Towards 5G:

LTE, LTE-Advanced, & Beyond

IEEE WCNC 2017

2017.03.19
Dr. Hyung G. Myung, Qualcomm
Outline

Wireless Background

4G/5G Enabling Technologies

4G Long Term Evolution (LTE) & LTE-Advanced

5G New Radio (NR)

Summary and References

1
Outline

Wireless Background

4G/5G Enabling Technologies

4G LTE & LTE-Advanced

5G NR

Summary and References

2
Wireless Background

Fundamental limits

Multiple access schemes

Broadband wireless channel basics

Cellular system

3
Fundamental Constraints
Shannons capacity upper bound
Achievable data rate is fundamentally limited by bandwidth and signal
-to-noise ratio (SNR).

Signal power

S
C BW log 2 1 [bits per second]
N
Channel bandwidth Noise power

4
Wider Bandwidth
100 MHz

Demand for higher data rate is leading to

utilization of wider transmission bandwidth.

20 MHz

5 MHz
200 kHz 1.25 MHz

GSM IS-95 UMTS/WCDMA LTE LTE-Advanced

5
Challenges of Wireless Communications

Multipath radio propagation

Spectrum limitations

Limited energy

User mobility

Resource management

6
Duplexing
Two ways to duplex downlink (base station to mobile) and
uplink (mobile to base station)
Frequency division duplexing (FDD)
Time division duplexing (TDD)

Downlink (Forward link)

Uplink (Reverse link)

7
Multiple Access Schemes
Multiple devices communicating to a single base station.
How do you resolve the problem of sharing a common
communication resource?

8
Multiple Access Schemes - cont.

Access resources can be shared in time, frequency, code,

and space.
Time division multiple access (TDMA): GSM
Frequency division multiple access (FDMA): AMPS
Code division multiple access (CDMA): IS-95, UMTS
Spatial division multiple access (SDMA): iBurst

9
Wireless Channel
Wireless channel experiences multi-path radio propagation.

10
Multipath Radio Propagation - cont.

11
 Multi-Path Channel
Multi-path channel causes:
Inter-symbol interference (ISI) and fading in the time domain.
Frequency-selectivity in the frequency domain.

3GPP 6-Tap Typical Urban (TU6) Channel Delay Profile Frequency Response of 3GPP TU6 Channel in 5MHz Band
2.5

2
0.8

Channel Gain [linear]

Amplitude [linear]

1.5
0.6

1
0.4

0.2 0.5

0 0
0 1 2 3 4 5 6 0 1 2 3 4 5
Time [ sec] Frequency [MHz]

12
Multi-Path Channel - cont.

For broadband wireless channel, ISI and frequency-selectivity

become severe.

To resolve the ISI and the frequency-selectivity in the channel,

various measures are used.
Channel equalization in the time domain or frequency domain
Multi-carrier multiplexing
Orthogonal frequency division multiplexing (OFDM)
Frequency hopping
Channel-adaptive scheduling
Channel coding
Automatic repeat request (ARQ) and hybrid ARQ (H-ARQ)

13
Mobile User
When the user is mobile, the channel becomes time-varying.

There is also Doppler shift in the carrier frequency.

14
 Time-Varying Multi-path Channel

Mobile speed = 3 km/h (5.6 Hz doppler) Mobile speed = 60 km/h (111 Hz doppler)
Channel Gain [linear]

Channel Gain [linear]

5 5

0 0
5 5 5 5
4 4 4 4
3 3 3 3
2 2 2 2
1 1 1 1
Frequency [MHz] 0 0 Time [msec] Frequency [MHz] 0 0 Time [msec]

15
Wireless Spectrum

16
Cellular Wireless System

A large geographical
region is segmented into
smaller cells.
Transmit power limitation
Facilitates frequency
spectrum re-use

Cellular network design

issues
Inter-cell synchronization
Handoff mechanism
Frequency planning

17
Cellular Wireless System - cont.

Frequency re-use

F1 F3

F1 F1 F4 F2

F1 F1

F1 F1 F5 F7

F1 F6

Frequency re-use = 1 Frequency re-use = 7

- Higher spectral efficiency - Lower interference for cell-edge users
- Higher interference for cell-edge users - Lower spectral efficiency

18
Cellular Wireless System - cont.

Sectorized cells

19
Cellular Wireless System - cont.

Frequency re-use = 3

20
Outline

Wireless Background

4G/5G Enabling Technologies

4G LTE & LTE-Advanced

5G NR

Summary and References

21
4G/5G Enabling Technologies
OFDM/OFDMA
Frequency domain equalization
SC-FDMA
MIMO
Advanced forward error correction (FEC) code
Fast channel-dependent resource scheduling
Software Defined Networking (SDN)
Cloud RAN
Millimeter (mm) wave

22
Orthogonal Frequency Division Multiplexing
OFDM can be viewed as a form of frequency division
multiplexing (FDM).
Divides the transmission bandwidth into narrower equally spaced
tones, or subcarriers.
Individual information symbols are conveyed over the subcarriers.

Serial-to-parallel

e j 2 f 0 t
Output symbol
Input data block
e j 2 f1t

e j 2 f N 1t
23
OFDM - cont.

Use of orthogonal subcarriers makes OFDM spectrally

efficient.
Because of the orthogonality among the subcarriers, they can
overlap with each other.

0 1 2 3 4 5 6 7 8 9
Subcarrier
24
OFDM - cont.

Since the bandwidth of each subcarrier is much smaller than

the coherence bandwidth of the transmission channel, each
subcarrier sees flat fading.

Channel response

Frequency
Subcarrier
25
OFDM - cont.

OFDM implementation using discrete Fourier transform (DFT)

N-
Add
point
CP/ PS
IDFT

*CP: Cyclic prefix

*PS: Pulse shaping (windowing) Channel

Channel N-
Remov
Detect inversion point
e CP
(equalization) DFT

26
OFDM - cont.

Design issues of OFDM

Cyclic prefix (CP): To maintain orthogonality among subcarriers in the
presence of multi-path channel, CP longer than the channel impulse
response is needed. Also CP converts linear convolution of the channel
impulse response into a circular one.
High peak-to-average power ratio (PAPR): Since the transmit signal is
a composition of multiple subcarriers, high peaks occur.
Carrier frequency offset: Frequency offset breaks the orthogonality
and causes inter-carrier interference.
Adaptive scheme or channel coding is needed to overcome the
spectral null in the channel.

27
Orthogonal Frequency Division Multiple Access

OFDMA is a multi-user access scheme using OFDM.

Each user occupies a different set of subcarriers.
Scheduler can exploit frequency-selectivity and multi-user
diversity.

User 1

User 2

User 3

subcarriers

28
Frequency Domain Equalization

For broadband multi-path channels, conventional time

domain equalizers are impractical because of complexity.
Very long channel impulse response in the time domain.
Prohibitively large tap size for time domain filter.

Using discrete Fourier transform (DFT), equalization can be

done in the frequency domain.

Because the DFT size does not grow linearly with the length of
the channel response, the complexity of FDE is lower than
that of the equivalent time domain equalizer for broadband
channel.

29
FDE - cont.

Time domain y h x
Channel x h 1 * y
Fourier
x h y
transform

Y HX
Frequency domain X H 1 Y

30
FDE - cont.

In DFT, frequency domain multiplication is equivalent to time

domain circular convolution.

Cyclic prefix (CP) longer than the channel response length is

needed to convert linear convolution to circular convolution.

CP Symbols

31
FDE - cont.

Most of the time domain equalization techniques can be

implemented in the frequency domain.
MMSE equalizer, DFE, turbo equalizer, and so on.

References
M. V. Clark, Adaptive Frequency-Domain Equalization and
Diversity Combining for Broadband Wireless Communications,
IEEE J. Sel. Areas Commun., vol. 16, no. 8, Oct. 1998
M. Tchler et al., Linear Time and Frequency Domain Turbo
Equalization, Proc. IEEE 53rd Veh. Technol. Conf. (VTC), vol. 2,
May 2001
F. Pancaldi et al., Block Channel Equalization in the Frequency
Domain, IEEE Trans. Commun., vol. 53, no. 3, Mar. 2005

32
Single Carrier with FDE

SC/FDE
Add N- N-
xn CP/ Channel
Remove
CP
point Equalization point Detect
PS DFT IDFT

OFDM
N- Add N-
xn point CP/ Channel
Remove
CP
point Equalization Detect
IDFT PS DFT

* CP: Cyclic Prefix, PS: Pulse Shaping

33
SC/FDE - cont.

SC/FDE delivers performance similar to OFDM with essentially

the same overall complexity, even for long channel delay.

SC/FDE has advantage over OFDM in terms of:

Low PAPR.
Robustness to spectral null.
Less sensitivity to carrier frequency offset.

Disadvantage to OFDM is that channel-adaptive subcarrier bit

and power loading is not possible.

34
SC/FDE - cont.

References
H. Sari et al., Transmission Techniques for Digital Terrestrial TV
Broadcasting, IEEE Commun. Mag., vol. 33, no. 2, Feb. 1995, pp. 100-
109.
D. Falconer et al., Frequency Domain Equalization for Single-Carrier
Broadband Wireless Systems, IEEE Commun. Mag., vol. 40, no. 4, Apr.
2002, pp. 58-66.

Single carrier FDMA (SC-FDMA) is an extension of SC/FDE to

accommodate multiple-user access.

35
Single Carrier FDMA

SC-FDMA is a new multiple access technique.

Utilizes single carrier modulation, DFT-spread orthogonal frequency
multiplexing, and frequency domain equalization.

It has similar structure and performance to OFDMA.

SC-FDMA is currently adopted as the uplink multiple access

scheme in 3GPP LTE.

36
TX & RX structure of SC-FDMA

N- M-
S-to-P

P-to-S
Subcarrier Add DAC
point point
Mapping CP / PS / RF
DFT IDFT

Channel

Subcarrier
N- M-

S-to-P
P-to-S

De- Remove RF
Detect point point
mapping/ CP / ADC
IDFT DFT
Equalization

*N<M
SC-FDMA: +
* S-to-P: Serial-to-Parallel
* P-to-S: Parallel-to-Serial OFDMA:

37
Why Single Carrier FDMA?

Single Carrier : Sequential transmission of the symbols

over a single frequency carrier.

Time Frequency Time

domain domain domain

N- M-

P-to-S
Subcarrier Add DAC
point point
Mapping CP / PS / RF
DFT IDFT

FDMA : User multiplexing in the frequency domain.

38
Subcarrier Mapping
Data block size (N) = 4, Number of users (Q) = 3, Number of
subcarriers (M) = 12.

Terminal 1

Terminal 2

Terminal 3
subcarriers subcarriers

Distributed Mode Localized Mode

39
SC-FDMA and OFDMA

Similarities
Block-based modulation and use of CP.
Divides the transmission bandwidth into smaller subcarriers.
Channel inversion/equalization is done in the frequency domain.
SC-FDMA is regarded as DFT-precoded or DFT-spread OFDMA.

Dissimilarities
Lower transmit peak power.
Equalization performance.
Multi-carrier MIMO receiver algorithm.

40
SC-FDMA and DS-CDMA

In terms of bandwidth expansion, SC-FDMA is very similar to

DS-CDMA system using orthogonal spreading codes.
Both spread narrowband data into broader band.
Time symbols are compressed into chips after modulation.
Spreading gain (processing gain) is achieved.

41
SC-FDMA: Comparison

* Subcarrier mapping: * SC transmission:

Frequency-selective
scheduling
SC-FDMA Low PAPR
* Time-compressed
chip symbols
* Time-domain
detection

DS-CDMA
* DFT-based FDE
* Block-based
OFDMA /FDE
processing & CP

42
MIMO
Multiple input multiple output (MIMO) technique improves
communication link quality and capacity by using multiple
transmit and receive antennas.

Two types of gain; spatial diversity gain and spatial

multiplexing gain.

Transmitter Receiver

MIMO channel

43
MIMO - cont.

Spatial diversity
Improves link quality (SNR) by combining multiple independently
faded signal replicas.
With Nt Tx and Nr Rx antennas, NtNr diversity gain is achievable.
Smart antenna, Alamouti transmit diversity, and space-time coding.

Spatial multiplexing
Increases data throughput by sending multiple streams of data
through parallel spatial channels.
With Nt Tx and Nr Rx antennas, min(Nt,Nr) multiplexing gain is
achievable.
BLAST (Bell Labs Space-Time Architecture) and unitary precoding.

44
Basic Idea of Spatial Diversity
Coherent combining of multiple copies

y1
1

y2
h2
Coherent x1
combining
x1
hNr
yNr
* Narrowband channel

45
Basic Idea of Spatial Multiplexing
Parallel decomposition of a MIMO channel

h11
h21 y1
x1 hNr 1
y2
x2

hNr Nt
x Nt
yNr
* Narrowband channel

46
Basic Idea of Spatial Multiplexing - cont.

y1 h11 h1Nt x1 n1


y N hN 1 hNr Nt xNt n
r r Nr
y Hxn
Singular value decomposition (SVD)

H UDV H y UDV H x n
U H y U H U DV H x U H n
I

U H y DV H x U H n
y x n

y Dx n
Diagonal matrix

47
 Basic Idea of Spatial Multiplexing - cont.

h11
d11
h21 y1 y1
x1 hNr 1 x1
d 21
y2 y2
x2 x2

d Nt Nt
hNr Nt
x Nt x Nt
yNr yNr

* Nt < Nr
48
Multicarrier MIMO Spatial Multiplexing
Frequency domain for kth subcarrier

Y1,k H11,k H1Nt ,k X 1,k N1,k

YN ,k H N 1,k H N r Nt ,k X Nt ,k N N r ,k
r r
Yk Hk Xk Nk

Yk H k X k N k
Yk Dk X k N k
Yk U k H Yk

k
X V H
k Xk

N
k U H
k Nk

49
Unitary Precoding

Unitary Xk
Xk Precoding
X k Vk X k
MIMO Channel
Hk
Yk
Receiver Zk
Hk X k
Nk
Vk

U k DkVkH Vk X k
U k Dk X k

50
Multi-User (MU) MIMO
Beamforming to multiple users
A form of SDMA

Receiver

Receiver
Transmitter

Receiver

51
Massive MIMO

# of antennas = 100+ (!!!)

Receiver

Receiver
Transmitter

Receiver

52
Massive MIMO - cont.

Benefits
Energy efficient transmission
Interference suppression
High degree of multi-user spatial multiplexing
Simple diversity receiver (e.g., MRC)

Challenges
Tx-Rx calibration in TDD system
Pilot contamination problem
Feedback for precoding
RF design limitations

53
Advanced FEC Code
Turbo code
Concatenation of two convolutional codes
Iterative decoding
3G (UMTS) & 4G (LTE)

LDPC (Low Density Parity Check) code

Linear code using sparse parity-check matrix
Iterative decoding
IEEE 802.11n & onward, considered for 5G (NR)

Polar code
Channel polarization (creation of extremal channels)
Either noiseless or useless
Considered for 5G (NR)

54
Channel-Dependent Scheduling

Channel gain

User 2

User 1

Frequency

Subcarriers

55
Channel-Dependent Scheduling - cont.

Assign subcarriers to a user in good channel condition.

Two subcarrier mapping schemes have advantages over each

other.
Distributed: Frequency diversity.
Localized: Frequency selective gain with CDS.

CDS is a scheme to find an optimal set of subcarriers that are

allocated to each user that maximizes some utility based on
each users channel response.

56
 Channel-Dependent Scheduling - cont.

256 total subcarriers, 16 chunks, 16 subcarriers per chunk

3
User 1
User 2
2.5

2 Chunk allocated to user 1

|Channel gain| 2

Chunk allocated to user 2

1.5

0.5

0
0 50 100 150 200 250
Subcarriers

57
Software Defined Networking (SDN)

What is Software Defined Networking?

Abstraction/virtualization of network core.
Separation of control plane and data plane.

Not to be confused with SDR (Software Defined Radio).

58
 SDN - cont.

*Nick McKeown, "Software Defined Networks, ITC Keynote, San Francisco, Sep. 2011
59
 SDN - cont.

*Nick McKeown, "Software Defined Networks, ITC Keynote, San Francisco, Sep. 2011
60
 Network Function Virtualization (NFV)
SDN framework from ETSI (European Telecommunications
Standards Institute)

*ETSI
61
 Cloud-RAN (C-RAN)

Traditional macro Distributed C-RAN Centralized

base-stations base-stations baseband pool

*China Mobile
62
 C-RAN - cont.

Virtual BS Pool

Optical
Network

RRU RRU
RRU

RRU

RRU RRU
RRU

*China Mobile
63
 mm Wave
Benefit: Wider transmission bandwidth

Challenge: Propagation

*http://spectrum.ieee.org/telecom/wireless/smart-antennas-could-open-up-new-spectrum-for-5g
64
 mm Wave - cont.

Beamforming and beam-tracking

Coverage
Non line-of-sight communication

Tight interworking with sub-6 GHz network

Mobility
Initial access

RF design issues

*http://spectrum.ieee.org/telecom/wireless/smart-antennas-could-open-up-new-spectrum-for-5g
65
Outline

Wireless Background

4G/5G Enabling Technologies

4G LTE & LTE-Advanced

5G NR

Summary and References

66
 LTE: Long Term Evolution

Standardized by 3GPP (3rd Generation Partnership Project).

3GPP is a partnership of 7 regional standards organizations.

ARIB (Japan)
ATIS (USA)
CCSA (China)
ETSI (Europe)
TTA (South Korea)
TTC (Japan)
TSDSI (India)*

*Joined on Jan. 1, 2015

67
3GPP Evolution
Release 99 (2000): UMTS/WCDMA
Rel. 5 (2002): HSDPA
Rel. 6 (2005): HSUPA
Rel. 7 (2007) and beyond: HSPA+
Long Term Evolution (LTE)
3GPP work on the Evolution started in November 2004.
Standardized in the form of Rel. 8 (Dec. 2008).

LTE-Advanced (LTE-A)
More bandwidth (up to 100 MHz) and backward compatible with LTE.
Standardized in the form of Rel. 10 (Mar. 2011).
Meets IMT-Advanced requirements.

5G New Radio (NR)

Currently discussed in Rel. 14 & onwards.
First standard targeted for Rel. 15.

68
LTE Standardization Status

13 14

10 11 12

Rel. 8 9
LTE-A
LTE-A Pro
LTE

2008 09 10 11 12 13 14 15 16 17
Source: 3GPP (http://www.3gpp.org/specifications/releases)

69
Requirements of LTE
Peak data rate
100 Mbps DL/ 50 Mbps UL within 20 MHz bandwidth.

Up to 200 active users in a cell (5 MHz)

Less than 5 ms user-plane latency
Mobility
Optimized for 0 ~ 15 km/h.
15 ~ 120 km/h supported with high performance.
Supported up to 350 km/h or even up to 500 km/h.

Enhanced multimedia broadcast multicast service (E-MBMS)

Spectrum flexibility: 1.25 ~ 20 MHz
Enhanced support for end-to-end QoS

70
Key Features of LTE (Rel. 8)

Spectrum flexibility: 1.25 ~ 20 MHz (100 MHz for LTE-A)

Multicarrier-based radio air interface

OFDM/OFDMA and SC-FDMA

Support for both FDD and TDD spectrums

Active interference avoidance and coordination

Peak data rate (theoretical max., TR 25.912)

Downlink (DL): 326.4 Mbps (20 MHz, 4x4 MIMO, 64-QAM)
Uplink (UL): 86.4 Mbps (20 MHz, no MIMO, 64-QAM)

71
LTE Device Category
Category 1 2 3 4 5
Peak rate DL 10 50 100 150 300
(Mbps) UL 5 25 50 50 75

RF bandwidth 20 MHz
DL QPSK, 16-QAM, 64-QAM

Modulation QPSK, 16-

UL QPSK, 16-QAM QAM, 64-
QAM

2 Rx diversity Assumed in performance requirements.

2x2 MIMO (DL) X O
4x4 MIMO (DL) X O

Source: 3GPP
72
LTE Standard Specifications
Freely downloadable from
http://www.3gpp.org/ftp/Specs/html-info/36-series.htm

Specification index Description of contents

TS 36.1xx Equipment requirements: Terminals, base stations, and repeaters.

TS 36.2xx Physical layer.

Layers 2 and 3: Medium access control, radio link control, and radio
TS 36.3xx
resource control.

Infrastructure communications (UTRAN = UTRA Network) including

TS 36.4xx
base stations and mobile management entities.

TS 36.5xx Conformance testing.

73
Protocol Architecture

RRC: Radio Resource

Layer 3
Control
Control / measurements

RLC: Radio Link Control

Logical channels Layer 2
MAC: Medium Access Control
Transport channels

PHY: Physical layer Layer 1

Physical channels

Transceiver

74
LTE Network Architecture
E-UTRAN (Evolved Universal Terrestrial Radio Access Network)

UMTS 3G: UTRAN EPC (Evolved Packet Core)

MME MME
GGSN S-GW/P-GW S-GW/P-GW

SGSN S1

RNC RNC

eNB eNB
X2

NB NB NB NB eNB eNB
E-UTRAN
NB: NodeB (base station) eNB: E-UTRAN NodeB
RNC: Radio Network Controller MME: Mobility Management Entity
SGSN: Serving GPRS Support Node S-GW: Serving Gateway
* 3GPP TS 36.300
GGSN: Gateway GPRS Support Node P-GW: PDN (Packet Data Network) Gateway

75
LTE Network Architecture - cont.

eNB
All radio interface-related EPC (Evolved Packet Core)

functions MME MME

S-GW/P-GW S-GW/P-GW
MME
Manages mobility, UE S1
identity, and security
parameters.

S-GW eNB eNB

Node that terminates the X2

interface towards E-UTRAN.

P-GW
Node that terminates the
interface towards PDN.
eNB eNB
E-UTRAN
eNB: E-UTRAN NodeB
MME: Mobility Management Entity
S-GW: Serving Gateway
* 3GPP TS 36.300
P-GW: PDN (Packet Data Network) Gateway

76
Frame Structure

Two radio frame structures defined.

Frame structure type 1 (FS1): FDD.
Frame structure type 2 (FS2): TDD.

A radio frame has duration of 10 ms.

A resource block (RB) spans 12 subcarriers over a slot

duration of 0.5 ms. One subcarrier has bandwidth of 15 kHz,
thus 180 kHz per RB.

77
Frame Structure Type 1
FDD frame structure

One radio frame = 10 ms

One slot = 0.5 ms

#0 #1 #2 #3 #18 #19

One subframe = TTI (Transmission Time Interval)

78
Frame Structure Type 2
TDD frame structure

One radio frame = 10 ms

One half-frame = 5 ms

One subframe = 1 ms

One slot = 0.5 ms

Subframe #0 Subframe #2 Subframe #3 Subframe #4 Subframe #5 Subframe #7 Subframe #8 Subframe #9

DwPTS GP UpPTS DwPTS GP UpPTS

79
Resource Grid
One radio frame

Slot #0 #19
N symb

Resource block
N symb N scRB resource elements
Subcarrier (frequency)

N RB N scRB N scRB Resource element

12

OFDM/SC-FDMA symbol (time)

80
Length of CP

Configuration Nsymb
Normal CP 7
Extended CP 6
Extended CP (Df = 7.5 kHz) 3

Configuration CP length NCP,l [samples]

160 ( 5.21 ms) for l = 0
Normal CP
144 ( 4.69 ms) for l = 1, 2, , 6
Extended CP 512 ( 16.67 ms) for l = 0, 1, , 5
Extended CP (Df = 7.5 kHz) 1024 ( 33.33 ms) for l = 0, 1, 2

Only in downlink

81
LTE Bandwidth/Resource Configuration

Channel
1.4 3 5 10 15 20
bandwidth [MHz]

Number of
6 15 25 50 75 100
resource blocks (NRB)

Number of
72 180 300 600 900 1200
occupied subcarriers

IDFT(Tx)/DFT(Rx) size 128 256 512 1024 1536 2048

Sample rate [MHz] 1.92 3.84 7.68 15.36 23.04 30.72

Samples per slot 960 1920 3840 7680 11520 15360

*3GPP TS 36.104

82
Bandwidth Configuration
1 slot

Zeros
DL or UL symbol

Resource
block frequency

N scRB UL
N RB N scRB M
12 300 512
(180 kHz) (4.5 MHz) (7.68 MHz)

Zeros

time * 5 MHz system with

frame structure type 1

83
 Channel Mappings

PCCH BCCH CCCH DCCH DTCH MCCH MTCH Logical CCCH DCCH DTCH
channels

Transport
PCH BCH DL-SCH MCH RACH UL-SCH
channels

Physical
PDSCH PBCH PMCH PDCCH channels PRACH PUSCH PUCCH

Downlink Uplink

84
 LTE Layer 2
Layer 2 has three sublayers
MAC (Medium Access Control)
RLC (Radio Link Control)
PDCP (Packet Data Convergence Protocol)

Radio Bearers Radio Bearers

ROHC ROHC ROHC ROHC ROHC ROHC

PDCP PDCP
Security Security Security Security Security Security

Segm. Segm. Segm. Segm. Segm. Segm.

RLC ... ... RLC ...
ARQ etc ARQ etc ARQ etc ARQ etc BCCH PCCH ARQ etc ARQ etc

Logical Channels Logical Channels

Scheduling / Priority Handling Scheduling / Priority Handling

MAC Multiplexing UE1 Multiplexing UEn MAC Multiplexing

HARQ HARQ HARQ

Transport Channels Transport Channels

DL UL
ROHC: Robust Header Compression * 3GPP TS 36.300

85
RRC Layer
Terminated in eNB on the network side.

Functions
Broadcast
Paging
RRC connection management
RB (Radio Bearer) management
Mobility functions
UE measurement reporting and control

RRC states
RRC_IDLE
RRC_CONNECTED

86
Resource Scheduling of Shared Channels

Dynamic resource scheduler resides in eNB on MAC layer.

Radio resource assignment based on radio condition, traffic

volume, and QoS requirements.

Radio resource assignment consists of:

Physical Resource Block (PRB)
Modulation and Coding Scheme (MCS)

87
DL Overview
DL physical channels
Physical Downlink Shared Channel (PDSCH)
Physical Broadcast Channel (PBCH)
Physical Multicast Channel (PMCH)
Physical Control Format Indicator Channel (PCFICH)
Physical Downlink Control Channel (PDCCH)
Physical Hybrid ARQ Indicator Channel (PHICH)

DL physical signals
Reference signal (RS)
Synchronization signal

Available modulation for data channel

QPSK, 16-QAM, and 64-QAM

88
 DL Physical Channel Processing

Scrambling

Modulation mapping

Mapping onto one or more

Layer mapping
transmission layers
MIMO-related
processing
Generation of signals for
Precoding
each antenna port

Resource element mapping

OFDM signal generation IDFT operation

89
DL Reference Signal

Three types of DL reference signals (Rel. 8)

Cell-specific reference signals
Associated with non-MBSFN transmission
MBSFN reference signals
Associated with MBSFN transmission
UE-specific reference signals

90
DL Reference Signal - cont.

Cell-specific 2D RS sequence is generated as the symbol-by-

symbol product of a 2D orthogonal sequence (OS) and a 2D
pseudo-random sequence (PRS).
3 different 2D OS and ~170 different PRS.
Each cell (sector) ID corresponds to a unique combination of one OS
and one PRS ~510 unique cell IDs.

CDM of RS for cells (sectors) of the same eNodeB (BS)

Use complex orthogonal spreading codes.

FDM of RS for each antenna in case of MIMO

91
DL Reference Signal - cont.

R0 R0

*With normal CP
One antenna port

R0 R0
*3GPP TS 36.211
R0 R0

R0 R0
l 0 l 6 l 0 l 6

Resource element (k,l)

R0 R0 R1 R1
Two antenna ports

R0 R0 R1 R1
Not used for transmission on this antenan port

R0 R0 R1 R1
Reference symbols on this antenna port

R0 R0 R1 R1
l 0 l 6 l 0 l 6 l 0 l 6 l 0 l 6

R0 R0 R1 R1 R2 R3 R3
Four antenna ports

R0 R0 R1 R1 R2

R0 R0 R1 R1 R2 R3 R3

R0 R0 R1 R1 R2
l 0 l 6 l 0 l 6 l 0 l 6 l 0 l 6 l 0 l 6 l 0 l 6 l 0 l 6 l 0 l 6

even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots

Antenna port 0 Antenna port 1 Antenna port 2 Antenna port 3

92
DL MIMO
Supported up to 4x4 configuration.

Support for both spatial multiplexing (SM) and Tx diversity

(TxD).
SM
Unitary precoding based scheme with codebook based feedback
from user.
Multiple codewords (up to two).
TxD: SFBC and CDD (Cyclic Delay Diversity).

MU-MIMO supported.

3G Americas, MIMO Transmission Schemes for LTE and HSPA

Networks, Jun. 2009, available at http://3gamericas.org

93
UL Overview
UL physical channels
Physical Uplink Shared Channel (PUSCH)
Physical Uplink Control Channel (PUCCH)
Physical Random Access Channel (PRACH)

UL physical signals
Reference signal (RS)

Available modulation for data channel

QPSK, 16-QAM, and 64-QAM

Single user MIMO not supported in Release 8.

But it is addressed in Release 10.
Multi-user collaborative MIMO supported.

94
 UL Resource Block
*PUSCH with normal CP

Resource Reference
block (RB) symbols (RS)
Frequency
Subcarrier

1 slot (0.5 ms) One SC-FDMA symbol

Time

95
UL Physical Channel Processing

Scrambling

Modulation mapping

Transform precoding DFT-precoding

SC-FDMA
Resource element mapping
modulation

SC-FDMA signal generation IDFT operation

96
 SC-FDMA Modulation in LTE UL

Localized mapping
Subcarrier with an option of
Mapping adaptive
scheduling or
random hopping.

M-
Zeros

1
subcarrier
Serial- Parallel
x0 , x1 , xN 1 to- N-DFT
M-
-to- x0 , x1 , xM 1
IDFT
Parallel Serial
One SC-FDMA
symbol
Zeros
0

97
UL Reference Signal
Two types of UL RS
Demodulation (DM) RS Narrowband.
Sounding RS: Used for UL resource scheduling Broadband.

RS based on Zadoff-Chu CAZAC (Constant Amplitude Zero

Auto-Correlation) polyphase sequence
CAZAC sequence: Constant amplitude, zero circular auto-
correlation, flat frequency response, and low circular cross-
correlation between two different sequences.

j 2 r k 2 qk , k 0,1,2, , L 1; for L even * r is any integer relatively prime

e L 2 with L and q is any integer.
ak
r k ( k 1)
j 2 L 2 qk , k 0,1,2, , L 1; for L odd
e
B. M. Popovic, Generalized Chirp-like Polyphase Sequences with Optimal Correlation Properties,
IEEE Trans. Info. Theory, vol. 38, Jul. 1992, pp. 1406-1409.

98
UL RS Multiplexing - cont.

DM RS: Associated with PUSCH or PUCCH

For SIMO: FDM between different users.
For MU-MIMO: CDM between RS from each antenna

Sounding RS: Not associated with PUSCH or PUCCH

CDM when there is only one sounding bandwidth.
CDM/FDM when there are multiple sounding bandwidths.

99
Radio Procedures

Cell search

Random access

Power control

Uplink synchronization and uplink timing control

Hybrid ARQ related procedures

100
LTE Release 9

Enhancements to Release 8
Enhanced DL beamforming (dual layer)
Vocoder rate adaptation
Self-organizing network (SON)
Multimedia broadcast/multicast service (MBMS)
Circuit-switched (CS) domain services
UE positioning
IMS emergency

101
4G: IMT-Advanced

*3G Americas, Defining 4G: Understanding the ITU Process for the Next Generation of Wireless Technology, Aug. 2008

102
LTE-Advanced Requirements
Peak data rate:
1 Gbps DL and 500 Mbps UL

Latency
Less than 10 ms within Connected mode
Less than 50 ms from Idle to Connected mode

Spectrum
Up to 100 MHz bandwidth
Support for non-consecutive bands (spectrum aggregation)

Peak spectrum efficiency

30 bps/Hz DL and 15 bps/Hz UL

103
LTE-A Features

Release 10 (Completed in Mar. 2011)

Carrier aggregation
Enhanced MIMO
Heterogeneous network (HetNet): Macro-cell + small-cell
Relaying

Release 11 (Completed in Sep. 2012)

Coordinated multi-point (CoMP) transmission and reception
Advanced inter-cell interference coordination (ICIC)
Enhanced PDCCH

104
LTE Release 12
Enhancements to LTE-A features

Machine-Type Communications (MTC)

FDD-TDD Carrier Aggregation

Enhancements to LTE TDD for DL-UL Interference

Management and Traffic Adaptation (eIMTA)

Device-to-Device (D2D) proximity services

Network-Assisted Interference Cancellation and Suppression

WLAN/3GPP radio interworking

105
LTE Release 13

LTE in unlicensed spectrum (aka Licensed-Assisted Access)

Carrier Aggregation enhancements

LTE enhancements for Machine-Type Communications (eMTC)

Enhancements for D2D

Elevation Beamforming / Full-Dimension MIMO

Enhanced multi-user transmission techniques

Indoor positioning

*http://www.3gpp.org/news-events/3gpp-news/1628-rel13
106
LTE-A: Carrier Aggregation - cont.

In order to support up to 100 MHz bandwidth, two or more

component carriers aggregated
Component carrier (CC): Basic frequency block which comply with R8
LTE numerology
Each CC is limited to 20 MHz bandwidth (110 resource blocks).
Maintains backward compatibility with R8 LTE.

Supports both contiguous and non-contiguous spectrum.

Also supports asymmetric bandwidth for FDD.

107
 LTE-A: Carrier Aggregation - cont.

100 MHz
CC 20 MHz

60 MHz
Non-
contiguous
60 MHz
Contiguous
20 MHz
R8 LTE

108
LTE-A: Carrier Aggregation - cont.

Spectrum aggregation scenarios

Intra-band adjacent
Intra-band non-adjacent
Inter-band

Asymmetric bandwidth for FDD

Number of DL CC Number of UL CC

109
LTE-A: Carrier Aggregation - cont.

Downlink multiple access scheme

OFDMA with CC-based structure: Re-use R8 spec for low cost & fast
development
One transport block is mapped within one CC.

Uplink multiple access scheme

N-times DFT-spread OFDM: Clustered DFT spreading

110
LTE-A: Enhanced MIMO

Downlink MIMO
Up to 8x8 (8 layer) configuration
Additional RS: CSI-RS and UE-specific DM RS
Support for MU-MIMO
Enhancements to CSI feedback

Uplink MIMO
Introduction of UL transmit diversity
Introduction of up to 4x4 SU-MIMO
Use of turbo serial interference canceller

111
LTE-A: Relaying
Improves coverage and cell-edge performance.

Relay node is wirelessly connected to RAN via a donor cell.

Backhaul link

Relay node
Donor cell

112
LTE-A: Heterogeneous Network Support
Heterogeneous network (HetNet): Low power nodes/cells are
placed throughout a macro-cell deployment as an underlay.
Low power cell: Pico/femto-cell, relay, remote radio head (RRH), etc.

Macro-cell

Pico/femto-cell

113
LTE-A: HetNet Support - cont.

Supports interference coordination for both CA-based and

non-CA-based HetNets.

Ways to coordinate interference

Time domain coordination
Introduction of ABS (Almost Blank Subframe)
Coordinated CSI-RS
Backhaul coordination between macro and underlay cells
Power control

Release 11 adds more enhancements.

114
LTE-A: CoMP TX & RX
Release 11 feature.

Improves coverage, cell-edge performance, and system

throughput.
DL: Joint processing, coordinated scheduling/beamforming
UL: Multi-point reception

115
LTE in Unlicensed Spectrum

Release 13 feature

Licensed Assisted Access (LAA)

Aggregation of 5 GHz unlicensed spectrum

Key mechanisms
Listen-before-talk (LBT)
Discontinuous transmission on a carrier with limited maximum
transmission duration
Dynamic frequency selection (DFS) for radar avoidance
Multicarrier transmission across multiple unlicensed channels

116
 LTE for IoT
Release 13 feature

*http://www.3gpp.org/news-events/3gpp-news/1805-iot_r14

117
Outline

Wireless Background

4G/5G Enabling Technologies

4G LTE & LTE-Advanced

5G NR

Summary and References

118
Cellular Network Evolution
Cell densification is a major trend to increase network
capacity.

*Qualcomm
119
Cellular Network Evolution - cont.

Cellular network evolution: Traditional macro-based

1:M=(# of BS):(# of mobile)

120
Cellular Network Evolution - cont.

Cellular network evolution: Small cells

1:N (where N << M)

121
Cellular Network Evolution - cont.

Cellular network evolution: Ultra-densification through small

cells, remote radio heads, distributed antennas, relays, etc.

# of access nodes equals

1:1 # of mobile devices (?!?).

122
Cellular Network Evolution - cont.

Many technologies are emerging to address cell densification,

network capacity increase, and user experience.
Advanced heterogeneous network (HetNet)/small cells
Small Cell-as-a-Service (SCaaS)
WiFi/cellular integration
LTE in unlicensed spectrum
Interference cancellation & suppression
Device-to-device (p2p)
Self organizing network (SON)
Software defined networking (SDN)/Network Functions Virtualization
(NFV)
Distributed antenna system (DAS)
Massive MIMO
mmWave frequency communication

123
5G under IMT-2020
Enhanced mobile broadband

Gigabytes in a second

3D video, UHD screens

Work and play in the cloud

Smart home/building
Augmented reality

Industry automation

Voice Mission critical application

Smart city Self driving car

Future IMT

Massive machine type Ultra-reliable and low latency

communications communications
M.2083-02

*Recommendation ITU-R M.2083-0

124
 5G under IMT-2020 - cont.
User experienced
Peak data rate data rate
(Gbit/s) (Mbit/s)

20 100
IMT-2020
10
1
Area traffic
capacity Spectrum
efficiency
(Mbit/s/m2 ) 10
1 3
1
0.1

1 350
10 400
100 500
Network
IMT-advanced Mobility
energy efficiency (km/h)

5
10 10

6
10 1

Connection density Latency

2
(devices/km ) (ms)

*Recommendation ITU-R M.2083-0 M.2083-03

125
 5G under IMT-2020 - cont.

Peak User experienced

Enhanced mobile data rate High importance data rate
broadband
Medium
Spectrum
Area traffic efficiency
capacity Low

Network Mobility
energy efficiency
Ultra-reliable
Massive machine and low latency
type communications communications
Connection density Latency

M.2083-04
*Recommendation ITU-R M.2083-0
126
5G New Radio (NR)
First release of specification in Release 15.

Target scope
Non-Standalone (NSA)
NSA NR implies using LTE as control plane anchor.
Standalone (SA)
SA NR implies full control plane capability for NR.

Target use cases

Enhanced Mobile Broadband (eMBB)
Ultra-Reliable and Low Latency Communications (URLLC)

Frequency ranges below 6GHz and above 6GHz.

127
5G NR Timeline

*3GPP

128
 5G NR Network Architecture

NG-CP/UPGW NG-CP/UPGW
NGC
NG

LTE eNB
New RAN
gNB
Xn Xn

Xn
LTE eNB gNB

NGC: Next Generation Core network

gNB: gNode B
*3GPP TR 38.912
129
5G NR Features & Considerations
Multicarrier-based waveform
DL: OFDM
UL: OFDM & SC-FDMA (DFT-spread OFDM)

Flexible numerology
Subcarrier spacing of 15 kHz * 2n
n can be both non-negative or negative integer.

Maximum channel bandwidth per NR carrier: 400MHz

Modulation schemes: Up to 256-QAM
Channel coding scheme
LDPC code baseline
Polar code for control channel

130
5G NR Features & Considerations - cont.

Multi-antenna schemes
Beam management
Beam determination, measurement, reporting, & sweeping
MIMO
SU & MU-MIMO supported up to 8 layers

Dual connectivity between LTE & NR

Support for network slicing

Differentiated treatment depending on each customer requirements

131
Outline

Wireless Background

4G/5G Enabling Technologies

4G LTE & LTE-Advanced

5G NR

Summary and References

132
Summary

Key technologies of 4G & 5G systems

Multicarrier-based radio air interface
OFDM/OFDMA and SC-FDMA
Frequency domain equalization
IP-based flat network architecture
Multi-input multi-output (MIMO)
Active interference avoidance and coordination
Fast multi-carrier frequency-selective resource scheduling
Network management & virtualization

133
References and Resources
Key enabling technologies
OFDM/OFDMA
R. van Nee and R. Prasad, OFDM for Wireless Multimedia Communications,
Artech House, 2000.
Frequency domain equalization
D. Falconer et al., Frequency Domain Equalization for Single-Carrier
Broadband Wireless Systems, IEEE Commun. Mag., vol. 40, no. 4, Apr. 2002,
pp. 58-66.
H. Sari et al., Transmission Techniques for Digital Terrestrial TV
Broadcasting, IEEE Commun. Mag., vol. 33, no. 2, Feb. 1995, pp. 100-109.
SC-FDMA
H. G. Myung & D. Goodman, Single Carrier FDMA: A New Air Interface for Long
Term Evolution, John Wiley & Sons, Nov. 2008
H. G. Myung et al., Single Carrier FDMA for Uplink Wireless Transmission,
IEEE Vehicular Technology Mag., vol. 1, no. 3, Sep. 2006.

134
References and Resources - cont.

MIMO
A. Paulraj et al., Introduction to Space-Time Wireless Communications,
Cambridge University Press, May 2003.
G. L. Stber et al., Broadband MIMO-OFDM Wireless Communications,
Proceedings of the IEEE, Feb. 2004, vol. 92, no. 2, pp. 271-294.
E. G. Larsson et al., Massive MIMO for Next Generation Wireless Systems
, IEEE Commun. Mag., vol. 52, no. 2, Feb. 2014, pp. 186-195.
Multicarrier scheduling
G. Song and Y. Li, Utility-based Resource Allocation and Scheduling
in OFDM-based Wireless Broadband Networks, IEEE Commun. Mag.,
vol. 43, no. 12, Dec. 2005, pp. 127-134.
NFV
http://www.etsi.org/technologies-clusters/technologies/nfv
Polar code
E. Arikan, Channel Polarization: A Method for Constructing Capacity
-Achieving Codes for Symmetric Binary-Input Memoryless Channels, IEEE
Trans. on Info. Theory, vol. 55, no. 7, Jul. 2009.

135
References and Resources - cont.

LTE
Spec
http://www.3gpp.org/ftp/Specs/html-info/36-series.htm
4G Americas
http://4gamericas.org
LTE books
http://www.wiley.com/WileyCDA/Section/id-WILEY2_SEARCH_RESULT.ht
ml?query=lte
http://www.LTEwatch.com

136
References and Resources - cont.

NR
Technical reports
http://www.3gpp.org/DynaReport/38-series.htm
3GPP Release 15
http://www.3gpp.org/release-15
5G Americas
http://5gamericas.org

137
 Questions? Thank you!

IEEE WCNC 2017

2017.03.19
Dr. Hyung G. Myung, Qualcomm