SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

Physical Layer Procedures and Scheduling

9.1 HYBRID-ARQ FEEDBACK
 The LTE downlink employs the asynchronous adaptive H-ARQ protocol, for which the
retransmissions are scheduled in a similar fashion to the first transmission, i.e., the TTI and resource
allocation for the retransmission is dynamically determined by the scheduler.
 In the uplink, synchronous adaptive H-ARQ protocol is used, for which the retransmissions are
automatically scheduled after a certain time window and the UE does not need to send the H-ARQ
process number.
 This reduces the amount of signaling overhead in the uplink. With different frame structures, the H-
ARQ feedback is different for FDD and TDD modes.

9.1.1 H-ARQ Feedback for Downlink (DL) Transmission

 For H-ARQ transmissions in the downlink, UEs need to feed back the associated ACK/NAK
information on PUCCH or PUSCH. One ACK/NAK bit is transmitted in case of single-codeword
downlink transmission, while two ACK/NAK bits are transmitted in case of two-codeword downlink
transmission.
 For two-codeword transmission, codeword swap is enabled by a 1-bit transport block to codeword
swap flag, which allows both codewords to experience similar channel conditions after H-ARQ
retransmission when the channel is static or experiences little or no variation between subsequent H-
ARQ transmissions.
 For the FDD mode, the UE transmits H-ARQ-ACK in subframe n for a PDSCH transmission in
subframe n − 4.
 When both H-ARQ-ACK and Scheduling Request (SR) are transmitted in the same subframe, i.e.,
with PUCCH format 1a or 1b, a UE shall transmit the H-ARQ-ACK on its associated H-ARQ-ACK
PUCCH resource for a negative SR transmission and transmit the H-ARQ-ACK on its assigned SR
PUCCH resource for a positive SR transmission.
 For the TDD mode, in asymmetric uplink/downlink cases with more downlink subframes than uplink
subframes, it may happen that more than one acknowledgment needs to be sent in a certain UL
subframe.
 Therefore, H-ARQ reporting is different from the FDD mode. For TDD, two ACK/NAK feedback
modes are supported by higher layer configuration:

 ACK/NAK bundling using PUCCH format 1a or 1b, which is the default mode and consists of one or
two bits of information
 ACK/NAK multiplexing using PUCCH format 1b, which consists of between one and four bits of
information

 The feedback of H-ARQ-ACK in the UL subframe n corresponds to the detection of the PDSCH
transmission within subframe(s) n − k, where the parameter k is different for different UL/DL
configurations and different subframes, and k K with K specified in Table 9.1.
 Some UL/DL configurations and in some subframes multiple acknowledgments are needed, with a
maximum number of 4, so the number of information bits for ACK/NAK multiplexing is between one
and four.
 For ACK/NAK bundling, multiple acknowledgments are combined by a logical AND operation, and
then the bundled 1 or 2 ACK/NAK bits are transmitted using PUCCH format 1a and PUCCH format
1b, respectively.

Table 9.1 Downlink Association Set Index K : {k0, k1, ..., kM−1} for TDD
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

9.1.2 H-ARQ Indicator for Uplink (UL) Transmission

 For the uplink H-ARQ process, as spatial multiplexing of transport blocks is not supported, only a
single-bit H-ARQ Indicator (HI) needs to be sent to each scheduled UE, which is carried on the
PHICH physical channel.
 For the FDD mode, an ACK/NAK received on the PHICH assigned to a UE in subframe n is
associated with the PUSCH transmission in subframe n − 4.
 For the TDD mode, different from the feedback for downlink transmission, there is no problem to
transmit multiple acknowledgments on PHICH.
 For UL/DL configurations 1–6, an ACK/NAK received on the PHICH in subframe n is associated
with the PUSCH transmission in the subframe n − k as indicated in Table 9.2. For TDD with UL/DL
configuration 0:

1. If there is PUSCH transmission in subframe 4 or 9, an ACK/NAK received on the PHICH in subframe n is

associated with the PUSCH transmission in the subframe n − 6.
2. Otherwise, an ACK/NAK received on the PHICH in subframe n is associated with the PUSCH
transmission in the subframe n − k with k indicated in Table 9.2.

Table 9.2 The Value of k for TDD Configurations 0–6

9.2 CHANNEL QUALITY INDICATOR (CQI) FEEDBACK

 The Channel Quality Indicator (CQI) contains information sent from a UE to the eNode-B to
indicate a suitable downlink transmission data rate, i.e., a Modulation and Coding Scheme (MCS)
value.
 CQI is a 4-bit integer and is based on the observed signal-to-interference-plus-noise ratio (SINR) at
the UE. The CQI estimation process takes into account the UE capability such as the number of
antennas and the type of receiver used for detection.
 This is important since for the same SINR value the MCS level that can be supported by a UE
depends on these various UE capabilities, which needs to be taken into account in order for the
eNode-B to select an optimum MCS level for the transmission.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 The CQI reported values are used by the eNode-B for downlink scheduling and link adaptation,
which are important features of LTE.
 LTE supports wideband and subband CQI reporting. A wideband CQI value is a single 4-bit integer
that represents an effective SINR as observed by the UE over the entire channel bandwidth.
 With wideband CQI, the variation in the SINR across the channel due to frequency selective nature
of the channel is masked out.
 Therefore, frequency selective scheduling where a UE is placed only in resource blocks with high
SINR is not possible with wideband CQI reporting.
 To support frequency selective scheduling, each UE needs to report the CQI with a fine frequency
granularity, which is possible with subband CQI reporting.
 A subband CQI report consists of a vector of CQI values where each CQI value is representative of
the SINR observed by the UE over a subband.
 A subband is a collection of n adjacent Physical Resource Blocks (PRBs) where the value of n can be
2, 3, 4, 6, or 8 depending on the channel bandwidth and the CQI feedback mode.

 One of the critical aspects of designing the CQI feedback mechanism for LTE is the optimization
between the downlink system performance and the uplink bandwidth consumed by the feedback
mechanism.
 The wideband CQI is the most efficient in terms of uplink bandwidth consumption since it requires
only a single 4-bit feedback.
 However, this is not the optimum feedback mechanism since frequency selective scheduling cannot
be done using a wideband CQI feedback.
 On the other hand, subband CQI feedback requires more uplink bandwidth but is more efficient since
it allows for a frequency selective scheduling, which maximizes the multiuser diversity gain of an
OFDMA system.
 Wideband CQI is the preferred mode to use for high speeds where the channel changes rapidly since
frequent subband reporting would exhaust a large portion of the uplink bandwidth.
 Wideband CQI is also the preferred mode for services such as VoIP where a large number of
simultaneous UEs are supported and latency is more critical than the overall throughput since VoIP
is typically a low data rate application with very strict latency requirement.
 The LTE standard does not specify how to select between wideband and subband CQI reporting
depending on the UE speed or the QoS requirements of the application.
 It is left up to the equipment manufacturer to develop their proprietary algorithms in order to
accomplish this.

9.2.1 A Primer on CQI Estimation

 Downlink cell-specific reference signals are used by each UE to estimate the MIMO channel from
the eNode-B.
 The estimated MIMO channel along with the known reference signal is then used to calculate the
other-cell interference level.
 The UE uses the estimated channel and interference plus noise variance to compute the SINR on the
physical resource element (PRE) carrying the reference signal.
 The UE computes SINR samples over multiple OFDM symbols and subcarriers, which are then used
to calculate an effective SINR. The effective SINR is given as:(9.1)
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

where N is the number of samples. The function I(·) maps the SINR to a performance metric that is averaged
over all the samples, and I−1(·) is its inverse. The parameters α1 and α2 adapt to different modulation and
coding schemes. The most commonly used functions for I are

• Identity function: I(γ) = γ;

• Shannon capacity: I(γ) = log2(1 + γ);
• Exponential Effective SINR Mapping (EESM): I(γ) = e−γ;
• Mutual Information Equivalent SINR Mapping (MIESM) or modulation constrained capacity:

where M is the size of the modulation alphabet (4 for QPSK, 16 for 16QAM, and 64 for 64QAM), and xm are
the modulation symbols.

 In the case of wideband CQI feedback, the UE measures the SINR from the reference signal over all
the PRBs, and then computes its CQI based on the effective SINR across the entire channel
bandwidth.
 On the other hand, for subband CQI the UE measures the SINR over the PRBs contained in the given
subband, and then computes the CQI.
 A subband is a set of k contiguous PRBs where k is semi-statically configured by higher layers.
 The set of subbands (S) a UE shall evaluate for CQI reporting spans the entire downlink system
bandwidth.
 Note that the last subband in the set S may have fewer than k contiguous PRBs depending on .
The number of subbands for a system bandwidth given by is determined by:(9.3)

 If a UE reports a CQI value for a particular subband, it is called subband feedback; if a UE reports
a single CQI value for the set S, i.e., the whole system bandwidth, it is called wideband feedback.

 Based on the estimated effective SINR, the UE picks the CQI index that indicates the highest MCS
level (modulation and code rate) that can be supported with a 10% BLER on the first H-ARQ
transmission.
 The CQI feedback is used by the eNode-B to select an optimum PDSCH transport block with a
combination of modulation scheme and transport block size corresponding to the CQI index that
could be received with target block error probability after the first H-ARQ transmission.
 While this target block error probability is left open as an implementation choice, typical values are
in the range of 10–25%.
 It should be noted that the target BLER of the transmission is not the same as the BLER of 10%
based on which the CQI is computed.
 Thus, the eNode-B needs to take this into account while selecting the optimum transport block size.
 If the achieved block error rate is not equal to the target value based on the H-ARQ ACK/NAK ratio,
then a fudge factor can be added to the CQI to ensure that the selection of the block size based on
the CQI leads to the desired target block error rate.
 A positive fudge factor implies a more aggressive transport block size selection, whereas a negative
fudge factor implies a more conservative transport block size selection.
 The supported CQI indices and their interpretations are given in Table 9.3. In total, there are 16
CQI values, which require a 4-bit CQI feedback. In Table 9.3, the efficiency for a given CQI index is
calculated as:(9.4)

Table 9.3 4-Bit CQI Table

SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

where Qm is the number of bits in the modulation constellation. Taking CQI index 4 as an example, as Qm =
2 for QPSK, we have

9.2.2 CQI Feedback Modes

CQI is reported with other uplink control information including Precoder Matrix Indicator (PMI) and Rank
Indicator (RI) on PUSCH or PUCCH. The reporting of CQI, PMI, and RI in the time domain can be
categorized into two classes:

• Periodic reporting: The UE reports CQI, PMI, and RI with reporting periods configured by the higher
layer on the PUCCH.
 If the UE is scheduled in the uplink, the periodic reporting is carried on PUSCH.
• Aperiodic reporting: The UE reports CQI, PMI, and RI using the PUSCH upon receiving either a DCI
format 0 or a random access response grant.
 Feedback via PUSCH can be used to provide large and more detailed reporting in a single reporting
instance compared to the periodic feedback.

 In cases where both periodic reporting on the PUCCH and the aperiodic reporting PUSCH happen
to be on the same subframe, the UE will only transmit the aperiodic report over the PUSCH and
ignore the periodic PUCCH report.
 As we discussed previously, in the frequency domain the CQI reporting can be classified as subband
CQI and wideband CQI.
 Both periodic and aperiodic reporting modes support wideband and subband CQI reporting.
 In the case of periodic CQI reporting mode when subband CQI is requested, the UE cycles through
the different subbands from one reporting instance to the next.
 This allows for subband CQI reporting without requiring too much overhead in the uplink.
 The only problem with this is that it could take a while for the eNode-B to develop a complete
picture in order to effectively utilize the CQI information for frequency selective scheduling.
 For aperiodic reporting, the UE can report the subband CQI across all the bands in one single
report. This is possible since the available bandwidth on PUSCH is much larger than that of
PUCCH.
 In LTE there are two distinct reporting mechanisms for subband CQI feedback when the aperiodic
reporting mode is used:

• Higher Layer Configured Subband Report: In this case, the UE reports the subband CQI for each band in
a single feedback report. The size of a band is specified by a higher layer message and is contingent on the
system bandwidth.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

• UE Selected Subband Report: In this case, the UE reports the subband CQI for the „M‟ bands with the
highest CQI values. The CQI for the rest of the bands is not reported. In this case, the value of M and the
size of a band is given by a higher layer message and is also contingent on the system bandwidth.

 Each reporting class supports a number of different reporting modes, where each reporting mode is
characterized by a specific CQI feedback type and a PMI feedback type, which are listed in Table
9.4 and Table 9.5 for periodic reporting and aperiodic reporting, respectively.
 There are seven transmission modes in the downlink, and each of them supports a specific subset of
the reporting modes, the details of which are shown in Table 9.6

Table 9.4 CQI and PMI Feedback Types for Periodic PUCCH Reporting Modes

Table 9.5 CQI and PMI Feedback Types for Aperiodic PUSCH Reporting Modes

Table 9.6 The Supporting CQI Reporting Modes for Different Transmission Modes

Periodic CQI Reporting

 First, we describe periodic CQI reporting, where a UE is semi-statically configured by higher layers
to periodically feed back CQI on the PUCCH in one of the reporting modes given in Table 9.4.
 Note that mode 1-0 and 2-0 do not report PMI and they are used for OL MIMO modes and single-
antenna port transmission.
 Mode 1-1 and mode 2-1 report a single PMI for CL MIMO modes, i.e., only the wideband PMI is
reported.
 The periodic CQI feedback is useful for scheduling and adaptive modulation and coding, and can
also be used to check or change semi-static parameters such as the MIMO mode or transmission
mode.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

Considering the reporting for CQI/PMI and RI, there are four different reporting types supported for each
of these reporting modes as given in Table 9.7:

• Type 1 report supports CQI feedback for the UE selected subbands.

• Type 2 report supports wideband CQI and PMI feedback.
• Type 3 report supports RI feedback.
• Type 4 report supports wideband CQI.

Table 9.7 PUCCH Report Type Payload Size Per Reporting Mode

Periodic reporting supports both UE-selected subband reporting and wideband reporting.

UE-Selected Subband CQI

For the UE-selected subband CQI, a CQI report describes the channel quality in a particular part of the
bandwidth. For this reporting type, two concepts are important to understand the feedback scheme:

• Subband: The system bandwidth, given by , is divided into N subbands, where subbands
are of size k and one is of size . The CQI report is for one of these subbands.
• Bandwidth part:
 A bandwidth part (BP) j consists of NJ consecutive subbands, and a total of J BPs span the system
bandwidth . If J = 1, then .If J> 1,then
or , depending on the values of , k, and J.
 The subband size k and the number of BPs J are given in Table 9.8 for different bandwidths. An
example of is shown in Figure 9.2, with k = 4 and J = 2.
 The UE selects the single subband with the best CQI out of NJ subbands of the j-th BP and feeds
back the corresponding CQI together with an L-bit label where L = .
 From Table 9.8, we see that the value of L is 1 or 2. The value of j (the BP index) is determined
by j = mod(NSF, J), where NSF is a counter that a UE increments after each subband report
transmission, so it does not need to be fed back to the eNode-B.
 Therefore, the UE-selected subband reporting only selects to report CQI for a subband from a
certain BP but not from the whole bandwidth, which reduces the feedback overhead.

Table 9.8 Subband Size (k) and Bandwidth Parts (J) vs. Downlink System Bandwidth in Periodic Reporting
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

Figure 9.2 The structure of subbands and bandwidth parts.

 The number of CQI feedback bits for type 1 subband CQI reporting is shown in Table 9.7. For mode
2-0, the feedback consists of a 4-bit CQI and an L-bit subband label.
 For OL spatial multiplexing, the preferred subband selection and CQI calculation are conditioned
on the last reported RI; for other transmission modes, they are calculated conditioned on RI = 1.
 For mode 2-1, the feedback consists of an L-bit subband label and a 4-bit or 7-bit CQI, where the 4-
bit CQI is for single-codeword CL spatial multiplexing and the 7-bit CQI is for two-codeword CL
spatial multiplexing, with 4 bits for codeword 0 and 3 bits for the spatial differential value for
codeword 1.
 The 3-bit spatial differential CQI value for codeword 1 is defined by: (9.5)

 The mapping from the 3-bit spatial differential value to the offset level is shown in Table 9.9.
 For CL spatial multiplexing, the subband selection and CQI values are calculated conditioned on
the last reported wideband PMI and RI; for other transmission modes, they are calculated
conditioned on the last reported PMI and RI = 1.

Table 9.9 Mapping Spatial Differential CQI Value to Offset Level

Wideband CQI

For wideband CQI, a CQI report describes the channel quality over the set S of all the subbands. Different
reporting modes with wideband CQI are described as follows:

• For single-antenna port and transmit diversity, as well as OL spatial multiplexing, i.e., for mode 1-0 and
2-0, a single 4-bit CQI is reported.
• The reporting is similar for mode 1-1 and 2-1. The feedback consists of a 4-bit (for single-codeword
spatial multiplexing) or 7-bit CQI (for two-codeword spatial multiplexing) and a single PMI.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 The single PMI is selected assuming transmission on set S subbands and conditioned on the last
reported periodic RI. The wideband CQI value is calculated assuming the use of the selected PMI in
all subbands.

Based on these rules, together with the PMI feedback that will be discussed in Section 9.3, we are able to
determine the payload size for each reporting mode in Table 9.7. For example, the payload size for
reporting type 2 is 8 bits (RI = 1) or 11 bits (RI > 1) for mode 1-1 and 2-1, which consists of a 4-bit PMI
and a 4-bit or 7-bit CQI.

Reporting Period

The reporting periods for the CQI feedback depend on the reporting type:

• The period Np of the subband CQI reporting is selected from the set {2, 5, 10, 20, 40, 80, 160, OFF} for the
FDD mode and from the set {1, 5, 10, 20, 40, 80, 160, OFF} for the TDD mode. The value of Np is
configured by higher-layer signaling.
• The wideband CQI/PMI reporting period is Np if it is not configured with subband CQI reporting;
otherwise, the wideband CQI/PMI reporting period is H · Np.
 The integer H is defined as H = J ·K + 1, where J is the number of bandwidth parts and K is selected
from the set {1, 2, 3, 4}. In this case, between every two consecutive wideband CQI/PMI reports, the
remaining J · K reporting instances are used for subband CQI reports on K full cycles of BPs.
• For the RI reporting, if RI and wideband CQI/PMI are configured, the reporting interval of the RI
reporting is Np · MRI, where MRI is configured by higher-layer signaling and is selected from the set {1, 2, 4,
8, 16, 32, OFF}; if RI is configured with both wideband CQI/PMI and subband CQI reporting, the reporting
interval of the RI reporting is H · Np · MRI.
 In case of a collision between RI and wideband CQI/PMI or subband CQI reporting, the wideband
CQI/PMI or subband CQI is dropped.

Therefore, the report period is the longest for RI while shortest for subband CQI.

Aperiodic CQI Reporting

If a UE receives either a DCI format 0 or a random access response grant in subframe n, and if the
respective CQI request field is set to 1 and is not reserved, the UE shall perform aperiodic CQI, PMI, and
RI reporting using the PUSCH channel in subframe n + k. The value of k is specified as follows:

• For FDD, k = 4.
• For TDD UL/DL configuration 1–6, k is given in Table 9.10.

Table 9.10 The Values of k for TDD Configuration 0–6

• For TDD UL/DL configuration 0:

– If the Most Significant Bit (MSB) of the UL index is set to 1 and the Least Significant Bit (LSB) is set to 0
or 1, k is given in Table 9.10.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

– If the MSB of the UL index is set to 0 and the LSB is set to 1, k is equal to 7.

As shown in Table 9.5, there are three different aperiodic CQI feedback types: wideband feedback, higher
layer-configured subband feedback, and UE-selected subband feedback, and five reporting modes.

 Modes 2-0 and 3-0 are for single-antenna-port transmission and OL MIMO modes, while Mode 3-1
with single PMI and Modes 1-2 and 2-2 with multiple PMI are for CL MIMO modes.

Wideband Feedback

 For wideband feedback, a UE selects a preferred precoding matrix for each subband, assuming
transmission only in that subband.
 Then each UE reports one wideband CQI value for each codeword, assuming the use of the selected
precoding matrix in each subband, and it also reports the selected PMI for each subband, i.e.,
multiple PMIs are reported.

Higher Layer-Configured Subband Feedback

 There are two different reporting modes with higher layer-configured subband feedback: Mode 3-0
(without PMI) and Mode 3-1 (with single PMI).
 The supported subband size k is the same as that for the periodic reporting, as in Table 9.8.
 As a separate CQI is reported for each subband, this reporting type provides the finest frequency
granularity but also has the highest overhead.

• For Mode 3-0, a UE reports one subband CQI for each subband, together with a wideband CQI. Both the
wideband and subband CQI represent channel quality for the first codeword, even when RI > 1. No PMI is
reported for this mode.
• For Mode 3-1, a single precoding matrix is selected, assuming transmission over the whole system
bandwidth.
 A UE reports one subband CQI value per codeword for each subband, together with a wideband
CQI value per codeword, assuming the use of the single precoding matrix in all subbands.
 A 4-bit wideband CQI is reported for each of codeword 0 and codeword 1. The selected precoding
matrix is also reported.

The subband CQI values for each codeword are encoded differentially with respect to their respective
wideband CQI using 2 bits defined by:

The mapping from the 2-bit differential value to the offset level is show in Table 9.11.

Table 9.11 Mapping Subband Differential CQI Value to Offset Level

UE-Selected Subband Feedback

For UE-selected subband feedback, there are two different reporting modes: Mode 2-0 (without PMI) and
Mode 2-2 (with multiple PMI).
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

• For Mode 2-0, the UE selects a set of M preferred subbands of size k, where the values of M and k are
given in Table 9.12 for different system bandwidths. The UE will report one CQI value reflecting
transmission only over the M selected subbands. This is called the best-M method. Additionally, the UE will
also report a wideband CQI value.

Table 9.12 Subband Size (k) and Number of Subbands (M) vs. Downlink System Bandwidth in Aperiodic
Reporting

• For Mode 2-2, the UE first jointly selects the set of M preferred subbands of size k and a preferred single
precoding matrix.
 Then it will report one CQI value per codeword reflecting transmission only over the
selected M preferred subbands, together with the selected single precoding matrix.
 The UE will also select a precoding matrix assuming transmission over the whole system bandwidth.
 Then it reports a wideband CQI per codeword together with the selected single PMI for the whole
system bandwidth.
 The CQI value for the M selected subbands for each codeword is encoded differentially using 2 bits
relative to its respective wideband CQI, with the mapping from the 2-bit differential value to the
offset level shown in Table 9.11.
 For all UE-selected feedback modes, the UE shall report the position of the M selected subbands
using a combinatorial index r defined as: (9.7)

where the set (1 ≤ si ≤ N, si < si+1) contains the M sorted subband indices and (9.8)

is the extended binomial coefficient, resulting in unique label . So the number of bits

to denote the positions of the M selected subbands is .

9.3 PRECODER FOR CLOSED-LOOP MIMO OPERATIONS

 MIMO transmission is a key technique in LTE and can provide a significant throughput gain,
especially with the spatial multiplexing mode.
 The amount of feedback required to provide the full CSI to the eNode-B is large, particularly in
multicarrier systems.
 The UE chooses the optimum rank and precoder for downlink transmission based on a predefined set
of precoders, also known as a codebook. In this case, instead of indicating the full precoding matrix,
the UE only needs to indicate the index of the precoding matrix from the codebook.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 RI is reported by the UE to indicate the number of layers, i.e., the number of data streams used in
spatial multiplexing. For CL MIMO modes, i.e., the transmission modes 4, 5, and 6, the preferred
precoding matrix in the predefined codebook needs to be reported, which is provided by the PMI.

9.3.1 Precoder Estimation for Multicarrier Systems

 The precoder estimation at the UE can be done based on a few different metrics.
 The most common metric is the capacity-based one.
 The precoder is chosen to maximize the MIMO capacity of the effective channel, which includes the
radio channel and the precoder.
 This metric is suitable for the receivers based on maximum likelihood detection. For a simpler
receiver, such as the one based on Minimum Mean Square Error (MMSE), this approach is not
optimal, as the rate achieved by MMSE receivers is not given by the MIMO capacity equation.
 For MMSE receivers, the optimal precoder is chosen such that the post-MMSE SINR across both
streams is optimized in order to achieve maximum sum rate throughput across both streams.

 In a CL MIMO system, the interference is dynamic in nature, as the precoders used at interfering
cells change from one TTI to the next.
 Thus, choosing a precoder based on the instantaneous interference seen by a UE can lead to
suboptimal performance, since the spatial characteristics of the interference can change from the
time the precoder was chosen to the time the precoder was applied.
 It has been shown that in such cases it is better to choose the precoder based on long-term
characteristics of the interference such as the interference variance at each receive antenna.

For the l-th subcarrier, the achievable rate for an MMSE receiver is (9.9)

where M = 1 to 4, depending on the number of layers, and H and F are the channel matrix and precoding
matrix, respectively. For a multicarrier system, the sum capacity over a subband with N subcarriers is
(9.10)

 The precoder is chosen to maximize Rsum for a given subband (subband PMI) or the entire bandwidth
(wideband PMI).
 For the MU-MIMO mode, the rank-1 precoder of the SU-MIMO mode is applied. The eNode-B
schedules two UEs with orthogonal precoders and similar CQI level on the same radio resource.
 The two rank-1 precoders are used together to create a rank-2 precoding matrix for the two streams
for two different UEs.

9.3.2 Precoding Matrix Index (PMI) and Rank Indication (RI) Feedback

 The RI report is determined from the supported set of RI values for the corresponding eNode-B and
the UE antenna configuration.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 The value of RI can be 1 or 2 for two-antenna ports and from 1 to 4 for four-antenna ports. The
mapping between RI bits and the channel rank is shown in Table 9.13.
 UEs need to report RI for both CL and OL MIMO modes. For the CL spatial multiplexing, the RI
report, together with the PMI, informs the eNode-B to select the suitable precoder; for OL MIMO,
the RI report supports selection between transmit diversity (RI = 1) and OL spatial multiplexing (RI
> 1).
 Only wideband RI reporting is supported, i.e., only a single RI is reported for the whole bandwidth,
as subband RI reporting provides little performance gain.
 In addition, as the channel rank normally changes slowly, the reporting period for RI is longer than
CQI in periodic reporting.

Table 9.13 RI Mapping

PMI reports the channel-dependent precoding matrix for CL MIMO modes.

• For two-antenna ports: When RI = 1, a PMI value of n {0, 1, 2, 3} corresponds to the codebook index n
with ν = 1; when RI = 2, a PMI value of n {0, 1} corresponds to the codebook index n+1 with ν = 2.

• For four-antenna ports: A PMI value of n {0, 1, ..., 15} corresponds to the codebook index n with ν =
RI.

Accordingly, the number of feedback bits for PMI reporting can be determined and is shown in Table 9.14.

Table 9.14 Number of Feedback Bits for PMI

 Each UE can be restricted to report PMI within a subset of the predefined precoder codebook when
specified by higher layer signaling.
 A bitmap is used to specify all possible precoder codebook subsets from which the UE can assume
the eNode-B may be using.
 The codebook subset restriction is supported for OL and CL spatial multiplexing, multiuser MIMO,
and closed-loop rank = 1 precoding, with the number of bits given in Table 9.15 for different
transmission modes.
 In the case of OL spatial multiplexing, these precoders are used for the four-antenna case. A bit
value of zero in the bitmap indicates that the PMI reporting is not allowed to correspond to the
precoder associated with the bit.
 The association of bits to precoders for different MIMO modes is given as follows:

• Open-loop spatial multiplexing

– Two-antenna ports: There are 2 bits in the bitmap. The bit a0 is associated with the precoder for the open-
loop transmit diversity; the bit a1 is associated with the precoder with index 0 and ν = 2, i.e., the normalized
identity matrix.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

– Four-antenna ports: There are 4 bits in the bitmap. The bit a0 is associated with the open-loop transmit
diversity precoder for four-antenna ports; bit aν−1, ν = 2, 3, 4 is associated with the precoders
corresponding to ν layers and codebook indices 12, 13, 14, and 15, and these precoders for each ν will be
applied cyclically to the ν vectors on the PDSCH.
• Closed-loop spatial multiplexing
– Two-antenna ports: There are 6 bits associated with the 6 precoders except the precoder with index 0
and ν = 2.
– Four-antenna ports: There are 64 bits associated with all the precoders
• Multiuser MIMO and closed-loop Rank = 1 precoding
– Two-antenna ports: There are 4 bits associated with the precoders for ν = 1.
– Four-antenna ports: There are 16 bits associated with the precoders for ν = 1.

Table 9.15 Number of Bits in Codebook Subset Restriction Bitmap

 Therefore, each reported PMI value corresponds to a codebook index for two-antenna ports and
four-antenna ports, respectively, with the subset restriction discussed above.
 In aperiodic reporting modes, PMI can be either wideband or subband, while only wideband PMI
reporting is supported in periodic reporting modes.
 The eNode-B can override the PMI reported by UEs.
 The actual precoding matrix used may be different from the PMI reported from the UE, and the
eNode-B needs to send precoding information on PDCCH, which either indicates the actual PMI or
informs the UE that the reported PMI is applied.
 This information field is called Transmit Precoding Matrix Indication (TPMI), which is contained in
DCI format 2 for CL spatial multiplexing with 3 bits for two transmit antennas and 6 bits for four
transmit antennas.
 If the TPMI indicates a precoding matrix, this matrix is used on all frequency resources allocated.
 The eNode-B may also decide to perform transmit diversity and indicate this in the TPMI. For OL
spatial multiplexing, there is also a TPMI field contained in DCI format 2A, which indicates whether
the transmit diversity or OL spatial multiplexing is used.

9.4 UPLINK CHANNEL SOUNDING

 Channel sounding is mainly used for uplink channel quality measurement at the eNode-B.
 The Sounding Reference Symbol (SRS) is transmitted by the UE in the uplink for the eNode-B to
estimate the channel state information, which includes the MIMO channel of the desired signal,
SINR, noise, interference level, etc.
 The SRS can also be used for uplink timing estimation and uplink power control.
 The SRS transmission is always in the last SC-FDMA symbol in the configured subframe, on which
PUSCH data transmission is not allowed.
 The eNode-B can either request an individual SRS transmission from a UE or configure a UE to
periodically transmit SRS. The periodicity may take any value of 2, 5, 10, 20, 40, 80, 160, and 320
ms.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 The UE-specific SRS parameters include the starting physical resource block assignment, duration
of SRS transmission, SRS periodicity and SRS subframe offset, SRS bandwidth, frequency hopping
bandwidth, and cyclic shift.
 These parameters are semi-statically configured by higher layers. A UE shall not transmit SRS in
the following scenarios:

• If SRS and PUCCH format 2/2a/2b transmissions happen to coincide in the same subframe
• Whenever SRS and ACK/NAK and/or positive SR transmissions happen to coincide in the same subframe
unless the parameter Simultaneous-AN-and-SRS is TRUE

If the UE is equipped with two transmit antennas, then it alternates between two-antennas every time the
SRS is transmitted. This allows the eNode-B to select the transmit antenna if the closed-loop antenna
selection is enabled.

9.5 BUFFER STATUS REPORTING IN UPLINK

 A Buffer Status Report (BSR) is sent from the UE to the serving eNode-B to provide information
about the amount of pending data in the uplink buffer of the UE.
 The buffer status, along with other information, such as priorities allocated to different logical
channels, is useful for the uplink scheduling process to determine which UEs or logical channels
should be granted radio resources at a given time.

A BSR is triggered if any of the following events occurs:

• Uplink data for a logical channel becomes available for transmission, and either the data belongs to a
logical channel with higher priority than the priorities of the logical channels for which data is already
available for transmission, or there is no data available for transmission for any of the logical channels. In
this case, the BSR is referred to as “regular BSR.”
• Uplink resources are allocated and the number of padding bits is equal to or larger than the size of the
BSR MAC control element, in which case the BSR is referred to as “padding BSR.”
• A serving cell change occurs, in which case the BSR is referred to as “regular BSR.”
• The retransmission BSR timer expires and the UE has data available for transmission, in which case the
BSR is referred to as “regular BSR.”
• The periodic BSR timer expires, in which case the BSR is referred to as “periodic BSR.”

 The buffer status is reported on a per radio bearer1 (logical channel) group basis, where a radio
bearer group is defined as a group of radio bearers with similar QoS requirements and belong to the
same QCI (QoS Class Identifier).
 There are two BSR formats used in the LTE uplink: short BSR that reports only one radio bearer
group, and long BSR that reports multiple radio bearer groups.
 For regular and periodic BSR, if more than one radio bearer group has data available for
transmission in the TTI where the BSR is transmitted, long BSR is reported; otherwise, short BSR is
reported.
 For padding BSR:

• When the number of padding bits is equal to or larger than the size of the short BSR plus its subheader but
smaller than the size of the long BSR plus its subheader, truncated BSR with the highest priority logical
channel is reported if more than one logical channel group has buffered data; otherwise, short BSR is
reported.
• If the number of padding bits is equal to or larger than the size of the long BSR plus its subheader, long
BSR is reported.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 When the BSR procedure determines that at least one BSR has been triggered, and then if the UE has
been allocated uplink resources, a buffer status report is transmitted; if a regular BSR has been
triggered and the UE has no allocated uplink resource, a scheduling request for a BSR transmission
is triggered.
 A MAC PDU shall contain at most one MAC BSR control element, even when multiple events
trigger. In this case, the regular BSR and the periodic BSR shall have precedence over the padding
BSR.
 All triggered BSRs shall be cancelled in the following two scenarios:

• The uplink grant can accommodate all pending data available for transmission but is not sufficient to
additionally accommodate the BSR MAC control element.
• A BSR is included in a MAC PDU for transmission.

9.6 SCHEDULING AND RESOURCE ALLOCATION

The main purpose of scheduling and resource allocation is to efficiently allocate the available radio
resources to UEs to optimize a certain performance metric with QoS requirement constraints. Scheduling
algorithms for LTE can be divided into two categories:

• Channel-dependent scheduling: The allocation of resource blocks to a UE is based on the channel

condition, e.g., proportional fairness scheduler, max CI (Carrier to Interference) scheduler, etc.
• Channel-independent scheduling: The allocation of resource blocks to a UE is random and not based on
channel condition, e.g., round-robin scheduler.

In a multicarrier system such as LTE, channel-dependent scheduling can be further divided into two
categories:

• Frequency diverse scheduling: The UE selection is based on wideband CQI. However, the PRB allocation
in the frequency domain is random. It can exploit time selectivity and frequency diversity of the channel.
• Frequency selective scheduling: The UE selection is based on both wideband and subband CQI, and the
PRB allocation is based on the subband CQI. This can exploit both time and frequency selectivity of the
channel.

 Dynamic channel-dependent scheduling is one of the key features to provide high spectrum efficiency
in LTE.
 To better exploit the channel selectivity, the packet scheduler is located in the eNode-B, which
allocates physical layer resources for both the DL-SCH and UL-SCH transport channels every TTI.
 Resource assignment consists of PRBs and MCS.
 Such scheduling depends heavily on the channel information available at the eNode-B, which is
provided by the uplink CQI reporting for the downlink channel and by channel sounding for the
uplink channel, as discussed in Section 9.2 and Section 9.4, respectively.
 The scheduler should also take account of the traffic volume and the QoS requirement of each UE
and associated radio bearers.
 Due to the implementation of OFDMA/SC-FDMA, LTE is able to exploit the channel variation in
both the time and frequency domain, which is a major advantage compared to HSPA, which is able
to exploit channel variation only in the time domain.
 The objective of channel-dependent scheduling, is to exploit multiuser diversity to improve the
spectrum efficiency.
 Meanwhile, it should also consider such issues as fairness and QoS requirements.
 In addition, scheduling is tightly integrated with link adaptation and the H-ARQ process.
 The scheduling algorithm is not standardized and is eNode-B vendor specific.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

9.6.1 Signaling for Scheduling in Downlink and Uplink

 For both downlink and uplink, the eNode-B scheduler dynamically controls which time-frequency
resources are allocated to a certain UE.
 The resource assignments, including the assigned time/frequency resources and respective
transmission formats, are conveyed through downlink control signaling.
 The minimum size of radio resource that can be allocated to a UE corresponds to two resource
blocks, which is 1 ms duration in the time domain and 180kHz in the frequency domain. Both
downlink and uplink employ orthogonal transmission, so each resource block is allocated to a single
UE except in the MU-MIMO mode.
 Both localized and distributed resource allocations are supported in the downlink, while in the
uplink UEs are always assigned contiguous resources, i.e., only localized allocation is supported.
 In addition, there is a strict constraint on the UE transmit power in the uplink, which is subject to
the uplink power control.

Signaling for Downlink Scheduling

 The channel state information at the eNode-B for the downlink scheduling is obtained through CQI
reporting from UEs, as discussed in Section 9.2.
 To enable frequency selective scheduling, subband CQI reporting is required.
 The eNode-B dynamically allocates resources to UEs at each TTI. A UE always monitors the
PDCCH for possible allocations.
 For dynamically scheduled data traffic, the UE is configured by the higher layers to decode the
PDCCH with CRC scrambled by the C-RNTI.
 The UE shall decode the PDCCH and any corresponding PDSCH according to the respective
combinations defined in Table 9.16.
 For example, when a UE configured in transmission mode 3 or 4 (OL and CL spatial multiplexing)
receives a DCI format 1A assignment, it shall assume that the PDSCH transmission is associated
with transport block 1 and that transport block 2 is disabled, and transmit diversity is applied.
 The DCI carries the downlink scheduling assignment and other information necessary to decode and
demodulate data symbols. in the downlink, while the two distributed allocation types (resource
allocation type 0 and type
 1) provide better performance with a high overhead, the localized allocation type (resource
allocation type
 2) provides a low overhead alternative at the cost of limited scheduling flexibility. The UE shall
interpret the resource allocation field depending on the PDCCH DCI format detected.
 PDCCH DCI formats 1, 2, and 2A with type 0 and with type 1 resource allocation have the same
format and are distinguished via the single bit resource allocation header field, where type 0 is
indicated by 0 value and type 1 is indicated otherwise.
 PDCCH with DCI format 1A, 1B, 1C, and 1D have a type 2 resource allocation while PDCCH with
DCI format 1, 2, and 2A have type 0 or type 1 resource allocation. The details of the resource
assignment can be interpreted from DCI for different formats.

Table 9.16 PDCCH and PDSCH Configured by C-RNTI

SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 To determine the modulation order and transport block size, the UE shall first read the 5-bit
“modulation and coding scheme” field (IMCS) in the DCI, based on which a Transport Block Size
(TBS) index can also be determined.
 The mapping between the MCS index IMCS, the modulation order, and TBS index ITBS for PDSCH is
shown in Table 9.17.
 The TBS can then be determined based on ITBS and the total number of allocated PRBs. Note that
in Table 9.17 different MCS indices may be mapped to the same TBS, e.g., IMCS = 9, 10 are mapped
to ITBS = 9, resulting in the same data rate.
 Such modulation overlap is adopted to improve the performance around the modulation switching
points, as different combinations of modulation and coding with the same rate may provide different
performance in different scenarios.
 For 29 ≤ IMCS ≤ 31, the TBS is determined from the previous scheduling grant for the same transport
block using 0 ≤ IMCS ≤ 28.

Table 9.17 Modulation and TBS Index for PDSCH

Signaling for Uplink Scheduling

 In the uplink, the channel state information is estimated at the eNode-B with the help of sounding
reference signals, as discussed in Section 9.4.
 A UE always monitors the PDCCH in order to find possible allocation for uplink transmission.
 Only contiguous resource blocks can be allocated to a UE due to the SCFDMA nature of the UL
transmission‟.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 Frequency hopping can be applied to provide additional diversity.

 The UE obtains the uplink resource allocation as well as frequency hopping information from the
uplink scheduling grant received four subframes earlier, i.e., if the UE detects a PDCCH with DCI
format 0 in subframe n intended for this UE, it will adjust the corresponding PUSCH transmission in
subframe n + 4 accordingly.
 To determine the modulation order, redundancy version, and transport block size for the PUSCH,
the UE shall first read the 5-bit “modulation and coding scheme and redundancy version” field
(IMCS) in the DCI.
 The mapping between IMCS, modulation order, and ITBS for the PUSCH is shown in Table 9.18.
 Note that IMCS also indicates the H-ARQ redundancy version. The redundancy version 1, 2, or 3 is
indicated by IMCS = 29, 30, 31, respectively, in which case the modulation order is assumed to be the
one indicated in the initial grant.
 Similar to the downlink, there is also modulation overlap around the switching points, e.g., IMCS =
10, 11 are both mapped to ITBS = 10.
 The transport block size can be determined from IMCS and ITBS. For 20 ≤ IMCS ≤ 31, the transport
block size is assumed to be as determined from DCI transport in the initial PDCCH for the same
transport block using 0 ≤ IMCS ≤ 28.

Table 9.18 Modulation, TBS Index, and Redundancy Version for PUSCH

9.6.2 Multiuser MIMO Signaling

 If MU-MIMO is used in the uplink, then it is transparent to the UE with the exception that two UEs
should transmit orthogonal reference signals in order for the eNode-B to separate them.
 The uplink resource allocation is indicated on PDCCH using DCI format 0, which contains a 3-bit
field to indicate the cyclic shift in the reference signal to be used by each UE.
 When MU-MIMO is used in the downlink, two rank-1 UEs are multiplexed on the same physical
resource.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 Unlike SU-MIMO, in this case the power for each UE is reduced by 3 dB.
 This is indicated by the power offset field in DCI format 1D, which is used for MU-MIMO
scheduling.

9.8 CELL SEARCH

 When a UE powers on, it needs to acquire time and frequency synchronization with a cell and detect
the physical-layer cell ID of that cell through the cell search procedure or synchronization
procedure.
 Such synchronization is especially important for LTE, as the performance of LTE systems relies on
the orthogonal intra-cell transmission in both uplink and downlink.
 During cell search, different types of information need to be identified by the UE, including symbol
and frame timing, frequency, cell identification, transmission bandwidth, antenna configuration, and
the cyclic prefix length.
 LTE uses a hierarchical cell search scheme similar to WCDMA, demonstrated in Figure 9.4. a
primary synchronization signal carrying the information about the physical-layer ID within the cell-
ID group and a secondary synchronization signal carrying the physical-layer cell-
ID group are defined.
 The cell ID is then determined as .
 Different from WCDMA, the cell search in LTE needs to consider different system bandwidths and
different duplexing schemes, i.e., TDD and FDD.
 This is achieved by defining a common synchronization signal structure for all supported
bandwidths, which occupies six resource blocks (72 subcarriers) centered around the DC subcarrier,
corresponding to the most narrow bandwidth supported in LTE.
 In the time domain, there are two pairs of primary and secondary synchronization signals in each
radio frame.
 The arrangement of the primary and secondary synchronization is done in a manner such that it is
compatible with both the TDD and FDD frame structure.

Figure 9.4 The cell search process.

 In the first step of cell search, the UE detects the symbol timing and the cell ID index from the
primary synchronization signal.
 This can be achieved, e.g., through matched filtering between the received signal and the primary
synchronization sequences.
 As there are three orthogonal sequences defined for the primary synchronization signal, the cell ID
index can be detected by identifying the received sequence.
 Frequency and Time synchronization can be performed based on the primary synchronization signal.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 OFDM symbol timing can be detected, but as there are two primary synchronization signals
transmitted in each frame that are indistinguishable, frame timing cannot be detected.
 In the next step, the UE detects the cell ID group index and frame timing from the secondary
synchronization signal.
 The index is detected by identifying the shift in the m-sequence in the received signal.
 For detecting the frame timing, the pair of secondary synchronization signals in a radio frame has a
different structure than primary synchronization signals: If the sequence pair of secondary
synchronization signals (d1, d2) is defined, then (d2, d1) is not allowed.
 This property is used to resolve the 5-ms timing ambiguity in the first step, based on which the frame
timing can be determined.
 After the cell search, the UE can detect the broadcast channel to obtain other physical layer
information, e.g., system bandwidth, number of transmit antennas, and system frame number.
 the system information is divided into Master Information Block (MIB) transmitted on the PBCH and
System Information Blocks (SIB) transmitted on the PDSCH.
 At this stage, the UE detects MIB from the PBCH.
 To maintain the uplink intra-cell orthogonality, uplink transmissions from different UEs should
arrive at the eNode-B within a cyclic prefix.
 This is achieved through the timing advance procedure.
 The timing advance is obtained from the uplink received timing and sent by the eNode-B to the UE.
 The UE advances or delays its timing of transmissions to compensate for propagation delay and
thus time-aligns its transmissions with other UEs.
 The timing advance command is on a per-need basis with a granularity in the step size of 0.52μs (16
× Ts).

9.9 RANDOM ACCESS PROCEDURES

In LTE, there are two random access mechanisms:

• Non-synchronized random access: Non-synchronized random access is used when the UE uplink has not
been time synchronized, or when the UE uplink loses synchronization. Its main purpose is to obtain
synchronization of the uplink, notify the eNode-B that the UE has data to transmit, or transmit a small
amount of control information and data packets.
• Synchronized random access: Synchronized random access is used when uplink synchronization is
present. Its main purpose is to request resources for uplink data transmission from the eNode-B scheduler.

 The procedure of synchronized random access is similar except that it does not need the response of
uplink timing information.
 After the cell search procedure, the UE has obtained downlink synchronization.
 However, the uplink timing is not established due to the round-trip propagation delay. The non-
synchronized access allows the eNode-B to estimate the UE transmission timing to within a fraction
of the cyclic prefix and inform the UE about the timing correction.
 With uplink synchronization, the UE may request resources for uplink transmission. The eNode-B
can also schedule data transmission in the resource blocks reserved for random access channel
preamble transmission.
 Prior to initiation of the non-synchronized random access procedure, each UE obtains the following
information broadcast from eNode-B: random access channel parameters, including PRACH
configuration; frequency position and preamble format; parameters for determining the root
sequences, and their cyclic shifts in the preamble sequence set for the cell.

The non-synchronized random access procedure, which consists of four steps, is depicted in Figure 9.5 and
described here:
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

1. First, multiple UEs transmit randomly selected random access code.

2. Second, eNode-B conducts a multiuser detection process and allocates resources to the detected UEs.
3. Third, each UE transmits detailed information using allocated resources.
4. Fourth, the eNode-B transmits the contention-resolution message on the DL-SCH. When the previous
steps are finished successfully, eNode-B and each UE initiate data communication.

Figure 9.5 The non-synchronized random access procedure.

Step 1: Random Access Preamble Transmission

 Based on the information obtained from eNode-B, the UE randomly selects a random access
preamble, and transmits on the PRACH physical channel.
 Open-loop power control is used to determine the initial transmit power level. Multiple UEs may
transmit their random access preambles simultaneously through the same channel, and the eNode-B
monitors the random access channel and conducts multiuser detection identifying each RACH
transmission.
 The RACH signals from the different UEs are based on the Zadoff-Chu sequence with different
cyclic shift resulting in a zero cross-correlation between them.
 This zero cross-correlation of the Zadoff-Chu sequence allows the eNode-B to simultaneously detect
multiple UEs using a correlation-based detection process.
 The eNode-B also calculates the timing correction for the uplink transmission for each UE.

Step 2: Random Access Response

 If a random access attempt is detected, the eNode-B transmits the corresponding random access
response on the DL-SCH, which contains the identity of the detected preamble, the timing correction
for uplink transmission, a temporary identity for transmission in following steps, and an initial
uplink resource grant.
 The random access response message can also include a backoff indicator to instruct the UE to back
off for a period of time before retrying another random access attempt.
 The uplink scheduling grant for the following uplink transmission contains 20 bits, and the content is
illustrated in Table 9.20.
 For the UE, once the random access preamble is transmitted, it will monitor the PDCCH for random
access response identified by the Random Access Radio Network Temporary Identifier (RA-RNTI),
as the time-frequency slot carrying the preamble is associated with an RA-RNTI. If the received
random access response matches the transmitted preamble, the UE may stop monitoring.

Table 9.20 The Content of Random Access Response Grant

SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

Step 3: Scheduled Transmission

 After step 2, the UE is uplink synchronized, and can transmit additional messages on scheduled UL-
SCH.
 This step is to assist contention resolution. If the UEs that perform random access attempts in the
same time-frequency resource use different preambles, different UEs can be identified by the eNode-
B and there is no collision.
 However, it is possible that multiple UEs select the same preamble, which causes a collision.
 To resolve the contention for access, the UE that detects a random access preamble transmits a
message containing a terminal identity. If the UE is connected to a cell, Cell Radio Network
Temporary Identifier (C-RNTI) will be used, which is a unique UE ID at the cell level; otherwise, a
core network identifier is used. In step 3, the H-ARQ protocol is supported to improve the
transmission reliability.

Step 4: Contention Resolution

 Contention resolution is the key feature of the random access channel.

 In this step, the eNode-B transmits the contention-resolution message on the DL-SCH, which
contains the identity of the winning UE.
 The UE that observes a match between this identity and the identity transmitted in step 3 declares a
success and completes its random access procedure.
 If this UE has not been assigned a C-RNTI, the temporary identity is then set as its C-RNTI.
 The H-ARQ protocol is supported in this step, and the UE with successful access will transmit an H-
ARQ acknowledgment.

9.10 POWER CONTROL IN UPLINK

 With SC-FDMA-based transmission in the LTE uplink, orthogonality between intra-cell transmission
from multiple UEs is achieved, which removes the intra-cell interference and the near-far issue
typical of CDMA-based systems such as WCDMA/HSPA.
 This leaves inter-cell interference as the major cause of interference and performance degradation,
especially for the cell-edge UEs.
 In LTE, the power control in the uplink is to control the interference caused by UEs to neighboring
cells while maintaining the required SINR at the serving cell.
 In this section, we describe the power control scheme for the PUSCH transmission in the uplink.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

 Conventional power control in the uplink is to achieve the same SINR for different UEs at the base
station, also known as full compensation, but it suffers low spectral efficiency as the common SINR is
limited by the cell-edge UEs.
 LTE specifies Fractional Power Control (FPC) as the open-loop power control scheme, which
allows for full or partial compensation of path loss and shadowing [7, 9, 14].
 FPC allows the UEs with higher path loss, i.e., cell-edge UEs, to operate with lower SINR
requirements so that they generate less interference to other cells, while having a minor impact on
the cell-interior UEs so that they are able to transmit at higher data rates.
 Besides open-loop power control, there is also a closed-loop power control component, which is to
further adjust the UE transmission power to optimize the system performance.

We first describe the FPC scheme, based on which the UE adjusts the transmission power according to:
(9.11)

where Pmax is the maximum UE transmission power, M is the number of assigned PRBs, P0 is a parameter
that controls the mean received SINR, α is the cell-specific path loss compensation factor, and PL is the
downlink path loss estimate calculated in the UE.

 Note that the transmit power increases with M, which is to to ensure the same power spectral
density irrespective of the number of PRBs.
 If we only consider path loss and assume 10 log M + P0 + α · PL ≤ Pmax, then the received signal
power at the eNode-B is (9.12)

• If α = 1, each UE has a constant received power, which corresponds to full compensation, or channel
inversion.
• If α = 0, each UE has the same transmission power that is independent of the path loss, i.e., no power
control.
• For 0 < α < 1, it is the FPC, and different UEs will have different Pr, depending on their path loss to the
serving base station.

 Reducing the value of α mainly decreases the transmission power of celledge UEs, which have large
PLs and are likely to cause a high level of interference to neighboring cells.
 Therefore, by adjusting the path loss compensation factor α, we can reduce inter-cell interference
and improve the spectrum efficiency.
 Considering both open-loop and closed-loop components, the UE sets its total transmission power
using the following formula: (9.13)

There are three different PUSCH transmission types, corresponding to j = 0, 1, 2:

• For PUSCH (re)transmissions corresponding to a semi-persistent grant, j = 0.

• For PUSCH (re)transmissions corresponding to a dynamic scheduled grant, j = 1.
• For PUSCH (re)transmissions corresponding to the random access response grant, j = 2.

The parameters in (9.13) are described as follows:

• For j = 0 or 1, P0 is composed of the sum of a cell-specific nominal component and a UE-specific

component, provided by higher layers; for j = 2, P0 is a cell-specific parameter signalled from higher
layers.
SUSHMA ,DHANUSHA,APOORVA Asst prof Dept of E&C

• For j = 0 or 1, α(j) is a 3-bit cell-specific parameter, α(j) {0, 0.4, 0.5, 0.6, 0.7, 0.8, 0.9, 1}; for j = 2, α(j)
= 1.
• ΔMCS is a UE-specific parameter depending on the chosen modulation and coding scheme (MCS). A large
value of ΔMCS corresponds to higher coding rate and/or higher modulation order.
• Δi is a UE-specific closed-loop correction value included in the PDCCH, which is also referred to as a
Transmit Power Control (TPC) command. This is to compensate the following effects including power
amplifier error, path loss estimation error, and inter-cell interference level changes.
• The function f(·) is to perform closed-loop power control based on Δi. It is UE specific. There are two types
of closed-loop power control defined in LTE:
– Accumulated: The UE applies an offset based on Δi using the latest transmission power value as
reference:

(9.14)

The value of Δi is Δi {−1, 0, 1, 3} [dB]. For the FDD mode, K = 4, and for the TDD mode, the value
of K depends on the UL/DL configuration [3].
– Absolute: The UE adjusts the transmission power with an absolute value based on Δi:

(9.15)

For this case, the value of Δi is Δi {−4, −1, 1, 4} [dB]. For the FDD mode, K = 4, and for the TDD mode,
the value of K depends on the UL/DL configuration [3].

A similar power control scheme employing FPC is used for sounding reference signals.