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The evolution of LTE to LTE-Advanced and the corresponding

changes in the uplink reference signals


Edward Kasem, Jan Prokopec
Faculty of Electrical Engineering and Communications, Brno University of Technology
Email: xkasem01@stud.feec.vutbr.cz
Email: prokopec@feec.vutbr.cz

Abstract LTE-Advanced or 3GPP LTE Release 10 standard


is the evolution of LTE Release 8, consisting of the most developed radio access technologies supporting advanced services and applications that include carrier aggregation, eightlayer downlink spatial multiplexing, and four-layer uplink
spatial multiplexing and so on. This article describes the differences between LTE & LTE Advanced requirements, then
concentrates on the significant changes and describes the
design principles of the LTE-Advanced uplink reference signals (demodulation reference signals and Sounding Reference
Signals).

1 introduction
LTE has been designed to support only packet switched services, in contrast to the circuit-switched model of previous
cellular systems. It aims to provide seamless Internet Protocol
(IP) connectivity between User Equipment (UE) and the Packet Data Network (PDN), without any disruption to the end
users applications during mobility. Specifically, data rate
requirements have been increased. In order to support advanced services and applications, 100Mbps for high and
1Gbps for low mobility scenarios must be realized [1][2].
3GPP has worked on a study with the purpose of identifying
the LTE improvements required to meet IMT-Advanced (International Mobile Telecommunications - Advanced) requirements. In September 2009 the 3GPP Partners made a formal
submission to the ITU proposing that LTE Release 10 & beyond (LTE Advanced) should be evaluated as a candidate for
IMT-Advanced [1]. This release provides best-in-class performance attributes such as peak and sustained data rates and
corresponding spectral efficiencies, capacity, latency, overall
network complexity and quality-of-service management. The
major advantage of LTE-Advanced is its backward compatibility[1], meaning that, LTE devices can work in LTE Advanced and LTE Advanced devices can operate in LTE as
well. Now LTE release 11 is the most develop release, which
includes several of the LTE-specific enhancements, including
Co-ordinated Multi-Point (CoMP), Carrier Aggregation enhancements and ICIC enhancements [3].

2 Evolution of LTE-Advanced
In this part, some requirements which differentiate LTE &
LTE Advanced are discussed [4][5][9]:

2.1 Enhanced Multi-antenna Transmission techniques


Multiple Input Multiple Output (MIMO) is the major feature used to improve the performance of the LTE system, and
it allows to improve the spectral efficiency and data throughput. MIMO consists of multiple antennas on the receiver and
transmitter to utilize the multipath effects. This reduces interference and leads to high throughputs. Multipath occurs when
the different signals arrive at the receiver at various time intervals. MIMO divides a data stream into multiple unique
streams, transmits data streams in the same radio channel at
the same time. The receiving end uses an algorithm or employs special signal processing to regenerate the signal that
was originally transmitted from the multiple signals.
The main difference between LTE and LTE-advanced in
this sphere is:
for downlink: LTE supports a maximum of four spatial layers of transmission (4x4, assuming four UE
receivers) whereas to improve single user peak data
rates LTE-Advanced specifies up to eight with the
requisite eight receivers in the UE, allows the possibility in the downlink of 8x8 spatial multiplexing.
for uplink: LTE supports a maximum of one per UE
(1x2, assuming an eNB diversity receiver) whereas
LTE-advanced (release 10) support up to four spatial
layers of transmissions allowing the possibility of up
to 4x4 transmission in the uplink when combined
with four eNB receivers.
Note that in Release 8 and Release 9, only a single antenna
uplink transmission was defined (single user (SU)-MIMO),
then it increased in LTE release 10 and defined up to a 4stream transmission (multi user (MU)-MIMO).
2.2 Asymmetric transmission bandwidth
Symmetric transmission occurs when the data in down-link or
in the up-link are transmitted with the same bandwidth. In the
case of voice, symmetric transmission is required because the
amount of upload and download data are the same, but in the
case of mobile communication development we depend more
on internet connection or broadcast data, e.g. streaming video
and real time games, so more data will be sent in down-link
(from eNodeB to UE). This situation makes us concentrate on

the asymmetric transmission; the difference between symmetric and asymmetric transmission is shown in Fig. 1
Downlink bandwidth
Uplink bandwidth

LTE

LTEadvanced

FDD

TDD

Figure 1: The difference between symmetric and asymmetric


transmission in two cases, TDD and FDD duplex schemes
[3][5]
One of the differences between LTE and LTE-advanced is that
LTE Advanced has more flexible bandwidth allocations. That
refers to asymmetric transmission bandwidth which will be a
better solution for efficient utilization of the bandwidth.

There are three types of relays [3][9][12] and the difference


between them appears in the functions of each one and its
transmission architecture:
Layer 1 (L1) Relay (Amplify-and-Forward Relay): is
the simplest kind of relays, its function is RF amplification with relatively low latency. Its disadvantage
appears in amplifying the noise and interference that
related to the received signals.
Layer 2 (L2) Relay: this kind of relay is different to
the use of a repeater which re-transmits the signal after amplifying. In this case a relay will actually receive, demodulate and decode the data, apply any error correction, etc to it and then re-transmitting a new
signal. So data packets will be extracted from RF signals, processed and regenerated and then delivered to
the UE. These processes eliminate the noise, propagation, and interface, so it reinforces the quality of
the received signal.
Layer 3 (L3) Relay (Self-Backhauling): the selfbackhauling relay has the same functionality as base
stations except for lower transmit power and smaller
cell size. This relay is similar to the L2 relay except
the L3 relay forwards IP packets instead of L2 PDCP
packets.

2.3 Relay technology


There are many solutions can make the performance better
especially at the cell edge with considering the low cost. One
of these solutions that is being investigated and proposed is
utilizing LTE relays. So the concept of Relay Node (RN) has
appeared in LTE Rel-10 to enable traffic/signaling forwarding
between eNB (Evolved Node B, use as basestation in LTE)
and UE to improve the coverage of high data rates, cell edge
coverage and to extend coverage to heavily shadowed areas in
the cell or areas beyond the cell range. The connection between the donor eNB and RN, and between UEs and RN are
Un interface (wireless connection) and is shown in Fig. 2. The
Un connections can take two states [4]:
In-band: the eNB-to-relay link shares the same band
with the eNB-to-UE link.
Out-band: the eNB-to-relay connection is in a different band than the direct eNB-to-UE link.
ta

In LTE-Advanced, coordinated multipoint transmission/reception (CoMP) or advanced multi-cell transmission/reception are some of the techniques that has increased
the throughput and decreased the interference on the cell edges, so the main goal in CoMP technology is to turn other cell
interference signals at the cell border into useful signals that
improve the system. In addition, improve the coverage of high
data rates and provides faster handovers. CoMP communication is divided into intra-site or inter-site CoMP [3][11], and
the difference between the two types is: in the first type the
exchange of information occurs without involving the backhaul, but the second involves the coordination of multiple sites
for CoMP transmission so we should take the backhaul into
consideration as shown in Fig. 3. Where RRU is Remote Radio Unit is used for more flexible coverage.

co
ntr

da

2.4 Coordinated multiple point transmission and reception (COMP)

ol
Da

ta &
co n

RRU

fibe

Joint
processing

data
relay

tro
l

fibe

Un

Da

&
ta

n
co

l
tro

Da

eNodeB

fiber

&
ta

co

o
ntr

eNodeB
RRU

relay
relay
suppre

Un

relay
Area of week
signal quality

Figure 2: Description of two cases using relay technology and


the type of the information which is carried on the Un interface [3][9].

ss

Coordination
beamforning
RRU

Figure 3: How CoMP operates: Joint Processing/Joint


Transmission (JP/JT) and coordinated scheduling (CS) /
coordinated beamforming (CB) [3][9]

Downlink CoMP:
The two main, but different approaches which describe the
way of CoMP operations [3][9][12]: Joint Processing/Joint
Transmission (JP/JT) and coordinated scheduling (CS) / coordinated beamforming (CB) are taken into consideration. The
first can be described where the transmission downlink data to
each UE happens from multiple eNodeBs to a single UE in
each transmission point. This approach has a potential for
higher performance, compared to the coordination in only the
second one, but it is more complex and requires more stringent
requirements because of backhaul communication. The second
approach can be described where the transmission downlink
data occurs from one eNodeB. Only in this case transmitter
beams are constructed to reduce the interference to other
neighboring user equipment. .

intra-band contiguous

Frequency band A

Frequency band B
intra-band non-contiguous

Frequency band B

Frequency band A
inter-band

Frequency band A

Frequency band B

User 1
User 2

Figure 4: The difference between two types of carrier aggregations (intra and inter band) [3][5][12]

Uplink CoMP:

2.6 Layered OFDMA

Uplink coordinated multi-point reception means receiving the


transmitted signal at geographically separated points or base
stations. It also has two different approaches [3][9][12]: joint
reception (JR) and/or coordinated scheduling (CS) Scheduling
decisions can be coordinated among cells to control interference. The most important fact in these different cases is that
the cooperating units can be separate eNBs remote radio
units, relays, etc. The evolution of LTE, consequently, will
likely just define the signaling needed to facilitate multi-point
reception.

The main difference between LTE and LTE-advanced which


will be concentrated on in this paper is the layered environment of LTE advanced and especially in uplink structure. The
support of layered environments helps in achieving high data
rate (high throughput), QoS, or widest coverage according to
respective radio environments such as macro, micro, indoor,
and hotspot cells.
In a layered structure, the entire system bandwidth comprised
of multiple basic frequency blocks. The bandwidth of the basic
frequency block is, 1520 MHz. Layered OFDMA radio access scheme in LTE-A will have a layered transmission bandwidth, support of layered environments and control signal
formats. Lets describe how this change affects the uplink
reference signals and what happened to achieve the previous
features.

2.5 Carrier Aggregation


Carrier aggregation (CA) is a core capability of LTEAdvanced. CA is one of the most important features which
permits LTE to achieve the main goals: increase user throughput which is important for media services, achieve spectrum
flexibility, and the future view in extended multi-antenna
deployments.
This feature provides peak data rates up to 1Gbps which are
expected from bandwidths of 100MHz [2]. LTE release 10 CA
permits the LTE radio interface to be configured for up to five
carriers, of any different bandwidth which can be related to
any frequency band. Note that in this release both the downlink and uplink can be configured completely independently.
For example downlink can aggregate four carriers while uplink can aggregate two carriers, but the basic limitation that
the number of uplink carriers cannot exceed the number of
downlink carriers. So there are two types of carrier aggregations [3][5][12] shown in Fig. 4:
1) Intra-band: which consist of intra-band contiguous,
intra-band non-contiguous [10]
2) Inter-band

3 Evolution of uplink reference signals in


LTE release 10 layered OFDMA
In this section, we will describe the basic structure of the release 10 for uplink DMRS and SRS. In Release 10, the uplink
DMRSs are evaluated to support uplink SU-MIMO transmission with up to four spatial layers [13], so they are multiplexed
together to enable channel estimation of each layer at eNodeB
[4][5]. Release 10 SRSs allow for uplink sounding transmission from all the uplink antenna ports, which is needed in
order to enable all the spatial dimensions of the channel to be
sounded and provide improved support for channel sounding
[4][5].
3.1 Evolution of uplink demodulation reference signals
DMRS
There are basic differences between the uplink referencesignal transmission and downlink reference-signal transmission due to the importance of low cubic metric and corresponding high power-amplifier efficiency. The exact position
of the single PUSCH DMRS (physical uplink shared channel
DMRS) symbol in each uplink slot depends on whether a
normal or extended CP (cyclic prefix) is used. In the case of

transmission, a demodulation reference signal in PUSCH


channel is done within the fourth symbol of each uplink slot if
this channel has a normal cyclic prefix and the third symbol in
the case of extended cyclic prefix [5][7][14] are shown in
Fig. 5.

v 0,1 : this means two reference-signals, corresponding to a


transmission bandwidth of six resource blocks or more [5].
RS
RB
M sc
mN sc
: is the length of the DMRS sequence, m is the
RB
resource block number and N sc is the subcarrier number

within
X1

e j0
OFDMA
modulator

X2 Basic referencesignal sequence

j1

XM-1

e j(M 1)
Demodulation reference signal

cyclic shifted
sequence

CP
Subframe 1ms

1 OFDMA
symbol

1 OFDMA
symbol

Normal CP

each
resource
block.
: is the base sequence whose definition depends on the
sequence length. We can distinguish two cases:
ru ,v (n)

RB
Base sequences of length 3N sc or larger: the base
sequence is defined by:

RS
ru ,v (n) xq (n mod N ZC
), 0 n M scRS ............(2)

xq m e

qm ( m 1)
RS
N ZC

RS
, 0 m N ZC
1...............(3)

th
x m
where q
is the q
root of the Zadoff-Chu sequence. The length
of the Zadoff-Chu sequence,

Extended CP

considering that

RS
RS
N ZC
M sc

time

Figure 5: Description of the demodulation reference signal


transmission in PUSCH in two cases: normal and extended
cyclic prefix [5]
In the case of transmission a demodulation reference signal in
the PUCCH channel, the exact position of reference signal
symbols, depend on different PUCCH formats (1, 1a, 1b, 2,
2a, 2b, 3) [7][8].
Note, however, that the length of the reference-signal sequence should be equal to the used bandwidth in the
PUSCH/PUCCH transmission and should be a multiple of 12,
because this transmission was done in terms of a resource
block which consists of 12 subcarriers. Due to this, so-called
ZadoffChu sequences [7] is used to generate the reference
signal sequence and at the same time provide mechanisms to
orthogonalize multiple DMRS transmitted in MIMO spatial
multiplexing schemes.
To support a large number of user equipment we need to genr ( ) (n)
erate a huge number of reference signal sequences u ,v
,
so we define them by a cyclic shift of a base sequence
ru ,v (n)
according to:

ru(,v ) (n) e j n ru ,v (n), 0 n M scRS .......................(1)


where:
u 0,1,...,29

: refer to 30 reference-signal sequences of each


sequence length (reference-signal
group number) [5].
v : base sequence number within the group, considering that
each group consist of sequences with one or two base numbers
[5].
v 0 : this means one reference-signal sequence, corresponding to a transmission bandwidth of five resource blocks
or
less
[5].

RB

Base sequences of length less than 3N sc : in this case


the base sequence will be defined by the equation:

ru ,v (n) e j ( n) 4 , 0 n M scRS 1...................(4)


where the value of (n) is given in tables in [7]
The main difference between LTE release 10 and release 8 is
supporting uplink multi-antenna transmission (up to four antennas), this means that we dealt with multi-antenna precoding
including spatial multiplexing, which was introduced in LTE
release 10. As described above, one demodulation reference
signal in each slot is needed when dealing with one layer, but
LTE release 10 supports the transmission of up to four spatially multiplexed layers in parallel. This means that we should be
able to transmit up to four demodulation reference signals
from the user equipment. These parallel multiple reference
signals can be generated in different ways according to two
main rules:
The generated multiple orthogonal reference signals
uses different phase rotations (cyclic shifts). This
means that Cyclic Shifts (CSs) of the DMRS base sequence are used to multiplex the DMRSs for different

n
layers. The cyclic shift in a slot s is given as
2ncs, 12
, so the PUSCH demodulation reference signal sequence is given by following equation:
( )
rPUSCH
m M scRS n w( ) (m)ru(,v ) n ........(5)

m 0,1
where:

RS
n 0,...,M sc
1

w( ) (m) : the orthogonal sequence.

Obviously, there are 12 usable CS values in total for


DMRS in LTE uplink, but because of having a maximum of four layers in uplink transmission we use the
maximum four separate values which are determined
in Table Mapping of Cyclic Shift Field given in [7].
Divide each reference signal sequence into two different reference signals by using orthogonal cover
codes (OCC), to the two reference-signal transmissions within a subframe. This means that two length
orthogonal cover codes (OCC) are applied to the two
DMRS symbols in the two slots of one subframe to
separate the multiplexed DMRSs.
3.2 Evolution of Uplink Sounding Reference Signals:
As we know, the main goal from sounding reference signals
(SRS) which are transmitted on the uplink by mobile terminals
(UEs) is as shown in Fig. 6 to allow for the base station
(eNodeB) to estimate the uplink channel state which can be
used for scheduling and link adaption, determine channel
quality, and timing advance at different frequencies.
SRS transmission can be divided into two types of transmissions for the LTE uplink: periodic SRS transmission and aperiodic SRS transmission [4][5].
Demodulation reference signal
Sounding Reference Signals
Subframe 1ms

1 OFDMA
symbol

The second one was introduced in LTE release 10: We can


note that the static configuration of SRS transmission is inflexible, in the case that SRS resources cant be used for data
transmission, the terminal either transmits SRS or leaves the
uplink symbol blank that based on the received instruction
from base station so user equipment configures its uplink
transmission accordingly. Flexibility is achieved by using
dynamically triggering user equipment to determine if it
should send SRS or this symbol for data. Release 10 introduces the possibility of dynamically triggering aperiodic SRS
transmissions via the Physical Downlink Control CHannel
(PDCCH), so no SRS transmission will actually be carried out
until the user equipment is explicitly triggered to do so by an
explicit SRS trigger on PDCCH. There are two types of triggers [6]:
1) Trigger type 0: responsible for RRC (Radio Resource Control)-configured periodic SRSs (these
configuration happens in the higher layer).
2) Trigger type 1: responsible for aperiodic SRS transmissions. As an example:
For trigger type 1 and
DCI format 4: There were three different SRS parameters which could be distinguished when the configuration of aperiodic SRS was done (like frequency position of the SRS transmission, cyclic shift, comb,
etc. [6]). The fourth combination simply indicates
that no SRS should be transmitted. PDCH information which arrives to the user equipment has two
bits responsible for describing four states as shown in
table 1 [8]:
Table 1: SRS request value for trigger type 1 in DCI
format 4 [8]

time

subcarrier

User 2

frrequency

User 1

Figure 6: SRS position in the PUCCH subframe and user


diversity according to the comb [4][6]
The first one has been available from LTE release 8, transmitted in the last symbol of a subframe or can also be transmitted
within the UpPTS in the TDD operation [14] [15]. The structure of SRS can be described in two domains: In the time
domain, SRS can transmit periodically based on eNB scheduling, so it can be transmitted every 2 / 5 /10 / 20 / 40 / 80 / 160 /
320
ms
as
defined
in
[8].
In the frequency domain, SRS bandwidths are always a multiple of four resource blocks. To know the possible configurations for SRS in the case of the number of RBs, it is possible
to go back to the tables defined in [7]. For example, with a
system bandwidth of 70 RBs, we should check Table 5.5.3.2-3
where there are 8 possible configurations. With CSRS = 4, the
SRS for a UE can occupy 4 RBs, 8 RBs, 16 RBs, or up to 48
RBs, so multiple UEs share the RBs in the frequency domain.

Value of SRS request


field

Description

00

No type 1 SRS trigger

01

The 1st SRS parameter set


configured by higher layers

10

The 2nd SRS parameter set


configured by higher layers

11

The 3rd SRS parameter set


configured by higher layers

That means, eNodeB send to UE SRS request (trigger) which


determine three SRS parameters (frequency position of the
SRS transmission, cyclic shift, comb), then UE after getting all
required information send SRS.
This process can be summarized as follows the base station
(eNodeB) is sent dynamical trigger via the Physical Downlink
Control CHannel (PDCCH) to give the user equipment an
order to transmit a sounding reference signal (SRS) wherein
there is a predefined uplink symbol as DFTS-OFDM symbol
in the uplink subframe and this process is shown in Fig. 7.

Dow

nlin

k tra
ns

mis

sion

Upli

PDCCH
0 transmit data
11 send SRS
10 leave blank

nk t
ra n s

mis

Information
sent by
eNodeB

sion
UE

eNodeB

Figure 7: Process of choosing the case of predefined uplink


symbol for SRS signal [6]

ent phase rotations to different user equipment, so


multiple SRSs will transmit in the same subframe
and different layers.
4) Transmission comb in the distributed transmission:
another way to allow for SRS to be simultaneously
transmitted from different user equipment to increase
the facilities is shown in Fig. 8. Each SRS only occupies every second subcarrier (as shown in Fig. 8. colored line is occupied subcarrier and dashed is free),
so two terminals can be frequency multiplexed by assigning them to different frequency shifts or in other
words two different combs are available (even and
odd subcarriers in each set).
User equipment 1,
cyclic shift 1, comb 1

Note the situation when the channel changes rapidly due to


time-variation and frequency selectivity of the channel. This
means that SRS transmission is required more frequently.
In general, SRS is transmitted by the UE using a known base
sequence, so SRS uses the same Zadoff-Chu sequence
( p)
n ru ,v p
rSRS

n [7], similar to UL demodulation reference


signal (DM RS) where u is the PUCCH sequence-group
number and is the base sequence number and cyclic shift
~p

BW1
User equipment 2,
cyclic shift 2, comb 1
BW1

( ~ )

of the sounding reference signal is given as:

p 2

cs ,p
nSRS
.......................................................(6)
8

cs
8p
cs ,p
nSRS
nSRS

mod8...................................(7)

Nap

where:

p 0,1,..., Nap 1

cs
nSRS
0, 1, 2, 3, 4, 5, 6, 7

is configured separately for periodic


SRS and each configuration of aperiodic sounding by the
higher-layer
N ap
: the number of antenna ports used for sounding reference
signal
transmission.
Sounding reference signal can be multiplexed in multiple
dimensions to serve different user equipment transmissions [4]
[5] [6]:
1) Time: SRS transmissions can be interleaved into different subframes with subframe offsets as referred
previously.
2) Frequency: by transmitting SRSs in different resource blocks.
3) Cyclic shifts: Cyclic shift multiplexed signals, so several UEs (up to 8) can transmit using different cyclic
shifts on the same physical radio resource. It can be
used to generate different SRSs that are orthogonal
to each other. That also happens by assigning differ-

User equipment 3,
cyclic shift 1, comb 2
BW2

Figure 8: Multiple dimensions of sounding reference signal to


serve different user equipment transmissions [5][6]

4 Conclusions
LTE Advanced standardized in the 3GPP specification Release 10 and designed to meet the 4G requirements as defined
by ITU. This technique achieved by integrating the existing
networks, new networks, services and terminals to suit the
escalating user demands, the technical features of LTE-A may
be summarized with the word integration. The purpose of this
work is to show the difference between LTE (release 8) and
LTE advanced (release 10) which can be summarized in the
following points:
Study the main differences between two technologies
LTE and LTE-advanced. These differences can be
summarized in: an asymmetric wider transmission
bandwidth, relay technology, coordinated multiple
point transmission and reception (CoMP), carrier aggregation (CA), enhanced multi-antenna transmission
techniques and layered OFDMA. The main goals of
these differences are: achieve high peak data rate,
spectrum flexibility, decreases the interference on the
cell edges and support fast handover.
Then I focused on the task of uplink reference signals
structure evolution which consists of demodulation
reference signals and sounding reference signals.
For future work, this research can continue studying the evolution of Enhanced Multi-antenna Transmission Techniques and

detailed description about the changes in physical uplink


shared channel and physical uplink control channel.

Acknowledgements
This paper was supported by the internal project FEKT-S-1112 MOBYS.

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