1. LTE/SAE CTS
Protocols & Procedures

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Outline
 EPS Network architecture
 User Plane Protocols
– PDCP, RLC, MAC
 Control Plane Protocols
– RRC, NAS
– SCTP, S1AP, X2AP
 Procedures
– MAC services and function
– RLC, PDCP functions
– Scheduling
– HARQ
– RRC

3. EPS network architecture

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Evolved Packet System—EPS
 Evolved Packet Core (EPC)
– Access to external networks
(mobility anchor)
– Subscription handling
– QoS management
– Idle mode mobility management
 E-UTRAN (“LTE”)
– Radio related functions
– Broadcast and paging
– Header compression, integrity
protection and ciphering
– Segmentation/concatenation
– Multiplexing and channel mapping
– Scheduling, link adaptation
– Random access
– Retransmissions
– Physical layer functions
– Measurement reporting and
configuration for mobility and
scheduling
– Mobility for connected mode UEs
EPC
E-UTRAN
E-UTRA Terminals
Internet,
Operator Service etc.
S1
EPS

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E-UTRAN – EPC Functional Split
from 3GPP TS 36.300 V8.8.0
internet
eNB
RB Control
Connection Mobility Cont.
eNB Measurement
Configuration & Provision
Dynamic Resource
Allocation (Scheduler)
PDCP
PHY
MME
S-GW
S1
MAC
Inter Cell RRM
Radio Admission Control
RLC
E-UTRAN EPC
RRC
Mobility
Anchoring
EPS Bearer Control
Idle State Mobility
Handling
NAS Security
P-GW
UE IP address
allocation
Packet Filtering

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Network Architecture
LTE Node B
LTE Node B
LTE Node B
LTE Node B
LTE Node B
MME MME MME
P-GW/
S-GW
P-GW/
S-GW
P-GW/
S-GW
P-GW/
S-GW
E-UTRAN
EPC
X2 X2
X2
X2
X2
X2
X2
S1-CP S1-CP
S1-CP
S1-CP S1-CP
S1-CP S1-CP
S1-CP
S11
S11
S11
S11
S11
S11
S1-UP
Air
interface
Gi

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EPS Bearer Architecture
UE eNB S-GW/P-GW ”Other end”
End-to-End Service
EPS Bearer Service External Bearer Service
E-UTRA Radio Bearer
Service
E-UTRAN Access
Bearer Service
EPS

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LTE Protocol Architecture

9. User Plane protocols

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User Plane protocol stack
Application
IP
PDCP
RLC
MAC
PHY
PDCP
RLC
MAC
PHY
GTP-U
UDP
IP
L1/L2
IP
GTP-U
UDP
IP
L1/L2
UE eNodeB CPG
Application
IP
”Other end”

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User Plane protocols (i)
 Packet Data Converged Protocol (PDCP)
– Ciphering
– Header compression using the RoHC protocol
– In-sequence delivery and retransmission of PDCP SDUs for
AM Radio Bearers at handover
– Duplicate detection
 Radio Link Control (RLC)
– In-sequence deliveryTransfer of upper layer PDUs supporting
AM, UM and TM data transfer
– Error Correction through ARQ
– Segmentation according to the size of the TB
– Re-segmentation of PDUs that need to be retransmitted
– Concatenation of SDUs for the same radio bearer
– Protocol error detection and recovery

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User Plane protocols (ii)
 Medium Access Control (MAC)
– Bearer multiplexing
– Priority handling
– Transport format selection
– Multiplexing/demultiplexing of RLC PDUs
– Scheduling Information reporting
– Error correction through HARQ
– Logical Channel Prioritisation
– Padding
 Physical Layer (PHY)
– Modulation
– Error correction
– User multiplexing

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User Plane protocol mapping
 SDU: Service Data Unit
 PDU: Protocol Data Unit
 PDUs of one layer are the
SDUs of its lower layer
PDCP
RLC
MAC
PHY
IP
IP packet
=
PDCP SDU
PDCP PDU
=
RLC SDU
RLC PDU
=
MAC SDU
MAC PDU
=
Transport Block

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Segmentation/Concatenation/Multiplexing
PDCP SDU
Higher Layer Payl.
H
H
PDCP
(Header Comp.
& Ciphering)
PDCP
header
Higher Layer PDU
Radio Bearer 1
RLC SDU
MAC
(multiplex.)
MAC SDU
CRC
PHY Transport Block
MAC
header
Higher Layer Payl.
H Higher Layer Payl.
H
Higher Layer PDU
Radio Bearer 1
Higher Layer PDU
Radio Bearer 2
H H
PDCP SDU
PDCP
header
PDCP SDU
PDCP
header
RLC
header
RLC
header
RLC SDU
RLC
header
RLC SDU
MAC SDU
MAC
header
CRC
Transport Block
RLC PDU RLC PDU RLC PDU
MAC PDU
RLC
(segm. &
concatenation)
Multiplexing
Concatenation Segmentation

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User Plane protocol structure DL
Segm.
Concat.
ARQ
Multiplexing UE1
Segm.
Concat.
ARQ
...
HARQ
Multiplexing UEn
HARQ
BCCH PCCH
Scheduling / Priority Handling
Logical Channels
Transport Channels
MAC
RLC
Segm.
Concat.
ARQ
Segm.
Concat.
ARQ
PDCP
ROHC ROHC ROHC ROHC
Radio Bearers
Security Security Security Security
...

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User Plane protocol structure UL
Multiplexing
...
HARQ
Scheduling / Priority Handling
Transport Channels
MAC
RLC
PDCP
Segm.
ARQ etc
Segm.
ARQ etc
Logical Channels
ROHC ROHC
Radio Bearers
Security Security

17. Control Plane protocols

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Control Plane protocol stack
NAS
RRC
PDCP
RLC
MAC
PHY
RRC
PDCP
RLC
MAC
PHY
S1AP
SCTP
IP
L1/L2
NAS
S1AP
SCTP
IP
L1/L2
UE eNodeB MME

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Control Plane protocols (i)
 Radio Resource Control (RRC)
– Broadcast and Paging
– RRC connection management
– RB control
– Mobility functions
– UE measurement reporting and control
 Non-Access Stratum (NAS)
– Bearer management
– Authentication
– Idle mode mobility handling
– Paging origination in EMM-IDLE
– Security control

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Control Plane protocols (ii)
 Stream Control Transmission Protocol (SCTP)
– Session oriented, flow controlled, in sequence transfer of
signaling messages over IP
– Similar to TCP but is message oriented instead byte
oriented
– Uses stream ID’s to identify logical signaling connection
between two nodes
 S1 Application Part (S1AP)
– Paging
– NAS signaling
– Initial Context setup
– EPS bearer management
– Handover when X2 not available
 X2 Application Part (X2AP)
– Control signaling between eNodeBs
– Load indication
– handovers

21. Procedures

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MAC procedure
 Retransmissions with soft combining, ”HARQ”
– N-channel stop-and-wait
 Bearer multiplexing, priority handling
 Transport format selection
Receiver processing
NAK
Receiver processing
ACK
3 7
TrBlk 3
TrBlk 3
RSN=0
Proc=3
RV=0
TrBlk 3
RSN=1
Proc=3
RV=3
Receiver processing
ACK
Receiver processing
ACK
2 6
TrBlk 5
TrBlk 2
TrBlk 2
RSN=0
Proc=2
RV=0
TrBlk 5
RSN=0
Proc=2
RV=0
TrBlk 1
Receiver processing
ACK
Receiver processing
NAK
1 5 9
TrBlk 1
RSN=0
Proc=1
RV=0
TrBlk 4
RSN=0
Proc=1
RV=0
TrBlk 4
RSN=0
Proc=1
RV=0
signaled
derived
Frame Fixed timing relation
TrBlk 0
RSN=0
Proc=0
RV=0
TrBlk 0
RSN=1
Proc=0
RV=1
TrBlk 0
RSN=2
Proc=0
RV=2
CFN 0
Receiver processing
4
NAK
Receiver processing
NAK
8
Hybrid
ARQ
processes

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MAC services and functions
 Services provided to upper layers
– Data transfer
– Radio resource allocation
 Services expected from the lower layers
– data transfer services
– signalling of HARQ feedback
– signalling of Scheduling Request
– measurements (e.g. Channel Quality Indication (CQI))
 MAC functions
– Mapping between logical channels and transport channels;
– Multiplexing of MAC SDUs from one or different logical channels onto
transport blocks (TB) to be delivered to the physical layer on transport
channels;
– De-multiplexing of MAC SDUs from one or different logical channels
from transport blocks (TB) delivered from the physical layer on transport
channels;
– Scheduling information reporting;
– Error correction through HARQ;
– Priority handling between UEs by means of dynamic scheduling;
– Priority handling between logical channels of one UE;
– Logical Channel prioritisation;
– Transport format selection;

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RLC Functions
 RLC AM: Acknowledged mode
 RLC UM: Unacknowledged mode
 RLC TM: Transparent mode
 Functions (AM and UM)
– Segmentation of long SDUs over several PDUs
– Concatenation of several short SDUs into one PDU
– Detection of missing PDUs
– Status reporting and retransmissions (AM only)
 Re-segmentation when needed

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PDCP Functions
 Functions
– Robust header compression (ROHC)
 Applied to user plane SDUs = IP packets
– Ciphering of payload
– Integrity protection (control plane only)
– In-sequence delivery during handover
 PDCP data PDUs
– One SDU per PDU
 PDCP control PDUs
– ROCH feedback
– Status reports (at handover)

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Scheduling (i)
 Shared channel transmission
 Select user and data rate based
on instantaneous channel quality
– Time-domain adaptation used
already in HSPA data1
data2
data3
data4
User #1 scheduled
User #2 scheduled
Time-frequency
fading, user #1
Time-frequency
fading, user #2
 Scheduling in time and frequency
domain
– Link adaptation in time domain only

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Scheduling (ii)
 Assign transmission rights for UL-
SCH and DL-SCH
 Prioritise between different users
and radio bearers
 Scheduling unit
– Resources allocated on
subframe bases (1ms)
– 12 sub-carriers (180 kHz)
– Downlink
 Arbitrary except for
some limitation due to
signaling restrictions
– Uplink
 Users can only be be
allocated consequtive
resource blocks
 Number of concequtive
blocks limited to
multiples of 2, 3 and 5
User #1 scheduled
User #2 scheduled

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Scheduling (iii)
 Downlink
– Asynchronous Adaptive HARQ (with synchronous feedback).
 Uplink
– Synchronous Non-Adaptive / Adaptive HARQ (with synchronous feedback);
– Non-adaptive retransmission based on ’sticky’ UL grants.
 Dynamic scheduling
– Explicit signalling of downlink assignments and uplink grants.
 Semi-Persistent Scheduling
– Reduction of signalling of assignments and grants for traffic with periodic
transmissions;
– Assignments and grants are configured to occur at a specific interval;
– Only first assignment/grant need to be signalled.
Dynamic
Scheduling
Semi-Persistent
Scheduling
Non-Adaptive
retransmission
Adaptive
retransmission
Synchronous
retransmission
Asynchronous
retransmission

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Scheduling (iv)
 The scheduler is located in the eNB.
 UL grants are “per UE” rather than “per RB”.
 UL Radio Bearer prioritisation is performed by the UE
– Based on Priority and Prioritised Bit Rate (PBR)
 Bearers are served in priority order up to their PBR;
 If resources remain, bearers are served in a strict
priority order until either the data or the UL grant is
exhausted, whichever comes first.
 The UE supports the eNB scheduler with:
– Buffer Status Reports (BSR);
– Power Headroom Reports (PHR);
– Channel Quality Information (CQI) reports.

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SR framework
 Scheduling Request
– Dedicated Scheduling Request (D-SR):
 transmitted on a dedicated resource (PUCCH)
 repeatedly transmitted until the UE receives an UL
grant
– Random Access Scheduling Request (RA-SR):
Scheduling Request by means of Random Access. RA-SR
is only used when dedicated resources are not available

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Scheduling mechanisms
Introduction
 The dynamic scheduling is flexible but
leads to high signaling overhead
– Scheduling allocation for each
VoIP packet
– Scheduling request for every VoIP
packet
 Several solutions identified to reduce
the signaling load associated with
scheduling, mainly:
 Semi dynamic scheduling
– Compressed grants/assignments
 Semi persistent scheduling
– Long term allocation of resources
eNodeB
Scheduler
Ue

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Semi persistent scheduling
With blind decoding
 A few different ”formats” (combinations of coding,
modulation, physical resource) are pre-configured via
RRC
 Any of the pre-configured formats can be used in the
configured TTIs Blind decoding in Rx
 HARQ retransmissions are scheduled dynamically
Control channel overhead only for retransmissions
Persistent transmission resources for first HARQ Tx
Potential HARQ retransmissions (dynamic scheduling)

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Basic DL scheduling concept
 Ue provides a Channel
Quality Report (CQI)
based on DL reference
symbols
 Scheduler assigns
resources per RB based
on QoS, CQI etc.
 Resource allocation is
transmitted in
connection with data
 Many details remain
open in 3GPP
eNodeB
DL scheduler
Ue

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UL Scheduling
 Scheduling Request (SR)
– UE can quickly acquire resources
(avoid RACH delay)
– UE is synchronized but does not have a
valid assignment on the PUSCH
– Single bit (ON/OFF) informing the UL
scheduler if there is data or not
– Transmitted on dedicated PUCCH
resources
– PUCCH resources are assigned
through RRC
 Buffer Status Report (BSR)
– Triggered detailed buffer status report
 Transmitted as a MAC control
element
 Additional information as separate MAC
control elements
– UE Tx power headroom
– Etc.
UE
eNode B UL scheduler
Scheduling Request
SR
Grant
Data
Buffer
status
report

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HARQ (i)
 Fast Hybrid ARQ protocol in MAC complemented by
robust ARQ protocol in RLC.
– HARQ feedback sent on L1/L2 control channel
– ARQ status reports protected by CRC and HARQ
retransmissions.
 Transmitter can poll for status
 Discard timer to limit SDU life time
 Both HARQ and ARQ protocols terminated in the eNB
– fast handling of residual HARQ errors
 Ensures low latency and high reliability

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HARQ (ii)
 Two layers of feedback for high radio efficiency
– Inner loop: fast, lean on resources, but not so reliable
– Outer loop: reliable, but more expensive on resources
Multiplexing UE1
HARQ
De-Multiplexing UE1
HARQ
DL-SCH
RB RB RB RB
HARQ ACK/NACK
Reliable NACK
Outer ARQ
Segm./Conc.
Outer ARQ
Segm./Conc.
Outer ARQ
Segm./Conc.
Outer ARQ
Segm./Conc.
DTCH/DCCH DTCH/DCCH DTCH/DCCH DTCH/DCCH
DL-SCH

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HARQ procedure (i)
 Adaptive
– Resource allocation can be changed for the retransmission
 Downlink
– Asynchronous retransmissions
– Scheduler has the freedom to choose the subframe for the retransmission
dynamically
– Process number needs to be signaled
 Uplink
– Synchronous retransmissions
– The subframe when the retransmission occurs is known at the receiver
– No need to signal the process number
0
Receiver processing
NAK
4
Fixed timing for the UL

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HARQ procedure (ii)
 Residual HARQ errors
– NACK-to-ACK error on the feedback channel ~ 10-3
– Maximum number of transmission attempts exceeded
– Handled by RLC in case of AM RLC
 MAC Protocol Data Units (PDUs) are received in a different order
than they were sent
 MAC does not support in-order delivery to RLC
 RLC restores original sequence to higher layers
Receiver processing
NAK
Receiver processing
ACK
3 7
TrBlk 3
TrBlk 3
RSN=0
Proc=3
RV=0
TrBlk 3
RSN=1
Proc=3
RV=3
To reordering mechanism
Receiver processing
ACK
Receiver processing
ACK
2 6
TrBlk 5
TrBlk 2
TrBlk 2
RSN=0
Proc=2
RV=0
TrBlk 5
RSN=0
Proc=2
RV=0
TrBlk 1
Receiver processing
ACK
Receiver processing
NAK
1 5 9
TrBlk 1
RSN=0
Proc=1
RV=0
TrBlk 4
RSN=0
Proc=1
RV=0
TrBlk 4
RSN=0
Proc=1
RV=0
signaled
derived
Frame Fixed timing relation
TrBlk 0
RSN=0
Proc=0
RV=0
TrBlk 0
RSN=1
Proc=0
RV=3
TrBlk 0
RSN=2
Proc=0
RV=2
CFN 0
Receiver processing
4
NAK
Receiver processing
NAK
8
Hybrid
ARQ
processes

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ARQ & HARQ Retransmission Unit
PDCP SDU
Higher Layer Payl.
H
H
PDCP
(Header Comp.
& Ciphering)
PDCP
header
Higher Layer PDU
Radio Bearer 1
RLC SDU
MAC
(multiplex.)
MAC SDU
CRC
PHY Transport Block
MAC
header
Higher Layer Payl.
H Higher Layer Payl.
H
Higher Layer PDU
Radio Bearer 1
Higher Layer PDU
Radio Bearer 2
H H
PDCP SDU
PDCP
header
PDCP SDU
PDCP
header
RLC
header
RLC
header
RLC SDU
RLC
header
RLC SDU
MAC SDU
MAC
header
CRC
Transport Block
ARQ Retransmission Unit RLC PDU RLC PDU
HARQ Retransmission Unit MAC PDU
RLC
(segm. &
concatenation)

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CQI reporting – overview
 Ue compiles different types of CQI reports
based on received reference symbol power
 Different types of CQI reports
– Wideband CQI report
– Multi-band CQI report
– CQI reports for MIMO schemes
 Transmission
– On scheduled resource (PUSCH) time
multiplexed with data
– On reserved resources (PUCCH)
– Baseline is periodic, triggered is FFS
– Different formats depending on if
transmitted on PUSCH or PUCCH
 eNodeB may restrict measurement
bandwidth
 Add support for interference averaging in
time
eNodeB
DL scheduler
Ue

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CQI report size and content
 Resources reserved for CQI on PUCCH
will be unused when the UE has no
resource on PUSCH
 Minimize the CQI reporting for control
only case
 Size dependent on if UE has resources
on PUSCH
– PUCCH
 10 bits per Ue and subframe
 For larger reports sub-frame
concatenation
– PUSCH
 Size dependent on TF
 The CQI should represent a
”recommended” TBS (Transport Block
Size) (similar to HSDPA)
Data Reference signal
User #1 User #2
Control
Data Reference signal
User #1 User #2
Control
CQI format A
Uplink resources assignedfor L1/L2 control signaling
12 ”sub-carriers”
Total available uplink bandwidth
Uplink resources assignedfor L1/L2 control signaling
12 ”sub-carriers”
Total available uplink bandwidth
CQI format B

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CQI triggering
 Periodic CQI reporting is baseline
– Wide-band mutual information based average
– Frequency granularity can be obtained by allowing subframe concatenation
 Aperiodic reporting on PUSCH
– The eNodeB requests CQI report by using UL grant
 UL grant triggered CQI reporting
– Frequency granularity is obtained only together with data
 Possible combination
– Periodic wide-band mutual information based average on PUCCH
– Finer granularity when transmitted on PUSCH
– Potential problem with VoIP and other unidirectional traffic
PUCCH
PUSCH
Periodic CQI reporting using ‘type B’
CQI not transmitted on PUCCH
as data is transmitted on PUSCH
CQI transmitted on PUSCH using ‘type
A’ (together with uplink data)

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Signalling Radio Bearers (SRBs)
 Signalling Radio Bearers (SRBs) are offered by the PDCP layer to the
RRC layer for transport of RRC (and NAS) messages
– SRB0: Used for RRC messages on the CCCH
– SRB1: Used for RRC and NAS messages on the DCCH
– SRB2 (optionally configured): Used for high-priority RRC
messages
PDCP
RRC
SRB0 SRB1 SRB2

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RRC Procedures
 System information
– BCCH acquisition
 Connection control
– Paging
– RRC connection establishment
– Initial security activation
– RRC connection reconfiguration
 Transfer of DL NAS information
 Radio resource configuration
 Measurement configuration
 Handover
– RRC connection re-establishment
– RRC connection release
– Radio link failure related actions

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RRC Procedures (2)
 Inter-RAT mobility
– Mobility from E-UTRA
– Handover to E-UTRA
 Measurements
– Measurement configuration
– Measurement reporting
 Other procedures
– DL Direct Transfer
 Transfer of NAS messages in downlink
– UL Direct Transfer
 Transfer of NAS messages in uplink
– UE capability transfer
– Protocol error handling

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References
 [1] Erik Dahlman, Stefan Parkvall, Johan Sköld and Per
Beming, ’3G Evolution HSPA and LTE for Mobile
Broadband’ Second Edition
 [2]
http://internal.ericsson.com/page/hub_inside/company/r
esearch/signalprocessing/activities/lte_seminars.jsp

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