in LTE is based on the Robust Header Compression
(ROHC) framework defined by the Internet Engineering Task Force (IETF) (12).
PDCP entities are configured by upper layers to use header compression, which is
only performed on user plane data. The requirement for header compression comes
from the fact that all the services in LTE are IP-based, and are based on the framework
of IP and other related IETF protocols.

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However, these protocols bring 1 significant amount of header overhead at the

network layer (IP), transport layer (TCP, UDP), and application layer (RTP), which
contains redundant and repetitive information and necessarily consumes precious
radio resources.
Therefore, an efficient header compression scheme is required, especially for VoIP
services where the IP-related repetitive information in the header field is large
relative to the in actual speech packets. There are multiple header compression
algorithms, Galled profiles, defined for the ROHC framework. Each profile is specific to
the particular network layer, transport layer, or upper-laver protocol combination,
e.g-, TCP/IP and RTP/UDP/IP.

Integrity and Ciphering :

The security-related functions in PDCP include integrity protection and ciphering. A
PDCP PDU counter, denoted by the parameter COUNT, is maintained and used as 11
input to the security algorithm.
The format of COUNT is shown in Figure, which has a length of 32 bits and consists of
two parts: the Hyper Frame Number (HFN) and the PDCP SN. The SN is used for
reordering and duplicate detection of RLC packets at the receive end
The ciphering function includes both ciphering and deciphering. It is performed on
both control plane data and user plane data. For the control plane, the data unit that is
ciphered is the data part of the PDCP PDU and the MAC-I; for the user plane, the data
unit that is ciphered is the data part of the PDCP PDU.
The ciphering is done by an XOR operation of the data unit with the ciphering stream.
The ciphering stream is generated by the ciphering algorithm based on ciphering
keys, the radio bearer identity, the value of COUNT, the direction of the transmission,

Figure 3: Format of COUNT

MAC/RLC Overview :
As there is close interaction between MAC and RLC sub layers 5,6, we discuss them
together in this section. The RLC layer performs segmentation and/or concatenation
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of PDCP PDUs the size indicated by the MAC. RIC the RLC PDUs once they are received
out of order possibly due to H-ARQ processes in the MAC layer.
The RLC layer also supports in ARQ mechanism, which resides on top of the MAC
layer H-ARQ and is used only when all the H-ARQ transmissions are exhausted and
the RIO PDU has not yet been received without errors. As mentioned previously, at
the transmitter and the receiver there is one RLC entity per radio bearer.
The MAC layer only performs the task of multiplexing and prioritizing the various
radio bearers Associated with the UE. The MAC layer provides services to the RLC
layer through logical channels, while it access the data transfer services provided by
the PHY layer through transport channels.
Data Transfer Modes
Functions of the RIC layer are performed by RLC entities. Each RLC entity can be
operated in three different modes: the Transparent Mode (TM), the Unacknowledged
Mode (UM), and the Acknowledged Mode (AM).
The Transparent Mode (TM)
The TM mode is the simplest one. The RLC entity does not add any RLC header to the
PDU and no data segmentation or concatenation is performed. This mode is suitable
for services that do not need retransmission or are not sensitive to delivery order.
Only RRC messages such is broadcast system information messages and paging
messages use the TM mode. The TM mode is not used for user plane data
transmission. The RLC data PDU delivered by a TM RLC entity is called the TM Data
(TMD) PDU.

The Unacknowledged Mode (UM)

The UM mode provides in-sequence delivery of data that may be received out of
sequence due to the H-ARQ process in MAC, but no retransmission of the lost PDU is
required. This mode can be used by delay-sensitive and error-tolerant real-time
applications, such us VoIP. The DTCH logical channel can be operated in the UM mode,
and the RLC data PDU delivered by 10 UM RIC entity is called the UM Data (UMD)
PDU.
At the transmit end, the UM RLC entity segments and/or concatenates the RIC SDU.
According to the total size of RLC PDUs indicated by the MAC layer. Relevant RLC
headers are also included in the UMD PDU. The receiving UM RLC entity performs
duplicate detection, reordering, and reassembly of UMD PDUs.
The Acknowledged Mode (AM)
The AM mode is the most complex one, which requests retransmission of missing
PDUs in addition to the UM mode functionalities. It is mainly used by CITOI-Sensitive
and delay-tolerant applications.
The operation of the AMRIC entity is similar to that of the UM RLC entity, except that it
supports retransmission of RLC data PDUs. The receiving AM RIC entity can send a
STATUS PDU to inform the transmitting RLC entity about the AMD PDUs that are
received successfully and that are detected to be lost.
Purpose of MAC and RLC Layers
The main services and functions of the RLC sub layer include
• Transferring /receiving PDUs from upper layers, i.e. from RRC for the CCCH logical
channel or from PDCP for other cases
• Error correction through ARQ (only when the RLC is operated in the AM mode)
• 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)

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• 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
LTE defines two MAC entities:
one in the UE and one in the eNode-B. The exact functions performed by the MAC
entities are different in the UE from those performed in the eNode-B. The main
services and functions of the MAC sub layer include
• Multiplexing/de multiplexing of NAC SDUs belonging to one or different logical
channels into from the same transport block
• Error correction through H-ARQ, which has tight interaction with ARQ in the RLC
layer and will be discussed later in this section.
Transport format selection, i.e., the selection of the Modulation and Coding Scheme
(MOS) for link adaptation
• Padding if a MAC PDU is not fully filled with data .

PDU Headers and Formats RLC PDU Formats

RLC PDUs can be categorized into RLC data PDUs and RLC control PDU.. As discussed
in the previous subsection, RLC data PDUs are used by TM, UM. and AM RLC entities
to transfer upper-layer PDUs, called the TM Data (TMD) PDU, the UM Data (UMD)
PDU, and the AM Data (AMD) PDU, respectively. On the other hand, RLC control PDUs
are used for peer-to-peer signalling between the AM RLC entities at the two ends for
ARQ procedures.
The formats of different RLC Data PDUs are shown in Figure . The TMD PDU only
consists of a Data field, as no RLC header is added. The RLC headers are different for
UMD PDU and AMD PDU, but they contain common fields including
• Framing Info (FI) field: The FI Held indicates whether a RLC SDU is Segmented at the
beginning and/or at the end of the Data field.
• Length Indicator (LI) field: The LI field indicates the length in bytes of the
corresponding Data field element present in the UMD or AMD PDU.
• Extension bit (E) field: The E field indicates whether a Data field follows or a set of E
field and LI field follows
SN field: The SN Held indicates the sequence number of the corresponding UMD or
AMD PDU. It consists of 10 bits for AMD PDU, AMD PDU segments, and STATUS PDUs,
and 5 bits or 10 bits for UMD PDU. The PDU sequence number carried by the RLC
header is independent of the SDU sequence number, i.e., the PDCP sequence number

Figure 4: Formats of RLC Data PDUs

• Data/Control (D/C) field: The D/C field indicates whether the RLC PDU is an RLC
Data PDU or an RLC Control PDU.

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• Re-segmentation Flag (RF) field: The RF field indicates whether the RLC PDU is an
AMD PDU or an AMD PDU segment.
• Polling bit (P) field: The P field indicates whether the transmitting side of an AM
RLC entity requests a STATUS report from its per AM RLC entity. Additionally, the RLC
header of an AMD PDU segment contains special fields including:
• Segment Offset (SO) field: The SO field indicates the position of the AMD PDU
segment in bytes within the original AMD PDU.
• Last Segment Flag (LSF) field: The LSF Held indicates whether the last byte of the
AMD PDU segment corresponds to the last byte of an AMD PDU.
The STATUS PDU is used by the receiving AM RLC entity to indicate the missing
portions of AMD PDUs. The format of the STATUS PDU is shown in Figure 10.9, which
Consists of the following fields:
Control PDU Type (CPT) field: The CPT field indicates the type of the RLC control
PDU, and in Release the STATUS PDU is the only defined control PDU.
• Acknowledgment SN (ACK SN) field: The ACK_SN field indicates the SN of the next
not received RIC Data PDU, which is not reported is missing in the STATUS PDU.
• Extension bit 1 (El) field: The El field indicates whether a set of NACK_SN, El, and E2
follow us.
• Extension bit 2 (E2) field: The E2 field indicates whether a set of SO start and SO
end follows.
Negative Acknowledgment SN (NACK SN) field: The NACK_SN field indicates the SN
of the AMD PDU (or portions of it) that has been detected is lost at the receiving side
of the AM RLC entity
• SO start (SO start) field and SO end (SO end) field: These two fields together
indicate the portion of the AMD PDU with SN = NACK SN that has been detected is lost
at the receiving side of the AM RLC entity.

Figure 5:The format of STATUS PDU

Figure 6: An example of MAC PDU consisting of MAC header

RRC Overview :
The RRC layer takes care of RRC connection management, radio bearers control,
mobility functions, and UE measurement reporting and control. It is also responsible
for broadcasting system information and paging. In this section, we discuss the two
RRC states in LTE and the functions provided by the RRC protocol.
RRC States
Compared to UMTS, which has four RRC states, LTE has only two states RRC_IDLE und
RRC.CONNECTED, is depicted in Figure 7 .This simplifies the RRC state machine
handling and the radio resource management, which controls the RRC state.

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Figure 7: RRC states in LTE

In the RRC_IDLE state, the UE can receive broadcasts of system information and
information. There is no signalling radio bearer established, so there is no RRC
connection. In the RRC_IDLE state, the mobility control is handled by the UE, which
performs neighbouring cell measurements and cell selection/reselection.
The system information mainly contains parameters by which E-UTRAN controls the
cell selection/reselection POCK, such as priorities of different frequencies. The UE
shall have been allocated an ID that uniquely identifies the UE is a trucking area. The
UE also monitors a paging channel to detect incoming calls, and it specifies the paging
Discontinuous Reception (DRX) cycle. logical channels of one UE or between UEs by
means of
In the RRC_CONNECTED state, the UE has an E-UTRAN RRC connection and 1 context
in the E-UTRAN, so it is able to transmit and/or receive data: to/from the network
(eNode-B). The UE monitors control channels (PDCCH) Located with the shared data
channel to determine if data is scheduled for it.
In the RRC_CONNECTED state, the network controls mobility,'handover of the UE.

RRC Functions
Before going into different functions provided by the RRC protocol, we first introduce
the concept of Signalling Radio Beaers (SRBs). SREs are defined as radio bearers that
ne used only for the transmission of RRC and NAS message. There are three different
SRBs defined in LTE .
Broadcast of system information, which is divided into the Master Information
Block (MIB) and a number of System Information Blocks (SIBs). The MIB includes a
limited number of the most essential and most frequently transmitted parameters
that are needed to acquire other information from the cell, and is transmitted on the
BCH logical channel. SIBs other than SIB Type 1 are carried in System Information (SI)
messages. SIB Type 1 contains parameters needed to determine if 1 cell is suitable for
cell selection as well as information about the time-domain scheduling of the other
SIBs. SIB Type 1 and all SI Messages are transmitted on DL-SCH.
RRC connection control includes procedures related to the establishment,
modification, and release of at RRC connection, including paging, initial security
activation, establishment of SRBs and radio bearers carrying user data, radio
configuration control and QoS control, and recovery from the radio link failure.

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Measurement configuration and reporting includes establishment, modification,

and release of measurements, configuration, and (de-)activation of measurement
gaps, and measurement reporting for intra-frequency, inter-frequency, and inter-RAT
(Radio Access Technology) mobility.
Other functions include transfer of dedicated NAS information and non-3GPP
dedicated information, transfer of UE radio A capability information, and support of
self-configuration and self-optimization.
Mobility Management
LTE mobility management functions can be categorized into two groups a) mobility
within the LTE system (intra-LTE mobility) and b) mobility to other systems such as
other 3GPP systems (C. UMTS) and 100-3GPP systems (inter-RAT mobility). Intra LTE
mobility can happen either over the Si interface or over the X2 interface. When the UE
moves from one eNode-1 to another eNode-B within the same Radio ACCESS Network
(RAN) attached to the same NME, the mobility takes place over the X2 interface.
The inter-RAT mobility essentially uses the Sl-mobility with the only difference being
that in this case the PDCP context is not continued and the UE needs to re-establish its
session once it Moves to the target non-LTE system.
Si Mobility :Si mobility is very similar to the UMTS Serving Radio Network Subsystem
(SRNS) relocation procedure and consists of the following steps.
1. Preparation Phase: Once a decision has been made for a handover and a target
MME and eNode-B have been identified, the network needs to allocate resources on
the target side for the impending handover. The MME sends a handover request to the
target eNode-B requesting it to set up the appropriate resources for the UE.

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Figure 8 : Mobility Management over the SI interface

2. Execution Phase: Once the UE receives the handover command, it responds by

performing the various RAN-related procedures needed for the handover including
accessing the target eNode-B using the Random Access Channel (RACH). The RAN-
related procedures of a handover are discussed in detail later in this section. While
the UE performs the handover, the source eNode-B initiates the status transfer where
the PDCP context of the UE is transferred to the target eNode-B.
3. Completion Phase: When the target eNode-B receives the handover confirm
message, it sends a handover notify message to the MME. The MME then informs the
source eNode-B to release the resources originally used by the UE.

X2 Mobility
The mobility over the X2 interface is the default mode of operation in LTE unless an
X2 interface is not available between the source and target eNode-Es. When this is the
arise, the mobility over Sl interface is triggered is mentioned in the previous section.
Mobility over the X2 interface also consists of three steps :

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Completion Phase:

Figure 9: Mobility management over the X2 interface

1. Preparation Phase: Once the handover decision has been made by the source
eNode-B, it sends a handover request message to the target eNode-B. The target
eNode-B upon receipt of this message works with the NNE 2nd S-GW to set up the
resources for the UE. In the case of mobility over X2 interface.
2. Execution Phase: Upon receiving the handover request ACK, the source
eNode-B sends a handover command to the UE. While the UE completes the various
RAN related handover procedures, the source eNode-B starts the status and data
transfer to the target eNode-B. This is done on a per-RAB basis for the UE.
3. Completion Phase: Once the UE completes the handover procedure, it sends a
handoff complete message to the target eNode-B. Then the target eNode-B sends a
path switch request to the MME/S-GW and the S-GW switches the GTP tunnel from
the source eNode-B to the target eNode-B. When the data path in the ser plane is
switched, the target eNode-B sends a message to the source eNode-B to release the
resources originally used by the UE.
Paging
Paging is a connection control function of the RRC protocol. The Paging message is
used to inform the UEs in the RRC_IDLE or RRC CONNECTED state about a system

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information change and/or about an Earthquake and Tsunami Warning System

(ETWS) notification.
The UE in the RRC_IDLE state also monitors a Paging channel to detect incoming calls.
Change of system information only occurs at specific radio frames, and the concept of
1 Modification period is used. Within a modification period, system information can
be transmitted a number of times with the same content.
Upon receiving a change notification contained in the Paging message, the UE knows
that the current system information is valid until the next modification period
boundary. After this boundary, the UE will re-acquire the required system
information.
If the ETWS notification is indicated the UE that is ETWS capable will re-acquire the
system information block related to ETWS immediately without waiting for the next
system information modification boundary.
The paging information is carried on the PDSCH physical channel. In a certain PO, the
UE is configured to decode PDCCH with CRC scrambled by the Paging-Radio Network
Temporary Identifier (P-RNTI), and then decode the corresponding PDSCH for the
paging information. To reduce power Consumption, the UE may use Discontinuous
Reception (DRX) in the idle mode, so it needs only to monitor one PO per DRX cycle.
After receiving the Paging message, the UE can switch off its receiver to preserve
battery power. The DRX cycle is configured by the E-UTRAN .
Inter-Cell Interference Coordination
In cellular networks, each UE suffers Inter-Cell Interference (ICI) due to frequency
reuse in other cells. Conventional cellular networks by design are interference-
limited: if they were not, it would be possible to increase the spectrum efficiency by
lowering the frequency reuse or increasing the average loading per cell. To meet the
spectrum efficiency target, LTE will be deployed with universal frequency reuse, ie,
the same spectrum will be reused in each cell.
This will cause a high level of ICI, especially for UEs at the cell edge. Meanwhile, LTE
also has a mandate to increase cell edge throughput. Therefore, ICI control techniques
must be applied (10.11, 13, 14, 17). In this section, we discuss ICI mitigation
techniques for both downlink and uplink transmissions. ICI suppression through base
station coordination, or networked MIMO, has been discussed in Section 5.9.2, where
the associated opportunities and challenges were highlighted.

Downlink
ICI randomization. This is achieved by scrambling the codeword after channel
coding with a pseudo-random sequence, With cell specific scrambling. ICI from
neighbouring cells is randomized, and then interference suppression is achieved
thanks to the processing main provided by the channel code. Without scrambling, the
channel decoder might be equally matched to interfering signals us to the desired
signals on the same radio resource. ICI randomization has been applied in systems
such as UMTS. F
ICI cancellation If a UE is able to decode the interfering signals, it can IC generate and
then subtract them from the desired signal. This can be achieved with a multiuser
detector |16 at the UE. However, to decode the interfering signal from neighbouring
cells, the UE needs to know its transmission format, which is not available us the UE
cannot decode the PDCCH from neighbouring cells.
ICI coordination/avoidance This is achieved by applying restrictions to the
downlink resource management in 1 coordinated way between neighbouring cells.
The restrictions can be on time/frequency resources or transmit power used at each

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eNode-B. It requires additional inter-eNode-B communication und UE measurements

and reporting.
Static ICI coordination/avoidance This is mainly done during the cell planning
process and does not require frequent reconfiguration. An example is static Fractional
Frequency Reuse (FFR), Static coordination strategy requires no or little inter-eNode-
B signalling, but there is performance limitation as dynamic characteristics such as
cell loading or user distributions are not taken into consideration.
Semi-static ICI coordination/avoidance Semi-static coordination typically requires
reconfigurations on 1 time-scale of the order of seconds or longer, and inter-eNode-B
communication over the X2 interface is needed. The information exchanged between
neighbouring eNode-Bs can be transmission power and/or traffic load on different
resource blocks. By considering such information at neighbouring eNode-Es, ICI
suppression is more efficient.
Coordinated Multi-Point Transmission
In LTE-Advanced, to further improve cell-edge performance, advanced techniques
with more sophisticated coordination will be developed for ICI mitigation. One such
technique is called Coordinated Multi-Point (COMP) transmission/reception.

Figure 10: Possible downlink power levels of three neighbouring cells.

Uplink
• ICI randomization Similar to the downlink ICI :randomization in the uplink is
achieved by scrambling the encoded symbols prior to modulation. Instead of cell
specific scrambling as used in the downlink UE-specific scrambling is used in the
uplink as ICI comes from multiple UEs in neighbouring cells.
• ICI cancellation ICI cancellation is more applicable in the uplink than in the
downlink, as the eNode-B has higher Computational capability and usually more
antenna elements.
• Uplink power control Power control is an efficient way to suppress ICI in the
uplink. Fractional Power Control (FPC) is used in LTE.
• ICI coordination/avoidance Similar coordination techniques discussed for
downlink can be applied in the uplink, such as FFR.
Coordinated Multi-Point Reception
Similar to the downlink, COMP reception will be developed for uplink in LTE-
Advanced. This means coordinated reception at multiple eNode-Bs of transmitted
signals from

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multiple geographically separated UEs in different cells. In contrast to downlink,

uplink COMP reception is expected to have very limited impact on the radio-interface
specifications. As uplink scheduling is performed at the eNode-B, coordinated inter-
cell scheduling can be 1pplied to control ICI, which, however, will have impact on
radio-interface specifications.

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