LTE System Basic Principle - Training

2013-06 Security Level: Internal Use
LTE system principle
www.huawei.com
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Objectives
Upon completion of this course, you will be
able to

Know the backgrounds of evolution

Know the system architecture of LTE

Know the key features of LTE
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References
3GPP TS 36.401
3GPP TS 36.101
3GPP TS 36.211
3GPP TS 36.212
3GPP TS 36.213
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Contents
1. Overview
2. LTE system architecture
3. LTE key features
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Contents
1. Overview
3. LTE key features
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Mobile communications standards landscape
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3GPP Releases
3GPP is working on two approaches for 3G evolution: the LTE
and the HSPA Evolution
HSPA Evolution is aimed to be backward compatible while LTE do
not need to be backward compatible with WCDMA and HSPA
By the end of 2007, 3GPP R8 is released as the first specs of LTE
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LTE will be the Single Global Standard
>1.2Gbps
GSM /80MHz
700M Spectral Efficiency

800M New
Key
850M
UMTS Title Tec FDD LTE
300Mbps h.
900M /20MHz
150Mbp
1500M s Relay
1700M 84Mbps /20MHz
CDMA /10MHz
1800M 4x4
4x4
1900M MIMO
42Mbps MIMO
2x2
/5MHz DC
2100M MIMO
2300M TD-SCDMA 28Mbps
/5MHz 2x2 2x2 OFDM OFDM
2600M 21Mbps MIMO MIM OFD TDD LTE
/5MHz O M
2x2
WiMAX 64QAM MIMO 64QAM 64QAM 64QAM 64QAM 64QAM
LTE will be the natural migration choice for mobile

operators.
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Page 8
SDR Facilitating Smooth Evolution
Spectrum for LTE Smooth Transition to LTE
LTE GSM+UMTS
2600MHz
SDR SDR
UMTS LTE
2100MHz
LTE
GSM
GSM
1800MHz LTE mRRU MRFU
GSM
900MHz UMTS LTE
800MHz LTE SDR SDR

2010 2011 2012
GSM+LTE
Technolo 800 900M 1800 2100 2.6G Spectrum refarming starts from
gy M M M 900M/1800M, which can be
utilized for LTE deployment.
GSM
SDR technology supports flexible
UMTS
and smooth transition from
LTE 2G/3G to LTE.
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LTE Release 8 Bands
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Carrier Frequency EARFCN
Calculation
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LTE requirements and targets
Reduced delays: in terms of both connection establishment
(less then 100ms) and transmission latency (less then 10ms)
Increased user data rates: (Peak data-rate requirements are
100 Mbit/s and 50 Mbit/s for downlink and uplink respectively,
when operating in 20MHz spectrum allocation)
Improved spectral efficiency

Seamless mobility: including between different radio-access
technologies
Supporting flexible spectrum allocation (1.4, 3, 5, 10, 15 and
20 MHz) to meet the complicated spectrum situation
requirement
Simplified network architecture

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Reasonable power consumption for the mobile
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LTE technical features
The LTE downlink transmission scheme is based on downlink
OFDMA and uplink SC-FDMA
LTE adopts shared-channel transmission, in which the time-
frequency resource is dynamically shared between users.
This is similar to the approach taken in HSDPA
Fast hybrid ARQ with soft combining is used in LTE
MIMO is supported by LTE, basically this is Spatial
multiplexing which can increase data rate prominently
LTE supports flexible spectrum allocation in terms of duplex
arrangement which support both FDD and TDD and
bandwidth allocations which ranges 1.4, 3, 5, 10, 15 and 20
MHz
Support SON
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LTE standardization and specifications
3GPP specifications download, Please refer to :

http://3ms.huawei.com/hi/group/1004739/thread_1123239.htm
l?mapId=657131
The specification document for LTE is 36 series, inherits

the structure of UTRAN 25 series:
36.1xx series is about the physical layer general aspect
36.2xx series is about radio interface physical layer
36.3xx series is about the radio interface layer 2 and 3
36.4xx series is about the terrestrial interfaces (S1, X2 )
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Contents
1. Overview
3. LTE key features
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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
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LTE Architecture: Logical Architecture of E-UTRAN
Flat architecture: The biggest change of the evolved access network architecture is that the RNC is removed
and its function is performed by the eNodeB and MME.
The network only transmits PS services and voice services are transmitted by using VoIP (inter-RAT
operation is allowed, such as CSFB).
S1 interface: It is the interface between eNodeB and SAE Gateway/MME, including the control plane and the
user plane interface.
X2 interface: It is the interface between eNodeBs, including the control plane and the user plane interface,
performing the functions of mobility and part of radio resource management.
LTE-Uu interface: It is the air interface between eNodeB and UE, including the control plane and the user
plane interface.
Itf-S interface: It is the network management interface between eNodeB and EMS.
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LTE-SAE System architecture
An evolved core network, the Evolved Packet Core is at the same
time developed, which generally is called System Architecture
Evolution.
The philosophy of the SAE is to focus on the packet-switched
domain, and migrate away from the circuit-switched domain
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E-UTRAN functions
Transfer of user data Inter-cell interference
Radio channel ciphering coordination
and deciphering Connection setup and release

Integrity protection Load Balancing
Header compression Distribution function for NAS
Mobility control messages
functions NAS node selection function
Handover Synchronization
Paging Radio access network sharing
Positioning
MBMS function
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LTE Protocol StackS1 Interface
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: User Datagram Protocol is used for the user data transmission. For details about UDP, see RFC
768.
The data link layer can use layer 2 technologies, such as PPP and Ethernet.
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LTE Protocol StackX2 Interface
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.

LTE Protocol StackUu Interface
L3 & NAS
L2
L1
User Plane Control Plane

RRC_IDLE: A UE is in RRC_IDLE state when the UE does not have an
RRC connection.
DRX can be used for the UE to save the UE power.
RRC protocol layer The UE monitors the paging channel.
A UE has 2 RRC states. The UE measures the neighboring cell and reselects a cell.
The UE gets system information.
PDCP protocol layer The UE updates TAU periodically.
RLC protocol layer Introduced
MAC protocol layer later RRC_CONNECTED: A UE is in RRC_CONNECTED state when at least
PHY protocol layer one RRC connection is established for the UE.
The UE manages the mobility.
The UE transmits downlink and uplink data.
The UE provides channel quality and feedback information.
The UE supports DRX configuration to save the UE power.

LTE Architecture
LTE Physical Layer

Key Technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer
Introduction to Downlink and Uplink Scheduling Algorithms
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LTE Physical Layer
OFDM

The Reason for Using Orthogonal Frequency Division
Multiplexing (OFDM)
Main Motivation: to Increase Spectral Efficiency
The data transmission rate in the communications system becomes higher and higher.
The higher-rate data transmission leads to a shorter transmission period of each bit.
The multipath effect exists in the radio communications system. So if the bit period is shortened, the
inter-bit interference is strengthened, which results in performance deterioration.
If the communications system uses parallel transmission, multiple bits are sent simultaneously. So if the
overall data transmission rate remains unchanged, the period of each bit is increased dramatically.
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 to get multiple parallel data streams and
modulate data to orthogonal subcarriers.
Advantages of the Technology

High spectral efficiency
Resistance to multipath interference
Resistance to frequency-selective fading

Feature of OFDM: Multi-carrier
OFDM is a type of multi-carrier

modulation, with small spacing
between carriers: delta-f=15 KHz
OFDM
subcarriers

Advantages of OFDM: High Spectral Efficiency
High Spectral Efficiency
The following figures show the spectrum of single-carrier and multi-carrier systems. Compared with classical multi-
carrier systems, OFDM needs less guardbands to protect subcarriers. So the spectral efficiency is increased.
The subcarriers in the OFDM system are overlapped and orthogonal. The spectrum of each subcarrier is a SINC
function. Zero appears periodically in the function with the subcarrier spacing as its period, providing nothing at the
peak of other subcarriers. Therefore the spectral efficiency is dramatically increased.
140
120
100
Linear Amplitude
80
60
40
20
0
-10 -8 -6 -4 -2 0 2 4 6

Advantages of OFDM: Resistance to Multipath Interference
Resistance to Multipath Interference

If the transmission rate remains unchanged, parallel transmission makes the transmission period of each bit increase
several times. So the multipath interference is reduced.
A guard interval is inserted in front of each OFDM symbol to further reduce the inter-symbol interference caused by
multipath delay. If the length of guard interval is greater than the biggest multipath delay, the inter-symbol interference is
completely avoided.
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.

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
5
If channel fading
Frequency S lective Fading
0
for user A is
-5
bigger than user
B. The spectral
-10 resources can be
allocated to user
-15
B.
-20
-25
-30
0 100 200 300 400 500 600
Frequency

Waveform of OFDM Signals in Frequency and Time
Features of OFDM Signals in Frequency and Time

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

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

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 PRB = 1 slot 12 subcarriers
One PRB occupies 0.5 ms in the time domain.
The general definition of RB is 1 RB = 2 slots 12 subcarriers. If we do not take frequency hopping into
consideration, slot 0 and slot 1 are allocated together, generally 1 RB = 1 PRB 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
N symb
N scRB
Frame Frame
Structure Structure
f 15 kHz Type 2
Type 1
Normal Cyclic Prefix 12 7 9
Extended Cyclic 12 8
6
Prefix
Extended CP is generally used in cells with extended coverage.

FDD LTE Frame Structure: the Smallest Resource
Unit (RE)

LTE bandwidth
LTE have different types of bandwidth to fit
different network deployment.
Transmission bandwidth could be:
Channel bandwidth BWChannel [MHz] 1.4 3 5 10 15 20
Transmission bandwidth configuration NRB 6 15 25 50 75 100

LTE Physical Layer
Major Physical Channels

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
PUCCH: physical uplink control channel
Logical channels 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 describe the

physical features of signals,
such as coding and
modulation.

Introduction to Main LTE Physical Channels
Uplink physical channels include:
PRACH PRACH: physical random access channel. This channel transmits uplink random access preambles.
PUSCH: physical uplink shared channel. This channel transmits user data.
PUCCH PPUCCH: physical 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 and is allocated by

means of frequency hopping. It is related to the number of users in the
cell (the larger the number is, the more the feedback information is). It
expands dynamically, but the biggest PUCCH number is limited by the
product specification.
The protocol does not define the location of PRACH. Currently Huawei
locates it based on the biggest PUCCH to avoid frequency-domain
interference. PRACH can be configured by using MML, but it cannot be
in conflict with PUCCH.
The remaining resources can all be used as PUSCH.

PUSCH transmits uplink data and is modulated at the UE side. It needs
to meet the demand of single-carrier, that is, 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). The number of
RBs allocated at the same time must be 2 x3y5z. (If 2, 3, and 5 are used
as the base numbers, the FFT efficiency is the highest.)

Introduction to Main LTE Physical Channels
Amplification of 1 RB
Every RB has cell reference signal REs (the figure shows the
port 0 of 2T antenna). Features of RS REs include:
1. The number of RS REs is related to the number of
antennas. For details, see section 6.10 in 3GPP TS 36.211.
2. In terms of signal features, RS REs are related to PCI. The
RS is unique to each cell to ensure that the RS signals can be
demodulated separately in different cells.
3. The power of RS is configured by using MML and broadcast
in system information.
4. The RS location is also related to PCI (the location in the
frequency domain is PCI mod 6).
5. RSs are used to estimate and measure the downlink
channel quality.
Control channels include PCFICH (at the first symbol), Note: the figure shows subframe 0. Subframe 5 has
PHICH, and PDCCH. The number of symbols occupied synchronization channels but no broadcast channels. The other
by control channels is changeable (14). Four is only subframes have neither synchronization channels nor
suitable for small bandwidths such as 3 MHz, 1.4 MHz. broadcast channels.

LTE Physical Layer
Cell Search and Random Access

Synchronization Channel: Cell Search and Downlink
Synchronization
Primary-synchronization channel (P-SCH) and secondary-synchronization channel (S-SCH)
In the frequency domain: The primary synchronization signal (PSS) and secondary
synchronization signal (SSS) are transmitted in the central six RBs, regardless of cell
bandwidth. The sequence length in actual mapping is 63. The remaining subcarriers are used for
protection.
In the time domain: The period is 5 ms.
P-SCH: The PSS is mapped to the last OFDM symbol of slot 0 and slot 10.
S-SCH: The SSS is mapped to the last but one OFDM symbol of slot 0 and slot 10.
504 physical cell IDs (PCIs) are divided into 168 groups. Each group has three PCIs.
A one-to-one relationship exists between the SSS and each PCI group. So does the PSS and each PCI in
the group.
The UE gets synchronized in the time domain and frequency domain with the network and obtains the PCI
by detecting synchronization channels. (PCI = Group ID 3 + Cell Id in group)
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

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

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
(PRACH, BCCH, PCCH, PDSCH, PUCCH, PUSCH, SRS)
SIB3: cell reselection information
SIB4: intra-frequency neighboring cell information
SIB5: inter-frequency neighboring cell information The first three are
SIB6: UMTS neighboring cell information key SIBs.
SIB7: GSM neighboring cell information

SIB8: CDMA neighboring cell information

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 with the
5 Any 7
cell radius. For details, see
3GPP TS 36.211. 6 Any 1, 6
7 Any 2 ,7
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.)

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

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.

Application of LTE Physical Channels
As an example, the applications of the channels in a complete network access procedure are as follows:
The UE obtains the PCI and gets synchronized with the eNodeB in the downlink on the P-SCH and S-SCH. The downlink synchronization
includes frame synchronization and symbol synchronization.
The UE gets system information (SIB1) on the PBCH. MIB and SIB1 are always scheduled on the PBCH and other SIBs are dynamically
scheduled on PDSCHs.
Periods and listening windows of other SIBs are broadcast in SIB1. After the UE receives SIB1, it knows the other SIBs to be received
later.
The UE initiates the random access on the PRACH and gets synchronized with the eNodeB in the uplink.
After random access, the UE requests uplink scheduling on the PUCCH.
If there is uplink or downlink data to be transmitted, the UE needs to listen to the PDCCH to get information about the PUSCH and PDSCH.
Then, the UE sends data on the PUSCH and receives data on the PDSCH.
Note: It is just a schematic figure, not

defining the sequence.

Outline
LTE Architecture
Key Technology of LTE

Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer: Synchronization and Random Access
Throughput Calculation and FAQ

Location of L2 in the LTE Protocol Stack
L3 & NAS
L2
L1
User Plane Control Plane

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

LTE Scheduling Procedure-Location of MAC in L2
The main function of MAC is scheduling based on service

priorities.

LTE L2
LTE Service Processing

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.
Priority level 1 is the highest priority
level.

Scheduling Algorithm
Functions of Scheduling Algorithms:
Ensure the coverage (access/call drop).
Satisfy QoS requirements by ensuring 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 services. One user
may have multiple services. The scheduling
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
UE QOS
QOS info.:
info.: QOS
when the requirement
requirement on
on delay
delay EPF algorithm Output scheduling
channel quality packet loss
AMBR
AMBR result, sending
for the user is scheduling Grant to
UE
the best. UE
UE Capability
Capability

LTE L2
Introduction to the LTE Scheduling

Procedure

LTE Scheduling Procedure-Downlink

LTE Scheduling Procedure-Uplink

LTE L2
LTE Throughput Calculation

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
22 48936 48936 51024 51024 51024 51024 52752 52752 52752 55056 28 6 26
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
26 66592 68808 68808 68808 71112 71112 71112 73712 73712 75376
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.

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 MIMO

times block 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.

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 of Maximum UL Maximum number of Support for
DL-SCH transport number of bits of bits of an UL-SCH 64QAM in UL
block bits received a DL-SCH UE Category transport block
UE Category within a TTI transport block transmitted within a
received within a TTI
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 the UE
capability on the
Uu interface

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.

LTE Downlink Peak Throughput Calculation
(with a Category-4/5 UE)
UE measurement: The signal quality is the best when the throughput reaches the peak. For example, the SINR measured by the UE is
greater than 30 dB and the CQI reported by the UE is 15.
The eNodeB selects the highest-level MCS based on the CQI. (The throughput reaches the peak. There is no error packet. All responses
from the UE are ACKs and the eNodeB does not lower the MCS because there is no error packet.)
Assume that the amount of data from the EPC is abundant (greater than 150 Mbit/s). Each TTI has some data to transmit. The number of
times of PDCCH scheduling is 1000.
The eNodeB estimates the number of RBs based on the amount of data. If the number of available RBs in the cell is 100 (20 MHz cell) and
they are allocated to one UE, according to 3GPP TS 36.213, the transport block size is 75,376 bit.
MIMO is used in downlink. 2T2R can transmit two codewords (RI of near-point UEs = 2, used in MIMO).
Throughput = 75,376 1,000 2 = 150 Mbit/s
The actual throughput is less than that because the system information is also scheduled dynamically on the PDSCH. The actual throughput
is approximately: 98% 150 = 147 Mbit/s.

LTE Downlink Peak Throughput Calculation (with
a Category-3 UE) The UE
capability
limits the
amount of
data
transmitted
at a time.
UE measurement: The signal quality is the best when the throughput reaches the peak. The SINR measured by the UE is greater
than 30 dB and the CQI reported by the UE is 15.
The eNodeB selects the highest-level MCS based on the CQI. (The throughput reaches the peak. There is no error packet. All
responses from the UE are ACKs and the eNodeB does not lower the MCS because there is no error packet.)
Assume that the amount of data from the EPC is abundant (greater than 150 Mbp/s). Each TTI has some data to transmit. The
number of PDCCH scheduling times is 1000.
The eNodeB estimates the number of RBs based on the amount of data. If the number of available RBs in the cell is 100 (20 MHz
cell) and they are allocated to one UE, according to 3GPP TS 36.213, the transport block size is 75376 bit. However the UE is of
Category 3. According to 3GPP TS 36.306, the maximum TBS the UE capacity supports is 51024 bit.
MIMO is used in downlink. 2T2R can transmit two codewords (RI of near-point UEs = 2, used in MIMO).
Throughput = 51024 1000 2 = 102 Mbit/s

LTE Uplink Peak Throughput Calculation
(with a Commercial Category-3 UE)
The eNodeB measures the uplink channel. The throughput reaches the peak and the channel quality is good. The highest MCS,
24, is selected. (The commercial Category-3 UE does not support 64QAM )
The number of RBs allocated to the UE is determined by the Buffer Status Report (BSR) sent from the UE. (The UE only needs to
send a SR to tell the eNodeB a scheduling is needed before the UE sends data for the first time.) In this case, the number is 96.
(Assume the PUCCH occupies four RBs in a 20 MHz cell.) According to 3GPP TS 36.213, the TBS is 51,024 bit.
MIMO is not used in uplink. So only one codeword is transmitted.
Throughput = 51,024 1,000 = 51 Mbit/s
The actual throughput is lower than 51 Mbit/s? The PRACH occupies uplink resources, which lowers the uplink throughput.

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.
Switching
from
QCI 6 weight : QCI 9 weight = 1000 : 700 = 10 : 7 multi-user
The theoretical number of RBs allocated to each UE is calculated as follows: to single
Number of RBs for UE 1: (QCI 6 + QCI 9)/(QCI 6 + QCI 9 + QCI 9) 98 = 69.4
user
Number of RBs for UE 2: QCI 9/(QCI 6 + QCI 9 + QCI 9) 98 = 28.6
If the number of RBs is known, the throughput can be calculated based on the MCS of the UE channel.

Outline
LTE Architecture
Key Technology of LTE

Key technology of LTE: Introduction to OFDM
Concept of LTE Physical Layer: Synchronization and Random Access
Downlink and Uplink Scheduling Procedure

Not emphasized here because many specialized lectures will be held later.

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

Network Access Procedure for a Calling UE

Network Access Procedure for a Called UE

Contents
1. Overview
3. LTE key features
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Multi-Antenna Technique MIMO
Receive diversity: Transmit diversity: Multi-antenna reception
SIMO MISO and transmission: MIMO
Fundamentals of MIMO:
The data to be sent will be divided into multiple concurrent data streams.
The data streams are simultaneously transmitted from multiple antennas
through the spatial dimensions, through different radio channels, and
received by multiple antennas.
And then can be restored to the original data according to the spatial
signature of each data stream.
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MIMO Modes
Transmissio Transmission Reference
n Mode scheme
Mode 1 single-antenna port It is compatible with single-antenna transmission

(port 0)
Mode 2 transmit diversity It weakens the interference caused by channel fading
and is applicable within low SINR environment
Mode 3 open-loop spatial It increases the peak rate and is applicable within high
multiplexing rate and SINR environment
Mode 4 Closed-loop spatial It is weighted according to the channel characteristics,

multiplexing increases the peak rate, and is applicable within low
rate but high SINR environment
Mode 5 Multi-user MIMO It improves cell throughput
Mode 6 Closed-loop precoding It increases cell coverage

with rank of 1
Mode 7 Beamforming, single- It weakens interference and increases cell coverage

antenna port (port 5)
Mode 8 Dual-antenna port: It increases cell throughput

Dual-stream BF
8 MIMO modes specified in 3GPP LTE standard
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Advantages of MIMO
Array gain: It increases the transmit power and can be used for
beamforming.
Diversity gain: It weakens the interference caused by channel fading.
Spatial multiplexing gain: It doubles the rate within the same bandwidth after
spatial orthogonal channels are constructed.
Data MIMO
Streaming Channel
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UL Virtual MIMO
Benefits Features
Improve the overall uplink cell throughput. The uplink channels of paired users
Increase the UL spectrum efficiency. must be with good orthogonality to
each other to prevent interference.
Multi-users use the same time-
frequency resource.
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More Gains through Higher-order
MIMO
DL 44 MIMO UL 24 MU-MIMO
eNode UE 1 eNode
B B
UE 1
UE 2
4x4 MIMO v.s. 2x2 MIMO: 2x4 MU-MIMO v.s. 1x2 SIMO:
~ 50% gain in average cell 23%~90%
~50% gainincreasing in edge
in average celluser
23%~90% increasing in edge user throughput
throughput
throughput throughput
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Inter-cell interference coordination
By restricting the transmission power of parts of the spectrum in one
cell, the interference seen in the neighbouring cells in this part of
the spectrum will be reduced, This part of the spectrum can then be
used to provide higher data rates for users in the neighbouring cell
4 Power
Cell 1,4,7
2
2
Frequency
76 3
3
Cell 2,5,8 Power
1
1
Frequency
6 4
5 8
5
9 Power
Cell 3,6,9
7 Frequency
Different subband allocated for different cell edge users among cells
Reducing the DL inter-cell interference among neighbor cells
30% throughput increased for cell edge users (<50% load)
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LTE Key Technologies SON
Deployme Optimizatio Maintenanc

Planning e
nt n
Phase Phase
Phase Phase
Automatic PCI/TA Optimization

Automatic PCI planning Automatic Neighbor Relation
and TA planning Inter-RAT ANR,MRO, System
Load Balance, RACH
Optimization
Inventory Management
Self- configuration (Plug & Sleeping Cell detection
Play) Antenna Fault
Auto Software Management Detection
Cell/interface/sub. trace
SON makes LTE network more efficient and solves new challenges when network
architecture changes
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Typical SON Features at Initial
Stage
ANR: Automatic Neighbor Self-Config.: Quick
Relation DeploymentFile Server
S/W
Config
Config
Config EMS + DHCP
Config
New S/W
eNodeB
Save cost & Improve exactness Plug & Play Installation

Avoid first HO failure due to missing neighbor Shorten deployment duration
relation
MLB: Mobility Load MRO: Mobility Robust

Balancing Optimization
Cell A Cell BB
Cell Cell C
Value
unnecessary HO Rate
Cell A Cell B Cell C HO successful rate
Optimizing cell reselection and handover

parameters More reliable
Reduce call drop rate, handover failure rate, Improve network KPI by HO optimization
Reduce unnecessary redirection
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Thank you
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LTE system principle

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2. LTE system architecture

3. LTE key features

2. LTE system architecture

3. LTE key features

700M Spectral Efficiency

LTE will be the natural migration choice for mobile

800MHz LTE SDR SDR

Improved spectral efficiency

Simplified network architecture

3GPP specifications download, Please refer to :

The specification document for LTE is 36 series, inherits

2. LTE system architecture

3. LTE key features

E-UTRAN Protocol Stack Structure

LTE Physical Layer

Downlink and Uplink Scheduling Procedures

Introduction to LTE L3 and Its Service Procedure

and deciphering Connection setup and release

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User Plane Control Plane

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E-UTRAN Protocol Stack Structure

LTE Physical Layer

Downlink and Uplink Scheduling Procedures

Introduction to LTE L3 and Its Service Procedure

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Advantages of the Technology

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OFDM is a type of multi-carrier

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Resistance to Multipath Interference

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Features of OFDM Signals in Frequency and Time

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Focus on FDD Frame Structure

Frame structure type 1 for FDD

One radio frame, Tf = 307200Ts=10 ms

One slot, Tslot = 15360Ts = 0.5 ms

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Normal Cyclic Prefix 12 7 9

Extended CP is generally used in cells with extended coverage.

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Channel bandwidth BWChannel [MHz] 1.4 3 5 10 15 20

Transmission bandwidth configuration NRB 6 15 25 50 75 100

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Major Physical Channels

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Transport channels describe

Physical channels describe the

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PUCCH locates on the two sides of the frequency and is allocated by

The remaining resources can all be used as PUSCH.

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Cell Search and Random Access

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