02 RA41562EN02GLA0 LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures
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As in UMTS, the radio interface consists of three horizontal layers;
Layer 1: Physical Layer
Layer 2: Medium Access Control (MAC), Radio Link Control (RLC) and Packet Data
Convergence Protocol (PDCP).
Layer 3: Radio Resource Control (RRC). It exists only at control plane side.
All radio interface protocols are implemented in the user equipment and eNB, as result of
simplified radio network architecture in E-UTRAN. However, the concept of Physical
Channels, Transport Channels and Logical Channels are maintained from UTRAN.
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In downlink piggybacking of NAS messages is used only for one dependant (i.e. with joint
success/ failure) procedure: bearer establishment/ modification/ release. In uplink NAS
message piggybacking is used only for transferring the initial NAS message during
connection setup.
Once security is activated, all RRC messages on SRB1 and SRB2, including those
containing NAS or non-3GPP messages, are integrity protected and ciphered by PDCP.
NAS independently applies integrity protection and ciphering to the NAS messages.
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The transport channels defined in the downlink are:

Broadcast Channel (BCH),
Paging Chanel (PCH) and
Downlink Shared Channel (DL-SCH).
The physical channels defined in the downlink are:
Physical Downlink Shared Channel (PDSCH),
Physical Downlink Control Channel (PDCCH),
Physical Broadcast Channel (PBCH),
Physical Control Format Indicator Channel (PCFICH)
Physical Hybrid ARQ Indicator Channel (PHICH)
In addition, there are Reference Signal (RS), Primary Synchronisation Signal (PSS)
and Secondary Synchronisation Signal (SSS) in the downlink.
The transport channels defined in the uplink are:
Random Access Channel (RACH) and
Uplink Shared Channel (UL-SCH).
The physical channels defined in the uplink are:
Physical Random Access Channel (PRACH),
Physical Uplink Shared Channel (PUSCH),
Physical Uplink Control Channel (PUCCH).
In addition, there are Demodulation Reference Signal (DMRS) and Sounding
Reference Signal (SRS) in the uplink.
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Broadcast of system information.

Including NAS common information.
Information applicable for UEs in RRC_IDLE, e.g. cell (re-)selection parameters,
neighbouring cell information and information (also) applicable for UEs in
RRC_CONNECTED, e.g. common channel configuration information.
RRC connection control.

Paging.
Establishment/ modification/ release of RRC connection, including e.g. assignment/
modification of UE identity (C-RNTI), establishment/ modification/ release of SRB1 and
SRB2, access class barring.
Initial security activation, i.e. initial configuration of AS integrity protection (SRBs) and AS
ciphering (SRBs, DRBs).
RRC connection mobility including e.g. intra-frequency and inter-frequency handover,
associated security handling, i.e. key/ algorithm change, specification of RRC context
information transferred between network nodes.
Establishment/ modification/ release of RBs carrying user data (DRBs).
Radio configuration control including e.g. assignment/ modification of ARQ configuration,
HARQ configuration, DRX configuration.
QoS control including assignment/ modification of semi-persistent scheduling (SPS)
configuration information for DL and UL, assignment/ modification of parameters for UL rate
control in the UE, i.e. allocation of a priority and a prioritised bit rate (PBR) for each RB.
Recovery from radio link failure.
Inter-RAT mobility including e.g. security activation, transfer of RRC context information.
Measurement configuration and reporting.
Establishment/ modification/ release of measurements (e.g. intra-frequency, inter-frequency
and inter- RAT measurements).
Setup and release of measurement gaps.
Measurement reporting.
Other functions including e.g. transfer of dedicated NAS information.

Generic protocol error handling.
Support of self-configuration and self-optimisation.
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Header compression and decompression of IP data flows using the ROHC protocol.
Transfer of data on user plane or control plane.
Maintenance of PDCP sequence numbers.
in-sequence delivery of upper layer PDUs at re-establishment of lower layers.
Duplicate elimination of lower layer SDUs at re-establishment of lower layers for radio
bearers mapped on RLC AM.
Ciphering and deciphering of user plane data and control plane data.
Integrity protection and integrity verification of control plane data.
Timer based discard.
Duplicate discarding.
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RLC functions according to transfer mode.
Transfer of upper layer PDUs.
Error correction through ARQ (only for AM data transfer).
Concatenation, segmentation and reassembly of RLC SDUs (only for UM and AM data
transfer).
Re-segmentation of RLC data PDUs (only for AM data transfer).
Reordering of RLC data PDUs (only for UM and AM data transfer).
Duplicate detection (only for UM and AM data transfer).
RLC SDU discard (only for UM and AM data transfer).
RLC re-establishment.
Protocol error detection (only for AM data transfer)
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Mapping between logical channels and transport channels.
Multiplexing of MAC SDUs from one or different logical channels onto transport blocks
(TB) to be delivered to the physical layer on transport channels.
Demultiplexing of MAC SDUs from one or different logical channels from transport
blocks (TB) delivered from the physical layer on transport channels.
Scheduling information reporting.
Error correction through HARQ.
Priority handling between UEs by means of dynamic scheduling.
Priority handling between logical channels of one UE.
Logical Channel prioritisation.
Transport format selection.
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Error detection on the transport channel and indication to higher layers.
FEC encoding/decoding of the transport channel.
Hybrid ARQ soft-combining.
Rate matching of the coded transport channel to physical channels.
Mapping of the coded transport channel onto physical channels.
Power weighting of physical channels.
Modulation and demodulation of physical channels.
Frequency and time synchronisation.
Radio characteristics measurements and indication to higher layers.
Multiple Input Multiple Output (MIMO) antenna processing.
Transmit Diversity (TX diversity).
Beamforming.
RF processing.
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In general, RRC signalling covers the following procedures

System information
Includes broadcasting of system information (scheduling and notification of changes),
system information acquisition and acquisition of SI messages.
Connection control
Includes paging, RRC connection establishment, initial security activation RRC connection
reconfiguration, counter check, RRC connection re-establishment, RRC connection
release, radio resource configuration and radio link failure actions.
Measurement
Includes measurement configuration, Layer 3 filtering and measurement reporting.
Inter-RAT mobility
Includes handover to E-UTRA, mobility from E-UTRA and inter-RAT cell change.
Other
Includes DL/UL information transfer and UE capability transfer.
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RRC connection establishment involves the establishment of SRB1. E-UTRAN completes

RRC connection establishment prior to completing the establishment of the S1 connection,
i.e. prior to receiving the UE context information from the EPC. Consequently, AS security
is not activated during the initial phase of the RRC connection. During this initial phase of
the RRC connection, the E-UTRAN may configure the UE to perform measurement
reporting. However, the UE only accepts a handover message when security has been
activated.
Upon receiving the UE context from the EPC, E-UTRAN activates security (both ciphering
and integrity protection) using the initial security activation procedure. The RRC messages
to activate security (command and successful response) are integrity protected, while
ciphering is started only after completion of the procedure. That is, the response to the
message used to activate security is not ciphered, while the subsequent messages (e.g.
used to establish SRB2 and DRBs) are both integrity protected and ciphered.
After having initiated the initial security activation procedure, E-UTRAN initiates the
establishment of SRB2 and DRBs, i.e. E-UTRAN may do this prior to receiving the
confirmation of the initial security activation from the UE. In any case, E-UTRAN will apply
both ciphering and integrity protection for the RRC connection reconfiguration messages
used to establish SRB2 and DRBs. E-UTRAN should release the RRC connection if the
initial security activation and/ or the radio bearer establishment fails (i.e. security activation
and DRB establishment are triggered by a joint S1-procedure, which does not support
partial success).
For SRB2 and DRBs, security is always activated from the start, i.e. the E-UTRAN does
not establish these bearers prior to activating security.
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Access Stratum (AS) security comprises of the integrity protection of RRC signalling
(SRBs) as well as the ciphering of RRC signalling (SRBs) and user data (DRBs).
The integrity protection algorithm is common for signalling radio bearers SRB1 and SRB2.
The ciphering algorithm is common for all radio bearers (i.e. SRB1, SRB2 and DRBs).
Neither integrity protection nor ciphering applies for SRB0.
RRC integrity and ciphering are always activated together, i.e. in one message/ procedure.
RRC integrity and ciphering are never de-activated. However, it is possible to switch to a
'NULL' ciphering algorithm (eea0).
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With this procedure, the UE is requested to check if, for each DRB, the most significant
bits of the COUNT match with the values indicated by E-UTRAN
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The purpose of this procedure is to re-establish the RRC connection, which involves the
resumption of SRB1 operation and the re-activation of security.
A UE in RRC_CONNECTED, for which security has been activated, may initiate the
procedure in order to continue the RRC connection. The connection re-establishment
succeeds only if the concerned cell is prepared i.e. has a valid UE context. In case EUTRAN accepts the re-establishment, SRB1 operation resumes while the operation of
other radio bearers remains suspended. If AS security has not been activated, the UE
does not initiate the procedure but instead moves to RRC_IDLE directly
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The RRC protocol is responsible for the basic configuration of the radio protocol stack. But
note that some radio management functions (scheduling, physical resource assignment for
physical channels) are handled by layer 1 and layer 2 autonomously.
MAC and layer 1 signalling has usually delays that are within 10 ms, whereas RRC
signalling usually takes something around 100 ms and more to complete an operation.
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Inter-3GPP RAT mobility is achieved either:

Inter-RAT handover
Cell reselection
Cell change order (CCO) with Network Assisted Cell Change (NACC)
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PDCP is used for SRBs and DRBs mapped on DCCH and DTCH type of logical channels.
PDCP is not used for any other type of logical channels
In general, PDCP covers the following procedures:
Data Transfer Procedures
Procedures for SRB and DRBs mapped to either RLC UM or RLC AM.
Re-establishment Procedures
Re-establishment procedure for SRB and DRBs mapped to either RLC UM or RLC AM.
PDCP Status Report
Procedure to report missing PDUs and/or failed decompressed PDU
PDCP Discard
Header Compression and Decompression
The procedure covers the selection of supported protocols and profiles, configuring the
header compression (including parameters), header compression and decompression.
Ciphering and Deciphering
The ciphering algorithm and key to be used by the PDCP entity are configured by upper
layers.
Integrity Protection and Verification
The integrity protection algorithm and key to be used by the PDCP entity are configured by
upper layers.
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Services provided to upper layers

Transfer of user plane data.
Transfer of control plane data.
Header compression.
Ciphering.
integrity protection.
Services expected from lower layers
Acknowledged data transfer service, including indication of successful delivery of PDCP
PDUs.
Unacknowledged data transfer service.
In-sequence delivery, except at re-establishment of lower layers.
Duplicate discarding, except at re-establishment of lower layers.
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In general, RLC protocol covers the following procedures:

Data Transfer Procedures
RLC provides 3 data transfer modes to the upper layer, i.e. Transparent Mode (TM),
Unacknowledged Mode (UM) and Acknowledged Mode (AM).
ARQ Procedures
Includes retransmission, polling and status reporting processes.
SDU Discard Procedure
Re-establishment Procedure
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In general, MAC protocol covers the following procedures:

Random Access Procedure
In MAC, the Random Access procedure comprises the resource selection, preamble
transmission, contention resolution and completion processes.
Maintenance of Uplink Time Alignment
This procedure is related to Timing Advance adjustment for uplink transmission.
DL-SCH Data Transfer
Two most important processes in this procedure are DL assignment and Downlink HARQ.
UL-SCH Data Transfer
This procedure covers UL grant, Uplink HARQ, Scheduling Request (SR), Buffer Status
Reporting (BSR) and Power Headroom Reporting.
PCH Reception
BCH Reception
Discontinuous Reception (DRX)
The UE may be configured by RRC with a DRX functionality, either in RRC_IDLE or
RRC_CONNECTED state.
MAC Reconfiguration
MAC Reset
Semi-persistent Scheduling
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A MAC PDU consists of:

A MAC header
Zero or more MAC SDU
Zero or more MAC control elements, and
optionally padding
Both the MAC header and the MAC SDUs are of variable sizes.
A MAC PDU header consists of one or more MAC PDU subheaders:
Each subheader corresponds to either a MAC SDU, a MAC control element or
padding.
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A MAC PDU consists of a MAC header and zero or more MAC Random Access
Responses (MAC RAR) and optionally padding.
The MAC header is of variable size.
A MAC PDU header consists of one or more MAC PDU subheaders
each subheader corresponding to a MAC RAR except for the Backoff Indicator
subheader.
Padding may occur after the last MAC RAR. Presence and length of padding is implicit
based on TB size, size of MAC header and number of RARs.
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The first steps after switching on the mobile are the following:
1. Primary Synchronization Signal PSS from which the mobile can acquire frequency
and slot synchronization. Once the UE successfully detects the sequence used in PSS,
it easily determines physical-layer identity which could have values 0,1 or 2 based
on the root sequence.
2. Secondary Synchronizations Signal SSS from which the mobile can learn what is the
frame structure (10 ms in LTE). Once the UE successfully detects the sequence used
in SSS, it may calculate the physical-layer cell id group with values range from 0 to
167.
From step 1 and 2, the UE now is having reference of Physical-layer Cell Identity of the
current cell.
3. The Physical-layer Cell Identity is used to determine the sequence that is used as
Reference Signals RS. RS is placed evenly and transmitted with defined power,
therefore it can be used in channel estimation and subject to measurement.
4. The Physical-layer Cell Identity is also used to derive scrambling sequence of PBCH.
By using this sequence and channel estimation result, UE is now able to decode
PBCH. PBCH gives the UE the system information contained in MIB, i.e. DL bandwidth,
PHICH configuration and System Frame Number SFN.
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Because the SIBs are placed on the PDSCH then the mobile should now read the PDSCH.
The steps are the following:
5. PCFICH (Physical Control Format Indicator Channel) indicates how many symbols in
the beggining of each subframe (1 subframe is having 1 ms in LTE) are allocated for
the PDCCH. This is beacuse the size of the PDCCH may be changed based on several
variables like cell bandwith, cell load ...
6. PDCCH (Physical Downlink Control Channel) from this channel the mobile can learn:
what are the physical resources allocated for the mobile and where are they placed in
the time and frequency
7. Finally the UE may read the PDSCH to read the broadcasted system information.
After the mobile is reading the system information from the PDSCH the next step is the so
called cell selection and reselection. The basic ideea is that the UE is measuring
several cells and is selecting the best one with the help of the thresholds from the
system information
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For the initial random access the steps are the following
8A the mobile is selecting randomly one preamble. There are in total 64 preambles
available preambles in one cell. In this case with A it is intended to note the first random
preamble
8C If no answer is received from the Node-b then the mobile is repeating the preamble.
In this example with C is noted the 3rd preamble. That means that the assumption is that
after three preambles the UE is receiving an answer from the Node-B
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In the next step the mobile should receive the answer to the preamble. However, the
answer is sent on the PDSCH. Therefore the steps are as follows:
9. PCFICH (Physical Control Format Indicator Channel) indicates how many symbols in
the beggining of each subframe (1 subframe is having 1 ms in LTE) are allocated for the
PDCCH. This is beacuse the size of the PDCCH may be changed based on several
variables like cell bandwith, cell load ...
what are the physical resources allocated for the mobile and where are they placed in the
time and frequency
11. PDSCH containing the random access response. In this message the id of the
transmitted preamble should be included. Also the Node-B allocates to the mobile the CRNTI = Cell Radio Network temporary Identity. C-RNTI is allocated by the eNB serving a
UE when it is in active mode (RRC_CONNECTED). This is a temporary identity for the
user only valid within the serving cell of the UE. It is exclusively used for radio
management procedures.
12. PUSCH Physical UL Shared Channel. The mobile is sending the actual higher layer
message RRC Connection Request. The message should include the C-RNTI allocated
in 11 and also TMSI = Temporary Mobile Subscriber Identity (or a random number if TMSI
not available). This is because IMSI should be never sent on the air interface.
13. PDSCH contention resolution message. As explained this message is only sent if the
Node-B could decode the message number 12 from the mobile. The message should
contain the C-RNTI allocated in 11 and also TMSI or a the same random number sent by
the mobile.
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The message flow for the DL transmission is as following (please note that for simplicity
the notation of the messages counter is restarted from 1).
1. DL reference Signals - Used for channel estimation and measurements
2. PUCCH used in this in scenario to indicate the CQI based on the measurements
performed in the previous step. Please note that PUCCH or PUSCH could be used
depending on whether the mobile is having some UL data transmission or not. For
details please refer to the section UL Transmission
3. PCFICH indicates how many symbols in the beggining of each subframe (1 subframe
is having 1 ms in LTE) are allocated for the PDCCH. This is beacuse the size of the
PDCCH may be changed based on several variables like cell bandwith, cell load ...
what are the physical resources allocated for the mobile and where are they placed in
the time and frequency. Also the modulation and coding scheme should be indicated
5. PDSCH data transmission (this is the web page from the Internet)
6. ACK or NACK for the user data on 5. This is for HARQ retransmission
7. In Case of NACK then the user data sent 5 has to be retransmitted.
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The message flow for the UL transmission is as follows:

1. PUCCH the mobile is requesting the Node-B to schedule some physical resources
for the UL transmission. Please note that the Node-B is in charge of the UL scheduling
also. Also note that the scheduling request is only needed for applications with QoS like
best effort. For application with higher QoS like VoIP there is no need for the
scheduling request since the resources have to be granted
2. UL sounding reference signal used for the channel dependent scheduling. For details
please refer to the section UL Transmission
3. UL Demodulation Signal. Used for channel estimation reasons. For details please refer
to the section UL Transmission
4. PDCCH used in this scenario to indicate the UL grant, that is, what are the physical
resources which could be used by the mobile for the UL transmission
5. PUSCH this is the actual user data transmission (the user is sending the request
www.nsn.com)
6. PHICH this is actually on DL channel on which the ACK or NACK for the HARQ are
transmitted
7. PUSCH retransmission of user data if 6 is indicating NACK.
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CCE: Control Channel Element

REG: Resource Element Group
RE: Resource Element
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MIB: Master Information Block
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LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

As in UMTS, the radio interface consists of three horizontal layers;

Layer 1: Physical Layer

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

The transport channels defined in the downlink are:

LTE Radio Interface Protocols and Procedures

Broadcast of system information.

RRC connection control.

Other functions including e.g. transfer of dedicated NAS information.

LTE Radio Interface Protocols and Procedures

Transfer of data on user plane or control plane.

Maintenance of PDCP sequence numbers.

in-sequence delivery of upper layer PDUs at re-establishment of lower layers.

Integrity protection and integrity verification of control plane data.

Timer based discard.

LTE Radio Interface Protocols and Procedures

RLC functions according to transfer mode.

Transfer of upper layer PDUs.

Error correction through ARQ (only for AM data transfer).

Re-segmentation of RLC data PDUs (only for AM data transfer).

Reordering of RLC data PDUs (only for UM and AM data transfer).

Duplicate detection (only for UM and AM data transfer).

RLC SDU discard (only for UM and AM data transfer).

Protocol error detection (only for AM data transfer)

LTE Radio Interface Protocols and Procedures

Mapping between logical channels and transport channels.

Scheduling information reporting.

Error correction through HARQ.

Priority handling between UEs by means of dynamic scheduling.

Priority handling between logical channels of one UE.

Logical Channel prioritisation.

Transport format selection.

LTE Radio Interface Protocols and Procedures

Error detection on the transport channel and indication to higher layers.

FEC encoding/decoding of the transport channel.

Hybrid ARQ soft-combining.

Rate matching of the coded transport channel to physical channels.

Mapping of the coded transport channel onto physical channels.

Power weighting of physical channels.

Modulation and demodulation of physical channels.

Frequency and time synchronisation.

Radio characteristics measurements and indication to higher layers.

Multiple Input Multiple Output (MIMO) antenna processing.

Transmit Diversity (TX diversity).

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

In general, RRC signalling covers the following procedures

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures

LTE Radio Interface Protocols and Procedures