Principles of the TDD Physical Layer in LTE

Objectives:
 Describe the technological development in LTE.

 Describe the LTE network architecture.

 Describe the physical layer in LTE.

 Contents
1 Overview................................................................................................................................1
1.1 Background of LTE.................................................................................................................1
1.2 Milestones in LTE Development.............................................................................................1
1.3 LTE Goals................................................................................................................................1
1.3.1 Capability........................................................................................................................1
1.3.2 Performance.....................................................................................................................2
1.3.3 Deployment.....................................................................................................................3
1.3.4 Network Architecture......................................................................................................4
1.3.5 Radio Resource Management..........................................................................................5
1.3.6 Miscellaneous..................................................................................................................5

2 LTE Network Architecture...................................................................................................7

2.1 Network Architecture..............................................................................................................7
2.2 Network Functions..................................................................................................................7
2.2.1 eNodeB............................................................................................................................8
2.2.2 MME...............................................................................................................................9
2.2.3 S-GW...............................................................................................................................9
2.2.4 P-GW...............................................................................................................................9
2.3 System Interfaces..................................................................................................................10
2.3.1 S1 Interface....................................................................................................................10
2.3.2 X2 Interface...................................................................................................................11

3 Physical Layer......................................................................................................................13
3.1 Channel Bandwidth...............................................................................................................13
3.2 Multiple Access Technology..................................................................................................13
3.3 Duplex Mode and Frame Structure.......................................................................................13
3.4 Physical Resource Concept...................................................................................................14
3.4.1 Basic LTE Time Unit.....................................................................................................14
3.4.2 Resource Element..........................................................................................................14
3.4.3 Physical Resource Block...............................................................................................14
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 3.4.4 Resource Grid................................................................................................................15
3.5 Physical Channels..................................................................................................................15
3.5.1 Downlink Physical Channels.........................................................................................15
3.5.2 Uplink Physical Channels..............................................................................................16
3.6 Physical Signals.....................................................................................................................18
3.6.1 Downlink Reference Signals.........................................................................................18
3.6.2 Downlink Primary and Secondary Synchronization Signals.........................................18
3.6.3 Uplink Reference Signals..............................................................................................20

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1 Overview
1.1 Background of LTE
The initiation of LTE is based on the following considerations:

The CDMA-based 3G standards will keep LTE competitive over the next couple of
years with the enhancement of HSDPA and Enhanced Uplink. However, it should be
considered how to keep LTE competitive over a longer period of time.

We have to deal with stress from the WiMAX market.

We must prepare for the collection of 4G specifications by the ITU.

1.2 Milestones in LTE Development

End of 2004: LTE project initiation

2004 to June 2005: demand discussion

LTE demand report: TR25.913v7.3.0

June 2005 to June 2006: study items

LTE feasibility study report: TR25.912v7.1.0

Study report on the physical layer: TR25.814v7.1.0

Study report on the radio interfaces: TR25.813v7.1.0

June 2006 to March 2007: work items, stage 2

Report of the overall LTE system description: TS36.300v8.4.0

From March 2007: work items, stage 3, and standard maintenance

Every RAN group is conducting their study and developing specifications.

1.3 LTE Goals

1.3.1 Capability
1.3.1.1 Peak Data Rate

Downlink: 100 Mbps (20 MHz, two-antenna receiver)

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 Uplink: 50 Mbps (20 MHz, single-antenna receiver)
1.3.1.2 C-plane Delay

1.3.1.3 C-plane Capacity

200 active users (≤ 5 MHz) or 400 active users (> 5 MHz)

1.3.1.4 U-plane Delay

5 ms (unloaded, small IP packets)

1.3.2 Performance
1.3.2.1 User Throughput

In the downlink:

Cell-edge user throughput: two or three times that of R6 HSDPA

Average user throughput: three or four times that of R6 HSDPA

Reference configurations: 1 × 1 for HSDPA and 2 × 2 for LTE

In the uplink:

Cell-edge user throughput: two or three times that of R6 Enhanced Uplink

Average user throughput: two or three times that of R6 Enhanced Uplink

Reference configurations: 1 × 1 for Enhanced Uplink and 1 × 2 for LTE.

1.3.2.2 Spectrum Efficiency

In the downlink:

Three or four times that of R6 HSDPA

Reference configurations: 1 × 1 for HSDPA and 2 × 2 for LTE.

In the uplink:

Two or three times that of R6 Enhanced Uplink

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 Reference configurations: 1 × 1 for Enhanced Uplink and 1 × 2 for LTE.
1.3.2.3 Mobility

Relation between system performance and movement speed:

0–15 km/h: optimized performance

15–120 km/h: high performance

120–350 km/h: maintained

120–500 km/h: maintained, depending on the frequency band

The quality of voice and real-time services provided in the full rate range should be
equivalent to or better than that provided in the R6 CS domain.

The intra-frequency handover quality should be equivalent to or better than that

provided in the CS domain by GERAN.
1.3.2.4 Coverage

Up to 5 km cell range: The user throughput, spectrum efficiency, and mobility

requirements previously defined must be met.

Up to 30 km cell range: The mobility requirements must be met even though the user
throughput is slightly reduced and the spectrum efficiency is significantly decreased.

Up to 100 km cell range: supported in some special cases.

Further Enhanced MBMS (EMBMS) is supported.

Network synchronization is not a mandatory requirement.

1.3.3 Deployment
1.3.3.1 Scenario

Standalone deployment scenario

Integrated with the existing UTRAN and/or GERAN deployment scenario

1.3.3.2 Spectrum Flexibility

Allocation of frequency bands with different sizes

Discrete spectrum allocation

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LTE: Basic Principles and Key Technologies

1.3.3.3 Spectrum Deployment

Coexistence and co-siting with GERAN and 3G systems on adjacent frequencies

Coexistence and co-siting between operators on adjacent frequencies in the same area

Coexistence between networks in different countries on adjacent frequencies or using

overlapping spectrum

Independent operation

All frequency bands allocated to LTE are allowed to be used and operators in different
regions can use the same frequency band.
1.3.3.4 Coexistence and Interworking (3GPP RAT)

Inter-RAT handover and measurement

1.3.4 Network Architecture

Single LTE network architecture

PS-based network architecture, supporting real-time and conversational class services

Minimized presence of "single points of failure" without additional cost for backhaul

Minimized introduced number of interfaces

Interaction between the Radio Network Layer (RNL) and Transport Network Layer
(TNL) to improve system performance

End-to-end QoS: The TNL provides the appropriate QoS requested by the RNL.

QoS mechanisms taking into account the various types of services that exist to provide
efficient bandwidth utilization for control-plane services, user-plane services, and
Q&M services

Minimized delay variation (jitter), for example, TCP/IP for PS communications

1.3.5 Radio Resource Management

Enhanced support for end-to-end QoS

Enhanced support for QoS, ensuring an "improved matching of services, applications,

and protocol requirements (including higher layer signaling)

Efficient support for transmission of higher layers

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 Efficient support for the transmission and operation of higher layer protocols over the
radio interface, for example, IP header compression

Support of load sharing and policy management across different RATs

Support of load sharing and policy management between EUTRA and other RATs
(GERAN and UTRA)

Minimized delay

Support of end-to-end QoS during handover

1.3.6 Miscellaneous
1.3.6.1 Cost

Protocol optimization for backhaul communications

Minimized cost for network deployment while maintaining the desired performance for
all envisioned services

Multi-vendor interoperability implemented by all open standardized interfaces

Minimized and optimized complexity and power consumption of UEs to avoid

complex UTRAN architecture and unnecessary interfaces
1.3.6.2 Services

Effective support of various services, including the existing web browsing, FTP, video
streaming, and VoIP services; and advanced PS services, for example, Push-to-x, a real-
time video service

Support of VoIP, providing at least the same spectral efficiency, backhaul efficiency,
and delay as the UMTS CS voice service

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2 LTE Network Architecture
2.1 Network Architecture
LTE uses a flat and IP-based network architecture. E-UTRAN uses an eNodeB
architecture instead of the original RNC-NodeB architecture. IP transmission is used on
the interfaces between network nodes. Integrated services are carried on IMS bearers
and CS services in the original UTRAN are carried by the PS domain in an LTE
system.

The following figure shows the LTE network architecture.

An E-UTRAN system consists of eNodeBs.

Evolved Packet Core (EPC) consists of Mobility Management Entities (MMEs),

Serving Gateways (S-GWs), and PDN Gateways (P-GWs).

An E-UTRAN system includes the following open interfaces:

S1 interface: connects the E-UTRAN to the CN

X2 interface: connects an eNodeB to another

LTE-Uu interface: radio interface of the E-UTRAN

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2.2 Network Functions
The following figure shows the functional split between E-UTRAN and EPC. The
yellow boxes depict the logical nodes, blue boxes depict the radio protocol layers, and
the white boxes depict the functional entities of the control plane.

The functions of eNodeBs, Mobility Management Entities (MMEs), Serving Gateways

(S-GWs), and PDN Gateways (P-GWs) are described as follows.

2.2.1 eNodeB

An eNodeB provides the following functions:

PHY, MAC, RLC, and RRC entity functions on the air interface

Setup, management, and release of the control plane and user plane during
communication

Radio Resource Management (RRM)

RRM

IP header compression and encryption for user data

MME selection for UE attachment

Data route selection from the user plane to the S-GW

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 Scheduling and transmission of paging messages

Scheduling and transmission of broadcast messages (from MME and O&M)

Measurement for mobility and scheduling, and configuration of measurement reports

AMBR-based and MBR-based uplink bearer rate shaping

Classification and identification for uplink transport-layer data packets

2.2.2 MME

NAS signaling and NAS signaling security

Authentication; management of roaming tracking area lists

Mobility signaling between 3GPP access networks and between CN nodes

Access of the UEs in idle mode

Selection of P-GWs and S-GWs

MME selection when an MME changes

SGSN selection for 2G/3G handover

Bearer management (including the setup of dedicated bearers)

2.2.3 S-GW

Local mobility anchor when a UE moves between eNodeBs and mobility anchor for
inter-working with other 3GPP technologies

Caching downlink data packets during a network-triggered initial bearer setup process

Routing and forwarding of data packets (an S-GW can be connected to several PDNs)

Data forwarding during a handover

Classification and identification for uplink and downlink transport-layer data packets

Uplink and downlink charging based on UEs, PDNs, and QCIs

Lawful interception

2.2.4 P-GW

Per-user packet filtering

UE IP address allocation

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LTE: Basic Principles and Key Technologies

Transport level packet marking in the uplink and downlink

Uplink and downlink service level charging (based on SDF or local policies)

Uplink and downlink service level gating control

Uplink and downlink service level enhancement, and service control policies and
shaping of each SDF

AMBR-based downlink rate shaping, MBR-based downlink rate shaping, uplink and
downlink bearer binding, and lawful interception

2.3 System Interfaces

2.3.1 S1 Interface

The S1 user plane interface is between an eNodeB and an S-GW. The following figure
shows the user plane protocol stack. The transmission network layer is based on IP
transmission, and GTP-U over UDP and IP carries the PDUs of the user plane.

The S1 control plane interface is between an eNodeB and an MME. The following
figure shows the control plane protocol stack. Similar to the user plane, the
transmission network layer operates based on IP transmission. To reliably transport
signaling messages, SCTP is added on the IP layer. The application layer uses the
signaling protocol S1-AP.

The functions of the S1 control plane interface are as follows:

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 SAE bearer management (including the setup, modification, and release of an SAE
bearer)

Mobility management of a UE in connected mode (including intra-LTE handover and

inter-LTE handover)

S1 paging

NAS signaling transmission

S1 UE context release

S1 interface management (including reset, error indication, and overload indication)

Network sharing

Network node selection

Initial context establishment

Roaming and access restriction

The functions of the S1 user plane interface are as follows:

Unguaranteed transmission of user plane PDUs between an eNodeB and an S-GW

Based on the UDP/IP and GTP-U protocols

2.3.2 X2 Interface

The X2 user plane interface is between eNodeBs. The following figure shows the user
plane protocol stack. The transmission network layer of E-UTRAN is based on IP
transmission, and GTP-U over UDP and IP transports the PDUs of the user plane.

The X2 control plane interface is between eNodeBs. The following figure shows the
control plane protocol stack. The transmission network layer uses the IP and SCTP
protocols and the application layer uses the signaling protocol X2-AP.

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LTE: Basic Principles and Key Technologies

The functions of the X2 control plane interface are as follows:

Mobility management of a UE in connected mode (for intra-LTE handover)

Uplink load management

X2 interface management (including reset and error indication)

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3 Physical Layer
3.1 Channel Bandwidth
The LTE channel bandwidth can be 1.4 MHz, 3 MHz, 5 MHz, 10 MHz, 15 MHz, and
20 MHz.

3.2 Multiple Access Technology

The technology for the downlink is Orthogonal Frequency-Division Multiple Access
(OFDMA), while the technology for the uplink is Single-Carrier Frequency-Division
Multiple Access (SC-FDMA).

3.3 Duplex Mode and Frame Structure

For the duplex mode TDD, a guard time should be taken into account. The TUD used
in an LTE TDD system is generated through a timing advance.

Frame Structure Type 2 is applicable for TDD. Each radio frame consists of two 5 ms
half-frames. Each half-frame consists of eight 0.5 ms time slots and three special time
slots, DwPTS, GP, and UpPTS. The lengths of DwPTS and UpPTS are configurable
and the total length of DwPTS, GP, and UpPTS must be equal to 1 ms. Subframes 1
and 6 contain DwPTS, GP, and UpPTS. All other subframes contain two adjacent time
slots, for example, subframe i consists of time slots 2i and (2i + 1), as shown in the
figure below.

Subframes 0 and 5 and the time slot DwPTS are always reserved for downlink
transport.

5 ms periodicity and 10 ms periodicity of switching are supported.

For a 5 ms periodicity, the time slot UpPTS and subframes 2 and 7 are reserved for
uplink transport.

For a 10 ms periodicity, DwPTS is used in both half-frames, while GP and UpPTS are
used only in the first half-frame. The length of DwPTS in the second half-frame is 1
ms. The time slot UpPTS and subframe 2 are reserved for uplink transport and
subframes 7 through 9 for downlink transport.

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3.4 Physical Resource Concept
3.4.1 Basic LTE Time Unit
The basic time unit defined for an LTE system is seconds
(0.326 us).

Ts indicates the sampling time for a symbol. "1500" indicates 1500 subcarriers and
"2048" indicates 2048 sampling points per carrier.

3.4.2 Resource Element

For an antenna port, an OFDM subcarrier or an SC-FDMA subcarrier corresponds to a

Resource Element (RE).

3.4.3 Physical Resource Block

In a time slot, the physical resource with a continuous width of 180 kHz in the
frequency domain is called a Physical Resource Block (PRB). In terms of the
number of subcarriers and the number of symbols, the size of a PRB is as
follows:

Number of
Subcarrier Number of Number of
CP Length OFDM/SC-FDMA
Interval subcarriers REs
symbols
Conventional
12 7 84
CP
Extended CP 12 6 72
Conventional
24 3 72
CP

3.4.4 Resource Grid

The resource elements occupied by the signals transported in a time slot form a
resource grid that contains the integral number of PRBs. A resource grid can be

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 represented by the number of subcarriers, or the number of OFDM or SC-FDMA
symbols.

3.5 Physical Channels

3.5.1 Downlink Physical Channels

- Physical Downlink Shared CHannel (PDSCH)

- Physical Multicast CHannel (PMCH)

- Physical Downlink Control CHannel (PDCCH)

- Physical Broadcast CHannel (PBCH)

- Physical Control Format Indication CHannel (PCFICH)

- Physical HARQ Indication CHannel (PHICH)

3.5.1.1 Common Process of Downlink Physical Channels

The common process of downlink physical channels is as follows:

 Scrambling: Scrambles the coding bit in each code transported on a physical

channel.

 Modulation: Modulates the scrambled bit to generate a complex modulation

symbol.

 Layer mapping: Maps the complex modulation symbols to one or more transport
layers.

 Precoding: Precodes the complex modulation symbols of each layer for antenna
port transport.

 Resource element mapping: Maps the complex modulation symbols to the

resource elements.

 OFDM signal generation: Generates complex time-domain OFDM signals for

every antenna port.
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LTE: Basic Principles and Key Technologies

3.5.1.2 Modulation Schemes of Downlink Physical Channels

Physical Channel Modulation Scheme
PDSCH QPSK, 16QAM, and 64QAM
PMCH QPSK, 16QAM, and 64QAM
PDCCH QPSK
PBCH QPSK
PCFICH QPSK
PHICH [TBD]

3.5.2 Uplink Physical Channels

Physical Uplink Shared CHannel (PUSCH)

Physical Uplink Control CHannel (PUCCH)

Physical Random Access CHannel (PRACH)

3.5.2.1 PUSCH Processing Flow

The processing flow of the PUSCH is as follows:

 Scrambles.

 Modulates the scrambled bit to generate a complex symbol.

 Transports the precode and generates a complex modulation symbol.

 Maps the complex modulation symbol to the resource element.

 Generates complex time-domain SC-FDMA signals for every antenna port.

3.5.2.2 PUSCH Modulation Scheme
Physical Channel Modulation Scheme
PUSCH QPSK, 16QAM, and 64QAM

During RE mapping, the PUSCH channel is mapped to the data area in the subframe.
3.5.2.3 PRACH

LTE defines five PRACH preamble structures that occupy six PRBs (72 carriers) in the
frequency domain. The following figure shows the structure of a preamble.

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 The following table describes the parameters of a preamble.

Time
Preamble Format Sequence Length
Duration
0 1ms 839
1 2 ms 839
839 (transported
2 2 ms
twice)
839 (transported
3 3ms
twice)
4 about 157.3
139
(for FS 2 only) us

Format 4 is transported in the UpPTS field of Frame Structure Type 2.

Sequence

A preamble is generated by a Zadoff-Chu sequence and one cell supports 64 preambles.

Preambles of a cell are generated by a root Zadoff-Chu sequence through different
cyclic shifts. If the number of preambles generated in this way is insufficient, the
preambles can be generated with the logical sequence numbers and the adjacent root
Zadoff-Chu sequences.

There are 838 root sequences for preamble formats 0 through 3.

There are 138 root sequences for preamble format 4.

The subcarrier interval for preamble signals is different from that for other uplink SC-
FDMA symbols.

Preamble Format Subcarrier Interval

0–3 1250 Hz

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LTE: Basic Principles and Key Technologies

4 7500 Hz

3.6 Physical Signals

3.6.1 Downlink Reference Signals

Downlink reference signals include:

Cell-specific reference signal: involved in non-MBSF transmission

MBSFN reference signal: involved in MBSF transmission

UE-specific reference signal

3.6.1.1 Cell-Specific Reference Signal

Cell-specific reference signals are transmitted in every downlink subframe in the cells
supporting non-MBSF transmission. When subframes are used for MBSF transmission,
only the cell-specific reference signals in the first two OFDM symbols in the first time
slot of the first subframe are transmitted.

Cell-specific reference signals are transmitted over one or more of antenna ports 0
through 3.
3.6.1.2 MBSFN Reference Signal

MBSFN reference signals are transmitted only in the subframes allocated to MBSFN
transmission.

MBSFN reference signals are transmitted over antenna port 4.

3.6.1.3 UE-Specific Reference Signal

UE-specific reference signals are transmitted over antenna port 5 for beam forming.

3.6.2 Downlink Primary and Secondary Synchronization Signals

For Frame Structure Type 2, primary synchronization signals are mapped to the middle
72 subcarriers of the first OFDM symbol in DwPTS. Secondary synchronization
signals are mapped to the middle 72 subcarriers of the last OFDM symbol in time slots
1 and 11. The following example is based on a conventional CP.

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 Primary and Secondary Synchronization Signal Position Diagram (Frame Structure
Type 2, Conventional CP)

Signal Sequence

Primary synchronization signals use Zadoff-Chu sequences.

The sequence used for secondary synchronization signals is an interleaved

concatenation of two length-31 binary sequences. The concatenated sequence is
scrambled with a scrambling sequence given by primary synchronization signals. The
length-31 binary sequences and scrambling sequence are generated by M sequences.

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LTE: Basic Principles and Key Technologies

3.6.3 Uplink Reference Signals

Uplink reference signals include:

Demodulation Reference Signal (DRS)

Sounding Reference Signal (SRS)

3.6.3.1 Demodulation Reference Signal

For a PUSCH, demodulation reference signals occupy the fourth SC-FDMA symbol in
every slot, as shown in the following figure. The frequency domain width is the same
as that of PRBs occupied by the PUSCH and continuously distributed in the frequency
domain.

Users can be distinguished by different cyclic shift values of reference signal

sequences.

(a) Conventional CP (b) Extended CP

3.6.3.2 Sounding Reference Signal

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Sounding reference signals are used for uplink scheduling.

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