LTE Physical Layer - General Description

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3GPP TS 36.201 V1.1.0 (2007-05)

Technical Specification

3rd Generation Partnership Project;

Technical Specification Group Radio Access Network;

LTE Physical Layer - General Description

(Release 8)

The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.

The present document has not been subject to any approval process by the 3GPP Organisational Partners and shall not be implemented.

This Specification is provided for future development work within 3GPP only. The Organisational Partners accept no liability for any use of this Specification. Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organisational Partners' Publications Offices.

Release 8 2 3GPP TS 36.201 V1.1.0 (2007-05)

Keywords

UMTS, radio, layer 1

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Internet

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No part may be reproduced except as authorized by written permission. The copyright and the foregoing restriction extend to reproduction in all media.

3GPP

Release 8 3 3GPP TS 36.201 V1.1.0 (2007-05)

Contents

Foreword............................................................................................................................................................. 4 1 2 3

3.1 3.2 3.3

Scope ........................................................................................................................................................ 5 References ................................................................................................................................................ 5 Definitions, symbols and abbreviations ................................................................................................... 5

Definitions ......................................................................................................................................................... 5 Symbols ............................................................................................................................................................. 5 Abbreviations ..................................................................................................................................................... 6 Relation to other layers ...................................................................................................................................... 6 General Protocol Architecture ...................................................................................................................... 6 Service provided to higher layers ................................................................................................................. 7 General description of Layer 1 .......................................................................................................................... 7 Multiple Access ............................................................................................................................................ 7 Physical channels and modulation ............................................................................................................... 8 Channel coding and interleaving .................................................................................................................. 8 Physical layer procedures ............................................................................................................................. 8 Physical layer measurements........................................................................................................................ 9 Overview ........................................................................................................................................................... 9 TS 36.201: Physical layer – General description ............................................................................................... 9 TS 36.211: Physical channels and modulation .................................................................................................. 9 TS 36.212: Multiplexing and channel coding .................................................................................................. 10 TS 36.213: Physical layer procedures .............................................................................................................. 10 TS 36.214: Physical layer – Measurements ..................................................................................................... 10

4.1 4.1.1 4.1.2 4.2 4.2.1 4.2.2 4.2.3 4.2.4 4.2.5

General description of LTE Layer 1......................................................................................................... 6

5.1 5.2 5.3 5.4 5.5 5.6

Document structure of LTE physical layer specification ......................................................................... 9

Annex A (informative): Preferred mathematical notations ........................................................................ 11 Annex B (informative): Change history ....................................................................................................... 12

3GPP

Release 8 4 3GPP TS 36.201 V1.1.0 (2007-05)

Foreword

This Technical Specification has been produced by the 3rd Generation Partnership Project (3GPP).

The contents of the present document are subject to continuing work within the TSG and may change following formal TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an identifying change of release date and an increase in version number as follows: Version x.y.z where:

x the first digit:

1 presented to TSG for information; 2 presented to TSG for approval;

3 or greater indicates TSG approved document under change control.

y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections, updates, etc. z the third digit is incremented when editorial only changes have been incorporated in the document.

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1 Scope

The present document describes a general description of the physical layer of the EUTRA radio interface. The present document also describes the document structure of the 3GPP physical layer specifications, i.e. TS 36.200 series. The TS 36.200 series specifies the Uu point for the 3G LTE mobile system, and defines the minimum level of specifications required for basic connections in terms of mutual connectivity and compatibility.

2 References

The following documents contain provisions which, through reference in this text, constitute provisions of the present document.

 References are either specific (identified by date of publication, edition number, version number, etc.) or non-specific.  For a specific reference, subsequent revisions do not apply.

 For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document

(including a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same Release as the present document. [1] [2] [3] [4] [5]

3GPP TR 21.905: \"Vocabulary for 3GPP Specifications\". 3GPP TS 36.211: \"Physical channels and modulation\". 3GPP TS 36.212: \"Multiplexing and channel coding \". 3GPP TS 36.213: \"Physical layer procedures \". 3GPP TS 36.214: \"Physical layer – Measurements\".

3.1

Definitions, symbols and abbreviations

Definitions

For the purposes of the present document, the terms and definitions given in TR 21.905 [1] and the following apply. A term defined in the present document takes precedence over the definition of the same term, if any, in TR 21.905 [1]. Definition format

: .

example: text used to clarify abstract rules by applying them literally.

3.2 Symbols

For the purposes of the present document, the following symbols apply: Symbol format

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3.3 Abbreviations

For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply. An

abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in TR 21.905 [1]. Abbreviation format BPSK CCPCH CP CRC eNode-B FDD HARQ LTE MAC MBMS MBSFN MIMO OFDM PDSCH PDCCH PMCH PUCCH PUSCH QAM QPP QPSK RRC RS SAP

SC-FDMA TDD

TX Diversity UE

Binary Phase Shift Keying

Common Control Physical Channel Cyclic Prefix

Cyclic Redundancy Check Evolved Node B

Frequency Division Duplex

Hybrid Automatic Repeat Request Long Term Evolution Medium Access Control

Multimedia Broadcast and Multicast Service

Multicast/Broadcast over Single Frequency Network Multiple Input Multiple Output

Orthogonal Frequency Division Multiplexing Physical Downlink Shared Channel Physical Downlink Control Channel Physical Multicast Channel

Physical Uplink Control Channel Physical Uplink Shared Channel Quadrature Amplitude Modulation Quadratic Permutation Polynomial

Quadrature Phase Shift KeyingRLC Radio Link Control Radio Resource Control Reference Signal Service Access Point

Single-Carrier Frequency Division Multiple Access Time Division Duplex Transmit Diversity User Equipment

4.1

4.1.1

General description of LTE Layer 1

Relation to other layers

General Protocol Architecture

The radio interface described in this specification covers the interface between the User Equipment (UE) and the

network. The radio interface is composed of the Layer 1, 2 and 3. The TS 36.200 series describes the Layer 1 (Physical Layer) specifications. Layers 2 and 3 are described in the 36.300 series.

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Release 8 7 3GPP TS 36.201 V1.1.0 (2007-05)

Layer 3Radio Resource Control (RRC)Control / MeasurementsLogical channelsMedium (MAC)Access ControlTransport channelsLayer 2Layer 1Physical layer

Figure 1: Radio interface protocol architecture around the physical layer

Figure 1 shows the UTRA radio interface protocol architecture around the physical layer (Layer 1). The physical layer interfaces the Medium Access Control (MAC) sub-layer of Layer 2 and the Radio Resource Control (RRC) Layer of Layer 3. The circles between different layer/sub-layers indicate Service Access Points (SAPs). The physical layer offers a transport channel to MAC. The transport channel is characterized by how the information is transferred over the radio interface. MAC offers different Logical channels to the Radio Link Control (RLC) sub-layer of Layer 2. A logical channel is characterized by the type of information transferred.

4.1.2 Service provided to higher layers

The physical layer offers data transport services to higher layers. The access to these services is through the use of a transport channel via the MAC sub-layer. The physical layer is expected to perform the following functions in order to provide the data transport service:

- Error detection on the transport channel and indication to higher layers - FEC encoding/decoding of the transport channel - Hybrid ARQ soft-combining

- Rate matching of the coded transport channel to physical channels - Mapping of the coded transport channel onto physical channels - Power weighting of physical channels

- Modulation and demodulation of physical channels - Frequency and time synchronisation

- Radio characteristics measurements and indication to higher layers - Multiple Input Multiple Output (MIMO) antenna processing - Transmit Diversity (TX diversity) - Beamforming

- RF processing. (Note: RF processing aspects are specified in the TS 36.100 series)

4.2

4.2.1

General description of Layer 1

Multiple Access

The multiple access scheme for the LTE physical layer is based on Orthogonal Frequency Division Multiplexing (OFDM) with a cyclic prefix (CP) in the downlink, and on Single-Carrier Frequency Division Multiple Access (SC-FDMA) with a cyclic prefix in the uplink. To support transmission in paired and unpaired spectrum, two duplex modes are supported: Frequency Division Duplex (FDD) and Time Division Duplex (TDD).

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Release 8 8 3GPP TS 36.201 V1.1.0 (2007-05)

The Layer 1 is defined in a bandwidth agnostic way, allowing the LTE Layer 1 to adapt to various spectrum allocations. The radio frame for FDD and for TDD with frame structure 1 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. 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. TDD frame structure 2 is defined to optimise co-existence with a legacy 1.28 Mcps UTRA TDD System. The TDD frame structure 2 has a half-frame duration of 5ms and consists of slots of 0.675ms duration. To support a Multimedia Broadcast and Multicast Service (MBMS), 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 efficient MBMS, allowing for over-the-air combining of multi-cell transmissions in the UE, where the cyclic prefix 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.

Transmission with multiple input and multiple output antennas (MIMO) are supported with configurations 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.

4.2.2 Physical channels and modulation

The physical channels defined in the downlink are the Physical Downlink Shared Channel (PDSCH), the Physical Multicast Channel (PMCH), the Physical Downlink Control Channel (PDCCH) and the Common Control Physical Channel (CCPCH). The physical channels defined in the uplink are the Physical Uplink Shared Channel (PUSCH) and the Physical Uplink Control Channel (PUCCH).

In addition, signals are defined as reference signals, primary and secondary synchronization signals or random access preambles.

The modulation schemes supported in the downlink and uplink are QPSK, 16QAM and QAM.

4.2.3 Channel coding and interleaving

The channel coding scheme for transport blocks in LTE is Turbo Coding with a coding rate of R=1/3, two 8-state constituent encoders and a contention-free quadratic permutation polynomial (QPP) turbo code internal interleaver. Trellis termination is used for the turbo coding. Before the turbo coding, transport blocks are segmented into byte

aligned segments with a maximum information block size of 6144 bits. Error detection is supported by the use of 24 bit CRC.

4.2.4 Physical layer procedures

There are several Physical layer procedures involved with LTE operation. Such procedures covered by the physical layer are; - Cell search - Power control

- Uplink synchronisation and Uplink timing control - Random access related procedures - HARQ related procedures

Through the control of physical layer resources in the frequency domain as well as in the time and power domain, implicit support of interference coordination is provided in LTE.

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4.2.5 Physical layer measurements

Radio characteristics are measured by the UE and the eNode-B and reported to higher layers in the network. These include, e.g. measurements for intra- and inter-frequency handover, inter RAT handover, timing measurements and measurements for RRM.

Measurements supported for intra-frequency handover are the Reference Signal Received Power (RS received power) and RSSI (Received Signal Strength Indicator).

Measurements for inter-RAT handover are defined in support of handover to GSM, UTRA FDD and UTRA TDD.

5.1

Document structure of LTE physical layer specification

Overview

The physical layer specification consists of a general document (TS 36.201), and four documents (TS 36.211 through 36.214). The relation between the physical layer specifications in the context of the higher layers is shown in Figure 2.

To/From Higher Layers 36.212 Multiplexing and channel coding 36.211 Physical Channels and Modulation 36.213 Physical layer procedures 36.214 Physical layer – Measurements

Figure 2: Relation between Physical Layer specifications

5.2 TS 36.201: Physical layer – General description

The scope is to describe:

- the contents of the Layer 1 documents (TS 36.200 series); - where to find information;

- a general description of LTE Layer 1.

5.3 TS 36.211: Physical channels and modulation

The scope of this specification is to establish the characteristics of the Layer-1 physical channels, generation of physical layer signals and modulation, and to specify:

- definition of the uplink and downlink physical channels;

- the structure of the physical channels, frame format, physical resource elements, etc.;

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- modulation mapping (BPSK, QPSK, etc); - physical shared channel in uplink and downlink; - reference signal in uplink and downlink; - random access signal;

- primary and secondary synchronization signals; - OFDM signal generation in downlink; - SC-FDMA signal generation in uplink; - scrambling, modulation and upconversion; - uplink-downlink timing relation

- layer mapping and precoding in downlink.

5.4 TS 36.212: Multiplexing and channel coding

The scope of this specification is to describe the transport channel and control channel data processing, including multiplexing, channel coding and interleaving, and to specify: - channel coding schemes;

- coding of Layer 1 / Layer 2 control information; - interleaving; - rate matching;

- physical channel segmentation and mapping.

5.5 TS 36.213: Physical layer procedures

The scope of this specification is to establish the characteristics of the physical layer procedures, and to specify: - synchronisation procedures, including cell search procedure and timing synchronisation; - power control procedure; - random access procedure;

- physical downlink shared channel related procedures, including CQI reporting and MIMO feedback; - physical uplink shared channel related procedures, including UE sounding and HARQ ACK/NACK detection; - physical shared control channel procedures, including assignment of shared control channels.

5.6 TS 36.214: Physical layer – Measurements

The scope of this specification is to establish the characteristics of the physical layer measurements, and to specify: - measurements to be performed by Layer 1 in UE and E-UTRAN; - reporting of measurement results to higher layers and the network; - handover measurements, idle-mode measurements, etc.

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Annex A (informative):

Preferred mathematical notations

The following table contains the preferred mathematical notations used in L1 documentation.

item multiply product matrix product scalar product (product of a matrix by a scalar) matrix dimensioning Kronecker product bracketing of sets (all elements of same type, not ordered elements) bracketing of lists (all elements not necessary of same type, ordered elements) bracketing of sequences (all elements of same type, ordered elements) bracketing of function argument bracketing of array index bracketing of matrix or vector Separation of indexes use of italic for symbols bracketing of arithmetic expression to force precedence of operations necessity of bracketing arithmetic expressions number type binary xor and and notation cross sign, e.g. ab dot sign, e.g. ab udot sign, scalar should precede matrix e.g. 1j vnumber of rows  number of column, e.g.: RC ab curly brackets {}, e.g. {a1, a2, …,ap}, oraii1,2,,p airound brackets (), e.g. (A, u, x) angle brackets, e.g. or i1,2,,p round brackets, e.g. f(x) square brackets, e.g. a[x] square brackets [], e.g. xy, xy, or 1111 use a comma : e.g. Ni,j a symbol should be either in italic or in normal font, but mixing up should be avoided. round brackets : e.g. abc matrix or vector transpose 11 matrices vector dot product complex conjugate matrix or vector Hermitian transpose real part and imaginary part of complex numbers. When only + and  bracketing is not necessary. When the mod operator is used explicit bracketing of mod operands and possibly result should be done. in a context of non negative integer numbers, some notes should stress when a number is signed, or possibly fractional. respectively use + or . If no \"mod 2\" is explicitly in the expression some text should stress that the operation is modulo 2. T vimplicitly cast to its unique element. TTuv for column vectors, and uv for line vectors *v Hv Re(x) and Im(x) 3GPP

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Annex B (informative): Change history

Change history Date 02/10/06 13/10/06 01/11/06 04/11/06 05/02/07 20/02/07 26/02/07 26/02/07 03/03/07 01/05/07 11/05/07 11/05/07 TSG Doc. - - - - - - - - - - - - - - - - RAN#35 RP-070168 - - - - - - TSG # CR Rev Subject/Comment - Draft version created - Endorsed by RAN1 - Editors version at RAN1#47 - Revised editors version at RAN1#47 - Editors version at RAN1#48 - Endorsed by RAN1#48 - Editors version after RAN1#48 - Editors version after RAN1#48 - For information at RAN#35 - Editors version at RAN1#49 - Editors version at RAN1#49 - Endorsed by RAN1#49 Old - 0.0.1 0.1.0 0.1.1 0.2.0 0.2.1 0.3.0 0.3.1 0.3.2 1.0.0 1.0.1 1.0.2 New 0.0.0 0.1.0 0.1.1 0.1.2 0.2.1 0.3.0 0.3.1 0.3.2 1.0.0 1.0.1 1.0.2 1.1.0 3GPP

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LTE Physical Layer - General Description