Training Objectives

Understanding the LTE architecture

Understanding OFDM, the key technology of LTE and
the LTE physical layer structure
Understanding the function of LTE protocol stack L2
and the scheduling algorithm
Mastering the quick calculation of peak throughput
Understanding L3

Page1
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
LTE Physical Layer
Introduction to OFDM
Concept of LTE Physical Layer
Introduction to LTE L2
Introduction to Downlink and Uplink Scheduling
Algorithms
Downlink and Uplink Scheduling Procedures
Throughput Calculation
Introduction to LTE L3 and Its Service Procedure

Page 2
LTE Architecture: Logical Architecture of E-UTRAN

Page 3
LTE Architecture: SAE Architecture

UTRAN

SGSN
GERAN HSS
S3
S1-MME S6a
MME
PCRF
S12 Rx
S11 Gx
S4
"LTE-Uu" S10
Serving S5 PDN SGi
UE E-UTRAN Gateway Gateway Operator's IP Services
S1-U (e.g. IMS, PSS etc.)

The control plane and the user plane are separate

The S1 interface uses (GTP-U). The QoS architecture remains
unchanged
The interface between the MME and Serving GW is
standardized

Page 4
LTE Protocol StackS1 Interface

Control Plane User Plane

Radio Radio
Network S1-AP Network
Layer
Layer

GTP-U
SCTP
UDP
Transport IP
NetworkL Transport IP
ayer Network
Data link layer Layer Data link layer

Physical layer Physical layer

S1AP: The S1 Application Protocol is the application layer protocol between eNodeB
and MME.
SCTP: The Stream Control Transmission Protocol ensures the delivery of signaling
messages on the S1 interface between the MME and the eNodeB. For details
about SCTP, see RFC2960.
GTP-U: The GPRS Tunneling ProtocolUser plane is used for user data
transmission between the eNdoeB and S-GW.
UDP:
Page 5 User Datagram Protocol is used for the user data transmission. For details
LTE Protocol StackX2 Interface
Radio Control Plane User Plane
Network
Layer User Plane
X2-AP PDUs

Transport Transport Network Transport Network

User Plane
Network User Plane
Layer

GTP-U
SCTP
UDP
IP (IPv6 and/or IPv4)
IP (IPv6 and/or IPv4)
Data link layer
Data link layer
Physical layer
Physical layer

The X2 interface is also divided into the user plane (X2-U) and control plane (X2-C). The X2-U
interface is required to be the same as the S1-U, and the X2-C is required to be the same as S1-C.

The X2 interface data link layer can use layer 2 technologies, such as PPP and Ethernet.

Page 6
 LTE Protocol StackUu Interface
UE eNB MME

NAS NAS
L3 & NAS UE eNB
RRC RRC
PDCP PDCP
PDCP PDCP

RLC RLC RLC RLC

L2
MAC MAC MAC MAC

PHY PHY
PHY PHY
L1

User Plane Control Plane

RRC_IDLE: A UE is in RRC_IDLE state when the UE

RRC protocol layer does not have an RRC connection.
UE has 2 RRC states. RRC_CONNECTED: A UE is in RRC_CONNECTED
PDCP protocol layer state when at least one RRC connection is established
RLC protocol layer for the UE.
MAC protocol layer Introduce
PHY protocol layer later

Page 7
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
LTE Physical Layer
Key Technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer
Introduction to LTE L2
Introduction to Downlink and Uplink Scheduling
Algorithms
Downlink and Uplink Scheduling Procedures
Throughput Calculation
Introduction to LTE L3 and Its Service Procedure

Page 8
 LTE Physical Layer

OFDM

Page 9
The Reason for Using Orthogonal Frequency Division
Multiplexing (OFDM)
Main Motivation: to Increase Spectral Efficiency
The higher-rate data transmission, shorter transmission period.
The multipath effect exists results in performance deterioration..
OFDM achieves parallel transmission by using orthogonal subcarrier group to strengthen the
robustness against inter-bit interference.

Core Principle
OFDM transforms serial transmission into parallel transmission, modulate data to orthogonal
subcarriers.

Advantages of the Technology

High spectral efficiency
Resistance to multipath interference
Resistance to frequency-selective fading
Simple channel estimation and equalization

Page 10
Feature of OFDM: Multi-carrier

OFDM is a type of multi-carrier

modulation, with small spacings
between carriers: delta-f=15 KHz

OFDM subcarriers

Page 11
 Advantages of OFDM: High Spectral Efficiency
High Spectral Efficiency
OFDM needs less guard bands to protect subcarriers. the spectral efficiency is increased.

The subcarriers in the OFDM system are overlapped and orthogonal. The spectrum of
each subcarrier is a SINC function.

140

120

100
Linear Amplitude

80

60

40

20

0
-10 -8 -6 -4 -2 0 2 4 6

Page 12
Advantages of OFDM: Resistance to Multipath Interference

Resistance to Multipath Interference

A guard interval is inserted in front of or behind each OFDM symbol to reduce
the inter-symbol interference caused by multipath delay.

In the receiver
window, the
multipath
interference of
the signal in blue
can be reduced.
The signal in red
is longer than the
guard CP, so the
multipath
interference
exists.

Page 13
Advantages of OFDM: Resistance to Frequency-Selective
Fading
Resistance to Frequency-Selective Fading
The following figure shows the frequency-selective fading features of the multipath radio channel. The fading
is caused by multipath.

The OFDM system is resistant to frequency-selective fading by using dynamic subcarrier allocation. No data
is transmitted on fading subcarriers or low-level modulation scheme is used. (advantages and disadvantages
of the measuring/scheduling algorithm of different manufacturers)

10
Channel
fading for
5
user A is
0
bigger than
Frequency Slective Fading

-5 user B. The
-10 spectral
-15
resources
can be
-20
allocated to
-25
user B.
-30
0 100 200 300 400 500 600
Frequency

Page 14
Waveform of OFDM Signals in Frequency and Time

Features of OFDM Signals in Frequency and Time

The LTE frame
The smallest granularity in the time domain is the symbol.
The smallest granularity in the frequency domain is the subcarrier.
structure is based
on symbols and
subcarriers.

Page 15
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
Key Technology of LTE
Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer
Introduction to LTE Power Calculation
Introduction to LTE L2
Introduction to Downlink and Uplink Scheduling
Algorithms
Downlink and Uplink Scheduling Procedures
Throughput Calculation
Introduction to LTE L3 and Its Service Procedure

Page 16
LTE Frame Structure: Focus on FDD

Focus on FDD Frame Structure

A radio frame is 10 ms long and consists of 10 subframes in both downlink and uplink in FDD system.
A subframe is 1 ms long and is the smallest transmission time interval (TTI) in scheduling algorithm.
A slot is 0.5 ms long and is generally mentioned in frequency hopping.

Frame structure type 1 for

FDD
One radio frame, Tf = 307200Ts=10 ms

One slot, Tslot = 15360Ts = 0.5 ms

#0 #1 #2 #3 #18 #19

One subframe

Page 17
FDD LTE Frame Structure: the Smallest Resource
Unit (RE)
Focus on FDD Frame Structure
1 RE = 1 symbol 1 subcarrier (See waveform of OFDM signals in frequency and time.)
1 RB = 1 slot 12 subcarriers
One RB occupies 0.5 ms in the time domain.
The general definition of RB is 1 PRB = 2 slots 12 subcarriers. If we do not take frequency hopping into
consideration, slot 0 and slot 1 are allocated together, generally 1 PRB = 1 RB pair. Usually, the difference
between PRB and RB in the time domain is ignored.
The following table shows the number of symbols in 1 slot. It is related to the CP length and is configured by the cell.

Configuration 1slot
Nsymb
N scRB
Frame Frame
Structure Structure
f 15 kHz Type 2
Type 1

Normal Cyclic Prefix 12 7 9

12 8
Extended Cyclic Prefix 6

Extended CP is generally used in cells with extended

coverage.
Page 18
FDD LTE Frame Structure: the Smallest Resource
Unit (RE)

Page 19
 LTE Physical Layer

Major Physical Channels

Page 20
 Brief Introduction of Physical
Downlink Channels
Channels
Physical Broadcast Channel (PBCH): Carries system information
BCH MCH PCH DL-SCH
for cell search, such as cell ID. Downlink
Transport channels
Physical Downlink Control Channel (PDCCH) : Carries the
MAC Layer
resource allocation of PCH and DL-SCH, and Hybrid ARQ
Physical Layer
information.
Physical Downlink Shared Channel (PDSCH) : Carries the Downlink
downlink user data. Physical channels
PBCH PMCH PDSCH PDCCH
Physical Control Format Indicator Channel (PCFICH) : Carriers Mapping between downlink transport channels
information of the OFDM symbols number used for the PDCCH. and downlink physical channels
Physical Hybrid ARQ Indicator Channel (PHICH) : Carries Hybrid
ARQ ACK/NACK in response to uplink transmissions.
Physical Multicast Channel (PMCH) : Carries the multicast
information.
UL-SCH RACH
Uplink
Transport channels
Uplink Channels
MAC Layer
Physical Random Access Channel (PRACH) : Carries the random
Physical Layer
access preamble.
Physical Uplink Shared Channel (PUSCH) : Carries the uplink user Uplink
Physical channels
data. PUSCH PRACH PUCCH

Physical Uplink Control Channel (PUCCH) : Carries the HARQ Mapping between uplink transport channels
ACK/NACK, Scheduling Request (SR) and Channel Quality and downlink physical channels
Indicator (CQI), etc.

Page 21
LTE Physical Channels
Physical channels are divided into uplink and downlink physical channels.
Downlink physical channels include:
PDSCH: physical downlink shared channel
PDCCH: physical downlink control channel
PBCH: physical broadcast channel
PHICH: physical hybrid ARQ indicator channel
PCFICH: physical control format indicator channel
Uplink physical channels include:
PRACH: physical random access channel
PUSCH: physical uplink shared channel Logical channels
PUCCH: physical uplink control channel indicate the type of
information transferred.

Transport channels
describe what typical
configuration the
physical layer uses to
provide transport
services on the air
interface.

Physical channels
Page 22 describe the physical
features of signals,
 Introduction to Main LTE Physical Channels
Uplink physical channels include:
PRACHphysical random access channel. This channel transmits uplink random access preambles.
PUSCH: physical uplink shared channel. This channel transmits user data.
PUCCHphysical uplink control channel. This channel transmits information about downlink data demodulation
performance (ACK/NACK), channel quality
measurement results and scheduling requests.

Amplification
of 1 RB

PUCCH locates on the two sides of the frequency, related to the number
of users in the cell , expands dynamically.
PUCCH number is limited by the product specification.
PRACH can be configured by using MML

The remaining resources can all be used as PUSCH.

PUSCH transmits uplink modulated at the UE side. the PUSCH RBs
allocated to a user must be continuous in the frequency domain (RBs on
two sides of PRACH cannot be allocated to the same user).

Page 23
 Introduction to Main LTE Physical Channels
Downlink physical channels include:
PDSCH: physical downlink shared channel, transmits user data.
PDCCH: physical downlink control channel, indicates user scheduling information (uplink and
downlink).
The eNodeB controls the time to schedule UEs, the RB allocation, and the MCS selection.
The eNodeB informs the UE of the information on the PDCCH.

PBCH: physical broadcast channel, broadcasts system information.

The location is defined by the protocol, which is known to both the UE and eNodeB.
PHICH: physical HARQ indicator channel, indicates the demodulation status on the PUSCH
(ACK/NACK).
Uplink data is sent by the UE and demodulated by the eNodeB. If an error has occurred in data
transmission, the eNodeB needs to provide a feedback on the error.
After the UE receives ACK/NACK, it uses the feedback information to further estimate the
channel quality.
The eNodeB sends ACK/NACK to the UE on the PHICH.
PCFICH: physical control format indicator channel, indicates the number of symbols PDCCH
resources occupy in the time domain.
PDCCH occupies all the resources in the frequency domain.
PCFICH is always at the first symbol in the time domain, occupying some of the REs of the first
symbol.

Page 24
 Introduction to Main LTE Physical Channels

Amplification
of 1 RB

Every RB has SRS REs (the figure

shows the port 0 of 2T antenna).
Features of SRS REs include:
1. SRS REs is related to antennas.
2. The SRS is unique to each cell(PCI).
3. The power of SRS is configured by
using MML and broadcast in system
information.
4. SRSs are used to estimate and
measure the downlink channel quality.
Control channels include PCFICH (at the first symbol), PHICH, and PDCCH. The number of symbols occupied by control
channels is changeable (14). Four is only suitable for small bandwidths such as 3 MHz, 1.4 MHz.

Page 25
 LTE Physical Layer

Cell Search and Random Access

Page 26
 Synchronization Channel: Cell Search and Downlink
Synchronization
Primary-synchronization channel (P-SCH) and secondary-synchronization channel (S-SCH)
frequency domain: The PSS and SSS are transmitted in the central six RBs.
time domain: The period is 5 ms.
504 physical cell IDs (PCIs) are divided into 168 groups. Each group has
three PCIs.
SSS mapping to PCI group. (PCI = Group ID 3 + Cell Id in group)
The UE gets synchronized in the time domain and frequency domain
Reference Signal
The UE obtains the cell RSRP by measuring downlink reference signals.
Slot Slot

0 1 2 3 4 5 6 7 8 9

PCFICH

PHICH
PBCH SSS
PSS
PDCCH

Page 27
Broadcast Channel: PBCH and System Information
Acquisition
System information scheduling
MIB: The scheduling period is 40 ms. The MIB is resent every 10 ms at subframe 0.
SIB1: The scheduling period is 80 ms. The SIB1 is resent every 20 ms at subframe 5.
Other SIBs: The scheduling period depends on SIBx period(x=2,38) and the scheduling period is
broadcast in SIB1.
SIBs with the same scheduling period can be sent in the same SI. Each SI window can send only one
SI. SI can be resent for multiple times in the SI window to improve reliability.

20 ms 80 ms

MIB

SIB1
SI1 period = 80 ms
SI2 period = 80 ms
SI3 period = 160 ms
SI Window = 20 ms
SI1 SI2 SI3 SI1 SI2
Slot Slot

0 1 2 3 4 5 6 7 8 9

PCFICH
PHICH PBCH SSS
PSS
PDCCH

Page 28
Contents of System Information

MIB: An MIB contains SFN (8 bits), cell bandwidth, and PHICH

configuration parameters.
SIB1: PLMN ID, Cell ID, TAC, Cell barred, cell selection
parameters, SI scheduling information
SIB2: Access parameters, UE timer and common channel
parameter configuration (RACH, PRACH, BCCH, PCCH,
PDSCH, PUCCH, PUSCH, SRS) The first three
are key SIBs.
SIB3: cell reselection information

SIB4: intra-frequency neighboring cell information

SIB5: inter-frequency neighboring cell information
SIB6: UMTS neighboring cell information
SIB7: GSM neighboring cell information
SIB8: CDMA neighboring cell information

Page 29
PRACH Time-and-Frequency Resources
PRACH System frame Subframe
configuration number number
0 Even 1
1 Even 4
2 Even 7
3 Any 1
4 Any 4
The CP length varies 5 Any 7
with the cell radius. 6 Any 1, 6
For details, see 3GPP 7 Any 2 ,7
TS 36.211. 8 Any 3, 8
9 Any 1, 4, 7
10 Any 2, 5, 8
11 Any 3, 6, 9
PRACH configuration principle 12 Any 0, 2, 4, 6, 8
The period and preamble format of PRACH resources depend on
cell radius and bandwidth. 13 Any 1, 3, 5, 7, 9
The configuration compromises between PRACH resources and
access delay and handover delay. 14 Any 0, 1, 2, 3, 4,
Configurations that Huawei support: 5, 6, 7, 8, 9
Preamble format: 0-3 (The CP length varies with the cell radius.)
PRACH period: 10 ms, 5 ms (Different bandwidths have different 15 Even 9
default configurations. For example, the PRACH period for the 20 Time resources
MHz bandwidth is 5 ms and that for the 10 MHz bandwidth is 10
ms.) (The subframe configuration in every radio frame for
Random access procedure: contention-based (handover, random access is automatically calculated by the eNodeB
resynchronization initiated by eNodeB), contention-free based on the cell bandwidth.)

Page 30
PRACH: Random Access
Purpose:
A user accesses the network and acquires a UE ID used by the eNodeB to identify the UE.
The UE is time-synchronized in the uplink.
Procedure:
The eNodeB detects the random access preamble sent from the UE.
Based on the selection of preamble, the access comes in two forms: contention-free and contention-based.
In contention-free random access, preamble is allocated by the network. In contention-based random access, it is chosen
randomly by the UE.
In contention-free random access, the network ensures that no random access collision exists in a period of time. In
contention-based random access, the risk of collision exists and the eNodeB needs to provide a contention resolution.

Random Access Scenarios

Initial access: The UE is not time-
synchronized yet and no information
about the UE exists in the network,
for example, when the UE is just
switched on. The UE must be time-
and-frequency synchronized before
sending any data.
Handover between cells
The UE
sends a The UE is out of synchronization in
TMSI. the uplink.
An error has occurred in the
downlink and the UE re-establishes
the link.

The eNodeB
If two UEs send their TMSIs
transmits the simultaneously, the eNodeB
The UE determines
whether it is chosen TMSI to the needs to choose a UE to
based on its own TMSI. UEs. connect.

Page 31
Uplink Synchronization in Random Access
Uplink synchronization means the time when data reaches the eNodeB is the same as that when the eNodeB receives it.
LTE uses orthogonal subcarriers. If UE 1 and UE 2 are not time-synchronized with the eNodeB, interference exists.
Uplink time deviation exists because of transmission latency. The distances between the UEs and the eNodeB are
different.
Resolutions:
Generally, the eNodeB obtains the timing information by detecting the uplink reference signal (periodic SRS or DMRS)
sent by the UE in the uplink.
The eNodeB transmits the TA (Time Alignment) to the UE on the PDSCH.
In random access, the eNodeB obtains the uplink timing information by measuring preamble signals.
In random access, the eNodeB sends the uplink timing information to the UE on the RAR channel.
The eNodeB and UE maintain the same timer to update TA to ensure that the UE keeps uplink synchronized when it is in
the connected state.

Page 32
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
Key Technology of LTE
Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer
Introduction to LTE Power Calculation
Introduction to LTE L2
Introduction to Downlink and Uplink Scheduling
Algorithms
Downlink and Uplink Scheduling Procedures
Throughput Calculation
Introduction to LTE L3 and Its Service Procedure

Page 33
 Power of Symbol A/B and Total Power Calculation
Ri is the reference
in LTE signal (RS), used to
estimate downlink
channel quality.
R0 R0 R1 R1
Not used for Not used for
transmission transmission
on this anten on this anten
1 R0 R0 R1 R1 1
R is the reference
signal, used to estimate
and measure the
downlink channel quality R0 R0 R1 R1
of the UE.

Reference symbols Reference symbols

on this antenna port on this antenna port
R0 R0 R1 R1
l 0 l 6 l 0 l 6 l 0 l 6 l 0 l 6

Antenna port 0 Antenna port 1

Symbol B contains
Symbol A does
RS.
not contain RS.
Downlink RS power can be configured by using MML: PRS, PA and Number of Antenna Number of Antenna
PB. These parameters can be used to calculate the cell power. The Ports: 1 Ports: 1
power of each RE of Symbol A and Symbol B is defined as
PPDSCH_A and PPDSCH_B.
PPDSCH_A = PRS + A (note: PA = A )
PPDSCH_A = PRS + B
The ratio between PPDSCH_B and PPDSCH_A is acquired by
checking the PB index.
There are two RS REs and eight non-RS REs in Symbol B. The
power of each RB is: 2 PRS + 8 PPDSCH_B
There are no RS RE and 12 non-RS REs in Symbol A. The For example, PRS = 18.2 dBm, PA = -3, PB = 1, with the
power of each RB is: 12 PPDSCH_A bandwidth of 20 MHz and 100 RBs,
Multiply the RB power and the number of RBs and you get the The total power of Symbol B is calculated as follows:
symbol power, or the cell power.
18.2 - 3 + 10log(100 12) = 15.2 + 30.8 = 46dBm = 40 W
The maximum cell power is the greater one of the powers of
symbol A and symbol B. The powers of Symbol A and Symbol B are equal.

Page 34
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
Key Technology of LTE
Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer: Synchronization and
Random Access
Introduction to LTE L2
Introduction to LTE L2
Downlink and Uplink Scheduling Procedures
Throughput Calculation and FAQ
Introduction to LTE L3 and Its Service Procedure

Page 35
 Location of L2 in the LTE Protocol Stack
UE eNB MME

NAS NAS

L3 & NAS UE eNB

RRC RRC
PDCP PDCP
PDCP PDCP

RLC RLC RLC RLC

L2 MAC MAC MAC MAC

PHY PHY
PHY PHY
L1
User Plane Control Plane
PDCP protocol layer
Data transmission in the user plane, data transmission in the
control plane MAC protocol layer
Encryption and integrity protection (in the control plane) Mapping between logical channels and transport channels
Header compression (in the user plane) Multiplexing/demultiplexing of logical channel data in the
Duplicate detection and in-sequence delivery when the RB is transport channel.
mapped on AM RLC to perform handover Service amount measurement
PDCP SN maintenance Data scheduling (between UEs and between RBs in one
Time-based data discarding UE)
HARQ
RLC protocol layer Transport format Selection
Solve the size matching problem from SDU to PDU
Support TM, UM and AM The scheduling
UM and AM RLC support SDU segmentation and concatenation. performance depends
AM RLC supports ARQ.
on the appropriate
AM RLC supports the resegmentation of RLC PDU.
AM RLC supports the re-detection of SDU.
resource allocation and
UM and AM RLC support in-sequence delivery. MCS selection that are
UM and AM RLC support SDU discarding based on the performed on the MAC
indication of PDCP. layer.
UM and AM RLC support the reestablishment of the RLC entity.

Page 36
LTE Scheduling Procedure-Location of MAC in L2

Radio Bearers

ROHC ROHC ROHC ROHC

PDCP
Security Security Security Security

Segm. Segm. Segm. Segm.

RLC ... ...
ARQ etc ARQ etc ARQ etc ARQ etc CCCH BCCH PCCH

Logical Channels

Scheduling / Priority Handling

MAC Multiplexing UE1 Multiplexing UEn

HARQ HARQ

Transport Channels

The main function of MAC is scheduling

based on service priorities.
Page 37
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
Key Technology of LTE
Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer: Synchronization and
Random Access
Introduction to LTE L2
Introduction to LTE L2
Downlink and Uplink Scheduling Procedures
Throughput Calculation and FAQ
Introduction to LTE L3 and Its Service Procedure

Page 38
 LTE L2

LTE Service Processing

Page 39
 The service and radio bearer have a
Definition of LTE Services one-to-one relationship.
The bearer information can be obtained
by checking the bearer setup signaling
on the S1 interface.
Default bearer: Initial Context Setup
Request
Dedicated bearer: E-RAB Setup
Request
Voice service (VoIP)
Guaranteed bit rate (GBR)
services use dedicated bearers.
For example, as for a 10 Mbps
GBR service based on the
UGW rules, the eNodeB should
guarantee the rate of 10 Mbit/s.

IMS is generally not

used to bear data
services.
Non-GBR services have different
priorities. They generally use default
bearers, as well as dedicated bearers.
Different QCIs have different priority
factors. The priority has a positive
correlation with the number of
allocated RBs. For example, a service
with QCI 7 and a service with QCI 8
have different priorities.

Page 40
 Scheduling Algorithm
Functions of Scheduling Algorithms:
Ensure the coverage (access/call drop).
Satisfy QoS requirements by esuring fairness of the same services and differentiation of different services.
Maximize the system throughput by making full use of channel status information, that is, allocate appropriate time-
and-frequency resources to users.

Algorithm
Max-C/I
Only the user with the best channel quality is scheduled by using this algorithm. Therefore it has ideal throughput but
cannot ensure fairness or satisfy QoS requirements.
Round Robin
This algorithm lays an emphasis on fairness and allocates the transmission chance to each user in turn.
PF/EPF
Proportional fair (PF) scheduling is a compromise between fairness and throughput.
Enhanced proportional fair (EPF) classifies services (not users) into GBR services and non-GBR Theservices.
schedulingOne user
may have multiple services. opportunity has a
negative correlation
The scheduling UE historical with the amount of
opportunity has scheduled bit rates
historical data. This
a positive UE latest channel ensures that every UE
correlation with quality CQI has an opportunity to
the CQI. A user be scheduled.
is scheduled UE QOS info.: QOS
when the requirement on delay EPF algorithm Output scheduling
channel quality packet lossAMBR result, sending
for the user is scheduling Grant to
UE
the best. UE Capability

Page 41
 Principle of the EPF Algorithm
PF is a compromise between fairness and throughput.
EPF divides services (not users) into: GBR and non-GBR. One user may have multiple services
GBR services have a higher priority to use the cell resources than non-GBR services.
As for the same non-GBR services (assume all the QCIs are nine), if there are N users in the cell, the
resources are allocated to them equally. (The number of RBs is related to the cell bandwidth. For details, see
3GPP TS 36.211.)
As for different non-GBR services (assume QCI 6 and QCI 9 have different priorities and the priority can be
configured by using MML), the number of RBs has a positive correlation with the priority.

Effi Effi 1
Pr i * QCI X * QCI X * QCI X
R(t) Effi * RB RB
The scheduling
opportunity has a
It has a positive negative correlation
correlation with UE historical with the amount of
the CQI. A user scheduled bit rates historical data. This
is scheduled UE latest channel ensures that every UE
when the quality CQI has an opportunity to
channel quality be scheduled.
is the best.
UE QOS info.: QOS EPF algorithm
requirement on delay Output scheduling result,
packet lossAMBR sending scheduling Grant to
UE

UE Capability

Page 42
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
Key Technology of LTE
Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer: Synchronization and
Random Access
Introduction to LTE L2
Introduction to LTE L2
Downlink and Uplink Scheduling Procedure
Throughput Calculation and FAQ
Introduction to LTE L3 and Its Service Procedure

Page 43
 LTE L2

LTE Throughput Calculation

Page 44
 Theoretical Calculation of LTE Throughput
The basis for LTE throughput calculation is the TBS specified in 3GPP TS 36.213. (The horizontal axis is the number
of RBs, and the vertical axis is TBS index, or MCS.) TBS indicates the amount of data that can be transmitted at a time.
(The table applies to both downlink and uplink.)
29, 30, and 31 correspond to the retransmissions of different modulation modes.

MCS Index Modulation Order TBS Index

91 92 93 94 N 95 96 97 98 99 100 0 2 0
I TBS
0 2536 2536 2600 2600
PRB
2664 2664 2728 2728 2728 2792
1 2 1
2 2 2
1 3368 3368 3368 3496 3496 3496 3496 3624 3624 3624 . .
2 4136 4136 4136 4264 4264 4264 4392 4392 4392 4584 . . .
3 5352 5352 5352 5544 5544 5544 5736 5736 5736 5736 . . .
19 6 17
. . . . . . . . . . . 20 6 18
21 6 19
. . . . . . . . . . .
22 6 20
. . . . . . . . . . . 23 6 21
24 6 22
19 39232 39232 40576 40576 40576 40576 42368 42368 42368 43816
25 6 23
20 42368 42368 43816 43816 43816 45352 45352 45352 46888 46888 26 6 24
21 45352 46888 46888 46888 46888 48936 48936 48936 48936 51024 27 6 25
28 6 26
22 48936 48936 51024 51024 51024 51024 52752 52752 52752 55056
29 2
23 52752 52752 52752 55056 55056 55056 55056 57336 57336 57336 30 4 reserved
24 55056 57336 57336 57336 57336 59256 59256 59256 61664 61664 31 6
25 57336 59256 59256 59256 61664 61664 61664 61664 63776 63776 Frequently asked question: Why can
multiple MCSs correspond to the same
26 66592 68808 68808 68808 71112 71112 71112 73712 73712 75376 modulation mode (for example, QPSK) when
the number of RBs remains unchanged?
The modulation mode is related to the physical layer. The number of bits that can be transmitted on the physical layer = Modulation mode
Number of REs. As long as the number of RBs and the modulation mode remain unchanged, the number of bits also remains
unchanged. But the MCS determines how many information bits (transport block size, TBS) can be transmitted. Even though the
modulation mode remains unchanged, with different MCSs, the number of information bits may be different.

Page 45
 Theoretical LTE Throughput
It depends on cell bandwidth, MCS, MIMO mode, UE capability, and subscription information stored on the Home
Subscriber Server (HSS).

1. The cell bandwidth determines the largest available frequency resources (number of RBs).

2. The MCS determines the spectral efficiency.

Cell Available MCS UE capability and

bandwidth RBs QoS information

Scheduling Transport block MIMO

times size mode

The number of scheduling times is

related to the number of UEs in the
cell. If there are multiple users, the Throughput
number of scheduling times for each (Mbit/s)
user are reduced. It is also related to
the amount of data. If there is no
data, there is no scheduling.

Page 46
UE Capability and Subscription Information
Different UEs have different capabilities. Generally, commercial UEs are of Category 3. The UE
capability limits the TBS.
DL Maximum number Maximum UL Maximum number Support for
of DL-SCH number of bits of bits of an UL- 64QAM in UL
transport block bits of a DL-SCH UE Category SCH transport
UE Category received within a transport block block transmitted
TTI received within within a TTI
a TTI
Category 1 5160 No
Category 1 10296 10296
Category 2 25456 No
Category 2 51024 51024
Category 3 102048 75376 Category 3 51024 No

Category 4 150752 75376 Category 4 51024 No

Category 5 299552 149776 Category 5 75376 Yes

Querying th
capability on
interface

Page 47
 UE Capability and Subscription Information
According to the protocol, the total amount of data of non-GBR services cannot exceed the AMBR.

If the AMBR is too small, the peak rate is limited. Or if the AMBR is set to 0, the transmission cannot be performed.

QoS and
AMBR are
queried on
the S1
interface.

Page 48
 FAQs in LTE Throughput Calculation
How to calculate the throughput?

The eNodeB estimates the channel quality: The uplink channel quality is determined by measuring the SINR, and the downlink channel quality is determined by the CQI sent from the UE.

The SINR in the uplink or CQI in the downlink need to be adjusted due to the measurement inaccuracy, the difference between the channels, and the deep fading. (The eNodeB adjusts the SINR and
CQI based on ACK/NACK and the distance from the target value of BLER.) The eNodeB selects the MCS based on the channel quality (The spectral efficiency depends on the MCS).

The eNodeB allocates the RBs based on the amount of data the UE needs to transmit.

Based on the MCS, number of RBs, and the index in 3GPP TS 36.213, the eNodeB determines the TBS. The throughput is the result of multiplying the TBS and the number of scheduling times (based
on the PDCCH indication).

Probe and other UE log tools output data every second. Theoretically, the TBS of every millisecond should be calculated and then added together. What if it cannot be done? Actually, if the measurement
is performed at a specified time point, using the average MCS and number of RBs (scheduling times are taken into consideration) provided by Probe to calculate the throughput is also accurate. Take
BLER into consideration when calculating the actual throughput.

Is the downlink SINR related to CQI? Is the SINR measured by the UE related to the throughput?

It depends on the UE performance. Different UEs have different algorithms (the algorithms have experienced sufficient tests by using test UEs). The protocol does not define the mapping from the
unadjusted SINR to CQI.

The throughput-versus-SINR curve is different in different networks. It depends on the network interference. The curves of SINR and THP with a large number of samples are considered as referential.

There may be much difference between the actual throughput and the calculation result by measuring SINR once. The SINR is obtained by only measuring SRSs. SRSs may not reflect the channel
quality accurately. For example, if the intra-eNodeB neighboring cell is open, the THP decreases quickly.

A good method is to check the IBLER. If the IBLER is less than 10%, the process of the eNodeB is correct. The low throughput is caused by the poor channel quality.

Page 49
 FAQs in LTE Throughput Calculation
What is the principle for multi-user scheduling? How to calculate the throughput?
The principle is differentiating between GBR services and non-GBR services. The GBR services are guaranteed bit rate services
and should be given a higher priority. The non-GBR services are scheduled based on the QCI priority.
Fairness between the same non-GBR services: The same number of RBs are allocated to same services. The eNodeB
estimates the number of RBs that can be allocated to each user based on the QoS information of each user and the service
distribution in the cell. If the number of RBs matches the configuration using MML, the fairness is ensured.
Differentiation for non-GBR services: The RB resources allocated to different services match the configured proportions. The
eNodeB estimates the number of RBs that can be allocated to each user based on the QoS message of each user and the
service distribution in the cell. If the number of RBs matches the configured proportion using MML, the fairness is guaranteed.

For example, the cell QCI is configured as follows

Assume two UEs access the cell.

UE 1 has two services, QCI 6 and QCI 9. UE 2 has one service with QCI 9.
With the bandwidth of 20 MHz, 98 RBs are available because the system information occupies some RBs.
QCI 6 weight : QCI 9 weight = 1000 : 700 = 10 : 7
The theoretical number of RBs allocated to each UE is calculated as follows:
Number of RBs for UE 1: (QCI 6 + QCI 9)/(QCI 6 + QCI 9 + QCI 9) 98 = 69.4 Switching
Number of RBs for UE 2: QCI 9/(QCI 6 + QCI 9 + QCI 9) 98 = 28.6 from multi-
If the number of RBs is known, the throughput can be calculated based on the MCS of the UE channel. user to
single to
Note: The number of RBs is statistical. For example, if the number of RBs in one second is 69.4, the number of RBs allocated user
each
TTI is the result 69.4 divided by the number of scheduling times.
Throughput = TBS (MCS, statistical number of RBs/scheduling times) Number of scheduling times

Page 50
 Outline
LTE Architecture
E-UTRAN and SAE Architecture
E-UTRAN Protocol Stack Structure
Key Technology of LTE
Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer: Synchronization and
Random Access
Introduction to LTE L2
Introduction to LTE L2
Downlink and Uplink Scheduling Procedure
Throughput Calculation
Introduction to LTE L3 and Its Service Procedure
Not emphasized here because many specialized lectures
will be held later.

Page 51
Introduction to LTE L3 and Interfaces
Functions of the RRC interface (signaling over the air interface between the UE
and eNodeB)
System information broadcast(important, including cell resource management)
Functions of the X2 interface
RRC connection management: paging, setup/reconfiguration/release of the RRC (signaling between the eNodeBs)
connections X2 mobility management: handover signaling forwarding
(important, including resource allocation) over the X2 interface
AS (access layer/air interface) security management: encryption/integrity Load management: signaling exchange between cells to
protection configuration balance cell loads, for example, information exchange in
Air interface bearer management: setup/reconfiguration/release of the user the inter-cell interference coordination (ICIC)
QoS parameter mapping
X2 interface management
Radio link failure management
Measurement control and report
Handover (intra-frequency/inter-frequency/inter-RAT)

Functions of S1 interface (S1 signaling between the SAE and eNodeB)

Bearer management: The MME initiates the setup, modification and release of an SAE bearer. The eNodeB can also
initiate the release of an SAE bearer.
Handover signaling forwarding over the S1 interface
Status forwarding: If in-sequence delivery and duplicate detection are supported when intra-RAT handover happens,the
PDCP SN is forwarded from the source eNodeB to the target eNodeB.
S1 paging: enabling the EPC to page a UE.
S1 interface management: This function includes S1 interface resetting (ensuring the initialization of the S1 interface)
and error indication (if no message is available for error indication, it reports/deals with the error).
Load management: This function includes overload indication (indicating the load status in the control plane of S1
interface), load balancing (ensuring the load balancing in the MME pool), and S1 setup (initializing the S1 interface and
providing configuration information).
NAS signaling transmission between the UE and MME
Releasing the UE context: This function manages the UE context release between the eNodeB and MME
Indicating UE capacity: This function provides the UE capacity information

Page 52
Network Access Procedure for a Calling UE

UE E-NODEB MME

RRC CONN SETUP REQ

RRC CONN SETUP

RRC CONN SETUP CMP

INITIAL UE MESSAGE

Direct transmission (authentication, negotiation)

INITIAL UE CONTEXT SETUP REQ
RRC SECURITY MODE CMD

RRC SECURITY MODE CMP

RRC CONN RECFG

RRC CONN RECFG CMP

INITIAL UE CONTEXT SETUP RSP

Direct transmission (negotiation, procedure information)

SAEB SETUP REQ
RRC CONN RECFG

RRC CONN RECFG CMP

SAEB SETUP RSP

Page 53
Network Access Procedure for a Called UE
UE E-NODEB MME

PAGING
RRC PAGING

RRC CONN SETUP REQ

RRC CONN SETUP

RRC CONN SETUP CMP

INITIAL UE MESSAGE

Direct transmission (authentication, negotiation)

INITIAL UE CONTEXT SETUP REQ
RRC SECURITY MODE CMD

RRC SECURITY MODE CMP

RRC CONN RECFG

RRC CONN RECFG CMP

INITIAL UE CONTEXT SETUP RSP

Direct transmission (negotiation, procedure information)

SAEB SETUP REQ
RRC CONN RECFG

RRC CONN RECFG CMP

SAEB SETUP RSP

Page 54
Features of LTE Architecture

Flat, less NEs and layers

In terms of the access network, the number of NEs is reduced, with all the functions concentrated on the eNodeB.
In terms of the EPC, the MME performs mobility management and the user plane entity (UPE) performs data management in the
user plane.

Spectral efficiency is increased due to the broadband

E-UTRAN uses OFDM in the downlink and SC-FDMA in the uplink. Compared with single carrier systems, multicarrier
technology has a higher spectral efficiency because multiple users occupy orthogonal subcarriers and guard-bands are not
needed.
The multi-antenna technique can improve the system performance. Parallel transmission in the downlink is possible due to the
MIMO spatial multiplexing.

Application of LTE
Physical layer and scheduling: OFDM, SC-FDMA, MIMO, HARQ, and scheduling algorithms can improve the sensitivity of a
receiver and the capacity and coverage area of a system.
Compared with WCDMA, the bandwidth and spectral efficiency of LTE is increased and the platform techniques are increased.
Operators may have multiple networks when deploying E-UTRAN in the future. Then a question arises that how to deploy E-
UTRAN with multiple modes and multi-carriers: The solution lies in idle mode management and mobility management in
connected mode, for example, camping and reselection principle, handover principle, and load balance principle.
LTE has the self-organizing network (SON) function. SON can perform automatic configuration and optimization. For example,
neighboring relationship management, automatic handover optimization and load optimization....

Page 56
Core of OFDM: Analog Baseband Realization (For Reference)

Core Principle
The OFDM transforms serial transmission into parallel transmission to get multiple parallel data streams and
modulates data to orthogonal subcarriers. The spectra of subcarriers overlap.

Features of baseband signals

The following formula represents a transmit signal.
N 1
X (t ) (an cos nt bn sin nt )
n 0

When the signals are demodulated at the receiving side, the orthogonality of subcarriers are guaranteed
according to the following formulas.

1 T0 Ts
Ts T0
cos(2f i t ) sin(2f j t )dt 0, i, j

1 T0 Ts
Ts T0
cos(2f i t ) cos(2f j t )dt 0, i j

Note: They are baseband signals, not modulated to the RF signals yet.

Page 57
Core of OFDM: Digital Baseband (For Reference)
Core Principle
The OFDM transforms serial transmission into parallel transmission to get multiple parallel data streams and
modulates data to orthogonal subcarriers. The spectra of subcarriers are overlapped.

Digital Signal Realization

The following formula represents that sending signals are transformed into real numbers and modulated to
complex carriers.
N 1
X ( t ) ( a n cos n t bn sin n t )
n 0

N 1
Re ( an jbn ) exp( j n t )
n 0

The following formula represents that the sending signals are sampled based on Ts/N.
N 1 n mTs
X (m) Re (an jbn ) exp( j 2 ) It becomes
n 0 Ts N IFFT format
after
N 1 mn
Re ( an jbn ) exp( j 2
conversion.
)
n 0 N
Re IDFT ( Z n )
Note: Digital baseband signals are mentioned here. We can perform the quick calculation by using digits to
realize the OFDM.

Page 58
OFDM: Figure of Digital Baseband Realization (For
Reference)
Core Principle
The OFDM transforms serial transmission into parallel transmission to get multiple parallel data streams and
modulates data to orthogonal subcarriers. The spectra of subcarriers are overlapped.

The following figure shows the process of superposing subcarriers using IFFT at the transmit side in an OFDM system:
According to the previous formulas, the result of IFFT of transmit sequence is just the data sampling sequence when
the analog baseband is realized and multicarriers are superposed. After D/A conversion, the analog baseband transmit
signals can be obtained.
Demodulation is a procedure in a reverse direction.

sn , 0 sn , 0

e j 0 t
S IDFT P/S D/A
sn, N 1 sn, N 1
e j N 1t

Page 59
OFDM: Figure of Digital Baseband Realization (For
Reference)
Core Principle
The OFDM transforms serial transmission into parallel transmission to get multiple parallel data
streams and modulates data to orthogonal subcarriers. The spectra of subcarriers are overlapped.

The following figure shows the rough process from data transmission to data demodulation.
Demodulation is a reverse process of modulation and can be deduced based on the same method (FFT).

Add
s(t) S/P IFFT Cyclic P/S
Prefix

Transmitter
Channel
n(t)
Receiver

Remove
r(t) P/S FFT Cyclic S/P
Prefix

Page 60
OFDM: Waveform of Signals in Frequency and Time
(For Reference)
Core Principle
The OFDM transforms serial transmission into parallel transmission to get multiple parallel data
streams and modulates data to orthogonal subcarriers. The spectra of subcarriers are overlapped.

Signals in the time domain: Multiple carrier signals overlap in the time domain.
Spectrum: Spectral intervals are the same and they overlap.

Page 61
Relationship Between the Protocols in the Physical
Layer

To/From Higher Layers

36.212
Multiplexing and channel
coding

36.211 36.213 36.214

Physical Channels and Physical layer procedures Physical layer
Modulation Measurements

Page 62
LTE Scheduling Process - Resource Allocation on the
PDCCH
The PDCCH indicates the downlink scheduling information, RB resources and MCS.
The PDCCH actually indicates the PDSCH or PUSCH resource information and MCS. Indications seem
No other channels are used to indicate the PDCCH resource information for a UE. to be endless?
PDCCH has to
How does the UE get to know its PDCCH resource information? Blind demodulation perform blind
demodulation.

Conditions of blind demodulation: The UE attempts to decode its PDCCH message on the PDCCH (the maximum
number of blind decoding attempts is 44).

1 CCE
=9REG
=36RE

We consider the
CCE as logical
resources and do
not discuss the
mapping from the
CCE to RE.

Features of PDCCH:
PDCCH occupies all the resources in the cell in the frequency domain. In the time domain, it occupies 1 to 3 (large bandwidth) or
2 to 4 (small bandwidth, 1.4 MHz) symbols.
The granularity of PDCCH resource allocation is CCE. Only 1, 2, 4, or 8 CCEs can be allocated to PDCCH.

Page 63
 LTE Scheduling Procedure - Blind Demodulation of
PDCCH Physical
The
number of
resources attempts is
Blind demodulation of PDCCH are limited. limited.
The aggregation level of the UE is limited (only 1, 2, 4, or 8 according to the protocol).
According to the protocol, the number of demodulation times (or possible resource starting positions) is limited.
PDCCH resources are physical resources (CCE or RE resources) and they bear digital information (bit stream
or DCI). The UE can know its RB resources and MCS only by reading the digital information on the PDCCH.
Bearer
The bit streams are unchangeable according to the protocol.
information
What does the bit information of DCI contain? (DCI streams are
2A is used as an example.) Allocation granularity of CCE resources unchangeable.

Field Number of Bits Remark

Resource allocation: type 0 or type 1 1/0
Resource allocation indication:
RGB allocation of type 0 or RGB subset
allocation of type 1. RBG subset is left
justified or right justified in type 1.
HARQ process 3
TPC command, controlled by the PUCCH 2
DAI TDD parameters
Codeword exchange information in dual-
1
codeword transmission
MCS 5 Same for
Public space is
the two the PDCCH that needs to be
NDI 1 codewords UE-specific space is
monitored by a type of UEs. The UEs
Redundancy version 2 bit2 receive RAR and information about the PDCCH that needs to be
Precoding information (only for 4 dynamic scheduling of SI and paging monitored by one UE, such as
0 (2 antennas) downlink and uplink scheduling
antennas) messages. The aggregation level is
limited to 4 or 8. information.

Page 64
LTE Scheduling - HARQ Retransmission Procedure
The purpose of hybrid automatic repeat request (HARQ) is to ensure the correct data transmission in L1.
ACK/NACK determines whether retransmission is required.
Forward error correction (Redundant bits are added in the procedure of encoding.)
Combination of initally transmitted data and retransmitted data (If the information is not demodulated after one attempt, more bits are
transmitted. The demodulation may be successful when initially transmitted data and retransmitted data are combined together.)

Features of LTE HARQ:

N-channel stop and wait (N = 8)
The unit of initial transmission and retransmission is TB. (The size of TBs and amount of information in initial transmission and
retransmission are the same. But the bit streams may be different.)
Asynchronous adaptive HARQ is used in the downlink.
The UE sends ACK/NACK on the PUCCH or PUSCH. ACK indicates retransmission is not needed and NACK indicates
retransmission is needed.
The initial transmission/retransmission HARQ process number must be indicated. Retransmission must use PDCCH
scheduling. Same or different bit streams can be transmitted at a time (version number). There are four version numbers in
LTE system but they have the same amount of information.
In the uplink
The higher layer configures the maximum number of retransmissions for each UE.
The eNodeB sends ACK/NACK to the UE on the PHICH. ACK indicates retransmission is not required and NACK indicates
retransmission is required.
There are two modes of HARQ: non-adaptive (The eNodeB does not need to send PDCCH to UE. It only sends NACK to UE
and UE retransmits the data at the initial transmission position by default.) and adaptive. (The eNodeB needs to send PDCCH
to UE. The position of retransmission may be different from the initial one.)

Page 65
Stop-And-Wait HARQ

If N is 1, it
takes a lot
of time to
wait.

NAC
K Retransmission
By using N-channel
stop and wait, more
information is
transmitted. If an error
occurred,
retransmission is
performed.

Each FDD UE has eight HARQ channels.

Generally, HARQ channel T0 transmits data.
T0+4 receives ACK/NACK and T0+8 sends
other data (or retransmits data)
.

Page 66
 Adaptive HARQ and Non-adaptive HARQ
Data is retransmitted at the
position indicated by HARQ
process ID 0 without the
indication from the eNodeB.

The eNodeB
needs to tell the
UE the HARQ
process number.

N-channel stop and wait (in the figure, N=8, T=0-7)

The unit of initial transmission and retransmission is TB. (The size of TBs and amount of information in initial transmission and
retransmission are the same. So the initial transmitted data and retransmitted data can be combined together.)
Asynchronous adaptive HARQ is used in the downlink.
The UE sends ACK/NACK on the PUCCH or PUSCH. ACK indicates retransmission is not required and NACK indicates
retransmission is required.
The eNodeB indicates initial transmission or retransmission HARQ process number. Retransmission must use PDCCH
scheduling. Same or different bit streams can be transmitted at a time (version number). There are four version numbers in
LTE system but they have the same amount of information.
Adaptive HARQ or non-adaptive HARQ can both be used in the uplink.
The higher layer configures the maximum numbers of retransmissions for each UE. The eNodeB sends ACK/NACK to the
UE on PHICH. ACK indicates retransmission is not needed and NACK indicates retransmission is needed.
Non-adaptive: The eNodeB does not need to send PDCCH to the UE. It only sends NACK to the UE and the UE
retransmits data at the initial transmission position by default after 8 TTIs.
Adaptive: The eNodeB needs to send PDCCH to the UE. The position of retransmission may be different from the initial
Page 67 one.