Fundamentals of 3GPP

Long Term Evolution (LTE)

Anil Rao
Forward Looking Work
Systems Architecture & Engineering
Whippany, New Jersey
[email protected]
Agenda-1
1. LTE History, Requirements, and Terminology . . . . . . . . . . . . . 6
• 3GPP standards timeline and terminology
• LTE requirements and key features
2. Network Architecture Evolution . . . . . . . . . . . . . . . . . . . . . . . . 15
• EPS architecture goals, functional description of nodes
• Support for inter-working between 3GPP and non-3GPP
3. OFDM basics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
• Description of waveforms in time and frequency domain
• Orthogonality property and non-idealities which affect orthogonality
• Illustration of how CP combats multipath interference
• Choosing the OFDM parameters for LTE, scaleable OFDM
• Compare and contrast with CDMA
4. LTE Duplexing Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
• FDD, TDD, and Half Duplex FDD

2 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda-2
5. LTE States, Paging, and DRX . . . . . . . . . . . . . . . . . . . . . . . . . . 51
• RRC states, EMM states, ECM states
• Terminal power saving features during idle and connected modes
• Basic steps in establishing a packet connection
6. LTE Downlink Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
• Mapping of logical, transport, and physical channels
• Frame format, channel structure, numerology
• Reference signals, broadcast channel, synchronization channels
• Basics of cell search procedure
• L1/L2 control channels: PCFICH, PHICH, PDCCH
7. LTE Uplink Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
• Mapping of logical, transport, and physical channels
• SC-FDMA (DFT-SOFDMA), frame format
• Data demodulation and sounding reference signals
• PUCCH formats, RACH structure
• Uplink Power Control (intra-cell and inter-cell)

3 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda-3
8. LTE Support for Multiple Antenna Techniques . . . . . . . . . . . . 111
• Description of supported MIMO modes
• Details of closed loop spatial multiplexing and codebook-based
precoding
9. Broadcast/Multicast in LTE . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
• Multiplexing options for broadcast/multicast and unicast
• MBSFN option and advantages of OFDM, special reference symbols
• Dedicated MBMS carriers with 7.5 kHz subcarrier spacing
• Broadcast/multicast network architecture
10. Scheduling and Resource Allocation in LTE . . . . . . . . . . . . 125
• Uplink scheduling mechanisms, resource allocation restrictions,
HARQ operation, and frequency hopping
• Downlink scheduling mechanisms, resource allocation types,
CQI/PMI/RI feedback schemes
• Semi-persistent allocations for VoIP
• Fractional frequency reuse / Interference Coordination

4 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda-4
11. Handover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
• Key features of intra-LTE handover
• Flow diagrams of preparation, execution, and completion phases
• Description of handover latency and interruption times

12. Overhead and Peak Rate Computations; Performance . . . . 148

• Overhead computation of reference signals, L1/L2 control channels,
broadcast and synchronization channels, PRACH
• Computation of downlink and uplink peak rates for various system
bandwidths
• Evaluating LTE system performance, with an overview of
performance verification work in NGMN / 3GPP

5 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10.Scheduling and Resource Allocation in LTE
11.Handover
12.Overhead and Peak Rate Computations, Performance

6 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 3GPP Standards Evolution 28.8 Mbps DL
11.5 Mbps UL
14.4 Mbps DL
14.4 Mbps DL
5.76 Mbps UL Release 7: HSPA+
2 Mbps DL 384 kbps UL
MIMO, HOM, CPC,
384 kbps UL Release 5: Release 6: network architecture
HSUPA, MBMS 43.2 Mbps DL
HSDPA, IMS Sept 2007
Release 99: WCDMA March 2005 11.5 Mbps UL
March 2002
March 2000 Release 8: HSPA+
reduced latency,
multi-carrier
2008

UMTS/HSPA
/HSPA+
2000 2002 2004 2006 2008 2010

LTE

Kickoff in RAN
LTE workshop LTE Feasibility Release 8: LTE Stage
Nov 2004 Study initiated LTE Work Item
3 “complete”
Dec 2004 created
Dec 2007
March 2006

7 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Requirements and Performance Targets
Improved Spectrum Efficiency
High Peak Data Rates * Assumes
3-4x HSPA Rel’6 in DL* 2x2 in DL
100 Mbps DL (20 MHz, 2x2 MIMO) for LTE,
2-3x HSPA Rel’6 in UL but 1x2 for
50 Mbps UL (20 MHz, 1x2) HSPA Rel’6
1 bps/Hz broadcast

Support Scalable BW Improved Cell Edge Rates

1.4, 3, 5, 10, 15, 20 MHz
2-3x HSPA Rel’6 in DL*

2-3x HSPA Rel’6 in UL

Full broadband coverage

Co-existence with UMTS/GSM

Interruption time < 500ms for NRT

Interruption time < 300ms for RT

Low Latency Packet Domain Only
< 5ms user plane (UE to RAN edge) Simplified network architecture
<100ms camped to active

< 50ms dormant to active

8 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Terminology: LTE + SAE = EPS
ƒ From the set of requirements, it was clear that evolution work would be
required for both the radio access network (RAN) as well as the core
network. LTE would not be backwards compatible with UMTS/HSPA!
y RAN working groups would focus on the air interface and radio access network
aspects
y System Architecture (SA) working groups would develop the Evolved Packet Core
(EPC)

ƒ A note on terminology:
y In the RAN working groups the names Evolved UMTS Terrestrial Radio Access
Network (E-UTRAN) and Long Term Evolution (LTE) are used interchangeably
y In the SA working groups, the term System Architecture Evolution (SAE) was
used to signify a broad framework for the architecture work
y For some time the term LTE/SAE was used to described the new evolved system,
but now this has become known as the Evolved Packet System (EPS)

9 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Key Features of LTE to Meet Requirements

ƒ Selection of OFDM for the air interface

y Excellent performance in time dispersive environments without the need for
equalization at the terminal
y Broadcast efficiency in synchronous networks
y Access to both time and frequency domain allows additional flexibility in
scheduling (including interference coordination)
y Scalable OFDM allows easy extension to different transmission bandwidths

ƒ Integration of MIMO techniques

y Pilot structure to support 1, 2, or 4 Tx antennas in the DL, rank and pre-
coding feedback, MU-MIMO in the UL

ƒ Simplified network architecture

y Reduction in number of logical nodes Æ flatter architecture
y Clean separation of user plane and control plane

10 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Useful Documents: Download at http://www.3gpp.org or
http://felix1.de.lucent.com/3GPP/
ƒ Technical Reports
y TR 25.814: Physical Layer Aspects for Evolved UTRA
y TR 25.913: Requirements for Evolved UTRA and UTRAN

ƒ Technical Specifications
y TS 36.300: E-UTRAN Overall Description
y TS 36.101: UE Radio Transmission and Reception
y TS 36.104: Base Station Radio Transmission and Reception
y TS 36.211: Physical Channels and Modulation
y TS 36.212: Multiplexing and Channel Coding
y TS 36.213: Physical Layer Procedures
y TS 36.321: MAC
y TS 36.322: RLC
y TS 36.323: PDCP

11 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Comparison of Theoretical Peak Rates
Theoretical Peak Rate (Mbps)

86.4
90

80 Downlink (2x2)
Uplink (1x2)
70
Peak Rate (Mbps)

60
41.5
50

40
28.8
27.6
30
with 64-QAM
(optional in UE)
20 11.52

10 3.1 1.8

0
EV-DO rev.A (1.25 MHz) HSPA Rel'7 (5 MHz) LTE (10 MHz)

12 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 A Glance at Performance: Sector Throughput
Sector Throughput in 5 MHz
6

6 Downlink (2x2)
5.4
Uplink (1x2)

3.96
Sector Throughput (Mbps)

3.75
4
3.3

2 1.5
1.2 1.3

0
EV-DO rev.A HSPA Rel'7 WiMAX (10 MHz LTE
TDD 29:18)

• Source: Alcatel-Lucent Technology Comparison Whitepaper, May 15, 2008

13 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 A Glance at Performance: VoIP Capacity
VoIP Capacity in 5 MHz

194
200

180
155
160
VoIP Capacity (Erlangs)

140

105 100
120

100

80

60

40

20

0
EV-DO rev.A (EVRC) HSPA Rel'7 (AMR 7.95) WiMAX (10 MHz TDD LTE (AMR 7.95)
26:22, AMR 7.95)

• Source: Alcatel-Lucent Technology Comparison Whitepaper, May 15, 2008

14 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10.Scheduling and Resource Allocation in LTE
11.Handover
12.Overhead and Peak Rate Computations, Performance

15 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Evolved Packet System (EPS) Architecture: Goals
ƒ The goal of the System Architecture Evolution (SAE) effort in 3GPP is to develop a
framework for the evolution and migration of current systems to a system which
supports the following:
y high data rates
y low latency
y packet-optimized (all IP network)
y provides service continuity across heterogeneous access networks

ƒ Must allow co-existence with

GSM/EDGE
UMTS/HSPA and GSM/EDGE Æ should coverage
be possible to maintain a packet
session in a way that is seamless to the UMTS/HSPA
user of a multi-mode device coverage
LTE coverage
y Allows operators to gradually roll out
LTE in the areas of highest demand first
y Currently being extended to also
support EV-DO, and WiMAX

16 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 EPS Architecture Evolution
Internet Internet

U-plane
GGSN C-plane EPS GW

SGSN MME

Packet Core Network

Radio Access Network

RNC

eNB

NB
EPS
Architecture
UMTS Architecture

17 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 EPS Architecture: Core Network and RAN Nodes
Internet
ƒ In it simplest form, the EPS architecture
consists of 2 nodes in the core network:
EPS GW Mobility Management Entity (MME) and
EPS Gateway; and a single node in the
S11
U-plane RAN called the enhanced Node-B (eNB)
C-plane
MME S1-U ƒ A key feature of the EPS architecture is
the clean separation in the core network
Packet Core Network of control plane (MME) and the user
Radio Access Network plane (EPS gateway), allowing for
S1-MME
independent scaling of these two planes.

y Control plane functionality depends on

eNB number of mobiles and their mobility
patterns
y Capacity of user plane depends on
aggregate data throughput required

18 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 EPS Architecture: Core Network and RAN Nodes

ƒ Standard only describes logical nodes;

mapping of logical nodes to physical
nodes can follow a highly integrated or
MME/EPS GW MME/EPS GW distributed approach, depending on the
deployment condition and needs of the
operator

y Figure shows co-located EPS GW and MME

ƒ X2 interface is a logical interface which

connects eNBs with each other;
facilitates seamless mobility and
interference management

19 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 EPS Architecture: Functional Description of Nodes

ƒ MME – control plane functions

ƒ Idle mode UE reachability
ƒ Tracking area list management
ƒ S-GW/PDN-GW selection
ƒ Inter core network node signaling
ƒ eNB- contains all radio access
for mobility between 2G/3G and
functions
LTE
ƒ Radio admission control
ƒ NAS signaling
ƒ Scheduling of UL and DL data
ƒ Authentication
ƒ Scheduling and transmission of
ƒ Bearer management functions
paging and system broadcast
ƒ IP header compression (PDCP)
ƒ Outer-ARQ (RLC)

ƒ Serving Gateway
ƒ PDN Gateway
ƒ Local mobility anchor for inter-eNB handovers
ƒ UE IP address allocation
ƒ Mobility anchoring for inter-3GPP handovers
ƒ Mobility anchoring between 3GPP and
ƒ Idle mode DL packet buffering non-3GPP access
ƒ Lawful interception ƒ Connectivity to packet data network
ƒ Packet routing and forwarding

20 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

EPS Architecture: More on the eNB Functions
ƒ RRC – Radio Resource Control
ƒ Broadcast of system information, paging, NAS message transfer
ƒ Establishment, maintenance, and release of RRC connections (configuration of SRBs)
ƒ Establishment, maintenance, and release of P2P radio bearers
ƒ UE measurement reporting and control or reporting
ƒ Mobility functions: control of handover, UE cell selection/reselection

ƒ PDCP – Packet Data Convergence Protocol

ƒ Header compression/decompression (RoHC only)
ƒ In-sequence delivery of upper layer PDUs at handover for RLC-AM
ƒ Retransmission of PDCP SDUs at handover for RLC-AM

ƒ RLC – Radio Link Control

ƒ Error correction through ARQ provided by RLC Acknowledged Mode (AM)
ƒ ARQ-HARQ interaction possible due to co-located RLC and MAC
ƒ Segmentation or concatenation of SDUs “on demand” according to the transport block size
selected by MAC (RLC and MAC are co-located in eNB)
ƒ In sequence delivery of upper layer PDUs

ƒ MAC – Medium Access Control

ƒ Mux/demux of RLC PDUs belonging to same/different radio bearers into/from PHY
ƒ Traffic volume measurement reporting
ƒ Error correction through HARQ
ƒ Priority handling between logical channels for a UE
ƒ Priority handling between UEs through dynamic scheduling
ƒ Transport format and resource selection

21 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

User Plane and Control Plane Protocol Stacks
UE eNB s-GW PDN GW
IP IP

PDCP PDCP GTP-U GTP-U GTP-U GTP-U

User Plane
RLC RLC UDP UDP UDP UDP
IP IP IP IP
MAC MAC
PHY PHY

UE eNB MME
NAS NAS
RRC RRC S1-AP S1-AP
SCTP SCTP
PDCP PDCP Control Plane
IP IP
RLC RLC
MAC MAC
SCTP: stream control transmission protocol
PHY PHY (IETF RFC 2960)

22 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 EPS Architecture: Inter-working for 3GPP and non-3GPP
Access
GERAN

SGSN Non-3GPP Access

UTRAN
S3 S4

S1-MME MME S11

S5
E-UTRAN serving GW PDN GW Internet
S1-U

EPS Gateway

ƒ Serving GW anchors mobility for intra-LTE handover between eNBs as well as mobility between
3GPP access systems Æ HSPA/EDGE uses EPS core for access to packet data networks

ƒ PDN GW is the mobility anchor between 3GPP and non-3GPP access systems (SAE anchor
function); handles IP address allocation

ƒ S3 interface connects MME directly to SGSN for signaling to support mobility across LTE and
GERAN/UTRAN; S4 allows direction of user plane between LTE and GERAN/UTRAN (uses GTP)
23 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 EPS Architecture: Improved Mobility Between LTE and
3GPP2 (TR 36.938)

HRPD AN PDSN

S101
S2a

S1-MME MME S11

S5
E-UTRAN serving GW PDN GW Internet
S1-U

EPS Gateway

ƒ S101 interface enables interaction between EPS and EV-DO access to allow for
pre-registration and handover signaling with the target system

ƒ Tunneling is used for multi-mode LTE/EV-DO handsets to send EV-DO messages

transparently over LTE using UL/DL Information Transfer messages
24 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10.Scheduling and Resource Allocation in LTE
11.Handover
12.Overhead and Peak Rate Computations, Performance

25 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: Overlapping Yet Orthogonal

ƒ OFDM: Orthogonal Frequency Division Multiplexing

ƒ OFDMA: Orthogonal Frequency Division Multiple Access

ƒ FDM is nothing new: carriers are separated sufficiently in frequency so

that there is minimal overlap to prevent cross-talk
Conventional
FDMA

Frequency

ƒ OFDM: still FDM, but carriers can actually be orthogonal (no cross-talk)
while actually overlapping, if specially designed Æ saved bandwidth!

saved bandwidth OFDM

Frequency

26 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: What Do the Waveforms Look Like?
Δf = 1/T
ƒ This is what the overlapping carriers 1

actually look like in the frequency domain, 0.8

0.6

they are sinc functions 0.4

0.2

y These are referred to as subcarriers,

0

-0.2

because they are typically quite narrow

4 5 6 7 8 9
5
x 10

(e.g. 15 kHz) frequency

ƒ In the time domain, these are just simple
gated sinusoid functions. What is special
here to get orthogonality is the following: T = symbol time
1

0.8

y Each sinusoid has an integer number of 0.6

cycles over the symbol time: base

0.4

0.2

sinusoid is sin(2πt/T) with symbol time T

0

-0.2

Æ fundamental frequency is f0=1/T

-0.4

-0.6

-0.8

y The other sinusoids are have frequencies -1

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

which are integer multiples of the base

sinusoid: sin(2πkt/T), k = 0, 1, 2, … N Æ time
generates frequencies fk = k/T
27 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Basics of OFDM: Sending Modulation Symbols in Parallel

ƒ Because the subcarriers are orthogonal, we can send several symbols in parallel
using different subcarriers, and they will not interfere with each other

Example: BPSK symbols +1, -1, -1

1

0.5

-0.5

-1
0 0.2 0.4 0.6 0.8 1

Generic OFDM
+1 x Transmitter
1
1
0.5

-0.5
0.5
-1
0 0.2 0.4 0.6 0.8 1

-1 + 0

x -0.5

-1
0 0.2 0.4 0.6 0.8 1
1

0.5

-0.5

-1
0 0.2 0.4 0.6 0.8 1

-1 x

28 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: How to Extract the Symbols

ƒ Extracting the individual symbols relies on the orthogonality property of the

set of sine waves we are using over the symbol period T

⎛ 2πmt ⎞ ⎛ 2πnt ⎞
T

∫t =0 ⎜⎝ T ⎟⎠ sin⎜⎝ T ⎟⎠dt = 0
sin for m ≠ n

0.5

OFDM Receiver
-0.5

-1
0 0.2 0.4 0.6 0.8 1

T
2
( )
x T t =∫0 +1
1

0.5
1
0

-0.5

-1
0.5 0 0.2 0.4 0.6 0.8 1

T
2
( )
x T t =∫0 -1
0

-0.5
1

0.5

-1 0

0 0.2 0.4 0.6 0.8 1 -0.5

-1
0 0.2 0.4 0.6 0.8 1

T
2
( )
x T t =∫0 -1
29 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Basics of OFDM: The OFDM Symbol
ƒ An OFDM symbol denotes a set of subcarriers carrying modulation symbols.
The sinusoids are more generally represented as complex exponentials, and
the equation to generate an OFDM symbol is
K −1
⎛ j 2πkt ⎞
s (t ) = ∑ d k exp⎜ ⎟, t ∈ [0, T ], k = 0..K − 1
k =0 ⎝ T ⎠
ƒ Moving from the analog to the digital world, we sample with N samples over
the symbol period T and get

⎛ j 2πkn ⎞
K −1
s (n) = ∑ d (k ) exp⎜ ⎟, n = 0,.., N − 1, k = 0,.., K − 1
k =0 ⎝ N ⎠
Modulation Sampled sinusoid
symbols

ƒ This is seen to be simply the IDFT of the modulation symbols, which can be
implemented efficiently using the IFFT algorithm: s(n) = IFFT{dk}

30 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: Use of the IFFT/FFT
ƒ It is very efficient to make use of the fast Fourier transform (FFT) algorithm
in order to implement the IDFT and DFT operations in the transmitter and
receiver

OFDM Transmitter OFDM symbol

d(k)
Serial to IFFT Parallel s(n) s(t) RF
D/A

...
+1, -1, -1
...

Parallel to Serial Tx
1

0.5

-0.5

-1
0 0.2 0.4 0.6 0.8 1

OFDM Receiver

Parallel Serial to RF
FFT
...
...

to Serial Parallel A/D Rx

31 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: OFDM Symbols Sent Serially
ƒ While each OFDM symbol carries many modulation symbols in parallel on
orthogonal subcarriers, OFDM symbols themselves are sent serially in time

ƒ Example of sending one subcarrier per OFDM symbol with BSPK stream
+1, +1, -1
OFDM symbol 1 OFDM symbol 2 OFDM symbol 3
1

0.8

0.6

0.4

0.2

-0.2

-0.4

-0.6

-0.8

-1
0 0.5 1 1.5 2 2.5 3
time
32 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Basics of OFDM: How Can Orthogonality Be Lost?

ƒ The interference-free property of OFDM can be lost because of

y Intra-OFDM symbol interference: effects which cause subcarriers within an
OFDM symbol to lose orthogonality
y Inter-OFDM symbol interference: effects which cause interference between
OFDM symbols

ƒ Anything which causes the fundamental orthogonality property to be lost

leads to interference Æ we must have clean sinusoidal tones with an
integral number of cycles within the receiver window. Some of the things
which can prevent this from happening are:
y multipath
y timing offset
y frequency offset
y high doppler

33 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: High Doppler and Frequency Offset

ƒ Effect of high doppler

y When the doppler is high enough to cause appreciable channel variability during
an OFDM symbol time, this will distort the sinusoid and hence the orthogonality
between subcarrries is lost Æ inter-carrier interference (ICI)

ƒ Effect of frequency offset

y If there is a frequency offset between the transmitter and receiver, then we
will no longer have an integral number of cycles of the sinusoid in the receiver
window, and hence the sinusoids no longer have the orthogonal property Æ ICI
Without freq. offset With freq. offset
1
1
0.8

0.6

0.5 0.4

0.2

0
0
-0.2

-0.4
-0.5 -0.6

-0.8

-1 -1
0 0.2 0.4 0.6 0.8 1 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

T T
34 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Basics of OFDM: Timing Offset
ƒ If there is a timing offset for the receiver window, we again will not have a
complete cycle of the sinusoid, hence there is orthogonality loss

OFDM symbol 1 OFDM symbol 2 OFDM symbol 3

1

0.8

0.6

0.4

0.2

-0.2

-0.4

-0.6

-0.8

-1
0 0.5 1 1.5 2 2.5 3
time

timing offset

35 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: What Happens in Multi-path Channels?
(1/2)

ƒ The OFDM symbol time is chosen to be much longer than the expected
multi-path delay spread, which helps to minimize inter-OFDM symbol
interference

ƒ In order to mitigate ISI between OFDM symbols almost completely, a small

guard time is inserted between OFDM symbols
TG
OFDM symbol 1 OFDM symbol 2 OFDM symbol OFDM symbol

Multipath from OFDM symbol 1 Guard time prevents multi-path

interfering with OFDM symbol 2 interference between OFDM symbols

36 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: What Happens in Multi-path Channels?
(2/2)
ƒ Unfortunately, multi-path still is still causing a problem here, not between
OFDM symbols anymore (thanks to the guard time), but now between
subcarriers within an OFDM symbol

ƒ Simply filling the guard time with a Cyclic Prefix (CP) restores orthogonality
between the subcarriers within an OFDM symbol, even in the presence of
multipath. Also, sensitivity to timing offset is reduced!

OFDM symbol CP OFDM symbol

Multi-path adds a sinusoid component Appending a CP ensures we have a

without a complete cycle in the complete cycle of the sinusoid, as long
receiver window Æthis will not be as the CP length is larger than the
orthogonal to the other subcarriers worst case delay spread

37 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: Mathematical Way to Look at the CP

ƒ We can look at the cyclic prefix in a more mathematical way. When a

discrete time signal is sent through a linear, time-invariant multi-path
channel h(n), the output is the convolution of the two:
r ( n) = h( n) * s ( n) ⎡ ⎤ ⎡h(0) 0 0 ⎤
⎢ ⎥ ⎢ h(1) h(0) 0 ⎥⎥ ⎡ ⎤
⎢ ⎥ ⎢
ƒ This can be represented in matrix form as ⎢r ⎥ = Hs = ⎢h(2) h(1) h(0) ⎥ ⎢ s ⎥
⎢ ⎥ ⎢ ⎥⎢ ⎥
⎢ ⎥ ⎢ 0 h ( 2 ) h (1) ⎥ ⎢⎣ ⎥⎦
⎢⎣ ⎥⎦ ⎢⎣ 0 0 h(2)⎥⎦

ƒ By adding a cyclic prefix for s(n), the matrix equation can be re-written
where the Toeplitz convolution matrix H becomes circulant Æ the DFT
diagonalizes circulant matrices!

ƒ Let F denote the DFT matrix, here is what happens when we take the IDFT of
the transmitted symbols and take a DFT at the receiver:

Fr = FHF −1s = Λs
FFT in Rx IFFT in Tx Diagonal matrix Æ no multi-path interference

38 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Basics of OFDM: The Full OFDM Transceiver
ƒ It is very efficient to make use of the fast Fourier transform (FFT) algorithm
in order to implement the IDFT and DFT operations in the transmitter and
receiver
OFDM Transmitter

bit
stream Encoding + Serial to IFFT Parallel add RF

...
D/A
Interleaving
+ Modulation Parallel ... to Serial CP Tx

Estimated
bit stream Demod + de- Parallel Serial to remove RF
interleave + FFT
...

...

to Serial A/D
decode Parallel CP Rx

OFDM Receiver

39 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Basics of OFDM: Time-Frequency Grid Depiction
ƒ Often a time-frequency grid is used to depict a set of OFDM symbols
y Each square represents one subcarrier of an OFDM symbol

subcarrier spacing = Δf
frequency

Frequency = 3Δf
0.5

-0.5

-1
0 0.2 0.4 0.6 0.8 1

time 0.5
1

0
Frequency = 2Δf
1 OFDM symbol -0.5

-1
0 0.2 0.4 0.6 0.8 1

Frequency = Δf
0.5

0
1

-0.5

0.5
-1
0 0.2 0.4 0.6 0.8 1

-0.5

-1
0 0.2 0.4 0.6 0.8 1

40 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: Choosing the Symbol Time for LTE
ƒ The CP length must be chosen to be longer than the worst case multi-path
delay spread
ƒ Two competing factors in determining the right OFDM symbol time:
y The OFDM symbol time should be an order of magnitude larger than the CP
length to avoid significant overhead from the CP
y On the other hand, to maintain orthogonality of the subcarriers, there cannot
be significant variability in the channel during the OFDM symbol time, hence
the OFDM symbol time should be much smaller the shortest expected
coherence time of the channel
ƒ LTE is designed to operate in delay spreads up to ~5μs and for speeds up to
350 km/hr (1.2ms coherence time @ 2.6GHz). As such, the following was decided
y OFDM symbol time = 66.6 μs Æ subcarrier spacing = 1/66.6μs = 15 kHz
y CP length = 4.7 μs

∼4.7 μs ∼66.7 μs
Δf = 15 kHz

CP “Useful” OFDM symbol time

41 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: How Does it Compare with CDMA? (1/3)
ƒ In OFDM, a particular modulation symbol is carried over a relatively long symbol
time and a narrow bandwidth
y 66.6μs symbol time and 15 kHz bandwidth in LTE
y To get higher data rates, send more symbols by using more subcarriersÆ increases
bandwidth occupancy

ƒ In CDMA, a particular modulation symbol is carrier over a relatively short symbol

time and a wide bandwidth
y 4.17μs symbol time and 3.84 MHz bandwidth for HSDPA
y To get higher data rates, use more spreading codes
Symbol 2
Symbol 0 Symbol 3

OFDM
CDMA
Frequency

Frequency
Symbol 0
Symbol 1
Symbol 2
Symbol 3

Time Time
42 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Basics of OFDM: How Does it Compare with CDMA? (2/3)
Time Domain Perspective

ƒ Short symbol times in CDMA lead to ISI in the presence of multi-path

1 2 3 4 CDMA symbols

1 2 3 4 Multi-path reflections from one

symbol significantly overlap
1 2 3 4 subsequent symbols Æ ISI

ƒ Long symbol times in OFDM together with CP prevent ISI from multi-path

CP 1 CP 2

CP 1 CP 2 Little to no overlap
in symbols from
CP 1 CP 2 multi-path

43 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basics of OFDM: How Does it Compare with CDMA? (3/3)
Frequency Domain Perspective
Amplitude of ΔF
Channel Response OFDM subcarrier spacing ΔF <<
Channel coherence bandwidth

Frequency
fn 5 MHz

ƒ In CDMA, each symbol is spread over a large bandwidth, hence it will experience both
good and bad parts of the channel response in the frequency domain

ƒ In OFDM, each symbol is carried by a subcarrier over a narrow part of the band Æ
can avoid sending symbols where channel frequency response is poor, based on
frequency selective channel knowledge Æ frequency selective scheduling gain in
OFDM systems
44 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 Scalable OFDM for Different Operating Bandwidths
ƒ With scalable OFDM, the subcarrier spacing stays fixed at 15 kHz (hence
symbol time is fixed to 66.6 μs) regardless of the operating bandwidth
(1.4 MHz, 3 MHz, 5 MHz, 10 MHz, 15 MHz, 20 MHz)

ƒ The total number of subcarriers is varied in order to operate in different

bandwidths

y This is done by specifying different FFT sizes (i.e. 512 point FFT for 5 MHz,
2048 point FFT for 20 MHz)

ƒ Advantage of scalable OFDM: influence of delay spread, Doppler due to

user mobility, timing accuracy, etc. remain the same as the system
bandwidth is changed, given that the symbol time and CP length are
constant Æ robust design

45 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

46 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Duplexing Modes: Support for FDD and TDD-1
ƒ LTE supports both Frequency Division Duplex (FDD) and Time Division
Duplex (TDD) to provide flexible operation in a variety of spectrum
allocations around the world

ƒ Unlike UMTS TDD, there is a high degree of commonality between LTE

TDD and LTE FDD Æ TDD operators can also enjoy economies of scale

y Slot length (0.5ms) and subframe length (1ms) is the same as LTE FDD, with
the same numerology (OFDM symbol times, CP lengths, FFT sizes, sample
rates, etc.)
y UL/DL switching points &
gaps designed to allow co-
existence with UMTS TDD •TD•-
•SCDMA• •LTE TDD•
(TD-CDMA/TD-SCDMA) •5ms LCR TDD frame•

•frame offset• • •

•5ms LTE •DL portion• •UL portion• •Transmission gap •/

•TDD frame• •(•d
• symbols)• •(•u
• symbols)• • idle period•
47 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Duplexing Modes: Support for FDD and TDD-2

ƒ 7 DL:UL allocations have been specified (indicated in broadcast channel)

y Subframes #0 and #5 are always DL subframes, as they carry the synchronization
channels (for cell search) and the broadcast channels (for system information)
y Bundling of ACK/NACKs sent in UL used in configurations #1-5
y Multi-TTI scheduling of uplink for configuration #0

Switch point Subframe number

Configuration DL:UL
periodicity 0 1 2 3 4 5 6 7 8 9
#0 5 ms 1:3 D S U U U D S U U U
#1 5 ms 2:2 D S U U D D S U U D
#2 5 ms 3:1 D S U D D D S U D D
#3 10 ms 6:3 D S U U U D D D D D
#4 10 ms 7:2 D S U U D D D D D D
#5 10 ms 8:1 D S U D D D D D D D
#6 5 ms 3:5 D S U U U D S U U D

48 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Duplexing Modes: Half Duplex FDD
ƒ In addition to FDD and TDD, LTE also supports Half Duplex FDD (HD-FDD)

ƒ HD-FDD is like conventional FDD, only the mobile cannot transmit and
receive at the same time
FDD half-duplex FDD TDD
fDL fDL fDL/UL
fUL fUL

ƒ Note that the eNB can still transmit and receive at the same time to
different mobiles; half-duplex operation is enforced by the eNB scheduler

ƒ Why do we have HD-FDD?

y Handset is cheaper as no duplexer is required, more commonality between a
TDD and a HD-FDD handset than compared to a full duplex FDD handset
y Certain FDD spectrum allocations have a small duplex spacing already, leading
to duplex desense in the mobile
– 700 MHz upper C block has only 30 MHz duplex spacing

49 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Frequency Bands

ƒ LTE will support all the band classes currently specified for UMTS as
well as additional bands

IMT-2000 core 3G band

PCS band

AWS band
Cellular band

2.6 GHz IMT-2000

3G extension
band

Lower 700 MHz band

Upper 700 MHz band

50 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

51 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Review: Radio Resource Control (RRC) States in UMTS
RRC Connected Mode
Triggered by data activity
Triggered by data inactivity
URA_PCH or
CELL_PCH

Establish RRC
connection
Idle Mode
CELL_FACH CELL_DCH

Release RRC
connection

ƒ UMTS defined several RRC connected mode states to allow varying degrees
of connection to the network, in order to optimize mobile battery lifetime
and base station channel card resources
y URA_PCH, CELL_PCH Æ dormant state
y CELL_FACH Æ connection-less packet data transfer for small amounts of data
y CELL_DCH Æ fully connected, optimized data transfer (HSPA applicable here)

52 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 Simplification of RRC States in LTE
Always initiated by UE:
uplink data to send, uplink
signaling to send (TA update),
paging response from eNB for
DL data

Establish RRC connection

RRC_IDLE RRC_CONNECTED
Release RRC connection

• RRC connection and context in eNB

• No RRC connection, no context in eNB (but EPS
bearers are retained) • Network controlled mobility
• Transfer of unicast/broadcast data to and
• UE control mobility through cell re-selection
from the UE
• UE-specific paging DRX cycle controlled by • UE monitors control channels associated
upper layers with the shared data channel
• UE acquires system information from BCH • UE provides channel quality and feedback
• UE monitors paging channel to detect incoming information
calls • Connected mode DRX can be configured by
eNB according to UE activity level for power
Main motivation for RRC_IDLE is to reduce number of contexts savings and efficient resource utilization
in the eNB and to avoid excessive network control handovers

53 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Paging Procedure in RRC_IDLE

ƒ UE’s grouped into paging groups in different paging occasions

ƒ Paging occasions distributed in time to avoid physical channel overload

y i.e. when all UEs need to be paged because of a change of system
information
ƒ In order to save battery lifetime in RRC_IDLE, UE powers down
transceiver between paging occasions (paging DRX cycle)
y UE-specific DRX can be configured, to trade-off call setup latency vs.
power savings (i.e. some devices are more in need of power saving)

N paging occasions

DRX cycle length

54 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

DRX in RRC_CONNECTED

ƒ eNB controlled DRX for the UE is supported to enable improved battery

lifetime in RRC_CONNECTED state, without having to resort to RRC_IDLE state
y RRC_IDLE Æ RRC_CONNECTED requires handshaking with the core network

ƒ DRX values may range from no-DRX up to x seconds, where x can be as long as
the paging DRX cycle
ƒ During the On Duration, the UE shall monitor the physical downlink control
channel for DL/UL scheduling grants

ƒ After a DRX Inactivity Timer expires, an optional Short DRX Cycle can be used
ƒ After the Short DRX Inactivity Timer expires, the Long DRX Cycle is used

On Duration Opportunity for DRX

Short DRX cycle Long DRX cycle

55 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

EPS Connection Management (ECM) States
Signaling connection
released

ECM_IDLE ECM_CONNECTED
Signaling connection
established

• No signaling connection • Signaling connection is

between UE and core established between the UE
network (no S1-U, S1-MME) and MMEÆ consists of two
components: RRC connection
• No RRC connection
and S1-MME connection
(RRC_IDLE)
• UE location is known to the
• UE performs cell reselection
accuracy of the cell ID
and tracking area updates
(TAU)

56 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

EPS Mobility Management (EMM) States

Detach

EMM_DEREGISTERED EMM_REGISTERED
Attach

• EMM context holds • UE successfully registers

no valid location or with MME with Attach
routing info for UE procedure or a Tracking
• UE is not reachable Area Update (TAU)
by the MME, as the procedure
UE location is not • UE location is known
known within tracking area
• MME can send page to UE
• UE always has at least one
active PDN connection

57 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Basic Steps in Establishing a Packet Connection in LTE
1. UE goes through cell selection/ reselection
and camps on cell
MME
ƒ Look for synchronization channel, decodes
broadcast channel to figure out how to use RACH
eNB sGW

2. RRC connection establishment

ƒ Use common control channel (CCCH) to establish a MME
signaling connection with the RAN to create
signaling radio bearers (SRBs) sGW
eNB

3. Direct transfer messages (NAS) to attach to

core network
ƒ UE sends IMSI or old GUTI* to register identity with MME
MME (attach request) on signaling RBs
ƒ MME requests default EPS bearer establishment eNB sGW
with serving GW (IP address allocated) Æ always-
on IP connectivity

4. EPS and radio bearer establishment

ƒ sGW grants EPS bearer request after consulting
MME
PDN GW; MME accepts attach request
eNB sGW
ƒ Radio bearer establishment takes place
58 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
*Globally Unique Temporary Identifier- uniquely identifies the MME which allocated the GUTI as well as the UE within the MME
Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

59 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Scalable OFDMA

ƒ The LTE downlink uses scalable OFDMA

y Fixed subcarrier spacing of 15 kHz for unicast
– symbol time fixed at T = 1/15kHz = 66.67 μs

y Different UEs are assigned different sets of subcarriers so that they remain
orthogonal to each other (except MU-MIMO)

bit
stream Serial to
user 1 Encoding + Parallel
Interleaving
+ Modulation IFFT Parallel add

...
to Serial CP
bit Serial to
stream Parallel
user 2 Encoding +
Interleaving 20 MHz: 2048 pt IFFT
+ Modulation
10 MHz: 1024 pt IFFT
5 MHz: 512 pt IFFT

60 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Physical Channels to Support the LTE Downlink (Unicast)

Allows mobile to get timing and

frequency sync with the cell

n n e l (SCH)
a
ni z a t ion Ch
ro
Carries basic system Synch
broadcast information
n e l ( PBCH)
n
a d c a st Cha
al B r o
Physic H)
Carries DL traffic
n n e l (PDSC
a
k S h a red Ch
in
Downl )
Phy si c a l
n e l ( PDCCH eNode-B
an
rol Ch
DL scheduling grant
C o n t H)
D o w n link n e l ( PCFIC
al an Time span of PDCCH
Physic n d ic a tor Ch
I
ormat
l C o n tr o l F
e l (P HICH)
a n
Physic i ca tor Ch
an
I n d HARQ feedback
y s i c a l HARQ for UL
Ph )
n e l ( PUCCH
an
C o nt rol Ch
k
y si c a l Uplin
Ph

UE HARQ feedback for DL

CQI reporting

61 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Mapping of Logical, Transport, Physical
Channels
LTE makes heavy use of shared channels
Æ common control, paging, and part of
PCCH: paging control channel broadcast information carried on PDSCH
BCCH: broadcast control channel

CCCH: common control channel

DCCH: dedicated control channel

DTCH: dedicated traffic channel

PCH: paging channel

BCH: broadcast channel

DL-SCH: DL shared channel

62 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink Frame Format

subframe = 1.0ms

slot = 0.5ms slot = 0.5ms

ƒ Subframe length is 1ms

y consists of two 0.5ms slots
ƒ 7 OFDM symbols per 0.5ms slot Æ 14 OFDM symbols per 1ms subframe

63 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Channel Structure and Terminology
subframe

Physical Resource Block (PRB)

first 1...3 OFDM symbols reserved = 14 OFDM Symbols x 12
f Subcarrier for L1/L2 control signaling Subcarrier
(PCFICH, PDCCH, PHICH)
This is the minimum unit of
allocation in LTE
one
OFDM
symbol

PRB
15 kHz

Resource Element is a
single subcarrier in an
OFDM symbol

Slot (0.5 ms) Slot (0.5 ms)

Subframe (1 ms)
t
64 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Figures courtesy of Andreas Weber
LTE Downlink: Maximum Number of Resource Blocks
frequency
100 PRBs

75 PRBs

1.4 MHz is for

FDD only

50 PRBs 1.6 MHz and

20 3.2 MHz is for
TDD only
MHz
15
MHz

25 PRBs 10
MHz
16 PRBs
15 PRBs 5
7 PRBs 3 3.2 MHz
1.4 1.6 MHz MHz
6 PRBs MHz
MHz

65 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink Numerology (FDD)
Number of
Sampling
FFT Size Usable Occupied BW
Frequency
Subcarriers*
FFT sizes chosen
1.4 MHz 128 1.92 MHz 72 1.08 MHz such that sampling
rates are a multiple of
the UMTS chip rate
3 MHz 256 3.84 MHz 180 2.7 MHz
(3.84 MHz)

5 MHz 512 7.68 MHz 300 4.5 MHz

10 MHz 1024 15.36 MHz 600 9 MHz Eases implementation

of dual mode
UMTS/LTE terminals
15 MHz 1536 23.04 MHz 900 13.5 MHz

20 MHz 2048 30.72 MHz 1200 18 MHz

*DC subcarrier is not used in the LTE DL. Reason: direct conversion receivers (zero IF) in
UE can introduce significant distortion on baseband signal components near 0 Hz

66 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Common Reference Signal (RS) Structure

Physical Resource Block (PRB)

Reference Symbol
f

Reference signal is staggered in

the time-frequency plane;
mobile interpolates to obtain a
2-D picture of the channel

Subframe (1 ms)

67 | LTE Fundamentals | May 2008

Figures courtesy of Andreas Weber All Rights Reserved © Alcatel-Lucent 2008
 LTE Downlink: Common RS Structure for 1, 2, and 4
Antenna Ports
RS overhead
R0 R0
¾ 4.8% for 1 Tx
Port

Physical Resource Block

¾ 9.5% for 2 Tx
antenna port

R0 R0
Antenna

f R0 R0
¾ 14.3% for 4 Tx
One One

R0 R0
l=0 l=6 l=0 l=6

Resource (k, l )
Element
Resource element (k,l)
¾In the multi-antenna case, there
is a need for a RS power boost to
overcome interference from
Ports

R0 R0 R1 R1

not used for

neighbor cell data transmission
antenna ports

R0 R0 R1 R1 transmission
Not used for transmission on this antenna port
Antenna

R0 R0 R1 R1 Reference Symbols
Reference symbols on this antenna port
¾Cell-specific frequency shift of
TwoTwo

for this antenna port

R0 R0 R1 R1
RS position to avoid RS overlap
l=0 l=6 l=0 l=6 l=0 l =6 l =0 l=6

R0 R0 R1 R1 R2 R3
Ports
antenna ports

R0 R0 R1 R1 R2 R3
Antenna

R0 R0 R1 R1 R2 R3
FourFour

R0 R0 R1 R1 R2 R3

l=0 l=6 l=0 l=6 l=0 l =6 l =0 l=6 l =0 l=6 l=0 l =6 l=0 l=6 l=0 l=6
even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots

Antenna Port
Antenna port 0 0 Antenna Port
Antenna port 11 Antenna
AntennaPort
port 2 2 Antenna
AntennaPort
port 3 3

68 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Dedicated Signal (RS) Structure in Support
of Beamforming

Physical Resource Block (PRB) Common Reference

Symbol (Antenna Port 0)
Common Reference
f Symbol (Antenna Port 1)

Dedicated Reference
Symbol

¾UE can be configured to use a

dedicated RS for data
demodulation
¾sent only within those PRBs in
which data is scheduled for
the UE
¾beamforming weights applied
to dedicated RS
Subframe (1 ms)

69 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Downlink: PBCH, SCH Location in Time & Frequency
Primary sync channel (P-SCH) and secondary sync
PBCH P-SCH S-SCH
channel (S-SCH) for cell search

10ms radio frame contains 10 subframes (20 slots)

0 1 2 3 4 5 6 7 8 9

1 ms subframe

0 1 2 3 4 5 6 0 1 2 3 4 5 6
f
1.4 3 5 10 20
1.08 MHz MHz MHz MHz MHz MHz

innermost 6 PRBs (72

slot (0.5 ms) slot (0.5 ms) subcarriers = 1.08
MHz) Æ same
structure used for all
subframe (1 ms) system bandwidths

Figures courtesy of Andreas Weber

70 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Downlink: Basics of Cell Search
ƒ There are 504 unique physical layer cell IDs, organized in 168 groups of 3

1. Mobile searches for P-SCH location in time and

frequency; gives OFDM symbol boundaries
• 5ms period in time, center 72 subcarriers of system
bandwidth; 3 possible sequences
5 ms

2. Once P-SCH is acquired, the S-SCH location is known,

and S-SCH is scrambled based on P-SCH sequence; S-SCH
indicates the 10ms radio frame boundaries, and allows
the mobile to obtain the group ID (168 group IDs); P-SCH
+ S-SCH acquisition gives physical layer cell ID 10 ms

3. Knowledge of the transmission timing and physical layer

cell ID allows the mobile to find the position of the
downlink reference symbols (6 possible frequency shifts)
as well as the pseudo-random sequence used

1.08 MHz
4. Once the downlink reference signal is obtained, the
mobile can decode the broadcast channel (PBCH)
10 ms

71 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Primary and Dynamic BCH (P-BCH, D-BCH)
ƒ The Broadcast Channel (BCH) is used to broadcast system information; fixed,
pre-defined transport format (QPSK, R=1/3 convolutional code, 16-bit CRC), needs
to be heard over entire cell coverage (soft combining used to improve coverage)
y Dimensioning of BCH is critical Æ overhead should be kept low

ƒ In LTE, the BCH is split into two channels

y P-BCH: Primary BCH provides fast access to the minimum required amount of
information for efficient discovery/mobility procedures Æ carries Master Information
Block (MIB); MIB tells where to find SIBs
– The primary BCH is mapped to the physical broadcast channel (PBCH)

y D-DCH: Dynamic BCH, delivers semi-static information valid for a longer time period;
access is not as time critical Æ carries System Information Blocks (SIBs).
– The dynamic BCH is mapped to the downlink shared channel (PDSCH)

– Each SIB encapsulates the same type of network information (i.e. power control,
RACH parameters), each SIB will have different frequency of update

MIB carried on P-BCH

SIB 1 SIB 2 SIB N carried on D-BCH

72 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: P-BCH and D-BCH
ƒ The following characterizes PBCH transmission
y Transmitted in subframe#0 in the radio frame; 4 self-decodable PBCH bursts per PBCH TTI of
40ms (to allow soft-combining) Æ mobiles in good radio conditions can decode PBCH early
y PBCH CRC mask used to carry information on # of Tx antennas (1, 2, or 4)
– For 2 and 4 Tx cases, Tx diversity is used on PBCH (SFBC)
y Carries following parameters in the Master Information Block (MIB)
– Downlink system bandwidth, RS Tx power, SFN, scheduling information for D-BCH
10ms

PBCH TTI of 40ms

ƒ D-BCH is mapped to the downlink shared channel and carried on PDSCH

y PDCCH informs UEs of PRB location, located in subframe #5 in the radio frame (QPSK only)
y SIBs are mapped onto Scheduling Units (SU); most frequently scheduled SU is called SU-1 Æ
fixed schedule with effective TTI of 80ms (soft-combing of 8 bursts, bursts may not be self-
decodable Æ eliminates need for higher layer segmentation which incurs overhead)

10ms 80ms
73 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Downlink: Paging Channel

ƒ Paging Channel (PCH) utilizes downlink shared channel structure

y Paging indication on PDCCH (carries P-RNTI, which is the paging group ID)
y Paging message on PDSCH (carries actual UE IDs); QPSK only

ƒ Paging occasions distributed in time to avoid overload on PDCCH

y i.e. when all UEs need to be paged because of a change of system
information

N paging occasions

DRX cycle length

74 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Physical Downlink Control Channel (PDCCH)
ƒ PDCCH carries Downlink Control Information (DCI)
y DCI uses QPSK with R=1/3 convolutional code
y 16-bit CRC is attached which is scrambled with the UE ID

Format Purpose Description # of

bits
RB assignment, MCS, hopping flag, NDI, cylic-shift of DM-RS, CQI
0 UL Grant 44
request, 2-bit PUSCH TPC command; mask for antenna selection
Resource alloc. header, RB allocation, MCS, HARQ PID, NDI, RV, 2-bit
1 DL Grant for SIMO 55
PUCCH TPC command
Compact DL Grant for Same as format 1, but with reduced RB allocation flexibility and
1A 44
SIMO addition of distributed transmission flag
Paging, RACH Reduced payload for improved coverage: always uses QPSK on assoc.
1C 26
response, D-BCH PDSCH, restricted RB allocation, restricted TBS, no HARQ information
Similar to format 1, but MCS/NDI/RV is per codeword, and information
2 MIMO DL Grant 71
on selected # of layers and precoding matrix is included
1-bit UL Power
3 TPC commands for 28 UEs plus 16 bit CRC 44
Control
2-bit UL Power
3A TPC commands for 14 UEs plus 16 bit CRC 44
Control
75 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Downlink: PDCCH Transmission-1
ƒ A Control Channel Element (CCE) is defined as a set of 9 Resource Element
Groups (REGs), where a REG corresponds to 4 consecutive useful RE (hence 36 RE
in a CCE)
ƒ A PDCCH transmission is mapped to a set of 1, 2, 4, or 8 CCEs
y High levels of aggregation used for mobiles in poor radio conditions and to support
DCI formats with larger payloads
ƒ CCE to REG mapping allows for interference randomization and diversity
y CCE interleaving, cell-specific scrambling and shifting

Control channel
candidates
n CCEs 0 1 2 3 4 5 6 7 n-1

REG
Reference symbols

L1/L2
freq control
time

76 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: PDCCH Transmission-2

ƒ The effective code rate for the PDCCH transmission depends on the
PDCCH format as well as the number of aggregated CCEs

CCE Aggregation Level

Format # of bits
1 2 4 8
0, 1A, 3, 3A 44 0.61 0.31 0.15 0.08
1 55 0.76 0.38 0.19 0.10
1C 26 0.36 0.18 0.09 0.05
2 71 0.99 0.49 0.25 0.12

77 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: PCFICH Transmission
ƒ Physical Control Format Indicator Channel (PCFICH) indicates the number of
OFDM symbols (n = 1, 2, or 3) which are used to transmit L1/L2 control
y CFI = {1, 2, 3, 4} (4 is reserved for future use), coded to 32 bits
y QPSK modulation is used
ƒ PCFICH uses 4 REGs (= 16 RE) and is mapped to the first OFDM symbol in fixed
locations
y 4 REGs are uniformly distributed over the system bandwidth for diversity
y Shifted according to cell ID

78 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: PHICH Transmission
ƒ Physical HARQ Indicator Channel (PHICH) carries the ACK/NACK in the downlink
to support uplink HARQ
ƒ Multiple PHICHs are mapped to the same set of REs, and are called a PHICH group
y PHICH group occupies 3 REGs (= 12 RE) and uses BPSK modulation
y PHICH group supports 8 PHICHs (i.e. 8 ACK/NACKs), separated by orthogonal sequences
ƒ Implicit mapping is used between location of 1st PRB in UL allocation and PHICH
group/sequence
ƒ REGs within a PHICH group scattered for interference randomization and diversity

•REG for PCFICH •REG for PHICH group 1 •REG for PHICH group 2

•cell ID=0

•cell ID=1

•cell ID=2

•cell ID=3
•cell ID=4

79 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Downlink Shared Channel (DL-SCH)
ƒ DL-SCH transport channel carries scheduled packet data and is mapped
onto the physical downlink shared channel (PDSCH)

Transport block CRC 24 bit CRC

attachment

Per-code-block CRC for multiple code blocks allows power

Code block segmentation and
code block CRC attachment savings in decoder with early termination, also allows parallel
processing of code words in a MIMO SIC receiver. Max code
block size = 6114 bits.
Channel coding R=1/3 turbo code from UMTS but with improved turbo interleaver
(QPP) which allows efficient parallelization to reduce latency

Rate matching Simplified circular buffer rate matching with sub-block

interleaving; rate matching is per code block to allow parallel
processing of multiple code blocks
Code block
concatenation

Bit-level scrambling Per-user bit level scrambling introduced for

interference randomization

Modulation PDSCH supports QPSK, 16-QAM, and 64-QAM

80 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Downlink: Summary of Channels

Transport Channel Coding scheme Physical Channel Modulation

DL-SCH Turbo R=1/3 PDSCH QPSK, 16-QAM, 64-QAM

BCH Convolutional R=1/3 PBCH QPSK

PCH Turbo R=1/3 PDSCH QPSK

MCH Turbo R=1/3 PMCH QPSK, 16-QAM, 64-QAM

Control Information Coding Scheme Physical Channel Modulation

CFI Block code R=1/16 PCFICH QPSK

HI Repetition R=1/3 PHICH BPSK

Convolutional R=1/3
DCI PDCCH QPSK
with repetition/puncturing
depending on CCE aggregation
level

81 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

82 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

Physical Channels to Support LTE Uplink
Traffic and channel
Random access fpr initial sounding reference
access and UL timing signal
alignment

)
ne l ( PRACH
an
A cc ess Ch
m
si ca l Rando ( PUSCH
)
Phy an n e l
S h a r ed C h
ink
UL scheduling request for
h y s i c al Upl
time synchronized UEs P )
n e l ( PUCCH
an
C o nt rol Ch
k
y si c a l Uplin
Ph )
n el ( PDCCH
n t rol Ch
an eNode-B
C o
a l D o wnlink ( P HICH)
Ph y s i c n n e l
d i ca tor Cha
In
s i ca l HARQ
Phy

UE HARQ feedback

UL scheduling grant

83 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink: Mapping of Logical, Transport, Physical
Channels

CCCH: common control channel

DCCH: dedicated control channel

DTCH: dedicated traffic channel

RACH: random access channel

UL-SCH: UL shared channel

PUSCH: physical UL shared channel

PUCCH: physical UL control channel

PRACH: physical random access channel

84 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink: Multiple Access Scheme
ƒ To facilitate efficient power amplifier design in the UE, 3GPP chose single
carrier frequency domain multiple access (SC-FDMA) in favor of OFDMA for
uplink multiple access
ƒ SC-FDMA improves the peak-to-average power ratio (PAPR) compared to OFDM
y ~4 dB improvement for QPSK, ~2 dB improvement for 16-QAM
y Reduced power amplifier cost for mobile
y Reduced power amplifier back-off Æ improved coverage

ƒ SC-FDMA is still an orthogonal multiple

access scheme
UE A

y UEs are orthogonal in frequency UE B

y Synchronous in the time domain through Node B

UE C
the use of timing advance (TA) signaling
– Only need to be synchronous within a α UE A Transmit Timing

fraction of the CP length

β UE B Transmit Timing
– 0.52 μs timing advance resolution
γ UE C Transmit Timing

85 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: SC-FDMA via OFDMA with DFT pre-coding
ƒ SC-FDMA implemented using an OFDMA front-end and a DFT pre-coder, this
is referred to as DFT-spread OFDMA (DFT-SOFDMA)
y Advantage is that numerology (subcarrier spacing, symbol times, FFT sizes,
etc.) can be shared between uplink and downlink
y Can still allocate variable bandwidth in units of 12 subcarriers (180 kHz)

bit
stream Encoding + Serial to Subcarrier Parallel add
DFT

...
Interleaving IFFT

...
..

..
+ Modulation Parallel mapping to Serial CP

0
0

L-1 zeros

Localized Rejected in 3GPP due

Distributed
from to IFFT from to IFFT
DFT DFT
L-1 zeros
to poor channel est.
performance and
sensitivity to
L-1 zeros
0

frequency offset
0

86 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink: DFT-SOFDMA-1

ƒ DFT spreading of modulation symbols reduces PAPR, but also leads to the
possibility of inter-symbol interference (ISI)
y In OFDM, each modulation symbols “sees” a single 15 kHz subcarrier (flat channel)
y In DFT-SOFDM, each modulation symbol “sees” a wider bandwidth (i.e. m x 180
KHz) Æ if channel is frequency selective within allocated bandwidth the we get ISI
– Equalization is required in the SC-FDMA receiver
– Simple one-tap frequency domain equalization facilitated by use of CP

OFDMA SC-FDMA
Δf = 15 kHz

DFT pre-coding

+1 -1 -1 +1 -1 -1 +1 -1 +1 +1 +1 -1 +1 -1 -1 +1 -1 -1 +1 -1 +1 +1 +1 -1

87 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink: DFT-SOFDMA-2

OFDMA
Channel Δf
H(f)

+1 +1 -1 +1 -1 ... +1 -1 Frequency

Channel SC-FDMA
H(f)

+1 +1 -1 +1 -1 ... +1 -1 Frequency

88 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink: DFT-SOFDM Transmitter and Receiver Chain

bit
stream Encoding +
add RF
SÆP

...
DFT IFFT PÆS

...
Interleaving D/A

...
+ Modulation CP Tx

Subcarrier mapping

Subcarrier demapping

Demod +
de-
PÆS IDFT Equalizer FFT remove RF
...

...
SÆP
...

...
interleave A/D
+ decode CP Rx

89 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink: Frame Format
subframe = 1.0ms

slot = 0.5ms slot = 0.5ms

66 μs symbol
4.7 μs CP
Carries DM-RS

ƒ Subframe length is 1 ms
y 1ms subframe consists of two 0.5ms slots (can hop on slot boundaries)
ƒ 7 SC-FDMA symbols per 0.5 ms slot
y 6 SC-FDMA symbols used to carry data
y center SC-FDMA symbol used for the data demodulation reference signal (DM-RS)

90 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink Numerology

Number of
Sampling Occupied
FFT Size Usable
Frequency BW
Subcarriers

1.4 MHz 128 1.92 MHz 72 1.08 MHz

3 MHz 256 3.84 MHz 180 2.7 MHz Same numerology

between uplink and
5 MHz 512 7.68 MHz 300 4.5 MHz downlink

10 MHz 1024 15.36 MHz 600 9 MHz

15 MHz 1536 23.04 MHz 900 13.5 MHz

20 MHz 2048 30.72 MHz 1200 18 MHz

91 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: Reference Signals-1
1. Data demodulation reference signal (DM-RS)
y Sent with each packet transmission in order to demodulate data
y Occupies center SC-FDMA symbol of the slot
y Possibility to signal different sequences (cyclic shift of base CAZAC
sequence) for use with MU-MIMO

2. Sounding reference signal (SRS)

y Used to sound uplink channel to support frequency selective scheduling
– Channel sensitive scheduling in both time and frequency

y SRS parameters are UE specific and configured semi-statically

– SC-FDMA symbol position (one symbol in subframe used for SRS)
– Periodicity: {2, 5, 10, 20, 40, 80, 160, 320} ms
– Bandwidth: narrowband or wideband (does not include PUCCH region)
– Frequency hopping
y SRS is not sent when there is a scheduling request (SR) or CQI to be sent on
PUCCH (to avoid multi-carrier transmission)

92 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: Reference Signals-2
SRS

ƒ DM-RS transmitted only over

bandwidth allocated to UE
UE 1
ƒ SRS can be transmitted over a
DM-RS wide bandwidth to allow
UE 1
channel quality estimation by
the eNB uplink scheduler
y Cyclic shift orthogonal
UE 2
sequences used to separate
DM-RS out different UEs SRS
UE 2
y Repetition factor (RPF) = 2
creates two frequency combs
for increased multiplexing
UE 3 capability
DM-RS
UE 3

Slot = Slot =
0.5ms 0.5ms

93 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Downlink: Uplink Shared Channel (UL-SCH)
ƒ UL-SCH transport channel carries scheduled packet data and is mapped
onto the physical uplink shared channel (PUSCH)

Transport block CRC 24 bit CRC

attachment

Per-code-block CRC allows power savings in decoder with early

Code block segmentation and termination, also allows parallel processing of code words in a
code block CRC attachment
MIMO SIC receiver. Code block size = 6114 bits.

Channel coding R=1/3 turbo code from UMTS but with improved turbo interleaver
(QPP) which allows efficient parallelization to reduce latency

Rate matching Simplified circular buffer rate matching with sub-block

interleaving; rate matching is per code block to allow parallel
processing of multiple code blocks
Code block
concatenation

ACK/NACK
Data + control MUX Multiplexing of ACK/NACK and/or CQI if needed
CQI

Per-user bit level scrambling introduced for

Bit-level scrambling
interference randomization

Modulation
PUSCH supports QPSK, 16-QAM, and optionally 64-QAM

94 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: Physical Uplink Control Channel (PUCCH)
ƒ PUCCH carries ACK/NACK and CQI to support the downlink, as well as scheduling
requests (SR) for the uplink
y PRBs on the two extreme ends of the frequency band are semi-statically reserved
y Hopping at the slot boundary for extra frequency diversity
y Number of PUCCH PRBs reserved semi-statically based on required amount of control
resource 1 resource 0
resource 3 resource 2
System BW

PUSCH
PUCCH
resource 2 resource 3
resource 0 resource 1

0.5ms slot 0.5ms slot

ƒ PUCCH is never transmitted simultaneously with PUSCH, in order to maintain

single-carrier transmission
y If ACK/NACK or CQI needs to be sent when there is PUSCH transmission, it must be
multiplexed together with PUSCH

95 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

LTE Uplink: PUCCH Formats

Format Modulation Purpose # of bits per

subframe

1 (On/Off Keying) Scheduling Request (SR) N/A

1a BPSK ACK/NACK for SIMO 1

1b QPSK ACK/NACK for MIMO 2

2 QPSK CQI/PMI/RI 20

2a QPSK + BPSK CQI/PMI/RI + ACK/NACK (SIMO) 21

2b QPSK + QPSK CQI/PMI/RI + ACK/NACK (MIMO) 22

96 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: PUCCH Format 1a/1b for ACK/NACK
ƒ 1 bit for SIMO (format 1a: BPSK), 2 bits for MIMO (format 1b: QPSK)
y ACK/NACK is repeated 8 times and spread with length 12 CAZAC sequence in frequency
y CDM of ACK/NACK from different UEs by using different cyclic shifts of CAZAC sequence
y To further increase multiplexing capability, block-wise spreading via wi is added over each slot
y Example: Use 6 cyclic shifts and 3 orthogonal RS covers gives 18 multiplexed UEs per resource

ƒ PUCCH resource for ACK/NACK transmission is related to CCEs utilized for PDCCH to
convey corresponding DL scheduling grant

CAZAC ACK/NACK copy

IFFT IFFT IFFT IFFT

w0 w1 Reference symbols w2 w3 resource 1 resource 0
Orthogonal cover
resource 3 resource 2

PUSCH

resource 2 resource 3
resource 0 resource 1
0.5ms slot
0.5ms slot 0.5ms slot

97 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: PUCCH Format 1 for Scheduling Request
ƒ On/Off keying based on ACK/NACK design
y Two sequences: length 4 + length 3

y Compatibility with ACK/NACK transmission from different UE

ƒ SR resource on PUCCH is configured via RRC (time multiplexing and sequence #)

ƒ ACK/NACK and SR from same user can be multiplexed
y If SR needs to be sent, then ACK/NACK is transmitted using the assigned SR PUCCH resource

resource 1 resource 0
resource 3 resource 2

copy
PUSCH

Sequence 1 resource 2 resource 3

resource 0 resource 1
Sequence 2
0.5ms slot 0.5ms slot

98 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: PUCCH Format 2 for CQI/PMI/RI
ƒ 20 coded bits per subframe (10 symbols) with QPSK modulation
y CDM of UEs by spreading each symbol with a length 12 CAZAC sequence in frequency
y CQI/PMI/RI PUCCH resources assigned via RRC
y ACK/NACK can be multiplexed with CQI (format 2a/2b); drop CQI when SR is transmitted

•CQI

•CAZAC

•IFFT •IFFT •IFFT •IFFT •IFFT •IFFT •IFFT •IFFT •IFFT •IFFT

0.5ms slot 0.5ms slot

resource 1 resource 0
resource 3 resource 2
RS

PUSCH

resource 2 resource 3
resource 0 resource 1

99 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008

 LTE Uplink: Random Access Channel-1
ƒ The random access channel (RACH) is used during initial access, handoff, or when uplink
synchronization is lost
ƒ UE sends a RACH preamble on physical random access preamble (PRACH)
y UE first obtains downlink timing from SCH, then sends RACH preamble (non-synchronized)
y eNB detects timing preamble and sends a timing advance command to time synchronize UE

RA slot ƒ Gap time reflects the timing

uncertainty due to round trip
propagation delay
CP Zadoff-Chu (ZC) Sequence
ƒ CP is used to allow frequency
Tcp Tseq Tgap domain processing, and must cover
the round trip propagation delay as
well as the delay spread

Format RA slot Tcp Tseq Tgap Max cell size ƒ Formats #2 and #3 offer a 2 x 0.8ms
preamble repetition to improve
detection performance in poor
#0 1 ms ~0.1 ms 0.8 ms ~0.1 ms ~15 km channel conditions
#1 2 ms ~0.68 ms 0.8 ms ~0.5 ms ~75km ƒ ΔfRA = 1/0.8ms = 1.25 kHz
#2 2 ms ~0.2 ms 1.6 ms ~0.2 ms ~30 km ƒ sensitivity to doppler shift from high
speed UEs (greater than ~120 km/hr)
#3 3 ms ~0.68 ms 1.6 ms ~0.7 ms ~100 km
Max cell size (m) = 3E8 * Tgap/2
100 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Random Access Channel-2
ƒ PRACH sent in reserved time-frequency zone; configured semi-statically
y PRACH resource = 6 PRBs (1.08 MHz); at most one PRACH resource per subframe
y PRACH resource contains 64 preamble sequences (6 bits)
– preambles can all be orthogonal for small cell sizes (different cyclic shifts of root ZC seq.)
– not orthogonal for larger cell sizes (need to use different root ZC sequences)
y PRACH access slots can occur every 1, 2, 5, 10, or 20ms
– 20ms option can only be used in synchronized networks
– 10ms max for non-synchronized networks so that UE does not need to obtain the SFN from
the target cell BCH in handover scenario (radio frame timing provided by the SCH)

PRACH cycle
1 ms

Data
d
freq d ule 6 PRBs = 1.08 MHz
he
Sc

PRACH
opportunities

101 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Uplink: Random Access Channel-3
ƒ Multiple PRACH resources can be time multiplexed
ƒ 16 PRACH configurations have been defined, with subframe offsets to allow for
efficient multi-cell random access receivers

Example Configuration
RA slot RA period
RA sub-frames
configuration # (subframes)
0 20 1
1 20 4
2 20 7
3 10 1
4 10 4
5 10 7
6 5 1
7 5 2
8 5 3
9 10 1, 4, 7
10 10 2, 5, 8
11 10 3, 6, 9
12 2 0
13 2 1
14 1 0
15 20 9

102 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Random Access Procedure

ƒ Random access procedure is performed for the following 5 events

1. Initial access from RRC_IDLE
2. Initial access after radio link failure
3. * Handover
4. * DL data arriving in RRC_CONNECTED when UL is not synchronized
5. UL data arriving in RRC_CONNECTED when UL is not synchronized or SR
resources do not exist on PUCCH

ƒ Two types of random access procedures

1. Contention based: applicable to all 5 events
2. Non-contention based: applicable only to handover and DL data arrival

103 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Contention Based Random Access Procedure

1. PRACH preamble: 6 bits consisting of 5 bits UE eNB

random ID and 1 bit of information

2. RA response generated by MAC on DL-SCH 1 Random Access Preamble

ƒ Semi-synchronous, no HARQ
Random Access Response 2
ƒ Contains RA preamble identifier, timing
alignment info, initial uplink grant

3. First scheduled UL transmission on UL-SCH 3 Scheduled Transmission

ƒ Uses HARQ

ƒ For initial access, contains RRC connection Contention Resolution 4

request carried on CCCH, NAS UE identifier
but no NAS message

4. Contention resolution on DL-SCH

ƒ Generated by RRC and carried on CCCH

104 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Non-Contention Based Random Access
Procedure

0. eNB assigns non-contention RA preamble to

UE. Signaled by:

y HO command generated by target eNB via

source eNB for handover

y MAC signaling for DL data arrival

1. RA preamble transmission by UE on
assigned non-contention preamble

2. RA response on DL-SCH

Non-contention based random access

improves access time

105 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Power Control-1

ƒ Open-loop power control is the baseline uplink

power control method in LTE (compensation for
path loss and fading) al
Si gn
y Open-loop PC is needed to constrain the dynamic rence
e fe
range between signals received from different UEs D LR
l
na
y Unlike CDMA, there is no in-cell interference to o mi
n
o_
combat; rather, fading is exploited by rate control H :P
BC
ƒ In classic open-loop PC:

1. eNB broadcasts the total uplink interference level

(Itot) and the SINR target (Γnominal) together as
Ponominal (dBm) = Γnominal (dB) + Itot (dBm) ƒ In classic open-loop PC, all
UEs achieve the same target
2. UE estimates path loss + shadowing (PL) on the SINR
downlink by measuring downlink reference signal
ƒ UEs near interior of cell
3. UE sets its transmit PSD (power per PRB) in order transmit at reduced PSD Æ
to achieve the broadcast SINR target. In dB scale: poor spectral efficiency
TxPSD(dBm) = PL(dB) + Ponominal (dBm)

106 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Power Control-2

ƒ Fractional power control is introduced to allow a

more flexible trade-off between spectral efficiency al
Si gn
and cell edge rates nce
f ere
Re
DL
y TxPSD(dBm) = αPL(dB) + Ponominal (dB)
l, α
mi na
no
y Fractional compensation factor α < 1 is introduced so Po_
H :
that only a fraction of the path loss is compensated BC

y Target SINR is now a function of the UE’s path loss Æ

target SINR increases with decreasing path loss. In dB
scale, we have

TargetSINR(dBm) = Γnominal (dB) + (1-α)PL(dB)

y With α=1, we have classic open-loop PC Target

SINR

y As we reduce α, the range of target SINRs increases

between UEs, and we can achieve higher spectral
efficiency at the expense of cell edge rate

107 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Power Control-3

ƒ Additional user-specific power offsets can be sent via

RRC signaling; can be used to correct open-loop errors
(i.e. PA errors), or to allow proprietary methods to
create a power profile

TxPSD(dBm) = αPL(dB) + Ponominal (dB) + Pouser (dB)

l
i g na
S
nce
e
fer
ƒ Aperiodic fast power control is made possible by Re
DL
additionally allowing a dynamic adjustment of the UE l, α
i na
m
transmit PSD with 1 or 2 bit power control commands, can _no
Po r
either be accumulated adjustment or absolute. PC CH: use
B _
command sent via: Po
R C:
R
y UL scheduling grant (DCI Format 0): 2 bit TPC command
– Absolute: {-4, -1, +1, +4} dB
– Accumulated: {-1, 0, +1, +3} dB
y On separate power control channel (DCI Format 3/3A)
– Format 3: 2 bits representing {-1, 0, +1, +3} dB
– Format 3A: 1 bit representing {-1, +1} dB

TxPSD(dBm) = αPL(dB) + Ponominal (dB) + Pouser (dB) + f(δ)

108 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink: Power Control-4

ƒ The UE transmit PSD can optionally be made

dependent on the MCS level assigned, through use
of ΔTF which specifies power offsets as a function of
the MCS level assigned by the scheduler l
i g na
S
ce
TxPSD(dBm) = αPL(dB) + Ponominal (dB) + Pouser (dB) fer
en
Re ,
DL l, α
+ f(δ) + ΔTF i n a
n om
o_ F
H : P Δ_T r
BC _ use
Po
ƒ The UE’s total power scales with the number of R R C:
assigned PRBs (M)
TxPower(dBm) = min( Pmax (dBm), TxPSD(dBm) + 10log10(M) )

ƒ SRS follows PUSCH power control with a configurable power offset

ƒ Separate power control parameters for PUSCH and PUCCH

109 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Uplink: Inter-cell Power Control (IoT Control)
ƒ Same cell interference is very small (ideal zero) in the LTE uplink
ƒ Other cell interference is the dominant source of interference Æ Interference
over Thermal (IoT) is a metric used when evaluating performance
ƒ Control of IoT is achieved via the exchange of load indicators between eNBs
across the X2 interface
y IoT is measured at each eNB and load Indicators can be exchanged as fast as every 20ms
y Open-loop PC parameters (e.g. Po_nominal) can be adapted in order to achieve the
desired IoT level Æ crucial in reuse-1 deployment in order to guarantee coverage and
system stability

Overload indicator
(X-2 interface)

PC params PC params
Based on overload
Measure
interference indicator from
Interference, emit
neighbor cell,
overload indicator adapt PC params

110 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

111 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Multiple Antenna Techniques
ƒ Spatial Multiplexing (SM) Æ SU-MIMO
y Multiple data streams sent to the same user (max 2 codewords)
y Significant throughput gains for UEs in high SINR conditions

ƒ Spatial Division Multiple Access (SDMA) or Beamforming

y Different data streams sent to different users on same resource
y Improves throughput even in low SINR conditions (cell-edge)
y Works even for single antenna mobiles
y User-specific RS (dedicated RS) supported to facilitate
beamforming; used for demodulation of PDSCH

ƒ Transmit Diversity
y Improves reliability on a single data stream; space-frequency
block coding (SFBC), cyclic delay diversity (CDD)
y Fall back scheme if channel conditions do not allow SM; useful
to improve reliability on common control channels

112 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 MIMO Support is Different in Downlink and Uplink
ƒ Downlink MIMO
y Supports Spatial Multiplexing, MU-MIMO, and Transmit Diversity

ƒ Uplink MIMO
y Initial release of LTE will only support MU-MIMO with a single PA at
the UE Æ desire to avoid multiple PAs at UE
y Cyclic-shift orthogonal pilots used in the
uplink to facilitate MU-MIMO operation

113 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Spatial Multiplexing
ƒ The LTE downlink supports closed-loop spatial multiplexing for both 2 and 4
transmit antennas
y The maximum number of codewords is 2, but up to 4 layers can be supported for 4x4 MIMO
ƒ Rank indication and codebook-based precoding is used to support closed-loop spatial
multiplexing
y Codebooks are specified for 2 and 4 transmit antennas at the eNB
y Based on channel estimate by the UE, UE sends a rank indication (RI), pre-coding matrix
indicator (PMI), and CQI

precoding M Tx N Rx

Modulation MIMO
Select + coding HHH H
Demod +

U
decode
V
Layer
# code
Modulation mapping demod +
words
+ coding decode

PMI

RI
CQI
H = UΣV H
114 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Codebook Based Precoding-1
ƒ Precoding vectors/matrices specified for 2 and 4 transmit antennas: 4 codebook
entries for 2 Tx antennas, 16 codebook entries for 4 Tx antennas
y Precoding vector for one codeword
y Precoding matrix for two codewords

2 Tx antennas 4Tx antennas

115 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Codebook Based Precoding-2

ƒ Codebook entries support a variety of antenna spacings & configurations

ƒ Network can configure the UE to only consider a subset of the codebook
entries

4 Antennas, λ/2 spacing

4

3.5
ƒ Example: 4 antennas with
half-wavelength spacing 3

2.5
y Codebook entries
0,1,3,4,5,6,7 form a set of
Gain

2
fixed beams index 0
1.5 index 1
index 3
1 index 4
index 5
0.5 index 6
index 7

0
-100 -80 -60 -40 -20 0 20 40 60 80 100
Angle (deg)

116 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

117 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 Evolved Multimedia Broadcast Multicast Service (MBMS)
ƒ With E-MBMS, multiple users receive the same information using the same radio
resources Æ much more efficient approach for delivering common content
y Examples: television broadcasts, news updates, sports scores, etc.
y Broadcast: every user receives content
y Multicast: only users with a subscriptions receive content

ƒ E-MBMS can be used in synchronous or asynchronous networks, and can either be on a

stand-alone E-MBMS carrier or multiplexed with unicast traffic
y Subframes reserved for broadcast are reserved periodically in time
y TDM of broadcast and unicast subframes (FDM is not allowed)
Broadcast

Broadcast
Unicast

Unicast

Unicast

Unicast

Unicast

Unicast
Unicast

Unicast

Unicast

Unicast

Unicast

Unicast

Unicast

Unicast

Unicast
time
1ms subframe

118 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Multicast Broadcast on a Single Frequency Network (MBSFN)
ƒ MBSFN refers to a mode of E-MBMS where synchronized transmission of the same
content from multiple cells on same set of subcarriers takes place
y Appears as extra multipath at the mobile, as long as signal components from different cells
arrive within the CP length Æ diversity gains exploited for “free” with over the air combining
y An extended CP length is used for broadcast subframes to account for propagation delay from
different cells
– CP length extended from 4.7 μs to 16.6 μs (increased CP overhead)
– 6 OFDM symbols per slot for broadcast (instead of 7 for unicast)

119 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 MBSFN for Larger Cells (7.5 kHz Subcarrier Spacing)
ƒ To handle even larger cells with additional propagation delay, a second extended
CP of 33 μs is defined
ƒ OFDM symbol time is doubled from 66.6 μs to 133 μs, so that the extended CP
overhead will not be excessive
ƒ Increased symbol time means subcarrier spacing reduces from 15 kHz to 7.5 kHz
y Increased sensitivity to high doppler

ƒ The 7.5 kHz mode can only be used as a stand-alone E-MBMS carrier, cannot be
multiplexed with unicast traffic

4.7 μs 16.6 μs 33.3 μs

66.6 μs 66.6 μs 133.3 μs

Unicast
subframe Broadcast
subframe
(7% CP overhead)
(25% CP overhead)

120 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
MBSFN Reference Signals

ƒ With MBSFN operation and the extended CP, there are additional cell-
common reference signals in the E-MBMS subframes to facilitate channel
estimation with multi-cell combining

Δf = 15 kHz
Δf = 7.5 kHz
Unicast RS •
MBMS RS

121 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 MBMS Cells, Transmission, and Reception States
MBMS Cells MBMS Reception States
ƒ MBMS Dedicated Cell ƒ RRC_IDLE
y No support for unicast data y UE cannot partipate in any MBMS
y No uplink necessary feedback

ƒ MBMS/Unicast Mixed Cell ƒ RRC_CONNECTED

y Transmission of both unicast and MBMS y UE may or may not take part in MBMS
is done in a coordinated manner feedback mechanisms

MBMS Transmission
ƒ Single-cell Transmission
y E-MBMS is transmitted only on coverage of a specific cell; no multi-cell combining
y UEs in RRC_CONNECTED state can be allocated dedicated feedback as in unicast
y Scheduling is done by eNB; can use adaptive modulation and coding & HARQ

ƒ Multi-cell Transmission
y Synchronous transmission of MBMS within the MBSFN area; combining from multiple cells
is supported
y Scheduling of the multicast channel is done by the MCE

122 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
MBMS Logical, Transport, and Physical Channels

MCCH: MBMS control channel

MTCH: MBMS traffic channel

MCH: multicast channel

PMCH: physical multicast channel

123 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 MBMS Logical Architecture

MBMS
GW ƒ MBMS Gateway (GW): broadcasts
MBMS packets with SYNC protocol
U-plane (to support content
M3 C-plane
synchronization) to each eNB
MCE transmitting the service
M1
ƒ Multi-cell/Multicast Coordination
M2 Entity (MCE): allocation of radio
resource and modulation/coding
scheme used by all eNBs in the
MBSFN area

eNB eNB

ƒ These are specifications of logical nodes, and hence does not preclude the
possibility that they are physically integrated with other network elements

124 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

125 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Scheduling and Resource Allocation
ƒ As we have seen, LTE makes heavy use of the uplink and downlink shared
channel (DL-SCH and UL-SCH) for user data, system broadcast, and paging

ƒ LTE provides several mechanism to allow for high performance user

scheduling and resource allocation algorithms

users and their queues

present delays
radio qualities
QoS requirements priorities
power restrictions
last scheduled TTI buffer filling status

Scheduler

Resources assigned to the data streams

126 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Quick Recap of the Physical Resource Block (PRB)

ƒ Basic unit of allocation is called a Physical Resource Block (PRB)

y 12 subcarriers in frequency (= 180 kHz)
y 1 sub-frame in time (= 1 ms, = 14 OFDM symbols)
y Multiple resource blocks can be allocated to a user in a given subframe

14
sym
bo
ls (
Tc
hu
nk =1
.0 m
s) 12 sub-carriers
(180 kHz)

ƒ The total number of PRBs available depends on the operating bandwidth

y 6 PRBs for 1.4 MHz up to 100 PRBs in 20 MHz

127 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink Scheduling Mechanisms

Carried on PUCCH for

synchronized UEs; carried
L2 message carried on PRACH when
via a MAC control synchronization is lost
element: indicates
buffer status ts
lin g Reques
edu
UL Sch
t
L2 message carried ta tu s Repor
S
via a MAC control Buffer
element: indicates
available power
om Report
o
headroom
ow e r Headr
P
i g na l (S R S ) eNode-B
S
R ef e rence
ing
Sound
i cation
t, H A RQ ind
Gran
S che duling
UL
Allows channel
state information
UE Carried on to be obtained by
downlink L1/L2 eNB
control channel

128 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Uplink Scheduling & Resource Allocation-1
ƒ Channel dependent scheduling in both time and frequency enabled through the
use of the sounding reference signal (SRS)
ƒ Scheduler selects bandwidth, modulation, use of MU-MIMO, and PC parameters
ƒ PRBs assigned for a particular UE must be contiguous in the uplink (SC-FDMA)
ƒ To reduce UE complexity, restriction placed on # of PRBs that can be assigned
y Number of allocated subcarriers must have largest prime factor less than or equal to 5
Æ can use radix-2,3,5 FFT for DFT-precoding (i.e., cannot assign 7, 11, 13, 17,… PRBs)

14 SC-FDMA symbols
(12 for data)
Frequency

144 modulation
UE A symbols per PRB
subcarriers for PUSCH (w/o
UE B 12 SRS)

UE C

Slot = Slot =
Time 0.5ms 0.5ms

129 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Uplink Scheduling & Resource Allocation-2
ƒ PRBs are always contiguous in an uplink scheduling grant
ƒ HARQ operation is synchronous, and can be adaptive
y 8 HARQ processes (8ms HARQ round-trip-time)
y If no scheduling grant is sent for a retransmission, the UE performs non-adaptive HARQ
retransmission using pre-defined RV pattern on same PRBs
y UE will listen for a dynamic scheduling grant for an adaptive retransmission
ƒ PUSCH frequency hopping is enabled by setting a 1 bit flag in the grant
y Higher layer signaling (D-BCH) indicates if only inter-subframe hopping is allowed, or if
both intra-subframe (i.e. slot) and inter-subframe hopping is permitted
Frequency Frequency

Sub-frame HARQ RTT Sub-frame HARQ RTT

1 RB

H0 H0 H0

H1
H1

Time Time
(a) Inter-subframe hopping only (b) Intra/Inter subframe hopping

H0: Hopping and Mirroring OFF H1: Hopping and Mirroring ON

130 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Downlink Scheduling Mechanisms

Carries DL resource
assignment on L1/L2
control channel (PDCCH)

u li ng Grant
ed
DL Sch

i ndi cation eNode-B

Q
PM I / RI, HAR
CQI/

Reported on PUCCH or
PUSCH: provides channel
UE state info and info to
select MIMO mode

131 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Downlink Scheduling & Resource Allocation
ƒ Channel dependent scheduling is supported in both time and frequency domain Æ
enables two dimensional flexibility
y CQI feedback can provide both wideband and frequency selective feedback
y PMI and RI feedback allow for MIMO mode selection
y Scheduler chooses bandwidth allocation, modulation, MIMO mode, and power allocation

ƒ HARQ operation is asynchronous and adaptive

ƒ Assigned PRBs need not be contiguous for a given user in the downlink

14 OFDM symbols
<=3 OFDM symbols for L1/L2 control
Frequency

126 modulation
symbols per PRB
UE A
subcarriers
for PDSCH with
n=3 symbols for
12
UE B
L1/L2 control
and RS overhead
UE C
for 1 Tx antenna

Slot = Slot =
Time 0.5ms 0.5ms

132 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Downlink Resource Allocation Types-1

ƒ Resource Allocation Type 0

RBG#0 RBG#1 RBG#2 RBG#3 RBG#4 RBG#5 RBG#6 RBG#7
y Bitmap indicates resource block groups (RBG) that
are allocated to UE; RBG size (P) is a function of 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

the system bandwidth Æ 25 bits needed for 20 MHz

ƒ Resource Allocation Type 1

RBG#0 RBG#1 RBG#2 RBG#3 RBG#4 RBG#5 RBG#6 RBG#7
y Divides RBGs into P subsets, and a bitmap (same
size as Type 0) allows addressing of a RBG subset 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

and individual PRBs within a subset

System BW P (PRBs)
1.4, 1.6 MHz 1

3, 3.2, 5 MHz 2

10 MHz 3
15, 20 MHz 4

133 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Downlink Resource Allocation Types-2

ƒ Resource Allocation Type 2

y Reduces # of bits (13 bits for 20 MHz) by restricting to a contiguous set of “virtual” RBs

y Distributed flag indicates if physical RBs corresponding to the virtual RBs are
contiguous or distributed in frequency (with hopping on slot boundary)
RB/(NcolP))P

12

16

18

13

10

14

17

19

11

15
0

7
Read
Nrow=ceil(N

14 12

17 16

19 18

15 13

10

12 14

16 17

18 19

11

13 15
0

7
10

11
2

9
134 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Channel Quality Indicator (CQI), Precoding Matrix
Indicator (PMI) and Rank Indication (RI) Reporting
Less Detailed More Detailed
Periodic Reporting Aperiodic Reporting
Physical Channel for
PUCCH* PUSCH
Report

Trigger for Report None Indication in scheduling grant

PMI feedback
Single PMI Single PMI and Multiple PMI
(for closed-loop SM)

(1) Wideband

(1) Wideband (2) UE-selected best-M subband

CQI feedback (granular subband sizes, one CQI report
(2) UE-selected subband per codeword)
(computed assuming
calculated PMI) (coarse subband sizes, one CQI
report per codeword) (3) Higher-layer configured subband
(one CQI report per subband per
codeword)

Sent in separate subframe from

RI feedback Sent together with CQI/PMI
CQI/PMI

* PUSCH is used here only when UL data is sent, in order to maintain single carrier transmission

135 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Wideband CQI Feedback
ƒ Wideband CQI
y One CQI value computed per codeword over the entire bandwidth, assuming
selected PMI described below
y No frequency selectivity in CQI report
y 4 bit CQI for first codeword, 3 bit differential CQI for second codeword

ƒ PMI feedback for closed-loop SM

y Periodic PUCCH reporting
– Single precoding matrix is selected assuming transmission over entire
bandwidth (“wideband PMI”), and assuming the last reported RI
– 1-4 bits depending on reported RI and # of antenna ports
y Aperiodic PUSCH reporting
– Multiple PMIs are reported, one for each subband
– Subband size is a function of system bandwidth

System BW Subband Size (PRBs)

1.4, 1.6 MHz wideband only
3, 3.2, 5 MHz 4
10 MHz 6
15, 20 MHz 8

136 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
UE-Selected Subband CQI Feedback for Periodic Reporting
on PUCCH
ƒ System bandwidth is divided into subbands
y Subband size depends on system bandwidth

ƒ Consecutive subbands are grouped into bandwidth parts, such that the union of all
bandwidth parts spans the entire bandwidth
y Example: in 10 MHz, there are 9 subbands, and 3 bandwidth parts of 3 subbands each

ƒ Single CQI report for the best subband in a particular bandwidth part along with
best subband label; successive reports used to scan all bandwidth parts
y 4 bit CQI for first codeword, 3 bit differential CQI for second codeword
y 1 or 2 bit subband label
y Wideband PMI only in case of closed-loop SM

Subband Size Bandwidth Part

System BW
(PRBs) (Subbands) SB#0 SB#1 SB#3 SB#4
1.4, 1.6 MHz wideband only 1
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
3, 3.2, 5 MHz 4 2
10 MHz 6 3 BP#0 BP#1

15, 20 MHz 8 4

137 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
UE-Selected Subband CQI Feedback for Aperiodic
Reporting on PUSCH
ƒ System bandwidth is divided into subbands
y Subband size depends on system bandwidth (different sizes compared to PUCCH reporting)

ƒ Best-M reporting scheme is used, where the UE selects the best M subbands over all
the subbands
y Value of M depends on system bandwidth

ƒ Single CQI report (per codeword) computed over the best M subbands, along with a
combinatorial index representing the location of the best M subbands
y Single PMI calculated over best M subbands only

ƒ Wideband CQI/PMI is also reported, and best-M CQI report is encoded differentially
with 2 bits relative to wideband CQI value
y Possible values for differential CQI index are {+1, +2, +3 +4}

System BW Subband Size (PRBs) M SB#0 SB#1 SB#2 SB#3 SB#4 SB#5 SB#6 SB#7
1.4, 1.6 MHz wideband only wideband only
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
3, 3.2, 5 MHz 2 3
10 MHz 3 5 Best M=3 subands

15, 20 MHz 4 6
138 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Higher-Layer Configured Subband CQI Feedback for
Aperiodic Reporting on PUSCH

ƒ System bandwidth is divided into subbands as shown below

ƒ CQI is reported per codeword and per subband
ƒ Only wideband PMI report is supported

ƒ Wideband CQI is reported assuming reported PMI; subband CQI is

encoded differentially with 2 bits relative to wideband CQI

y Possible values for differential CQI index are {-2, 0, +1, +2}

System BW Subband Size (PRBs) SB#0 SB#1 SB#3 SB#4

1.4, 1.6 MHz wideband only 0 1 2 3 4 5 6 7 8 9 101112131415

3, 3.2, 5 MHz 4
CQI #0 CQI #1 CQI #2 CQI #3
10 MHz 6
15, 20 MHz 8 Wideband PMI

139 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Semi-Persistent Resource Allocation for VoIP
ƒ Given the size of the UL and DL scheduling grants and the limited # of OFDM symbols
reserved for L1/L2 control, semi-persistent allocation is introduced to support a
large number of VoIP users without running into control channel bottlenecks
y RRC signaling configures time periodicity of persistent allocation (i.e. 20ms period) and a
“persistent scheduling C-RNTI” (special identifier)
y Scheduling grant on PDCCH used to activate a persistent allocation which applies to the first
HARQ transmission
– Scheduling grant assigns MCS and subframe location for persistent allocation
– implicit or explicit deactivation still under discussion

y Retransmissions may be dynamically scheduled selectively to optimize packing of VoIP users

Persistent
allocation Persistent
allocation
20 ms 160 ms 20 ms

talk spurt silence talk spurt

Voice SID
frame frame

140 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 Interference Coordination with Flexible Frequency Reuse
Full Transmission Bandwidth Primary sub-band
F1 F2 F3

Reuse > 1
0 1 2 3 4 5 6 7 8 9 10 11

Sector Sector Sector

Secondary sub-band
Reuse = 1

ƒ Scheduler can place restriction on which ƒ Primary sub-band uses frequency reuse > 1, eNB
PRBs can be used in which sectors Æ transmits with higher power
achieves frequency reuse > 1
ƒ Secondary sub-band uses remaining spectrum, eNB
ƒ Reduced inter-cell interference leads to transmits with reduced power
improved SINR, especially at cell-edge
ƒ Cell-edge UEs scheduled in primary sub-band Æ
ƒ Reduction in available transmission improved SINR conditions
bandwidth leads to poor overall spectral
efficiency ƒ Cell-interior UEs can be scheduled in both sub-bands

ƒ Flexible frequency reuse realized through

intelligent scheduling and power allocation

141 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

142 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Handover: Key Features
ƒ LTE uses UE-assisted network controlled handover
y UE reports measurements, network decides target cell for handover and when to handover
y relies on UE to detect neighboring cells Æ no need to maintain and broadcast a
neighborlist (allows “plug-and-play” capability, saves BCH overhead)
y For search and measurement of inter-frequency neighboring cells, only the carrier
frequencies need to be indicated

ƒ X2 interface used for handover preparation and forwarding of user data

y Target eNB prepares handover by sending required information to UE transparently through
source eNB as part of the “handover request acknowledge” message
– new C-RNTI, dedicated RACH preamble, information needed from system broadcast
– accelerates handover as UE does not need to read target cell BCH

y Buffered data is transferred between source eNB and target eNB, and new data is forwarded
from source eNB to target eNB until path switch Æ prevents data loss

ƒ UE uses contention-free random access to accelerate handover

ƒ RoHC context is not transferred during inter-eNB mobility

143 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Handover: Preparation Phase

Source Target
Target
UE Source MME
MME sGW
UE eNB eNB
eNB sGW
eNB
Measurement Control
Packet Data Packet Data
L1/L2
UL allocation signaling
Measurement Reports
L3 signaling

HO decision User data

HO Request

Admission Control

HO Request Ack
DL allocation
HO Command

ƒ HO decision is made by source eNB based on UE measurement report

ƒ Target eNB prepares HO by sending relevant info to UE through source eNB as part of HO
request ACK command, so that UE does not need to read target cell BCH

144 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Handover: Execution Phase
Source Target
Target
UE Source MME
MME sGW
UE eNB eNB
eNB sGW
eNB
Packet Data Packet Data

Detach from old cell, Deliver buffered packets and

sync with new cell forward new packets to target eNB L1/L2
signaling
DL data forwarding via X2
L3 signaling

User data
Buffer packets from
source eNB

Synchronization (RACH)

UL allocation and Timing Advance

HO Confirm

Packet Data

ƒ RACH is used here only so target eNB can estimate UE timing and provide timing advance for
synchronization; RACH timing agreements ensure UE does not need to read target cell P-BCH
to obtain SFN (radio frame timing from SCH is sufficient to know PRACH locations)
ƒ In a time synchronized system, this step is not technically needed, as the UE itself can estimate the
timing advance needed given the measured time difference between the source and target e-NB;
however this is not supported in the initial release of LTE

145 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Handover: Completion Phase
Source Target
Target
UE Source MME
MME sGW
UE eNB eNB
eNB sGW
eNB

Packet Data Packet Data

DL data forwarding

Path switch req

User plane update req

Switch DL path

Path switch req ACK

User plane update response
Release resources

Flush DL buffer,
continue delivering L1/L2
in-transit packets signaling

DL data forwarding L3 signaling

User data
Release resources

Packet Data Packet Data

146 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Handover: Latency and Interruption Times
Source Target
UEs stops UE Source
eNB Target
eNB
UE eNB eNB
Rx/Tx on the old cell

UL HO Request
Measurement
Report Handover Preparation
HO Confirm
U- plane active HO Command
(approx 20 ms)

DL DL sync
synchronisation
Handover
+ RACH (no contention)
~20 ms
+
Latency
+ Timing
Timingadvance
Adv (approx 55 ms)
Handover + UL Resource Req and
+

Interruption Grant
UL resource request/grant

(approx 35 ms)
HO Complete

ACK

U- plane active

147 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Agenda
1. LTE History, Requirements, and Terminology
2. Network Architecture Evolution
3. OFDM basics
4. LTE Duplexing Modes
5. LTE States, Paging, and DRX
6. LTE Downlink Structure
7. LTE Uplink Structure
8. LTE Support for Multiple Antenna Techniques
9. Broadcast/Multicast in LTE
10. Scheduling and Resource Allocation in LTE
11. Handover
12. Overhead and Peak Rate Computations, Performance

148 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Overhead Computations: Downlink RS and L1/L2
Control

# of Tx Antennas DL RS Overhead
1 4.8 %
2 9.5 %
4 14.3 %

L1/L2 Overhead (PDCCH, PHICH, PCFICH)

# of Tx Antennas # of OFDM Symbols for L1/L2 control

1 2 3
1 6% 13.1 % 20.2 %
2 4.8 % 11.9 % 19.0 %
4 4.8 % 9.5 % 16.7 %

149 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Overhead Computations: Downlink P-BCH, SCH
ƒ P-BCH occupies 72 subcarriers in 4 OFDM symbols every 10 subframes

y Occupied subcarriers assumes reference symbol locations for 4 Tx antennas

y Overhead = (72 subcarriers/Available subcarriers)*1 subframe/10 subframes * (4 symbols/ 14

symbols)*(1-0.143 pilot overhead for 4 Tx antennas)

ƒ SCH (P-SCH + S-SCH) has the same overhead (2+2=4 symbols every 10 subframes)

Bandwidth P-BCH Overhead SCH Overhead (P-SCH + S-SCH)

1.4 MHz 2.4 % 2.4 %

3 MHz 1.0 % 1.0 %

5 MHz 0.59 % 0.59 %

10 MHz 0.29 % 0.29 %

15 MHz 0.2 % 0.2 %
20 MHz 0.15 % 0.15 %

150 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Overhead Computations: Uplink RS and PRACH

Uplink RS Overhead Comments

DM-RS 14.3 % 2 out of 14 SC-FDMA symbols reserved for DM-RS

SRS 7.1 % Optional: 1 out of 14 SC-FDMA symbols reserved for SRS

PRACH Overhead
Bandwidth (assuming 1 PRACH opportunity every 10ms)

1.4 MHz 10 %
3 MHz 4%
5 MHz 2.4 %
10 MHz 1.2 %
15 MHz 0.8 %
20 MHz 0.6 %

151 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Overhead Computations: Uplink PUCCH

PUCCH Overhead

Bandwidth # of PRBs semi-statically reserved for PUCCH

1 2 4 8 12 16

1.4 MHz 16.7 % 33.3 % - - - -

3 MHz n/a 13.3 % 26.7 % - - -

5 MHz n/a 8% 16 % 32 % - -

10 MHz n/a 4% 8% 16 % 24 % 32 %

15 MHz n/a 2.7 % 5.3 % 10.7 % 16 % 21.3 %

20 MHz n/a 2% 4% 8% 12 % 16 %

152 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Downlink Peak Rates

Downlink Peak Rate

(assumes 64-QAM code rate = 1, 1 OFDM symbol for L1/L2, ignores subframes with P-BCH, SCH)

Bandwidth # of parallel streams supported

1 2 4

1.4 MHz 5.4 Mbps 10.4 Mbps 19.6 Mbps

3 MHz 13.5 Mbps 25.92 Mbps 50 Mbps

5 MHz 22.5 Mbps 43.2 Mbps 81.6 Mbps

10 MHz 45 Mbps 86.4 Mbps 163.2 Mbps

15 MHz 67.5 Mbps 129.6 Mbps 244.8 Mbps

20 MHz 90 Mbps 172.8 Mbps 326.4 Mbps

153 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
LTE Uplink Peak Rates

Uplink Peak Rate

assumes code rate = 1, 2 PRBs reserved for PUCCH (1 PRB for 1.4 MHz), no SRS, ignores subframes with
PRACH, takes into account highest prime factor restriction

Bandwidth Highest Modulation

16-QAM 64-QAM

1.4 MHz 2.9 Mbps 4.3 Mbps

3 MHz 6.9 Mbps 10.4 Mbps

5 MHz 11.5 Mbps 17.3 Mbps

10 MHz 27.6 Mbps 41.5 Mbps

15 MHz 41.5 Mbps 62.2 Mbps

20 MHz 55.3 Mbps 82.9 Mbps

154 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Performance Evaluation and Metrics-1
ƒ Peak User Data Rate: highest achievable data rate for a user in ideal radio conditions
y This is a function of the highest modulation and coding scheme and the inherent overheads in
the system (control channels, pilots, etc.)

ƒ User Throughput CDF: provides the distribution of experienced throughputs for users
across all radio conditions experienced in the cell
y This is a function of the scheduling policy, the number of users per cell, system bandwidth,
the propagation environment, the distance between eNB sites (inter-site distance), etc.
y The cell edge user throughput is defined as the 5th percentile of the user throughput CDF

y The average user throughput is defined as the mean of the user throughput distribution
y The average cell* throughput is defined as the average user throughput multiplied by the
average number of users per cell

ƒ Spectral Efficiency: provides the throughput per unit of spectrum, measured in

bits/s/Hz, which allows performance to be compared for systems operating in different
bandwidths

* In 3GPP, the term cell is used to refer to a particular sector of a base station

155 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Performance Evaluation and Metrics-2
ƒ The need for a fairness criterion is motivated by the fact that in a scheduled packet
data system, the scheduler can be tuned to provide high average user throughputs
(hence high cell spectral efficiency) at the expense of users located near the cell border
y Makes it difficult to use a single number such as cell spectral efficiency or average user
throughput to compare performance across vendors or across different technologies

y A “user fairness criterion” is defined, where the CDF of the normalized user throughput (defined
as the user throughput divided by the average user throughput) is required to obey a constraint
that it fall to the right of the straight line passing through (0.1, 0.1) and (0.5, 0.5)

– Interpretation: at least 90% of users should have at least 10% of the avg user throughput

1 Not fair

CDF
0.5

0.1 fair

0.1 0.5

Normalized User Throughput

156 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 LTE Performance Evaluation and Metrics-3
ƒ The uplink capacity is a function of the uplink loading level
ƒ In CDMA, this was characterized by the rise over thermal (RoT), defined as the total
uplink received power level (in-cell, other-cell, and thermal noise) divided by the
thermal noise power
y High RoT implies high capacity, but possibly at the expense of uplink coverage
y Upper limit on RoT is placed to ensure system stability, as the power control results in a
positive feedback loop; (i.e. RoT does not exceed 7 dB more than 1% of the time Æ results in
average RoT levels of 4.5 - 5.5 dB)

ƒ Because LTE has an orthogonal uplink, RoT is no longer a meaningful criteria, rather it
is the interference over thermal (IoT), defined as the total uplink received
interference (other-cell and thermal noise) divided by the thermal noise power, which
characterizes uplink performance
y High IoT implies high capacity, but possibly at the expense of uplink coverage
y Do we need an upper limit on IoT? This is still not very well understood in the industry.
– Significant flexibility in UL power control in LTE, final scheme left to proprietary implementation
– Most UL power control methods rely on the IoT level, and hence there is a positive feedback
loop involved, although it is driven by the other-cell interference (not same-cell as in CDMA).
Some upper limit on IoT is deemed necessary in such cases; many assume mean IoT ~ 6 dB.

157 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 3GPP RAN LTE Performance Verification
ƒ At 3GPP RAN plenary #33 (September 2006), a number of operators requested a
performance verification of LTE before completion of stage 3 work, to be presented
at RAN plenary #36 (June 2007)
y Ensure that LTE performance targets are met

ƒ A detailed physical layer framework for simulations was decided in RAN WG1
y R1-070674, source: Orange, China Mobile, KPN, NTT DoCoMo, Sprint, T-Mobile, Vodafone,
Telecom Italia
y Two main simulation cases: Case 1 (500m ISD), Case 3 (1732m ISD)
y Results compared to HSPA Rel’6 baseline using 1x2 antenna configuration (note: not
compared with HSPA Rel’7)

ƒ RAN WG1 extensively evaluated LTE performance, performance summary provided

in R1-072580
y 45 contributions submitted by numerous companies (Alcatel-Lucent, CATT, Ericsson, Huawei,
InterDigital, Motorola, NEC, Nokia-Siemens Networks, Nortel, Qualcomm, Samsung, Texas Instruments)

http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_49/Docs/R1-072580.zip

158 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Uplink Throughput Comparison (R1-072261)
Case 1 (500m ISD) Results
Resultsobtained
obtainedas asan
an
Average cell Average user Cell-edge user average of results from
average of results from
throughput throughput throughput contributing
contributingcompanies
companies
Rel 6 1x2 1.66 Mbps 0.166 Mbps 45 kbps
(5 MHz) 0.332 bps/Hz/cell 0.0332 bps/Hz/user 0.009 bps/Hz/user

LTE 1x2 7.35 Mbps 0.735 Mbps 240 kbps

(10 MHz) 0.735 bps/Hz/cell 0.0735 bps/Hz/user 0.024 bps/Hz/user
(2.2x Rel’6) (2.2x Rel’6) (2.5x Rel’6) Note on assumptions:

- Channel model used in

Case 3 (1732m ISD) simulation study has high
frequency selectivity Æ can be
Average cell Average user Cell-edge user well exploited by LTE system
throughput throughput throughput which has frequency selective
scheduling
Rel 6 1x2 1.58 Mbps 0.158 Mbps 11.5 kbps
(5 MHz) 0.316 bps/Hz/cell 0.0316 bps/Hz/user 0.0023 bps/Hz/user

LTE 1x2 6.81 Mbps 0.681 Mbps 44 kbps

(10 MHz) 0.681 bps/Hz/cell 0.0681 bps/Hz/user 0.0044 bps/Hz/user
(2.2x Rel’6) (2.2x Rel’6) (2.0x Rel’6)

Target of 2-3x Rel’6 Average and Cell Edge Spectral Efficiency Achieved
159 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
Downlink Throughput Comparison (R1-072578)
Case 1 (500m ISD)
Results
Resultsobtained
obtainedasasan
an
Average cell Average user Cell-edge user average
averageof
ofresults
resultsfrom
from
throughput throughput throughput contributing
contributingcompanies
companies
Rel 6 1x2 2.65 Mbps 0.265 Mbps 100 kbps
(5 MHz) 0.53 bps/Hz/cell 0.053 bps/Hz/user 0.02 bps/Hz/user

LTE 2x2 SU- 16.9 Mbps 1.69 Mbps 500 kbps

MIMO 1.69 bps/Hz/cell 0.169 bps/Hz/user 0.05 bps/Hz/user Note on assumptions:
(10 MHz) (3.2x Rel’6) (3.2x Rel’6) (2.7x Rel’6)
- Typical urban channel model
used (high delay spread) for Rel’6
Case 3 (1732m ISD)
Average cell Average user Cell-edge user - RAKE receiver for HSDPA
throughput throughput throughput assumed in Rel’6 simulations Æ
degraded performance compared
to advanced receiver (equalizer)
Rel 6 1x2 2.6 Mbps 0.26 Mbps 100 kbps
(5 MHz) 0.52 bps/Hz/cell 0.052 bps/Hz/user 0.02 bps/Hz/user

LTE 2x2 SU- 15.6 Mbps 1.56 Mbps 400 kbps

MIMO 1.56 bps/Hz/cell 0.156 bps/Hz/user 0.04 bps/Hz/user
(10 MHz) (3.0x Rel’6) (3.0x Rel’6) (2.3x Rel’6)

Target of 3-4x Rel’6 Average Spectral Efficiency Achieved

Target of 2-3x Rel’6 Cell Edge Spectral Efficiency Achieved
160 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
MB-SFN Results (R1-072579)
Spectrum Inter-site Distance @
Deployment Efficiency 1bps/Hz
[bps/Hz] [m]
Case 1
Results
Resultsobtained
obtainedasasan
an
10 MHz BW @ 2 GHz average
averageof
ofresults
resultsfrom
from
3 km/hr 3.13 1619 contributing
contributingcompanies
companies
20 dB penetration loss
500m ISD
Case 2
10 MHz BW @ 2 GHz
30 km/hr 3.02 2310 - Capacity criterion: 95% of
10 dB penetration loss
locations should experience less
500m ISD
Case 3
than a 1% packet error rate
10 MHz BW @ 2 GHz
3 km/hr
20 dB penetration loss
0.99 1619
1732m ISD

Case 4
1.25 MHz BW @ 0.9 GHz
3 km/hr
10 dB penetration loss
3.18 4375
1000m ISD

Target of 1 bps/Hz Achieved

161 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
VoIP Capacity in 5 MHz (R1-072570) Results
Resultsobtained
obtainedasasan
an
average
averageof
ofresults
resultsfrom
from
contributing
contributingcompanies
companies
Average VoIP Capacity (users/sector)
Deployment
Assumptions:
Scenario
Downlink Uplink
- AMR 12.2kbps vocoder, 50% VAF
Case1 317 241 - VoIP overheads included

Case3 289 123 - Outage criteria: 95% coverage

for 2% FER @ 50ms delay bound

ƒ Very few companies provided reference VoIP results for Rel’6, but it appears that more
than doubling the VoIP capacity of Rel’6 is possible for Case 1

ƒ Several companies used special techniques (i.e. VoIP packet segmentation) to obtain
reasonable VoIP capacity for Case 3; standards support for optimized performance is
still pending

ƒ Some form of persistent/semi-persistent scheduling is needed to avoid control channel

bottlenecks (PDCCH)

162 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008
 www.alcatel-lucent.com

163 | LTE Fundamentals | May 2008 All Rights Reserved © Alcatel-Lucent 2008