LTE Overview MTS

Long Term Evolution (LTE) Technical
Overview MTS
Long Term Evolution (LTE) Technical Overview MTS
FOR TRAINING PURPOSES ONLY - THIS MANUAL WILL NOT BE UPDATED
2008 Motorola, Inc.
LTE
Copyrights
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including the exclusive right to copy or reproduce in any form the copyright computer program. Accordingly, any copyright Motorola computer
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estoppel or otherwise, any license under the copyrights, patents or patent applications of Motorola, except for the rights that arise by operation
of law in the sale of a product.
Restrictions
The software described in this document is the property of Motorola. It is furnished under a license agreement and may be used and/or
disclosed only in accordance with the terms of the agreement. Software and documentation are copyright materials. Making unauthorized
copies is prohibited by law. No part of the software or documentation may be reproduced, transmitted, transcribed, stored in a retrieval system,
or translated into any language or computer language, in any form or by any means, without prior written permission of Motorola.
Accuracy
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or omissions in this document, or from the use of the information obtained herein. Motorola reserves the right to make changes to any products
described herein to improve reliability, function, or design, and reserves the right to revise this document and to make changes from time to
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All other brands and corporate names are trademarks of their respective owners.
CE Compliance
The CE mark conrms Motorola Ltds statement of compliance with
EU directives applicable to this product. Copies of the Declaration
of Compliance and installation information in accordance with the
requirements of EN50385 can be obtained from the local Motorola
representative or the CNRC help desk, contact details below:
Email: csc.emea@motorola.com
Tel: +44 (0) 1793 565 444
2008 Motorola, Inc.
LTE
Contents


General information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
ETSI standards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Structure of this manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Text conventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Electromagnetic energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Reporting Safety Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Warnings and cautions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Warnings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Failure to comply with warnings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Cautions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
General warnings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Warning labels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Specic warnings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Protective Equipment Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
General cautions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Caution labels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Specic cautions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Devices sensitive to electrostatic discharge (ESD) . . . . . . . . . . . . . . . . . . . . . . . . 10
Special handling techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Chapter 1: Introduction
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1- 3
2G Global System for Mobile (GSM) Communication . . . . . . . . . . . . . . . . . . . . . . . 1- 4
General Packet Radio Service (GPRS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1- 4
Enhanced Data rates for GSM Evolution (EDGE) . . . . . . . . . . . . . . . . . . . . . . . 1- 4
Evolved Edge (E-EDGE) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1- 5
3G WCDMA (UMTS)Technology and Deployment Status . . . . . . . . . . . . . . . . . . . . . 1- 6
High-Speed Downlink Packet Access (HSDPA) . . . . . . . . . . . . . . . . . . . . . . . . 1- 6
High-Speed Uplink Packet Access (HSUPA) . . . . . . . . . . . . . . . . . . . . . . . . . 1- 6
Evolved HSPA (HSPA+) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1- 6
UMTS Network- R99 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1- 8
The Core Network (CN) Entities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1- 8
UMTS Network R4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-10
Media Gateways (MGWs) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-10
MSC Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-10
UMTS Network R5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-12
IP MULTIMEDIA SUBSYSTEM (IMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-12
LTE Standardization and Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-14
3rd Generation Partnership Project (3GPP) . . . . . . . . . . . . . . . . . . . . . . . . . . 1-14
Long Term Evolution (LTE) of the 3GPP Radio Technology . . . . . . . . . . . . . . . . . . . . 1-16
LTE Detailed Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-16
Radio Capability Evolution with LTE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-18
Chapter 2: LTE Air Interface
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2- 3
LTE Air Interface Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2- 4
OFDMA Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2- 6
Orthogonal Frequency Division Multiplexing (OFDM) Subcarriers . . . . . . . . . . . . . . . 2- 6
Orthogonal Frequency Division Multiplexing (OFDM) Symbols . . . . . . . . . . . . . . . . 2- 8
Downlink Transmission Parameters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-10
OFDM Subcarrier Assignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-12
Multipath Interference Problems in OFDMA. . . . . . . . . . . . . . . . . . . . . . . . . . 2-14
The Cyclic Prex (CP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-16
Frame Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-18
2008 Motorola, Inc.
i
LTE
Contents Long Term Evolution (LTE) Technical Overview MTS
Slot Structure and Physical Resource Elements . . . . . . . . . . . . . . . . . . . . . . . 2-20
OFDM Symbol Mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-22
OFDM and OFDMA Capacity Allocation . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-24
OFDMA Transmitter/Receiver (Simplied) . . . . . . . . . . . . . . . . . . . . . . . . . . 2-26
SC-FDMA Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-28
Issues with using OFDMA in the Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-28
SC-FDMA Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-30
SC-FDMA Signal Generation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-32
Changing the Symbol from the Time Domain to Frequency Domain. . . . . . . . . . . . . . . . 2-34
Complete SC-FDMA Signal Generation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-36
Chapter 3: Multiple Antenna Systems
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 3
Multiple Antenna Systems Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 4
Multiple Antenna Types. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 4
Single Input Multiple Output (SIMO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 6
Switched Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 6
Equal Gain Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 6
Maximum Ratio Combining (MRC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 6
Multiple Input Single Output (MISO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3- 8
Space-Time block coding based Transmit Diversity (STTD) . . . . . . . . . . . . . . . . . . 3- 8
Multiple Input Multiple Output (MIMO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-10
MIMO Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-10
Multi and Single User MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-12
Multi-User MIMO Uplink Only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-12
Single-User MIMO Uplink and Downlink . . . . . . . . . . . . . . . . . . . . . . . . . . 3-12
Closed Loop Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-14
Chapter 4: Channel Architecture and Resource Mapping
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 3
Channel Architecture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 4
Logical Channels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 6
Signalling Radio Bearers (SRB) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 6
Control Channels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 6
Trafc Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 6
Transport Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 8
Downlink Transport Channels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 8
Uplink Transport Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4- 8
Physical Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-10
Downlink Physical Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-10
Uplink Physical Channels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-10
Physical Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-12
Downlink Physical Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-12
Uplink Physical Channels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-12
Resource Mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-14
Physical Resource Block (PRB) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-14
Downlink Subframe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-16
Downlink Physical Control Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-16
Downlink Reference Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-16
Uplink Subframe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-18
Uplink Physical Control Channels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-18
Uplink Physical Shared Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-18
Uplink Physical Signals. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-18
Physical Random Access Channel (PRACH) . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-20
Preamble Formats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-20
Chapter 5: LTE Network Elements
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5- 3
Major Requirements for Evolved Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . 5- 4
3GPP R99 to R7 Feature Evolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5- 4
Enhanced Feature Evolution Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5- 4
E-UTRAN and EPC Architecture- Release 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . 5- 6
User Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5- 8
UE Categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5- 8
ii Long Term Evolution (LTE) Technical Overview MTS
2008 Motorola, Inc.
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Long Term Evolution (LTE) Technical Overview MTS Contents
eNodeB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-10
Mobility Management Entity (MME). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-12
Serving Gateway (S-GW) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-14
Packet Data Network Gateway (P-GW) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-16
R8 LTE Core Network Entities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18
Home Subscriber Server (HSS). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18
Equipment Identity Register (EIR) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18
Policy and Charging Rules Function (PCRF) . . . . . . . . . . . . . . . . . . . . . . . . . 5-18
Evolved Packet Data Gateway (ePDG) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18
3GPP Authentication Authorization Accounting (AAA) Server . . . . . . . . . . . . . . . . . 5-18
Non 3GPP IP Access. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18
LTE Reference Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-20
Security in LTE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-22
EPS Key Hierarchy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-22
Chapter 6: Self-conguring and Self-optimizing Networks (SON)
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6- 3
Coverage and Capacity Optimisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6- 4
Solution Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6- 4
Energy Savings and Interference Reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 6- 6
Energy Savings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6- 6
Interference Reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6- 6
Automated Conguration of Physical Cell Identity. . . . . . . . . . . . . . . . . . . . . . . . . 6- 8
Solution Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6- 8
Mobility Robustness Optimisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-10
Solution Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-10
Mobility Load Balancing Optimisation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-12
Solution Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-12
Chapter 7: Appendix A
The Security Architecture Detail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7- 3
The Security Architecture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7- 3
Security and Privacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7- 5
Authentication and Key Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7- 7
Ciphering Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7- 9
Generation of Authentication Vectors/Tokens . . . . . . . . . . . . . . . . . . . . . . . . . 7-11
USIM Authentication Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-13
Access Link Data Integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-15
Ciphering of User/Signalling Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-17
Chapter 8: Appendix B - E-UTRAN and EPC Protocols
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8- 3
E-UTRAN and EPC Protocols Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8- 4
LTE-Uu User Plane (UP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8- 6
LTE-Uu (UP) Protocol Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8- 6
LTE-Uu Control Plane (CP). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8- 8
LTE-Uu (CP) Protocol Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8- 8
S1U (User Plane) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-10
S1U (UP) Protocol Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-10
S1MME (Control Plane) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-12
S1MME (CP) Protocol Description. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-12
X2 User Plane (X2UP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-14
X2 Control Plane (X2CP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-16
X2CP Functions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-16
S5 Protocol Stack GTP Version . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-18
S5 Control Plane (S5CP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-18
S5 User Plane (S5UP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-18
Control Plane UE MME . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-20
UE P-GW User Plane with E-UTRAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-22
Chapter 9: Appendix C LTE Procedures
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 3
Cell Search Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 4
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Contents Long Term Evolution (LTE) Technical Overview MTS
Acquiring P-SCH and S-SCH. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 4
RRC UE States and State Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 6
RRC_IDLE State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 6
RRC_CONNECTED State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 6
System Information (SI) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 8
System Information Blocks (SIBs) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9- 8
Physical layer Measurements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-10
UE Measurement Capabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-10
E-UTRAN Measurement Abilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-11
Idle Mode Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-12
Cell Selection and Reselection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-14
Cell Selection Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-14
Service Types in Idle Mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-14
Cell Selection Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-16
Cell Reselection Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-18
Intra-frequency Measurement Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-18
Non Intra-frequency Measurement Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-18
Mobility States of a UE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-18
Intra-frequency Cell Reselection Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-20
Cell Ranking Criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-20
Inter-frequency and Inter-RAT Cell Reselection Criteria . . . . . . . . . . . . . . . . . . . . . . 9-22
Cell Ranking Criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-22
Random Access Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-24
Initial Access from RRC_IDLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-24
Physical Random Access Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-26
L1 Physical Random Access Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-26
State Characteristics of the RRC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-28
RRC Idle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-28
RRC Connected . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-28
NAS Protocol States and State Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-30
NAS and AS State Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-30
Network Attach Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-32
Network Attach Information Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-32
LTE Pooling Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-34
MMEs and eNodeBs within Pool Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-34
UPEs and eNBs within Pool Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-34
LTE Mobility Identities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-36
Globally Unique Temporary UE Identity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-36
SAE-Temporary Mobile Subscriber Identity (S-TMSI) . . . . . . . . . . . . . . . . . . . . . 9-36
Tracking Area Identity (TAI). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-36
Tracking Area Update Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-38
Tracking Area Update Procedure with S-GW Change . . . . . . . . . . . . . . . . . . . . . 9-38
Initial Context Setup Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-42
Network Originating Context Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-42
Intra MME/S-GW Handover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-44
Control Plane Information Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-44
User Plane Information Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-46
Inter MME/S-GW Handover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-48
Inter MME/S-GW Handover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-50
Control/User Plane Information Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-50
iv Long Term Evolution (LTE) Technical Overview MTS
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About This Manual Version 1 Rev 2
Long Term Evolution (LTE) Technical Overview
MTS

2008 Motorola, Inc.

1
LTE
Version 1 Rev 2 General information
General information
NOTE
Motorola disclaims all liability whatsoever, implied or express, for any risk of damage, loss or
reduction in system performance arising directly or indirectly out of the failure of the customer,
or any one acting on the customers behalf, to abide by the instructions, system parameters or
recommendations made in Motorola Customer Product Documentation.
If this manual was obtained when attending a Motorola training course, it will not be updated or
amended by Motorola. It is intended for TRAINING PURPOSES ONLY.
Purpose
Motorola Technical Training manuals are intended to support the delivery of Technical Training only and
are not intended to replace the use of Motorola Customer Product Documentation.
WARNING
Failure to comply with Motorola's operation, installation and maintenance instructions may, in
exceptional circumstances, lead to serious injury or death.
These manuals are not intended to replace the system and equipment training offered by Motorola,
although they can be used to supplement and enhance the knowledge gained through such training.
ETSI standards
The standards in the table below are protected by copyright and are the property of the European
Telecommunications Standards Institute (ETSI).
ETSI specication number
GSM 02.60 GSM 04.10 GSM 08.08
GSM 03.60 GSM 04.11 GSM 08.16
GSM 03.64 GSM 04.12 GSM 08.18
GSM 04.01 GSM 04.13 GSM 08.51
GSM 04.02 GSM 04.60 GSM 08.52
GSM 04.03 GSM 04.64 GSM 08.54
GSM 04.04 GSM 04.65 GSM 08.56
GSM 04.05 GSM 08.01 GSM 08.58
GSM 04.06 GSM 08.02 GSM 09.18
GSM 04.07 GSM 08.04 GSM 09.60
GSM 04.08 GSM 08.06
Figures from the above cited technical specications standards are used, in this training manual, with
the permission of ETSI. Further use, modication, or redistribution is strictly prohibited. ETSI standards
are available from http://pda.etsi.org/pda/ and http://etsi.org/eds/
Structure of this manual
This manual is divided into uniquely identied and numbered chapters that, in turn, are divided into
sections. Sections are not numbered, but are individually named at the top of each page, and are listed
in the table of contents.
2 Long Term Evolution (LTE) Technical Overview MTS
2008 Motorola, Inc.
LTE
General information Version 1 Rev 2
General information
Text conventions
The following conventions are used in the Motorola cellular infrastructure manuals to represent keyboard
input text, screen output text and special key sequences.
Input
Characters typed in at the keyboard are shown like this.
Output
Messages, pr ompt s, f i l e l i st i ngs, di r ect or i es, ut i l i t i es, and envi r onment al var i abl es
t hat appear on t he scr een ar e shown l i ke t hi s.
Special key sequences
Special key sequences are represented as follows:
CTRL-c Press the Control and c keys at the same time.
ALT-f Press the Alt and f keys at the same time.
Press the pipe symbol key.
CR or RETURN Press the Return key.
2008 Motorola, Inc.
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Version 1 Rev 2 Safety
Safety
The following general safety guidelines apply to Motorola equipment:
The power jack and mating plug of the power cable must meet International Electrotechnical Commission
(IEC) safety standards.
NOTE
Refer to Grounding Guideline for Cellular Radio Installations 68P81150E62.
Power down or unplug the equipment before servicing.
Using non-Motorola parts for repair could damage the equipment or void warranty. Contact Motorola
Warranty and Repair for service and repair instructions.
Portions of Motorola equipment may be damaged from exposure to electrostatic discharge. Use
precautions to prevent damage.
Electromagnetic energy
Relevant standards (USA and EC) applicable when working with RF equipment are:
ANSI IEEE C95.1-1991, IEEE Standard for Safety Levels with Respect to Human Exposure to
Radio Frequency Electromagnetic Fields, 3 kHz to 300 GHz.
Council recommendation of 12 July 1999 on the limitation of exposure of the general public to
electromagnetic elds (0 Hz to 300 GHz) (1999/519/EC) and respective national regulations.
Directive 2004/40/EC of the European Parliament and of the Council of 29 April 2004 on the
minimum health and safety requirements regarding the exposure of workers to the risks arising
from physical agents (electromagnetic elds) (18th individual Directive within the meaning of
Article 16(1) of Directive 89/391/EEC).
Reporting Safety Issues
Whenever a safety issue arises, carry out the following procedure in all instances. Ensure that all site
personnel are familiar with this procedure.
Procedure
Whenever a safety issue arises:
Procedure 1 Safety issue reporting
1 Make the equipment concerned safe, for example by removing power.
2 Make no further attempt to adjust or rectify the equipment.
3 Report the problem directly to the Customer Network Resolution Centre,
Swindon +44 (0)1793 565444 or China +86 10 88417733 (telephone) and
follow up with a written report by fax, Swindon +44 (0)1793 430987 or China
+86 10 68423633 (fax).
4 Collect evidence from the equipment under the guidance of the Customer
Network Resolution Centre.
2008 Motorola, Inc.
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Warnings and cautions Version 1 Rev 2
Warnings and cautions
The following describes how warnings and cautions are used in this manual and in all manuals of this
Motorola manual set.
Warnings
A denition and example follow below:
Denition of Warning
A warning is used to alert the reader to possible hazards that could cause loss of life, physical injury, or
ill health. This includes hazards introduced during maintenance, for example, the use of adhesives and
solvents, as well as those inherent in the equipment.
Example and format
WARNING
Do not look directly into bre optic cables or data in/out connectors. Laser radiation can come
from either the data in/out connectors or unterminated bre optic cables connected to data in/out
connectors.
Failure to comply with warnings
Observe all warnings during all phases of operation, installation and maintenance of the equipment
described in the Motorola manuals. Failure to comply with these warnings, or with specic
warnings elsewhere in the Motorola manuals, or on the equipment itself, violates safety
standards of design, manufacture and intended use of the equipment. Motorola assumes no
liability for the customer's failure to comply with these requirements.
Cautions
A denition and example follow below:
Denition of Caution
A caution means that there is a possibility of damage to systems, software or individual items of
equipment within a system. However, this presents no danger to personnel.
Example and format
CAUTION
Do not use test equipment that is beyond its due calibration date; arrange for calibration to be carried
out.
2008 Motorola, Inc.
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Version 1 Rev 2 General warnings
General warnings
Observe the following specic warnings during all phases of operation, installation and maintenance of
the equipment described in the Motorola manuals:
Potentially hazardous voltage.
Electric shock.
RF radiation.
Laser radiation.
Heavy equipment.
Parts substitution.
Battery supplies.
Lithium batteries,
Protective Equipment Recommendations
Failure to comply with these warnings, or with specic warnings elsewhere in the Motorola manuals,
violates safety standards of design, manufacture and intended use of the equipment. Motorola assumes
no liability for the customer's failure to comply with these requirements.
Warning labels
Warnings particularly applicable to the equipment are positioned on the equipment. Personnel working
with or operating Motorola equipment must comply with any warning labels tted to the equipment.
Warning labels must not be removed, painted over or obscured in any way.
Specic warnings
Specic warnings used throughout the Technical Training manual set are shown below, and will be
incorporated into procedures as applicable.
These must be observed by all personnel at all times when working with the equipment, as must any
other warnings given in text, in the illustrations and on the equipment. Potentially hazardous voltage
Potentially hazardous voltage
WARNING
This equipment operates using a potentially hazardous voltage of 230 V ac single phase or 415 V ac
three phase supply. To achieve isolation of the equipment from the ac supply, the ac input isolator
must be set to off and locked.
When working with electrical equipment, reference must be made to the Electricity at Work Regulations
1989 (UK), or to the relevant electricity at work legislation for the country in which the equipment is used.
NOTE
Motorola equipment does not utilise high voltages.
Electric shock
WARNING
Do not touch the victim with your bare hands until the electric circuit is broken.
Switch off. If this is not possible, protect yourself with dry insulating material and pull or push the
victim clear of the conductor.
ALWAYS send for trained rst aid or medical assistance IMMEDIATELY.
In cases of low voltage electric shock (including public supply voltages), serious injuries and even death,
may result. Direct electrical contact can stun a casualty causing breathing, and even the heart, to stop.
It can also cause skin burns at the points of entry and exit of the current.
In the event of an electric shock it may be necessary to carry out articial respiration. ALWAYS send for
trained rst aid or medical assistance IMMEDIATELY.
2008 Motorola, Inc.
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General warnings Version 1 Rev 2
General warnings
If the casualty is also suffering from burns, treat the affected area with cold water to cool the burn until
trained rst aid or medical assistance arrives.
RF radiation
WARNING
High RF potentials and electromagnetic elds are present in this equipment when in operation.
Ensure that all transmitters are switched off when any antenna connections have to be changed.
Do not key transmitters connected to unterminated cavities or feeders.
Relevant standards (USA and EC), to which regard should be paid when working with RF equipment are:
ANSI IEEE C95.1-1991, IEEE Standard for Safety Levels with Respect to Human Exposure to
Radio Frequency Electromagnetic Fields, 3 kHz to 300 GHz
CENELEC 95 ENV 50166-2, Human Exposure to Electromagnetic Fields High Frequency (10 kHz
to 300 GHz).
Laser radiation
WARNING
Do not look directly into bre optic cables or optical data in/out connectors. Laser radiation can come
from either the data in/out connectors or unterminated bre optic cables connected to data in/out
connectors.
Lifting equipment
WARNING
When dismantling heavy assemblies, or removing or replacing equipment, a competent responsible
person must ensure that adequate lifting facilities are available. Where provided, lifting frames must
be used for these operations.
When dismantling heavy assemblies, or removing or replacing equipment, the competent responsible
person must ensure that adequate lifting facilities are available. Where provided, lifting frames must be
used for these operations. When equipments have to be manhandled, reference must be made to the
Manual Handling of Loads Regulations 1992 (UK) or to the relevant manual handling of loads legislation
for the country in which the equipment is used.
Parts substitution
WARNING
Do not install substitute parts or performany unauthorized modication of equipment, because of the
danger of introducing additional hazards. Contact Motorola if in doubt to ensure that safety features
are maintained.
Battery supplies
WARNING
Do not wear earth straps when working with standby battery supplies.
2008 Motorola, Inc.
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Version 1 Rev 2 General warnings
General warnings
Lithium batteries
WARNING
Lithium batteries, if subjected to mistreatment, may burst and ignite. Defective lithium batteries must
not be removed or replaced. Any boards containing defective lithium batteries must be returned to
Motorola for repair.
Contact your local Motorola ofce for how to return defective lithium batteries.
Protective Equipment Recommendations
Feet and Legs
In environments that may include electrostatic build-up, wet slippery surfaces, chemical splashes or
abrasives, it is recommended that safety shoes or boots with protective toe caps and penetration-resistant
mid-soles are worn.
Hands and Arms
In environments that may endure temperature extremes, risks of cuts and punctures to the skin, disease
or contamination from chemical substances, electrical shocks or skin infections, it is recommended that
suitable gloves, gauntlets, mitts, wristcuffs or armlets are worn.
Breathing
In environments that may exude dust, vapour, gas or be an oxygen-decient atmosphere, it is
recommended that suitable apparatus is worn (disposable ltering facepiece or respirator, half-or
full-face respirator, air-fed helmets or breathing apparatus).
Head Protection
In environments where there is risk from falling or ying objects, hair entanglement or head bumping, it
is recommended that a safety helmet is worn and long hair kept in some form of restraint.
Eyes
In environments where the eyes are at risk of metal splash, dust, projectiles, gas and vapour radiation,
it is recommended that safety spectacles, goggles, visors, or faceshields are worn.
Body
In environments that are at risk from chemical or metal splash, spray from pressure leaks or spray
guns, impact or penetration, contaminated dust, excessive wear or entanglement of own clothing, it
is recommended that conventional or disposable overalls or other specialist protective clothing is worn.
2008 Motorola, Inc.
LTE
General cautions Version 1 Rev 2
General cautions
Observe the following cautions during operation, installation and maintenance of the equipment
described in the Motorola manuals. Failure to comply with these cautions or with specic cautions
elsewhere in the Motorola manuals may result in damage to the equipment. Motorola assumes no
liability for the customer's failure to comply with these requirements.
Caution labels
Personnel working with or operating Motorola equipment must comply with any caution labels tted to
the equipment. Caution labels must not be removed, painted over or obscured in any way.
Specic cautions
Cautions particularly applicable to the equipment are positioned within the text of this manual. These
must be observed by all personnel at all times when working with the equipment, as must any other
cautions given in text, on the illustrations and on the equipment.
Fibre optics
CAUTION
Fibre optic cables must not be bent in a radius of less than 30 mm.
Static discharge
CAUTION
Motorola equipment contains CMOS devices. These metal oxide semiconductor (MOS) devices are
susceptible to damage from electrostatic charge. See the section Devices sensitive to static in the
preface of this manual for further information.
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Version 1 Rev 2 Devices sensitive to electrostatic discharge (ESD)
Devices sensitive to electrostatic discharge (ESD)
Certain metal oxide semiconductor (MOS) devices embody in their design a thin layer of insulation that
is susceptible to damage from electrostatic discharge. Such a charge applied to the leads of the device
could cause irreparable damage.
These charges can be built up on nylon overalls, by friction, by pushing the hands into high insulation
packing material or by use of unearthed soldering irons.
MOS devices are normally despatched from the manufacturers with the leads shorted together, for
example, by metal foil eyelets, wire strapping, or by inserting the leads into conductive plastic foam.
Provided the leads are shorted it is safe to handle the device.
Special handling techniques
In the event of one of these devices having to be replaced, observe the following precautions when
handling the replacement:
Always wear an earth strap which must be connected to the electrostatic point (ESP) on the
equipment.
Leave the short circuit on the leads until the last moment. It may be necessary to replace the
conductive foam by a piece of wire to enable the device to be tted.
Do not wear outer clothing made of nylon or similar man made material. A cotton overall is
preferable.
If possible work on an earthed metal surface or anti-static mat. Wipe insulated plastic work surfaces
with an anti-static cloth before starting the operation.
All metal tools should be used and when not in use they should be placed on an earthed surface.
Take care when removing components connected to electrostatic sensitive devices. These
components may be providing protection to the device.
When mounted onto printed circuit boards (PCBs), MOS devices are normally less susceptible to
electrostatic damage. However PCBs should be handled with care, preferably by their edges and not
by their tracks and pins, they should be transferred directly from their packing to the equipment (or the
other way around) and never left exposed on the workbench.
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Introduction Version 1 Rev 2
Chapter 1
Introduction
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Version 1 Rev 2 Introduction
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1-2 Long Term Evolution (LTE) Technical Overview MTS
2008 Motorola, Inc.
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Objectives Version 1 Rev 2
Objectives
On completion of this chapter the student should be able to:
Describe the 2G and 2.5G communications services.
Describe the 3G, HSDPA, HSUPA and HSPA+ services.
Describe the R99, R4 and R5 system architecture.
Describe the LTE Standardization and Background.
Describe the LTE detailed requirements.
Describe the radio capability evolution with LTE.
Compare LTE with other competing technologies.
2008 Motorola, Inc.
1-3
LTE
Version 1 Rev 2 2G Global System for Mobile (GSM) Communication
2G Global System for Mobile (GSM) Communication
GSM is the most popular standard for mobile phones in the world. Its promoter, the GSM Association,
estimates that 82% of the global mobile market uses the standard (2007). GSM is used by over 2 billion
people across more than 212 countries and territories (2007).] Its universal use makes international
roaming very common between mobile phone operators, enabling subscribers to use their phones in
many parts of the world. GSM differs from its predecessors in that both signalling and speech channels
are digital call quality, and thus is considered a Second Generation (2G) mobile phone system. This
has also meant that data communication was easy to build into the system. The ubiquity of the GSM
standard has been advantageous to both consumers (who benet from the ability to roam and switch
carriers without switching phones) and also to network operators (who can choose equipment from any
of the many vendors implementing GSM). GSM also pioneered a low-cost alternative to voice calls, the
Short Message Service (SMS), which is now supported on other mobile standards as well. Circuit
Switched (CS) data calls are available with GSM at 2.4, 4.8 and 9.6 kbps.
General Packet Radio Service (GPRS)
GPRS is a Packet Switched (PS) oriented Mobile Data Service (MDS) available to users of GSM and
IS-136 mobile phones. It provides data rates from 56 up to 114 kbps. GPRS can be used for services
such as Wireless Application Protocol (WAP) access, SMS, Multimedia Messaging Service (MMS),
and for Internet communication services such as email and World Wide Web (WWW) access. GPRS
data transfer is typically charged per megabyte of throughput, while data communication via traditional
circuit switching is billed per minute of connection time, independent of whether the user actually is
utilizing the capacity or is in an idle state. GPRS is a best-effort PS service, as opposed to CS, where a
certain Quality of Service (QoS) is guaranteed during the connection for non-mobile users. 2G cellular
systems combined with GPRS is often described as "2.5G", that is, a technology between the second
(2G) and third (3G) generations of mobile telephony. It provides moderate speed data transfer, by using
unused Time division Multiple Access (TDMA) channels in, for example, the GSM system. Originally
there was some thought to extend GPRS to cover other standards, but instead those networks are being
converted to use the GSMstandard, so that GSMis the only kind of network where GPRSis in use. GPRS
is integrated into GSM Release 97 and newer releases. It was originally standardized by European
Telecommunications Standards Institute (ETSI), but now by the 3rd Generation Partnership Project
(3GPP).
Enhanced Data rates for GSM Evolution (EDGE)
EDGE/EGPRS is implemented as a bolt-on enhancement for 2G and 2.5G GSM and GPRS networks,
making it easier for existing GSM carriers to upgrade to it. EDGE/EGPRS is a superset to GPRS and can
function on any network with GPRS deployed, provided the carrier implements the necessary upgrade.
Although EDGE requires no hardware or software changes to be made in GSM core networks, base
stations must be modied. EDGE compatible transceiver units must be installed and the base station
subsystem needs to be upgraded to support EDGE. New mobile terminal hardware and software is also
required to decode/encode the new modulation and coding schemes and carry the higher user data rates
to implement new services.
Transmission techniques
In addition to Gaussian Minimum-Shift Keying (GMSK), EDGE uses higher-order PSK/8 Phase Shift
Keying (8PSK) for the upper ve of its nine modulation and coding schemes. EDGE produces a 3-bit
word for every change in carrier phase. This effectively triples the gross data rate offered by GSM. EDGE,
like GPRS, uses a rate adaptation algorithm that adapts the Modulation and Coding Scheme (MCS)
according to the quality of the radio channel, and thus the bit rate and robustness of data transmission.
It introduces a new technology not found in GPRS, Incremental Redundancy (IR), which, instead of
retransmitting disturbed packets, sends more redundancy information to be combined in the receiver.
This increases the probability of correct decoding. EDGE can carry data speeds up to 236.8 kbps for
4 timeslots (theoretical maximum is 473.6 kbps for 8 timeslots) in packet mode and will therefore meet
the International Telecommunications Union (ITU)s requirement for a 3G network, and has been
accepted by the ITU as part of the International Mobile Telecommunications-2000 (IMT2000) family
of 3G standards. It also enhances the circuit data mode called High-Speed Circuit-Switched Data
(HSCSD), increasing the data rate of this service.
2008 Motorola, Inc.
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2G Global System for Mobile (GSM) Communication Version 1 Rev 2
2G Global System for Mobile (GSM) Communication
E-EDGE
Peak data rate 653kbps DL with 4 Timeslots
Reduction in latency by using 10ms TTI
MCS - 16QAM and Turbo codes
Improved radio reception using DL RX
Diversity
GPRS
Packet Switching (PS) for GSM
Data rates 56 to 114kbps
WAP, SMS, MMS, WWW etc
EDGE
Modulation and Coding Schemes (MCS)
Incremental Redundancy (IR)
4 Timeslots gives 236.8kbps
GSM
Digital signalling and speech
Voice and SMS (CS)
Data 2.4, 4.8 and 9.6kbps (CS)
Evolved Edge (E-EDGE)
Evolved EDGE improves on EDGE in a number of ways. Latencies are reduced by lowering the
Transmission Time Interval by half (from 20 ms to 10 ms). Bit rates are increased up to 653 kbps
downlink peak speed (assuming 4 timeslots used with dual carriers), latencies down to 100 ms using
dual carriers, higher symbol rate and higher-order modulation (16QAM instead of 8-PSK), and turbo
codes to improve error correction. And nally signal quality is improved using downlink diversity
reception of the same radio channel. An EDGE Evolution terminal or network can support some of
these improvements, or roll them out in stages.
2008 Motorola, Inc.
1-5
LTE
Version 1 Rev 2 3G WCDMA (UMTS)Technology and Deployment Status
3G WCDMA (UMTS)Technology and Deployment Status
3G WCDMA technologies enable network operators to offer users a wider range of more advanced
services while achieving greater network capacity through improved spectral efciency. Services include
wide-area wireless voice telephony and broadband wireless data, all in a mobile environment. Typically,
they provide services at 5-10 Mbps.
In December 2007, 190 3G networks were operating in 40 countries and 154 HSDPA networks were
operating in 71 countries, according to the Global Mobile Suppliers Association (GMSA). In Asia,
Europe, Canada and the USA, telecommunication companies use W-CDMA technology with the support
of around 100 terminal designs to operate 3G mobile networks.
Release 99 (R99) of the 3GPP specications allowed for 64 kbps CS and 384 kbps PS trafc bearers to
be established.
High-Speed Downlink Packet Access (HSDPA)
HSDPA is a 3G mobile telephony communications protocol in the High-Speed Packet Access (HSPA)
family, which allows networks based on UMTS to have higher data transfer speeds and capacity. Current
HSDPA deployments support downlink speeds of 1.8, 3.6, 7.2 and 14.4 Mbit/s.
The High-Speed Downlink Shared Channel (HS-DSCH) used in HSDPA lacks two basic features
of other WCDMA channels variable spreading factor and fast power control. Instead, it delivers
the improved downlink performance using Adaptive Modulation and Coding (AMC), fast packet
scheduling at the base station, and fast retransmissions from the base station, known as Hybrid
Automatic Repeat-request (HARQ).
HSDPA is part of the UMTS standards since Release 5 (R5), which also accompanies an improvement
on the uplink providing a new bearer of 384 kbps. The previous maximum bearer was 128 kbps. As well
as improving data rates, HSDPA also reduces latency and so the round trip time for applications.
High-Speed Uplink Packet Access (HSUPA)
HSUPA is a 3G mobile telephony protocol in the HSPA family with uplink speeds up to 5.76 Mbit/s.
The specications for HSUPA are included in UMTS Release 6 (R6) standard published by 3GPP.
HSUPA uses an uplink Enhanced Dedicated Channel (E-DCH) on which it will employ link adaptation
methods similar to those employed by HSDPA, namely:
Shorter Transmission Time Interval (TTI) enabling faster link adaptation.
HARQ with Incremental Redundancy (IR) making retransmissions more effective.
Evolved HSPA (HSPA+)
HSPA+ is a 3G mobile data protocol dened in 3GPP Release 7 (R7). Besides other features like
increase DL and UL data speed it introduces a at architecture for the network. Evolved HSPA provides
HSPA data rates up to 28 Mbit/s on the downlink and 11.5 Mbit/s on the uplink with Multiple-Input and
Multiple-Output (MIMO) (2x2MIMO) technologies and higher order modulation (16QAM).
Further progress is dened in Release 8 (R8) to increase the bit rates to 42 Mbps on the downlink and
23 Mbps on the uplink by using 2x2MIMO and 64QAM.
2008 Motorola, Inc.
LTE
3G WCDMA (UMTS)Technology and Deployment Status Version 1 Rev 2
3G WCDMA (UMTS)Technology and Deployment Status
R99 WCDMA
CS Data up to 64kbps
PS downlink data up to 384kbps
(SF = 4), uplink 128kbps
Greater capacity than 2G due to
increased spectral efficiency
R5 HSDPA
PS downlink data up to 14.4Mbps,
uplink 384kbps
Reduction in latency
Adaptive Modulation and Coding
(AMC)
HARQ with IR
R7 HSPA+
PS downlink data up to 28Mbps
and 11.5Mbps uplink
MIMO
R8 HSPA+ 42Mbps downlink and
23Mbps uplink 2x2MIMO 64QAM
R6 HSUPA
PS uplink speeds up to 5.76Mbps
Shorter TTI (2ms)
HARQ with IR
2008 Motorola, Inc.
1-7
LTE
Version 1 Rev 2 UMTS Network- R99
UMTS Network- R99
The diagram opposite illustrates the basic conguration of a Public Land Mobile Network (PLMN)
supporting UMTS and GSM/GPRS.
The Core Network (CN) Entities
The Core Network (CN) is constituted of a Circuit Switched (CS) domain and a Packet Switched (PS)
domain. These two domains differ by the way they support user trafc, as explained below. These two
domains are overlapping, i.e. they contain some common entities. A Public Land Mobile Network
(PLMN) can implement only one domain or both domains.
CS Domain
The CS domain refers to the set of all the CN entities offering "CS type of connection" for user trafc as
well as all the entities supporting the related signalling. A "CS type of connection" is a connection for
which dedicated network resources are allocated at the connection establishment and released at the
connection release. The entities specic to the CS domain are:
Mobile Switching Centre (MSC)
Gateway Mobile Switching Centre (GMSC)
Visitor Location Register (VLR)
PS Domain
The PS domain refers to the set of all the CN entities offering "PS type of connection" for user trafc
as well as all the entities supporting the related signalling. A "PS type of connection" transports the
user information using autonomous concatenation of bits called packets: each packet can be routed
independently from the previous one. The entities specic to the PS domain are the GPRS specic
entities, i.e.
Serving GPRS Support Node (SGSN)
Gateway GPRS Support Node (GGSN)
Entities Common to the CS and PS domains
The following entities are common provide common functions to the CS and PS Domains:
Home Location Register (HLR)
Authentication Centre (AuC)
Equipment Identity Register (EIR)
2008 Motorola, Inc.
LTE
UMTS Network- R99 Version 1 Rev 2
UMTS Network- R99
NODEB
BTS
RNC
BSC
GERAN
UTRAN
MSC
VLR
GMSC
CN CS Domain
SGSN GGSN
CN PS Domain
HLR/VLR/EIR
Data Network
PSTN/ISDN
Um
Uu
ABIS
Iub IuPS
IuCS
A
Gb
Network Management (NMS)
Gs
2008 Motorola, Inc.
1-9
LTE
Version 1 Rev 2 UMTS Network R4
UMTS Network R4
In R4 the separation of the switching and call control functions within the core network is commonly
referred to as a softswitch architecture. The call control component, i.e. the MSC server, is the softswitch
in this case. This separation of functions makes it easier to scale the network as the trafc demand
increases. If the network planners require more switching capacity they can add Media Gateways
(MGWs); if they require more call control capacity they then add more MSC servers. This is a clear
distinction from the UMTS R99 and GSM networks, in which the call control and switching functions are
all carried out within the MSC and GMSC.
Media Gateways (MGWs)
This translates media trafc between different types of network. Functionality carried out by the MGW
includes:
Termination of bearer channels from the CS and PS networks;
Echo cancellation for CS circuits;
Translation of media from one CODEC form to another,
Each MGW is controlled by one or more MSC servers.
MSC Server
This performs functions such as call control for mobile-originated and mobile-terminated calls, and
mobility management in terms of maintenance of the registry of mobiles within its area of control.
The MSC server integrates with the VLR component, which holds location information as well as
Customized Applications for Mobile network Enhanced Logic (CAMEL) data for subscribers.
Functions carried out by the MSC server include:
Controlling the registration of mobiles to provide mobility management;
Providing authentication functions;
Routing mobile-originated calls to their destination;
Routing mobile-terminated calls by using paging to individual mobiles.
The MSC server terminates signalling from the mobile network over the Iu interface to the RNC. It also
controls the establishment of bearers across its core by the use of MGWs under its control.
2008 Motorola, Inc.
LTE
UMTS Network R4 Version 1 Rev 2
UMTS Network R4
NODEB
BTS
RNC
BSC
GERAN
UTRAN
MGW MGW
MSC Server
CN CS Domain
SGSN GGSN
CN PS Domain
HLR/VLR/EIR
Data Network
PSTN/ISDN
Um
Uu
IuPS
IuCS
A
Gb
ABIS
Iub
2008 Motorola, Inc.
1-11
LTE
Version 1 Rev 2 UMTS Network R5
UMTS Network R5
R5 builds on the partial implementation of Internet Protocol (IP) packet switching within the core
network, to move to an all-IP architecture. In this release, packets can be moved end-to-end using
IP transport with an enhanced GPRS network connected to an IP Multimedia Subsystem (IMS).
The GPRS backbone for R5 must be able to provide similar levels and classications of QoS usually
associated with Asynchronous Transfer Mode (ATM) networks. This is to allow for the delivery of
time-sensitive trafc such as voice and multimedia. As well as enhancements to the core network, the
RAN also migrates from ATM to IP. Even though the vision for R5 is for a total IP solution, the operator
may well still use ATM as a transport solution for some parts of the network. This is possible because
all UMTS releases must provide backward compatibility with earlier releases.
Notice that in the R5 network, the CS domain can be dispensed with since the services associated
with it, such as transfer of voice trafc, can be carried over the GPRS and IMS networks using IP QoS
mechanisms. That given, many operators may still be using the R4 CS domain as well as the R5 IMS
architecture. This allows for a gradual migration to an all-IP architecture with the minimal disruption
to service. Some voice calls may be handled using the CS domain and some, for example video call
services, via the IMS.
IP MULTIMEDIA SUBSYSTEM (IMS)
R5 introduces a new network domain called the IP Multimedia Subsystem (IMS). This is an IP network
domain designed to provide appropriate support for real-time multimedia services.
The UE communicates with the IMS using GPRS, with the IMS being directly connected to the GGSN.
The IMS provides services to mobile users such as:
Real-time communication using voice, video or multimedia messaging (i.e. voice and video
telephony);
Audioconferencing and videoconferencing;
Content delivery services such as video, audio or multimedia download;
Content streaming services such as video, audio or multimedia streaming (e.g. using video on
demand server);
Multimedia Messaging Service (MMS).
Each operators IMS can be connected to other operators IMSs, allowing multimedia services between
users on different networks. Connections to the public Internet allow MMS messaging as well as Voice
Over IP (VoIP) and video telephony between mobile and xed-line users. Finally, the interface to the
ISDN (or other circuit switched networks) allows VoIP calls to be connected through to conventional
xed-line and mobile users, e.g. GSM. Connections between the IMS and other IP networks are
controlled by rewalls to protect against hacking. The interface between the IMS and the CS network is
controlled by the softswitch and MGW components. Within the operators network the IMS is connected
to the Home Subscriber Server (HSS) to allow for subscriber authentication, authorization and mobility
management. For R5 and beyond, the IMS can be used to provide transport for all of the operators
services, including conventional voice calls.
2008 Motorola, Inc.
LTE
UMTS Network R5 Version 1 Rev 2
UMTS Network R5
NODEB
BTS
RNC
BSC
GERAN
UTRAN
SGSN GGSN
CN PS Domain
HSS
IMS
IP Multimedia
PSTN/ISDN
Um
Uu
ATM/IP
IuPS
Gb
ABIS
Iub
2008 Motorola, Inc.
1-13
LTE
Version 1 Rev 2 LTE Standardization and Background
LTE Standardization and Background
This section introduces the standardization framework around LTE and presents the standardization
schedule and future development for LTE.
3rd Generation Partnership Project (3GPP)
The 3GPP is the forum where standardization is handled for GSM, EDGE, HSDPA, HSUPA and LTE.
The background of 3GPP stems from the days when 3G technology was being standardized following
technology selections in different regions during 1997. Following that, WCDMA was chosen in several
places as the basis for third-generation mobile communication systems and there was regional activity
in several places around the same technological principles. It became evident, however, that this would
not lead to a single global standard aligned down to bit level details. Thus, at the end of 1998 the US,
Europe, Korea and Japan joined forces and created 3GPP. China followed a bit later. Note also that
the related standardization organization, although marked as regional, usually had members from other
countries/ regions as well.
The rst major milestone was reached at the end of 1999 when R99 specications were published,
containing the rst full series of WCDMA specications. R4 specications followed in early 2001.
The working method had been moved between R99 and R4 away from the yearly release principle.
The release cycle was made longer than just 1 year, which enabled making bigger releases with less
frequent intervals. This also allowed having more consideration of what is the necessary release
content rather than when are release publication data needed. R5 followed in 2002 and R6 in 2004.
and R7 specications were ready in the second half of 2006. The rst release of the LTE specications
were released in October 2006 with further drops in 2007. The LTE specications are not fully realized
at the time of writing and will be complete after trials by various manufacturers and bodies including
Motorola with and different versions of R8 are being released in 2007 and 2008.
3GPP originally had four different Technical Specication Groups (TSGs), and later ve following the
move of GSM/EDGE activities to 3GPP, returning to four again after two of the groups amalgamated:
TSG Radio Access Network (RAN) focuses on the radio interface and internal interfaces between
Base Transceiver Stations (BTSs)/ Radio Network Controllers (RNCs) as well as the interface
from RNC to the core network. HSDPA and HSUPA standards were under TSG RAN responsibility.
TSGCore and Terminals (CT) focuses on the core network issues as well as covering, for example,
signalling between the core network and terminals.
TSGServices and SystemAspects (SA). focuses on the services and overall systemarchitecture.
TSG GSM/EDGE RAN (GERAN) covers similar issues like TSG RAN but for the
GSM/GPRS/EDGE-based radio interface.
Under each TSG there are further working groups where the actual technical work is done. Further
reading and specications can be downloaded from the 3GPP web page at http://www.3gpp.org/.
2008 Motorola, Inc.
LTE
LTE Standardization and Background Version 1 Rev 2
LTE Standardization and Background
1999 1999 2000 2000 2001 2001 2002 2002 2003 2003 2004 2004 2005 2005 2006 2006 2007 2007 2008 2008
R99 WCDMA
12/99
R4
03/01
R5 HSDPA
02/02
R6 HSUPA
12/04
R7 HSPA+
09/06
R8 LTE
Baseline
Future releases
TSG GERAN (TSG GSM EDGE Radio Access Network)
TSG Radio Access Network (TSG RAN)
TSG Service and System Aspects (TSG SA)
TSG Core Network and Terminals (TSG CT)
Initial LTE
workshop
R7 E-EDGE
Q4
2008 Motorola, Inc.
1-15
LTE
Version 1 Rev 2 Long Term Evolution (LTE) of the 3GPP Radio Technology
Long Term Evolution (LTE) of the 3GPP Radio Technology
3GPP work on the Evolution of the 3G Mobile System started with the RAN Evolution Work Shop, 2 - 3
November 2004 in Toronto, Canada. The Work Shop was open to all interested organizations, members
and non members of 3GPP. Operators, manufacturers and research institutes presented more than 40
contributions with views and proposals on the evolution of the Universal Terrestrial Radio Access
Network (UTRAN).
A set of high level requirements was identied in the Work Shop:
Reduced cost per bit
Increased service provisioning more services at lower cost with better user experience
Flexibility of use of existing and new frequency bands
Simplied architecture, Open interfaces
Allow for reasonable terminal power consumption
LTE Detailed Requirements
A number of detailed requirements were established in technical report 25.913 summarised here:
Peak data rate Instantaneous downlink peak data rate of 100 Mb/s within a 20 MHz downlink
spectrum allocation (5 bps/Hz) Instantaneous uplink peak data rate of 50 Mb/s (2.5 bps/Hz) within
a 20MHz uplink spectrum allocation (assuming MIMO not used).
Control-plane latency Transition time of less than 100 ms from a camped state, such as R6
Idle Mode, to an active state such as R6 CELL_DCH Transition time of less than 50 ms between a
dormant state such as R6 CELL_PCH and an active state such as R6 CELL_DCH.
Control-plane capacity At least 200 users per cell should be supported in the active state for
spectrum allocations up to 5 MHz.
User-plane latency Less than 5 ms in unload condition (ie single user with single data stream)
for small IP packet.
User throughput Downlink: average user throughput per MHz, 3 to 4 times R6 HSDPA Uplink:
average user throughput per MHz, 2 to 3 times R6 Enhanced Uplink.
Spectrum efciency Downlink: In a loaded network, target for spectrum efciency
(bits/sec/Hz/site), 3 to 4 times R6 HSDPA. Uplink: In a loaded network, target for spectrum
efciency (bits/sec/Hz/site), 2 to 3 times R6 Enhanced Uplink.
Mobility E-UTRAN should be optimized for low mobile speed from 0 to 15 km/h. Higher mobile
speed between 15 and 120 km/h should be supported with high performance. Mobility across the
cellular network shall be maintained at speeds from 120 km/h to 350 km/h (or even up to 500 km/h
depending on the frequency band).
Coverage Throughput, spectrum efciency and mobility targets above should be met for 5 km
cells, and with a slight degradation for 30 km cells. Cells range up to 100 km should not be
precluded.
Further Enhanced Multimedia Broadcast Multicast Service (MBMS) While reducing terminal
complexity: same modulation, coding, multiple access approaches and UE bandwidth than for
unicast operation. Provision of simultaneous dedicated voice and MBMS services to the user.
Available for paired and unpaired spectrum arrangements.
Spectrum exibility E-UTRA shall operate in spectrum allocations of different sizes, including
1.25 MHz, 1.6 MHz, 2.5 MHz, 5 MHz, 10 MHz, 15 MHz and 20 MHz in both the uplink and downlink.
Operation in paired and unpaired spectrum shall be supported The system shall be able to support
content delivery over an aggregation of resources including Radio Band Resources (as well as
power, adaptive scheduling, etc) in the same and different bands, in both uplink and downlink and
in both adjacent and non-adjacent channel arrangements. A Radio Band Resource is dened as
all spectrum available to an operator.
2008 Motorola, Inc.
LTE
Long Term Evolution (LTE) of the 3GPP Radio Technology Version 1 Rev 2
Long Term Evolution (LTE) of the 3GPP Radio Technology
Peak data rate
Control-plane latency
Control-plane capacity
User-plane latency
User throughput
Spectrum efficiency
Mobility
Coverage
Enhanced MBMS
Spectrum flexibility
Inter-working with
other 3GPP/3GPP2
RATs
Architecture and
migration
RRM Requirements/SON
Flat all IP Architecture
MME S-GW
eNodeB
eNodeB
eNodeB
X2
X2
X2
S1
EPC
E-UTRAN
MME
S-GW
P-GW
UPE
Co-existence and Inter-working with 3GPP Radio Access Technology (RAT) Co-existence
in the same geographical area and co-location with GERAN/UTRAN on adjacent channels.
E-UTRAN terminals supporting also UTRAN and/or GERAN operation should be able to support
measurement of, and handover from and to, both 3GPP UTRAN and 3GPP GERAN. Also
handovers to 3GPP2 systems should be supported. The interruption time during a handover of
real-time services between E-UTRAN and UTRAN (or GERAN) should be less than 300 ms.
Architecture and migration Single E-UTRAN architecture. The E-UTRAN architecture shall
be packet based, although provision should be made to support systems supporting real-time and
conversational class trafc E-UTRAN architecture shall minimize the presence of "single points of
failure" E-UTRAN architecture shall support an end-to-end QoS Backhaul communication protocols
should be optimised.
Radio Resource Management (RRM) Requirements Enhanced support for end to end QoS.
Efcient support for transmission of higher layers. Support of load sharing and policy management
across different Radio Access Technologies. Self Organising Networks (SON).
One of the most signicant features of LTE is its transition to a at, all-IP based core network with
a simplied architecture and open interfaces. Indeed, much of 3GPPs standardisation work targets
the conversion of existing core network architecture to an all-IP system. Within 3GPP, this initiative
has been referred to as Systems Architecture Evolution (SAE) now called Evolved Packet Core
(EPC). SAE/EPC enables more exible service provisioning plus simplied interworking with xed
and non-3GPP mobile networks. The EPC entities shown on the slide opposite show the Mobility
Management Entity (MME) and the User Plane Entity (UPE).
Reference: 3GPP TR 25.913 v7.3.0 (200603)
2008 Motorola, Inc.
1-17
LTE
Version 1 Rev 2 Radio Capability Evolution with LTE
Radio Capability Evolution with LTE
The performance of the radio system denes how smoothly applications can be used over the radio
network. The key parameters dening application performance include data rate and network latency.
There are applications that are happy with low bit rates of a few tens of kbps but require very low delay,
like VoIP and real time action games. On the other hand, the download time of a large le is only dened
by the maximum data rate, and latency does not play any role. GPRS R99 typically provides 3040 kbps
with latency of 600 ms. EDGE R4 pushes the bit rates 34 times higher and also reduces latency below
300 ms. The EDGEdata rate and latency allowsmooth application performance for several mobile-based
applications including Wireless Application Protocol (WAP) browsing and push-to-talk.
WCDMA enables peak data rates of 384 kbps with latency 100200 ms, which makes Internet access
close to low-end Digital Subscriber Line (DSL) connections and provides good performance for most
low-delay IP applications as well.
HSPA pushes the data rates up to 12 Mbps in practice and even beyond 3 Mbps in good conditions.
Since HSPA also reduces network latency to below 100 ms and user experienced performance is similar
to the xed line DSL connections. No or only little effort is required to adapt Internet applications to the
mobile environment. Essentially, HSPA is a broadband access with seamless mobility and extensive
coverage.
HSPA was initially designed to support high bit rate non-real time services. The simulation results show,
however, that HSPA can provide attractive capacity also for low bit rate low-latency applications like VoIP.
3GPP R6 and 7 further improve the efciency of HSPA for VoIP and other similar applications by reducing
the latency to between 4050 ms and increasing the bit rate.
LTE reduces the round trip times to 10 ms or even less so delivers a more responsive user experience.
This permits interactive, real time services such as high quality audio/videoconferencing and mutli-player
gaming. By using a enhanced air interface based on Orthogonal Frequency Division Multiple Access
(OFDMA) in the downlink and Single Carrier Frequency Division Multiple Access (SC-FDMA) in
the uplink and using higher order modulation schemes together with sophisticated Forward Error
Correction (FEC) techniques. A signicant improvement can be made on radio performance, yielding
up to 5 times the average throughput of HSPA. Downlink peak rates are extended to a theoretical
maximum of 325 Mbps per 20 MHz of spectrum and the downlink and 75 Mbps on the uplink.
2008 Motorola, Inc.
LTE
Radio Capability Evolution with LTE Version 1 Rev 2
Radio Capability Evolution with LTE
Typical end user bit rate
for a macrocell (kbps)
Round trip time (ms)
10000
3000
1000
100
30
300
600 ms 300 ms 0 ms
GPRS GPRS
EDGE
R99 WCDMA
HSPA+
LTE LTE LTE
E-EDGE
2008 Motorola, Inc.
1-19
LTE
Version 1 Rev 2 Radio Capability Evolution with LTE
2008 Motorola, Inc.
LTE
LTE Air Interface Version 1 Rev 2
Chapter 2
LTE Air Interface
2008 Motorola, Inc.
2-1
LTE
Version 1 Rev 2 LTE Air Interface
2008 Motorola, Inc.
LTE
Objectives
Describe the drivers for the LTE air interface.
Describe what is meant by orthogonal subcarriers.
Describe what is meant by an OFDM symbol.
Describe the downlink transmission parameters.
Describe the OFDMA subcarrier assignments.
Describe multipath delay and cyclic prex.
Describe the available frame structures with LTE.
Describe the terms slot structure, physical resource elements and physical resource block.
Show a simplied OFDMA transmitter/receiver.
Describe why SC-FDMA is used for the uplink.
Show a simplied SC-FDMA transmitter/receiver.
2008 Motorola, Inc.
2-3
LTE
Version 1 Rev 2 LTE Air Interface Overview
LTE Air Interface Overview
Initially there where six proposals for the E-UTRA air interface when the specications for LTE were rst
proposed. These were:
Frequency Division Duplex (FDD) UL based on SC-FDMA, FDD DL based on OFDMA.
FDD UL based on OFDMA, FDD DL based on OFDMA.
FDD UL/DL based on MultiCarrier-Wideband Code Division Multiple Access (MC-WCDMA).
TDDUL/DL based on Multi-Carrier Time Division Synchronous Code Division Multiple Access
(MC-TD-SCDMA).
TDD UL/DL based on OFDMA.
Time Division Duplex (TDD) UL based on SC-FDMA, TDD DL based on OFDMA.
It was decided to go for one solution by the RAN Working Group (WG) in December 2005. This was:
Frequency Division Duplex (FDD) UL based on SC-FDMA, FDD DL based on OFDMA.
Time Division Duplex (TDD) UL based on SC-FDMA, TDD DL based on OFDMA.
A number of other considerations were taken into account when designing the access technology. These
were:
Scalable Bandwidth This allows the available spectrum to be utilized efciently. The highest
bandwidth that can be chosen is 20MHz and this will have to be used if the higher data rates are
to be achieved. The lowest bandwidth that can be chosen is 1.25MHz.
Sub-carrier Spacing The standard sub-carrier spacing is set to 15kHz with an additional
sub-carrier spacing dened for MBMS of 7.5KHz.
Resource Blocks The L1 is designed in a bandwidth agnostic way based on resource blocks
allowing it to adapt to various spectrum allocations. A resource block spans either 12 sub-carriers
with a sub-carrier bandwidth of 15kHz or 24 sub-carriers with a sub-carrier bandwidth of 7.5kHz
each over a slot duration of 0.5ms.
Radio Frames The radio frame structure type 1 is used for FDD (for both full duplex and half
duplex operation) and has a duration of 10ms and consists of 20 slots with a slot duration of 0.5ms.
Two adjacent slots form one sub-frame of length 1ms. The radio frame structure type 2 is used for
TDD and consists of two half-frames with a duration of 5ms each and containing each 8 slots of
length 0.5ms and three special elds which have congurable individual lengths and a total length
of 1ms.
MIMO Support Is supported with congurations in the downlink with two or four transmit
antennas and two or four receive antennas, which allow for multi-layer transmissions with up to
four streams. Multi-user MIMO i.e. allocation of different streams to different users is supported in
both UL and DL.
MBMS Support LTE offers the possibility to transmit Multicast/Broadcast over a Single
Frequency Network (MBSFN), where a time-synchronized common waveform is transmitted from
multiple cells for a given duration. MBSFN transmission enables highly efcient MBMS, allowing
for over-the-air combining of multi-cell transmissions in the UE, where the cyclic prex is utilized
to cover the difference in the propagation delays, which makes the MBSFN transmission appear
to the UE as a transmission from a single large cell. Transmission on a dedicated carrier for
MBSFN with the possibility to use a longer CP with a sub-carrier bandwidth of 7.5kHz is supported
as well as transmission of MBSFN on a carrier with both MBMS transmissions and point-to-point
transmissions using time division multiplexing.
Supported Modulation Schemes The supported modulation schemes are Binary Phase Shift
Keying (BPSK), QPSK, 16QAM and 64QAM.
3GPP TR 25.814 V7.1.0 (2006-09) Physical Layer Aspects for E-UTRA
2008 Motorola, Inc.
LTE
LTE Air Interface Overview Version 1 Rev 2
LTE Air Interface Overview
O
F
D
M
A

D
L

T
D
D

a
n
d

F
D
D
S
C
-
F
D
M
A

U
L

T
D
D

a
n
d

F
D
D
Scalable BW
Carrier
Spacing
Resource
Blocks and
Radio Frames
MIMO and
MBMS Support
Modulation
Schemes
2008 Motorola, Inc.
2-5
LTE
Version 1 Rev 2 OFDMA Operation
OFDMA Operation
In this section we are going to understand howOFDMA works by working through the different techniques
that are used within OFDMA.
Orthogonal Frequency Division Multiplexing (OFDM) Subcarriers
In standard Frequency Division Multiplexing (FDM) the carrier spacing is chosen so there will be no or
minimal interference between carriers. This carrier spacing is referred to as the guard band. Therefore
if high capacity is required a large amount of bandwidth is needed to account for the carrier frequency
bandwidth and the guard band.
OFDM allows the carriers to be spaced much more closely together by ensuring that they are orthogonal
to each other, therefore removing the guard bands and allowing the bandwidth of each carrier to overlap
and increase capacity.
Orthogonality means that the signals dont interfere with each other. In OFDMthis is achieved by ensuring
that when the peak of a subcarrier occurs, its adjacent neighbour is experiencing a lull. This technique
is shown on the slide opposite.
At the maximum of each subcarrier spectrum we see that the spectra from the other two subcarriers
is exactly zero. As the slide shows no interference exists among the subcarriers at frequency intervals
of 1/T. Therefore this can be described as no Inter-Carrier Interference (ICI) exists at every 1/T point
in the frequency domain. To maintain this orthogonality among the subcarriers the modulation on each
subcarrier must occur at the same rate and the 1/T point on the frequency domain must be maintained.
There are a number of ways to increase the data rate in an OFDM system, these include increasing the
subcarrier spacing and hence the bandwidth of each subcarrier. This adds a degree of complexity to the
system and has been eliminated in LTE-OFDM by having a xed subchannel spacing of 15kHz. Other
methods like adaptive modulation schemes are used to change data rate.
2008 Motorola, Inc.
LTE
OFDMA Operation Version 1 Rev 2
OFDMA Operation
Orthogonal Subcarriers
f1 f2 f3
1/T 1/T
No Inter-Carrier
Interference (ICI)
2008 Motorola, Inc.
2-7
LTE
OFDMA Operation
Orthogonal Frequency Division Multiplexing (OFDM) Symbols
OFDM transmits many subcarriers in parallel across a wideband channel. Data is then carried on each
subcarrier in parallel, with each subcarrier only carrying a portion of the whole transmission.
Key points:
A modulation symbol is the time between modulation instances. A modulation instance is dened
as a sudden change in phase and/or amplitude.
An OFDM symbol consists of all modulation symbols transmitted in parallel at the same time on
all subcarriers. The modulation rate of all subcarriers in the channel is synchronized to a central
source, so all modulation symbols will be transmitted at the same points in time on all subcarriers.
There are three requirements that must be adhered to when building a OFDM signal
The number of radio cycles that occur in a modulation symbol must be an integer number;
The number of radio cycles between subcarriers are integers;
There must be a constant amplitude and phase during a modulation symbol.
2008 Motorola, Inc.
LTE
OFDMA Operation
OFDM Symbols
Frequency Domain
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Modulation Point
Key Requirements
The number of radio cycles that occur in a modulation symbol
must be an integer number;
The number of radio cycles between subcarriers are integers;
There must be a constant amplitude and phase during a
modulation symbol.
2008 Motorola, Inc.
2-9
LTE
OFDMA Operation
Downlink Transmission Parameters
In the 3GPP specications a basic transmission scheme was identied using conventional OFDM using
a cyclic prex, with a subcarrier spacing f = 15 kHz and a Cyclic Prex (CP) duration Tcp = 4.7/16.7 s
(short/long CP).
More details are shown on the slide opposite.
3GPP TR 25.814 V7.1.0 (200609)
2008 Motorola, Inc.
LTE
OFDMA Operation
Downlink Transmission Parameters
7/6 Number of
OFDM symbols
per sub frame
(Short/Long CP)
1201 901 601 301 151 76 Number of occupied
sub-carriers
2048 1536 1024 512 256 128 FFT size
30.72 MHz
(8 3.84 MHz)
23.04 MHz
(6 3.84 MHz)
15.36 MHz
(4 3.84
MHz)
7.68 MHz
(2 3.84
MHz)
3.84 MHz 1.92 MHz
(1/2 3.84 MHz)
Sampling frequency
15 kHz Sub-carrier spacing
1 ms Sub-frame duration
20 MHz 15 MHz 10 MHz 5 MHz 2.5 MHz 1.25 MHz Transmission BW
7/6 Number of
OFDM symbols
per sub frame
(Short/Long CP)
1201 901 601 301 151 76 Number of occupied
sub-carriers
2048 1536 1024 512 256 128 FFT size
30.72 MHz
(8 3.84 MHz)
23.04 MHz
(6 3.84 MHz)
15.36 MHz
(4 3.84
MHz)
7.68 MHz
(2 3.84
MHz)
3.84 MHz 1.92 MHz
(1/2 3.84 MHz)
Sampling frequency
15 kHz Sub-carrier spacing
1 ms Sub-frame duration
20 MHz 15 MHz 10 MHz 5 MHz 3 MHz 1.4 MHz Transmission BW
2008 Motorola, Inc.
2-11
LTE
OFDMA Operation
OFDM Subcarrier Assignment
The number of subcarriers created for an OFDM channel depends upon the transmission bandwidth
chosen.
Data Subcarriers
The object of LTE is to carry data so the majority of the subchannels serve this purpose. A subset of
the data subcarriers is modulated by a serial data stream to pass one part of a parallel signal, before
all the subcarriers are combined into one multitone channel. The data rate of each data subcarrier is
determined by a combination of the symbol rate and the modulation scheme employed.
Reference Signals
The reference signals allow the receiver to make channel estimates, these are embedded on data
subcarriers periodically.
Null Subcarriers
The null subcarriers dont actually carry anything but are used for the guards and the DC subcarriers.
The guard subcarriers are found at either end of the range of the subcarriers and are used to prevent
interference between the OFDM channels. As they are null subcarriers there is a sudden drop in
power and this has been labeled the brick wall effect and has a good effect with regards to the level
of interference within the network.
The other null subcarrier is the DC subcarrier and this has 0Hz offset fromthe channels centre frequency.
2008 Motorola, Inc.
LTE
OFDMA Operation
OFDM Subcarrier Assignments
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Serial-to-parallel
Converter
011101010111000
2008 Motorola, Inc.

2-13
LTE
OFDMA Operation
Multipath Interference Problems in OFDMA
OFDMA receivers use Fast Fourier Transforms (FFT) to separate the combined OFDMA signals into
their individual subcarriers. The FFT method requires that:
There are an integer number of cycles during a OFDM symbol period;
An integer number of cycles separating the subcarriers;
No phase or amplitude changes during the OFDM symbol periods.
This exact requirement is difcult to achieve when there is multipath distortion present in the radio path.
Multipath distortion is caused by different paths being taken by the signal as they journey from transmitter
to receiver. The delay spread is the difference between the rst and last multipath component.
Inter Symbol Interference (ISI) is caused when the delayed path interferes with the start of the following
symbol causing signicant phase distortion. The beginning of the symbol is very important in OFDMA
systems as it is required by the receiver to identify any changes in phase, if this occurs then the error
rate will increase.
2008 Motorola, Inc.
LTE
OFDMA Operation
Multipath Delay
OFDMA Symbol Time
Multipath delay causes ISI
2008 Motorola, Inc.
2-15
LTE
OFDMA Operation
The Cyclic Prex (CP)
The effects of multipath interference are eliminated by using a CP. The CP copies the end of the symbol
onto the beginning of the same symbol. The effect of this is to add a guard period onto the beginning of
each symbol. This guard period is determine by such things as the size of the cell, multi-cell broadcast
and the RF environment of the cell. Typically it is usually set to 46 times the delay spread
The disadvantage of the CP is the overhead it adds to the system, since no useful information is
transmitted in the CP. However this disadvantage is outweighed by the benets in terms of minimized
ISI.
There are two types of CP, normal and extended. The table below shows the parameters applicable to
each type.
Conguration Bandwidth of Subcarriers Subcarriers Symbols
Normal CP f = 15 kHz 7
f = 15 kHz
12
6 Extended CP
f = 7.5 kHz 24 3
2008 Motorola, Inc.
LTE
OFDMA Operation
The Cyclic Prex
OFDMA Symbol Time
Extended Symbol Time
Cyclic Prefix (CP)
2008 Motorola, Inc.
2-17
LTE
OFDMA Operation
Frame Structure
Downlink and uplink transmissions are organized into radio frames with 10ms duration. Another way
of expressing the time duration for a frame is by a number of time units Ts. Where a time unit =
1/(15000x2048)s (20 MHz bandwidth).
So the radio frame time duration Tf = 307200 x Ts = 10ms.
There are two types of radio frames supported:
Type 1 applicable to FDD;
Type 2 applicable to TDD.
Frame Structure Type 1
Frame structure type 1 is applicable to both full duplex and half duplex FDD. Each radio frame is 10ms
long and consists of 20 slots of length 0.5ms, numbered from 0 to 19. A subframe is dened as two
consecutive slots, hence has a time duration of 1ms. The slide opposite shows the structure.
For FDD, 10ms subframes are available for downlink transmission and 10 subframes are available for
uplink transmissions in each 10ms interval. Uplink and downlink transmissions are separated in the
frequency domain.
Type 1 slots contain either 7 or 6 symbols, depending upon which CP type is used. The actual length of
the CP prexed to each symbol may vary depending upon where that symbol sits within the slots. With
the normal CP, symbol 0 in each slot has a CP equal to 160 Ts or 5.21s, whilst the remaining symbols
in the slot have slightly shorter CPs of 144 Ts or 4.7s. When using the extended CP all symbols are
prexed with a CP of 512 Ts or 16.67s.
Scheduling occurs across a subframe period. Up to the rst three symbols in the rst slot of each
subframe are used to carry control and scheduling messages. The remaining symbols of the rst and all
the symbols in the second slot are then used for user trafc.
Frame structure type 2 is applicable to TDD. Each radio frame consists of two half-frames of length 5ms
each. Each half-frame consists of eight slots of length 0.5ms and three special elds Downlink Pilot
Time Slot (DwPTS), Uplink Pilot Time Slot (UpPTS) and Guard Period (GP).
2008 Motorola, Inc.
LTE
OFDMA Operation
00 11 22 33 44 55 66 77 88 99 10 11 12 13 14 15 16 17 18
19
10ms Frame
0 1 2 3 4 5 6 0 1 2 3 4 5 66
1ms Subframe (2 slots)
Modulation
Symbol
C
P
Normal CP
7 symbols/slot
0 1 2 3 4 5 0 1 2 3 4 5
Modulation
Symbol
C
P
Extended CP
6 symbols/slot
2008 Motorola, Inc.
2-19
LTE
OFDMA Operation
Slot Structure and Physical Resource Elements
Within each slot a signal is transmitted. This signal can be dened by a resource grid that is made up
from the number of subcarriers in a Resource Block (RB), the number RBs (dependant on bandwidth)
and the number of OFDM symbols used.
The number of OFDM symbols in a slot depends on the CP length and subcarrier spacing congured
(see CP page).
In the case of multi-antenna transmission, there is one resource grid dened per antenna port.
The downlink resource grid is shown on the slide opposite.
Resource Elements
Each element in the resource grid for a given antenna port is called a resource element and is identied
by the subcarrier and OFDM symbol.
How much data is carried by each resource element depends upon which modulation scheme was being
used at the time i.e. 16QAM would give 4 bits per symbol.
Physical Resource Block (PRB)
Both Physical RB (PRB) and Virtual RB (VRB) are dened. VRB are designed to improve the quality of
the LTE air interface in a similar way as frequency hopping does in GSM, however this is left for further
study at the moment as the use of VRB are still being dened.
A PRB is dened as the number of consecutive OFDM symbols in the time domain multiplied by the
number of consecutive subcarriers in the frequency domain. The allocation of the resource block is
determined by the scheduler.
Therefore a PRB corresponds to one slot in the time domain and 180 kHz in the frequency domain.
2008 Motorola, Inc.
LTE
OFDMA Operation
Slot Structure and Physical Resource Elements
One downlink slot
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Resource
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OFDM Symbols
2008 Motorola, Inc.
2-21
LTE
OFDMA Operation
OFDM Symbol Mapping
The slide opposite shows how the symbols are mapped into the PRB. The rst OFDM symbol is mapped
onto the lowest subcarrier and then the next OFDM symbol is mapped onto the next lowest subcarrier
until all the allocated subchannels are completed.
Data Capacity
It is now possible to discuss the data throughput possible in the downlink without considering the MIMO
enhancements.
If the conditions were excellent and the modulation scheme was the highest possible i.e. 64QAM. That
would allow 6 data bits per symbol. Assuming normal CP was being used that would give 7 symbols per
downlink timeslot, with each timeslot having 0.5 ms duration. Also we shall assume that the allocated
bandwidth was 20 MHz hence the number of occupied subcarriers is 1200.
6 bits x 12 Subcarriers x 7 OFDM symbols = 504 bits every 0.5 ms.
504 bits x 2000 = 1008000 bits per second for every PRB.
Each PRB uses 12 subcarriers and there are 1200 subcarriers available so there can be 100 PRB within
the available subcarriers.
1008000 x 100 = 100800000 bits per second or 100.8 Mbps
2008 Motorola, Inc.
LTE
OFDMA Operation
OFDM Symbol Mapping
One downlink slot
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OFDM Symbols
2008 Motorola, Inc.
2-23
LTE
OFDMA Operation
OFDM and OFDMA Capacity Allocation
The terms OFDM and OFDMA are terms that get mixed frequently. This is because they are nearly
identical and the only difference between them is the way capacity is allocated.
OFDM Capacity Allocation
With OFDM the capacity is allocated based on time division principles. Each user will be allocated the
full resource with all its associated subcarriers exclusively for a number of OFDM symbol periods.
This method can prove wasteful as when there is little data to send the space allocated will be lled with
padding.
OFDMA Capacity Allocation
OFDMA improve on OFDM by allocating capacity based on a combination of time and frequency, so
some subcarriers and OFDM symbols are split between different users.
The has two major advantages:
The OFDMA system assigns capacity to connections based on the number of subcarriers for a
number of symbol periods rather than assigning the entire channel to one user at a time. This
means the data can be sent more efciently as each connection queue can be matched to the
capacity allocated by the OFDMA system;
The subcarrier population can be divided amongst multiple users.
2008 Motorola, Inc.
LTE
OFDMA Operation
OFDM and OFDMA Capacity Allocation
Symbol Periods (time)
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2008 Motorola, Inc.
2-25
LTE
OFDMA Operation
OFDMA Transmitter/Receiver (Simplied)
The slide opposite shows a simplied transmitter and receiver and the actual may be different to this as
it will be vendor specic. However some general principles hold good and are discussed in this section.
User data enters the transmitter from the MAC/RLC layers as transport blocks and will be placed
on a appropriate downlink physical channel. Depending on the type of data to be transmitted it will
undergo some channel coding. This could be 1/3 rate Turbo or for the broadcast channel 1/3 rate tail
bit convolution coding. Some transport blocks may have Cyclic Redundancy Checks (CRC) applied.
The coded data will then be modulated by one of the four modulation schemes available to LTE namely:
BPSK 1 bit per symbol, some signalling and reference channels;
QPSK 2 bits per symbol;
16QAM 4 bits per symbol;
64QAM 8 (6 usable data bits) bits per symbol, optional on the uplink.
On the slide the coded data has undergone QPSK modulation and hence each symbol will represent
two bits of data. The serial data is then converted to parallel for fast transmission by the Inverse Fast
Fourier Transform (IFFT). The result is a complex time domain signal that represents all the channels
used for this transmission.
The receiver reverses this process. Firstly the complex time domain signal is separated into its individual
channels by the Fast Fourier Transform (FFT). Then the data is converted into a serial stream before
undergoing digital demodulation. Finally the coding that was used in the transmission process is applied
e.g. CRC and convolutional coding.
2008 Motorola, Inc.
LTE
OFDMA Operation
OFDMA Transmitter/Receiver (Simplied)
Channel
Coding
Digital
Modulation
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1001.. 11011
10/11/01/11/00/01
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Shown as bits, but
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CP
insertion
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QPSK
Shown as bits, but
actually symbols
CP
Removal
2008 Motorola, Inc.
2-27
LTE
Version 1 Rev 2 SC-FDMA Overview
SC-FDMA Overview
In the uplink there were a number of key requirements identied:
Reduced receiver complexity;
Minimized transmit power requirements;
Good QoS at cell boundaries;
Supporting high data rates.
Issues with using OFDMA in the Uplink
The major reason why OFDMA is not used in the uplink is the high Peak-to-Average Power Ratio
(PAPR) that occurs when the transmitted signal is a combination of all the subcarriers, resulting in high
amplitude peaks. This leads to a high PAPR ratio in the modulated signal which means the power
amplier would have to have a greater linear range than would be necessary with SC-FDMA. This would
increase the cost, complexity and decrease the efciency of the power amplier.
There are a number of other reasons why OFDMA was not chosen these include:
Per subcarrier equalization As the equalization is done on a per subcarrier basis this would
increase the complexity of the receiver;
High sensitivity to Frequency Offset In a mobility situation multicarrier modulation creates
Inter-Carrier Interference (ICI).
2008 Motorola, Inc.
LTE
SC-FDMA Overview Version 1 Rev 2
SC-FDMA Overview
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Peak-to-Average
Power Ratio (PAPR
Peak-to-Average
Power Ratio (PAPR
Peak-to-Average
Power Ratio (PAPR
Per subcarrier
equalization
Per subcarrier
equalization
High sensitivity to
Frequency Offset
High sensitivity to
Frequency Offset
High sensitivity to
Frequency Offset
Reduced receiver
complexity
Reduced receiver
complexity
Reduced receiver
complexity
Minimized transmit
power requirements
Minimized transmit
power requirements
Minimized transmit
power requirements
Good QoS at cell
boundaries
Good QoS at cell
boundaries
Good QoS at cell
boundaries
Supporting high data
rates
rates
rates
2008 Motorola, Inc.
2-29
LTE
Version 1 Rev 2 SC-FDMA Operation
SC-FDMA Operation
A graphical comparison of OFDMA and SC-FDMA as shown on the slide opposite is helpful in
understanding the differences between these two modulation schemes. For clarity this example
uses only four (M) sub-carriers over one symbol period with the payload data represented by QPSK
modulation. As described earlier, real LTE signals are allocated in units of 12 adjacent sub-carriers.
On the left side of the slide, M adjacent 15kHz sub-carriers (already positioned at the desired place in
the channel bandwidth) are each modulated for the OFDMA symbol period of 66.7s, by one QPSK
data symbol. In this four sub-carrier example, four symbols are taken in parallel. These are QPSK data
symbols so only the phase of each sub-carrier is modulated and the sub-carrier power remains constant
between symbols. After one OFDMA symbol period has elapsed, the CP is inserted and the next four
symbols are transmitted in parallel. For visual clarity, the CP is shown as a gap; however, it is actually
lled with a copy of the end of the symbol, which means that the transmission power is continuous but
has a phase discontinuity at the symbol boundary. To create the transmitted signal, an IFFT is performed
on each sub-carrier to create M time domain signals. These in turn are vector-summed to create the nal
time-domain waveform used for transmission.
SC-FDMA signal generation begins with a special pre-coding process but then continues in a manner
similar to OFDMA. However, before getting into the details of the generation process it is helpful to
describe the end result as shown on the right side of the slide. The most obvious difference between
the two schemes is that OFDMA transmits the four QPSK data symbols in parallel, one per sub-carrier,
while SC-FDMA transmits the four QPSK data symbols in series at four times the rate, with each data
symbol occupying M x 15kHz bandwidth.
Visually, the OFDMA signal is clearly multi-carrier with one data symbol per sub-carrier, but the SC-FDMA
signal appears to be more like a single-carrier (hence the SC in the SC-FDMA name) with each data
symbol being represented by one wide signal. Note that OFDMA and SC-FDMA symbol lengths are the
same at 66.7s; however, the SC-FDMA symbol contains Msub-symbols that represent the modulating
data. It is the parallel transmission of multiple symbols that creates the undesirable high PAR of OFDMA.
By transmitting the M data symbols in series at M times the rate, the SC-FDMA occupied bandwidth is
the same as multi-carrier OFDMA but, crucially, the PAR is the same as that used for the original data
symbols. Adding together many narrow-band QPSK waveforms in OFDMA will always create higher
peaks than would be seen in the wider-bandwidth, single-carrier QPSK waveform of SC-FDMA. As
the number of sub-carriers M increases, the PAR of OFDMA with random modulating data approaches
Gaussian noise statistics but, regardless of the value of M, the SC-FDMA PAR remains the same as that
used for the original data symbols.
2008 Motorola, Inc.
LTE
SC-FDMA Operation Version 1 Rev 2
SC-FDMA Operation
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15kHz 60kHz
OFDMA
Data symbols occupy 15kHz for one OFDMA
symbol period
SC-FDMA
Data symbols occupy M*15kHz for 1/M SC-FDMA
symbol periods
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OFDMA
Data symbols occupy 15kHz for one OFDMA
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SC-FDMA
Data symbols occupy M*15kHz for 1/M SC-FDMA
symbol periods
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2008 Motorola, Inc.
2-31
LTE
Version 1 Rev 2 SC-FDMA Signal Generation
SC-FDMA Signal Generation
As noted, SC-FDMA signal generation begins with a special pre-coding process. The slide opposite
shows the rst steps, which create a time-domain waveform of the QPSK data sub-symbols. Using the
rst four colour-coded QPSK data symbols from the previous slide, the process creates one SC-FDMA
symbol in the time domain by computing the trajectory traced by moving from one QPSK data symbol
to the next. This is done at M times the rate of the SC-FDMA symbol such that one SC-FDMA symbol
contains M consecutive QPSK data symbols. Time-domain ltering of the data symbol transitions occurs
in any real implementation, although it is not discussed here.
2008 Motorola, Inc.
LTE
SC-FDMA Signal Generation Version 1 Rev 2
SC-FDMA Signal Generation
1,1 1,1
-1,-1 -1,-1
-1,1 -1,1
1,-1 1,-1
1,1 -1,-1 -1,1 1,-1
Q
I
V( I)
t
V( Q)
t
One SC-FDMA Symbol One SC-FDMA Symbol
2008 Motorola, Inc.
2-33
LTE
Version 1 Rev 2 Changing the Symbol from the Time Domain to Frequency Domain
Changing the Symbol from the Time Domain to Frequency
Domain
Once an IQ representation of one SC-FDMA symbol has been created in the time domain, the next step
is to represent that symbol in the frequency domain using a DFT. This is shown in the slide opposite.
The DFT sampling frequency is chosen such that the time-domain waveform of one SC-FDMA symbol
is fully represented by M DFT bins spaced 15 kHz apart, with each bin representing one sub-carrier in
which amplitude and phase are held constant for 66.7s.
A one-to-one correlation always exists between the number of data symbols to be transmitted during
one SC-FDMA symbol period and the number of DFT bins created. This in turn becomes the number
of occupied sub-carriers. When an increasing number of data symbols are transmitted during one
SC-FDMA period, the time-domain waveform changes faster, generating a higher bandwidth and hence
requiring more DFT bins to fully represent the signal in the frequency domain. Note in the slide opposite
that there is no longer a direct relationship between the amplitude and phase of the individual DFT bins
and the original QPSK data symbols. This differs from the OFDMA example in which data symbols
directly modulate the sub-carriers.
The next step of the signal generation process is to shift the baseband DFT representation of the
time-domain SC-FDMA symbol to the desired part of the overall channel bandwidth. Because the signal
is now represented as a DFT, frequency-shifting is a simple process achieved by copying the M bins
into a larger DFT space of N bins. This larger space equals the size of the system channel bandwidth,
of which there are six to choose from in LTE spanning 1.4 to 20 MHz. The signal can be positioned
anywhere in the channel bandwidth, thus executing the Frequency-Division Multiple Access (FDMA)
essential for efciently sharing the uplink between multiple users.
It may seem counter intuitive that M time-invariant DFT bins can fully represent a time-varying signal.
However, the DFT principle is simply illustrated by considering the sumof two xed sine waves at different
frequencies. The result is a non-sinusoidal time-varying signalfully represented by two xed sine
waves.
2008 Motorola, Inc.
LTE
Changing the Symbol from the Time Domain to Frequency Domain Version 1 Rev 2
Changing the Symbol from the Time Domain to Frequency
Domain
V, V,
V,
f
f
Baseband DFT representation of the time-domain SC-FDMA symbol
SC-FDMA symbol moved to the desired part of the overall channel bandwidth
2008 Motorola, Inc.
2-35
LTE
Version 1 Rev 2 Complete SC-FDMA Signal Generation
Complete SC-FDMA Signal Generation
To complete the SC-FDMA signal generation, the process follows the same steps as for OFDMA.
Performing an IDFT converts the frequency-shifted signal to the time domain and inserting the CP
provides the fundamental robustness of OFDMA against multipath problems. The relationship between
SC-FDMA and OFDMA is illustrated in the slide opposite.
At this point, it is reasonable to ask how SC-FDMA can be resistant to multipath when the data symbols
are still short. In OFDMA, the modulating data symbols are constant over the 66.7s OFDMA symbol
period, but an SC-FDMA symbol is not constant over time since it contains M sub-symbols of much
shorter duration. The multipath resistance of the OFDMA demodulation process seems to rely on the
long data symbols that map directly onto the sub-carriers. Fortunately, it is the constant nature of each
sub-carriernot the data symbolsthat provides the resistance to delay spread. As shown in the
previous slides, the DFT of the time-varying SC-FDMA symbol generated a set of DFT bins constant in
time during the SC-FDMA symbol period, even though the modulating data symbols varied over the
same period. It is inherent to the DFT process that the time-varying SC-FDMA symbolmade of M
serial data symbolsis represented in the frequency domain by M time-invariant sub-carriers. Thus,
even SC-FDMA with its short data symbols benets from multipath protection.
2008 Motorola, Inc.
LTE
Complete SC-FDMA Signal Generation Version 1 Rev 2
Complete SC-FDMA Signal Generation
Simplified Model of SC-FDMA and OFDMA Signal Generation and
Reception
Channel
Coding
User data
1001..
Map data to
constellation
Generate time
domain waveform
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Generate
constellation
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FFT
Set
to 0
Set
to 0
Time Domain Time Domain Frequency Domain
Unique to SC-FDMA Used in OFDMA and SC-FDMA
2008 Motorola, Inc.
2-37
LTE
Version 1 Rev 2 Complete SC-FDMA Signal Generation
2008 Motorola, Inc.
LTE
Multiple Antenna Systems Version 1 Rev 2
Chapter 3
Multiple Antenna Systems
2008 Motorola, Inc.
3-1
LTE
Version 1 Rev 2 Multiple Antenna Systems
2008 Motorola, Inc.
LTE
Objectives
Describe the different types of antenna systems that may be used in an LTE network.
Describe the operation of SIMO.
Describe the operation of MISO.
Describe the operation of MIMO.
2008 Motorola, Inc.
3-3
LTE
Version 1 Rev 2 Multiple Antenna Systems Overview
Multiple Antenna Systems Overview
Multiple antennas can be used for a number of reasons:
Improved transmission reliability;
Greater coverage or range;
Reduced power consumption and hence lower interference;
Increased transmission throughput.
Multiple Antenna Types
Systems maybe designed with the following types of multiple RX/TX antennas:
Single Input Multiple Output (SIMO);
Multiple Input Single Output (MISO);
Multiple Input Multiple Output (MIMO).
Multiple antenna systems are not unique to LTE and have been around for many years in 2G and 3G
systems alone. However cost has always been a major implication for may of the advanced antenna
techniques that we will be discussing in this chapter, but as the cost of technology decreases then
hopefully the use of these techniques will increase and the higher bit rates can be achieved.
2008 Motorola, Inc.
LTE
Multiple Antenna Systems Overview Version 1 Rev 2
Multiple Antenna Systems Overview
Multiple Antenna Techniques
Improved
transmission
reliability
Improved
transmission
reliability
Improved
transmission
reliability
Greater coverage or
range
Greater coverage or
range
Greater coverage or
range
Reduced power
consumption and hence
lower interference
Reduced power
lower interference
Reduced power
lower interference
Increased transmission
throughput
throughput
throughput
SIMO SIMO
MISO MISO
MIMO MIMO
2008 Motorola, Inc.
3-5
LTE
Version 1 Rev 2 Single Input Multiple Output (SIMO)
Single Input Multiple Output (SIMO)
In a SIMO conguration the transmitter (usually the UE) has one transmitter and the receiver (usually the
base station) has two physically separated antennas. The distance between the antennas has a direct
relationship with the wavelength of the carrier, usually > . The receiver would then pick up multiple
versions of the same signal but separated spatially. The implementation of SIMO can vary and some of
the implementations are discussed below.
Switched Diversity
In this implementation the input with the best signal is chosen as the best source. The criteria for choosing
the best could be decided by Signal-to-Noise Ratio (SNR) or Bit Error Rate (BER) for example.
Switched diversity is more simple and inexpensive when compared to other types of SIMO.
Equal Gain Combining
This form of combining is a simple summation of all available signals.
Maximum Ratio Combining (MRC)
In this implementation each received channel has compensation applied to it before being combined to
produce a composite single signal. This technique is particularly effective where the signal undergoes
deep fades (due to multipath propagation for example). Because the signal is being received by two
antennas then the fades have a high probability to occur at different places therefore the reliability of the
radio link is increased.
2008 Motorola, Inc.
LTE
Single Input Multiple Output (SIMO) Version 1 Rev 2
Single Input Multiple Output (SIMO)
TX
Switched Diversity
Equal Gain Combining
Maximum Ratio Diversity
RX
2008 Motorola, Inc.
3-7
LTE
Version 1 Rev 2 Multiple Input Single Output (MISO)
Multiple Input Single Output (MISO)
In the MISO implementation the transmitter has two or more physically separated antennas and
the receiver has one antenna. This is commonly referred to as transmit diversity and provides
radio communication using signals that originate from two or more independent sources that have
been modulated with identical information-bearing signals and that may vary in their transmission
characteristics at any given instant.
Space-Time block coding based Transmit Diversity (STTD)
In STTD the data to be transmitted is divided between two transmission antennas at the base station site
and transmitted simultaneously. The channel-coded data is processed in blocks of four bits. The bits are
time reversed and complex conjugated, as shown in the diagram opposite. The STTD method, in fact,
provides two brands of diversity. The physical separation of the antennas provides the space diversity,
and the time difference derived from the bit-reversing process provides the time diversity. These features
together make the decoding process in the receiver more reliable. In addition to data signals, pilot signals
are also transmitted via both antennas. The normal pilot is sent via the rst antenna and the diversity
pilot via the second antenna. The two pilot sequences are orthogonal, which enables the receiving UE
to extract the phase information for both antennas.
2008 Motorola, Inc.
LTE
Multiple Input Single Output (MISO) Version 1 Rev 2
Multiple Input Single Output (MISO)
TX
RX
b3 b2 b1 b0 b3 b2 b1 b0
Antenna 1
-b1 b0 b3 -b2 -b1 b0 b3 -b2
Antenna 2
2008 Motorola, Inc.
3-9
LTE
Version 1 Rev 2 Multiple Input Multiple Output (MIMO)
Multiple Input Multiple Output (MIMO)
With MIMO there are both multiple antennas at both the transmitter and receiver. However there is a
bigger difference than this when comparing MIMO to both SIMO and MISO systems. Using SIMO and
MISO it is possible to:
Improved transmission reliability;
Increase coverage or range;
Reduce power consumption and hence lower interference.
By reducing the power the number of base stations can increase and therefore the system capacity
increases, but only logarithmically.
Symmetric MIMO congurations can increase the capacity linearly with the number of antennas used,
but at the cost of increased complexity.
MIMOs technique is to harness what was a largely negative aspect of radio propagation; multipath
propagation. By using these multipaths to transmit more information the system capacity rises by how
many antennas are equipped. The signals are transmitted in three dimensions time, frequency and
space. At the receiver the signals must be recovered, hence MIMO uses mathematical algorithms to
spread the data across multiple transmitting antennas.
MIMO Techniques
Space-Time Coding (STC)
STC- MIMO provides diversity gain to combat the effects of unwanted multipath propagation. Similar to
STTD time delayed and coded versions of the same signal are sent from the same transmitter antenna.
The codes that are used are mainly: trellis and block (less complex) codes.
This improves Signal Noise Ratio (SNR) for cell edge performance.
Spatial Multiplexing (SM)
With spatial multiplexing unique data streams are transmitted using the same time-frequency resource
over different antennas. However the unique data streams must be orthogonal to each other and this is
achieved by using a linear precoding matrix. It can double (2x2 MIMO) or quadruple (4x4 MIMO) capacity
and throughput. SM gives higher capacity when RF conditions are favorable and users are closer to the
BTS.
The slide opposite shows SM with a 2x2 conguration i.e. two transmit and two receive antennas.
Because of the multipath effects if you have two unknown transmitted signals and two measurements at
the receivers. If the two measurements are sufciently independent, you can differentiate between the
transmitted symbols.
If closed-loop MIMO is used then channel state information can be fed back to be used for such things
as precoding and adaptive modulation and coding.
A combination of both SM and STC - MIMO can be implemented and dynamic switching between the
two is possible dependant upon the RF conditions at the time.
2008 Motorola, Inc.
LTE
Multiple Input Multiple Output (MIMO) Version 1 Rev 2
Multiple Input Multiple Output (MIMO)
eNB
(TX)
UE
(RX)
Antenna 1
Antenna 2
Antenna 1
Antenna 2
h11
h12
h22
h21
Feedback
MIMO Channel Matrix
Space-Time Coding (STC) Improved cell edge coverage
Spatial Multiplexing (SM) Improved capacity
2008 Motorola, Inc.
3-11
LTE
Version 1 Rev 2 Multi and Single User MIMO
Multi and Single User MIMO
MIMO is divided between Multi-User MIMO (MU-MIMO) and Single-User MIMO (SU-MIMO).
Multi-User MIMO Uplink Only
In this form of MIMO the data for different users is multiplexed onto a single time-frequency resource,
so the capacity of the cell can increase in terms of users without increasing the system bandwidth.
MU-MIMO uses a reference signal together with the actual data to allow the base station to identify
specic UEs.
Single-User MIMO Uplink and Downlink
This form of MIMO allows for either an improvement in performance or an increase in single user
throughput. It differentiates between the different antenna streams by adding a code layer.
Switching between MU-MIMO and SU-MIMO is allowed on a per UE basis.
The use of codes and reference signals not only allows the receiver to differentiate between antenna
streams and users, but also allows accurate channel estimation.
2008 Motorola, Inc.
LTE
Multi and Single User MIMO Version 1 Rev 2
Multi and Single User MIMO
SU-MIMO
Higher date rate
Reference Signal
SU-MIMO
Higher date rate
Reference Signal
MU-MIMO
Higher system capacity
Coding
MU-MIMO
Higher system capacity
Coding
2008 Motorola, Inc.
3-13
LTE
Version 1 Rev 2 Closed Loop Precoding
Closed Loop Precoding
Because in an FDD system the downlink and uplink are several MHz apart then a system must exist for
the UE to indicate what parameters would allow it to perform optimally. This is achieved by the downlink
transmitting a pilot channel as a reference signal. The UE then evaluates various codebook options
that specify parameters, for example the phase shift between antennas. The UE will then transmit its
recommendations in the form of a codebook index to the eNB. The eNB can utilize the recommended
parameters using MIMO to transmit data to the UE.
2008 Motorola, Inc.
LTE
Closed Loop Precoding Version 1 Rev 2
Closed Loop Precoding
2. Evaluate codebook options
1. Pilot on multiple antennas 1. Pilot on multiple antennas
3. Preferred codebook index 3. Preferred codebook index
4. MIMO transmission 4. MIMO transmission
2008 Motorola, Inc.
3-15
LTE
Version 1 Rev 2 Closed Loop Precoding
2008 Motorola, Inc.
LTE
Channel Architecture and Resource Mapping Version 1 Rev 2
Chapter 4
Channel Architecture and Resource Mapping
2008 Motorola, Inc.
4-1
LTE
Version 1 Rev 2 Channel Architecture and Resource Mapping
2008 Motorola, Inc.
LTE
Objectives
Describe the overall channel architecture.
Describe the logical channels.
Describe the transport channels.
Describe the physical channels.
Describe the downlink and uplink physical signals.
Describe the physical resource mapping.
Describe the downlink subframe.
Describe the uplink subframe.
2008 Motorola, Inc.
4-3
LTE
Version 1 Rev 2 Channel Architecture
Channel Architecture
There are three different types of channel used in the E-UTRA channel architecture namely:
Logical channels.
Transport channels.
Physical channels.
The logical channels describe with what degree of reliability the information will be transmitted (i.e.
acknowledge mode or transparent mode etc), the transport channels describe how the information will
be formatted before being transmitted (i.e. coding, transport block size etc) and the physical channels
provide the transmission media through which the information is actually transmitted.
The architecture is designed to be exible so a logical channel maybe mapped to one of several
different transport channels depending on the format that is required for transmission. Also different
logical channels maybe added to the same transport channel where the different logical channels could
be multiplexed together to form a combined transport channel.
The physical layer is Layer 1 and has been explained in the chapters before. The MAC, RLC and PDCP
sublayers form Layer 2.
Service Access Points (SAP)s are identied for peer-to-peer communication between the sublayers.
The SAPs between the MAC sublayer and the RLC provide the logical channels. The multiplexing of
several logical channels (i.e. radio bearers) on the same transport channel (i.e. transport block) is
performed by the MAC sublayer.
2008 Motorola, Inc.
LTE
Channel Architecture Version 1 Rev 2
Channel Architecture
PHY
Physical Channels
Transport Channels
MAC
Scheduling/ Priority
MUX/DEMUX
HARQ
HARQ
Segmentation/ARQ etc
RLC
Logical Channels
Header compression/ ciphering etc
PDCP
RRC User Plane Applications
2008 Motorola, Inc.
4-5
LTE
Version 1 Rev 2 Logical Channels
Logical Channels
The logical channels are Service Access Points (SAP)s between the MAC and RLC.
Data transfer services are provided by the MAC layer on logical channels. The different types of data
transfer offered by MAC are broken into two sets:
Control Channels (CCH).
Trafc Channels (TCH).
Each type of logical channel is dened by what type of information is transferred.
The slide shown opposite shows the structure of the logical channel architecture. The Signalling Radio
bearers (SRB) are used for RRC signalling and the Radio Bearers (RB) are used to carry any form of
data.
Signalling Radio Bearers (SRB)
SRBs are dened as RBs that are used only for the transmission of RRC and NAS messages. More
specically, the following three SRBs are dened:
SRB0 is for RRC messages using the CCCH logical channel.
SRB1 is for NAS messages and for most RRC messages, all using DCCH logical channel.
SRB2 is for high-priority RRC messages, using DCCH logical channel.
Control Channels
Broadcast Control Channel (BCCH) Downlink channel for broadcasting system information. The
BCCH can either be mapped onto the BCH or DL-SCH transport channels.
Paging Control Channel (PCH) The PCH is always mapped onto the PCH transport channel and is
used to carry paging information when the network does not know the location of the UE.
Common Control Channel (CCCH) This channel is used for transmitting RRC control information
relating to a UE before it moves into dedicated mode in other words no RRC connection exists for the
UE at this moment. It is mapped onto the transport UL/DL SCH.
Dedicated Control Channel (DCCH) A bi-directional control channel used to carry RRC signalling
information when the UE is in dedicated mode in other words a RRC connection exists. It is mapped
onto the transport UL/DL SCH.
Multicast Control Channel (MCCH) In the case of cells that support MBMS transmissions a MCCH
channel will be used for transmitting MBMS control information from the network to the UE. The MCCH
is mapped to the MCH transport channel in the case of a MBMS only cell or a cell that is utilizing a Single
Frequency Network (SFN) transmission. For cells that have both MBMS and other services, the MCCH
is mapped onto the DL-SCH transport channel.
Trafc Channels
Dedicated Trafc Channel (DTCH) This is a point-to-point channel dedicated to one UE for
transmission of user data. The user data maybe uplink/downlink or a combination of both. The DTCH
is always mapped onto a UL/DL-SCH transport channel.
Multicast Trafc Channel (MTCH) For cells that support MBMS transmissions a MTCH is used for
multimedia point-to-multipoint trafc. The MCCH is mapped to the MCH transport channel in the case of
a MBMS only cell or a cell that is utilizing a Single Frequency Network (SFN) transmission. For cells
that have both MBMS and other services, the MCCH is mapped onto the DL-SCH transport channel.
2008 Motorola, Inc.
LTE
Logical Channels Version 1 Rev 2
Logical Channels
DTCH DTCH
2008 Motorola, Inc.
4-7
LTE
Version 1 Rev 2 Transport Channels
Transport Channels
Transport channels are SAPs between MAC and Layer 1 and offer signalling and data transport. The
MAC layer provides multiplexing/demultiplexing MAC Service Data Units (SDU)s into/from Transport
Blocks (TB)s to carry different amounts of data, together with coding and error correction through HARQ
etc.
The TBs, coding, modulation scheme used and how often they are sent across the air interface (referred
to as the Transmission Time Interval (TTI) form a Transport Format (TF).
Downlink Transport Channels
Broadcast Channel (BCH) This channel has a xed pre-dened transport format that is required to be
broadcast throughout the entire coverage of the cell. The BCH is mapped to the Physical BCH (PBCH).
Paging Channel (PCH) This channel has the ability to be mapped dynamically to physical layer
resources. The physical layer resource can be used for trafc or other control channels when not being
used by the PCH. UE Discontinuous Reception (DRX) is supported on this channel to enable UE power
saving. Once again the PCH is required to be broadcast throughout the entire coverage of the cell. The
PCH is mapped onto the same physical resource as the DL-SCH.
Downlink Shared Channel (DL-SCH) The DL-SCH is characterized by support for HARQ and
dynamic link adaptation. Dynamic link adaptation allows the modulation to vary as well as change in
coding use and variable power. The DL-SCH has the possibility to be used in the entire cell and has
the ability to support:
DRX.
MBMS.
Beamforming.
The DL-SCH supports both dynamic and semi-static resource allocation. The DL-SCH is mapped onto
the Physical Downlink Shared Channel (PDSCH).
Multicast Channel (MCH) This channel is used when the cell supports MBMS. There is requirement
for this channel to broadcast on the entire cell and support for semi-static resource allocation. The MCH
is mapped to the Physical MCH (PMCH).
Uplink Transport Channels
Random Access Channel (RACH) This an uplink channel used to carry limited control information
from the UE to the network. It is used for initial access to the cell or when a known UE needs to transmit
on the Physical Uplink Shared Channel (PUSCH) or Physical Uplink Common Channel (PUCCH)
and does not have a valid uplink grant. The RACH is mapped to the Physical RACH (PRACH).
Uplink Shared Channel (UL-SCH) This channel carries control and data and is characterized by
support for HARQ and dynamic link adaptation. It also has the ability to use beamforming and supports
both dynamic and semi-static resource allocation. The UL-SCH is mapped onto the PUSCH.
2008 Motorola, Inc.
LTE
Transport Channels Version 1 Rev 2
Transport Channels
DTCH DTCH
2008 Motorola, Inc.
4-9
LTE
Version 1 Rev 2 Physical Channels
Physical Channels
The physical channel is dened as a set of Resource Elements (RE)s carrying information originating
from the higher layers.
As stated in the LTE Air Interface chapter the physical layer radio frame structure breaks the radio frame
into a time duration of 10 ms with each radio frame being broken down into 20 slots, with two slots forming
one subframe (assuming frame structure type 1).
Downlink Physical Channels
Physical Broadcast Channel (PBCH) The coded BCH transport block is mapped to four subframes
within a 40 ms interval. The 40 ms timing is blindly detected as there is no signalling indicate the 40 ms
timing. Each subframe is self-decodable and is used to receive system information such as AS, NAS
and registration area information.
Physical Hybrid ARQ Indicator Channel (PHICH) This channel carries Hybrid ARQ (HARQ)
ACK/NACK in relation to the uplink transmissions on the PUSCH. Each PHICH is addressed to a single
UE at a time, so there is a timing relationship between the uplink resource (sub-carriers) used for data
transmission and the downlink resource used by the PHICH.
Physical Control Format Indicator Channel (PCFICH) This channel is transmitted in every subframe
and its purpose is to inform the UE about the number of OFDM symbols used for the PDCCHs.
Physical Downlink Control Channel (PDCCH) This channel informs the UE about the resource
allocation for PCH and DL-SCH, plus the HARQ information relating to the DL-SCH. It also controls the
UL-SCH scheduling grants and indicates the UE identity. The PDCCH has four formats, hence the need
for the PCFICH. The PDCCH signalling is located in the rst 13 OFDM symbols in each 1 ms subframe.
Physical Downlink Shared Channel (PDSCH) This channel carries downlink data and/or higher
layer signalling. It is a shared channel hence it is allocated to different UEs on a per-TTI basis usually
every 1 ms. The channel coding, modulation and sub-carrier allocation is dynamic within each TTI, so
each downlink transmission must be addressed to a specic UE, this is done by the PDCCH.
Physical Multicast Channel (PMCH) This channel carries the MBMS data and control if the cell
supports MBMS functionality.
Uplink Physical Channels
Physical Random Access Channel (PRACH) This channel carries the random access preambles
when the UE wants to make initial contact with the network.
Physical Uplink Shared Channel (PUSCH) This channel carries uplink data and/or higher layer
signalling. It is a shared channel hence it is allocated to different UEs on a per-TTI basis usually every
1 ms.
Physical Uplink Control Channel (PUCCH) This channel carries uplink control information:
CQI.
Uplink scheduling requests.
ACK/NACK.
This information will be used when the UE has an uplink grant.
2008 Motorola, Inc.
LTE
Physical Channels Version 1 Rev 2
Physical Channels
2008 Motorola, Inc.
4-11
LTE
Version 1 Rev 2 Physical Signals
Physical Signals
As we have seen in preceding discussions the resources are dened as block of resource elements.
These resource elements maybe dened as a set making up a physical channel or in this case a physical
signal. The difference between a physical channel and a physical signal is that the physical signal
originates from layer 1 on the transmitting side and the receivers higher layers will have no interest
in them.
Downlink Physical Channels
There are two types of downlink physical signal:
Reference Signal (RS).
Synchronization Signal (SS).
Reference Signal (RS)
The RS is used by the UE for channel estimation purposes. If the cell is using MIMO or transmit diversity
then a separate RS will be used for each antenna port, so it could be 1, 2 or 4. A different RS will be
transmitted from each antenna port so the UE can differentiate between them. When RS signals are
transmitted from one antenna port then the other antenna ports are idle.
The reference signals are transmitted on every sixth sub-carrier, the symbol that is used depends upon
whether normal or extended cyclic prex is used and what type of MIMO or transmit diversity is enabled.
The UE must know what sequences are transmitted on the RS for each antenna port so these are
broadcast on system information as well as the transmit power of the cell.
Synchronization Signal (SS)
There are two types of SS, primary SS and secondary SS.
Primary SS provides slot synchronization and secondary SS provides frame synchronization. This
combination of primary and secondary SS allows the cell to be detected. This procedure is covered in
more detail in later chapters.
Uplink Physical Channels
There are three types of uplink physical channel:
Demodulation RS.
Sounding RS.
Random Access Preamble.
Demodulation RS
This signal is used at the eNB to ensure that the uplink transmissions can be correctly decoded. It is
always sent by the UE as part of the PUSCH or PUCCH transmissions.
Sounding RS
This signal can be used though its use is not mandatory. One or a group of UEs can be ordered to
transmit on all or a subset of the available sub-carriers. Therefore the eNB will be able to estimate which
of those sub-carriers are best performing and the resources can be allocated accordingly.
It can also be used where the eNB does not have enough information to update the timing advance or
the transmit power commands for a given UE.
Random Access Preamble
This is used as part of the random access procedure which is discussed in more detail later. However the
random access burst consists of a long cyclic prex, the preamble itself and a guard period. The burst
is sent on 72 contiguous sub-carriers allocated for random access by the eNB. There are 64 possible
preamble sequences per cell.
2008 Motorola, Inc.
LTE
Physical Signals Version 1 Rev 2
Physical Signals
Downlink
- MIMO
- Primary SS
- Secondary SS
Uplink
Demodulation RS
Sounding RS
2008 Motorola, Inc.
4-13
LTE
Version 1 Rev 2 Resource Mapping
Resource Mapping
We have seen that the resources on the uplink and downlink are accessed by physical channels and
physical signals. In this section we are going to be looking at how these channel and signal resources
are mapped onto the frequency and time domain resources available on a particular cell.
Physical Resource Block (PRB)
When DL-SCH and UL-SCH channel resources are mapped onto the air interface they do so in PRBs. A
PRB consists of twelve consecutive sub-carriers in the frequency domain. In the time domain the number
of OFDM or SC-FDMA symbols in a slot depends whether a normal or extended cyclic prex is used. In
the case of a normal prex the number of symbols in a slot will be 7 in the time domain. The number of
PRB that can be assigned to a UE ranges between 6 and 100.
The time and frequency domains are represented on a resource grid as shown on the slide opposite (the
slide shows a normal cyclic prex and frame type 1). Each of the boxes in the grid represents a single
sub-carrier for one symbol period. For MIMO operation there will be a resource grid for each transmitting
antenna.
The downlink control channels are formed into Control Channel Elements (CCE)s. A CCE can be made
up of an aggregation of 1, 2, 4 or 8 mini-CCEs, where each mini-CCEs is made up of 4 REs.
2008 Motorola, Inc.
LTE
Resource Mapping Version 1 Rev 2
Resource Mapping
.
S
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OFDM Symbols
0 1 2 3 4 5 18 20
Resource
Element
(RE)
Physical
Resource
Block (PRB)
Control Channel
Element (CCE)
2008 Motorola, Inc.
4-15
LTE
Version 1 Rev 2 Downlink Subframe
Downlink Subframe
In the above slide opposite a resource grid for a downlink sub-frame is shown using a frame type 1 and
normal cyclic prex. In this case 2x2 MIMO is used to shown the effect of the RE cannot be used REs
and two PRBs shown.
Downlink Physical Control Channels
The control channels are found in the 1st to 3rd OFDM symbols with the occupation of the 1st OFDM
symbol being mandatory. This allows the UE to monitor the 1st OFDM symbol and detect whether their
is an assignment for it. If not in can enter sleep mode and save battery life, also it allows the UE to wake
up quickly and reduce latency.
PHICH
This channel is located in the 1st or 3rd OFDM symbol of the sub-frame and always occupies 3
mini-CCEs. The resources will be allocated semi-statically with the UE being informed were to look for
them. The PHICH function is to transmit the ACK/NACK for uplink transmissions.
PCFICH
The PCFICH is transmitted in the 1st OFDM symbol of the sub-frame and occupies 4 mini-CCEs. Its
function is to indicate to the UE the number of OFDM symbols (13) used for PDCCH signalling in each
sub-frame.
PDCCH
The PDCCH is mapped onto the remaining REs in the 1st to 3rd OFDM symbols in the rst slot of each
sub-frame. Different coding rates (data bits v error protection bits) can be achieved by the PDCCH by
aggregating different number of CCEs. By doing this the effective coding rate is reduced for UEs in good
RF conditions. It is based on the reported CQI and increases the probability that the PDCCH will be
correctly decoded. 1, 2, 4 or 8 CCEs can be aggregated to give approximate code rates of 2/3, 1/3, 1/6
and 1/12 for the PDCCH.
PBCH
The PBCH is found on the 72 sub-carriers centered around the DC sub-carrier in the 4th and 5th OFDM
symbol in slot 0 and the 1st and 2nd OFDM symbol in slot 1, over four consecutive radio frames. This is
shown on the second slide opposite.
Downlink Reference Signals
In the slide opposite two antenna ports are being used, the second OFDM mapping scheme for the
second antenna port is not shown.
In the slide opposite the RS for the rst antenna port is labeled RS
0
. The CE marked with a X would be
used by the other antenna port so in this antenna port would not be used, therefore idle. Antenna RSs
are transmitted on equally spaced sub-carriers within the rst and fth OFDM symbol of each slot and
on every 6th sub-carrier. A known reference signal is transmitted in the RS CE and the UE determines
a channel impulse response for each antenna.
The primary and secondary SS are transmitted in slot 0 and 10 on 64 sub-carriers centered around the
DC sub-carrier. The primary SS occupies the 7th OFDM symbol and the secondary SS the 6th. This is
shown on the second slide opposite.
2008 Motorola, Inc.
LTE
Downlink Subframe Version 1 Rev 2
Downlink Subframe
.
OFDM Subframe
14 15 16 17 18 19 0 1
.
RSo RSo
RSo RSo
RSo RSo
RSo RSo
PHICH - 1st or 3rd OFDM symbol
3 mini-CCEs
PCFICH - 1st OFDM symbol
4 mini-CCEs
PDCCH - remaining REs in the
1st to 3rd OFDM symbols
1, 2, 4 or 8 CCEs
RSo RSo
RS for antenna port 1
RE cannot be used
RSo RSo
RSo RSo
RSo RSo
RSo RSo
DL-SCH
DC
1
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4

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6

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3
6

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0
19 10
..
3
2

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3
2

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PBCH P-SS and S-SS
2008 Motorola, Inc.
4-17
LTE
Version 1 Rev 2 Uplink Subframe
Uplink Subframe
In the uplink there are the following channels:
PUSCH.
PUCCH.
PRACH.
Plus the following physical signals:
Demodulation RS.
Sounding RS.
Uplink Physical Control Channels
Physical Uplink Control Channel (PUCCH)
The PUCCH carries uplink control information and is never transmitted simultaneously with the PUSCH.
There are multiple PUCCH formats supporting modulation schemes BPSK and QPSK with the number
of bits per sub-frame of 1, 2 and 20 depending on the format chosen. The PUCCH transmission is
frequency hopped at the slot boundary for added reliability.
Physical Random Access Channel (PRACH)
The random access procedure involves the physical and higher layers. At the physical layer, the cell
search procedure is initiated by transmission of the random access preamble by the UE. If successful, a
random access response is received from the base station.
Random access preambles are derived from Zadoff-Chu sequences. They are transmitted on blocks of
72 contiguous subcarriers allocated for random access by the base station. In FDD applications, there
are 64 possible preamble sequences per cell.
The exact frequencies used for transmission of the random access preamble is selected from available
random access channels by higher layers in the UE.
Uplink Physical Shared Channel
Physical Uplink Shared Channel (PUSCH)
Resources for the PUSCH are allocated on a sub-frame basis by the UL scheduler. Subcarriers are
allocated in multiples of 12 (PRBs) and maybe hopped from sub-frame to sub-frame. The PUSCH may
employ QPSK, 16QAM or 64QAM modulation.
Uplink Physical Signals
Demodulation RS
The demodulation RS is used by the eNB for coherent demodulation of uplink transmission. So in other
words, the demodulation RS is used for channel estimation.
Sounding RS
The sounding RS is used to facilitate frequency dependant scheduling by the eNB, by ordering the UE
to transmit a sounding RS using the full or subset of the available bandwidth.
2008 Motorola, Inc.
LTE
Uplink Subframe Version 1 Rev 2
Uplink Subframe
1
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4

M
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B
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1 11

1

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1

s
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Sub-frame (1ms)
PUCCH RE
Demodulation RS
PUSCH RE
Sounding RS
1 PRB
1 Radio Frame
2008 Motorola, Inc.
4-19
LTE
Version 1 Rev 2 Physical Random Access Channel (PRACH)
The PRACH is accommodated over 72 consecutive subcarriers and can appear on any of the 10
subframes depending on conguration of the higher layers. The PRACH has a special subcarrier
spacing of 1.25 kHz so has a channel bandwidth of 90 kHz only. The RACH preamble is created in the
frequency domain and has a long Zadoff-Chu sequence applied to it in the time domain to allow multiple
UEs access to the same resource.
Preamble Formats
The conguration in the following table is applied for FDD. Higher layers control the preamble format.
Table 4-1
Burst Format T
cp
T
seq
0 3152T
s
24576T
s
1 21012T
s
24576T
s
2 6224T
s
2 24576T
s
3 21012T
s
2 24576T
s
T
s
= 10ms/307200
The burst format is decided by eNB:
Format 0 is used for normal cell.
Format 1 also known as extended format, is used for a large cell.
To support low data rate at the cell edge and considering power balancing, repetition is required for the
preamble. So Format 2 and 3 are called repeated format:
Format 2 is for maximum cell size of 30km Format 3 is used for maximum cell size of 100km.
Format 3 is used for maximum cell size of 100km.
2008 Motorola, Inc.
LTE
Physical Random Access Channel (PRACH) Version 1 Rev 2
1
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4

M
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B
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0 1 2 3 4 5 18 20
72 contiguous frequencies
1.25 kHz subcarrier spacing
PRACH
CP Zadoff-Chu Sequence GP
1ms Subframe
Tcp
Tseq
Size dependant on Burst Format (0,1,2 or 3)
0 - normal cell.
1 - extended format large cell
2 - repeated format 30km cell size
3 - repeated format 100km cell size
2008 Motorola, Inc.
4-21
LTE
Version 1 Rev 2 Physical Random Access Channel (PRACH)
2008 Motorola, Inc.
LTE
LTE Network Elements Version 1 Rev 2
Chapter 5
LTE Network Elements
2008 Motorola, Inc.
5-1
LTE
Version 1 Rev 2 LTE Network Elements
2008 Motorola, Inc.
LTE
Objectives
Describe the evolved architecture goals.
Describe the E-UTRAN and EPC architecture.
Describe the LTE R8 core network entities.
Describe the LTE interface reference points.
2008 Motorola, Inc.
5-3
LTE
Version 1 Rev 2 Major Requirements for Evolved Architecture
Major Requirements for Evolved Architecture
There were a number of high level principles that were published by 3GPP to guide the architecture
evolution. The major requirements are discussed in this section.
3GPP R99 to R7 Feature Evolution
A number of features that were inherent in the existing 3GPP specications evolve into the LTE
architecture, these include:
Interworking with existing 3GPP systems (PS core, IP access and IMS).
3GPP and non 3GPP access systems supported.
Scalable system architecture solutions that dont compromise system expansion (separate control
and user planes).
The mobility management is able to accommodate terminals with different mobility requirements.
Network sharing and redundancy shall be supported.
Subscriber security procedures are at least as good as R7.
User identity security as good as R7 (idle mode signalling, attach/detach procedure.
Access to Evolved 3GPP with R99 Universal Subscriber Identity Module (USIM) permitted and
interworking with R5 HSS supported.
Existing charging principles apply.
Support for SMS and MMS over generic 3GPP IP access.
IP multicast supported and built into the system.
IPv4 and IPv6 supported within the system.
Enhanced Feature Evolution Goals
A number of enhancements were proposed for evolved architecture, these include:
Low Control Plane (C-plane) latency and QoS across all domains and access networks.
Reduction in tracking area updates.
Avoid tunnelling outside the current network areas by selecting or re-selecting MME, UPE, 3GPP
and SAE anchor.
Seamless operations between 3GPP, 3GPP2 and non-3GPP systems.
Non-3GPP system access can be allowed for LTE subscribers by business agreements between
Home Public Land Mobile Network HPLMN and Visitor Public Land Mobile Network (VPLMN).
Network operator can control which type of access system is being used by the subscriber.
Decrease in complexity by reducing the number of nodes and removing the CS CN.
Reduction in the signalling overhead on the air interface.
References:
3GPP TR 23.882 V1.14.0 (200801)
2008 Motorola, Inc.
LTE
Major Requirements for Evolved Architecture Version 1 Rev 2
Major Requirements for Evolved Architecture
LTE Architecture
Evolution
LTE Architecture
Evolution
Interworking with existing
3GPP, 3GPP2 systems +
access to non 3GPP
Scalable Scalable Scalable
Network sharing and
redundancy
Network sharing and
redundancy
Network sharing and
redundancy
Subscriber security,
USIM and user identity
Support for SMS, MMS
and MBMS
and MBMS
and MBMS
IPv4 and IPv6
supported
IPv4 and IPv6
supported
IPv4 and IPv6
supported
Low C-plane latency Low C-plane latency Low C-plane latency
Reduction in Tracking
Area Updates
Area Updates
Area Updates
Avoidance of tunnelling
out of network areas
Access to 3GPP systems
through non 3GPP systems
Reduction in the number of
Nodes
Nodes
Nodes
Reduction in the signalling
over the air interface
2008 Motorola, Inc.
5-5
LTE
Version 1 Rev 2 E-UTRAN and EPC Architecture- Release 8
E-UTRAN and EPC Architecture- Release 8
The diagram opposite shows a simplied schematic of the R8 LTE overall architecture. The E-UTRAN
consists of Evolved NodeBs (eNB)s providing the Evolved Universal Terrestrial Radio Access
(E-UTRA) user plane and control plane protocol terminations towards the UE. The eNBs are connected
to each other by means of the X2 interface. The eNBs are also connected by means of the S1 interface
to the Evolved Packet Core (EPC), more specically to the Mobility Management Entity (MME) by
means of the S1MME and to the User Plane Entities (UPE), Serving Gateway (S-GW) and Packet
Data Network Gateway (P-GW) by means of the S1U. The S1 interface supports a many-to-many
relation between MMEs/S-GW and eNBs.
2008 Motorola, Inc.
LTE
E-UTRAN and EPC Architecture- Release 8 Version 1 Rev 2
E-UTRAN and EPC Architecture- Release 8
MME S-GW
eNodeB
eNodeB
eNodeB
X2
X2
X2
S1
EPC
E-UTRAN
MME S-GW
P-GW
UPE
2008 Motorola, Inc.
5-7
LTE
Version 1 Rev 2 User Equipment
User Equipment
There are ve different UE categories dened for LTE operation. Each LTE UE categories combines both
uplink and downlink characteristics. This is simple in comparison to HSPA where the UE categories are
dened separately for both the uplink and the downlink, resulting in many different combinations which
have to be included in the UE test specications.
The E-UTRA protocol stack will of course be present in the UE as it is in the eNB.
UE Categories
The table showing the downlink and uplink physical layer parameters are shown on the table opposite.
Transport Channel Parameters in Downlink
Maximum number of DL-SCH transport block bits received within a TTI: Denes the maximum
number of DL-SCH transport blocks bits that the UE is capable of receiving within a DL-SCH TTI. In case
of spatial multiplexing, this is the sum of the number of bits delivered in each of the two transport blocks.
This number does not include the bits of a DL-SCH transport block carrying BCCH in the same subframe.
Maximum number of bits of a DL-SCH transport block received within a TTI: Denes the maximum
number of DL-SCH transport block bits that the UE is capable of receiving in a single transport block
within a DL-SCH TTI.
Total number of DL-SCH soft channel bits: Denes the total number of soft channel bits available for
H-ARQ processing.
Transport Channel Parameters in Uplink
Maximum number of bits of an UL-SCH transport block transmitted within a TTI: Denes the
maximum number of bits of UL-SCH transport block transmitted within an UL-SCH TTI.
Physical Channel Parameters in Downlink
Maximum number of supported layers for spatial multiplexing in DL: Denes the maximum number
of supported layers for spatial multiplexing per UE.
Physical Channel Parameters in Uplink
Support for 64QAM in UL: Denes if 64QAM is supported in UL.
Total Layer 2 Buffer Size
This parameter denes the total layer 2 buffer size. The total layer 2 buffer size is dened as the sum
of the number of bytes that the UE is capable of storing in the RLC transmission windows and RLC
reception and reordering windows for all radio bearers.
2008 Motorola, Inc.
LTE
User Equipment Version 1 Rev 2
User Equipment
[3434]
Yes
75376
4
3667200 151376 302752
5
[1832]
No
51024 2 1827072 75376 150752
4
[1373]
No
51024 2 1237248 75376 102048
3
[687]
No
25456 2 1237248 51024 51024
2
[138] No 5160
1
250368 10296 10296
1
Total layer
2 buffer
size
[kBytes]
Support
for
64QAM in
UL
Maximum
number of
bits of an UL-
SCH TB
transmitted
per TTI
Maximum
number of
supported
layers for
spatial
multiplexing
in DL
Total number
of soft
channel bits
Maximum
number of
bits of a DL-
SCH TB
received per
TTI
Maximum
number
of DL-
SCH TB
bits
received
per TTI
UE
Category
[3434]
Yes
75376
4
3667200 151376 302752
5
[1832]
No
51024 2 1827072 75376 150752
4
[1373]
No
51024 2 1237248 75376 102048
3
[687]
No
25456 2 1237248 51024 51024
2
[138] No 5160
1
250368 10296 10296
1
Total layer
2 buffer
size
[kBytes]
Support
for
64QAM in
UL
Maximum
number of
bits of an UL-
SCH TB
transmitted
per TTI
Maximum
number of
supported
layers for
spatial
multiplexing
in DL
Total number
of soft
channel bits
Maximum
number of
bits of a DL-
SCH TB
received per
TTI
Maximum
number
of DL-
SCH TB
bits
received
per TTI
UE
Category
2008 Motorola, Inc.
5-9
LTE
Version 1 Rev 2 eNodeB
eNodeB
The major difference between the E-UTRAN and the existing 3G UTRAN is the removal of the RNC from
the architecture. The functionality previously handled by the RNC is moved to the eNB.
The eNB is responsible for the following functions:
Radio Resource Management (RRM).
Radio Bearer (RB) control.
Call Admission Control (CAC).
Connection mobility control.
Scheduling uplink and downlink.
IP header compression and encryption of user data streams.
Selection of MME at UE attachment when there is no routing information available for an MME.
Routing of User Plane (UP) data towards the S-GW.
Scheduling and transmission of paging messages from MME.
Scheduling and transmission of broadcast information from MME or Operations and Management
(O&M).
Measurement and measurement reporting for mobility and scheduling.
The radio protocol stack remains the same for LTE as was the case for R99 onwards 3G namely:
Physical layer
Medium Access Control (MAC).
Radio Link Control (RLC).
Packet Data Convergence Protocol (PDCP).
3GPP TS 36.300 V8.5.0 (200805) E-UTRA and E-UTRAN; Overall description
2008 Motorola, Inc.
LTE
eNodeB Version 1 Rev 2
eNodeB
eNB
Inter Cell RRM
RB Control
Connection Mobility Cont
Call Admission Control
eNB Measurements and
Measurement Reporting
Scheduler
PHY
MAC
RLC
PDCP
RRC
MME
S-GW P-GW
R
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EPC E-UTRAN
S1
2008 Motorola, Inc.
5-11
LTE
Version 1 Rev 2 Mobility Management Entity (MME)
Mobility Management Entity (MME)
The MME is the key control-node for the LTE access network. It is responsible for idle mode UE tracking
and paging procedure including retransmissions. It is involved in the bearer activation/deactivation
process and is also responsible for choosing the S-GW for a User Equipment (UE) at the initial attach
and at time of intra-LTE handover involving CN node relocation. It is responsible for authenticating the
user (by interacting with the HSS). The Non-Access Stratum (NAS) signaling terminates at the MME
and it is also responsible for generation and allocation of temporary identities to UEs. It checks the
authorization of the UE to camp on the service providers PLMN and enforces UE roaming restrictions.
The MME is the termination point in the network for ciphering/integrity protection for NAS signaling
and handles the security key management. Lawful interception of signaling is also supported by the
MME. The MME also provides the control plane function for mobility between LTE and 2G/3G access
networks with the S3 interface terminating at the MME from the SGSN. The MME also terminates the
S6a interface towards the home HSS for roaming UEs.
The MME hosts the following functions:
NAS signalling.
NAS signalling security.
Access Stratum (AS) security.
Lawful interception.
Inter CN node signalling for mobility between 3GPP/3GPP2 access networks.
Idle mode UE reachability (including control and execution of paging transmission).
Tracking area list management (for UE in idle and active mode).
P-GW and S-GW selection.
MME selection for handovers with MME change.
SGSN selection for handovers to 2G or 3G 3GPP/3GPP2 access networks.
Roaming.
Authentication.
Bearer management functions including dedicated bearer establishment.
MBMS Control functionality.
3GPP TS 23.401 V8.2.0 (2008-06) GPRS enhancements for E-UTRA Network
2008 Motorola, Inc.
LTE
Mobility Management Entity (MME) Version 1 Rev 2
Mobility Management Entity (MME)
MME
NAS signalling and security NAS signalling and security
AS Security AS Security
Inter CN node signalling Inter CN node signalling
Idle mode UE reachability (paging etc) Idle mode UE reachability (paging etc)
Tracking area management Tracking area management
P-GW and S-GW selection P-GW and S-GW selection
eNB
S-GW
P-GW
EPC E-UTRAN
S1
MME selection for handovers
on MME change
MME selection for handovers
on MME change
SGSN selection for handovers
to 2G or 3G 3GPP/3GPP2 AN
SGSN selection for handovers
to 2G or 3G 3GPP/3GPP2 AN
Roaming and authentication Roaming and authentication
Bearer management functions
including dedicated bearer
establishment
Bearer management functions
including dedicated bearer
establishment
Lawful interception Lawful interception
2008 Motorola, Inc.
5-13
LTE
Version 1 Rev 2 Serving Gateway (S-GW)
Serving Gateway (S-GW)
The S-GW routes and forwards user data packets, while also acting as the mobility anchor for the
user plane during inter-eNB handovers and as the anchor for mobility between LTE and other 3GPP
technologies (terminating S4 interface and relaying the trafc between 2G/3G systems and P-GW). For
idle state UEs, the S-GW terminates the Downlink (DL) data path and triggers paging when DL data
arrives for the UE. It manages and stores UE contexts, e.g. parameters of the IP bearer service, network
internal routing information. It also performs replication of the user trafc in case of lawful interception.
The S-GW hosts the following functions:
The local mobility anchor point for inter-eNB handovers.
Mobility anchoring for inter-3GPP mobility.
E-UTRAN idle mode downlink packet buffering and initiation of network triggered service request
procedures.
Lawful interception.
Packet routing and forwarding.
Transport level packet marking in the uplink and downlink.
Accounting on user and QoS Class Identier (QCI) for inter-operator charging.
Uplink (UL) and DL charging per UE, PDN and QCI.
2008 Motorola, Inc.
LTE
Serving Gateway (S-GW) Version 1 Rev 2
Serving Gateway (S-GW)
S-GW
Local mobility anchor for
inter eNB handover
Mobility anchor for inter-3GPP
mobility
E-UTRAN idle mode packet buffering
Lawful interception Lawful interception
Packet routing and forwarding Packet routing and forwarding
Inter operator charging Inter operator charging
eNB
MME
P-GW
EPC E-UTRAN
S1
UL and DL charging per UE,
PDN and QCI
UL and DL charging per UE,
PDN and QCI
Transport level marking in the
UL and DL
Transport level marking in the
UL and DL
2008 Motorola, Inc.
5-15
LTE
Version 1 Rev 2 Packet Data Network Gateway (P-GW)
Packet Data Network Gateway (P-GW)
The P-GW provides connectivity to the UE to external packet data networks by being the point of exit
and entry of trafc for the UE. A UE may have simultaneous connectivity with more than one P-GW
for accessing multiple PDNs. The P-GW performs policy enforcement, packet ltering for each user,
charging support, lawful Interception and packet screening. Another key role of the P-GW is to act as
the anchor for mobility between 3GPP and non-3GPP technologies such as WiMAX and 3GPP2 (Code
Division Multiple Access 1X (CDMA) 1X and Evolution Data Only (EvDO)).
The P-GW hosts the following functions:
Per-user based packet ltering.
Law interception.
UE IP address allocation.
Transport level packet marking in the downlink.
UL and DL service level charging, gating and rate enforcement.
DL rate enforcement based on Aggregate Maximum Bit Rate (AMBR).
2008 Motorola, Inc.
LTE
Packet Data Network Gateway (P-GW) Version 1 Rev 2
Packet Data Network Gateway (P-GW)
P-GW
Per user based packet
filtering
Lawful interception
UE IP address allocation
Transport level packet marking in DL
UL and DL service level
charging, gating and rate
enforcement
DL rate enforcement based on
AMBR
eNB
MME
S-GW
EPC E-UTRAN
S1
2008 Motorola, Inc.
5-17
LTE
Version 1 Rev 2 R8 LTE Core Network Entities
R8 LTE Core Network Entities
The other entities found with the R8 LTE CN are described in this section.
Home Subscriber Server (HSS)
The HSS, is a master user database that supports the IMS network entities that actually handle calls. It
contains the subscription-related information (user proles), performs authentication and authorization
of the user, and can provide information about the users physical location. It is similar to the GSM Home
Location Register (HLR) and Authentication Centre (AUC).
A Subscriber Location Function (SLF) is needed to map user addresses when multiple HSSs are used.
Both the HSS and the SLF communicate through the Diameter protocol.
Equipment Identity Register (EIR)
The EIR keeps a list of mobile phones (identied by their IMEI) which are to be banned from the network
or monitored. This is designed to allow tracking of stolen mobile phones. The EIR is a database
that contains information about the identity of the mobile equipment that prevents calls from stolen,
unauthorised or defective mobile stations.
Policy and Charging Rules Function (PCRF)
The PCRF encompasses policy control decision and ow based charging control functionalities.
This is a logical node that creates rules for setting both policy and charging. These rules could be set
using a combination of parameters (example, User Mike is only allowed voice and video and network X
can have a max bandwidth of 256kbps so when User Joe connects from network X, both attributes are
combined and apply to arrive at User Joe is only allowed voice and video at 256kbps while connected
to X). In other words it sets the QoS policy.
The PCRF interacts with the Policy and Charging Enforcement Function (PCEF) that acts on the rules
from PCRF and enforces the same. The protocol between PCRF and PCEF happens to be Diameter
(mapped to Gx interface). The PCEF is logically found in the P-GW.
Evolved Packet Data Gateway (ePDG)
The ePDG is used to allocate a remote IP address for the local IP address to the ePDG which is used for
Care of Address (CoA) when the S2c is used and the same to the P-GW when the S2b is used. It used
to transport the packets from the P-GW to the UE including de-capsulation/en-capsulation of packets
for IP Security (IP-SEC) and Proxy Mobile IP (PMIP) tunnels. Also the aforementioned tunnels are
authenticated and authorized by the ePDG. It also enforces QoS policies based on information received
via the AAA infrastructure and has lawful interception responsibilities.
If network based mobility is used (S2b) is acts as a Mobile Access Gateway (MAG) and acts a local
anchor within an untrusted non 3GPP access network.
3GPP Authentication Authorization Accounting (AAA) Server
A network server used for access control. Authentication identies the user. Authorization implements
policies that determine which resources and services a valid user may access. Accounting keeps track
of time and data resources used for billing and analysis.
Non 3GPP IP Access
A non-3GPP IP access is dened as either trusted or non-trusted:
Trusted Means that the network operator has chosen to trust the non-3GPP IP access network
based on business agreements etc. There will likely be specic security agreements in place and
IP Security (IPsec) tunnel between the UE and the 3GPP EPC will not be required.
Non-Trusted This is an IP access network that requires the use of IPsec tunnel between the UE
and the 3GPP EPC to provide an adequate security mechanism acceptable to the 3GPP network
operator i.e WLAN.
2008 Motorola, Inc.
LTE
R8 LTE Core Network Entities Version 1 Rev 2
R8 LTE Core Network Entities
eNB eNB
S-GW S-GW MME MME
HSS HSS P-GW P-GW
Operators IP
services
PCRF
ePDG
Untrusted Non
3GPP IP Access
Untrusted Non
3GPP IP Access
Trusted Non
3GPP IP Access
Trusted Non
3GPP IP Access
SGSN
3GPP AAA
Server
GERAN
UTRAN
S1u S1-MME
S6a
S5/S8
S3
S2b
SGi
SWn S2a
S2c
S2c
S11
S7
Rx
S6b
SWm
SWa
SWx
LTE-Uu
S4
S12
S10
eNB eNB
X2
EIR
S13
2008 Motorola, Inc.
5-19
LTE
Version 1 Rev 2 LTE Reference Points
LTE Reference Points
The slide opposite shows the major LTE reference points.
The reference points between the EPC and the E-UTRAN include:
LTE-Uu Reference point for the air interface between the UE and the eNB.
S1MME Reference point for the control plane protocol between E-UTRAN and MME.
S1U Reference point between E-UTRAN and S-GW for the per bearer user plane tunnelling
and inter eNodeB path switching during handover.
X2 Reference point between eNBs, this is used for mobility management functions.
S5 It provides user plane tunneling and tunnel management between S-GW and P-GW. It is
used for S-GW relocation due to UE mobility and if the S-GW needs to connect to a non-collocated
P-GW for the required PDN connectivity.
S8 Inter-PLMNreference point providing user and control plane between the S-GWin the VPLMN
and the P-GW in the HPLMN. S8 is the inter PLMN variant of S5.
The reference points between LTE and inter-3GPP access onto 3G UTRAN and 2G GPRS and
EDGE RAN (GERAN) networks are:
S3 It enables user and bearer information exchange for inter 3GPP access network mobility in
idle and/or active state. It is based on Gn reference point as dened between SGSN.
S4 It provides related control and mobility support between GPRS Core and the 3GPP Anchor
function of S-GW and is based on Gn reference point as dened between SGSN and GGSN. In
addition, if direct tunnel is not established, it provides the user plane tunnelling.
S12 Reference point between UTRAN and S-GW for user plane tunneling when a direct tunnel
is established. It is based on the Iu-u/Gn-u reference point using the GPRS Tunneling Protocol
User (GTP-U) protocol as dened between SGSN and UTRAN or respectively between SGSN
and GGSN. Usage of S12 is an operator conguration option.
The reference points between LTE and non-3GPP access include:
S2a It provides the user plane with related control and mobility support between trusted non
3GPP IP access and the gateway.
S2b It provides the user plane with related control and mobility support between ePDG and the
gateway.
S2c It provides the user plane with related control and mobility support between UE and the
gateway. This reference point is implemented over trusted and/or untrusted non-3GPP Access
and/or 3GPP access.
SWn This is the reference point between the untrusted Non-3GPP IP access and the ePDG.
Trafc on this interface for a UE-initiated tunnel has to be forced towards ePDG.
The reference points between the 3GPP AAA server and other entities include:
S6b It is the reference point between P-GW and 3GPP AAA server/proxy for mobility related
authentication if needed. This reference point may also be used to retrieve and request storage of
mobility parameters. This reference point may also be used to retrieve static QoS prole for a UE
for non-3GPP access in case dynamic Policy and Charging Control (PCC) is not supported.
SWa It connects the untrusted non-3GPP IP access with the 3GPP AAA server/proxy and
transports access authentication, authorization and charging-related information in a secure
manner.
SWm This reference point is located between 3GPP AAA Server/Proxy and ePDG and is used
for AAA signaling (transport of mobility parameters, tunnel authentication and authorization data).
SWx This reference point is located between 3GPP AAA Server and HSS and is used for
transport of authentication data.
The reference points between the MME and other network elements include:
S10 Reference point between MMEs for MME relocation and MME to MME information transfer.
S11 Reference point between MME and S-GW.
S6a This interface is dened between MME and HSS for authentication and authorization. It can
be used with DIAMETER protocol only and if MAP was used it would have to be via Inter Working
Function (IWF).
S13 This interface enables UE identity check procedure between MME and EIR.
2008 Motorola, Inc.
LTE
LTE Reference Points Version 1 Rev 2
LTE Reference Points
eNB eNB
S-GW S-GW MME MME
HSS HSS P-GW P-GW
Operators IP
services
PCRF
ePDG
Untrusted Non
3GPP IP Access
Untrusted Non
3GPP IP Access
Trusted Non
3GPP IP Access
Trusted Non
3GPP IP Access
SGSN
3GPP AAA
Server
GERAN
UTRAN
S1u S1-MME
S6a
S5/S8
S3
S2b
SGi
SWn S2a
S2c
S2c
S11
S7
Rx
S6b
SWm
SWa
SWx
LTE-Uu
S4
S12
S10
eNB eNB
X2
EIR
S13
The reference points between the LTE CN and the IP services include:
SGi It is the reference point between the P-GW and the Packet Data Network (PDN). may be an
operator external public or private packet data network or an intra operator PDN, e.g. for provision
of IMS services. This reference point corresponds to Gi for 3GPP accesses.
S7 It provides transfer of QoS policy and charging rules from PCRF to Policy and Charging
Enforcement Point (PCEF) ) in the P-GW.
Rx The Rx reference point resides between the Application Function (AF) and the PCRF. This
reference point enables transport of application level session information from AF to PCRF. Such
information includes, but is not limited to:
IP lter information to identify the service data ow for policy control and/or differentiated
charging.
Media/application bandwidth requirements for QoS control.
3GPP TS 23.401 V8.2.0 (2008-06) GPRS enhancements for E-UTRAN access
2008 Motorola, Inc.
5-21
LTE
Version 1 Rev 2 Security in LTE
Security in LTE
The security functions include:
Guards against unauthorised EPS service usage (authentication of the UE by the network and
service request validation).
Provision of user identity condentiality (temporary identication and ciphering).
Provision of user data and signalling condentiality (ciphering).
Provision of origin authentication of signalling data (integrity protection).
Authentication of the network by the UE.
EPS Key Hierarchy
A security key hierarchy is used within LTE which is used to derive keys to be used for NAS, UP and
RRC trafc for both encryption and integrity protection.
K Key
The K key is permanently stored on the USIMs Universal Integrated Circuit Card (UICC) and in the
AuC. (usually part of HSS).
The CK and IK Keys
These pair of keys are derived from a AKA run (see in Appendix xx for AKA procedures).
K
ASME
During the authentication procedure the UE receives the authentication request message which contains
the KSI
ASME
. The KSI
ASME
is a number which is associated with the K
ASME
allowing the UE to identify the
K
ASME
. It also allows the UE to re-use the K
ASME
during subsequent connection set-ups. If the K
ASME
is
stored in the UE it will be deleted when the UE is powered down or the USIM removed.
K
eNB
This is a key derived by the UE and MME from the K
ASME
. It may also be derived from the KeNB* during
eNB handover.
Keys for NAS Trafc
K
NASint
This a key which is used for protection of NAS trafc with a particular integrity algorithm. This
key is derived by the UE and MME from K
ASME
.
K
NASenc
This a key which is used for encryption of NAS trafc with a particular encryption algorithm.
This key is derived by the UE and MME from K
ASME
.
Keys for UP Trafc
K
upenc
This key is only used for protection of UP trafc with a particular encryption algorithm. This key
is derived by the UE and eNB from the K
eNB
.
Keys for RRC Trafc
K
RRCint
This a key which is used for protection of RRC trafc with a particular integrity algorithm. This
key is derived by the UE and eNB from the K
eNB
.
K
RRCenc
This a key which is used for protection of RRC trafc with a particular encryption algorithm.
This key is derived by the UE and eNB from the K
eNB
.
The details of the security procedure can be found in Appendix A at the end of this course.
2008 Motorola, Inc.
LTE
Security in LTE Version 1 Rev 2
Security in LTE
K
USIM/AuC
CK, IK
UE/HSS
KASME
UE/ASME
KNAS enc KNAS int
UE/MME
KeNB
KeNB-UP-enc KeNB-RRC-int KeNB-RRC-enc
UE/eNB
2008 Motorola, Inc.
5-23
LTE
Version 1 Rev 2 Security in LTE
2008 Motorola, Inc.
LTE
Self-conguring and Self-optimizing Networks (SON) Version 1 Rev 2
Chapter 6
Self-conguring and Self-optimizing Networks (SON)
2008 Motorola, Inc.
6-1
LTE
Version 1 Rev 2 Self-conguring and Self-optimizing Networks (SON)
2008 Motorola, Inc.
LTE
Objectives
On completion of this chapter the student should be able to with relation to SON:
Describe coverage and capacity optimization.
Describe energy savings.
Describe interference reduction.
Describe automated conguration of physical cell id.
Describe mobility robustness.
Describe load balancing optimisation.
2008 Motorola, Inc.
6-3
LTE
Version 1 Rev 2 Coverage and Capacity Optimisation
Coverage and Capacity Optimisation
A typical operational task is to optimise the network according to coverage and capacity. Planning tools
support this task based on theoretical models but for both problems measurements must be derived in
the network. Call drop rates give a rst indication for areas with insufcient coverage, trafc counters
identify capacity problems.
Objectives:
Optimisation of network coverage.
Maximise the system capacity.
Expected results:
Continuous coverage.
Increased capacity of the system.
Interference reduction.
Controlled cell edge performance.
Savings on drive tests.
Minimised human intervention in network management and optimisation tasks.
Self-healing in case of equipment (e.g. eNB) failure by automatic reconguration of surrounding
eNBs.
Solution Description
At the time of writing the specications only state that input data in the form of measurements and
performance data will inuence the network entities and parameters to achieve the desired results.
2008 Motorola, Inc.
LTE
Coverage and Capacity Optimisation Version 1 Rev 2
Coverage and Capacity Optimisation
Continuous coverage
Increased capacity of the system
Interference reduction
Controlled cell edge performance
Savings on drive tests
Minimised human intervention in
network management and
optimisation tasks
Self-healing in case of equipment
(e.g. eNB) failure by automatic
reconfiguration
of surrounding eNBs.
2008 Motorola, Inc.
6-5
LTE
Version 1 Rev 2 Energy Savings and Interference Reduction
Energy Savings and Interference Reduction
This sections briey looks at the benets of switching off the eNB to save on energy and to reduce
interference.
Energy Savings
A typical critical cost for the operator is the energy expenses. Cuts on energy expenses could be realized
if the capacity offered by the network would match the needed trafc demand at any point of time as close
as possible.
Objective:
Energy savings based on e.g. cell switch on/off.
Expected results:
Cuts on operational expenses through energy savings.
Interference Reduction
Capacity could be improved through interference reduction by switching off those cells which are not
needed for trafc at some point of time, in particular home eNodeBs when the user is not at home.
Objective:
Interference reduction based on cell switch on/off.
Expected results:
Increased capacity through interference reduction.
Increased quality through interference reduction.
2008 Motorola, Inc.
LTE
Energy Savings and Interference Reduction Version 1 Rev 2
Energy Savings and Interference Reduction
Switch off eNB to save on power
and interference particularly on
indoor home cells.
2008 Motorola, Inc.
6-7
LTE
Version 1 Rev 2 Automated Conguration of Physical Cell Identity
Automated Conguration of Physical Cell Identity
The proposed SON use case provides an automated conguration of a newly introduced cells physical
ID (L1 cell identier
Objective:
Automatic conguration of the Physical ID of an eNBs radio cell.
The physical cell identity, or L1 identity, is an essential conguration parameter of a radio cell, it
corresponds to a unique combination of one orthogonal sequence and one pseudo-random sequence,
and 504 unique Phy_IDs are supported leading to unavoidable reuse of the Phy_ID in different cells.
When a new eNB is brought into the eld, a Phy_ID needs to be selected for each of its supported cells,
avoiding collision with respective neighbouring cells (the use of identical Phy_ID by two cells results in
interference conditions hindering the identication and use of any of them where otherwise both would
have coverage). Traditionally, the proper Phy_ID is derived from radio network planning and is part of
the initial conguration of the node. The Phy_ID assignment shall full following conditions:
It shall be collision-free: the Phy_ID is unique in the area that the cell covers.
It shall be confusion-free: a cell shall not have neighbouring cells with identical Phy_ID.
Self-conguration case applied during initial cell conguration.
2008 Motorola, Inc.
LTE
Automated Conguration of Physical Cell Identity Version 1 Rev 2
Automated Conguration of Physical Cell Identity
Phy_cell_id = 1
Phy_cell_id = 2
Phy_cell_id = 3
Phy_cell_id = 4
Phy_cell_id = x
Cell A
Cell B
Cell D
Cell C
New Cell
Unique Physical Cell ID
for any new cell
2008 Motorola, Inc.
6-9
LTE
Version 1 Rev 2 Mobility Robustness Optimisation
Mobility Robustness Optimisation
Manual setting of HO parameters in current 2G/3G systems is a time consuming task. In many cases, it
is considered too costly to update the mobility parameters after the initial deployment.
For some cases, RRM in one eNB can detect problems and adjust the mobility parameters, but there
are also examples where RRM in one eNB cannot resolve problems:
Identifying and avoid using non-suitable neighbours.
The eNB for the source cell cannot always detect when a handover was performed to a non-suitable
cell. One example of this is radio link failures occurring shortly after the UE has connected to the
target cell.
Identifying problematic settings of cell selection/reselection parameters.
Minimise handovers immediately after initial RRC connection establishment.
If the idle and active mode mobility parameters are not well aligned, this may result in a large number
of handover shortly after the UE has transited from idle to active mode. For the scenarios where
this behaviour is not intended, or where the number of handover exceeds an acceptable level it
would be benecial to be able to detect and control this behaviour.
2008 Motorola, Inc.
LTE
Mobility Robustness Optimisation Version 1 Rev 2
Mobility Robustness Optimisation
Phy_cell_id = 1
Phy_cell_id = 2
Phy_cell_id = 3
Phy_cell_id = 4
Cell A
Cell B
Cell D
Cell C
Cell E
Phy_cell_id = 5
Neighbour cell configuration
Handover failure detection
Cell selections/reselection parameter problem resolution
Handover parameter problem resolution
2008 Motorola, Inc.
6-11
LTE
Version 1 Rev 2 Mobility Load Balancing Optimisation
Mobility Load Balancing Optimisation
Optimisation of cell reselection/handover parameters to cope with the unequal trafc load and minimize
the number of handovers and redirections needed to achieve the load balancing.
Self-optimisation of the intra-LTE and inter-RAT mobility parameters to the current load in the cell
and in the adjacent cells can improve the system capacity compared to static/non-optimised cell
reselection/handover parameters and can minimise human intervention in the network management
and optimisation tasks.
The load balancing shall not affect the user QoS negatively in addition to what a user would experience
at normal mobility without load-balancing. Service capabilities of RATs must be taken into account, and
solutions should take into account network deployments with overlay of high-capacity and low-capacity
layers where high-capacity layer can have spotty coverage.
General features of the solution are as follows:
Functionality: an algorithm decides to distribute the UEs camping and/or delay or advance handing
of the UEs over between cells and thus to balance the trafc load between cells.
Actions:
An eNB monitors the load in the controlled cell and exchanges related information over X2 with
node(s) residing the algorithm for load balancing.
An algorithm identies the need to distribute the load of the cell towards adjacent cells, e.g. by
comparing the load among the cells, the type of ongoing services, the cell conguration, etc.
The handover margins and/or cell reselection parameters between the cell controlled by the
eNB and one or more neighbouring cells are modied in a coordinated manner in both cells to
avoid any problems with for example ping-pong.
Expected results:
According to the cell reselection and handover mechanisms, part of the UEs at the cell border
reselect or hand over to the less congested cell.
In the new situation the cell load is balanced.
Increased capacity of the system.
Minimised human intervention in network management and optimisation tasks.
2008 Motorola, Inc.
LTE
Mobility Load Balancing Optimisation Version 1 Rev 2
Mobility Load Balancing Optimisation
X2
X2
X2
Lightly loaded
eNB
Normal Loaded eNB Heavily loaded eNB
Move traffic by cell
reselection or
handovers to lightly
loaded eNB
2008 Motorola, Inc.
6-13
LTE
Version 1 Rev 2 Mobility Load Balancing Optimisation
2008 Motorola, Inc.
LTE
Appendix A Version 1 Rev 2
Chapter 7
Appendix A
2008 Motorola, Inc.
7-1
LTE
Version 1 Rev 2 Appendix A
2008 Motorola, Inc.
LTE
The Security Architecture Detail Version 1 Rev 2
The Security Architecture Detail
The Security Architecture
Five security feature groups are dened. Each of these feature groups meets certain threats,
accomplishes certain security objectives:
Network access security (I): the set of security features that provide users with secure access to 3G
services, and which in particular protect against attacks on the (radio) access link.
Network domain security (II): the set of security features that enable nodes in the provider domain to
securely exchange signalling data, and protect against attacks on the wireline network.
User domain security (III): the set of security features that secure access to mobile stations.
Application domain security (IV): the set of security features that enable applications in the user and in
the provider domain to securely exchange messages.
Visibility and congurability of security (V): the set of features that enables the user to inform himself
whether a security feature is in operation or not and whether the use and provision of services should
depend on the security feature.
2008 Motorola, Inc.
7-3
LTE
Version 1 Rev 2 The Security Architecture Detail
Application
Stratum
Transport
Stratum
Home
Stratum/
Serving
Stratum
AN
(IV)
(I)
(III) (V)
(I) (I)
(I)
(II)
(I)
MT
TE USIM
User Application Provider Application
SN
HE
2008 Motorola, Inc.
LTE
Security and Privacy
User authentication:
The property that the Serving Network (SN) corroborates the identity of the user;
Network authentication:
The property that the user corroborates that he is connected to a serving network that is authorised by
the users HE to provide him services; this includes the guarantee that this authorisation is recent.
Condentiality
Cipher algorithm agreement: the property that the UE and the SN can securely negotiate the algorithm
that they shall use subsequently;
Cipher key agreement: the property that the UE and the SN agree on a cipher key that they may use
subsequently;
Condentiality of user data: the property that user data cannot be overheard on the radio access
interface;
Condentiality of signalling data: the property that signalling data cannot be overheard on the radio
access interface.
Data integrity
Integrity algorithm agreement: the property that the UE and the SN can securely negotiate the integrity
algorithm that they shall use subsequently;
Integrity key agreement: the property that the UE and the SN agree on an integrity key that they may
use subsequently;
Data integrity and origin authentication of signalling data: the property that the receiving entity (UE
or SN) is able to verify that signalling data has not been modied in an unauthorised way since it was
sent by the sending entity (SN or UE) and that the data origin of the signalling data received is indeed
the one claimed.
Mobile equipment identication
In certain cases, SN may request the UE to send it the mobile equipment identity of the terminal. The
mobile equipment identity shall only be sent after authentication of SN with exception of emergency
calls. The IMEI should be securely stored in the terminal. However, the presentation of this identity to
the network is not a security feature and the transmission of the IMEI is not protected. Although it is not
a security feature, it should not be deleted from LTE however, as it is useful for other purposes.
2008 Motorola, Inc.
7-5
LTE
User Authentication
Network Authentication
Confidentiality
Data integrity
Mobile equipment identification
2008 Motorola, Inc.
LTE
Authentication and Key Agreement
Authentication and Key Agreement (AKA) achieves mutual authentication by the user and the
network showing knowledge of a secret key K which is shared between and available only to the
USIM and the AuC in the users HE. In addition the USIM and the HE keep track of counters SEQ
MS
and SEQ
HE
respectively to support network authentication. The method was chosen in such a way
as to achieve maximum compatibility with the current GSM/UMTS security architecture and facilitate
migration from GSM to UMTS to LTE. The method is composed of a challenge/response protocol
identical to the GSM/UMTS subscriber authentication and key establishment protocol combined with a
sequence number-based one-pass protocol for network authentication derived from the ISO standard
ISO/IEC 9798-4
Distribution of authentication data from HE to SN
Upon receipt of a request from the MME, the HE/AuC sends an ordered array of n authentication vectors
(the equivalent of a GSM "triplet") to the MME. Each authentication vector consists of the following
components: a random number RAND, an expected response XRES, a cipher key CK, an integrity key
IK and an authentication token AUTN. Each authentication vector is good for one authentication and key
agreement between the MME and the USIM.
Authentication and Key Agreement
When the MME initiates an authentication and key agreement, it selects the next authentication vector
from the array and sends the parameters RAND and AUTN to the user. The USIM checks whether AUTN
can be accepted and, if so, produces a response RES which is sent back to the MME. The USIM also
computes CK and IK.
The MME compares the received RES with XRES. If they match the MME considers the authentication
and key agreement exchange to be successfully completed. The established keys CK and IK will then
be transferred by the USIM and the MME to the entities which perform ciphering and integrity functions.
2008 Motorola, Inc.
7-7
LTE
UE MME HE/HSS
Authentication request
Authentication data response
AV (1 . . . n)
Store authentication vectors
Select authentication vectors
User authentication request
RAND(i) || AUTN(i)
Verify AUTN(i)
compute
User authentication
RES(i)
Compare RES(i) and XRES(i)
Compute CK(i) and IK(i) Select CK(i) and IK(i)
Distribution
authentication vectors
from HE to SN
Authentication Key
Generate
vectors AV (1 . . . n)
2008 Motorola, Inc.
LTE
Ciphering Algorithms
The ciphering algorithms used in LTE are shown on the slide opposite. As can be seen a lot of different
algorithms are active in the LTE system. Algorithms f1 to f5 are of the type that are used to compute
numbers for use in authentication procedures.
Two very important algorithms, f8 and f9 are also shown, they have the following functions.
F8
This algorithm will perform the ciphering function. The ciphering function is performed either in the RLC
sub-layer or in the MAC sub-layer according to the following rules:
If a radio bearer is using a non-transparent RLC mode (AM or UM), ciphering is performed in the
RLC sub-layer.
If a radio bearer is using the transparent RLC mode, ciphering is performed in the MAC sub-layer.
Ciphering when applied is performed in the eNB and the UE and the context needed for ciphering (CK,
Count-C, etc.) is only known in eNB and the UE.
F9
Most of the control signalling information elements that are sent between the UE and the network are
considered sensitive and must be integrity protected. Therefore a message authentication function
has been developed to solve this problem. The UE will still go through the initial RRC connection
establishment sequence and perform the set-up security functions. After this however some signalling
messages will be encoded using the f9 algorithm. This will be the case for all RRC, MM, CC, GMM and
SM Messages. The MM procedure in the UE will be the process responsible for starting the integrity
protection procedure.
AK Anonymity Key
AKA Authentication and key agreement
AUTN Authentication Token
MAC The message authentication code included in AUTN, computed using f1
XRES Expected Response
2008 Motorola, Inc.
7-9
LTE
F1 - Message authentication function used to compute MAC
F3 - Key generating function used to compute CK
F2 - Message authentication function used to compute RES and XRES
F1* - Message authentication function used to compute MAC-S
F5* - Key generating function used to compute AK in re-synchronisation procedures
F5 - Key generating function used to compute AK in normal procedures
F4 - Key generating function used to compute IK
K-Long-term secret key shared between the USIM and the AuC
F9 - Signalling elements between the UE and eNB
F8 - Data transfer between the UE and eNB

2008 Motorola, Inc.
LTE
Generation of Authentication Vectors/Tokens
Upon the receipt of the authentication data request from the MME, the HE may have pre-computed the
required number of authentication vectors and retrieve them from the HSS database or may compute
them on demand. The HE/AuC sends an authentication response back to the MME that contains an
ordered array of n authentication vectors AV(1..n). The diagram opposite shows the generation of an
authentication vector AV by the HE/AuC.
SQN and RAND
The HE/AuC starts with generating a fresh sequence number SQN and an unpredictable challenge
RAND. SQNs are unique to each user (the HE/AuC keeps a counter: SQN
He
for each user) and are
generated in batches, with a "time stamp" derived froma clock giving universal time. RAND is a randomly
generated number.
Authentication Key Management Field
An authentication and key management eld AMF is used as a third input variable to the algorithms
and is also included in the authentication token of each authentication vector. AMF may be used by
the operator to "switch" functions in the USIM (e.g to indicate the algorithm and key used to generate a
particular authentication vector, or set the number of entries in a Sequence list (the list size)
Algorithms f1 -f5
Subsequently the following values are computed using the various algorithms (f1 - f5):
A message authentication code MAC = f1
K
(SQN || RAND || AMF) where f1 is a message authentication
function.
An expected response XRES = f2
K
(RAND) where f2 is a (possibly truncated) message authentication
function.
A cipher key CK = f3
K
(RAND) where f3 is a key generating function.
An integrity key IK = f4
K
An anonymity key AK = f5
K
AUTN and AV
Finally the authentication token (AUTN = SQN AK || AMF || MAC) and the authentication Vector
(AV:=RAND||XRES||CK||IK||MAC) are constructed from the products of the algorithms.
Here, AK is an anonymity key used to conceal the sequence number as the latter may expose the identity
and location of the user. The concealment of the sequence number is to protect against passive attacks
only. If no concealment is needed then f5 0 (AK = 0).
2008 Motorola, Inc.
7-11
LTE
Generate SQN
Generate RAND
f1
AMF
SQN
RAND
K
AUTN := SQN AK || AMF || MAC
AV := RAND || XRES || CK || IK || AUTN
MAC XRES CK IK AK
f2 f3 f4 f5
2008 Motorola, Inc.
LTE
USIM Authentication Function
The MME invokes the procedure by selecting the next unused authentication vector from the ordered
array of authentication vectors in the MME database. The MME sends to the USIMthe randomchallenge
RAND and an Authentication Token AUTN for network authentication from the selected authentication
vector.
Upon receipt the user proceeds as shown in the diagram opposite.
Retrieval of SQN
Upon receipt of RAND and AUTN the USIM rst computes the anonymity key AK = f5
K
(RAND) and
retrieves the sequence number SQN = (SQN AK) AK.
Computation of X-MAC
Next the USIM computes XMAC = f1
K
(SQN || RAND || AMF) and compares this with MAC which is
included in AUTN. If they are different, the user sends user authentication reject back to the MME
with an indication of the cause and the user abandons the procedure. In this case, MME shall initiate
an Authentication Failure Report procedure towards the HSS. MME may also decide to initiate a new
identication and authentication procedure towards the user.
Verication of SQN
Next the USIM veries that the received sequence number SQN is in the correct range.
If the USIM considers the sequence number to be not in the correct range, it sends synchronisation
failure back to the MME including an appropriate parameter, and abandons the procedure.
If the sequence number is considered to be in the correct range however, the USIM computes RES = f2
K
(RAND) and includes this parameter in a user authentication response back to the MME.
Computation of CK and IK
Finally the USIM computes the cipher key CK = f3
K
(RAND) and the integrity key IK = f4
K
(RAND). USIM
shall store original CK, IK until the next successful execution of AKA.
User Authentication Response
Upon receipt of user authentication response the MME compares RES with the expected response XRES
from the selected authentication vector. If XRES equals RES then the authentication of the user has
passed. The MME also selects the appropriate cipher key CK and integrity key IK from the selected
authentication vector.
If XRES and RES are different, MME shall initiate an Authentication Failure Report. The MME may also
decide to initiate a new identication and authentication procedure towards the user.
2008 Motorola, Inc.
7-13
LTE
f1
SQN AK
RAND
K
Verify MAC = XMAC
Verify that SQN is in the correct range
XMAC RES CK IK
AK
f2 f3 f4
f5
AUTN
SQN
AMF MAC
(USIM)
2008 Motorola, Inc.
LTE
Access Link Data Integrity
Most control signalling information elements that are sent between the UE and the network are
considered sensitive and must be integrity protected. A message authentication function shall be
applied on these signalling information elements transmitted between the UE and the eNB.
Data integrity protection method
The diagram opposite illustrates the use of the integrity algorithm f9 to authenticate the data integrity of a
signalling message. Based on the input parameters the user computes message authentication code for
data integrity MAC-I using the integrity algorithm f9. The MAC-I is then appended to the message when
sent over the radio access link. The receiver computes XMAC-I on the message received in the same
way as the sender computed MAC-I on the message sent and veries the data integrity of the message
by comparing it to the received MAC-I.
Input parameters to the integrity algorithm
COUNT-I
The integrity sequence number COUNT-I is 32 bits long. There is one COUNT-I value per logical
signalling channel. COUNT-I is derived from a count of the number of RRC SDUs send/received.
IK
The integrity key IK is 128 bits long. There is one IK for NAS connections (K
NASint
) and one IK for RRC
connections (K
RRCint
). IK is established during LTE AKA as the output of the integrity key derivation
function f4.
FRESH
The network-side generated FRESH message is 32 bits long. There is one FRESH parameter value per
user. The input parameter FRESH protects the network against replay of signalling messages by the
user. At connection set-up the eNB generates a random value FRESH and sends it to the user in the
(RRC) security mode command. The value FRESH is subsequently used by both the network and the
user throughout the duration of a single connection.
DIRECTION
The direction identier DIRECTION is 1 bit long. The direction identier is input to avoid the use of
identical set of input parameter values up-link and down-link messages. The value of the DIRECTION
is 0 for messages from UE to eNB and 1 for messages from eNB to UE.
MESSAGE
The signalling message itself with the radio bearer identity. The latter is appended in front of the
message. Note that the radio bearer identity is not transmitted with the message but it is needed to
avoid the circumstance where for different instances of message authentication codes the same set
of input parameters is used.
2008 Motorola, Inc.
7-15
LTE
COUNT-I
MESSAGE
DIRECTION
FRESH
f9
MAC-I
Sender
UE or eNB
COUNT-I
MESSAGE
DIRECTION
FRESH
f9
XMAC-I
Receiver
RNC or eNB
IK IK
2008 Motorola, Inc.
LTE
Ciphering of User/Signalling Data
User data and some signalling information elements are considered sensitive and must be condentiality
protected. To ensure identity condentiality the temporary user identity S-TMSI must be transferred in a
protected mode at allocation time and at other times when the signalling procedures permit it.
These needs for a protected mode of transmission are fullled by a condentiality function which is
applied on dedicated channels between the UE and the eNB.
The diagram opposite illustrates the use of the ciphering algorithm f8 to encrypt plaintext by applying a
keystream using a bit per bit binary addition of the plaintext and the ciphertext. The plaintext may be
recovered by generating the same keystream using the same input parameters and applying a bit per
bit binary addition with the ciphertext.
Input parameters to the cipher algorithm
COUNT-C
The integrity sequence number COUNT-C is 32 bits long. There is one COUNT-C value per logical
signalling channel. COUNT-C is derived from a count of the number of RLC/MAC SDUs send/received.
CK
The Cipher key CK is 128 bits long. There may be one CK for NAS connections (K
NASenc
)), one CK for
RRC connections (K
RRCenc
) and one for UP connections (K
UPenc
). CK is established during LTE AKA as
the output of the integrity key derivation function f3.
BEARER
The radio bearer identier BEARER is 5 bits long.
There is one BEARER parameter per radio bearer associated with the same user and multiplexed on
a single 10ms physical layer frame. The radio bearer identier is input to avoid the condition where for
different keystream an identical set of input parameter values is used.
DIRECTION
The direction identier DIRECTION is 1 bit long. The direction identier is input to avoid the use of
identical set of input parameter values up-link and down-link messages. The value of the DIRECTION
is 0 for messages from UE to eNB and 1 for messages from eNB to UE.
LENGTH
The length indicator LENGTH is 16 bits long. The length indicator determines the length of the required
keystream block. LENGTH shall affect only the length of the KEYSTREAM BLOCK, not the actual bits
in it.
2008 Motorola, Inc.
7-17
LTE
Sender
UE or eNB
Receiver
RNC or eNB
COUNT-C
BEARER
DIRECTION
LENGTH
f8 CK
COUNT-C
BEARER
DIRECTION
LENGTH
f8 CK
KEYSTREAM
BLOCK
PLAINTEXT
BLOCK
KEYSTREAM
BLOCK
CYPHERTEXT
BLOCK
2008 Motorola, Inc.
LTE
Appendix B - E-UTRAN and EPC Protocols Version 1 Rev 2
Chapter 8
Appendix B - E-UTRAN and EPC Protocols
2008 Motorola, Inc.
8-1
LTE
Version 1 Rev 2 Appendix B - E-UTRAN and EPC Protocols
2008 Motorola, Inc.
LTE
Objectives
Describe the LTE-Uu user plane.
Describe the LTE-Uu control plane.
Describe the S1U user plane.
Describe the S1MME control plane.
Describe the X2 user plane.
Describe the X2 control plane.
Describe the S5 control plane.
Describe the S5 user plane.
Describe the control plane UE MME protocol stack ow.
Describe the control plane UE P-GW protocol stack ow.
2008 Motorola, Inc.
8-3
LTE
Version 1 Rev 2 E-UTRAN and EPC Protocols Overview
E-UTRAN and EPC Protocols Overview
One of the stated aims of LTE was to reduce the complexity of the relationship between the UE and the
E-UTRAN, an other was to reduce the amount of air interface signalling. This allows for a reduction in
the complexity of the access network as a whole.
In this chapter we are going to be looking at how the E-UTRAN and EPC protocols have been
implemented and what if any differences there are between 3G protocols and LTE protocols.
The slide opposite illustrates the protocols we shall be describing.
2008 Motorola, Inc.
LTE
E-UTRAN and EPC Protocols Overview Version 1 Rev 2
E-UTRAN and EPC Protocols Overview
MME
S-GW
P-GW
LTE-Uu User Plane LTE-Uu User Plane
LTE-Uu
LTE-Uu
S1-U (User Plane) S1-U (User Plane)
S1-MME (Control Plane) S1-MME (Control Plane)
eNB
eNB UE
UE
X2 CP (Control Plane)
X2 UP (User Plane)
X2 CP (Control Plane)
X2 UP (User Plane)
LTE-Uu Control Plane
Non Access Stratum (NAS)
LTE-Uu Control Plane
Non Access Stratum (NAS)
Access Stratum (AS) Access Stratum (AS) Access Stratum (AS)
S5 CP
S5 UP
S5 CP
S5 UP
2008 Motorola, Inc.
8-5
LTE
Version 1 Rev 2 LTE-Uu User Plane (UP)
LTE-Uu User Plane (UP)
The LTE-Uu is the protocol that exists between the UE and the eNB for UP data. It is actually identical
to the Uu-UP protocol stack for the 3G UMTS system however the greatest difference lies in that all the
protocols exist in the eNB not between the two entities NodeB and RNC. This is reduction in complexity,
signalling and latency which was one of the stated aims of LTE.
LTE-Uu (UP) Protocol Description
The four protocols are described below and shown on the slide opposite.
Physical Layer
The physical layer is discussed in greater detail in subsequent chapters on this course. In this section
we briey mention its functionality and leave the detail for later.
It bears some similarities with other wireless systems in that is provides Forward Error Correction (FEC)
encoding and decoding, Cyclic Redundancy Checking (CRC) measurement reporting to higher layers
and physical channels etc. But it will also provide support for Orthogonal Frequency-Division Multiple
Access (OFDMA) in the DL and Single-Carrier Frequency-Division Multiple Access (SC-FDMA) in
the UL. These help LTE achieve its goals of reduced latency, higher user bit rates, improved system
capacity, coverage and reduced cost for the operator. SC-FDMA is chosen in the UL for its efciency,
hence improving battery life.
The modulation schemes chosen are Quadrature Phase Shift Keying (QPSK), 16 bit Quadrature
Amplitude Modulation (16QAM) and 64 bit Quadrature Amplitude Modulation (64QAM). Adaptive
modulation allows movement between these schemes and the use of Multiple In Multiple Out (MIMO)
antennas increases the user data rates.
Medium Access Control (MAC) Sublayer
The MAC sublayer maps the logical and transport channels and multiplexes/demultiplexes RLC Packet
Data Units (PDU)s belonging to one or different Radio Bearers (RB)s into/from Transport Blocks (TB)s
to and from the physical layer on transport channels.
The user data throughput is control by selecting the Transport Format (TF) and measurements of the
actual trafc volume are made for load control purposes so TFs can be changed depending on load
conditions.
QoS can be enforced in this layer by priority handling logical channels and scheduling UEs.
Radio Link Control (RLC) Sublayer
The RLC sublayer supports three modes of working acknowledged, unacknowledged and transparent.
It performs segmentation depending on the size of the TB and ensures in-sequence delivery of upper
layer PDUs except during handovers. Where required if performs error correction through ARQ and SDU
discards and protocol error detection and recovery.
Packet Data Control Protocol (PDCP) User Plane
The PDCP sublayer is used in the user and control planes and the functionality differs slightly. On this
section we are discussing the UP PDCP.
The PDCP sublayer performs header compression and decompression using Robust Header
Compression (ROHC). In streaming applications, the overhead of IP, Usergram Data Protocol
(UDP), and Realtime Transfer Protocol (RTP) is 40 bytes for IPv4, or 60 bytes for IPv6. For VoIP this
corresponds to around 60% of the total amount of data sent. Such large overheads may be tolerable in
wired links where capacity is often not an issue, but are excessive for wireless systems where bandwidth
is scarce. It also provides transfer of user data and delivery of upper layer PDUs at handover for RLC
AM. Duplicate detection of lower layer SDUs at handover for RLC AM and retransmission of PDCP
SDUs at handover for RLC AM. It is also responsible for ciphering and timer based SDU discards.
2008 Motorola, Inc.
LTE
LTE-Uu User Plane (UP) Version 1 Rev 2
LTE-Uu User Plane (UP)
UE
eNB
PHY PHY
MAC MAC
RLC RLC
PDCP
PDCP
OFDMA DL
SC-FDMA UL
MIMO
Multiple
Modulation
Schemes
Logical and Transport
Channel Mapping
Transport formats
Traffic Volume
measurements
Priority handling
Acknowledged
Unacknowledged
Transparent
Modes
Segmentation
In-sequence
delivery of PDUs
Error correction
Header compression
/decompression
Transfer of user data
RLC AM (handover)
Delivery of upper layer
PDUs
Duplicate detection
Retransmissions
Ciphering
Timer based SDU
discards
Priority handling
Physical Channels
Transport CH
Logical CH Logical CH
Transport CH
2008 Motorola, Inc.
8-7
LTE
Version 1 Rev 2 LTE-Uu Control Plane (CP)
LTE-Uu Control Plane (CP)
The LTE-Uu CP lower layers are identical to the LTE-Uu UP and need no further description. However
there is a difference in how the PDCP operates, so the PDCP layer description is repeated in this section.
LTE-Uu (CP) Protocol Description
The two protocols are described below.
Packet Data Control Protocol (PDCP) Control Plane
The main services and functions of the PDCP sublayer for the control plane data includes ciphering and
integrity protection and transfer of control plane data from the RRC layer. Therefore the PDCP receives
PDCP SDUs from RRC and forwards it to the RLC layer and vice versa.
Radio Resource Control (RRC) Sublayer
The RRC sublayer deals with the radio aspects and as such is one of the more important topics for this
course. It must be understood that all topics are important but this sublayer is responsible for most of the
key features to allow us to describe the operation of the LTE air interface control. The RRC is responsible
for:
Broadcast of system information messages for the AS and NAS.
Broadcast of paging messages.
RRC connections (establishment and release).
RB connections (establishment and release).
Mobility function (handovers and idle mode selections/reselections).
Security functions (key management).
QoS management;
MBMS bearer establishment.
UE measurements.
NAS direct transfer.
Transport of NAS Messages
In the E-UTRAN, NAS messages are either concatenated with RRC messages or carried in the RRC
without concatenation. There are no initial direct transfer messages unlike WCDMA 3G so there are no
NAS messages concatenated with the RRC connection request.
NAS messages are integrity protected and ciphered by PDCP, in addition to the integrity protection and
ciphering performed by NAS.
2008 Motorola, Inc.
LTE
LTE-Uu Control Plane (CP) Version 1 Rev 2
LTE-Uu Control Plane (CP)
UE
eNB
PHY
MAC
RLC
PDCP
Physical Channels
Transport CH
Logical CH
RRC
NAS
PHY
MAC
RLC
PDCP
Transport CH
Logical CH
RRC
NAS
MME
ciphering and
integrity
protection
transfer of
control plane
data from the
RRC layer
System
information
Paging
RRC connections
RB connections
Mobility function
Security functions
QoS management
MBMS
UE measurements
NAS direct transfer
2008 Motorola, Inc.
8-9
LTE
Version 1 Rev 2 S1U (User Plane)
S1U (User Plane)
The S1 user plane interface (S1-U) is dened between the eNB and the S-GW. The S1-U interface
provides non guaranteed delivery of user plane PDUs between the eNB and the S-GW. The user plane
protocol stack on the S1 interface is shown on the slide opposite. The transport network layer is built on
IP transport and GPRS Tunnelling Protocol User (GTP-U) is used on top of UDP/IP to carry the user
plane PDUs between the eNB and the S-GW.
S1U (UP) Protocol Description
The ve protocols are described below.
Physical and Data Link Layers
The 3GPP specications for the S1 Layer 1 (L1) are very open and only specify some general functions.
These are listed below:
Interface to physical medium;
Frame delineation;
Line clock extraction capability;
L1 alarms extraction and generation;
Transmission quality control.
The support of any suitable physical L1 technique will not be prevented so it could be copper (E1), optical
(STM-1) or wireless for the physical medium and Point-to-Point Protocol (PPP), Multi-Link PPP (ML
PPP), Ethernet (for example) could be used for the data link layer. But this is not restricted to these and
any available technique could be used by vendors.
Internet Protocol (IP)
The IP provides a connectionless service between networks. It denes the rules and details for data
communication. It is used along with the UDP to provide guaranteed data transfer.
The eNB and MME/S-GW shall support IP version 4 (IPv4) and/or IP version 6 (IPv6).
The eNB and MME/S-GW both support the Differential Service Code Point (DSCP) QoS technique.
Usergram Data Protocol (UDP)
UDP does not guarantee reliability or ordering. Datagrams may arrive out of order, appear duplicated,
or go missing without notice. Avoiding the overhead of checking whether every packet actually arrived
makes UDP faster and more efcient for applications that do not need guaranteed delivery.
There may be one or several IP addresses in the eNB and in the EPC. The packet processing function
in the EPC shall send downstream packets of a given SAE bearer to the eNB IP address (received in
S1-AP) associated to that particular SAE bearer. The packet processing function in the eNB shall send
upstream packets of a given SAE bearer to the EPC IP address (received in S1-AP) associated to that
particular SAE bearer.
GPRS Tunnelling Protocol User (GTP-U)
GPRS Tunnelling Protocol is the dening IP protocol of the GPRS core network. Primarily it is the protocol
which allows end users of a GSM, WCDMA or LTE network to move from place to place whilst continuing
to connect to the internet as if from one location for example in WCDMA or GSM to the GGSN. It does
this by carrying the subscribers data from the subscribers current SGSN to the GGSN which is handling
the subscribers session.
GTP-U: is used for transfer of user data in separated tunnels for each Packet Data Protocol (PDP)
context.
There is a new protocol eGTP to support LTE and is found in the specication.
3GPP TS 29.274 V1.0.0 (2008-05) Evolved GPRS Tunnelling Protocol for EPS (GTPv2);
2008 Motorola, Inc.
LTE
S1U (User Plane) Version 1 Rev 2
S1U (User Plane)
S-GW
eNB
PHY PHY
User Plane PDUs User Plane PDUs User Plane PDUs User Plane PDUs
For example
E1/T1
STM-1
Wireless
Data Link Layer Data Link Layer For example
Ethernet
PPP
MLPPP
Data Link Layer Data Link Layer For example
Ethernet
PPP
MLPPP
IP IP
IPv4 and IPv6
Supported
DSCP
Supported
IP IP
IPv4 and IPv6
Supported
DSCP
Supported
UDP UDP
Not guarantee
reliability or ordering
faster and more
efficient
UDP UDP
Not guarantee
reliability or ordering
faster and more
efficient
GTP-U GTP-U
Mobility
PDP context
GTP-U GTP-U
Mobility
PDP context
2008 Motorola, Inc.
8-11
LTE
Version 1 Rev 2 S1MME (Control Plane)
S1MME (Control Plane)
The S1 control plane interface (S1-MME) is dened between the eNB and the MME. The control plane
protocol stack of the S1 interface is shown on the slide opposite. The transport network layer is built
on IP transport, similarly to the user plane but for the reliable transport of signalling messages Stream
Control Transmission Protocol (SCTP) is added on top of IP. The application layer signalling protocol
is referred to as S1 Application Protocol (S1AP).
S1MME (CP) Protocol Description
The two protocols are described below.
Stream Control Transmission Protocol (SCTP)
The SCTP is mainly used for reliably transmitting datagrams through an unreliable network.
The SCTP layer provides the guaranteed delivery of application layer messages.
Asingle SCTPassociation per S1-MMEinterface instance shall be used with one pair of streamidentiers
for S1-MME common procedures. Only a few pairs of stream identiers should be used for S1-MME
dedicated procedures.
MME communication context identiers that are assigned by the MME for S1-MME dedicated
procedures and eNB communication context identiers that are assigned by the eNB for S1-MME
dedicated procedures shall be used to distinguish UE specic S1-MME signalling transport bearers.
The communication context identiers are conveyed in the respective S1-AP messages.
S1 Interface Functions
The following list of S1 functions are current to the status in the 3GPP specication listed at the end of
this page:
Evolved Packet System (EPS) Bearer Service Management function:
Setup, Modify, release
Mobility Functions for UEs in EPS Connection Management (ECM)-CONNECTED:
Intra-LTE handover;
Inter-3GPP-Radio Access Technology (RAT) handover.
S1 Paging function:
NAS signalling transport function;
S1-interface management functions:
Error indication;
Reset.
Network sharing function;
Roaming and area restriction support function;
NAS node selection function;
Initial context setup function;
UE context modication function.
2008 Motorola, Inc.
LTE
S1MME (Control Plane) Version 1 Rev 2
S1MME (Control Plane)
MME
eNB
PHY PHY
S1-AP
Data Link Layer Data Link Layer
IP IP
SCTP SCTP
Guaranteed
delivery of
application layer
messages
MME
communication
context
identifiers
S1-AP
EPS Bearer service
Mobility functions
S1 Paging functions
NAS signalling
transport function
Network sharing
Roam and area
restriction support
NAS node selection
Initial context setup
UE context
modification
2008 Motorola, Inc.
8-13
LTE
Version 1 Rev 2 X2 User Plane (X2UP)
X2 User Plane (X2UP)
The X2 user plane interface (X2-U) is dened between eNBs. The X2-U interface provides non
guaranteed delivery of user plane PDUs. The user plane protocol stack on the X2 interface is shown
in the slide opposite. The transport network layer is built on IP transport and GTP-U is used on top of
UDP/IP to carry the user plane PDUs.
As this an identical protocol stack to the S1U then the descriptions of each sublayer are not repeated.
2008 Motorola, Inc.
LTE
X2 User Plane (X2UP) Version 1 Rev 2
X2 User Plane (X2UP)
eNB
PHY PHY
IP IP
UDP UDP
GTP-U GTP-U
eNB
2008 Motorola, Inc.
8-15
LTE
Version 1 Rev 2 X2 Control Plane (X2CP)
X2 Control Plane (X2CP)
The X2 control plane interface (X2-CP) is dened between two neighbour eNBs. The control plane
protocol stack of the X2 interface is shown on the slide opposite. The transport network layer is built on
SCTP on top of IP. The application layer signalling protocol is referred to as X2-AP.
A single SCTP association per X2-CP interface instance shall be used with one pair of stream identiers
for X2-CPcommon procedures. Only a fewpairs of streamidentiers should be used for X2-CPdedicated
procedures.
Source-eNB communication context identiers that are assigned by the source-eNB for X2-CP dedicated
procedures, and target-eNB communication context identiers that are assigned by the target-eNB for
X2-CP dedicated procedures, shall be used to distinguish UE specic X2-CP signalling transport bearers.
The communication context identiers are conveyed in the respective X2AP messages.
X2CP Functions
The X2AP protocol supports the following functions:
Handover Preparation Used by source eNB to request a handover to the target eNB
Handover Cancellation Used by the source eNB to cancel a previously requested handover in
a target eNB
Release Resource Used by the target eNB to signal to source eNB that control plane resources
for the handed over UE context can be released.
Error Indication Used by the eNB to report errors in a received message provided they cannot
be reported by an appropriate response message.
Load Management Used by the eNB to report its load conditions to its neighbour eNBs.
2008 Motorola, Inc.
LTE
X2 Control Plane (X2CP) Version 1 Rev 2
X2 Control Plane (X2CP)
eNB
PHY PHY
X2-AP
IP IP
SCTP SCTP
X2-AP
Handover preparation
Handover cancellation
Release resource
Error indication
Load management
eNB
2008 Motorola, Inc.
8-17
LTE
Version 1 Rev 2 S5 Protocol Stack GTP Version
S5 Protocol Stack GTP Version
The S5 control plane interface (S5CP) is dened between the S-GW and the P-GW. The control plane
protocol stack of the S5 interface is shown on the slide opposite. The transport network layer is built on
UDP on top of IP.
The S5 interface provides user plane tunneling and tunnel management between S-GW and P-GW. It is
used for S-GW relocation due to UE mobility and if the S-GW needs to connect to a non-collocated P-GW
for the required PDN connectivity. Two variants of this interface are being standardized depending on
the protocol used, namely, GTP and the Internet Engineering Task Force (IETF) based Proxy Mobile
IP (PMIP) solution.
S5 Control Plane (S5CP)
The protocol stack lower layers (physical, data link layer, IP and UDP) have been described before,
hence are not repeated here. As previously stated there are two variants of the interface PMIP and GTP,
GTP is only discussed here and PMIP will be left for further study.
GPRS Tunnelling Protocol Control (GTP-CP)
GTP-C is used for control reasons including, setup and deletion of PDP contexts, verication of GSN
reachability, and updates, for example as subscribers move from one S-GW to another.
S5 User Plane (S5UP)
The S5UP protocol stack has already been discussed in the S1UP section so there is no need to
repeat here.
2008 Motorola, Inc.
LTE
S5 Protocol Stack GTP Version Version 1 Rev 2
S5 Protocol Stack GTP Version
S-GW
PHY PHY
IP IP
UDP UDP
GTP-C GTP-C
Mobility control
messages
Setup and
delete PDP
context
GTP-C GTP-C
Mobility control
messages
Setup and
delete PDP
context
P-GW
PHY PHY
IP IP
UDP UDP
GTP-U GTP-U
S-GW P-GW
2008 Motorola, Inc.
8-19
LTE
Version 1 Rev 2 Control Plane UE MME
Control Plane UE MME
The slide opposite shows the protocols used between the UE and the MME. This is purely control plane
data carrying such things as paging and mobility information. The radio interface protocol stack must be
used between the UE and eNB and then the S1MME interface stack between the eNB and the MME.
The block labeled relay will be an internal protocol conversion in the eNB, mapping the RRC signalling
to the S1AP signalling.
3GPP TS23.401 V8.1.0 (200803)
2008 Motorola, Inc.
LTE
Control Plane UE MME Version 1 Rev 2
Control Plane UE MME
UE
PHY
MAC
RLC
PDCP
RRC
NAS
PHY
MAC
RLC
PDCP
RRC
MME
eNB
PHY PHY
S1-AP
IP
IP
SCTP SCTP
S1-AP
NAS
Relay
LTE-Uu S1-MME
2008 Motorola, Inc.
8-21
LTE
Version 1 Rev 2 UE P-GW User Plane with E-UTRAN
UE P-GW User Plane with E-UTRAN
The slide opposite shows the protocols between the UE between the UE and the P-GW. This will carry
the user IP packets for the application. The radio interface protocol stack must be used between the
UE and eNB, the S1U between the eNB and the S-GW and then the S5U between the S-GW and the
P-GW. The blocks labeled relay will be an internal protocol conversion in the eNB and S-GW, mapping
the RRC signalling to the S1AP signalling and the GTP-U from the S1U to the GTP-U from the S5U.
3GPP TS23.401 V8.1.0 (200803)
2008 Motorola, Inc.
LTE
UE P-GW User Plane with E-UTRAN Version 1 Rev 2
UE P-GW User Plane with E-UTRAN
UE
Application Application
PHY PHY
MAC MAC
RLC RLC
PDCP PDCP
S-GW S-GW
eNB eNB
Data Link
Layer
Data Link
Layer
UDP/IP UDP/IP
GT
P-U
IP IP
GTP-U GTP-U
P-GW P-GW
PHY PHY PHY PHY PHY PHY PHY PHY PHY PHY
MAC MAC
Data Link
Layer
Data Link
Layer
Data Link
Layer
Data Link
Layer
Data Link
Layer
Data Link
Layer
RLC RLC
UDP/IP UDP/IP UDP/IP UDP/IP UDP/IP UDP/IP
PDCP PDCP GTP-U GTP-U GTP-U GTP-U GTP-U GTP-U
IP IP
LTE-Uu S1-U S5
Relay Relay
2008 Motorola, Inc.
8-23
LTE
Version 1 Rev 2 UE P-GW User Plane with E-UTRAN
2008 Motorola, Inc.
LTE
Appendix C LTE Procedures Version 1 Rev 2
Chapter 9
Appendix C LTE Procedures
2008 Motorola, Inc.
9-1
LTE
Version 1 Rev 2 Appendix C LTE Procedures
2008 Motorola, Inc.
LTE
Objectives
Describe the cell search procedure.
Describe the RRC UE states and state transitions.
Describe the system information broadcast procedure.
Describe UE and E-UTRA measurement types.
Describe the idle mode procedures.
Describe the random access procedure.
Describe the state characteristics of RRC.
Describe the NAS protocol states and state transitions.
Describe the network attach procedure.
Describe the LTE pooling relationships.
Describe the LTE mobile identities.
Describe the tracking area identities.
Describe the initial context setup procedures.
Describe the intra MME/S-GW handover.
Describe the inter MME/S-GW handover.
2008 Motorola, Inc.
9-3
LTE
Version 1 Rev 2 Cell Search Procedure
Cell Search Procedure
Cell search is the procedure by which a UE acquires its frequency reference, frame timing, and the Fast
Fourier Transform (FFT) symbol timing with the (best) cell, and also to identify the cell ID.. A scalable
overall transmission bandwidth corresponding to 6 resource blocks and upwards is supported within the
E-UTRA, therefore it doesnt matter whether 20 MHz or 1.4 MHz is used as the 6 resource blocks can
t within any of the supported bandwidths.
Acquiring P-SCH and S-SCH
On power up the UE will scan the available LTE frequencies and detect the center frequencies of the
bandwidth being used by the network(s). To be more specic the center 1.25 MHz bandwidth which
corresponds to 72 subcarriers (or 6 PRBs) and there the UE will nd the P-SCH, S-SCH and PBCH.
There are 504 unique physical layer cell identities available, these are grouped into 168 unique physical
layer group identities with each group containing three unique orthogonal physical layer identities.
Therefore a physical layer identity is identied by a number between 0167 representing the cell identity
group and a number in the range 02 representing the physical layer identity within the physical layer
identity groups.
Two channels are used to achieve this, the P-SCH and S-SCH. The P-SCH uses the same OFDM
waveform for all cells over 72 subcarriers and this is used for SCH symbol timing and frequency
acquisition. A S-SCH is used to determine the cell group ID where the three cell IDs relevant to
that group can be detected using reference symbols for correlation detections, where the maximum
correlation peak is obtained for the correct physical cell ID. This vastly reduces the amount of correlation
detections the UE has to do from 504 to 3.
A one-to-one mapping between the 3 Cell IDs in each Cell ID group and downlink reference signals are
applied in the system. By processing the downlink reference signals, the cell ID (one out of 3) is derived
within the cell ID group.
The physical cell id will give a unique combination of one orthogonal sequence and one pseudo-random
sequence. It is then possible to decode the PBCH and therefore decode the Master Information Block
(MIB).
3GPP TS 36.211 V8.1.0 (200711) Physical Channels and Modulation
2008 Motorola, Inc.
LTE
Cell Search Procedure Version 1 Rev 2
Cell Search Procedure
4. The three cell IDs relevant to
that group can be detected
using reference symbols
from the downlink reference
signals for correlation
detections
2. P-SCH - SCH symbol timing
and frequency acquisition
3. S-SCH - cell group ID
1. There are 504 unique physical layer cell
identities available, these are grouped
into 168 unique physical layer group
identities with each group containing
three unique physical layer identities.
2008 Motorola, Inc.
9-5
LTE
Version 1 Rev 2 RRC UE States and State Transitions
RRC UE States and State Transitions
When the UE is rst switched on it will acquire the physical cell ID of a cell. At this time it will have
no RRC connection (or any other type) with the eNB, the UE is then said to be in RRC_IDLE state. If
the UE establishes a connection with the cell it will do it via RRC messages and hence it will move into
RRC_CONNECTED state.
RRC_IDLE State
The RRC_IDLE state can be characterised as follows:
Transfer of broadcast/multicast data to the UE.
A UE specic DRX maybe congured by the upper layers.
UE controlled mobility.
The UE will:
Monitor a paging channel to detect incoming calls.
Performs neighbour cell measurements and cell (re-) selections.
Acquires system information.
RRC_CONNECTED State
The RRC_CONNECTED state can be characterised as follows:
Transfer of unicast data to/from UE, transfer of broadcast/multicast data to the UE.
At the lower layers, the UE maybe congured with a UE specic DRX/DTX.
Network controlled mobility.
The UE will:
Monitor control channels associated with the shared data channel to determine if data is
scheduled for it.
Provides channel quality and feedback information.
Performs neighbouring cell measurements and measurement reporting.
Acquires system information.
2008 Motorola, Inc.
LTE
RRC UE States and State Transitions Version 1 Rev 2
RRC UE States and State Transitions
E-UTRA
RRC IDLE
E-UTRA
RRC IDLE
GPRS Packet
transfer mode
GPRS Packet
transfer mode
GSM_CONNECTED
CELL_DCH
CELL_FACH
CELL_PCH
URA_PCH
Connection
establishment/release
CELL_DCH
CELL_FACH CELL_FACH
CELL_PCH
URA_PCH
CELL_PCH
URA_PCH
Connection
Connection
UTRA_IDLE
Reselection
UTRA_IDLE UTRA_IDLE
Reselection
Reselection
E-UTRA RRC
CONNECTED
Connection
E-UTRA RRC
CONNECTED
E-UTRA RRC
CONNECTED
Connection
Connection
GSM_IDLE/GPRS
Packet_Idle
Reselection
CCO,
Reselection
GSM_IDLE/GPRS
Packet_Idle
GSM_IDLE/GPRS
Packet_Idle
Reselection
CCO,
Reselection
Handover Handover
CCO with
NACC
CCO,
Reselection
WCDMA 3G LTE GSM/GPRS 2G
2008 Motorola, Inc.
9-7
LTE
Version 1 Rev 2 System Information (SI)
System Information (SI)
System Information (SI) is an RRC message carrying a number of System Information Blocks (SIBs)
that have the same scheduling requirements (i.e. periodicity). There may be more than one SI message
transmitted with the same periodicity. Each SIB contains a set of related system information parameters.
Several SIBs have been dened including the Master Information Block (MIB), that includes a limited
number of most frequently transmitted parameters, and SIB type 1 containing the scheduling information
that mainly indicates when the SI messages are transmitted, i.e. start times. SYSTEM INFORMATION
MASTER (SI-M) and SYSTEM INFORMATION 1 (SI-1) are special versions of an SI message only
carrying a single SIB, namely the MIB and SIB type 1 respectively. The SI-M message is carried on BCH
while all other SI messages are carried on DL-SCH.
System Information Blocks (SIBs)
These SIBs relate to information contain in both RRC_IDLE and RRC_CONNECTED modes.
Master Information Block (MIB)
The MIB denes the most essential physical layer information of the cell required to receive further
system information like downlink system bandwidth, number of transmit antennas and system frame
number. The MIB is transmitted on the BCH.
System Information Block Type 1 (SIB 1)
The SIB 1 contains information relevant when evaluating if a UE is allowed to access a cell and denes
the scheduling of other SIBs.
The SIB 2 contains common and shared channel information.
The IE SIB 3 contains cell re-selection information, mainly related to the serving cell.
The SIB 4 contains information about the serving neighbouring frequencies and intra-frequency
neighbouring cells relevant for cell re-selection, covering both E UTRA and other RATs. The
Information Element (IE) includes cell re-selection parameters common for a frequency as well as cell
specic re-selection parameters.
The SIB 5 contains information about other E UTRA frequencies and inter-frequency neighbouring cells
relevant for cell re-selection. The IE includes cell re-selection parameters common for a frequency as
well as cell specic re-selection parameters.
The SIB 6 contains information about UTRA frequencies and UTRA neighbouring cells relevant for cell
re-selection. The IE includes cell re-selection parameters common for a frequency as well as cell specic
re-selection parameters.
The SIB 7 contains information about GERAN frequencies and GERAN neighbouring cells relevant for
cell re-selection. The IE includes cell re-selection parameters common for a frequency as well as cell
specic re-selection parameters.
The SIB 8 contains information about CDMA2000 frequencies and CDMA2000 neighbouring cells
relevant for cell re-selection. The IE includes cell re-selection parameters common for a frequency as
well as cell specic re-selection parameters.
3GPP TS 36.331 V8.1.0 (200803) Radio Resource Control
2008 Motorola, Inc.
LTE
System Information (SI) Version 1 Rev 2
System Information (SI)
Master Information Block (MIB) on BCH Master Information Block (MIB) on BCH
System Information Block Type 1 to 8 (SIB 1 to 8) on DL-SCH System Information Block Type 1 to 8 (SIB 1 to 8) on DL-SCH
MIB - Essential physical layer information
SIB 1 - If UE is allowed to access a cell and defines the scheduling of other SIBs
SIB 2 - Common and shared channel information
SIB 3 - Cell re-selection information, mainly related to the serving cell
SIB 4 8 Cell reselection parameters for different types of neighbours
2008 Motorola, Inc.
9-9
LTE
Version 1 Rev 2 Physical layer Measurements
Physical layer Measurements
With the measurement specications L1 provides measurement capabilities for the UE and E-UTRAN.
These measurements can be classied in different reported measurement types: intra-frequency,
inter-frequency, inter-system, trafc volume, quality and UE internal measurements.
To initiate a specic measurement, the E-UTRAN transmits a RRC connection reconguration
message to the UE including a measurement ID and type, a command (setup, modify, release), the
measurement objects, the measurement quantity, the reporting quantities and the reporting criteria
(periodical/event-triggered).
When the reporting criteria are fullled the UE shall answer with a measurement report message to the
E-UTRAN including the measurement ID and the results.
UE Measurement Capabilities
The following UE measurements can be initiated:
Reference Signal Received Power (RSRP) Is determined for a considered cell as the
linear average over the power contributions (in [W]) of the resource elements that carry
cell-specic reference signals within the considered measurement frequency bandwidth. For
RSRP determination the cell-specic reference signals R0 and if available R1 (second antenna)
accordingly can be used. If receiver diversity is in use by the UE, the reported value shall be
equivalent to the linear average of the power values of all diversity branches. This is applicable for:
RRC_IDLE intra-frequency.
RRC_IDLE inter-frequency.
RRC_CONNECTED intra-frequency.
RRC_CONNECTED inter-frequency.
E-UTRA Carrier Received Signal Strength Indicator (RSSI) comprises the total received
wideband power observed by the UE from all sources, including co-channel serving and
non-serving cells, adjacent channel interference, thermal noise etc.
Reference Signal Received Quality (RSRQ) is dened as the ratio NRSRP/(E-UTRA carrier
RSSI), where N is the number of RBs of the E-UTRA carrier RSSI measurement bandwidth. The
measurements in the numerator and denominator shall be made over the same set of resource.
This is applicable for:
RRC_IDLE intra-frequency.
RRC_IDLE inter-frequency.
RRC_CONNECTED intra-frequency.
RRC_CONNECTED inter-frequency.
UTRA FDD CPICH Received Signal Code Power (RSCP) , the received power on one code
measured on the Primary CPICH. This is applicable for:
RRC_IDLE inter-RAT.
RRC_CONNECTED inter-RAT.
UTRA FDD carrier RSSI The received wide band power, including thermal noise and noise
generated in the receiver for 3G cells, . This is applicable for:
RRC_IDLE inter-RAT.
UTRA FDD CPICH Ec/No The received energy per chip divided by the power density in the
band for 3G cells. This is applicable for:
RRC_IDLE inter-RAT.
GSM carrier RSSI Received Signal Strength Indicator, the wide-band received power within the
relevant channel bandwidth. Measurement shall be performed on a GSM BCCH carrier. This is
applicable for:
RRC_IDLE inter-RAT.
CDMA2000 1x RTT Pilot Strength CDMA2000 1x RTT Pilot Strength measurement.
CDMA2000 HRPD Pilot Strength CDMA2000 HRPD Pilot Strength Measurement.
2008 Motorola, Inc.
LTE
Physical layer Measurements Version 1 Rev 2
Physical layer Measurements
RRC connection reconfiguration message RRC connection reconfiguration message
Measurement report message
UE Serving and E-UTRA Neighbour Cell Measurements
Reference Signal Received Power (RSRP)
E-UTRA Carrier Received Signal Strength Indicator (RSSI)
Reference Signal Received Quality (RSRQ)
E-UTRAN Measurements
DL RS TX power
Received Interference Power
Thermal Noise Power
WCDMA 3G Neighbours
UTRA FDD CPICH Received Signal Code Power (RSCP)
UTRA FDD carrier RSSI
UTRA FDD CPICH Ec/No
GSM Neigbours
GSM carrier RSSI
CDMA2000 Neighbours
CDMA2000 1x RTT Pilot Strength
CDMA2000 HRPD Pilot Strength
E-UTRAN Measurement Abilities
The following E-UTRAN measurements can be initiated:
DL RS TX power Downlink reference signal transmit power is determined for a considered cell
as the linear average over the power contributions (in [W]) of the resource elements that carry
cell-specic reference signals which are transmitted by the eNode B within its operating system
bandwidth. For DL RSTXpower determination the cell-specic reference signals R0 and if available
R1.
Received Interference Power The uplink received interference power, including thermal noise,
within one physical resource blocks bandwidth of resource elements.
Thermal Noise Power The uplink thermal noise power within the UL system bandwidth.
2008 Motorola, Inc.
9-11
LTE
Version 1 Rev 2 Idle Mode Procedures
Idle Mode Procedures
When an UE is switched on, it attempts to make contact with a PLMN. The particular PLMN to be
contacted may be selected either automatically or manually.
The UE looks for a suitable cell of the chosen PLMN and chooses that cell to provide available services,
and tunes to its control channel. This choosing is known as "camping on the cell". The MS will then
register its presence in the registration area of the chosen cell if necessary, by means of a Location
Registration (LR), GPRS attach or International Mobile Subscriber Identity (IMSI) attach procedure.
If the UE loses coverage of a cell, or nd a more suitable cell, it reselects onto the most suitable cell
of the selected PLMN and camps on that cell. If the new cell is in a different registration area, an LR
request is performed.
If the UE loses coverage of a PLMN, either a new PLMN is selected automatically, or an indication of
which PLMNs are available is given to the user, so that a manual selection can be made.
Registration is not performed by UEs only capable of services that need no registration.
The purpose of camping on a cell in idle mode is fourfold:
It enables the UE to receive system information from the PLMN.
If the UE wishes to initiate a call, it can do this by initially accessing the network on the control
channel of the cell on which it is camped.
If the PLMN receives a call for the UE, it knows (in most cases) the registration area of the cell in
which the MS is camped. It can then send a "paging" message for the UE on control channels of all
the cells in the registration area. The UE will then receive the paging message because it is tuned
to the control channel of a cell in that registration area, and the UE can respond on that control
channel.
It enables the UE to receive cell broadcast messages.
If the UE is unable to nd a suitable cell to camp on, or the SIM is not inserted, or if it receives certain
responses to an LR request (e.g., "illegal MS"), it attempts to camp on a cell irrespective of the PLMN
identity, and enters a "limited service" state in which it can only attempt to make emergency calls.
The idle mode tasks can therefore be subdivided into three processes:
PLMN selection.
Cell selection and reselection.
Location registration.
3GPP TS 23.122 V8.1.0 (200803) NAS functions in Idle Mode
3GPP TS 36.304 V8.1.0 (200803) UE procedures in Idle Mode
2008 Motorola, Inc.
LTE
Idle Mode Procedures Version 1 Rev 2
Idle Mode Procedures
PLMN Selection PLMN Selection
Manual Mode Manual Mode
Indication to user Indication to user
Automatic Mode Automatic Mode
PLMNs
available
Cell Selection
and Reselection
PLMNs
selected
Cell Selection
and Reselection
Cell Selection
and Reselection
PLMNs
selected
PLMNs
selected
NAS Control
Radio
measurements
NAS Control
Radio
measurements
Location
Registration
Registration area
changes
Location
Registration
Location
Registration
Registration area
changes
Registration area
changes
Service requests Service requests
Location area
response
Location area
response
2008 Motorola, Inc.
9-13
LTE
Version 1 Rev 2 Cell Selection and Reselection
Cell Selection and Reselection
Cell Selection Process
The UE uses one of the following two cell selection procedures:
1. Initial Cell Selection
This procedure requires no prior knowledge of which RF channels are E-UTRA carriers. The UE
scans all RF channels in the E-UTRA bands according to its capabilities to nd a suitable cell. On
each carrier frequency, the UE searches for the strongest cell. Once a suitable cell is found this
cell shall be selected.
2. Stored Information Cell Selection
This procedure requires stored information of carrier frequencies and optionally also information
on cell parameters, from previously received measurement control information elements or from
previously detected cells. Once the UE has found a suitable cell the UE shall select it. If no suitable
cell is found the Initial Cell Selection procedure shall be started.
Service Types in Idle Mode
The action of camping on a cell is necessary to get access to some services. The levels of service are
dened for the UE:
Limited service (emergency calls on an acceptable cell);.
Normal service (for public use on a suitable cell).
Operator service (for operators only on a reserved cell).
The cells themselves are then categorized according to which services they offer.
Acceptable Cell
An "acceptable cell" is a cell on which the UE may camp to obtain limited service (originate emergency
calls). Such a cell shall full the following requirements, which is the minimum set of requirements to
initiate an emergency call in a E-UTRAN network:
The cell is not barred.
The cell selection criteria are fullled.
Suitable Cell
A "suitable cell" is a cell on which the UE may camp on to obtain normal service. Such a cell shall full
all the following requirements:
The cell is part of either:
the selected PLMN, or;
the registered PLMN, or;
a PLMN of the Equivalent PLMN list.
according to the latest information provided by the NAS.
The cell is not barred.
The cell is part of at least one Tracking Area (TA) that is not part of the list of "forbidden LAs for
roaming", which belongs to a PLMN that fulls the rst bullet above.
The cell selection criteria are fullled.
For a cell identied as Closed Subscriber Group (CSG) cell by system information, the CSG ID
is part of the CSG white list.
If more than one PLMN identity is broadcast in the cell, the cell is considered to be part of all TAs with
Tracking Area Identities (TAIs) constructed from the PLMN identities and the Tracking Area Code
(TAC) broadcast in the cell.
Barred and Reserved Cells
A cell is barred or reserved if it is so indicated in the system information
2008 Motorola, Inc.
LTE
Cell Selection and Reselection Version 1 Rev 2
Cell Selection and Reselection
Stored
information
cell selection
Cell information
stored for PLMN
Stored
information
cell selection
Cell information
stored for PLMN
Go here whenever a new
PLMN is selected
1
PLMN is selected
PLMN is selected
1
Initial
cell selection
No cell information
stored for PLMN
No suitable cell found
Initial
cell selection
No cell information
stored for PLMN
No suitable cell found
Suitable cell found Suitable cell found Suitable cell found Suitable cell found
Camped
normally
2
Camped
normally
Camped
normally
22
No suitable
cell found
No suitable
cell found
Suitable
cell found
Cell selection
when leaving
connected
mode
Return to idle
mode
Connected
mode
Leave idle
mode
Cell selection
when leaving
connected
mode
Return to idle
mode
Connected
mode
Leave idle
mode
Connected
mode
Connected
mode
Leave idle
mode
Cell selection
Evaluation
process
Trigger
Cell selection
Evaluation
process
Trigger Suitable
cell found
Suitable
cell found
No suitable
cell found
NAS indicates
that registration
on selected
PLMN is
rejected
No suitable
cell found
No suitable
cell found
NAS indicates
that registration
on selected
PLMN is
rejected
No suitable
cell found
Any cell
selection
Any cell
selection
Go here when
no USIM in
the UE
Go here when
no USIM in
the UE
USIM inserted
1
USIM inserted
1
Camp on
any cell
Acceptable
cell found
Camp on
any cell
Acceptable
cell found
Cell
reselection
Evaluation
process
Trigger Suitable
cell found
Cell
reselection
Evaluation
process
Trigger Suitable
cell found
Cell selection
when leaving
connected
mode
Return to
idle mode
Acceptable
cell found
Connected
mode
(emergency
calls only)
Leave idle
mode
Connected
mode
(emergency
calls only)
Leave idle
mode
No acceptable
cell found
No acceptable
cell found
No acceptable
cell found
No acceptable
cell found
Suitable cell
found
2
Suitable cell
found
Suitable cell
found
2
2008 Motorola, Inc.
9-15
LTE
Version 1 Rev 2 Cell Selection Criteria
Cell Selection Criteria
The cell selection criterion S is fullled when:
Srxlev > 0
Where:
Srxlev = Q
rxlevmeas
Qrxlevmin Pcompensation
Parameter Meaning
Srxlev Cell selection RX level value (dB)
Q
rxlevmeas
Measured cell RX level value (RSRP)
Qrxlevmin Minimum required RX level in the cell
(dBm)
Pcompensation (FFS)
The Qrxlevmin parameter is found in the SIB Type 1 and is broadcast to the UE in its control channel.
The parameter Pcompensation is labeled as For Further Study (FFS) in the current version in the 3GPP
specication listed below.
2008 Motorola, Inc.
LTE
Cell Selection Criteria Version 1 Rev 2
Cell Selection Criteria
SIB Type 1 on DL-SCH
Srxlev > 0 Where:
Srxlev = Qrxlevmeas Qrxlevmin - Pcompensation
2008 Motorola, Inc.
9-17
LTE
Version 1 Rev 2 Cell Reselection Criteria
Cell Reselection Criteria
Once the UE performs selection onto a particular cell the UE will continue to take measurements on the
serving cell. There are parameters to decide whether the UE should begin to take measurements of
other LTE intra or inter frequency neighbours or indeed other RATs. Of course the user/network may
decide to force the UE onto another cell and this is taken into consideration too.
Intra-frequency Measurement Rules
The following rules are used by the UE to limit needed measurements by the UE:
If S
ServingCell
> S
intrasearch
, UE may choose to not perform intra-frequency measurements;
If S
ServingCell
<= S
intrasearch
, UE shall perform intra-frequency measurements.
Non Intra-frequency Measurement Rules
The UE applies the following rules for E-UTRAN inter-frequencies and inter-RAT frequencies which are
indicated in system information and for which the UE has priority:
For an E-UTRAN inter-frequency or inter-RAT frequency with a reselection priority higher than the
reselection priority of the current E-UTRA frequency the UE shall perform measurements of higher
priority E-UTRAN inter-frequenc or inter-RAT frequencies.
For an E-UTRAN inter-frequency with a equal or lower reselection priority than the reselection
priority of the current E-UTRA frequency and for inter-RAT frequency with lower reselection priority
than the reselection priority of the current E-UTRA frequency:
If S
ServingCell
> S
nonintrasearch
UE may choose not to perform measurements of inter-RAT frequencies
or inter-frequencies of equal or lower priority.
If S
ServingCell
<= S
nonintrasearch
the UE shall perform measurements of inter-RAT frequencies or
inter-frequencies cells of equal or lower priority.
Where S
ServingCell
is the S-value of the serving cell.
Mobility States of a UE
There are also parameters broadcast in system information to detect whether the UE is in:
Normal mobility state.
Medium mobility state.
High mobility state.
If for instance the UE is detected in high mobility state then cells which have been designated as small
cells (micro and pico cells) shall be discouraged for reselection purposes by using speed dependant
scaling rules. The exact implementation of this is FFS at the time of writing.
2008 Motorola, Inc.
LTE
Cell Reselection Criteria Version 1 Rev 2
Cell Reselection Criteria
Intra Frequency Inter Frequency or Inter R AT
System Information
Sintrasearch
Snonintrasearch
System Information
Sintrasearch
Snonintrasearch
SServingCell > Sintrasearch
SServingCell<= Sintrasearch
SServingCell > Sintrasearch
SServingCell<= Sintrasearch
SServingCell > Snonintrasearch
SServingCell<= Snonintrasearch
UE speed dependant rules also apply
2008 Motorola, Inc.
9-19
LTE
Version 1 Rev 2 Intra-frequency Cell Reselection Criteria
Intra-frequency Cell Reselection Criteria
Once the criteria has been met to measure intra-frequency neighbours then the UE will rank all cells that
meet criterion S. It might be that the operator either wants to apply a hysteresis to the serving cell to
prevent numerous unnecessary reselections. Or an offset might be applied to the neighbour to either
make the neighbour more or less attractive.
Cell Ranking Criterion
The intra-frequency neighour cells are ranked according to the R criteria.
Rs = Q
meas,s
+ Qhyst
s
Rn = Q
meas,n
Qoffset
Where:
Qmeas Averaged RSRP measurement quantity used in cell reselections.
Qoffset Qoffset
s,n
+ Qoffset
frequency
Qoffset
s,n
This species the offset between two cells.
Qoffset
frequency
Frequency specic offset for equal priority frequencies.
The cell that is ranked highest by the R criterion will cause the UE to reselect if the following is true:
The new cell is better ranked than the serving cell during a time interval Treselections.
Detect whether the UE is in high mobility state, if so apply scaling factor to this cell.
More than 1 second has elapsed since the UE camped on the current serving cell.
2008 Motorola, Inc.
LTE
Intra-frequency Cell Reselection Criteria Version 1 Rev 2
Intra-frequency Cell Reselection Criteria
Intra Frequency
1. Rank cells by criterion S
2. Ranked by Rs < Rn for
Treselection
3. UE has been camped on serving
cell for > 1 sec
4. Speed taken into account
Rs = Qmeas,s + Qhysts
Rn Qmeas,n Qoffset
Qoffset = Qoffsets,n + Qoffsetfrequency
System information Treselection, Qhysts,
Qoffsets,n, Qoffest frequency
2008 Motorola, Inc.
9-21
LTE
Version 1 Rev 2 Inter-frequency and Inter-RAT Cell Reselection Criteria
Inter-frequency and Inter-RAT Cell Reselection Criteria
It might be the case that the UE needs to move to a different LTE frequency or other RAT. The other RAT
maybe WCDMA 3G, GSM or CDMA2000. The criteria to detect whether a reselection to these cells is
different to that of intra-frequency reselections and this procedure is explained here.
Cell Ranking Criterion
In this the inter-frequency and inter-RAT cell reselection may occur, but it has a dependency on whether
the neighbour cell is:
Higher priority RAT or frequency.
Lower priority RAT or frequency.
Equal priority RAT or frequency.
Higher Priority RAT or Frequency
In this case the UE will reselect if:
The S
nonServingCell,x
of a cell of a higher priority RAT or frequency is greater than Thresh
x, high
during a
time interval Treselection
RAT
; and
more than 1 second has elapsed since the UE camped on the current serving cell.
Lower Priority RAT or Frequency
In this case the UE will reselect if:
No cell of a higher priority RAT or frequency fullls the criteria above; and
S
ServingCell
< Thresh
serving, low
and the S
nonServingCell,x
of a cell of a lower priority frequency RAT or frequency
is greater than Thresh
x, low
during a time interval Treselection
RAT
; and
more than 1 second has elapsed since the UE camped on the current serving cell.
Equal Priority RAT or Frequency
Cell reselection to a cell on an equal priority frequency shall be based on ranking for Intra-frequency Cell
Reselection.
S
nonServingCell,x
is the S-value of a non-serving inter-RAT or inter-frequency cell. In all the above criteria the
value of Treselection
RAT
is scaled when the UE is in the medium or high mobility state.
If more than one cell meets the above criteria, the UE shall reselect a cell ranked as the best cell on the
highest priority RAT among the cells meeting the criteria.
2008 Motorola, Inc.
LTE
Inter-frequency and Inter-RAT Cell Reselection Criteria Version 1 Rev 2
Inter-frequency and Inter-RAT Cell Reselection Criteria
Inter Frequency or Inter R AT Inter Frequency or Inter R AT
System information TreselectionRAT, Threshx, high,
Threshserving, low, Threshx, low
System information TreselectionRAT, Threshx, high,
Threshserving, low, Threshx, low
Higher Priority RAT or Frequency
1. SnonServingCell,x > Threshx, high for
TreselectionRAT
2. UE has been camped on serving cell for > 1 sec
Lower Priority RAT or Frequency
1. No cell of a higher priority RAT or frequency fulfills the
criteria above; and
2. SServingCell < Threshserving, low and
SnonServingCell,x > Threshx, low for TreselectionRAT
3. UE has been camped on serving cell for > 1 sec
Equal Priority RAT or Frequency
Based on ranking for Intra-frequency Cell Reselection
2008 Motorola, Inc.
9-23
LTE
Version 1 Rev 2 Random Access Procedure
Random Access Procedure
The random access procedure is common between FDD and TDD and the size of the cell is irrespective
to the procedure. The random access procedure is performed for the following ve events:
Initial access from RRC_IDLE.
Initial access after radio link failure (sending RRC connection re-establishment).
Handover requiring random access procedure.
DL data arrival during RRC_CONNECTED requiring random access procedure (UL sync status
non-synchronized).
UL data arrival during RRC_CONNECTED requiring random access procedure (UL sync status
non-synchronized or there are no PUCCH resources for scheduling resources available).
Furthermore, the random access procedure takes two distinct forms:
Contention based (applicable to all ve events). In this case a signature is chosen by the UE that
may also be chosen by other UEs in the network at the same time.
Non-contention based (applicable to only handover and DL data arrival). In this case a signature
is assigned to the UE that is unique, so it cannot be duplicated by any other UE in that cell at the
same time.
This can be thought of in a different way: the random access procedure is utilized when ever UE is not
uplink synchronized and it wants to exchange data with the eNode B. There are two distinct scenarios:
1. UE is not UL synchronized and not authenticated (RRC_IDLE).
2. UE has lost UL synchronization, but it is authenticated (RRC_CONNECTED).
Normal DL/UL transmission can take place after the random access procedure.
Initial Access from RRC_IDLE
For the purposes of this discussion we shall concentrate on the initial access from RRC_IDLE.
This is a contention based procedure and is shown in the slide opposite and described in the four
numbered bullets below:
1. Random access preamble on the RACH in the uplink:
5 bits random ID.
1 bit to indicate the size of the scheduled transmission (from a group of signatures broadcast
on SI).
2. Random access response generated by MAC on DL-SCH:
Semi- synchronous with the random access preamble as it must arrive within a exible window.
No HARQ.
It contains the random ID transmitted on random access preamble, timing alignment info,
initial uplink grant and temporary (could become permanent) Cell Radio Network Temporary
Identier (C-RNTI);
This message could be delivered to multiple UEs in one DL-SCH message.
3. First scheduled transmission on UL-SCH. In this case it is a RRC Connection Request:
Uses HARQ.
Size of transport block depends on the UL grant conveyed in random access response.
Conveys NAS UE identier (SAE- TMSI (S-TMSI) if there is one).
4. Contention resolution on DL-SCH: In this case it is the RRC Connection Setup.
Addressed to C-RNTI.
UE with correct C-RNTI responds with HARQ feedback.
3GPP TS 36.300 V8.4.0 (2008-03) Overall Description
2008 Motorola, Inc.
LTE
Random Access Procedure Version 1 Rev 2
RRC_IDLE UE monitoring System Information and Paging
No uplink synchronization with network
Random access procedure used to
synchronize with the eNB
UE monitoring System Information and Paging
No uplink synchronization with network
Random access procedure used to
synchronize with the eNB
1
PRACH
1
11
PRACH
Random Access Response
2
DL-SCH
2
22
DL-SCH
Scheduled transmission
(RRC Connection Request)
3
UL-SCH
Scheduled transmission
(RRC Connection Request)
33
UL-SCH
Contention resolution
4
(RRC Connection Setup)
DL-SCH
4
44
(RRC Connection Setup)
DL-SCH
(NAS PDU)
(RRC Connection Setup Complete)
55
UL-SCH
2008 Motorola, Inc.
9-25
LTE
Version 1 Rev 2 Physical Random Access Procedure
Physical Random Access Procedure
The physical random access procedure is carried out within the transmission of the random access
preamble and the random access response. The remaining messages shown on the previous slide are
delivered by the higher layers on the shared data channel and are not considered part of the L1 random
access procedure. However the L1 physical random access procedure must receive its parameters of
operation from the higher layers to operate.
L1 Physical Random Access Parameters
The UE will discover the parameters by listening to downlink SI and radio resource control information
messages. The content of these messages includes:
Number of non-dedicated/dedicated random access preambles.
Size of the random access preambles groups.
Power ramping step.
The maximum number of preamble transmissions in an attempt.
Value of backoff timer.
Parameters to indicate the TTI window for random access response.
This information is then stored by the UE so when a random access procedure is required the MAC layer
can use these parameters to initialize the random access procedure.
Random Access Procedure Initialization
If the Random Access Preamble and PRACH resource are explicitly signalled (non-contention based)
the UE may proceed with the transmission. In the case where the UE is making initial access this will
not be the case and the random access preamble will be selected by the UE as follows:
Select one of the two groups of random access preambles congured by RRC.
Randomly select a random access preamble within the selected group. The random function shall
be such that each of the allowed selections can be chosen with equal probability.
Random Access Preamble Transmission
The random access procedure will be performed as follows:
Set the initial access power using a open loop power control mechanism.
Determine the next available random access occasion.
Set the preamble transmission counter to zero.
Instruct the physical layer to transmit a preamble using the selected PRACH resource,
corresponding RA-RNTI, preamble index and transmit power.
Random Access Response Reception
Once the random access preamble is transmitted, the UE shall monitor the [PDCCH] in the TTI window
for random access response(s). The UE may stop monitoring for random access response(s) after
successful reception of a random access response corresponding to the random access preamble
transmission.
The random access response may contain an overload indication in which case the UE will start a
backoff timer that makes the UE wait before attempting another access.
If no Random Access Response is received within the TTI window, or if all received random access
responses contain random access preamble identiers that do not match the transmitted random access
preamble, the random access response reception is considered not successful and the UE shall:
If the preamble transmission counter is less than maximum allowed transmissions, then increment
the preamble transmission counter by 1.
Increase the power of the UE by the power ramping step.
Retransmit the preamble.
If the preamble transmission counter is equal to the maximum allowed transmissions, then indicate to
higher layers that the access attempt has failed.
2008 Motorola, Inc.
LTE
Physical Random Access Procedure Version 1 Rev 2
Physical Random Access Procedure
Start Start Start
Obtain random access
parameters from system
information
information
information
Select the random access
preamble from the random
access group
access group
access group
Set initial power and determine
the next available RACH
occasion
occasion
occasion
Set the preamble transmission
counter to zero
counter to zero
counter to zero
Transmit preamble Transmit preamble Transmit preamble
Response from eNB Response from eNB
Increment counter
and increase the
power
N
Increment counter
and increase the
power
N
Increment counter
and increase the
power
Increment counter
and increase the
power
N
Send NACK to L3
Y
Send NACK to L3
YY
Process the received timing
alignment value
If an UL grant was received,
process the UL grant value
If the UE does not have a C-RNTI,
a Temporary C-RNTI shall be set
Y
alignment value
Y
alignment value
Y
Counter equals max
count?
N
Counter equals max
count?
Counter equals max
count?
N
If a successful access is made because the UE received the random access preamble identier
corresponding to the transmitted random access preamble then the UE shall include these procedures:
Process the received timing alignment value.
If an UL grant was received, process the UL grant value.
If the UE does not have a C-RNTI, a Temporary C-RNTI shall be set to the value received in the
random access response message no later than at the time of the rst transmission corresponding
to the UL grant provided in the random access response message.
3GPP TS 36.321 V8.1.0 (2008-03) E-UTRA MAC Protocol Specication
2008 Motorola, Inc.
9-27
LTE
Version 1 Rev 2 State Characteristics of the RRC
State Characteristics of the RRC
The physical random access procedure showed how the UE makes initial contact with the network and
is able to send the RRC Connection Request message. The slide opposite summarises the states; idle
and connected available within the RRC and what services and procedures can be accessed by the UE
in both of these states.
RRC Idle
The following services and procedures can be accessed in RRC_IDLE:
Paging.
Cell selection and reselection.
BCCH information read.
The following characteristics are applied to RRC_IDLE:
No S1 connection.
No measurement control.
UE not known by the eNB.
RRC Connected
The following services and procedures can be accessed in RRC_CONNECTED:
Data can be received and transmitted using the C-RNTI.
Unicast (and multicast) services.
Handovers.
Measurement of neighbour cells.
The following characteristics are applied to RRC_CONNECTED:
S1 connected.
UE is known by C-RNTI.
What is required now is to be registered with the network and to be able to access services from the
network. This is achieved by the UE initiating an Attach Procedure when it sends the RRC Connection
Request message. The attach procedure and mobility management states for the NAS are described
next.
2008 Motorola, Inc.
LTE
State Characteristics of the RRC Version 1 Rev 2
State Characteristics of the RRC
UE not known in eNB
No Meas Control
No S1 Connection
BCCH Information
Cell (Re)selection
Paging
RRC_IDLE
UE is known by C-RNTI
S1 Connected
Meas of neighbour
cells
Handovers
Unicast and multicast
services
Data is rx/tx using C-RNTI
RRC_CONNECTED
RACH
RRC Messages
RRC NAS Messages
UE Power On
2008 Motorola, Inc.
9-29
LTE
Version 1 Rev 2 NAS Protocol States and State Transitions
NAS Protocol States and State Transitions
The NAS state model is based on a two-dimensional model which consists of EPS Mobility
Management (EMM) states describing the mobility management states that result from the mobility
management procedures e.g. Attach and Tracking Area Update procedures, and of EPS Connection
Management (ECM) states describing the signalling connectivity between the UE and the EPC.
The ECM and EMM states are independent of each other and when the UE is in EMM-CONNECTED
state this does not imply that the user plane (radio and S1 bearers) is established.
NAS and AS State Characteristics
The relation between NAS and AS states is characterised by the following principles:
EMM-DEREGISTERED & ECM-IDLE RRC_IDLE:
In this condition the UE is not known by the network. It has to select a PLMN and signal to the
network for its IMSI to become registered. This is achieved during the attach procedure, until
this occurs the location of the UE is unknown.
EMM-REGISTERED andECM-IDLE RRC_IDLE:
In this condition the UE has registered with the network, hence it has a SAE-Temporary Mobile
Subscriber Identity (S-TMSI) and its position is known at Tracking Area (TA) level so it has
a Tracking Area Identity (TAI) Code. An IP address will have been allocated to the UE by the
P-GW selected by the MME.
The UE will be able to perform cell reselections.
EMM-REGISTERED and ECM-CONNECTED with RBs established RRC_CONNECTED:
In this state the UE has a full context for data transmission and data reception. It is known by
the EPC on a cell level. In the case of an inter MME handover the EPC will be involved in the
handover.
2008 Motorola, Inc.
LTE
NAS Protocol States and State Transitions Version 1 Rev 2
NAS Protocol States and State Transitions
Registration
No data transfer
PLMN selection
UE unknown
IMSI identifier
No RRC or EPC Context
RRC: Null
EMM-DEREGISTERED
&
ECM-IDLE
UE Power
On
DRX on DL
TA Update
UE known at TA level
S-TMSI, TA-ID & IP-Addr
EPC Context
RRC: IDLE
EMM-REGISTERED
&
ECM-IDLE
UL/DL data transfer
Handovers
UE known at Cell level
S-TMSI, TA-ID & IP-Addr
RRC & EPC Context
RRC: CONNECTED
EMM-REGISTERED
&
ECM-CONNECTED
Service Request
TA-update paging etc
De-Registration
Inactivity Periodic TA-update
timeout out of area
2008 Motorola, Inc.
9-31
LTE
Version 1 Rev 2 Network Attach Procedure
Network Attach Procedure
A UE/user needs to register with the network to receive services that require registration. This registration
is described as Network Attachment. The always-on IP connectivity for UE/users of the SAE system is
enabled by establishing a basic IP bearer during Network Attachment.
It is assumed that the random access procedure described on the previous page has already taken place
and the rst message to be transmitted on the DCCH will be the UL information transfer containing the
attach request message.
The procedure indicated on the slide opposite shows the information ow for the attach procedure.
Network Attach Information Flow
The procedure indicated on the slide opposite shows the information ow for the attach procedure. The
sequence of steps may change because of solutions for key issues as the specications evolve. The
steps are describe below:
1. The UE discovers the SAE/LTE access system(s) and performs access system and network
selection. If network sharing is present, a shared network may be selected.
2. The UE sends an attach request to the MME/UPE, including its old registration information, e.g.
temporary identity. If the UE has no old registration information it includes its permanent identity.
In case network sharing is applied the attach request includes information for selecting network or
MME/UPE. The Evolved RAN selects the MME/UPE. The attach request may include information
on Default IP Access Bearer (e.g. user preferred IP address and APN).
3. If old registration information was sent by the UE the MME/UPE tries to retrieve user information
from the old MME/UPE by sending the old registration information.
4. The old MME/UPE sends user information, e.g. the permanent user identity, to the MME/UPE.
5. The user/UE is authenticated in the new MME/UPE.
6. The MME/UPE registers itself as serving the UE in the HSS.
7. The user/UE information in the old MME/UPE is deleted or the user/UE is marked as not present.
8. The HSS conrms the registration of the new MME/UPE. Subscription data authorising the default
IP access bearer are transferred. Information for policy and charging control of the default IP access
bearer is sent to the MME/UPE.
9. An S-GW/P-GW is selected. The IP address conguration is determined by user preferences
received from the UE, by subscription data, or by HPLMN or VPLMN policies.
10. The S-GW/P-GW congures the IP layer with the determined user IP address. The user plane is
established and the default policy and charging rules are applied. The user plane establishment is
initiated by the UE or by the MME/UPE.
11. The MME/UPE provides the E-UTRAN with QoS congurations for the default IP access bearer,
e.g. the upper limits for transmission data rates.
12. The MME/UPE accepts the UEs network attachment and allocates a temporary identity to the UE.
Also the determined user IP address is transferred.
13. Roaming restrictions are checked and if violated the network attachment is rejected.
14. The UE acknowledges the success of the network attachment.
3GPP TR 23.882 V1.1415.0 (2008-0102) 3GPP SAE Technical Options and Conclusions
2008 Motorola, Inc.
LTE
Network Attach Procedure Version 1 Rev 2
Network Attach Procedure
HSS Old MME/UPE UE eNB
Random Access Random Access
MME
DCCH UL-SCH
UL INFORMATION TRANSFER
NAS: ATTACH REQUEST
Old S-TMSI, TAI (if none IMSI)
UE capabilities
IP version support
RRC_IDLE
RRC_CONNECTED
EMM Deregistered
and ECM_IDLE
S1-AP INITIAL UE MESSAGE
NAS: ATTACH REQUEST
Old S-TMSI, TAI (if none IMSI)
UE capabilities
IP version support
S1-AP DL NAS TRANSPORT
NAS: Authentication Request
RAND, AUTH, KSIASME
DCCH DL-SCH
DL INFORMATION TRANSFER
NAS: Authentication Request
RAND, AUTH, KSIASME
Calculate
AUTN, RES &
keys
DCCH UL-SCH
UL INFORMATION TRANSFER
NAS: Authentication response
RES
Authenticate
network
S1-AP UL NAS TRANSPORT
NAS: Authentication response
RES
Check RES
Select S-GW and
P-GW
Collect old registration information
AUTHENTICATION DATE REQ
IMSI
MCC+MNC
Network Type
AUTHENTICATION DATE RES
MME Security context(s)
RAND, XRES, CK, IK,
AUTH (AVs)
Register MME
Delete registration
S-GW P-GW UE eNB
MME
CREATE DEF. BEARER REQ
IMSI
MME context ID
P-GW address
Supported IP versions
CREATE DEF. BEARER REQ
S-GW address
S5 TEID
Supported IP versions
Allocate
user IP
CREATE DEF. BEARER RESP
P-GW address
S5 TEID
User IP
CREATE DEF. BEARER RESP
S-GW address
S1 TEID
User IP
INITIAL CONTEXT SETUP REQ
NAS: Attach Accept
S-TMSI
UE capabilities
Security context
S-GW address
S1 TEID
Calculate
E-UTRA
keys
RRC CONN. RECONFIG
NAS: Attach Accept
S-TMSI
Equivalent TA list
User IP
Security configuration
RRC CONN. RECONFIG COMPL
NAS: Attach Complete
INITIAL CONTEXT SETUP RESP
NAS: Attach Complete
S1 UE id
eNB address
S1 TEID
UPDATE BEARER REQ
eNB address
S1 TEID
UPDATE BEARER RESP
EMM Registered and
ECM_CONNECTED
Default IP
Connectivity
established i.e.
always on IP
connectivity
RRC_IDLE
EMM Registered and
ECM_IDLE
2008 Motorola, Inc.
9-33
LTE
Version 1 Rev 2 LTE Pooling Relationships
LTE Pooling Relationships
A pool area is dened in LTE/SAE as an area within which a UE may roam without need to change the
serving MME node. A pool area is served by one or more MMEs (pool of MMEs) in parallel. All the cells
controlled by a eNB belong to the same one (or more) pool area(s). Connectivity between eNBs and
UPEs may follow the MME-pool/pool area conguration or be independent of it.
MMEs and eNodeBs within Pool Areas
In SAE/LTE the entity that controls roaming activities of a UE across tracking areas within a pool area
and across pool areas is the MME. Actually, a pool area can be regarded as an area consisting of a list
of Tracking Areas and hence a list of eNBs that control cells within these tracking areas.
The relation between eNBs and MMEs along the pool area denition in the context of the S1-ex concept
is realised by conguration that enables e.g. an eNB to contact the MME in case of initial access/attach,
further it allows an MME to contact the relevant set of eNBs in case of paging.
The slide opposite depicts the pool area concept. As shown, a Pool Area in LTE/SAE is served by
a corresponding pool of MMEs. Pool areas might overlap, hence the RAN nodes (eNBs) within the
overlapping area may be served by more than one pool of MMEs.
UPEs and eNBs within Pool Areas
Selection of the UPE will take place at initial attach (after the authentication procedure has been
performed) or in course of an MME relocation with UPE involvement. In both cases, UPE selection has
to be regarded as a MME function, whereas the eNB is informed about the UPE to contact by means
of S1 signalling.
The slide opposite depicts the pool area concept with UPEs. As shown, there might be different kinds of
connectivity restrictions on S1 between eNBs and UPEs.
Scenario 1 These restrictions might follow the MME Pool / Pool Area conguration, i.e. a pool
of MMEs constitutes a service area that corresponds to the service area of a pool of UPEs
Scenario 2 There might be no restrictions at all, i.e. a pool of UPEs has full connectivity to all RAN
nodes and can be selected by all MMEs in a PLMN
Scenario 3 Or the UPE pool conguration is de-coupled from the MME pool/pool area denition.
In any case, it is the MME that should have knowledge about the UPE nodes that can be selected
and consequently the MME should be in the position to trigger a UPE relocation if needed.
2008 Motorola, Inc.
LTE
LTE Pooling Relationships Version 1 Rev 2
LTE Pooling Relationships
eNB1
MME
eNB2 eNB3 eNB4 eNB5 eNB6 eNB7 eNB8 eNB9
MME
MME
MME
MME
MME
MME
MME
MME Pool A MME Pool B
Pool Area X Pool Area Y
eNB1
MME
MME
MME
MME
MME
MME
MME
MME
UPE
UPE
UPE
UPE Pool 2
UPE
UPE
UPE
UPE Pool 3
UPE
UPE
UPE
UPE Pool 1
Scenario 3
eNB1
MME
MME
MME
MME
MME
MME
MME
MME
UPE
UPE
UPE
UPE Pool 1
UPE
UPE
UPE
UPE Pool 2
Scenario 1
eNB1
MME
MME
MME
MME
MME
MME
MME
MME
UPE
UPE
UPE
UPE Pool 1
Scenario 2
2008 Motorola, Inc.
9-35
LTE
Version 1 Rev 2 LTE Mobility Identities
LTE Mobility Identities
When the UE is in EMM-Registered state it will be identied by a S-TMSI within the MME and can be
reached within a Tracking Area Identity (TAI).
Globally Unique Temporary UE Identity
The MME shall allocate a Globally Unique Temporary Identity (GUTI) to the UE.
The GUTI has two main components:
one that uniquely identies the MME which allocated the GUTI; and
one that uniquely identies the UE within the MME that allocated the GUTI.
Within the MME, the mobile is identied by the M-TMSI.
The Globally Unique MME Identier (GUMMEI) is constructed from MCC, MNC and MME Identier
(MMEI).
In turn the MMEI is constructed from an MME Group ID (MMEGI) and an MME Code (MMEC). The
MMGEI is the MME pool ID and the MMEC is the MME within that pool.
The GUTI is constructed from the GUMMEI and the M-TMSI.
The operator needs to ensure that the MMEC is unique within the MME pool area and, if overlapping
pool areas are in use, unique within the area of overlapping MME pools.
SAE-Temporary Mobile Subscriber Identity (S-TMSI)
For paging, the mobile is paged with the S-TMSI. The S-TMSI is constructed from the MMEC and the
M-TMSI.
The GUTI is used to support subscriber identity condentiality, and, in the shortened S-TMSI form, to
enable more efcient radio signalling procedures (e.g. paging and Service Request).
Tracking Area Identity (TAI)
This is the identity used to identify tracking areas. The Tracking Area Identity is constructed from the
Mobile Country Code (MCC), Mobile Network Code (MNC) and Tracking Area Code (TAC).
The TAI is assigned to a number of cells grouped together for paging purposes.
2008 Motorola, Inc.
LTE
LTE Mobility Identities Version 1 Rev 2
LTE Mobility Identities
3 BCD
digits
2 or 3
BCD
digits
MMEGI
(MME Group ID)
MMEC
(MME Color)
Code
16 bits 8 bits 32 bits
Globally Unique Temporary ID
S-TMSI
M-TMSI
MMEC
8 bits 32 bits
TAI
MNC MCC
3 BCD
digits
2 or 3
BCD
digits
TAC
An M-TMSI is the unique part of a
GUTI within the domain of one MME.
A GUTI is globally unique.
A GUTI is allocated to each
UE by the serving MME.
An M-TMSI is the
uniqueness part of a GUTI
within the domain of one
MME.
An S-TMSI is unique within
the domain of an MME Pool.
A UE is paged with its S-
TMSI
The UE identifies itself in a
service request with the S-
TMSI
S-TMSI
TAI
MME Pool # MME #
within Pool
There is an extended TAC
size relative to the support of
networks with a high quantity
of femto cells
Paging Area is defined by a
list of TAIs
TBD bits
TAC (extended size)
TBD bits
(Recommendation is currently 16 bits)
(Recommendation is currently 128 bits)
The MMEC must be unique within the
MME pool area and, if overlapping pool
areas are in use, unique within each
area of overlapping MME pools.
GUTI
MNC MCC MMEI (MME ID) M-TMSI
GUMMEI
MMEs View
of UEs ID
UEs ID used
for Paging
UEs ID used
In Signaling
ID specifying
Tracking Area
2008 Motorola, Inc.
9-37
LTE
Version 1 Rev 2 Tracking Area Update Procedure
Tracking Area Update Procedure
When the UE moves between different TAI it will have to perform a Tracking Area Update (TAU)
procedure. The UE detects a change to a new TA by discovering that its current TAI is not in the list of
TAIs that the UE registered with the network, or the UE reselects an E-UTRAN cell and is not registered,
or updated with the MME (e.g. periodic TAU timer expired while camping on GERAN or UTRAN), or the
UE was in PMM_Connected state (e.g. URA_PCH) when it reselects an E UTRAN cell.
There are three different types of TAU:
Tracking Area Update procedure with S-GW change.
Tracking Area Update without S-GW change.
Routing Area Update with MME interaction and without SGW change (2G/3G to LTE).
In this course we shall only concentrate on the TAU procedure with S-GW change.
Tracking Area Update Procedure with S-GW Change
The procedure after the TA change has been discovered is:
1. The UE initiates the TAU procedure by sending a TAU Request (old GUTI, last visited TAI etc)
message together with an indication of the Selected Network to the eNB.
2. The eNB derives the MME from the GUTI and from the indicated Selected Network. The eNB
forwards the TAU Request message together with an indication of the E-UTRAN Area Identity, a
globally unique E-UTRAN ID, of the cell from where it received the message and with the Selected
Network to the new MME.
3. The new MME sends a Context Request (old GUTI, complete TAU Request message) message to
the old MME/old S4 SGSN to retrieve user information. The new MME/old S4 SGSN derives the
old MME from the old GUTI. If the new MME indicates that it has authenticated the UE or if the old
MME correctly validates the UE, then the old MME starts a timer.
4. The old MME/old S4 SGSN responds with a Context Response (MME context (e.g. IMSI, MSISDN,
unused EPS Authentication Vectors, KSI
ASME
, K
ASME
, bearer contexts, S-GW signalling Address and
TEID(s). The P-GWAddress and TEID(s) (for GTP-based S5/S8) or GRE Keys (PMIP-based S5/S8
at the P-GW(s) for uplink trafc) is part of the Bearer Context.
5. If the integrity check of TAU Request message failed, then authentication is mandatory. If GUTI
allocation is going to be done and the network supports ciphering, the NAS messages shall be
ciphered.
6. The new MME determines whether to relocate the S-GW or not. The S-GW is relocated when the
old S-GW cannot continue to serve the UE. The new MME may also decide to relocate the S-GW
in case a new S-GW is expected to serve the UE longer and/or with a more optimal UE to P-GW
path, or in case a new S-GW can be co-located with the P-GW.
The new MME sends a Context Acknowledge (S-GW change indication) message to the old
MME/old S4 SGSN. S-GW change indication indicates a new S-GW has been selected. The old
MME/old S4 SGSN marks in its context that the information in the GWs and the HSS are invalid.
This ensures that the old MME/old S4 SGSN updates the GWs and the HSS if the UE initiates a
TAU procedure back to the old MME/old S4 SGSN before completing the ongoing TAU procedure.
If the security functions do not authenticate the UE correctly, then the TAU shall be rejected, and
the new MME shall send a reject indication to the old MME/old S4 SGSN. The old MME/old S4
SGSN shall continue as if the Identication and Context Request was never received.
7. The MME constructs an MM context for the UE. The MME veries the EPS bearer status received
from the UE with the bearer contexts received from the old MME/old S4 SGSN and releases any
network resources related to EPS bearers that are not active in the UE. If there is no bearer context
suitable for default bearer or no bearer context at all, the MME rejects the TAU Request. If the new
MME selected a new S-GW it sends a Create Bearer Request (IMSI, bearer contexts, MME Context
ID, Type, the Protocol Type over S5/S8) message to the selected new S-GW. The P-GW address
and DL TFT (for PMIP-based S5/S8) are indicated in the bearer Contexts. Type indicates to the
S-GW to send the Update Bearer Request the P-GW. The Protocol Type over S5/S8 is provided to
S-GW which protocol should be used over S5/S8 interface.
8. The new S-GW sends the message Update Bearer Request (S-GW Address, S-GW TEID) to the
P-GW concerned.
9. The P-GW updates its bearer contexts and returns an Update Bearer Response (MSISDN, P-GW
address and TEID(s)) message. The MSISDNis included if the P-GWhas it stored in its UE context.
2008 Motorola, Inc.
LTE
Tracking Area Update Procedure Version 1 Rev 2
Old MME/old
S4 SGSN Old S-GW UE eNB New MME New S-GW P-GW HSS
UE changes
to new TA
TAU Request
TAU Request
Context Request
Context Response
Authentication
Context Acknowledgement
Create Bearer Request
Update Bearer Request
Update Bearer Response
Create Bearer Response
Update Location
Cancel Location
Cancel Location Ack
2008 Motorola, Inc.
9-39
LTE
Version 1 Rev 2 Tracking Area Update Procedure
10. The S-GW updates its bearer context. This allows the S-GW to route bearer PDUs to the P-GW
when received from eNB.
The S-GW returns a Create Bearer Response (MME Context ID, S-GW address and TEID for user
plane, S-GW Context ID) message to the new MME.
11. The new MME veries whether it holds subscription data for the UE identied by the GUTI, the
additional GUTI or by the IMSI received with the context data from the old CN node. If there are
no subscription data in the new MME for this UE then the new MME sends an Update Location
(MME Identity, IMSI, Update Type) message to the HSS. Update Type indicates that only the MME
registration shall be updated in HSS. Update Type indicates whether HSS should cancel location
to the other RAT as well.
12. The HSS sends the message Cancel Location (IMSI, Cancellation Type) to the old MME with
Cancellation Type set to Update Procedure.
13. If the timer started in step 3 is not running, the old MME removes the MM context. Otherwise, the
contexts are removed when the timer expires. It also ensures that the MM context is kept in the
old MME for the case the UE initiates another TAU procedure before completing the ongoing TAU
procedure to the new MME. The old MME acknowledges with the message Cancel Location Ack
(IMSI).
14. The HSS sends Insert Subscriber Data (IMSI, Subscription Data) to the new MME. The new MME
validates the UEs presence in the (new) TA. If due to regional subscription restrictions or access
restrictions the UE is not allowed to be attached in the TA, the MME rejects the Tracking Area
Update Request with an appropriate cause to the UE, and may return an Insert Subscriber Data Ack
(IMSI, MME Area Restricted) message to the HSS. If all checks are successful, the MME constructs
an MM context for the UE and returns an Insert Subscriber Data Ack (IMSI) message to the HSS.
15. The HSS acknowledges the Update Location message by sending an Update Location Ack to the
new MME. If the Update Location is rejected by the HSS, the new MME rejects the Attach Request
from the UE with an appropriate cause.
16. When the timer started in step 3 expires the old MME/old S4 SGSN releases any local MME or
SGSN bearer resources and if it received the S-GW change indication in the Context Acknowledge
message, the old MME/old S4 SGSN deletes the EPS bearer resources by sending Delete Bearer
Request (Cause, TEID) messages to the S-GW. Cause indicates to the old S-GWthat the old S-GW
shall not initiate a delete procedure towards the P-GW. If the MME has not changed, step 10 triggers
the release of EPS bearer resources when a new S-GW is allocated.
17. The S-GW acknowledges with Delete Bearer Response (TEID) messages.
18. The MME sends a TAU Accept (GUTI, TAI list, EPS bearer status, KSI, NAS sequence number,
NAS-MAC, NAS security algorithm) message to the UE. If the active ag is set the MME may
provide the eNodeB with Handover Restriction List. GUTI is included if the MME allocates a new
GUTI. If the "active ag" is set in the TAU Request message the user plane setup procedure can be
activated in conjunction with the TAU Accept message. The MME indicates the EPS bearer status
IE to the UE. The UE removes any internal resources related to bearers that are not marked active
in the received EPS bearer status.
19. If GUTI or NAS security algorithm was included in the TAU Accept, the UE acknowledges the
received message by returning a TAU Complete message to the MME. If NAS security algorithm
was included in the TAU Accept, the NAS sequence number and NAS-MAC message shall be
included in the TAU Complete. With the TAU Complete message the UE starts using the NAS
security algorithm indicated by the MME, i.e. the TAU Complete message shall be protected by the
NAS security algorithm indicated by the MME.
2008 Motorola, Inc.
LTE
Tracking Area Update Procedure Version 1 Rev 2
Old MME/old
S4 SGSN Old S-GW UE eNB New MME New S-GW P-GW HSS
Insert Subscriber Data
Insert Subscriber Data Ack
Update Location Ack
Delete Bearer Request
Delete Bearer Response
TAU Accept
TAU Complete
2008 Motorola, Inc.
9-41
LTE
Version 1 Rev 2 Initial Context Setup Procedure
Initial Context Setup Procedure
When the UE performed the attach procedure a default IP-connectivity had been established and the
UE was in EMM-Registered and ECM-Idle states. Therefore the UE is able to either initiate a context
setup or the network may initiate the context setup by paging the UE. The context procedure allows the
bearers to be set up to allow data transfer.
In the case of the UE initiating the call the contention based random access procedure will be used, if it
was network initiating then the non-contention based random access procedure might be used.
Network Originating Context Setup
If an incoming data packet is received at the P-GW the following procedure will take place:
1. Because a default IP conguration exists the P-GW will know which S-GW is responsible for the
target UE and the data will be forwarded to it.
2. The S-GW will discover it has no S1U resources for that UE and will request the MME to establish
these resources.
3. The MME will check the state of the UE and retrieve the TA it is registered with and will trigger
paging to the cells responsible for the UEs TA.
4. The UE contacts the network using a RRC Connection Request message containing the service
request and the eNB will forward this message to the MME in the S1AP Initial UE Message.
5. The MME correlates the UE request with the paging procedure and it is now possible to start data
transmission on default resources.
6. The MME initiates the Initial Context Setup procedure by sending Initial Context Setup Request to
the eNB. This message may include general UEContext (e.g. security context, roaming restrictions,
UE capability information, UE S1 signalling connection ID, etc.), EPS bearer context (Serving GW
TEID, QoS information), and may be piggy-backed with the corresponding NAS message.
7. Upon receipt of Initial Context Setup Request, the eNB setup the context of the associated UE, and
perform the necessary RRC signalling towards the UE, e.g. Radio Bearer Setup procedure.
8. The eNB responds with Initial Context Setup Complete to inform a successful operation, and with
Initial Context Setup Failure to inform an unsuccessful operation.
3GPP TS 36.300 V8.5.0 (200805) E-UTRA and E-UTRAN; Overall description; Stage 2 (Release 8)
2008 Motorola, Inc.
LTE
Initial Context Setup Procedure Version 1 Rev 2
Initial Context Setup Procedure
S-GW P-GW UE eNB
MME
UE in EMM-REGISTERED & ECM-IDLE - default IP connectivity established
Incoming
Packets
S5 - Data
S11 - Resource request
S1AP Paging
PCCH (PCH) Paging
UL-SCH RRC Conn Req
NAS Service Request
S1-AP Initial UE Message
NAS Service Request
eNB UE Signalling
connection ID
S1-AP Initial Context
Setup Request
NAS message
MME UE Signalling connection
Security context
UE Capability Information
Bearer Setup (S-GW TEID, QoS
profile)
RRC RB Setup
NAS - Activate Initial Context
AS RB Setup Command
Security Mode Command
RRC RB Setup Comp
NAS - Initial Context Accept
AS RB Setup Complete
Security Mode Complete
S1-AP Initial Context
Setup Complete
eNB UE signalling conn ID
Bearer Setup Confirm (eNB
TEID
S11 - Resource confirm
S1-U Transfer UP Packets
DTCH (DL-SCH)
2008 Motorola, Inc.
9-43
LTE
Version 1 Rev 2 Intra MME/S-GW Handover
Intra MME/S-GW Handover
The objective of this section are to describe the information ow for an intra MME handover.
Control Plane Information Flow
The intra MME/S-GW handover ow is described below:
1. The UE context within the source eNB will contain information about the roaming restrictions which
were provided at either connection establishment, initial attach or the last tracking area update.
Based on this information the eNB will congure the UE measurement procedures according to the
area restriction information through system information within the RRC Connection Reconguration
messages.
2. The UE will send the Measurement Report based on the RRM information to handover the UE. The
RRM information depends on the handover strategy deployed for that cell.
3. The source eNB issues a Handover Request message to the target eNB passing necessary
information to prepare the HO at the target side.
4. Admission Control may be performed by the target eNB dependent on the received EPS bearer
QoS information to increase the likelihood of a successful HO, if the resources can be granted
by target eNB. The target eNB congures the required resources according to the received EPS
bearer QoS information and reserves a C-RNTI and optionally a RACH preamble.
5. Target eNB prepares HO with L1/L2 and sends the Handover Request Acknowledge to the source
eNB. The Handover Request Acknowledge message includes a transparent container to be sent
to the UE as part of the Handover Command. The container includes a new C-RNTI, target eNB
security algorithm identiers for the selected security algorithms, it may also include a dedicated
RACH preamble.
6. The source eNB generates the Handover Command (RRC message) towards the UE. The
Handover Command includes the transparent container, which has been received from the
target eNB. The source eNodeB performs the necessary integrity protection and ciphering of
the message. The UE receives the Handover Command with necessary parameters (i.e. new
C-RNTI, target eNB security algorithm identiers etc).
7. The source eNB sends the SN Status Transfer message to the target eNB to convey the uplink
PDCP SN receiver status and the downlink PDCP SN transmitter status of SAE bearers for which
PDCP status preservation applies (i.e. for RLC AM).
8. After receiving the Handover Command, the UE performs synchronisation to target eNB and
accesses the target cell via RACH following a contention-free procedure if a dedicated RACH
preamble was allocated in Handover Command or following a contention-based procedure if
no dedicated preamble was allocated. UE derives target eNB specic keys and congures the
selected security algorithms to be used in the target cell.
9. Network responds with UL allocation and timing advance.
10. When the UE has successfully accessed the target cell, the UE sends the Handover Conrm
message (C-RNTI) along with an uplink Buffer Status Report whenever possible to the target
eNB to indicate that the handover procedure is completed for the UE. The target eNB veries the
C-RNTI sent in the Handover Conrm message. The target eNB can now begin sending data to
the UE.
11. The target eNB sends a Path Switch message to MME to inform that the UE has changed cell.
12. The MME sends a User Plane Update Request message to the S-GW.
13. The S-GW switches the downlink data path to the target side. The S-GW sends one or more "end
marker" packets on the old path to the source eNBand then can release any U-plane/TNL resources
towards the source eNB.
14. S-GW sends a User Plane Update Response message to MME.
15. The MME conrms the Path Switch message with the Path Switch Ack message.
16. By sending UE Context Release the target eNB informs success of HO to source eNB and triggers
the release of resources. The target eNB sends this message after the Path Switch Ack message
is received from the MME.
17. Upon reception of the UE Context Release message, the source eNBcan release radio and C-plane
related resources associated to the UE context.
2008 Motorola, Inc.
LTE
Intra MME/S-GW Handover Version 1 Rev 2
MME S-GW UE Source eNB Target eNB
Handover decision Handover decision
Call Admission Control Call Admission Control
DCCH: RRC CONN RECONFIG
Meas quantity (RSRP, RSSI etc
Reporting method (event/periodic)
DCCH: RRC CONN RECONFIG
Meas quantity (RSRP, RSSI etc
Reporting method (event/periodic)
DCCH: RRC Meas Report
Meas results
Physical cell id
DCCH: RRC Meas Report
Meas results
Physical cell id X2-AP Handover request
old X2AP UE id
HO cause
Target cell
Bearer id, QoS
MME S1AP UE id, GUMMEI
SGW IP & TEID (current)
RRC context security params etc
X2-AP Handover request
old X2AP UE id
HO cause
Target cell
Bearer id, QoS
MME S1AP UE id, GUMMEI
SGW IP & TEID (current)
RRC context security params etc
X2-AP Handover request Ack
old & new X2AP UE id
EPS bearer id
DL TEID (DL forwarding)
UL TEID (UL forwarding)
Uu interface HO Cmd
X2-AP Handover request Ack
EPS bearer id
DL TEID (DL forwarding)
UL TEID (UL forwarding)
Uu interface HO Cmd
DCCH: RRC CONN
RECONFIG.REQ
Physical cell id
New C-RNTI
PRACH config, preamble index
PhyCH conf (PHICH, PUCCH)
Security algorithms
L2 config
DCCH: RRC CONN
RECONFIG.REQ
Physical cell id
New C-RNTI
PRACH config, preamble index
PhyCH conf (PHICH, PUCCH)
Security algorithms
L2 config
Assign C-RNTI and
dedicated preamble
Assign C-RNTI and
dedicated preamble
Detach from old cell
and synchronise to
new cell
GTP-U Data
and synchronise to
new cell
GTP-U Data
Uu: RRC X2-C: X2AP S1-MME: S1AP S11: GTP-C
2008 Motorola, Inc.
9-45
LTE
Version 1 Rev 2 Intra MME/S-GW Handover
User Plane Information Flow
The U-plane handling during the Intra-E-UTRAN-Access mobility activity for UEs in ECM-CONNECTED
takes the following principles into account to avoid data loss during HO:
During HO preparation U-plane tunnels can be established between the source eNB and the target
eNB. There is one tunnel established for uplink data forwarding and another one for downlink data
forwarding for each SAE bearer for which data forwarding is applied.
During HO execution, user data can be forwarded from the source eNB to the target eNB. The
forwarding may take place in a service and deployment dependent and implementation specic
way.
Forwarding of downlink user data from the source to the target eNB should take place in order
as long as packets are received at the source eNB from the EPC or the source eNB buffer has
not been emptied.
During HO completion:
The target eNB sends a Path Switch message to MME to inform that the UE has gained access
and MME sends a User Plane Update Request message to the S-GW, the U-plane path is
switched by the S-GW from the source eNB to the target eNB.
The source eNB should continue forwarding of U-plane data as long as packets are received
at the source eNB from the S-GW or the source eNB buffer has not been emptied.
3GPP TS 36.300 V8.5.0 (200805)
2008 Motorola, Inc.
LTE
Intra MME/S-GW Handover Version 1 Rev 2
SN Status Transfer
old and new X2AP UE id
UL receive status (A/N bitmap)
UL count (SN of 1
st
missing SDU)
DL count (SN for next new SDU)
SN Status Transfer
old and new X2AP UE id
UL receive status (A/N bitmap)
UL count (SN of 1
st
missing SDU)
DL count (SN for next new SDU)
Start Data
Forwarding
Buffer packets from
source eNB
GTP-U: Data
(buffered & S1)
Start Data
Forwarding
Buffer packets from
source eNB
GTP-U: Data
(buffered & S1)
L1/L2: RA Response
Preamble id, TA, UL grant
L1/L2: RA Response L1/L2: RA Response
Preamble id, TA, UL grant
L1/L2: RA Preamble L1/L2: RA Preamble
Verify
Preamble
Verify
Preamble
RRC CONN.RECONFIG.CMPL
C-RNTI
Buffer status report (MAC level)
RRC CONN.RECONFIG.CMPL
C-RNTI
Buffer status report (MAC level)
PDCP: STATUS REPORT
DL receive status (A/N bitmap)
PDCP: STATUS REPORT
DL receive status (A/N bitmap)
Path Switch Request
eNB S1AP UE id
MME S1AP UE id (source)
EPS Bearer id
eNB IP and TEID
Derive MME
address from
GUMMEI
Path Switch Request
eNB S1AP UE id
MME S1AP UE id (source)
EPS Bearer id
eNB IP and TEID
Derive MME
address from
GUMMEI
Update Bearer Req
EPS Bearer id
eNB IP and TEID
Update Bearer Req
EPS Bearer id
eNB IP and TEID
Switch DL Path
GTP-U End marker
PDCP: Data
GTP-U: End Marker
(Re) transmit all SDUs not
successfully received by UE
Discard end marker
initiate in-order delivery
Switch DL Path
GTP-U End marker
PDCP: Data
GTP-U: End Marker
(Re) transmit all SDUs not
successfully received by UE
Discard end marker
initiate in-order delivery
GTP-U: Data PDCP: Data GTP-U: Data PDCP: Data
GTP-U: Data (last)
Release resources
GTP-U: Data (last)
Release resources
Update Bearer Resp
Cause
EPS Bearer id
Update Bearer Resp
Cause
EPS Bearer id
Path Switch Request Ack
eNB & MME S1AP UE id
EPS Bearer id
S-GW IP & TEID (S1-U)
Path Switch Request Ack
eNB & MME S1AP UE id
EPS Bearer id
S-GW IP & TEID (S1-U)
UE Context Release
UE Context Release
2008 Motorola, Inc.
9-47
LTE
Version 1 Rev 2 Inter MME/S-GW Handover
Inter MME/S-GW Handover
The inter eNB handover with MME relocation procedure is used to relocate the MME only, or both the
MME and the S-GW. The procedure is initiated in the source eNB which also selects the target MME. The
MME will not be relocated during inter-eNB handover unless the UE leaves the MME Pool Area where
the UE is served. If the target MME determines the S-GW needs to be relocated, then it is selected by
the target MME.
The source eNB decides which of the EPS bearers are subject for forwarding of packets from the
source eNB to the target eNB. The EPC does not change the decisions taken by the RAN node. Packet
forwarding can take place either directly from the source eNB to the target eNB, or indirectly from the
source eNB to the target eNB via the source and target S-GWs (or if the S-GW is not relocated, only
the single S-GW).
The availability of a direct forwarding path is determined in the source eNB and indicated to the source
MME. If X2 connectivity is available between the source and target eNBs, a direct forwarding path is
available.
If a direct forwarding path is not available, indirect forwarding may be used. The MMEs (source and
target) use conguration data to determine whether indirect forwarding paths are to be established.
Depending on conguration data, the source MME determines and indicates to the target MME whether
indirect forwarding paths should be established. Based on this indication and on its conguration data,
the target MME determines whether indirect forwarding paths are established.
2008 Motorola, Inc.
LTE
Inter MME/S-GW Handover Version 1 Rev 2
X2 X2 X2
MME Pool
Area 1
MME Pool
Area 2
MME/
S-GW
S10 S10 S10
S1
MME/
S-GW
MME/
S-GW
MME/
S-GW
P-GW
S5/8
Handover
Command
Handover
Confirm
Direct Forwarding
Indirect Forwarding
2008 Motorola, Inc.
9-49
LTE
The objective of this section are to describe the information ow for an inter MME handover.
Control/User Plane Information Flow
The inter MME/S-GW handover ow is described below:
1. The source eNB decides to initiate an inter-eNB handover with CN node relocation to the target
eNB. This can be triggered e.g. by no X2 connectivity to the target eNB, or by an error indication
from the target eNB after an unsuccessful X2-based handover, or by dynamic information learnt by
the source eNB.
2. The source eNB sends Handover Required to the source MME. The source eNB indicates which
bearers are subject to data forwarding. This message contains an indication whether direct
forwarding is available from the source eNB to the target eNB. This indication from source eNB
can be based on e.g. the presence of X2.
3. The source MME selects the target MME and sends a Forward Relocation Request (MME UE
context that includes the PDN GW addresses and TEIDs (for GTP-based S5/S8) or GRE keys (for
PMIP-based S5/S8) at the PDN GW(s) for uplink trafc and S-GW addresses and TEIDs for uplink
trafc) message to the target MME. This message also includes an indication if direct forwarding is
applied, or if indirect forwarding is going to be set up by the source side.
4. The target MME veries whether the source S-GW can continue to serve the UE. If not, it selects
a new S-GW.
If the source S-GW continues to serve the UE, no message is sent in this step. In this case, the
target S-GW is identical to the source S-GW.
If a new S-GW is selected, the target MME sends a Create Bearer Request (bearer context(s) with
P-GW addresses and TEIDs (for GTP-based S5/S8) or GRE keys (for PMIP-based S5/S8) at the
P-GW(s) at the P-GW(s) for uplink trafc) message to the target S-GW. The target S-GW allocates
the S-GWaddresses and TEIDs for the uplink trafc on S1_Ureference point (one TEIDper bearer).
The target S-GW sends a Create Bearer Response (S-GW addresses and uplink TEID(s) for user
plane, the Protocol Type over S5/S8) message back to the target MME. The Protocol Type over
S5/S8 is provided to S-GW which protocol should be used over S5/S8 interface.
5. The Target MME sends Handover Request (S-GW addresses and uplink TEID(s) for user plane)
message to the target eNB. This message creates the UE context in the target eNB, including
information about the bearers, and the security context. The target eNB sends a Handover
Request Acknowledge message to the target MME. This includes the list of rejected EPS bearers
and addresses and TEIDs allocated at the target eNB for downlink trafc on S1_U reference point
(one TEID per bearer).
6. If indirect forwarding is used, the target MME sets up forwarding parameters in the target S-GW.
7. The target MME sends a Forward Relocation Response (S-GW change indication) message to
the source MME. In case of indirect forwarding is used this message includes S-GW Address and
TEIDs for indirect forwarding (source or target). S-GW change indication indicates a new S-GW
has been selected.
8. If indirect forwarding is used, the source MME updates the source S-GW about the tunnels used
for indirect forwarding. In case the S-GW is relocated it includes the tunnel identier to the target
S-GW.
9. The source MME sends a Handover Command (target addresses and TEID(s) for data forwarding)
message to the source eNB.
10. The Handover Command is sent to the UE. Upon reception of this message the UE will remove
any EPS bearers for which it did not receive corresponding EPS radio bearers in the target cell.
11. The source eNB should start forwarding of downlink data from the source eNB towards the target
eNB for bearers subject to data forwarding.
2008 Motorola, Inc.
LTE
Source
MME
Source
S-GW
UE Source eNB
Target eNB
Target
MME
Target
S-GW
P-GW HSS
Area Restriction Information
Packet Data Packet Data
Ho Decision
Handover Required Forward Relocation
Request
Create Bearer Request
Create Bearer Response
Forward Relocation
Response
Handover Request
Handover Request Ack
Handover Command
Data Forwarding
and sync to new cell
Handover Confirm
Downlink Data
Uplink User Plane data
2008 Motorola, Inc.
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LTE
12. After the UE has successfully synchronized to the target cell, it sends a Handover Conrmmessage
to the target eNB. Downlink packets forwarded from the source eNB can be sent to the UE. Also,
uplink packets can be sent from the UE, which are forwarded to the target S-GW and on to the
P-GW.
13. The target eNB sends a Handover Notify message to the target MME.
14. The target MME sends a Forward Relocation Complete to the source MME. The source MME in
response sends a Forward Relocation Complete Acknowledge to the target MME. A timer in source
MME is started to supervise when resources in Source eNB and Source S-GW shall be released.
15. The target MME sends an Update Bearer Request (eNB addresses and TEIDs allocated at the
target eNB for downlink trafc on S1_U for the accepted EPS bearers, P-GW addresses and TEIDs
(for GTP-based S5/S8) or GRE keys (for PMIP-based S5/S8) at the P-GW(s) for uplink trafc)
message to the target S-GW.
16. If the S-GW is relocated, the target S-GW assigns addresses and TEIDs (one per bearer) for
downlink trafc from the P-GW. It sends an Update Bearer Request (S-GW addresses for user
plane and TEID(s)) message to the P-GW(s). The P-GW updates its context eld and returns an
Update Bearer Response (P-GW address and TEID, MSISDN, etc.) message to the S-GW. The
MSISDN is included if the P-GW has it stored in its UE context. The P-GW starts sending downlink
packets to the target S-GW using the newly received address and TEIDs. These downlink packets
will use the new downlink path via the target S-GW to the target eNB. An Update Bearer Response
message is sent back to the target S-GW.
If the Serving GW is not relocated, no message is sent in this step and downlink packets from the
Serving-GW are immediately sent on to the target eNodeB.
17. The target S-GW sends an Update Bearer Response (P-GW addresses and TEIDs (for GTP-based
S5/S8) or GRE keys (for PMIP-based S5/S8) at the P-GW(s) for uplink trafc) message to the target
MME.
18. The eNB triggers the UE to initiate a Tracking Area Update procedure with the target MME. It is
RAN functionality to provide the ECM CONNECTED UE with the trigger information.
The target MME knows that it is a Handover procedure that has been performed for this UE as
it received the bearer context(s) by handover messages and therefore the target MME performs
only a subset of the TA update procedure, specically it excludes the context transfer procedures
between source MME and target MME.
19. When the timer started in step 14 expires the source MME sends a Release Resources message to
the source eNB. The source eNB releases its resources related to the UE. When the timer started
in step 14 expires and if the source MME received the S-GW change indication in the Forward
Relocation Response message, it deletes the EPS bearer resources by sending Delete Bearer
Request (Cause, TEID) messages to the Source S-GW. Cause indicates to the old S-GW that the
S-GW changes and the old S-GW shall not initiate a delete procedure towards the P-GW. The
Source S-GW acknowledges with Delete Bearer Response (TEID) messages. If resources for
indirect forwarding have been allocated then they are released.
3GPP TS 36.300 V8.5.0 (200805)
2008 Motorola, Inc.
LTE
Source
MME
Source
S-GW
UE Source eNB
Target eNB
Target
MME
Target
S-GW
P-GW HSS
Handover Notify
Forward Relocation Complete
Forward Relocation Complete Ack
Downlink User Plane data
2008 Motorola, Inc.
9-53
LTE

LTE Overview MTS

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Long Term Evolution (LTE) Technical

Long Term Evolution (LTE) Technical Overview MTS

2008 Motorola, Inc.

2008 Motorola, Inc.

F3 - Key generating function used to compute CK

F2 - Message authentication function used to compute RES and XRES

F1* - Message authentication function used to compute MAC-S

F5* - Key generating function used to compute AK in re-synchronisation procedures

F5 - Key generating function used to compute AK in normal procedures

F4 - Key generating function used to compute IK

F9 - Signalling elements between the UE and eNB

F8 - Data transfer between the UE and eNB

7-10 Long Term Evolution (LTE) Technical Overview MTS

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