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UE Category for PHY layer throughput

 

The category that UE support is indicated in UE Capability Information message as shown below. Notice that ue-Category can specify only up to Cat 4.  The category higher than 4 should be assinged to another IE (Information Element) ue-Category-v1020. (Here we are having similar confusing IEs as in WCDMA/HSPA. So many different places to check to figure out exact category)

 

Example 1 >

 

ueCapabilityInformation-r8

   ue-CapabilityRAT-ContainerList: 1 item

        Item 0

            UE-CapabilityRAT-Container

                rat-Type: eutra (0)

                ueCapabilityRAT-Container: ....

                    UE-EUTRA-Capability

                        accessStratumRelease: rel11 (3)

                        ue-Category: 4

                        ...

                        phyLayerParameters

                            .... 0... ue-TxAntennaSelectionSupported: False

                            .... .0.. ue-SpecificRefSigsSupported: False

                        rf-Parameters

                            supportedBandListEUTRA: 15 items...

                        measParameters

                            bandListEUTRA: 15 items

                                ...

                        featureGroupIndicators: ...

                            ...

                        interRAT-Parameters

                            ...

                        nonCriticalExtension

                            phyLayerParameters-v920

                                ...

                            interRAT-ParametersGERAN-v920

                                ...

                            interRAT-ParametersUTRA-v920

                                ...

                            csg-ProximityIndicationParameters-r9

                            neighCellSI-AcquisitionParameters-r9

                                ...

                            son-Parameters-r9

                                ...

                            nonCriticalExtension

                                lateNonCriticalExtension:...

                                    UE-EUTRA-Capability-v9a0-IEs

                                        featureGroupIndRel9Add-r9: ...

                                            ...

                                        fdd-Add-UE-EUTRA-Capabilities-r9

                                            phyLayerParameters-r9

                                                ...

                                            featureGroupIndicators-r9: ...

                                                ...

                                            featureGroupIndRel9Add-r9: ...

                                                ...

                                        tdd-Add-UE-EUTRA-Capabilities-r9

                                            phyLayerParameters-r9

                                                ...

                                            featureGroupIndicators-r9: ...

                                                ...

                                            featureGroupIndRel9Add-r9: ...

                                                ...

                                nonCriticalExtension

                                    ue-Category-v1020: 6

                                    phyLayerParameters-v1020

                                        multiClusterPUSCH-WithinCC-r10: supported (0)

                                        nonContiguousUL-RA-WithinCC-List-r10: ...

                                            ...

                                    rf-Parameters-v1020

                                        supportedBandCombination-r10: ...

                                            ...

                                    measParameters-v1020

                                        bandCombinationListEUTRA-r10: ...

                                            ...

                                    featureGroupIndRel10-r10: ...

                                        ...

                                    ue-BasedNetwPerfMeasParameters-r10

                                        ...

                                    nonCriticalExtension

                                        fdd-Add-UE-EUTRA-Capabilities-v1060

                                            featureGroupIndRel10-v1060: ...

                                                ...

                                        tdd-Add-UE-EUTRA-Capabilities-v1060

                                            featureGroupIndRel10-v1060: ...

                                                ...

                                        rf-Parameters-v1060

                                            supportedBandCombinationExt-r10: ...

                                                ...

                                        nonCriticalExtension

                                            nonCriticalExtension

                                                pdcp-Parameters-v1130

                                                phyLayerParameters-v1130

                                                    crs-InterfHandl-r11: supported (0)

                                                    tdd-SpecialSubframe-r11: supported (0)

                                                rf-Parameters-v1130

                                                    supportedBandCombination-v1130: ...

                                                        ...

                                                measParameters-v1130

                                                interRAT-ParametersCDMA2000-v1130

                                                otherParameters-r11

                                                nonCriticalExtension

                                                    ue-Category-v1170: 9

                                                    nonCriticalExtension

 

 

Example 2 >

 

 

UE-EUTRA-Capability ::= SEQUENCE [11]

  +-accessStratumRelease ::= ENUMERATED [rel11]

  +-ue-Category ::= INTEGER (1..5) [4]

  +-pdcp-Parameters ::= SEQUENCE [0]

  +-phyLayerParameters ::= SEQUENCE

  +-rf-Parameters ::= SEQUENCE

  +-measParameters ::= SEQUENCE

  +-featureGroupIndicators ::= BIT STRING SIZE(32) OPTIONAL:Exist

  +-interRAT-Parameters ::= SEQUENCE [0000000]

  +-nonCriticalExtension ::= SEQUENCE [0001] OPTIONAL:Exist

    +-nonCriticalExtension ::= SEQUENCE [11] OPTIONAL:Exist

      +-lateNonCriticalExtension ::= OCTET STRING CONSTRAINTED

      +-nonCriticalExtension ::= SEQUENCE [111110101] OPTIONAL:Exist

        +-ue-Category-v1020 ::= INTEGER (6..8) [7] OPTIONAL:Exist

        +-phyLayerParameters-v1020 ::= SEQUENCE [0000011] OPTIONAL:Exist

        +-rf-Parameters-v1020 ::= SEQUENCE OPTIONAL:Exist

        +-measParameters-v1020 ::= SEQUENCE OPTIONAL:Exist

        +-featureGroupIndRel10-r10 ::= BIT STRING SIZE(32)

        +-interRAT-ParametersCDMA2000-v1020 ::= SEQUENCE OPTIONAL:Omit

        +-ue-BasedNetwPerfMeasParameters-r10 ::= SEQUENCE [11] OPTIONAL:Exist

        +-interRAT-ParametersUTRA-TDD-v1020 ::= SEQUENCE OPTIONAL:Omit

        +-nonCriticalExtension ::= SEQUENCE [0011] OPTIONAL:Exist

          +-fdd-Add-UE-EUTRA-Capabilities-v1060 ::= SEQUENCE OPTIONAL:Omit

          +-tdd-Add-UE-EUTRA-Capabilities-v1060 ::= SEQUENCE OPTIONAL:Omit

          +-rf-Parameters-v1060 ::= SEQUENCE OPTIONAL:Exist

          +-nonCriticalExtension ::= SEQUENCE [01] OPTIONAL:Exist

            +-rf-Parameters-v1090 ::= SEQUENCE OPTIONAL:Omit

            +-nonCriticalExtension ::= SEQUENCE [1001] OPTIONAL:Exist

              +-nonCriticalExtension ::= SEQUENCE [011] OPTIONAL:Exist

                +-phyLayerParameters-v1170 ::= SEQUENCE OPTIONAL:Omit

                +-ue-Category-v1170 ::= INTEGER (9..10) [10] OPTIONAL:Exist

                +-nonCriticalExtension ::= SEQUENCE [10001] OPTIONAL:Exist

                  +-rf-Parameters-v1180 ::= SEQUENCE [100] OPTIONAL:Exist

                  +-mbms-Parameters-r11 ::= SEQUENCE OPTIONAL:Omit

                  +-fdd-Add-UE-EUTRA-Capabilities-v1180 ::= SEQUENCE OPTIONAL:Omit

                  +-tdd-Add-UE-EUTRA-Capabilities-v1180 ::= SEQUENCE OPTIONAL:Omit

                  +-nonCriticalExtension ::= SEQUENCE [101] OPTIONAL:Exist

                    +-ue-Category-v11a0 ::= INTEGER (11..12) [12] OPTIONAL:Exist

                    +-measParameters-v11a0 ::= SEQUENCE OPTIONAL:Omit

                    +-nonCriticalExtension ::= SEQUENCE [010011000000001] OPTIONAL:Exist

                      +-phyLayerParameters-v1250 ::= SEQUENCE OPTIONAL:Omit

                      +-rf-Parameters-v1250 ::= SEQUENCE [1000] OPTIONAL:Exist

                      +-rlc-Parameters-r12 ::= SEQUENCE OPTIONAL:Omit

                      +-ue-BasedNetwPerfMeasParameters-v1250 ::= SEQUENCE OPTIONAL:Omit

                      +-ue-CategoryDL-r12 ::= INTEGER (0..14) [12] OPTIONAL:Exist

                      +-ue-CategoryUL-r12 ::= INTEGER (0..13) [13] OPTIONAL:Exist

                      +-wlan-IW-Parameters-r12 ::= SEQUENCE OPTIONAL:Omit

                      +-measParameters-v1250 ::= SEQUENCE OPTIONAL:Omit

                      +-dc-Parameters-r12 ::= SEQUENCE OPTIONAL:Omit

                      +-mbms-Parameters-v1250 ::= SEQUENCE OPTIONAL:Omit

                      +-mac-Parameters-r12 ::= SEQUENCE OPTIONAL:Omit

                      +-fdd-Add-UE-EUTRA-Capabilities-v1250 ::= SEQUENCE OPTIONAL:Omit

                      +-tdd-Add-UE-EUTRA-Capabilities-v1250 ::= SEQUENCE OPTIONAL:Omit

                      +-sl-Parameters-r12 ::= SEQUENCE OPTIONAL:Omit

                      +-nonCriticalExtension ::= SEQUENCE [11] OPTIONAL:Exist

                        +-ue-CategoryDL-v1260 ::= INTEGER (15..16) [16] OPTIONAL:Exist

                        +-nonCriticalExtension ::= SEQUENCE [10] OPTIONAL:Exist

                          +-rf-Parameters-v1270 ::= SEQUENCE [10] OPTIONAL:Exist

                          +-nonCriticalExtension ::= SEQUENCE OPTIONAL:Omit

 

 

36.306 defines the maximum throughput for each category as follows :

 

Note : Following throughput does not make difference about the number of Carriers. When you are talking about Categories about Carrier Aggregation throughput, you would be clear on whether you are talking about the category for each component carrier or categories of aggregated carriers.

This tables tells you only about the maximum throughput, it doesn't tell in detail about how you achieve it. Many people tries to associate this table to a specific MIMO configuration or Carrier Aggregation(CA) configuration. But there is no direction connection between this table and MIMO/CA condition.

 

< 36.306 v12.6 Table 4.1-1: Downlink physical layer parameter values set by the field ue-Category >

 

< 36.306 v12.6 Table 4.1-2: Uplink physical layer parameter values set by the field ue-Category >

 

Note 1 : The number shown in this table is the number of bits that can be transmitted in 1 TTI (1 ms). So you have to multiply this number by 1000 to get the rate in 'bps'. For example, Table 4.1-1 Category 3 says 102048. If you convert this number into bps, it is 102048 x 1000 = 102,048,000 bps.

 

Note 2 : You should be very careful when you talk about the throughput in Kbps, Mbps unit. A lot of people do the conversion by dividing the number by 1000, 1000000. But in digital theory (especially in computer world) 1 Kbps is 2^10 bits and 1 Mbps is 2^20 bits. When the number is small, you don't see much difference, however when the number is very big, the difference between the two different conversion would give you huge difference.

 

Note 3 : The number shows in this table is based on the assumption that all the DL/UL TTI carries only user data (U-Plane Data), but in really you cannot allocate 100% of resources for user data only. There should be a certain portion of overhead (like SIBs, MAC CE, Signaling etc). So real throughput you get will be less than the one listed in this table.

 

In Release 12, there are other categories in which we can specify DL category and UL category separately as shown below.

 

ueCapabilityInformation-r8

   ue-CapabilityRAT-ContainerList: 1 item

        Item 0

            UE-CapabilityRAT-Container

                rat-Type: eutra (0)

                ueCapabilityRAT-Container: ....

                    UE-EUTRA-Capability

                        accessStratumRelease: ...

                        ue-Category: 4

                        ...

                        nonCriticalExtension

                            ...

                            nonCriticalExtension

                                lateNonCriticalExtension:...

                                    ....

                                nonCriticalExtension

                                    ue-Category-v1020: 6

                                    ...

                                    nonCriticalExtension

                                        ...

                                        nonCriticalExtension

                                            nonCriticalExtension

                                                ....

                                                nonCriticalExtension

                                                    ue-Category-v1170: 9

                                                    nonCriticalExtension

                                                       phyLayerParameters-v1250

                                                       rf-Parameters-v1250

                                                       rlc-Parameters-r12

                                                       ue-BasedNetwPerMeasParameters-v1250

                                                       ue-CategoryDL-r12  : 14

                                                       ue-CategoryUL-r12  : 13

                                                       wlan-IW-Parameters-r12

                                                       measParameters-r1250

                                                       dc-Parameters-r12

                                                       mbms-Parameters-r12

                                                       mac-Parameters-r12

                                                       fdd-Add-UE-EUTRA-Capabilities-v1250

                                                       fdd-Add-UE-EUTRA-Capabilities-v1250

                                                       sl-Parameters-r12

                                                       nonCriticalExtension

 

<  36.306 v12.6 - Table 4.1A-1: Downlink physical layer parameter values set by the field ue-CategoryDL >

 

< 36.306 v12.6 - Table 4.1A-2: Uplink physical layer parameter values set by the field ue-CategoryUL >

 

< 36.306 v12.6 - Table 4.1A-6: supported DL/UL Categories combinations set by the fields ue-CategoryDL and ue-

CategoryUL and UE categories to be indicated >

 

 

To implement the specified UE category, we need to consider various factors along the full stack. Followings are some parameters above Physical layer.

 

< 36.306 v12.6 Table 4.1-3: Total layer 2 buffer sizes set by the field ue-Category >

 

< 36.306 v12.6 Table 4.1A-3: Total layer 2 buffer sizes set by the fields ue-CategoryDL and ue-CategoryUL >

 

< 36.306 v12.6 Table 4.1-4: Maximum number of bits of a MCH transport block received within a TTI set by the field ue-Category for an MBMS capable UE >

 

< 36.306 v12.6 Table 4.1-5: Half-duplex FDD operation type set by the field ue-Category for a half-duplex FDD capable UE >

 

Following table represents the max number of PDCP SDUs for each Category. I think this is just enough to achieve the phy/mac max throughput (Table 4.1-1) when the packet size of user data (e.g, IP data) is very large. If the packet size is very small, you would not achieve the maximum throughput at IP level with this number of PDCP SDUs.

 

< 36.306 v12.6 Table A-1: Maximum values for DL PDCP SDUs per TTI >