Cross-Layer Error Control Optimization in 3G LTE
Dzmitry Kliazovich1 and Fabrizio Granelli
Simone Redana and Nicola Riato
DIT - University of Trento
Via Sommarive 14, I-38050 Trento, Italy
E-mail: [klezovic,granelli]@dit.unitn.it
Nokia Siemens Networks S.p.A COO RTP PT RST
Via Monfalcone, 1, I-20092 Milan, Italy
[Simone.Redana,Nicola.Riato]@nsn.com
Abstract—3G Long-Term Evolution (LTE) is a recent effort
taken by cellular industries to step into wireless broadband
market. The key enhancements target an introduction of new allIP architecture, enhanced link layer and radio access with
OFDM modulation and multiple antenna techniques.
In this study, we focus on the overhead deriving from the
multilayer ARQ employed at the link and transport layers. To
the aim of reducing unnecessary burden on the wireless link, we
propose a cross-layer ARQ approach, called ARQ Proxy, which
substitutes the transmission of TCP ACK packet with a short
MAC layer request on the radio link. Packet identification is
achieved through association of a hash function to the raw packet
data.
Performance of the ARQ Proxy is evaluated using EURAE
extensions for ns2 simulator. Results demonstrate significant
improvements in terms of system capacity, TCP throughput
performance, and higher tolerance to transmission errors.2
Keywords-3G LTE, cross-layer, ARQ proxy.
I.
INTRODUCTION
The 3G Long-Term Evolution (3G LTE) is an attempt to
step into wireless broadband taken by cellular providers and
equipment vendors [1]. 3G LTE introduces evolved radio
interface with major enhancement coming from the use of
Orthogonal Frequency Division Multiplexing (OFDM) and
multiple antenna techniques. These technologies are already
available on the market and employed in WiMAX as specified
in IEEE 802.16 standard [2].
Along with the evolved radio interface, 3G LTE specifies
the evolution of network architecture. It is designed to be
packet-based and contain less network nodes, thus reducing
protocol processing overhead and leading to reduced latency
and network deployment costs. Moreover, the evolved
architecture is focused on packet data communications using
TCP/IP protocol suite.
However, TCP/IP (designed in early days of ARPANET
specifically for wired networks) shows poor performance over
wireless channels, mainly due to high error rates [3]. In order to
compensate wireless errors, 3G LTE employs error recovery
techniques at the link layer, which partially overlap with error
recovery performed at the transport layer of TCP/IP.
In this paper, we present a novel cross-layer ARQ
optimization technique, called ARQ proxy, which jointly
optimizes error recovery mechanisms operating at different
layers. ARQ proxy reduces the demand for network resources
consumed by the employed error recovery techniques leading
to the increase of network capacity as well as throughput
performance.
II.
3G LTE OVERVIEW
In the effort to challenge advanced communication
technologies in the long run, 3rd Generation Partnership Group
(3GPP) initiated the study item Evolved UTRA and UTRAN
[3], aiming to complete the set of specifications for the evolved
radio access in 2007 with initial product deployment in 2009.
The requirements for the long-term evolution (LTE) can be
summarized as follows:
Peak data rates of 100 Mb/s in the downlink and 50
Mb/s in the uplink leading to spectrum efficiency of
up to 5 bit/s/Hz.
Reduced user- and control-plane latency to less than
10 ms and less than 100 ms, respectively.
Mobility is supported for up to 350 km/h.
Spectrum flexibility and reduced network costs.
To achieve the above mentioned targets, new updates to the
radio interface as well as modifications to the network
architecture are considered.3
A. Evolved Architecture
Reduced latency and costs are two main driving
requirements for architecture evolution which are
accomplished with reduced number of network nodes. Fewer
nodes reduce protocol-related processing along the data path as
well as call setup time and control-plane related processing.
Fig. 1 illustrates high level architecture for the evolved
system specified in [5]. In the Evolved UTRAN, the functions
of Radio Network Controller (RNC) are distributed between
evolved Node B (eNB) and network core. The evolved core
provides local mobility management, internetworking with
previously released 3GPP systems as well as non-3GPP
wireless technologies. 3G LTE relies on all-IP communications
as opposed to the widely used circuit-switched approach.
GERAN
BSC
BTS
GPRS Core
UTRAN
SGSN
NodeB
RNC
HSS
PCRF
Evolved RAN
IMS, PSS, etc.
eNodeB
MME
UPE
3GPP
Anchor
SAE
Anchor
Evolved Packet Core
non 3GPP
IP Access
WLAN 3GPP
IP Access
Figure 1. 3G LTE System Architecture.
1
This work was done while Dzmitry Kliazovich was pursuing an
internship focused on 3G LTE research at Siemens (now Nokia Siemens
Networks), Italy.
2
The ARQ Proxy approach is currently patent-pending under EP
07425087.9 “Cross-Layer Error Recovery Optimization for 3G LTE
Systems.”
3
At the moment of writing this paper 3GPP group has just initiated 3G
LTE working phase. For that reason, the final details of the evolved system
may differ from those presented in current paper. However, it is indented to
provide the reader with the key concepts which are already agreed by the
standardization committee and will most likely become a part of the standard.
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B. Evolved Radio Access
OFDM is an attractive technology to reach high data rate
requirements. It provides high performance in frequencyselective channels, enables frequency domain adaptation, and
is well suited for MIMO techniques. Additionally, OFDM will
avoid royalties which are currently a considerable fraction of
overall costs in CDMA-based systems.
In the uplink, Single-Carrier OFDM (SC-OFDM), also
referred as DTF-spread OFDM, is chosen to enable frequencydomain equalization at the receiver side. SC-OFDM can be
implemented in “localized”, i.e. sub-carriers are mapped on the
consecutive portion of the spectrum, or in “distributed” mode.
Indeed, both schemes provide low peak-to-average power ratio
(PARP), ensuring power-efficient communication for mobile
terminals.
C. Evolved Link Layer
The 3G LTE link layer is split into three sublayers: Medium
Access Control (MAC), Radio Link Control (RLC), and Packet
Data Convergence Protocol (PDCP).
One of the main innovative aspects is related to the
introduction of variable size RLC protocol data units (PDUs)
which helps to avoid padding overhead.
Additionally, 3G LTE similar to other types of wireless
networks suffers from high error rates at radio channel
(physical) level, which can generate significant performance
degradation of TCP protocol.
In order to counteract such variation of BER, Forward Error
Correction (FEC) or Automatic Repeat reQuest (ARQ)
techniques can be applied. 3G LTE considers both of them
introducing Hybrid ARQ (HARQ) at the MAC layer as well as
ARQ at the RLC layer.
In case of ARQ, the receiving system checks Cyclic
Redundancy Check (CRC). In case CRC is correct, an ACK is
sent back to sender and the received packet is forwarded to
upper layers of the protocol stack for processing. In case CRC
check fails, the packet is dropped silently or with negative
ACK (NACK) notification sent to the sender. The ARQ
considered for implementation in 3G LTE is of Go-Back-N
type, which positively acknowledges every N successfully
received packets with a status report.
In HARQ, in case CRC is not correct, the packet is not
dropped at the receiver side. It is stored for the case when
retransmitted packet will be still erroneous and combined
recovery can be attempted. This technique is known as chase
combining. Eventually the error is resolved or the maximum
number of retransmissions is reached. Each following
retransmission contains additional redundancy information
(incremental redundancy). A stop-and-wait HARQ is
considered in MAC implementation, which provides the sender
with a binary ACK/NACK feedback for every transmitted
packet.
The combined usage of ARQ and HARQ at different layers
improves radio channel error rate by several orders: BER is
typically equal to 10-2 for no retransmissions, 10-3 after HARQ
at the MAC layer, and 10-6 after ARQ at the RLC layer [9].
While 3G LTE link layer implements multilayer ARQ, it is
not the only layer employing error recovery: TCP reliability is
obtained through the utilization of a positive acknowledgement
scheme which specifies TCP receiver to acknowledge data
successfully received from the sender. TCP header reserves
special fields for enabling it to carry acknowledgement
information. As a result, the TCP receiver can produce a TCP
acknowledgment (TCP-ACK) as a standalone packet or, in
case of bi-directional data exchange, encapsulate it into
outgoing TCP segments.
Fig. 2 illustrates a single TCP data packet delivery in 3G
LTE network. The eNB after the reception of a TCP data
packet from the packet core forwards it over the radio link to
the appropriate UE. This downlink transmission includes also
an overhead associated with PHY, MAC, and RLC headers. In
case of successful reception, UE generates HARQ ACK
response to the eNB forwarding the received TCP data packet
up to the TCP layer of the protocol stack. Consequently, TCP
layer generates TCP ACK. This TCP ACK represents ordinary
payload for the UE link layer: before it can be transmitted on
the wireless link, uplink resources should be requested and
corresponding assignment grant should be received at the MAC
layer. Moreover, TCP ACK transmission requires an
acknowledgement of HARQ entity which resides at the eNB.
File Server
Evolved Packet
Core
IP
TCP Data
Header
User Equipment
(UE)
Enhanced Node B
(eNB)
PHY/LL
Headers
IP
TCP Data
Header
HARQ
ACK
Uplink Scheduling Request
Unlink Grant
PHY/LL
Headers
IP
TCP
Header ACK
IP
TCP
Header ACK
HARQ
ACK
Figure 2. TCP packet delivery in 3G LTE network.
Summarizing, a single TCP data packet transmission is
acknowledged three times: once at the transport level and two
times at the link layer. Moreover, while HARQ ACK is a
single bit feedback, the TCP ACK together with protocol
overhead added at the link and physical layers consumes a
relatively large amount of uplink bandwidth resources –
reducing overall system capacity.
Next section proposes a solution which produces joint
optimization of ARQ/HARQ entities located at different layers
of the protocol stack with the objective to reduce the demand
for bandwidth resources in uplink by enabling signaling and
cooperation between entities at different levels of the protocol
stack.
III.
ARQ PROXY
The basic idea of the proposed approach is to avoid the
transmission of standalone TCP ACK packets over the radio
link between eNB and UE together with associated overhead
added at physical and link layers, including scheduling
request/response exchange at the MAC layer. In order to
support this functionality, no changes are needed to the TCP
protocol, but new software entities need to be introduced: the
ARQ proxy and ARQ client.
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A. ARQ Proxy
ARQ proxy is a software module located in the eNB
protocol stack. It sniffs the packets destined to various UEs,
assuming to have an access to the network and transport layer
headers. In contrast to previous cellular systems, in 3G LTE
network layer packets become explicitly visible at eNB due to
the employed mapping when one network layer packet is
encapsulated into one RLC PDU.
Whenever a TCP data packet is detected, the ARQ proxy
generates a TCP ACK confirming the reception of TCP data
packet (assuming the case it is received in sequence). eNB does
not require an implementation of TCP layer in a conventional
sense. For TCP ACK generation, ARQ proxy simply copies the
required fields (IP addresses, port numbers, and flow sequence
numbers) into the corresponding fields of a TCP ACK packet
template previously allocated in the memory. The generated
TCP ACK is not immediately released into the evolved
network core, but stored locally in a hash table at the eNB. As
soon as TCP ACK is generated and stored, the original TCP
data packet continues its path towards the UE.
The TCP ACK is associated with an index in the hash table
computed by passing IP and TCP header fields as an input for
the hash function.
The use of hash tables and hash functions for indexing
allows independent index calculation at eNB and UE, such that
UE can obtain an index of TCP ACK generated at eNB for
every received TCP data packet by simply applying the same
hash function to the fields of the received TCP data packet.
Using this index, the ARQ client can request eNB to release a
given TCP ACK into the network core.
Each TCP ACK located in the hash table at the eNB has a
lifetime which is assigned at the moment of TCP ACK
generation. In case the lifetime is exceeded, the packet is
silently dropped from the hash table. By this mechanism, eNB
ensures the memory resources are freed for TCP ACKs not
requested by UE. This happens in case TCP data packet arrives
out-of-order or delayed-ACK scheme is implemented by UE
receiver. The lifetime value can be set to be equal to TCP
timeout.
The choice of appropriate hash function is left out of the
scope of the paper. However, taking into account the
extensiveness of the information available on this topic the
interested reader is directed to [8]. Furthermore, we leave the
design of a proper hash function which will include specifics of
input data (IP and TCP data headers) for future work. In fact,
there is already a hash function available in TCP/IP which
corresponds to cyclic redundancy check.
B. ARQ Client
The ARQ Client is a software module which resides in the
protocol stack of the UE. It suppresses all outgoing standalone
TCP ACK packets and replaces them with MAC layer requests
for the appropriate TCP ACK transmission initiated from eNB.
In order to do so, ARQ Client computes an index of the desired
TCP ACK in the hash table of the eNB by applying the hash
function to the received TCP data packet. The computed hash
value is passed to the eNB using an interface between ARQ
Proxy and ARQ client defined at the MAC layer.
In our scheme, the HARQ ACK message acknowledging
successful delivery of each PDU is extended with a hash value
resource reservation bit. If set, it requires eNB extending
resource grant in order to allow UE to transmit a fixed size
hash value during the next transmission opportunity.
We identify two possible positions for ARQ client in UE’s
protocol stack: enhanced transport layer (Fig. 3a) and
standalone (Fig. 3b).
In case ARQ client is implemented inside the transport
layer, whenever a TCP ACK is produced as a standalone
packet it generates the corresponding hash value passing it to
the HARQ entity at the MAC layer. While HARQ is requesting
bandwidth resources for hash value transmission, the originally
generated TCP ACK packet travels the stack down which
involves corresponding processing at every layer, output
queuing delay, and other procedures commonly performed by
the protocol stack.
Whichever comes first to the physical layer for the
transmission (the TCP ACK or the corresponding hash value)
will be transmitted, while the other one cancelled. This
technique enables the design of hash value-based ACK
generation not synchronized with a particular HARQ ACK
message. For example, in case a hash value transmission was
not requested with HARQ ACK generated for TCP packet
recently received, it can be requested with the next outgoing
HARQ ACK. However, in case MAC layer did not succeed to
pass the hash value and TCP ACK arrives at the physical layer,
it is transmitted like in the legacy implementation (i.e. with no
ARQ proxy enabled).
Transport layer enhancement can be costly or sometimes
not possible due to the large variety of TCP/IP enabled devices
already deployed on the market. In this case, ARQ Client can
be implemented as a standalone module on top of the MAC
layer. Such implementation does not require the modification
of the protocol stack core (TCP and IP layers) and can be
introduced at driver level or inside network interface firmware.
In standalone implementation (Fig. 3b), ARQ Client sniffs
all packets produced at the transport layer. In case a standalone
TCP ACK is detected, it simply computes the corresponding
hash value for such packet passing it to the HARQ module,
while the original packet continues its outgoing path down the
protocol stack. The rest of the ARQ Client functionality is
similar to the enhanced transport layer case illustrated above.
TCP
A CK
TCP
A RQ Client
Generation
T CP ACK
A CK
Generation
T CP ACK
TCP ACK
Hash v alue
Output
queue
Output
queue
Snif f
ARQ
Client
TCP ACK
Hash value
MAC
MAC
HA RQ
T CP Data
HA RQ A CK+
a)
HARQ
HA RQ A CK+
T CP Data
b)
Figure 3. ARQ Client position in UE’s protocol stack.
Generally, ARQ Client requests TCP ACK generation at
eNB for all TCP ACKs outgoing from the UE as standalone
packets and only for data transfer phase of the TCP connection.
TCP ACKs which are not subject to replacement with HARQ
requests are the following:
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1.
2.
3.
4.
TCP ACK which corresponds to connection
establishment or connection termination phases of
TCP. Indicated by SYN and FIN header flags, these
packets carry maximum window, initial flow sequence
numbers and other parameters crucial for the data flow
setup or termination.
TCP ACK which is sent along with outgoing data
packet. In case of bidirectional data transfer and
delayed-ACK option enabled, the receiver is capable to
encapsulate TCP acknowledgement which is simply
TCP ACK bit and acknowledgement sequence number
into outgoing data packet. As a result, TCP ACKs
which are encapsulated in such a way do not create any
additional overhead and thus may be left unaffected by
ARQ proxy. However, it should be noted that most of
TCP flows initiated by UE are unidirectional where
data packets are originated at content server.
Duplicate TCP ACKs. In case out of order TCP packet
is received, UE should send duplicate TCP ACK for
the last successfully received segment. However, eNB
does not maintain any flow related information and
thus can not distinguish an out-of-order TCP packet. In
order to overcome this limitation, in case of out-oforder delivery, TCP receiver will send duplicate TCP
ACK generated by its protocol stack over the radio
channel and will not send hash value request to ARQ
proxy module. As a result, TCP ACK generated by
ARQ proxy and stored in eNB’s hash table will expire
after lifetime is exceeded.
TCP ACK where the receiver advertises for a window
(rwnd field in TCP header) different from the last
advertised one. This will ensure UE is not running out
of the receiver buffer space.
C. Benefits and Limitations
Fig. 4 summarizes the functionality of the proposed ARQ
proxy and ARQ client modifications.
File Server
Evolved Packet
Core
User Equipment
(UE)
Enhanced Node B
(eNB)
ARQ Proxy
IP
TCP Data
Header
MAC
MAC
ARQ Client
TCP
PHY/LL IP
TCP Data
Headers Header
IP
TCP Data
Header
Access TCP header
Get IP addr, port, seq.
number
Generate TCP ACK & store
in hash table
IP
Header
TCP
ACK
TCP ACK
Index
HARQ TCP ACK
+
ACK
Index
TCP ACK
Index
Generate
TCP ACK
Compute
hash index
Get TCP ACK
from hash table
Figure 4. ARQ Proxy and ARQ Client functionality.
Along with network capacity increase, we identify the
following benefits of the proposal:
End-to-End (E2E): ARQ proxy substitutes TCP ACKs on
the radio link. However, this does not violate E2E semantics of
the TCP protocol, since all TCP ACK transmissions originated
at the eNB are triggered by the UE. Moreover, UE requests the
transmission of those ACKs which are consistent with the
employed acknowledgement strategy (delayed or selective
acknowledgement [10]), while not requested TCP ACKs are
silently dropped at the eNB when their lifetime is exceeded.
Performance and System Capacity: Joint reduction of ARQ
overhead releases network resources in the uplink, which can
be further reused by the same UE or other nodes operating in
the same cell.
Channel error rate: ARQ proxy approach substitutes a
relatively large TCP ACK packet with a several bytes long
hash value transmitted over the radio channel. As a result, the
effect of channel error propagation is reduced for such packets.
Round Trip Time (RTT): TCP throughput and error
recovery performance depends on the Round Trip Time (RTT)
between the sender and the receiver. In 3G LTE, RTT is
composed of packet transmission delay in the network core as
well as over the radio link. The proposed ARQ optimization
technique reduces RTT for the time associated with TCP ACK
transmission over the radio link, including uplink bandwidth
reservation delay, which depends on the UE’s state (active or
idle), and employed framing. This reduction is typically in the
order of tens of milliseconds [11].
Mobility: The support of full inter- and intra-network
mobility is one of the most crucial requirements in cellular
networks. Moreover, the handover of UEs should be performed
with minimum delay to ensure uninterrupted service execution
at guaranteed quality. For that reason, approaches which
maintain UE state or profile at eNB are not desirable due to the
delay overhead associated with the state transfer during
handover. In our scheme, in case UE changes its location and
registers itself with another eNB, the hash table stored by the
ARQ proxy at old eNB is not transferred to the new eNB and
can be deleted. In this way, after location update, the UE will
send hash values for only those TCP ACKs which correspond
to packets received from the new eNB.
Incremental deployment: ARQ proxy can be incrementally
deployed in already operational network where UEs and eNBs
implementing ARQ proxy approach co-exist with those which
are not. For example, in case UE does not include ARQ client
module, none of the TCP ACKs generated at eNB will be
requested using their hash values and will be simply destroyed
after their lifetime expiration. On the other hand, in case eNB
does not implement ARQ proxy approach, all bandwidth
allocation requests sent by UEs will be rejected and original
TCP ACK packets will transit over the radio channel. This is
an outcome of the principle described above: whichever comes
first at the physical layer (TCP ACK or its hash value) will be
transmitted over the radio channel.
IV.
PERFORMANCE E VALUATION
In order to perform the evaluation of the proposed solution,
Enhanced UMTS Radio Access Extensions (EURAE) [6] for
ns2 network simulator [7] are used.
In order to make EURAE closely approximate 3G LTE
behavior, we combined Node B and RNC into a single node as
well as we modified the link layer accordingly to avoid
fragmentation and support one-to-one mapping of IP packets
into RLC PDUs. The physical medium is configured to use
HSDPA extension with default parameters, and Rayleigh
fading for the propagation model with a trace data generated
for UE located within 300 meters from the Node B. The TCP
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90
80
70
RTT (ms)
60
50
40
30
20
10
0
TCP
TCP + ARQ Proxy
0
20
40
60
Simulation time (s)
80
100
0.7
0.6
Average TCP Throughput (Mb/s)
connection is initiated between the file server located in the
network core and the receiver sink attached to the UE.
In this scenario, ARQ proxy requires almost 21 times less
channel resources than the original TCP scheme. This value is
basically an outcome of the size difference between TCP ACK
and its hash value: while TCP ACK is comprised of TCP (20
bytes), IP (20 bytes), PDCP (1 byte), RLC (2 bytes) headers,
and PHY CRC (2 bytes) bringing it to 45 bytes in total, the
hash value used in simulations is only 16 bits long plus one
additional bit required for predefined reservation sent along
HARQ ACK.
Along with the uplink capacity improvement, the proposed
ARQ proxy scheme aims at RTT reduction due to faster TCP
ACK feedback. Fig. 5 presents the RTT measurements
experienced by the TCP flow. The ARQ proxy-enabled case
shows the RTT close to the delay experienced in the network
core, which one-way propagation delay is set to 30 ms. The
original TCP scheme requires more than additional 20 ms,
which are consumed for the uplink resource reservation and
TCP ACK transmission. According to [4], TCP throughput
performance is reversely proportional to the RTT of the
connection. This corresponds to an added value for ARQ proxy
implementation for TCP flow performance improvement.
0.5
0.4
0.3
0.2
0.1
0
0
0.2
0.3
0.4
0.5
Hash error rate
0.6
0.7
0.8
Figure 6. TCP throughput in the presence of hash value errors.
V.
CONCLUSIONS AND FUTURE WORK
3G Long-Term Evolution (LTE) is a recent effort taken by
cellular industries to step into wireless broadband market. In
this framework, the paper proposes a cross-layer optimization
of error recovery strategies for 3G LTE networks. The proposal
substitutes the transmission of TCP ACK packets with a short
MAC layer request sent over the radio link. Specifically, TCP
ACKs are generated by ARQ proxy module located at eNB
based on transit traffic analysis and stored in the buffer until
requested by ARQ client module which resides at UE’s
protocol stack. TCP ACK identification which is included into
ARQ client request is obtained by applying a hash function
onto raw packet headers’ data.
Performance evaluation results demonstrate good
agreement with the design objectives, i.e. ARQ proxy approach
is able to provide uplink capacity increase, sustain high error
rate, and bring TCP performance increase due to reduced RTT.
Future work on ARQ proxy includes application of the
presented technique in WiFi (IEEE 802.11) and WiMAX
(IEEE 802.16) environments.
Figure 5. Round Trip Time (RTT) measurements.
In original scheme, UE uses an acknowledged mode which
involves HARQ at the MAC and ARQ at the RLC layers for
TCP ACK transmission on the uplink. On the contrary, ARQ
proxy does not involve any techniques to ensure reliable hash
value delivery. This motivated us to evaluate the influence of
errors on the hash value transmission (see Fig. 6). In case the
eNB receives a corrupted hash value, no TCP ACK is
generated from the hash table toward TCP sender.
The results show the TCP flow is able to maintain a
nominal throughput level for up to 40% of erroneous TCP
ACKs. Such stability is motivated by the cumulative nature of
TCP acknowledgements, i.e. every successfully received TCP
ACK acknowledges all the data received by the receiver up to a
moment of this TCP ACK generation. Taking into account
TCP high robustness to ACK errors, we consider no need to
introduce any additional reliability into hash value
transmission.
0.1
REFERENCES
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This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE GLOBECOM 2007 proceedings.