UMTS Overview Book

UMTS OVERVIEW
Contents, Glossary and Abbreviations
Contents
CONTENTS .................................................................................................................................................... I GLOSSARY ................................................................................................................................................ VII ABBREVIATIONS ........................................................................................................................................ X CHAPTER 1: UMTS, THE DEFINITION OF A NEW ERA ........................................................................ 1 1.1 INTRODUCTION ........................................................................................................................................ 1 1.2 BACKGROUND AND STANDARDISATION .................................................................................................... 1 1.2.1 Background in Europe ..................................................................................................................... 1 1.2.2 Background in Japan ....................................................................................................................... 3 1.2.3 Background in China ....................................................................................................................... 4 1.2.4 Creation of 3GPP ............................................................................................................................ 4 1.2.5 Creation of 3GPP2 .......................................................................................................................... 5 1.3 IMT-2000 AND UMTS............................................................................................................................. 6 1.3.1 IMT-2000 Process in ITU ................................................................................................................ 6 1.3.2 UMTS ............................................................................................................................................. 8 1.4 UMTS AS THE 3RD GENERATION SYSTEM ................................................................................................ 11 1.4.1 Main Service Differences Between 2G and 3G ............................................................................... 11 1.4.2 New Roles and Relationships for UMTS ......................................................................................... 12 1.4.3 Work Regulations .......................................................................................................................... 13 1.4.4 UMTS Services and Applications ................................................................................................... 13 1.4.5 UMTS Advanced Concepts............................................................................................................. 14 1.4.6 Network Operators Functions ....................................................................................................... 14 1.4.7 Technological Progress Impact...................................................................................................... 15 CHAPTER 2: ARCHITECTURE OVERVIEW .......................................................................................... 16 2.1 GENERAL OVERVIEW OF THE SYSTEM .................................................................................................... 16 2.2 USER EQUIPMENT (UE).......................................................................................................................... 16 2.2.1 Schematic of the Receiver for UTRAN - Outdoor ............................................................................ 17 2.3 THE ACCESS NETWORK: UTRAN........................................................................................................... 19 2.3.1 RNS Architecture ........................................................................................................................... 19 2.3.2 UTRAN Architecture...................................................................................................................... 20 2.4 CORE NETWORK .................................................................................................................................... 21 2.4.1 Serving Network ............................................................................................................................ 21 I UMTS Overview July 2001
2.4.2 Home Network ...............................................................................................................................22 2.4.3 Transit Network .............................................................................................................................22 2.4.4 Interfaces and Their Function ........................................................................................................22 2.5 MOBILITY ..............................................................................................................................................22 CHAPTER 3: CDMA TECHNIQUE ............................................................................................................25 3.1 INTRODUCTION ......................................................................................................................................25 3.2 ACCESS METHODS FDMA, TDMA, CDMA, FDD VS. TDD ....................................................................25 3.2.1 Frequency Division Multiple Access (FDMA) .................................................................................25 3.2.2 Time Division Multiple Access (TDMA)..........................................................................................26 3.2.3 Code Division Multiple Access (CDMA) .........................................................................................27 3.2.4 FDD vs. TDD ................................................................................................................................28 3.3 INTRODUCTION TO SPREADING AND MODULATION ..................................................................................28 3.3.1 Orthogonal Codes..........................................................................................................................30 3.3.2 RAKE Receiver ..............................................................................................................................33 3.3.3 Spread Spectrum Goals ..................................................................................................................34 3.3.4 Code Properties .............................................................................................................................35 3.4 SOFT AND HARD HANDOVER ..................................................................................................................35 3.4.1 Handover.......................................................................................................................................35 3.4.2 Soft Handover ................................................................................................................................36 3.4.3 Softer Handover.............................................................................................................................36 3.5 POWER CONTROL ...................................................................................................................................36 3.5.1 Inner Loop Power Control - Uplink ................................................................................................39 3.5.2 Outer Loop Power Control (SIR target adjustment) -Uplink............................................................40 3.5.3 Open Loop Power Control - Uplink ................................................................................................40 3.5.4 Inner Loop Power Control - Downlink ...........................................................................................41 3.5.5 Outer Loop Power Control - Downlink ...........................................................................................41 3.5.6 Open Loop Power Control - Downlink ...........................................................................................41 CHAPTER 4: AIR INTERFACE..................................................................................................................42 4.1 RADIO TRANSMISSION AND RECEPTION ..................................................................................................42 4.1.1 Frequency Band.............................................................................................................................42 4.1.2 Channel Arrangement ....................................................................................................................42 4.1.3 Tx-Rx Frequency Separation ..........................................................................................................42 4.1.4 Terminal Service Classes ...............................................................................................................42 4.1.5 Receiver Requirements ...................................................................................................................43 4.1.6 Diversity Characteristics................................................................................................................43 4.2 LOGICAL, PHYSICAL AND TRANSPORT CHANNELS ...................................................................................43 4.2.1 Transport Channels: ......................................................................................................................44 II UMTS Overview July 2001
4.2.2 Physical Channels: ........................................................................................................................ 45 4.2.3 Mapping of Transport Channels to Physical Channels ................................................................... 52 4.3 SPREADING, SCRAMBLING AND MODULATION ........................................................................................ 53 4.3.1 Uplink Spreading, Scrambling and Modulation .............................................................................. 53 4.3.2 Downlink Spreading, Scrambling and Modulation.......................................................................... 56 4.4 TRANSPORT CHANNEL CODING AND MULTIPLEXING CHAIN .................................................................... 57 4.4.1 Channel Coding ............................................................................................................................ 58 4.4.2 Inner Inter-Frame Interleaving ...................................................................................................... 60 4.4.3 Rate Matching ............................................................................................................................... 60 4.4.4 Transport-Channel Multiplexing .................................................................................................... 61 4.4.5 Inner Intra-Frame Interleaving ...................................................................................................... 61 4.5 SERVICE MULTIPLEXING ........................................................................................................................ 61 4.6 TRAFFIC CASES (EXAMPLES) .................................................................................................................. 63 4.6.1 Continuous Transmission in Uplink with Variable Rate .................................................................. 63 4.6.2 Discontinuous Transmission (DTx) in Downlink with Variable Rate (1) .......................................... 63 4.6.3 Discontinuous Transmission (DTx) in Downlink with Variable Rate (2).......................................... 64 4.7 INITIAL CELL SEARCH ............................................................................................................................ 64 4.7.1 Step 1: Slot Synchronisation .......................................................................................................... 65 4.7.2 Step 2: Frame Synchronisation and Code Group Identification ...................................................... 65 4.7.3 Step 3: Scrambling Code Identification .......................................................................................... 66 4.7.4 Idle Mode Cell Search ................................................................................................................... 66 4.7.5 Active Mode Cell Search................................................................................................................ 66 4.8 PACKET ACCESS .................................................................................................................................... 67 4.8.1 Common Channel Packet Access ................................................................................................... 67 4.8.2 Dedicated Channel Single Packet Transmission ............................................................................. 67 4.8.3 Dedicated Channel Multi-Packet Transmission .............................................................................. 68 CHAPTER 5: RADIO THEORY ................................................................................................................. 69 5.1 INTRODUCTION ...................................................................................................................................... 69 5.1.1 Radio Waves and Modulations ....................................................................................................... 69 5.1.2 Access Methods ............................................................................................................................. 71 5.2 RADIO TRANSMISSION PROPERTIES AND PROBLEMS ................................................................................ 72 5.2.1 Needed vs. Available Capacity ....................................................................................................... 72 5.2.2 Path Loss ...................................................................................................................................... 72 5.2.3 Shadowing..................................................................................................................................... 73 5.2.4 Multi-Path Propagation................................................................................................................. 74 5.2.5 Time Dispersion ............................................................................................................................ 75 5.3 RADIO TRANSMISSION OPTIMISATIOIN TECHNIQUES ............................................................................... 75 5.3.1 Access Methods: Capacity vs Interference ...................................................................................... 75 III UMTS Overview July 2001
5.3.2 Diversity ........................................................................................................................................77 5.3.3 Error Detection and Correction .....................................................................................................78 CHAPTER 6: USER EQUIPMENT (UE).....................................................................................................81 6.1 TERMINALS IN THE GENERAL UMTS SYSTEM .........................................................................................81 6.1.1 User Equipment Domain ................................................................................................................82 6.2 APPLICATIONS OF THE UE ......................................................................................................................83 6.3 MULTIMEDIA USER EQUIPMENT .............................................................................................................84 6.4 UMTS SUBSCRIBER IDENTITY MODULE (USIM) .....................................................................................86 6.5 TECHNOLOGY OF THE TERMINALS ..........................................................................................................88 CHAPTER 7: UMTS TERRESTRIAL RADIO ACCES NETWORK (UTRAN) .......................................90 7.1 INTRODUCTION ......................................................................................................................................90 7.2 UTRAN MAIN ASPECTS.........................................................................................................................90 7.2.1 General Principles .........................................................................................................................90 7.2.2 Capabilities ...................................................................................................................................90 7.2.3 UTRAN and GSM BSS (GSM Base Station Subsystem) ...................................................................91 7.3 UTRAN SYSTEM ARCHITECTURE ...........................................................................................................92 7.3.1 UMTS General System Architecture ...............................................................................................92 7.3.2 UTRAN Architecture ......................................................................................................................92 7.4 UTRAN NODES .....................................................................................................................................93 7.4.1 Node B ..........................................................................................................................................93 7.4.2 The Radio Network Controller (RNC).............................................................................................95 7.5 UTRAN INTERFACES .............................................................................................................................95 7.5.1 General Principles for UTRAN Interfaces ......................................................................................95 7.5.2 Iu Interface ....................................................................................................................................96 7.5.3 Iur Interface...................................................................................................................................98 7.5.4 Iub Interface ................................................................................................................................ 100 7.5.5 UTRAN Internal Bearers .............................................................................................................. 102 7.6 UTRAN FUNCTIONS ............................................................................................................................ 103 7.6.1 System Access Control ................................................................................................................. 103 7.6.2 Radio Channel Ciphering / Deciphering ....................................................................................... 104 7.6.3 Mobility ....................................................................................................................................... 104 7.6.4 Radio Resource Management and Control.................................................................................... 107 7.7 IDENTIFIERS ......................................................................................................................................... 110 7.7.1 UTRAN identifiers ....................................................................................................................... 110 7.7.2 UE Identifiers .............................................................................................................................. 111 7.8 UMTS QOS AND RAB ......................................................................................................................... 111 7.8.1 Quality of Service (QoS) .............................................................................................................. 111 IV UMTS Overview July 2001
7.8.2 Radio Access Bearers (RAB) ........................................................................................................ 113 CHAPTER 8: CORE NETWORK ............................................................................................................. 114 8.1 INTRODUCTION .................................................................................................................................... 114 8.2 GPRS, AN IMPORTANT STEPPING STONE TOWARDS A UMTS CORE NETWORK ...................................... 114 8.3 UPGRADING THE GSM CORE FOR GPRS ............................................................................................... 116 8.3.1 New Nodes for Packet Data ......................................................................................................... 116 8.3.2 Upgrades to Existing GSM Nodes ................................................................................................ 117 8.4 MOVING TO UMTS IN THE GSM/GPRS CORE...................................................................................... 117 8.4.1 Cell-Based Transport Network ..................................................................................................... 119 8.5 UMTS CORE NETWORK PHASE 1 (RELEASE 99) REQUIREMENTS ........................................................... 120 CHAPTER 9: HANDOVER (DOWNLINK CASE EXAMPLE) ............................................................... 122 9.1 POSITION 1 .......................................................................................................................................... 122 9.2 POSITION 2 .......................................................................................................................................... 122 9.3 POSITION 3 .......................................................................................................................................... 122 9.4 POSITION 4 .......................................................................................................................................... 122 9.5 POSITION 5 .......................................................................................................................................... 123 9.6 POSITION 6 .......................................................................................................................................... 123 9.7 POSITION 7 .......................................................................................................................................... 123 9.8 POSITION 8 .......................................................................................................................................... 123 9.9 POSITION 9 .......................................................................................................................................... 123 9.10 POSITION 10 ...................................................................................................................................... 124 CHAPTER 10: CELL PLANING ............................................................................................................... 125 10.1 INTRODUCTION TO CELL PLANNING .................................................................................................... 125 10.2 DIFFERENT CELL TYPES ..................................................................................................................... 125 10.3 STEPS IN THE CELL PLANNING PROCESS ............................................................................................. 127 10.3.1 System Requirements: ................................................................................................................ 128 10.3.2 Define Radio Planning Guidelines: ............................................................................................ 128 10.3.3 Initial Cell Plan:........................................................................................................................ 128 10.3.4 Surveys: .................................................................................................................................... 128 10.3.5 Individual Site Design and Parameter Setting: ........................................................................... 129 10.3.6 Implementation: ........................................................................................................................ 129 10.3.7 Launch of Commercial Service: ................................................................................................. 129 10.3.8 On-going Testing, Analyses and Optimisation: ........................................................................... 129 10.3.9 System Growth .......................................................................................................................... 130 10.4 DIFFERENCES WITH 2G TDMA SYSTEMS - DEPLOYMENTS ................................................................. 130 10.4.1 Exploiting Existing Networks ..................................................................................................... 130 10.4.2 Multi Service ............................................................................................................................. 130 V UMTS Overview July 2001
10.4.3 New Air Interface ....................................................................................................................... 130 10.5 CALCULATION OF COVERAGE AND CAPACITY ..................................................................................... 130 10.5.1 Needed Input Parameters ........................................................................................................... 131 10.5.2 Uplink Design ............................................................................................................................ 131 10.5.3 Downlink Design ....................................................................................................................... 132 10.5.4 Co-Siting With GSM Case .......................................................................................................... 132 CHAPTER 11: WORLD-WIDE CONSENSUS ON ADDITIONAL SPECTRUM FOR 3RD GENERATION ........................................................................................................................................... 133
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Glossary
Active Set:Set of radio links simultaneously involved in a specific communication service between an MS and a UTRAN. Air Interface: The radio interface between a mobile communications handset and the base station. Bandwidth: The information capacity of a communications resource, usually measured in bits per second. Also see Narrowband, Wideband and Broadband. Broadband: A classification of the information capacity or bandwidth of a communication channel. Broadband is generally taken to mean a bandwidth higher than 2 Mbit/s. CDMA: Code Division Multiple Access. A multiple access technique used for CdmaOne and WCDMA air interfaces. Cell: The basic geographical unit of a cellular communications system. Service coverage of a given area is based on an interlocking network of cells, each with a radio base station (transmitter/receiver) at its centre. The size of each cell is determined by the terrain and the number of users. Geographical area served from one UTRAN Access Point. A cell is defined by a cell identity broadcast from the UTRAN Access Point. Chiprate: Chiprate is the bit rate of the code/codes used for spreading. This is for helping us distinguish between user data or control data which is expressed in bit rate. Coded Composite Transport Channel (CCTrCH): A data stream resulting from encoding and multiplexing of one or several transport channels. Drift RNS: The role an RNS can take with respect to a specific connection between an UE and UTRAN. An RNS that supports the Serving RNS with radio resources when the connection between the UTRAN and the UE need to use cell (s) controlled by this RNS is referred to as Drift RNS. ETSI: European Telecommunications Standards Institute. A body formed by the European Commission in 1988 to take over most of the standardisation work previously undertaken by CEPT. ETSIs purpose is to define standards that will enable the European market for telecommunications to function as a single market. Fixed Wireless (or Fixed Cellular) Network: This apparent contradiction in terms signifies a cellular network that is set up to support fixed rather than mobile subscribers. Increasingly being used as a fast and economic way to roll out modern telephone services, since it avoids the need for major cable-laying. GPRS: GSM General Packet Radio Services. A data transmission technique that does not set up a continuous channel from a portable terminal for the transmission and reception of data, but transmits and receives data in packets. It makes very efficient use of available radio spectrum, and users may pay only for the volume of data sent and received. GSM: Global System for Mobile Communications. Originally defined as a pan-European standard for a digital cellular telephone network, to support cross-border roaming, GSM is now one of the worlds main digital wireless standards. Uses TDMA air interface. Can be implemented in 900 MHz, 1800 MHz or 1900 MHz frequency bands. IMT-2000: The term used by the International Telecommunications Union for the specification for the projected third-generation wireless services. Intelligent Network (IN): A capability in the public telecom network environment that allows new services such as Free-phone and tele-voting to be developed quickly and introduced on any scale, from a local trial to network-wide. Also implies a suitable network infrastructure. Internet: The name given to the world-wide collection of networks and gateways using the TCP/IP protocol, that functions as a single, virtual network. IP: Internet Protocol. (See also TCP/IP).
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ISDN: Integrated Services Digital Network. A digital public telecommunications network in which multiple services (voice, data, images and video) can be provided via standard terminal interfaces. ITU: International Telecommunications Union. Iu: The interconnection point (interface) between the RNS and the Core Network. It is also considered as a reference point. Iub: Interface between the RNC and the Node B. Iur: Interface between two RNSs. Logical Channel: A logical channel is a radio bearer, or part of it, dedicated for exclusive use of a specific communication process. Different types of logical channel are defined according to the type of information transferred on the radio interface. MexE: Mobile station Execution Environment Narrowband: A classification of the information capacity or bandwidth of a communication channel. Narrowband is generally taken to mean a bandwidth of 64 Kbit/s or lower. Node B: A logical node responsible for radio transmission/reception in one or more cells to/from the UE. Terminates the Iub interface towards the RNC. PCS: Personal Communications Service. A generic term for a mass-market mobile personal communications service, independent of the technology used to provide it. Physical Channel: In FDD mode, a physical channel is defined by code, frequency and, in the uplink, relative phase (I/Q). In TDD mode, code, frequency, and time-slot define a physical channel. Physical Channel Data Stream: In the uplink, a data stream that is transmitted on one physical channel. In the downlink, a data stream that is transmitted on one physical channel in each cell of the active set. PSTN: Public Switched Telephone Network. The ordinary, wired, analogue telephone network. Radio Access Bearer: The service that the access stratum provides to the non-access stratum for transfer of user data between MS and CN. Radio Access Network Application Part: Radio Network Signalling over the Iu. Radio Cell: The area served by a radio base station in a cellular or cordless communications system. This is where the term "cellular" came from. Cell sizes range from a few tens of meters to several kilometres. Radio Frame: A radio frame is a numbered time interval of 10ms duration used for data transmission on the radio physical channel. A radio frame is divided into 16 slots of 0.625 ms duration. The unit of data that is mapped to a radio frame (10ms time interval) may also be referred to as radio frame. Radio Link: A set of (radio) physical channels that link an MS to a UTRAN access point. Radio Link Addition: A [soft handover] procedure whereby a branch through a new [sector of a cell] is added in case some of the already existing branches were using [sectors] of the same cell. Radio Link Removal: A [soft handover] procedure whereby a branch through a new [sector of a cell] is removed in case some of the remaining existing branches use [sectors of] that cell. Radio Network Controller: This equipment in the RNS is in charge of controlling the use and the integrity of the radio resources. Radio Network Subsystem: Either a full network or only the access part of a UMTS network offering the allocation and the release of specific radio resources to establish means of connection in between an UE and the UTRAN. A Radio Network Subsystem is responsible for the resources and transmission/reception in a set of cells. Radio Network Subsystem Application Part: Radio Network Signalling over the Iur. Roaming: Ability of a cordless or mobile phone user to travel from location to location, with complete communications continuity. Supported by a cellular network of radio base stations. RLL/WLL: Radio in the Local Loop/Wireless Local Loop. The use of a radio access technology to link subscribers into the fixed public telecom network. The radio link replaces the traditional wired local loop. RRC Connection: A point-to-point bi-directional connection between RRC peer entities on the UE and the UTRAN sides, respectively. An UE has either zero or one RRC connection. VIII UMTS Overview July 2001
Serving RNS: A role an RNS can take with respect to a specific connection between an UE and UTRAN. There is one Serving RNS for each UE that has a connection between a UE and the UTRAN. The serving RNS terminates the Iu for this UE. Signalling Connection: An assured-mode link between the user equipment and the core network to transfer higher layer information between peer entities in the non-access stratum. Signalling Link: Provides an assured-mode link layer to transfer the MS_UTRAN signalling messages as well as MS-Core Network signalling messages (using the signalling connection) TCP/IP: Transmission Control Protocol/Internet Protocol. The data protocol used in the Internet. TDMA: Time Division Multiple Access. A technique used for GSM, D-AMPS (IS-136) and PDC air interfaces. TIA: Telecommunications Industry Association. The US telecom standars body. Transport Channel:The channels that are offered by the physical layer to Layer 2 for data transport between peer L1 entities are denoted as Transport Channels. Different types of transport channels are defined by how and with which characteristics data is transferred on the physical layer, e.g. whether using dedicated or common physical channels are employed. Transport Format: A combination of encoding, interleaving, bit rate and mapping onto physical channels. Transport Format Indicator (TFI): A label for a specific Transport Format within a Transport Format Set. Transport Format Set: A set of Transports Formats. For example, a variable rate DCH has a Transport Format Set (one Transport Format for each rate), whereas a fixed rate DCH has a single Transport Format. UMTS: Universal Mobile Telecommunications System. The European third-generation system, under development, under the auspices of ETSI. UTRAN Access Point: The UTRAN-side end point of a radio link. A UTRAN access point is a cell. User Equipment: A mobile Equipment with one several UMTS Subscriber Identity Module(s). Wideband: A classification of the information capacity or bandwidth of a communication channel. Wideband is generally taken to mean a bandwidth between 64 Kbit/s and 2 Mbit/s. Wideband CDMA (WCDMA): The air interface technology selected by the major Japanese mobile communications operators, and in January 1998 by ETSI, for wideband wireless access to support thirdgeneration services. This technology is optimised to allow very high-speed multimedia services such as fullmotion video, Internet access and videoconferencing. World Wide Web (WWW): Name commonly applied to the global Internet for multimedia, graphics, sound, etc...
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Abbreviations
ARQ AAL ATM BCCH BER BLER BS BSS BPSK CA CAA CBR C- Control-CC CCCH CCPCH CCTrCH CD CDA CDMA CN CTDMA CRC DCA DCH DCCH DC-SAP DL DPCH DPCCH DPDCH DRNS DRX DTX DS-CDMA FACH FDD FDMA FEC X UMTS Overview July 2001 Automatic Repeat Request Application Adaptation Layer Asynchronous Transfer Mode Broadcast Control Channel Bit Error Ratio Block Error Ratio Base Station Base Station System Binary Phase Shift Keying Capacity Allocation Capacity Allocation Acknowledgement Constant Bit Rate Call Control Common Control Channel Common Control Physical Channel Coded Composite Transport Channel Capacity De-allocation Capacity De-allocation Acknowledgement Code Division Multiple Access Core Network Code Time Division Multiple Access Cyclic Redundancy Check Dynamic Channel Allocation Dedicated Channel Dedicated Control Channel Dedicated Connection Service Access Point Downlink Dedicated Physical Channel Dedicated Physical Control Channel Dedicated Physical Data Channel Drift RNS Discontinuous Reception Discontinuous Transmission Direct-Sequence Code Division Multiple Access Forward Access Channel Frequency Division Duplex Frequency Division Multiple Access Forward Error Correction
FER HCS HO GMSK GSM ITU JD kbps L1 L2 L3 LAC LLC MA MAC MAHO Mcps ME MM MO MOHO MS MT NRT ODMA OVSF PC PCH PDU PHY PhyCH QoS QPSK PG PRACH PUF RACH RANAP RF RLC RLCP RNC RNS
Frame Error Ratio Hierarchical Cellular Structures Handover Gaussian Minimum Shift Keying Global System for Mobile Communication International Telecommunication Union Joint Detection kilo-bits per second Layer 1 (physical layer) Layer 2 (data link layer) Layer 3 (network layer) Link Access Control Logical Link Layer Multiple Access Medium Access Control Mobile Assisted Handover Mega Chip Per Second Mobile Equipment Mobility Management Mobile Originated Mobile Originated Handover Mobile Station Mobile Terminated Non-Real Time Opportunity Driven Multiple Access Orthogonal Variable Spreading Factor (codes) Power Control Paging Channel Protocol Data Unit Physical layer Physical Channel Quality of Service Quaternary Phase Shift Keying Processing Gain Physical Random Access Channel Power Up Function Random Access Channel Radio Access Network Application Part Radio Frequency Radio Link Control Radio Link Control Protocol Radio Network Controller Radio Network Subsystem XI
UMTS Overview
July 2001
RNSAP RR RRC RRM RT RU RX SAP SCH SDCCH SDU SF SIR SMS SP SRNS TCH TDD TDMA TFI TPC TX U- User-UE UL UMTS USIM UTRA UTRAN VA VBR
Radio Network Subsystem Application Part Radio Resource Radio Resource Control Radio Resource Management Real Time Resource Unit Receive Service Access Point Synchronisation Channel Stand-alone Dedicated Control Channel Service Data Unit Spreading Factor Signal-to-Interference Ratio Short message Service Switching Point Serving RNS Traffic Channel Time Division Duplex ime Division Multiple Access Transport Format Indicator Transmit Power Control Transmit User Equipment Uplink Universal Mobile Telecommunications System UMTS Subscriber Identity Module UMTS Terrestrial Radio Access UMTS Terrestrial Radio Access Network Voice Activity Variable Bit Rate
XII UMTS Overview July 2001
C hapter 1: UMTS, the Definition of a New Era
Chapter 1: UMTS, the Definition of a New Era

1.1 Introduction
In 1992 the International Telecommunication Union (ITU) defined in World Administrative Radio Conference (WAPC) global frequency bands for Future Public Land Mobile Telecommunications Systems (FPLMTS). FPLMTS is standardised by the
Telecommunications Standardisation Sector (ITU-T) and the Radio-communications Sector (ITU-R), formerly known as the CCITT and the CCIR. These FPLMTS bands were identified as 1885-2025 MHz and 1980- 2010 MHz which included a special band identified for satellite communication of 2170-2200 MHz.
1.2 Background and Standardisation

1.2.1 Background in Europe
1.2.1.1 ETSI The European Telecommunications Standards Institute (ETSI) is a non-profit organisation in charge to determine and produce the telecommunications standards. It is an open forum made of Administrations, network operators, manufacturers, service providers, and users. In total, 490 members from 34 countries are represented. The members of ETSI are in charge to fix the work program standards in function of market needs. ETSI produces voluntary standards; which are requested by those who subsequently implement them, as the standards remain practical. ETSIs work program is based upon, and is co-phased with, the activities of international standardisation bodies, and mainly with ITU. ETSI consists of a General Assembly, a Board, a Technical Organisation and a Secretariat. The technical standards are produced and approved by the Technical Organisation. It
1 UMTS Overview July 2001
encompasses ETSI Projects (EPs), Technical Committees (TCs) and Special Committees. More than 3500 experts, in over 200 groups, are at present working for ETSI. The central Secretariat of ETSI is located in Sophia Antipolis, a high tech research park in the south of France. 1.2.1.2 ITU The ITU is an international organisation (United Nations) within which governments and the private sector co-ordinate global telecom networks and services. The ITU has its headquarters in Geneva, Switzerland. Samuel Morse did the first usher in the communications era on 24 May 1844, by sending the first public message over a telegraph line between Washington and Baltimore. Barely ten years later, telegraphy had become available to the general public. However, at this period telegraph lines did not cross national frontiers because each country used a different system and what is more, each had its own telegraph code to preserve the secrecy of its military and political telegraph messages. Therefore, before being retransmitted over the telegraph network of a neighbouring country, messages had to be transcribed, translated and handed over the frontiers. It is not surprising then, that agreements were made between countries to interconnect their national networks together. But for each link numerous agreements were required. As a conclusion, 20 European States decided to work together on a framework agreement, deciding on common rules to standardise equipment to guarantee generalised interconnection. They adopted a set of uniform operating instructions and came along to common international tariff and accounting rules, which by the past were different from one country to another. The first International Telegraph Convention was signed by the 20 participating countries on the 17 May of 1865 after two and a half months of negotiations, and the International Telegraph Union was born. Since that time, the telecommunications progression has continued and advances have been made. With the invention in 1896 of wireless it was decided to convene on a preliminary radio conference. In 1903 the conference would be held to study the question of international regulations for radiotelegraph communications.
In 1920 sound was broadcasted at the studios of the Marconi Company. In 1927, the Union allocated frequency bands to the various radio services existing at the time: fixed, maritime and aeronautical mobile, broadcasting, amateur and experimental. At the 1932 Madrid Conference the name was changed to the International Telecommunication Union to reaffirm the whole scope of its responsibilities: wire, radio, optical system or other electromagnetic system communications. In 1959, the ITU set up a Study Group for the study of space radio communication. In the changing world of telecommunications today new players constantly appear on the international scene. In the area of telecommunications, new trends are emerging: globalisation, deregulation, restructuring, value added network services, convergence (of services as well as technologies), intelligent networks and regional arrangements. Telecommunications have become a key ingredient in many non-telecommunication services such as banking, tourism, transportation and information services of various types. The traditional role of telecommunications is being transformed every day with new service dimensions.
1.2.2 Background in Japan

In Japan, the development of internationalisation, the integration of telecommunications and broadcasting, and the promotion of businesses using radio waves required the need for an organisation. In response to this need, on May 15, 1995, the Association of Radio Industries and Businesses (ARIB) was established as a public service corporation with the support of the Minister of Posts and Telecommunications. This organisation would proclaim the research & development of new radio systems and the international standardisation of technical standards in the fields of telecommunications and broadcasting.
1.2.3 Background in China

China Wireless Telecommunication Standard is the standard development organisation responsible for wireless standardisation in China as approved by the Ministry of Information Industry.
1.2.4 Creation of 3GPP

In November 1998, the standardisation organisations (ARIB, ETSI, T1, TTA and TTC) involved in the creation of the 3rd Generation Partnership Project known as 3GPP. They all agreed to co-operate for the production of technical specifications for a 3rd Generation Mobile System based on the evolved GSM core networks and the radio access technologies that they support (both FDD and TDD). In 1999 China Wireless Telecommunication Standard (CWTS) joined the project. At a meeting in July 1999, the Third Generation Partnership Project agreed to make standards for the FDD and TDD modes following the recommendations from ITU IMT-2000. According to the agreement, 3GPP will cover the technical issues related to the development of FDD and TDD modes. The work will also include the inter-working between the evolved ANSI-41 and GSM MAP platforms. For a global harmonisation, 3GPP changed the chip to rate to 3.84 Mcps and adopted a new downlink pilot structure. The complete 3G standards will enable global roaming and seamless provisional. The 3GPP have established a schedule of annual releases for the development of the standards. Release 1999 will be completed by 31 December 1999 and will be first deployed in early 2001 in Japan. Release 2000 will include Internet Protocol based networks and will be rolled out in 2002. Further enhancements will be included in later releases. For more information about 3GPP see: www.3GPP.org. The six standards development organisations are: ARIB, www.arib.or.jp. CWTS. ETSI, www.etsi.org.
T1, www.t1.org. TTA, www.tta.or.kr. TTC, www.ttc.or.jp. The tree market representations partners are: The GSM Association represents 347 members which is comprised of GSM Network Operators and Regulators with more than 165 million GSM subscribers in 133 countries. See www.gsmworld.com. The Global Mobile Suppliers Association, GSA, has a cross industry representation worldwide of GSM infrastructure, terminals, customer care and billing suppliers. See www.GSAssociation.org. UMTS Forum represents 182 members from over 30 countries and content representing operators, regulators, manufacturers, IT providers. See www.UMTS-Forum.org.
1.2.5 Creation of 3GPP2

Members of the ANSI board were concerned that the ETSI proposal was too limiting, and as a result, established a 3G ad hoc committee to examine how all standards development organisations (SDOs) could be involved. In June 1999, a meeting was held between this ANSI ad hoc group and a delegation from ETSI in Seattle to further discuss how the 3GPP could accommodate all industry participants. 3GPP 2 is an effort spearheaded by the International Committee of the American National Standards Institute's (ANSI) board of director to establish a 3G Partnership Project (3GPP) for evolved ANSI/TIA/EIA-41, "Cellular Radio-telecommunication Intersystem Operations" networks and related radio transmission technologies (RTTs). This co-operation may result in either complete specifications or in agreed technical elements, which the participating SDOs may submit to the ITU through their normal national or regional processes. The proposed 3G partnership is structured into two projects: 3GPP 1: Global specifications for GSM/MAP network evolution to 3G and the UTRA RTT.
3GPP 2: Global specifications for ANSI/TIA/EIA-41 network evolution to 3G and global specifications for the RTTs supported by ANSI/TIA/EIA-41.
1.3 IMT-2000 and UMTS

1.3.1 IMT-2000 Process in ITU
In 1986, the ITU began its studies on International Mobile Telecommunications-2000 (IMT2000), when the availability of hand-held cellular phones offered the potential for global, rather than National/Regional, land mobile systems. IMT-2000 is an initiative of the ITU. It will provide wireless access to the global telecommunication infrastructure through both satellite and terrestrial systems, serving fixed and mobile users in public and private networks. With close to 5 million new mobile users a month, million a month in Japan alone, wireless access will likely blast fixed access to global telecommunications very early in the 21st century. Future public land mobile telecommunication systems (FPLMTS) are aimed at providing global wireless access around the year 2000, based primarily on the 2 GHz spectrum identified at the 1992 World Administrative Radio Conference (WARC-92). Standardisation of FPLMTS is one of the strategic priorities of the ITU. The acronym FPLMTS where changed to IMT-2000. The International Mobile Telecommunication vision encompasses complementary satellite and terrestrial components. Satellite systems have limited capacity due to power and radio spectrum. Terrestrial macro, micro and pico cells complement global satellite coverage and provide the frequency reuse necessary to serve a global market estimated to be of the order of one billion wireless access users early in the 21st century. IMT-2000 represents the satellite and terrestrial portion of IMT that will be available around the year 2000 primarily based on the spectrum identified at 2 GHz.
The satellite component of IMT-2000, together with earlier global satellite systems in other bands, will likely provide the first telephone in many rural villages. The terrestrial infrastructure will then follow as demand increases. There are two major areas of technological innovation that may impact on future wireless systems: the first is multimedia, the second is software radio technology. What this really means is that more and more is being done by software rather than by hardware. The impact of microprocessors and chip will allow greatly increased flexibility in radio equipment which is going to have a dramatic effect on what should, and what should not, be standardised. In the past, radio standards were developed to a certain level of detail based on channel, modulation and coding structures over the radio path because t was difficult to build flexible radios. One of the key benefits of IMT-2000, as a true third generation system, will be its ability to deal efficiently with audio-visual multimedia communications In the future the users application will control how the negotiated radio bearer is used, which will require a very different radio and control infrastructure. IMT-2000 covers a very wide range of radio operating environments, all the way from the satellite to indoor pico cells. An adaptive radio interface is envisaged for IMT-2000 to optimise performance in these widely differing propagation conditions. This adaptation will be controlled by software using digital signal processing technology. Multi-mode and multiband mobile terminals will be a common mechanism to link IMT-2000 to earlier systems. The ITU standardisation work on IMT-2000 encourages convergence of the many diverse satellite and terrestrial mobile systems towards the ITU vision for third generation global mobile communications, i.e. IMT-2000. However, with the rapid changes in technology, particularly in the digital processing area, new standards must not be restrictive, but should enable future telecommunication enhancements. In other words the standardisation must be in such away that it can be efficiently controlled by future applications that we do not even dream about today.
1.3.2 UMTS
1.3.2.1 ETSIs Projects on GSM and UMTS The task of SMG, Special Mobile Group, is to develop and maintain the specifications of the digital cellular telecommunications system operating in the 900 MHz band known as GSM 900 and of its variation in the 1800 MHz band, known as DCS 1800. Moreover it is responsible for maintaining the integrity of the GSM platform by close cooperation with ANSI T1P1, who are responsible for the 1900 MHz version, known as PCS 1900. SMG is also responsible for studying, and defining all aspects of third generation mobile systems based on the concept of Universal Mobile Telecommunications System (UMTS), in co-operation with studies by the International Telecommunication Union (ITU) regarding a global system known as the International Mobile Telecommunications 2000 System (IMT2000). UMTS Terrestrial Radio Access (UTRA) is the ETSI candidate for IMT-2000 Radio Transmission Technology (RTT). SMG maintains close-working relations with the UMTS FORUM based on the co-operation agreement between ETSI and the FORUM. The scope of the work is focused to the GSM family. It includes the definition of the GSM services offered and the selection and specification of the most efficient radio techniques and speech coding algorithms. SMG is also responsible for the elaboration of the GSM network architecture, signallingprotocols and conditions of interworking with other networks. In addition SMG is charged with the application of the Telecommunications Management Network (TMN) concept to the GSM network entities regarding operation and maintenance. The goal for the future work in SMG2 is to provide the standard for the radio access network part of UMTS. In addition, to this goal SMG2 is to provide UTRA as a candidate for IMT2000 to ITU. For the work towards the UMTS standard it proposed that this work should consist of the following, events and phases:
Finalise the SMG2 proposal of the radio access part of IMT-2000 and present this (submission from SMG to ITU June 30, 1998). A first phase is to elaborate technical descriptions and evaluate performance of the final solutions of UTRA. This phase is concluded with a detailed description of UTRA including the mobile station. This includes all radio protocols terminated in UTRA, the UTRA internal protocols and the Iu interface as well as descriptions of the functionality's required of the network nodes and in terminal. A second phase that could be initiated during phase 1 would be to write the actual specifications/standards based on the material elaborated in the first phase. It should he the goal to freeze the specifications/standard in December 1999. The third phase is the iterative correction phase, where the specification/standard is corrected based on the experience gained with the standard during development and implementation of UMTS. This phase in principle never ends, but should considered done in 2001. The fourth part would further development of UMTS towards the UMTS phase 2 to be introduced 2005.
Sat. IMT2000 Sat. IMT2000
ITU
PHS
IMT-2000
IMT-2000
Japan
DECT
IMT-2000
MSS S-PCN (UL)
T D D
IMT-2000
MSS S-PCN (UL) MSS S-PCN (UL)
Europe
GSM 1800 (DL)
T D D
UMTS FDD
MSS S-PCN (UL)
T D D
UMTS FDD
USA
PCS (UL)
PCS Un. Lic.
PCS (DL)
MSS S-PCN (DL)
MSS S-PCN (DL)
1800
1850
1900
1950
2000
2050
2100
2150
2200 MHz
Figure .1. Spectrum Allocation UMTS/IMT-2000. 1 Spectrum consists of one paired band (1920-1980 MHz + 2110-2170 MHz) and one unpaired band (1910-1920 MHz + 2010-2025 MHz). Same spectrum allocation in Europe and Japan. ETSI decision on UTRA in January 1998: -WCDMA to be used in the paired band -TD/CDMA to be used in the unpaired band
It is also stated that it should fit into 2*5 MHz spectrum allocations and that the two modes FDD/TDD should have harmonised parameters. UTRA FDD Multiple-Access scheme Duplex scheme Chip Rate Carrier spacing (3.84 Mcps) Frame length Inter-BS synchronisation Max. Spreading factor Not required 256 Table .1. UTRA Basic Parameters 1 1.3.2.2 UMTS Harmonisation Phase UMTS Phase 1 - GSM GPRS Release 99 with UMTS UMTS Phase 2 - Higher bitrates (2 Mbit/s) UMTS Phase 3 -? 1.3.2.3 UMTS Releases December 1999: Standardisation freezes. First operator licences for UMTS. Release 99 completed by 31 December. 2000 2001: Vendors development of network elements. Iterative experimental process that might effect the standards. First launch of UMTS in Japan 2001 based on Release 99. January 2002: UMTS in Europe. Release 2000 including Internet Protocol based networks. 2005:
UTRA TDD W-TDMA/CDMA TDD
W-CDMA FDD
3.84 Mcps (7.68 Mcps, 15.36 Mcps) 4.2-5 MHz (200 kHz carrier raster) 10 ms Required 16
Availability of all core bands for UMTS.
2008-2010:
Additional spectrum for terrestrial and satellite use.
To meet the need of higher bitrates and packet data for the user UMTS will include other enhancements in the network. In order to reach higher bitrates High Speed Circuit Switched Data, HSCSD will let the users use more than one timeslot in the TDMA air interface. GSM Packet Radio Switching will add the ability to send and receive packet data. It will also be the backbone in the UMTS/GSM network. EDGE will be a complement to UMTS that might give the operators without UMTS frequencies the possibility to present high bitrates for the customer.
User bit rate
2 Mbps
384 kbps
UMTS EDGE
144 kbps 10 kbps
HSCSD, GPRS GSM

Wide area/High mobility
Fixed/Low mobility
Figure .2. Bit Rate and Coverage 1
1.4 UMTS as the 3rd Generation System

1.4.1 Main Service Differences Between 2G and 3G
Three main criteria characterise the services in 2G systems : A variety standardised services are provided by 2G network operators. The system restricts Roaming where provided. Designed primarily for speech, 2G mobile networks are usually restricted to relatively low bit rate services.
In contrast, the following main features characterise 3G systems: Under the conditions of a still growing mass market, 3G system shall meet the individual communication requirements of a customer with his personalised service profile and user interface. Instead of individual services the tools for service creation will be standardised. Access to and invocation of the users' own personalised services should be possible regardless of the operating environment and access system, thus supporting intersystem roaming. 3G system can offer spectrum efficient access to multimedia services of higher, flexible bandwidth to mobile users, in addition to services already offered within 2G system. The user of today expects a variety of services to be offered by various providers and for these services to be flexible enough to meet his individual demands. In pre-3G mobile systems like GSM but also in ISDN, the user has already a broad choice of services, in particular supplementary services. This variety of services has led to complex instructions on how to use these services. Ordinary users will not accept an increase in complexity of service handling. Instead they will prefer a simpler 'personal assistant type' man-machine interface.
1.4.2 New Roles and Relationships for UMTS

Traditionally, in most models, the following actors play a role: Network Operator Service Provider Subscriber User.
However, a new business environment such as Value Added Service Provider, Content Providers, Service Brokers and others, may create new categories. Between the roles various relationships can appear. These will be used to identify interfaces that may require standardisation and make relations more clear.
While maintaining a single identity, a user may subscribe to services at different service providers. In addition, services offered by a provider may be offered to more than one network. In consequence, definitions of the home "network" or visited "network" used by second generations system are no longer valid. The term "home environment", is proposed as a replacement.
1.4.3 Work Regulations

In recent years, we have been seeing the telecommunication services deregulation. Today service definition is not a matter for regulators, except for emergency services. Commercial network operators/service providers may agree on some items such as a minimum set of services and the respective specifications, but the decision is left to the market demand. As a consequence, IMT-2000 is expected to exist in various forms and aspects. In the area of licensing, the position of regulators is also changing, with a tendency to giving licenses for frequency use rather than to complete systems. As a result it increases the complexity of interworking or interoperation of networks for global roaming.
1.4.4 UMTS Services and Applications

3G service capabilities for these services should take account of their discontinuous and asymmetric nature in order to make efficient use of network resources. Basic services provided in 3G networks are audio, video, facsimile transfer, data communication, Internet services, e-mail/voice mail, paging, messaging, and combinations of these i.e. multimedia. They can be divided in several classes. 1.4.4.1 UMTS Service Classes 1.4.4.1.1 Conversational Class 3G must provide the capabilities for high quality speech conversation.
1.4.4.1.2 Streaming Class It is assumed that video communications will become a mass service after ordinary telephony. 1.4.4.1.3 Multimedia Class 3G systems will support multimedia services and provide the necessary service capabilities.
1.4.5 UMTS Advanced Concepts

1.4.5.1 Service Portability Roaming between different 3G environments shall he possible without limiting the user in his personal service set and accustomed user-interface. 1.4.5.2 VHE Concept Virtual home environment (VHE) is a system concept for service portability in the Third Generation across network borders. In this concept, the serving network emulates for a particular user the behaviour of his home environment. 1.4.5.3 Relationship Between Mobile and Fixed Networks Any future system should be designed with the concept of a new type of network. Future network operators and service providers will have to offer both wired and wireless access for terminals. Mobile Fixed Convergence, MFC, is a technological trend in telecommunications. in it distinction between fixed and mobile networks is continuously blurring through increased singularities of network functions in both network types.
1.4.6 Network Operators Functions

In GSM networks, operators agreed on a set of services to be provided by each operator. This simplifies the service management considerably but should no longer be sufficient to satisfy user demand.
Service providers may request from the network operator that it enable roaming in other environments for all or some of his customers. Third generation systems must provide the necessary tools. It is proposed that in future the networks should only provide service capabilities, which may differ slightly or fundamentally between different networks (e.g. cordless, cellular, satellite networks). These service capabilities are used by other parties to compose services for the market.
1.4.7 Technological Progress Impact

Latest achievements in modern technologies as information and entertainment technologies, transparency between fixed and mobile network concepts, multimedia presentation, transfer of application support software packages (e.g. Java applets), high-capacity chips and memories, has to be taken into account in the design of any third generation mobile system. The use of Internet service is already today very common and well accepted by the user. The 3G system should cope with Internet and Intranet services, putting high demands on bandwidth requirements. 3G systems capabilities need to be built upon standardisation of the following services: Definition for flexible service. Personal mobility in mobile and fixed networks. Support for multi-system terminals. Support of multi-mode operation Capability for international roaming and inter network roaming Flexible charging, including pre-payment and electronic purse systems Comprehensive real time charging information to the user. Integrated mailbox-service for voice, fax, text and other formats (in mobile and fixed networks, accessible via both networks). Personal Assistant and intelligent agent suppor.
C hapter 2: Architecture Overview
Chapter 2: Architecture Overview

2.1 General Overview of the System
UMTS GSM GSM CN HLR
Core Network, CN
IWN Inter Working Unit
IWN Inter Working Unit
MSC
GMSC
MSC
A Iu
RNS 2 Radio Network Subsystem
Iu Iur
RNS 2
BSS Base Station Subsystem
BSS 2
Uu
Terminal Terminal MS
Um
MS
Figure .1. UMTS Architecture 2
2.2 User Equipment (UE)

The UMTS behaviour will be much faster than the GSM one. The progressive change from one system to the other will give us a whole new world of possibilities in terminals for the user, with all the new technology that it involves. We have different kinds of equipment, with different technologies as well. We will speak about the terminal as the UE (user equipment). The idea is that this terminal will be compatible with the old system, such GSM, and will be able to connect to both networks, UMTS-GSM. In addition, the user equipment may include a removable smart card that may be used in every UE. In this card we the user will have all the data and the private passwords. The terminal is sub-divided into the Mobile Equipment (ME) and the UMTS Subscriber Identity Module (USIM).
The terminal of the user develops the radio connection with different software capabilities. Furthermore, the ME can be divided into several parts. We have the MT (Mobile Termination), that performs the transmission and some related capabilities, and we also have the TE (Terminal Equipment), the part that contains the end-to-end applications. The references that can be found in the specifications are not clear in this point, leaving the design to the several providers. We have the identification properties inside of the USIM, based on several kinds of data and procedures that will identify the user with no error. The electronic technology of the VLSI gives us a very high power of integration so that the smart cards can have a lot of capabilities of identification. The smart card will identify a user in such a way that it does not matter which kind of ME he is using. Inside the UMTS terminals Rake reception in used to generate soft decisions that are fed into the channel decoder. The channel decoding also develops jobs of setting the target for the power control, as well as the obvious functions of decoding the channels. If the power control is bad implemented, the capacity of the network will decrease, as it will be seen in some following chapters.
2.2.1 Schematic of the Receiver for UTRAN - Outdoor

Input samples Decoded bits
Rake
Channel decoding
Searcher
Power control Power Control request
Figure .2. Receiver Method 2
2.2.1.1 Rake Receiver: When the data acquisition has been already made, the RAKE receiver will use the several reechoed signals that arrive to the antenna of the UE to improve the final signal quality. This can be made because of the properties of the codes used in the system, because they are orthogonal. We can de-spread the signal whether it is received delayed from a initial one or not. Once we have the several echoes de-spread, we can combine the signals obtained through different ways to increase the final SNR, the final quality at the end. We will add the signals coherently. We can find fast fading in some signals, but this fading is independent from one signal to the other, so combining correctly the signals, the final SNR will be increased. This process is known as micro-diversity. We can also find macro-diversity in the SOHO (soft handover), and the rake way to avoid the problems in this case is basically the same. Now we have just to consider that the signals come from different Node B, not from several reflections of the same antenna. 2.2.1.2 Searcher: Sometimes we want to know the offset and the magnitude of the echoes and the power of the signals coming from different base stations. This can be made with the scrambling codes and the primary and secondary synchronisation channels. Although this will be seen much deeper in following chapters, we can say the PSCH (Primary Synchronisation Channels) are used to identify the power of the signals coming from different near base stations, in the cell search process. We can identify the one that will be the server Node B with this channel. The SSCH (Secondary Synchronisation Channel) allows us to know the specific Node B and the downlink scrambling code group used by this station. Once we know the scrambling code, the UE, through the searcher, can identify different echoes from the scrambled pilot symbol. The echo profile is highly correlated from one power control period to the next. We can use this characteristic to decrease the complexity of the design of the UE. 2.2.1.3 Power Control: The interface in the downlink is reduced minimising the transmission power at the base station for a particular user, in such a way that the characteristics of the link performance
(throughput and error rate) are fulfilled. The UE will ask the base station to increase or to decrease the transmission power every power control period (0.625 ms), trying in every moment to keep the SIR as close as possible to a reference value. This SIR target is reevaluated every 10 ms depending on the status of the channel that is being decoded. 2.2.1.4 Channel Decoding: As well as supporting a more powerful version of the convolutional channel decoding used in GSM, UMTS terminals are likely to employ high performance turbo decoders.
2.3 The Access Network: UTRAN

By Access Network it is known the several physical entities that control the resources of the access network, and gives the user the chance to access to the Core Network.
2.3.1 RNS Architecture

The Radio Network Subsystem basically is made of the RNC and other objects that at the moment are called Node B. This Node B has the same function as the Base Station in GSM systems. We have several interfaces, but here we can introduce the Iub, between the RNC and the Node B.
Figure .3. RNS Architecture 2
2.3.1.1 Radio Network Controller, RNC This part is the responsible of the handover decisions that need signalling to the UE. The RNC comprises a combining/splitting function to support macro diversity between different Node B. This part of the UMTS system will need much more intelligence than its partner in the GSM system. These extra capabilities will increase the speed of the system, and therefore, the yield. 2.3.1.2 Node B The Node B will also be more intelligent than the Base Station in GSM. It will develop functions of combining/splitting to allow macro diversity. The communication among several Node B will allow the terminal to change from one cell to an adjacent one without losing connection in the process.
2.3.2 UTRAN Architecture

At the end, the UTRAN is made of an amount of several Radio Network Subsystems that represent an interface between the UE and the Core Network. For these functions, we have several interfaces among the different parts that compose the Access Network that allows the system to work properly.
Figure .4. UTRAN Architecture 2 It is a hierarchical structure, so every RNS will have a certain group of cells to serve, as it can be seen in the picture. We can see two different RNS very easily. First, we have the Serving RNS, which is the one that gives the service at a certain moment. If it is needed, the Drift RNSs can help the Serving
RNS to give radio resources. The role of an RNS (Serving or Drift) is on a per connection basis between a UE and the UTRAN.
Figure .5. Serving and Drift RNS 2
2.4 Core Network

We must have a fixed network in this system to provide support for the different capabilities and features that we will find. The system cannot be all-wireless. With the Core Network (CN), we will support the several functionality of the system, as for example the management of the location of the user, or to provide a mechanism for transferring the signal (switching and transmission). The characteristics of the CN should allow it to handle circuit switched data 64 kbits/s, packet data Mbits/s. To have the strictest control of several service parameters (maximum delay or bandwidth). To support the Virtual Home Environment VHE, that makes the user think that he is always using the same interface, always "at home". We can see different parts in the Core. We can find the Serving Network, The Home Network and the Transit Network. Probably, in later versions of the specification than the release '99 it will be possible to find different versions and characteristics of the division.
2.4.1 Serving Network

This part of the core is the responsible of giving connection between the access network (to which the user is connected) and the core itself. The local functions of the CN are represented
by this section. It is also responsible for the routing calls and transport user data/information from source to destination.
2.4.2 Home Network

This part of the network represents all the functions that are related to a fixed location, regardless of the place that the user made the connection to the network. The USIM is related by subscription to the home network. The home network therefore contains at least permanently user specific data and is responsible for management of subscription information.
2.4.3 Transit Network

This part of the CN is located between the serving network (home network), and the remote party.
2.4.4 Interfaces and Their Function

The Inter Working Function (IWF) has the role of interconnecting the Access Network to the Core Networks, mainly through the Iu interface. This IWF is a logical unit (and a virtual one) that will allow the CN to work with different protocols, due to the number of vendors that will work on this technology.
2.5 Mobility
Logically, we can see two domains in the Core. We can find a IP domain and a PSTN/ISDN domain. It shall be possible to connect the UTRAN either to both these CN or to one of the CN domains. It shall be possible to interconnect the GSM network and the UMTS one, from the point of view of roaming and handover. At the beginning of the deployment, the coverage of the UMTS network won't be absolute at all, and it will be necessary the compatibility between the two networks. This implies that International Mobile Subscriber Identity, IMSI, shall be used as the common user identity in the two CN. Common MAP signalling will be applied to both
GSM and UMTS. The GSM MAP mobile service operations shall be evolved and re-used as fast as possible. The UTRAN will store all the capabilities of the radio connection and all the radio network parameters. We have two service domains the Circuit Switched service domain (PSTN/ISDN) and the Packet Switched service domain (IP). We have one service state machine for each service domain. A terminal that is supporting both CS and PS services, has a CS service state machine and a PS service state machine. They work independently to each other, although associated to the same terminal (or UE). The UE-CN signalling aims to keep the peer entities synchronised. The UTRAN will try to offer a unified set of radio bearers, in such a way that they will bi able to be used for bursty packet traffic and for traditional telephony traffic. The radio resource handling is UTRAN internal functionality and the CN does not define the type of radio resource allocated. Once we decide to connect the UE, an initial connection is already set up, in such a way that the radio resource has two modes, Connected and Idle mode. The UE will be identified by the different modes. In Idle mode the UE is identified by a CN associated identity. In Connected mode the UE is assigned a Radio Network Temporary Identity to be used as UE identity on common transport channels. When we are transmitting via a dedicated channel, the UE uses an inherent addressing (code a frequency), provided by these transport channels. We can see four areas for different concepts, about the mobility functionality. Location Areas (related to CS services) and Routing Areas (related to PS services) are used in the Core Network. In the UTRAN the UTRAN Registration Areas and Cell Areas will be used. Location Area for CS services: The CN manages one Location Area. This means that the terminal (UE) is registered in the CN node responsible for handling this specific location area. The 3G_MSC/VLR for paging the terminal use LA. Routing Area for PS services: They are managed by the CN. In parallel, this means that the UE is registered in the CN node responsible for handling this specific routing area. The 3G_SGSN for paging the terminal use RA.
Registration Areas and Cell Areas in URAN are only visible in the Access Network and used when the UE is in connected mode. UTRAN internal areas are used when the terminal is in connected mode. These areas are used at e.g. UTRAN initiated paging. The UTRAN internal area structure should not be visible from outside the UTRAN, because the internal area updating is a radio network procedure. In connected mode, the UE position is known on cell level or on UTRAN Registration Area (URA) level. For the relation between LA and RA it shall be possible for the operator to have a LA and a RA equal (same cell) or a RA as part of a LA, or a LA as a part of RA, and LA and RA independently. A more clear specification shall be defined in this point if an area consists of both UMTS cells and GSM cells. An CS-IDLE terminal will initiate Location Update towards the CN when crossing LA border. In Idle mode it is the broadcasted system information, e. g. information about the present LA and RA, that determines when the UE initiates a location registration procedure towards the CN. A PS-IDLE terminal will initiate Routing Area update towards the CN when crossing RA border. When the UE is connected, the terminal receives the system information on the established connection. A UE in CS-IDLE will initiate Location Area update towards the CN when receiving information about a new LA, in connected mode. A UE in PS-IDLE will initiate Routing Area update towards the CN when receiving information about new RA in connected mode. The UE in CS-CONNECTED mode will not initiate Location Area update and a UE in PS-CONNECTED mode will not initiate Routing Area update towards CN. If we use separately PS and CS mobility mechanisms within the UE and within the CN we may not obtain non-optimal usage of the radio resource. The use of combined updated may be used to avoid this. It should be possible to use combined mechanisms for location management purposes as well as for attach/detach status purposes. UMTS Phase 1 R99 terminals should support the use of both combined and separate mechanisms. The radio access network will not co-ordinate mobility management procedures that are logically between the CN and the UE, as it is seen in the UMTS specifications R99. This includes several capabilities, as location management, authentication, temporary identity management and equipment identity check.
C hapter 3: CDMA Technique
Chapter 3: CDMA Technique

3.1 Introduction
CDMA (Code Division Multiple Access), is an access system based on spread spectrum communication in which multiple users share the same frequency band. This part contains the CDMA concepts.
3.2 Access Methods FDMA, TDMA, CDMA, FDD vs. TDD

3.2.1 Frequency Division Multiple Access (FDMA)
In FDMA system, all the stations use a diffent band, within the available range of frequency, so in this access technique each user has a continuous access in a given frequency band. Its no necesary a co-ordination or synchronisation among stations and each station doesnt interfere in the other bands. Its not possible a station transmits in a bandwidth used by stations are idle, this can be a problem when the load is high and more resources are needed. Also, FDMA is not a flexible system because of adding a new user requires some modifications in the equipment.
Code
Time
Frequency
Figure .1. FDMA 3 Advantages: FDMA uses a symple technique that has been proved.
Disadvantages: Reconfiguration of the system in case of capacity variation is difficult, due to flexibility.
3.2.2 Time Division Multiple Access (TDMA)

In TDMA the resource is the time which is divided into slots. Each station uses a pre-assigned slot. The station is allowed to transmit freely into its assigned slot, and the entire system resources are devoted to the station. Slots are repeated periodically in a cycle called frame. A station could be assigned to one or more time slots during a cycle. Each station knows when trasmit because all are synchronised.
Code
Frequency
Time
Figure .2.. TDMA 3 The most important disvantage of TDMA is the fixed time slot allocation, whether or not it has data to transmit. For applications with bursty transmission requirements a fixed time allocation could be a bad use of the resources. Advantages: High transmission throughput for a large number of stations. A single station occupies all of channel bandwidth at each instant. Digital processing leads to operational simplicity. Its no necessary to control the transmitting power of the users. The tuning is easier because all stations transmit and receive on the same frequency. Disadvantages: TDMA need synchronisation. A high throughput is needed to dimension the station transmits. A better channel and hence better throughput can compensate a big cost of the equipments.
3.2.3 Code Division Multiple Access (CDMA)

As we have show neither FDMA nor TDMA allow any time overlap of the stations transmissions. Code Division Multiple Access (CDMA) is a conflict-free protocol that allows overlap transmission, both in frequency and time. Using quasi-orthogonal signals in conjunction with matching filters at the receiving stations CDMA achieves the conflict-free property. The multiple orthogonal signals (information that does not interfere with each other) increases the bandwidth required for transmission. Several systems can coexist in the same frequency bands using different signals, but the transmission of the code requires a much greater radio-frequency bandwidth. This is the reason for calling it Spread Spectrum transmission. The code, in CDMA, is modulated on the carrier with the digital data on the top of it and each station is assigned a particular code sequence. There are different ways: 1) phase-coded in which the carrier is phased-modulated by the digital data sequence and the code sequence and, 2) frequency-hopped in which according to some known pattern the frequency is periodically changing. The ability of the receiver to lock onto packet while all other overlapping packets appear as noise (capture effect), minimizes the effect of interference when several stations employ the same code.
Code
Time
Frequency
Figure .3. CDMA 3 Advantages: Since it does not require any transmission synchronisation between the mobile stations, it is simple to operate. Against other interference systems it offers protection. Disadvantages: The low throughput is the main disadvantage.
3.2.4 FDD vs. TDD

In FDD (Frequency Division Duplex) mode, separate frequencies are used in the uplink and downlink for the connection between a mobile and a base station. This means that the mobile will receive on one frequency and then transmit on another frequency. The FDD mode doesnt imply any specific accesses method. In TDD (Time Division Duplex) the uplink and downlink will be on the same frequency. The TDD mode doesnt imply any specific accesses method.
Time Frequency
FDD
Frequency
TDD
Time
Time
Figure .4. FDD vs. TDD 3
3.3 Introduction to Spreading and Modulation

There are two categories in which spread spectrum, generally, falls into: Frequency Hopping (FH) or Direct Sequence (DS). It is required, in both cases, synchronisation of transmitter and receiver. It can be considered the use of a pseudo-random carrier in the two forms, but they generate the carrier in different ways. Is typically implement a frequency hopping system by rapid switching frequency in a pseudorandom pattern. In the technique for spread spectrum DS-CDMA, the total power is spreaded over the entire transmission bandwidth. Before the modulation and transmission over the air, the base-band binary data is spread by means of a high speed pseudo-noise (PN) code called chip rate, creating a composite data. By means of increasing the frequency of the time signal spectrum spreading can be accomplished. Consider a waveform with an amplitude of V and frequency f (where f = 1/T and T is the bit duration), if we increase the frequency by a factor n, T is now reduced by n.
Amplitude
n=1
n=2
Baseband
Figure .5. Power Spectrum for n = 1 and n =2 3 The total energy remains the same after spreading. The total area under the curve gives the total energy delivered and if the spreading bandwidth is high the amplitude of the signal will be reduced. This is called process gain, Gp. The definition of process gain is Gp = 10 log (transmission bandwidth/bit rate). For example if the transmission bandwidth is 2,5 MHz and the bit rate is 1 MHz the processing gain would be 3,98 dB. If we increase the bandwidth to 5 MHz the process gain would be 6,99 dB. This would provide as with an additional margin of 3 dB to help as suppress interference. When more and more users enter the system, the margin described above is reduced since there will be a processing loss for every new user (interferer) that enters the system. For k users this loss can be described as Process loss = 10 log (k). The overall system gain is described by CDMA gain = Process gain - Process loss due to k users. The formula would become: CDMA gain = 10 log (bandwidth/k * bit rate) where the bandwidth is as described a function of the chip rate. After spreading the amplitude of the signal will be reduced, so energy are independent of the frequency and that the amplitude of the signal will be reduced. If we consider the Gaussian "white noise" that we always have around us, the bandwidth is enough the amplitude will be close to the noise level. In CDMA each user will have its own code, therefore multiple users use the same frequency. The code is made by means of an m-bit pseudo random, PR, generator that provides 2^(m-1) different codes.
M1 M2 M3
PN1 PN2 PN3
PN3
M3
PN2
PN1 Spreading
M2
M1
Figure .6. Uplink DS-CDMA 3
3.3.1 Orthogonal Codes

A pair of codes is said to be orthogonal if the cross-correlation is zero. This means that for two m-bit codes: x1, x2, ..., xm and y1, y2, ..., ym the sum of all m from 1 to m shall be 0. For example, the cross-correlation between two 4-bits codes:
X=0011
Y=0110 _________
will be
1-1+1-1=0 (assigning +1 for xm = ym and -1 xm ym). In the transmitter, Direct Sequence is multiplication of more conventional communication waveform by a pseudo noise (PN) 1 binary sequence. Spreading is entirely done in the binary domain and the transmitted signals are carefully band limited. It takes prior to any modulation, In the receiver a second multiplication by a replica of the same 1 sequence recovers the original signal. When the signals reach the detector, the noise and interference, being uncorrelated with the PN sequence, become noise-like and increase in bandwidth. The most of the interference
power can be rejected with a narrow band filtering that can enhance the signal-to-noise ratio, SNR. The data signal (user information) is multiplied by a PN-code in DS-CDMA. The period of a PN-code is called the period, so the code is a sequence of chips. PN-codes, M-sequences, Gold-codes and Kasami-codes are different classes of PN-code. In the simplest case a complete PN-code is multiplied with a single data bit and the signal is now multiplied by a factor N, the processing gain.
1 bit period 1 chip period
Data signal
PN-code
Coded signal
Figure .7.. Chips and bits 3 In the receiver squeme, the signal is multiplied by the same PN-Code which removes the PNcode and recovers the desired data signal. At the modulator/demodulator the transmitted signal (data information) is spreaded and despreaded with a binary value sequence seudo random (PR) that a sequence generator produces. The basic system design parameters are transmitted power and channel bandwidth. We increase (spread) the bandwidth of the data signal to overcome the problem of interference, that will lead to a bandwidth expansion factor, process gain, g = W/R where W is the spread code bandwidth (chip-rate) and R is the data bandwidth (bit-rate).
User 1 Spread code 1 User 2 . . . User N Spread code N Spread code 2 Output 1
Output 2 channel receiver . . . Output N
Figure .8. Different PN-Sequences 3

It is possible to use the same transmission bandwidth for more than one user by means of using different PR-sequences for each user.
PN1 PN2 PN3
M1
PN1
M2
PN2
M3
PN3
Figure .9. Different PN-Sequences for Each User 3 If the spreading is done by a different PN-sequence for many users then it is called direct sequence code division multiple access, DS-CDMA.
Data signal
PN-code
Spread data sequence

t
Figure .10. DS-CDMA Principle 3 DS-CDMA uses PN codes to detect each multipath signal and to pick up the signals from the desired base station. Orthogonal code is used for spreading and channelisation. We get a similar signal as thermal noise (white noise) if the random code pattern is nearly Gaussian distributed. Thus the interference of the other users is noise, and the problem can be simplified.
DS-CDMA spreads the original information over wide bandwidth by using much higher rate spreading codes, and makes use of frequency diversity to combat frequency selective deep fading. The filtering is essential in DS-CDMA to reduce the required bandwidth and FIR digital filters are usually used for sharp response.
3.3.2 RAKE Receiver

Transmissions arriving causes deep multipath fading at the receiver that have followed different propagation paths. CDMA is less prone to this effect. In fact, one approach in common use with CDMA system, the Rake receiver, takes advantages of multipath, normally a major source of interference and signal degradation in other systems. In a Rake receiver, the signals of several correlation receivers belonging to the strongest multipath components are combined to provide an enhanced signal with better quality. The users in a CDMA cellular environment simultaneously share the same radio frequency band and can be separated at the receiver end with the knowledge of their unique code using a Rake receiver.
Figure .11. RAKE Receiver 3 An optimum receiver contains several detection channels with different code delays, which are adjusted to match the major components of the impulse response. The timing accuracy to obtain full processing gain is approximately one chip time, i. e. the inverse of the channel bandwidth. The fingers in the rake collect together the contributions of the total signal energy from several multipath components. The impulse response is measured continuously in order
to set the delay and phase of the different rake fingers. Thus the output from the channels can be added coherently giving diversity combining. Both the right coding and the right timing must be done to be able to despread the wanted signal in the receiver. An optimum receiver contains several detection channels with different code delays, which are adjusted to match the major components of the impulse response. In the Rake receiver the contribution from several multipath components are combined. It is necessary to measure continuously the impulse response of the propagation channel in order to set the delay and phase on the different rake branches. The output from the channels can then be added giving diversity combining.
3.3.3 Spread Spectrum Goals

"Spread" the radio signal over a wide frequency range by modulating it with a code word unique to the radio. Techniques known since 1940s and used in military communications system since 1950s. Receiver's correlator distinguishes sender's signal from other signals by examining the wide spectrum band with a time-synchronised duplicate of the spreading code word. A spreading process at the Receiver recovers the sent signal. Spread spectrum waveform is more resistant to multipath effects and more tolerant of interference.
Channel Quality Channel Quality
Figure .12. Interference Averaging 3 Spread spectrum systems are power rather than bandwidth limited.
With a wider band the interference will have an averaging effect in such a way that all user will share the problem.With a narrow bandwidth a user channel might receive severe fading dips.
3.3.4 Code Properties

The code should have good Auto Correlation (Time Relation) and Cross Correlation (suppress other users) properties. 3.3.4.1 Short Codes: Code sequence length = bit (bit = 1 bit user data). Code sequence repeated for each new data bit. + Orthogonal codes if perfect synchronisation. + Good synchronisation properties. - Code planning needed since limited number of good short codes. 3.3.4.2 Long Codes: Code sequence length >> bit + No code planning needed since low probability that users might have same code. - Non orthogonal codes. - Bad synchronisation properties since long repetition cycle.
3.4 Soft and Hard Handover

3.4.1 Handover
In general the change of physical channels allocated to a call while maintaining this call is considered as handover. In a hard handover the mobile station will instructed to move from one channel to another and only be receiving from one base station at a time (break before make). In a soft handover the mobile belongs to two base stations during the time it moves between the cells (make before brake).
3.4.2 Soft Handover

The mobile station continuously searches for new base stations on the current carrier frequency when is in active mode. During the search, the mobile station monitors the received signal level from neighbouring base stations, compares them to a set of thresholds, and reports them accordingly back to the base station. The active set is defined as the set of base stations from which the same user information is sent simultaneously. Based on this information the network orders the mobile station to add or remove base stations links from its active set.
3.4.3 Softer Handover

Conceptually, a softer handover is initiated and executed in the same way as an ordinary soft handover. Softer handover is the special case of a soft handover between sectors/cells belonging to the same base station site. The main differences are on the implementation level within the network. The inter-frequency handover is always performed as a hard handover. Intra-frequency handover is an handover between cells using the same (single) radio frequency whereas inter-frequency handover is a handover between cells using different radio frequencies.
3.5 Power Control

Since there are several users in the same frequency band the received signal strength will be different for different mobiles, resulting in a near-far interference problem. Near-far refers to the ratio of the signal strength from a near mobile to a mobile far away. This problem will give lower performance and reduce capacity in the system. Many simultaneous connections share a common transmission channel in an interferencelimited system, like CDMA. While in FDMA each connection has its one frequency and in TDMA each connection has one time slot, this will permit high isolation between the connections (orthogonality).
SS1= SS2=
SS2
SS1
M2
M1 d2
Figure .13. Near-far Problem 3
d1
If the mobiles would transmit the same power the ratio of the received signal would be: RS1/RS2 = (d2/d1)^ where lambda is the path loss or propagation environment. If d1 is not equal to d2 then the received signal strength from mobile 1 might be much stronger than the mobile 2 and the receiver would not be able to detect and recover mobile 2. This means that the transmitting power of each mobile has to be controlled so that the received power is constant irrespective of the distance.
SS1=SS2=
SS2
SS1
M2
M1 d2 d1
Figure .14. Controlled Transmitting Power 3
A specific code is assigned to each connection in interference limited system. This will help us to discriminate between the wanted signal C and interference I from all other users. There will be a point when the C/I becomes to low when the total interference level is increased (more users). This is called anti-jamming margin, AJ, which is the maximum value for I/C. This gives us an interference limited system for CDMA compared to FDMA and TDMA who are channel limited system. The Gp determines how much the receiver can suppress the interference. To get an acceptable isolation between the connections a large bandwidth is needed to increase the AJ. The processing gain, G p, is a related parameter, also related to the bandwidth. It is then very important with power regulation so that all signals have the same level at the receiver input. Commercially available SS systems typically implement processing gains in the 10-100 range. Information can be transmitted at power levels below ambient noise for high values of G p (>1000),. This means low probability of "intercept/detect" and narrowband jamming or interference. To illustrate the problem and advantages with an interference limited system, the "International Cocktail Party" analogy can be used. Picture a large room with a number of people, in pairs, who would like to hold conversations. The people in each pair only want to talk and listen to each other, and have no interest in what is being said in other pairs. In order for these conversations to keep place, however, it is necessary to define the environment for each conversation. Gp is high and it is easier to distinguish individual speakers, if people speak in different languages. Now if a Band is playing a "random noise" is got and the G p will be lower, I/C increases, and it will be more difficult to extract the conversation from the background. Now imagine that the Band starts playing even louder! Speakers try to talk more loudly, increasing the noise and if more and more people enter the room each conversation will be louder and louder to cope with the interferers.
The solution is to minimise the interference level at the base station receiver is only effective for terminals assigned to this base station. Interference from terminals in other cells is still a problem. To minimise this interference the use of soft handover and careful selection of which base station shall be involved in macro diversity are needed.
3.5.1 Inner Loop Power Control - Uplink

The uplink inner loop power control adjusts the mobile station transmit power in order to keep the received uplink Signal-to-Interference Ratio (SIR) at a given SIR target. The base station should estimate the received uplink power after RAKE combining of the connection to be power controlled. Simultaneously, the base station should estimate the total uplink received interference in the current frequency band and generates a SIR estimate. The base station then generates TPC (Transmit Power Control) commands.
Forward Link
Reverse Link
Figure .15. Forward and ReverseLink 3 Upon the reception of TPC command, the mobile station should adjust the transmit power of the uplink in the given direction with a step of TPC dB. The step size TPC is a parameter that may differ between different cells, in the region [0.25-1.5] dB. In case of receiver diversity (e.g., space diversity) or softer handover at the base station, the TPC command should be generated after diversity combining. In case of soft handover, the following procedure is considered: In the base station a quality measurement is performed on the received signals; in case the quality measurement indicated a value below a given threshold, an increase command is
sent to the mobile, otherwise a decrease command is transmitted; all the base stations in the active set send power commands to the mobile; The mobile compares the commands received from different base stations and increases its power only if all the commands indicate an increase value (this means that all the receivers are below the threshold); In case one command indicates a decrease step (that is, at least one receiver is operating in good conditions), the mobile reduces its power; in case more than one decrease commands are received by the mobile, the mobile station should adjust the power with the largest step in the "down" direction ordered by the TPC commands received from each base station in the active set; The quality threshold for the base stations in the active set should be adjusted by the outer loop power control (to be implemented in the network node were soft handover combining is performed).
3.5.2 Outer Loop Power Control (SIR target adjustment) -Uplink

The outer loop adjusts the SIR target used by the inner-loop power control. The SIR target is independently adjusted for each connection based on the estimated quality of the connection. In addition, the power offset between the uplink may be adjusted.
3.5.3 Open Loop Power Control - Uplink

Open-loop power control is used to adjust the transmit power of the physical access channel. Before the transmission of the access burst, the mobile station should measure the received power of the downlink. From the power estimate and knowledge of the transmitted power from the base station (broadcast from the base station) the downlink path-loss including shadow fading can be found. From this path loss estimate and knowledge of the uplink interference level and the required received SIR, the transmit power of the physical access channel can be determined. The uplink interference level as well as the required received SIR are broadcast from the base station.
3.5.4 Inner Loop Power Control - Downlink

The downlink inner loop power control adjusts the base station transmit power in order to keep the received downlink SIR at a given SIR target. The mobile station should estimate the received downlink power after RAKE combining of the connection of the connection to be power controlled. Simultaneously, the mobile station should estimate the total downlink received interference in the current frequency band. The mobile station then generates TPC commands. Upon the reception of a TPC command, the base station should adjust the transmit power in the given direction with a step of TPC dB. The step size TPC is a parameter that may differ between different cells, in the region [0.25-1.5] dB. In case of receiver diversity (e.g., space diversity) at the mobile station, the TPC command should be generated after diversity combining.
3.5.5 Outer Loop Power Control - Downlink

The downlink outer loop power control sets the target quality value for the downlink inner loop power control. It receives input from quality estimates of the transport channel, measured in the UE. The downlink outer loop power control is mainly used for a long-term quality control of the radio channel. This function is located mainly in the UE, but some control parameters are set by the UTRAN. The SRNC, regularly (or under some algorithms), sends the target down link power range based on the measurement report from UE.
3.5.6 Open Loop Power Control - Downlink

The downlink open loop power control sets the initial power of downlink channels. It receives downlink measurement reports from the UE. This function is located in both the UTRAN and the UE.
C hapter 4: Air Interface
Chapter 4: Air Interface

4.1 Radio Transmission and Reception
4.1.1 Frequency Band
UTRA is designed to operate in the following paired band: 1920-1980 MHz UP-LINK Mobile transmit; base receive 2110-2170 MHz DOWN-LINK Base transmit; mobile receive
Table .1. Proposed Frequency Band for UTRA 4
4.1.2 Channel Arrangement

The nominal channel spacing is 5 MHz, but this can be adjusted to optimise performance in a particular deployment scenario. The channel raster is 200 KHz, so the centre frequency must be a integer multiple of 200 KHz.
4.1.3 Tx-Rx Frequency Separation

The minimum transmit to receive frequency separation is 134.8 MHz and the maximum value is 245.2 MHz and all UE(s) shall support a Tx-Rx frequency separation of 190 MHz when operating in the paired band defined in 4.1.1. UTRA can support both fixed and variable transmit to receive frequency separation.
4.1.4 Terminal Service Classes

Different service classes will be used to define the data rate and code allocation for a UTRA/FDD terminal. Data rates of 144 kbps, 384 kbps and 2048 kbps are possible service profile types.
Output power dynamics: Both the uplink and the downlink use the following power control mechanism: Fast closed-loop Carrier/Interference based power control. Slow quality-based power control. Uplink (UL) Power control steps Minimum transmit power Power control cycles per second Power control dynamic Variable 0.25-1.5 dB -50 dBm 1.5 kHz 80 dB Downlink (DL) Variable 0.25-1.5 dB [ ] dBm 1.6 kHz 30 dB
Table .2. Output Power Dynamics for UL and DL 4
4.1.5 Receiver Requirements

A suitable receiver structure must use coherent reception in channel impulse response estimation and in code tracking mechanisms. A Rake receiver satisfies these reception characteristics.
4.1.6 Diversity Characteristics

The following diversity possibilities are considered to be available in UTRA: Time diversity Multi-path diversity Channel coding and interleaving in both uplink and downlink. Rake receiver or other suitable receiver structure with maximum combining. Additional processing elements can increase the delayspread performance due to increased capture of signal energy. Antenna diversity with maximum ratio combining in the base station and optionally in the mobile stations. Possibility for downlink transmit diversity in the base station. Table .3. Diversity Characteristics for UTRA 4
Antenna diversity
4.2 Logical, Physical and Transport Channels

Logical Channel: A logical channel is a radio bearer or part of it, dedicated for exclusive use of a specific communication process. Depending on the type of information transferred on the radio interface, different types of logical channel are defined.
Physical Channel: A physical channel is defined by code, frequency and, in the uplink, relative phase (I/Q). In TDD mode, code, frequency, and time-slot define a physical channel. Physical Channel Data Stream: In the uplink, a data stream that is transmitted on one physical channel. In the downlink, a data stream that is transmitted on one physical channel in each cell of the active set. Active Set: Set of radio links simultaneously involved in a specific communication service between an MS and a UTRAN. Transport Channel: Transport Channels are those that are offered by the physical layer for data transport between peer L1 entities. Different types of transport channels are defined by how and with which characteristics data is transferred on the physical layer, e.g. whether using dedicated or common physical channels are employed. Transport Format: The Transport Format is a combination of encoding, interleaving, bit rate and mapping onto physical channels. Transport Format Combination Indicator (TFCI): The TFCI is a label for a specific Transport Format within a Transport Format Set. Transport Format Set: A set of Transport Formats. For example, a variable rate DCH (Dedicated Channel) has a Transport Format Set (one Transport Format for each rate), whereas a fixed rate DCH (Dedicated Channel) has a single Transport Format.
4.2.1 Transport Channels:

4.2.1.1 Dedicated Transport Channel DCH - Dedicated Channel: Both user data and control information between the network and a mobile station is carried in the Dedicated Channel (DCH), which is a downlink or uplink transport channel transmitted over the entire cell or over only a part of the cell, using lobeforming antennas.
4.2.1.2 Common Transport Channels 4.2.1.2.1 BCH - Broadcast Channel A base station uses the Broadcast Channel (BCH) to broadcast system and cell-specific information. The BCH is a downlink transport channel that is always transmitted over the entire cell. 4.2.1.2.2 FACH - Forward Access Channel When the system knows the location cell of the mobile station, the Forward Access Channel (FACH) is used to carry control information to the mobile. The FACH is a downlink transport channel that is transmitted over the entire cell or over only a part of the cell using lobeforming antennas. The FACH may also carry short user packets. 4.2.1.2.3 PCH - Paging Channel When the system does not know the location cell of the mobile, the Paging Channel (PCH) is used to carry control information to a the mobile station. The PCH is a downlink transport channel that is always transmitted over the entire cell. 4.2.1.2.4 RACH - Random Access Channel Control information from a mobile station is transmitted into the Random Access Channel (RACH). The RACH is an uplink transport channel that is always received from the entire cell. It may also carry short user packets. 4.2.1.2.5 DSCH - Downlink Shared Channel The downlink shared channel (DSCH) is a downlink transport channel shared by several UEs carrying dedicated control or traffic data.
4.2.2 Physical Channels:

A physical channel is defined by a specific carrier frequency, code, and relative phase (on the uplink, 0 or /2).
4.2.2.1 Dedicated Uplink Physical Channels There are two types of uplink dedicated physical channels, the uplink Dedicated Physical Data Channel (uplink DPDCH) and the uplink Dedicated Physical Control Channel (DPCCH). Dedicated data generated for the dedicated transport channel are transmitted into the uplink DPDCH. Each connection may support zero, one, or several uplink DPDCHs. Control information is transmitted into the DPCCH. The control information consists of: Pilot bits to allow channel estimation for coherent detection. Transmit power control (TPC) commands. Optional transport-format indicator (TFI).
The transport-format indicator informs the receiver about the instantaneous parameters of the different transport channels multiplexed on the uplink DPDCH. There is only one uplink DPCCH on each connection. 4.2.2.1.1 Frame Structure Each frame of length 10 ms is divided into 15 slots, each of length T slot = 0,666 ms, corresponding to one power-control period (see Figure .1). A super frame corresponds to 72 4 consecutive frames, i.e. the super-frame length is 720 ms.
DPDCH DPCCH Pilot N pilot bits 0.666 ms, 10*2 k bits (k=0..6) Data N data bits TPC N TPC bits TFI N TFI bits
Slot #1
Slot #2
Slot # i T f = 10 ms
Slot #15
Frame #1
Frame #2
Frame # i T super = 720 ms
Frame #72
Figure .1. Frame Structure for Uplink DPDCH/DPCCH 4

The parameter k is related to SF, the spreading factor of the physical channel, as SF = 256/2 k. SF may thus range from 4 up to 256. The parameter k determines the number of bits per uplink DPDCH/DPCCH slot. But the same connection usually carry an uplink DPDCH and uplink DPCCH which have different rates, i.e. have different spreading factors and different values of k. The exact number of bits of the different uplink DPCCH is yet to be determined. 4.2.2.2 Common Uplink Physical Channel 4.2.2.2.1 Physical Random Access Channel The RACH is transmitted into the Physical Random Access Channel (PRACH). The access control is based on a Slotted Aloha approach, which means that a mobile station can start the transmission of the PRACH at a number of well-defined time offsets, relative to the frame boundary of the received BCCH of the current cell. The different time slots, the access slots, are spaced 1.5 ms (see Figure .2). The BCCH broadcasts information about available access 4 slots in the current cell.
1.5 ms
Access slot #1 Access slot #2 Access slot #i
Random-access burst Random-access burst Random-access burst Offset of access slot #i Random-access burst
Access slot #8 Frame boundary
Figure .2. Access Slot 4 The random access burst consists of two parts: A preamble part (length 1 ms) A message part (length 10 ms)
Between the preamble and the message part there is an idle time period of length 1.5 ms (preliminary value), which allows for detection of the preamble part and subsequent on-line processing of the message part. Preamble Part: The preamble part of the random-access burst consists of a signature. There are a total of 16 different signatures. Message Part: The structure of the message part of the random-access burst is the same as the uplink DPH. It has a data part, corresponding to the uplink DPDCH, and a control part, corresponding to the uplink DPCCH. The data and control parts are transmitted in parallel. The data part carries the random access request or small user packets, using a channel bit rate of 16, 32, 64 or 128 kbps, which corresponds to a spreading factor (SF) of 256, 128, 64 and 32, respectively. The control part uses a spreading factor of 256, and carries pilot bits and rate information. The rate information indicates which channelisation code (or rather the spreading factor of the channelisation code) is used on the data part. The random-access burst consists of the fields shown in Figure .3 and listed below (the 4 values in brackets are preliminary values): Mobile station identification. The MS ID is chosen at random by the mobile station at the time of each random-access attempt. Required Service. This field informs the base station what type of service is required (short packet transmission, dedicated-channel setup, etc.) An optional user packet A CRC to detect errors in the data part of the random-access burst
MS ID Re Req . Serv Optional user packet CRC
Figure .3. Structure of Random - Access Burst Data Part 4 4.2.2.3 Downlink Physical Channels 4.2.2.3.1 Dedicated Physical Channels The Downlink Dedicated Physical Channel (dowlink DPCH) is the only type of downlink dedicated physical channel. It carries dedicated data for the dedicated transport channel (DPH) and control information (known pilot bits, TPC commands, and an optional TFCI).
4.2.2.3.2 Frame Structure Figure .4 shows the frame structure of the downlink DPCH. Each frame of length 10 ms is 4 split into 15 slots, each of length Tslot = 0,666 ms, corresponding to one power-control period. A super frame corresponds to 72 consecutive frames, i.e. the super-frame length is 720 ms.
DPCCH DPDCH
Pilot
TPC
TFCI 0.666 ms, 20*2

k
Datos bits (k=0..6)
Slot #1
Slot #2
Slot #i T f = 10 ms
Slot #15
Frame #1
Frame #2
Frame #i T super = 720 ms
Frame #72
Figure .4. Frame Structure for Downlink DPCH 4 The parameter k is related to SF, the spreading factor of the physical channel, as SF = 256/2 k. SF may thus range from 4 up to 256. The parameter k determines the number of bits per downlink DPCH slot. But the same connection usually carry an uplink DPDCH and uplink DPCCH which have different rates, i.e. have different spreading factors and different values of k. The exact number of bits of the different downlink DPCH fields is yet to be determined. In order to support the use of downlink adaptive antennas, connection-dedicated pilot bits are transmitted also for the downlink. Multi-code transmission is employed when the total bit rate to be transmitted on one downlink connection exceeds the maximum bit rate for a downlink physical channel: several parallel downlink DPCHs are transmitted for one connection using the same spreading factor. In this case, the control information is put on only the first downlink DPCH, while the additional downlink DPCHs belonging to the connection do not transmit any data during the corresponding time period.
4.2.2.4 Common Physical Channels 4.2.2.4.1 Primary Common Control Physical Channel The Primary CCPCH is a fixed rate (32 kbps, SF=256) downlink physical channel used to carry the BCCH. The Figure .5 shows the frame structure of the Primary CCPCH. It differs from the downlink 4 DPCH in that no TPC commands or TFCI is transmitted. The only control information is the common pilot bits, needed for coherent detection.
Pilot 0.666 ms, 20 bits
Data
Slot #1
Slot #2
Slot #i T f = 10 ms
Slot #15
Frame #1
Frame #2 T
super
Frame #i = 720 ms
Frame #72
Figure .5. Frame Structure for Primary Common Control Physical Channel 4 4.2.2.4.2 Secondary Common Control Physical Channel The secondary CCPCH is used to carry the FACH and PCH. As the Primary CCPCH, it is of constant rate, but the difference between them is that in the Secondary CCPCH the rate may be different for different secondary CCPCHs within one cell and between cells. This is done in order to be able to allocate different amount of FACH and PCH capacity to a cell (see Figure .6). The BCCH broadcasts the rate and spreading factor of each secondary CCPCH. 4 The set of possible rates is the same as for the downlink DPCH. The FACH and PCH are mapped to separate Secondary CCPCHs. A CCPCH is not power controlled, and this is the main difference between a CCPCH and a downlink dedicated physical channel. The main difference between the Primary and Secondary CCPCH is that the Primary CCPCH has a fixed predefined rate while the Secondary CCPCH has a constant rate
that may be different for different cells, depending on the capacity needed for FACH and PCH.
Pilot 0.666 ms, 20*2 bits (k=0..6)

k
Data
Slot #1
Slot #2
Slot #i T f = 10 ms
Slot #15
Frame #1
Frame #2
Frame #i T super = 720 ms
Frame #72
Figure .6. Frame Structure for Secondary Common Control Physical Channel 4 Furthermore, a Primary CCPCH is continuously transmitted over the entire cell while a Secondary CCPCH is only transmitted when there is data available and may be transmitted in a narrow lobe in the same way as a DPH (only valid for a Secondary CCPCH carrying the FACH). 4.2.2.4.3 Synchronisation Channel The Synchronisation Channel (SCH) is a downlink signal used for cell search. It consists of two sub channels, the Primary and Secondary SCH, as shown in Figure .7. 4 The Primary SCH transmits the Primary Synchronisation Code, which is an unmodulated orthogonal code of length 256, the same for every base station in the system. The Secondary SCH repeatedly transmits the Secondary Synchronisation Codes, a sequence of 16 unmodulated orthogonal codes of length 256 chips. These are transmitted in parallel with the Primary Synchronisation channel. The sequence on the Secondary SCH identifies a group of scrambling codes among 32 possibilities. The base station downlink scrambling code belongs to the indicated group. 32 sequences are used to encode the 32 different code groups each containing 16 scrambling codes. It is used to uniquely determine both the long code group and the frame timing.
Tslot=2560 chips 256 chips Primary SCH Cp

i
Cp
Cp
Secondary SCH
Csi,1
Csi,2
Csi,15
Tframe=15*Tslot Cp: Primary Synchronisation Code Csi,k: One of 16 possible Secondary Synchronisation Codes (Csi,1, Csi,2,...,Csi,15) encode cell specific long scrambling code group i
Figure .7. Structure of Synchronisation Channel (SCH) 4
4.2.3 Mapping of Transport Channels to Physical Channels

The Figure .8 summarises the mapping of transport channels to physical channels. 4
Transport Channels
Physical Channels Primary Common Control Physical Channel (Primary CCPCH) Secondary Common Control Physical Channel (Secondary CCPCH)
BCCH FACH PCH RACH CPCH DCH
Physical Random Access Channel (PRACH) Physical Common Packet Channel (PCPCH) Dedicated Physical Data Channel (DPDCH) Synchronisation Channel (SCH)
DSCH
Physical Sownlink Shared Channel (PDSCH)

Figure .8. Transport-Channel to Physical-Channel Mapping 4
4.3 Spreading, Scrambling and Modulation

The basic spreading (and scrambling) chip rate is 3.84 Mcps, which can be extended to 7.68 or 15.36 Mcps.
4.3.1 Uplink Spreading, Scrambling and Modulation

4.3.1.1 Modulation 4.3.1.1.1 Uplink Dedicated Physical Channels (Uplink DPDCH/DPCCH) The uplink DPDCH and DPCCH are mapped to the I and Q branch respectively. Two different channelisation codes cD and cC are then used to spread both branches to the chip rate, and subsequently they are coded by a complex scrambling code associated to the mobile terminal. In the case of multi-code transmission, both the I and Q branches may be used to transmit a new uplink DPDCH, which must be assigned its own channelisation code. However, uplink DPDCHs transmitted on different branches may use the same channelisation code. 4.3.1.2 PRACH The message part of the random-access channel uses the same coding/modulation procedure as the uplink dedicated physical channels, described previously. The data part is similar to the uplink DPDCH and the control part is similar to the uplink DPCCH. In order to guarantee that two simultaneous random-access attempts using different preamble codes and/or sequences will not collide during the message part, the selection of the scrambling code for the data part is based on: The randomly chosen preamble sequence, The preamble code associated to the base station, and The randomly chosen access slot (random-access time-offset).
4.3.1.3 Spreading: Channelisation Codes The uplink uses the same type of channelisation codes as the downlink. In the case of the uplink, the limitations on the allocation of these codes are only valid within one mobile station. Each connection is allocated at least one uplink channelisation code, to be used for the uplink DPCCH. Usually at least one additional uplink channelisation code is allocated for an additional uplink DPDCH. If more than one uplink DPDCH is necessary, further uplink channelisation codes may be allocated. As different mobile stations use different uplink scrambling codes, the uplink channelisation codes may be allocated without any co-ordination between different connections. So the uplink channelisation codes are always allocated in a pre-established order. Once the mobile station and network reach an agreement on the number and length (spreading factor) of the uplink channelisation codes, the exact codes to be used are implicitly given. 4.3.1.4 Scrambling: Scrambling Codes Either short or long scrambling codes should be used on uplink. 4.3.1.4.1 Short Scrambling Code The short scrambling code is a complex code c different codes of length 256. Its the network who decides the uplink short scrambling code. After an uplink Random Access Request, the base-station emits a downlink Access Grant message, which tells the mobile station the short scrambling to use. The short scrambling code may, only in rare cases, be changed during the duration of a connection. 4.3.1.4.2 Long Scrambling Codes The long uplink scrambling code is typically used in cells without multi-user detection in the base station. The mobile station is informed if a long scrambling code should be used in the Access Grant Message following a random-access request and in the handover message.
scramb
= cI + jcQ, where cI and cQ are two
4.3.1.5 Random Access Codes (Spreading & Scrambling) 4.3.1.5.1 Preamble Spreading Code The base station broadcasts the spreading code for the preamble part, which is specific of the cell. If the traffic load is high, the base station can use more than preamble code. Since two neighbouring cells must not use the same preamble code, these codes have to be planned. The code used is a 256 chip code, and the system uses all 256 codes. 4.3.1.5.2 Preamble Signature The preamble part carries one of 16 different signatures of length 16, <P 0, P1,..., P15>. The base station broadcasts which signatures are allowed to be used in a cell. 4.3.1.5.3 Channelisation Codes for the Data Part The signature in the preamble specifies one of the 16 possibilities for the channelisation code. The control part is always spread with a known channelisation code of length 256, so it can be detected by the base station. The base station obtains the spreading factor used on the message part from the rate information field of control part. The base station gets the channelisation code used in the data part either with the help of the preamble signature and the rate information. In this way, simultaneous detection of multiple random access messages arriving in the same access slot is allowed by the use of different signatures. 4.3.1.5.4 Scrambling Code for the Data Part In addition to spreading, the message part is also subject to scrambling with a 10 ms complex code. The scrambling code is cell-specific and has a one-to-one correspondence to the spreading code used for the preamble part. Note that although the scrambling code is the same for every access slot, there is no scrambling-code collision problems between different access slots due to the 1.25 ms time shift between the access slots.
4.3.2 Downlink Spreading, Scrambling and Modulation

4.3.2.1 Modulation The modulation scheme used for the data part is QPSK; each pair of two bits are first converted from serial to parallel and then mapped to the I and Q branch, respectively. The channelisation code cch spreads the I and Q branch to the chip rate (real spreading), and subsequently they are scrambled with c scramb, the cell-specific scrambling code (real scrambling). The spread/modulation process must also be applied to every additional downlink DPCH, in the case of multi-code transmission. Each additional downlink DPCH should be assigned its own channelisation code. 4.3.2.2 Spreading: Channelisation Codes The number of available channelisation codes is not fixed but depends on the rate and spreading factor of each physical channel. The BCCH uses a predefined channelisation code, which is the same for all the cells within the system. The BCCH broadcasts the channelisarion code(s) used in the Secondary Common Control Physical Channel. The channelisation codes for the downlink dedicated physical channels are decided by the network. After an uplink Random Access request, the base station responds with a downlink Access Grant message, informing the mobile station about the downlink channelisation codes to receive. If a change of service or an inter-cell handover occurs, the set of channelisation codes may be changed during the duration of the connection. This change of downlink channelisarion codes is negotiated over a DCH. 4.3.2.3 Srambling: Scrambling Codes There are 512 available scrambling codes, grouped into 32 code sets with 16 codes in each set. The grouping facilitates the process of fast cell search. In the initial deployment a downlink scrambling code is assigned to every cell, and the mobile knows the scrambling code in the cell search process.
The scrambling codes are repeated for every 20 ms radio frame. 4.3.2.4 Synchronisation Codes The Primary and Secondary code words, cp and {c1 ,... , c17} respectively, consist of pair wise mutually orthogonal codes of length 256.
4.4 Transport Channel Coding and Multiplexing Chain

The following steps can be identified in the Figure .9, which describes the overall concept of 4 transport-channel coding and multiplexing:
Figure .9. Coding and Multiplexing of Transport Channels 4 Channel coding, including optional transport-channel multiplexing Static rate matching Inter-frame interleaving
Transport-channel multiplexing Dynamic rate matching Intra-frame interleaving
The different steps are described in detail below. The output of the inner interleaving block is usually mapped to one DPDCH. In the case of multi-code transmission, with very high bit rates, the output is split onto several DPDCHs. Transport channels are coded and multiplexed as described above, i.e. into one data stream mapped on one or several physical channels.
4.4.1 Channel Coding

Every transport channel is coded before transport-channel multiplexing, i.e. channel coding is done on a per-transport-channel basis. Figure .10 illustrates this concept. 4
Figure .10. Channel Coding in UTRA/FDD 4 4.4.1.1 Convolutional Coding If the service requires a BER in the order of 10 -3 then is typical to apply convolutional coding. If the service requires a BER in the order of 10 -6 then convolutional coding is applied in concatenation with RS coding and outer interleaving.
Dedicated transport channels (DCHs) in normal (non-slotted) mode typically use a 1/3-rate convolutional coding, while DCHs in slotted mode are usually coded with a -rate convolutional coding. 4.4.1.2 Turbo Coding ETSI is currently investigating the use of Turbo coding for high quality services, which require data rates above 32 kbps (see Figure .11). Turbo codes of rate 1/3 and (for the 4 highest data rates), have been proposed to replace the concatenation of convolutional and Reed-Solomon codes. ETSI is awaiting further results of simulations illustrating the performance of Turbo Codes.
Figure .11. Block Diagram of a Turbo code encoder 4 Figure .12 shows the basic FEC coding structure for the UTRA, which will be employed in 4 case Turbo codes give an improved FEC for high quality services, compared to the existing proposals.
Figure .12. FEC Coding for UTRA/FDD When Turbo Codes are Used 4
4.4.1.3 Service Specific Coding The service-specific-coding option allows supplementary coding schemes, in addition to the standard coding schemes listed above, increasing in this way the flexibility of the UTRA Layer 1. One example is the use of unequal-error-protection coding schemes for certain speech-codecs.
4.4.2 Inner Inter-Frame Interleaving

Those transport-channels that can allow for and require interleaving over more than one radio frame (10 ms) use inner inter-frame bit interleaving, carried out on a per-transport-channel basis. The span of the inner inter-frame interleaving can vary in the range 20 ms to 150 ms.
4.4.3 Rate Matching

Rate matching is carried out according to the following procedures: Static rate matching: carried out on a slow basis, typically every time a transport channel is added or removed from the connection. Dynamic rate matching: carried out on a frame-by-frame 810 ms) basis
4.4.3.1 Static Rate Matching Two different reasons lead to the use of static rate matching: To adjust the coded transport channel bit rate to a level where minimum transmission quality requirements of each transport channel is fulfilled with the smallest differences in channel bit energy To adjust the coded transport channel bit rate so that the maximum total bit rate after transport channel multiplexing is matched to the channel bit rate of the uplink and downlink dedicated physical channel. The static rate matching is based on code puncturing and unequal repetition. It is important to note that the rate matching must be co-ordinated between different transport channels, although it is carried out prior to transport-channel multiplexing.
4.4.3.2 Dynamic Rate Matching After the multiplexing of the parallel coded transport channels, it is necessary to match the total instantaneous rate of the multiplexed transport channels to the channel bit rate of the uplink DPDCH, which is done by the dynamic rate matching. It uses unequal repetition and is only applied to the uplink. On the downlink, discontinuous transmission (DTX) is used when the total instantaneous rate of the multiplexed transport channels does not match the channel bit rate.
4.4.4 Transport-Channel Multiplexing

The coded transport channels are serially multiplexed within one radio frame. The output after the multiplexer (before the inner interleaving) will thus be according to the .
Figure .13. Transport Channel Multiplexing 4 Another option is transport-channel multiplexing within the channel-coding unit, usually after outer RS coding but before outer interleaving.
4.4.5 Inner Intra-Frame Interleaving

Inner intra-frame interleaving over one radio frame (10 ms) is applied to the multiplexed set of transport channels.
4.5 Service Multiplexing

Service multiplexing allows the separate and independent control of QoS. This is done by treating multiple services in the same connection with separate channel coding/interleaving and mapping to different basic physical channels (slot/code) (see Figure .14). 4
Coding / interleaving
Service 1
Parallel services
Service 2
Service N
Figure .14. Service Multiplexing (a) 4 Another option is time multiplexing at different points of the channel coding scheme (see Figure .15). 4
Time Mux Outer Coding/interf. Time Mux Parallel services Time Mux Outer Coding/interf. Time Mux Inner Coding/interf. Inner Coding/interf. Time Mux Service 1 Service 2 ... Service n
Figure .15. Service Multiplexing (b) 4 After service multiplexing and channel coding, the multi-service data stream is mapped to one or, if the total rate exceeds the upper limit for single-code transmission, several resource units.
4.6 Traffic Cases (Examples)

4.6.1 Continuous Transmission in Uplink with Variable Rate
10 ms 1 rate
rate rate
0- rate
Variab le rate R =1 R = 1/2 R =0 R =0 R = 1/2
: DPCCH (Pilot+TPC+RI) : DPDCH (Data)
Figure .16. Uplink Variable Rate (no DTX) 4
4.6.2 Discontinuous Transmission (DTx) in Downlink with Variable Rate (1)

0,666 ms 1-rate
-rate -rate
0-rate : DPCCH-part (Pilot+TPC+RI) : DPDCH-part (Data)
Figure .17. Downlink Variable Rate (DTX) 4
4.6.3 Discontinuous Transmission (DTx) in Downlink with Variable Rate (2)

10 ms 1-rate
-rate
0-rate Variable rate R=1 R=0 R = 1/2 R=1 R=0
: DPCCH (Pilot+TPC+RI) : DPDCH (Data)
Figure .18. Downlink Variable Rate (DTX) 4
4.7 Initial Cell Search

The initial cell search is the process of searching for the base station to which the mobile has the lowest path loss. Subsequently, the mobile determines the downlink scrambling code and frame synchronisation of that base station. The initial cell search is carried out using the synchronisation channel (SCH), see Figure .19. 4
Tslot=2560 chips 256 chips Primary SCH Cp
i
Cp
Cp
Secondary SCH
Csi,1
Csi,2
Csi,15
Tframe=15*Tslot Cp: Primary Synchronisation Code Csi,k: One of 16 possible Secondary Synchronisation Codes (Csi,1, Csi,2,...,Csi,15) encode cell specific long scrambling code group i
Figure .19. Structure of Synchronisation Channel (SCH) 4 This initial cell search is carried out in three steps:
4.7.1 Step 1: Slot Synchronisation

During the first step of the initial cell search procedure the mobile station uses the primary SCH to acquire slot synchronisation to the strongest base station. This is done with a single matched filter (or any similar device) matched to the primary synchronisation code cp which is common to all base stations (see Figure .20). The output of 4 the matched filter will have peaks for each ray of each base station within range of the mobile station. Detecting the position of the strongest peak gives the timing of the strongest base station modulo the slot length. For better reliability, the matched-filter output should be noncoherently accumulated over a number of slots.
Figure .20. Matched-Filter for Primary Synchronisation Code to Slot Synchronisation 4
4.7.2 Step 2: Frame Synchronisation and Code Group Identification

During the second step of the initial cell search procedure, the mobile station uses the secondary SCH to find frame synchronisation and identify the code group of the base station found in the first step. This is done by correlating the received signal at the positions of the Secondary Synchronisation Code with all possible (16) Secondary Synchronisation Codes. Note that the position of the Secondary Synchronisation Code is known after the first step. The outputs of all the 17 correlators for 16 consecutive secondary SCH locations are used to form the decision variables. The decision variables are obtained by non-coherently summing of the correlators outputs corresponding to each 16 length sequence out of the 32 possible sequences and its 16 cyclic shifts giving a total of 512 decision variables. Note that the cyclic shifts of the sequences are unique. Thus, by identifying the sequence/shift pair that gives the maximum correlation values, the code group as well as the frame synchronisation is determined.
4.7.3 Step 3: Scrambling Code Identification

During the third and last step of the initial cell search procedure, the mobile station determines the exact scrambling code used by the found base station. The scrambling code is identifies through symbol-by-symbol correlation over the Primary CCPCH with all the scrambling codes within the code group identified in the second step. Note that, from step 2, the frame boundary and consequently the start of the scrambling code is known. Correlation must be carried out symbol-wise, due to the unknown data of the primary CCPCH. Also, in order to reduce the probability of wrong/false acquisition, due to combat background noise/interference, averaging the correlator outputs over a sequence of symbols 8diversity) might be required before using the outputs to determine the exact scrambling code. After the scrambling code has been identified, the Primary CCPCH can be detected, superframe synchronisation can be acquired and the system- and cell specific BCCH information ca be read.
4.7.4 Idle Mode Cell Search

When in idle mode, the mobile station continuously searches for new base stations on the current and other carrier frequencies. The cell search is done basically the same way as the initial cell search. The main difference compared to the initial cell search is that an idle mobile station has received a priority list from the network. This priority list describes in which order the downlink scrambling codes should be searched for and does thus significantly reduce the time and effort needed for the scrambling-code search (step 3). Also the complexity in the second step may be reduced if the priority list only includes scrambling codes belonging to a subset of the total set of code groups. The priority list is continuously updated to reflect the changing neighbourhood of a moving mobile station.
4.7.5 Active Mode Cell Search

When in active mode, the mobile station continuously searches for new base station on the current carrier frequency. This cell search is carried out in basically the same way as the idle mode cell search. The mobile station may also search for new base stations on other carrier frequencies using the slotted mode.
4.8 Packet Access

The requirements for packet access are: Fast access Efficient use of the radio resources
In order to satisfy these requirements, the connection set-up should be fast and closed loop power control for large packets, and a small overhead for small packets. Moreover, the possibility of packet scheduling should be included. Small frequently sent packets are sent on the common channels, while frequently or large packets should use the dedicated channels.
4.8.1 Common Channel Packet Access

The common channel RACH/FACH would be used for transmitting small packets and medium data rates. During the time there are no packets to transmit there will be no link
Access Request User Packet
Arbitrary Time
Access Request
User Packet
maintenance (see Figure .21). Open loop power control would be used. 4 Figure .21. Common Channel Packet Access 4
4.8.2 Dedicated Channel Single Packet Transmission

Each new packet in a single and scheduled packet transmission is preceded with a random access request, as shows Figure .22 During the packet transmission closed-loop power 4 control is used.
Access Request
Arbitrary Time
Access Request
Common Channel (RACH/FACH)
User Packet
User Packet
Dedicated Channel (DTCH)
Figure .22. Dedicated Channel Single Packet Transmission 4

4.8.3 Dedicated Channel Multi-Packet Transmission

In the case of scheduled and non-scheduled packet transmission, the link will be maintained, and closedloop power control will be used during the transmission (Figure .23). The link 4 will be released after a defined time-out period.
Scheduled packets Non-scheduled packets
Access Request
User Packet
User Packet
Access Reques t
User Packet
Dedicated Channel (DTCH) Link maintenance (pilot, TPC)
Figure .23. Dedicated Channel Multi-Packet Transmissio 4
C hapter 5: Radio Theory
Chapter 5: Radio Theory

5.1 Introduction
The content of this chapter deals with some selected radio properties and their effects on a mobile system. In a mobile network the connection between the mobile phone and the network is done via the air interface with the help of radio waves. The area in which the mobile and the network can stay in contact with some acceptable quality is called the coverage area. This area is served by a transmitter/receiver that will transmit towards the mobile and receive from the mobile. The serving area is called a cell.
5.1.1 Radio Waves and Modulations

A radio wave is an electromagnetic wave of a frequency lower than 3000 GHz. The electromagnetic wave is produced by the interaction of time varying electric and magnetic fields. The number of cycles or events per time unit is the frequency, which is expressed in Hertz, Hz (see Figure .1). 5
Time
1 cycle
Figure .1. Wave Form 5 There are many different types of electromagnetic waves including radio waves, light, infrared rays and x-rays. Radio waves are one example of what we refer to as electromagnetic radiation. They are generally generated by oscillating charges on a transmitting antenna. To be able to use the radio waves for transfer of information such as speech or data a modulation technique is used. Modulation is the process where the amplitude, frequency or phase of a radio wave (or light wave) is changed.
Quadrature component Q =M sinq
In-phase component I =M cos q
M = magnitude
q = phase
Figure .2. Digital Modulation Techniques 5 There are different ways to modulate a radio signal. We could change the amplitude, the frequency, the phase or use pulse modulation (see Figure .2). 5 In Amplitude Modulation the carriers amplitude changes in accordance with the modulated user signal, while the carriers frequency is fixed (shown in Figure .3). 5
Amplitude
Time
Figure .3. Amplitude Modulation 5 Frequency modulation occurs when the carriers frequency is changed according to the input signal, while the amplitude is unchanged (see Figure .4). FM modulation is more immune to 5 noise than AM and improves the overall signal-to-noise ratio. The signal-to-noise ratio is the ratio between the signal maximum peak-to-peak signal and what remains when the signal is removed, that is, the ratio of the wanted signal to that of the noise. Phase Modulation is similar to FM but instead of changing the frequency of the carrier wave, the phase of the carrier changes (see Figure .5 and Figure .6). 5 5 Pulse Modulation is a sample of the waveform taken at regular intervals. There exit a variety of Pulse Modulation schemes not covered here.
Amplitude
Time
Figure .4. Frequency Modulation 5

Binary Phase Shift Keying (BPSK)
Quadrature Phase Shift Keying (QPSK)
Q
01 state
Q 11 state I 00 state 10 state
0 state
I 1 state
Phase of carrier: /4, 3/4, 5/4, 7/4
Phases separated by 180 ( radians)
2x bandwidth efficiency of BPSK
Figure .5. Binary Phase Shift Keying 5
Figure .6. Quadrature Phase Shift Keying 5
To be able to use analogue signals for digital information they have to be processed by an intermediate stage before transmission. This is done by a modem (modulator/demodulator) in a process known as a modulation/demodulation.
5.1.2 Access Methods

In a cellular network we have a mobile phone or terminal connected to the network via a base station that transmits towards the mobile phone and receives signals from the mobile phone. This connection is wireless, it uses radio waves in the air interface to set up the connection. The way we utilise these radio waves in the air is called Access Method and there exist a number of them with different properties. Commonly use access methods in radio networks are Frequency Division Multiple Access (FDMA), Time Division Multiple Access (TDMA) y Code Division Multiple Access (CDMA).
FDMA is used for standard analogue mobile telephony. Each user is assigned a discrete part of the RF spectrum. FDMA permits only one user per channel since it allows the user to use the channel 100% of the time. In TDMA the users are still assigned a discrete part of the RF spectrum, but multiple users now share that RF carrier on a time slot basis. Each of the users alternates their use of the RF channel. Frequency division is still used, but these carriers are now further sub-divided into some number of time slots per carrier (3 for TDMA-AMPS, 8 for full rate GSM, 16 for half rate GSM). In CDMA there is no time division, and all users use the entire carrier, all of the time. CDMA is a spread-spectrum communication system in which multiple users have access to the same frequency band. The allocated frequency segment for that one carrier is considerably larger than that used in FDMA or TDMA. To distinguish the different users occupying the same frequency band simultaneously, each user is assigned a binary code.
5.2 Radio Transmission Properties and Problems

5.2.1 Needed vs. Available Capacity
One problem encountered with radio is that the available spectrum is limited. The fewer spectrums needed per subscriber the more subscribers that can be accommodated on the network. Since there is no way to create new frequencies we need good modulation techniques and efficient access methods to use the air interface properly. Normally, the capacity available is a compromise between needed capacity and the interference (more interference involve less quality in our connection) that the use of the same medium by different users produces.
5.2.2 Path Loss

Path loss or attenuation of the signal causes the received signal at the receiver to get weaker the further away from the transmitter we are (see Figure .7). 5 Path loss can be a problem, making it difficult to get sufficient signal strength levels, but it results also in a lower interference from non wanted transmitters far away from the receiver.
If there would be no path loss the interference from all transmitters around us would be very high.
d
Figure .7. Path Loss 5 For a given frequency, path loss depends on the distance between the receiver and the transmitter. One way to estimate this is to use the free space formula. According to this formula, the path loss varies proximally in the following way: Pathloss distance 2 x frequency 2 This formula assumes a line of sight condition between the transmitting and receiving antennas. It also assumes that there are no reflections interacting with the direct radio wave. Also, as indicated buy the formula, the higher the frequency used, the higher the path loss. Since the pathloss will increase with an increasing frequency it is beneficial if the weakest part, according to transmitting power, is using the lowest frequency. By this it will gain some dB.
5.2.3 Shadowing
If the radio path does not have free line of sight between transmitter and receiver, the obstacles will cause shadowing. Shadowing is also called log normal fading or long term fading. Since the mobile phone normally is located in a low position, transmission will most likely be affected by shadowing objects, e.g. buildings, hills, the user or virtually anything in the radio path. When the mobile phone moves around, variations in signal strength, due to the character of the objects, can be measured in tens of meters.
5.2.4 Multi-Path Propagation

Another effect that might occur especially in an urban area with a lot of reflections objects near the transmitter and receiver is multi-path propagation (see Figure .8). Since the 5 transmitter normally is not transmitting directly towards the receiver but rather in a wide area towards him/here, there will be a lot of rays reflected by obstacles and the received by the receiver.
Figure .8. Multi- Path Propagation 5 Different reflections would then mean slightly different time delays for the rays and the reflections also will have different effects on the phase of the radio wave. Normally we would receive not one, but several reflected radio waves and the resulting wave could be stronger, or weaker, than the individual waves. If there is no phase difference between the waves, the resulting wave may have considerably better signal strength, but if the phase difference between the two signals is close to 180 degrees they may null each other out. This cancelling out effect may cause very deep fading dips. The phenomenon is called multi-path or Rayleigh fading. On the other hand a receiver could with the help of some addative procedures capture a number of different reflected rays and the take the best out of this information. In a GSM system multipath propagation can cause problems in the receiver, multipath fading, while in another system like UMTS with a RAKE receiver structure this leads to the possibility of diversity gain turning the multipath channel to its advantage.
5.2.5 Time Dispersion

One effect of multipath propagation is time dispersion due to varying propagation delays. The effect is that the impulse response of the propagation channel is spread out. The amount of time dispersion is roughly described by the delay spread (see Figure .9). 5
Impulse response
t1
t2
t3
time
Figure .9. Channel Impulse Response (Power) / Time Delay 5
5.3 Radio Transmission Optimisatioin Techniques

5.3.1 Access Methods: Capacity vs Interference
Interference is the term for a non-wanted signal that the receiver experiences. In e.g. GSM where we reuse the number of frequencies available this might mean that there is a transmitter using the same frequency as the wanted signal (see Figure .10). Reusing an identical carrier 5 frequency in different cells is limited by co-channel interference or C/I. Co-channel interference is the relation between the desired signal C and the undesired re-used signal I, both using the same carrier frequency. Radio communication systems often separate users either by frequency channels, timeslots, or both. This is e.g. true for GSM. Since the number of available frequencies both are limited by physics and by regulation the frequencies then must be reused (see Figure .11). 5 This might cause an interference problem that will be handled by keeping the reuse frequencies (same frequencies) as far away from each other as possible. Satisfactory performance in these systems depends critically on control of the mutual interference arising from this reuse pattern.
Carrier, f1
Interferer, f1
C I
Figure .10. Interference 5 Another approach to this is used in CDMA. Instead of partitioning either spectrum or time into disjoint slots each user is assigned a different instance of the noise carrier. While those waveforms are nor rigorously orthogonal (they do not interfere with each other), they are nearly so.
C D F B D A C A B D B A C E B A
Figure .11. Reusing Frequencies in GSM 5
A A
A A
A A A A
A A A A A
Figure .12. In CDMA 5
The major benefit of noise-like carriers is that the system sensitivity to interference is fundamentally altered. Traditional time or frequency slotted systems must be designed with a reuse ratio that satisfies the worst-case interference scenario. Use of noise-like carriers, with all users occupying the same spectrum, makes the effective noise the sum of all other-user signals. The receiver correlates its input with the desired noise carrier, enhancing the signal to noise ratio at the detector. The enhancement overcomes the summed noise enough to provide an adequate Signal to Noise Ratio, SNR at the detector. Because the interference is summed, the system is no longer sensitive to worst-case interference, but rather to average interference. The reuse pattern is now the same for each (see ).
5.3.2 Diversity
One of the objectives in system optimisation is to reduce or benefit from the multipath and shadowing effects. Some are applicable to TDMA and FDMA as well as CDMA system. There are different combinations to diversity. 5.3.2.1 Space Diversity By using two receiving antennas, chances are that they do not experience the same multipath propagation at the same time. A certain distance between the antennas could be used (space diversity) or the antennas element could be polarised (polarisation diversity). The use of antenna diversity will improve the carrier to interference (C/I) properties of the systems as the problem with the fading dips is reduced. 5.3.2.2 Frequency Diversity Another effective way to fight negative effects of multi-path propagation is to change the frequency, thus changing the positions of the dips. When frequency hopping is applied as in GSM/DCS, each consecutive burst will be transmitted (and of course received) at a different frequency. 5.3.2.3 Multi-Path Diversity Here versions of the signal arrive via separate paths and at different times and are combined in the receiver. 5.3.2.4 Macro Diversity Simultaneous use of links between the mobile and two or more fixed transmitters. Can for example be used to provide a smooth transition as the mobile moves from transmitter to another (soft handover). 5.3.2.5 Time Diversity Obtained by using symbol interleaving and error correction coding to introduce time correlation into the signal (described later in this chapter).
5.3.3 Error Detection and Correction

In the first and second generation mobile system like NMT and GSM the main intention and use of the system have been foe speech communication. The 3 rd generation system, like UMTS, will need to handle more and more of data transmission and multimedia. This, in contrast to pure speech system, adds high demands on the quality. Typical data services require very low error rates. Over a radio channel that experiences a lot of problems we need something to detect errors and correct them. This could be done with the help of retransmission of information that was faulty and/or by adding redundant information to the data. Channel coding is a way to add information to the data so that errors could be detected and corrected. Interleaving is a technique to help the channel coding procedure. 5.3.3.1 Channel Coding In an analogue network the loss of some information will only decrease the quality somewhat. The ear is able to correct the analogue signals that are slightly incorrect. In a digital network, however, the importance of each bit of information is crucial. The symbol 1 interpreted as a o gives a totally different piece of information. The quality of the received signal is often measured in Bit Error Rate (BER). The BER represents what percentage of the bits that is not correctly detected. Two different methods of channel coding are block coding and convolutional coding. The philosophy of both of them is basically the same; adding a number of redundant bits to help detect or correct the errors protects the bits. 5.3.3.1.1 Block coding When block coding is used, one or several check bits are added to the information block. The check bits only depend on the bits in that block. A simple form of block coding is using a parity bit. The parity bit could be set to zero if the 1s in the block equal an even number. Otherwise the parity bit is set to one, so that the number of 1s in the total block are always even (see Figure .13). 5
Block coding is mainly used for detecting errors. In the computer world block coding is often used together with a retransmission command, demanding the transmitting part to resend. This is not so useful when dealing with a real time application such as speech.
If 1 then add 1 If 0 then add 0

Received Means 11 00 Information Parity bits 01 10 1 0 error error
Figure .13. The Principle of Block Coding 5 5.3.3.1.2 Convolutional Coding The convolutional code consists of a shift register into which one shifts on the information bits. Doing logical operations on the positions of the bits in the register produces the coded information bits. This will make several coded bits dependent on one of the information symbols shifted into the coder. When all the information are shifted through the register we have produced the coded bits that will be sent (see Figure .14). 5 Convolutional coding is not good for detecting errors, but also for correcting them. The condition for being able to correct errors is that only few errors appear at a time, with a certain number of correct bits in between the incorrect ones.
XOR Output A
info
Bit 3
Bit 2
Bit 1
XOR
Output B
Figure .14. The Principle of Convolutional Coding 5 5.3.3.2 Interleaving The error detection and correction methods mentioned, work best when the bits lost are spread out at a certain distance.
Interleaving is a method of spreading the potential losses, so that they can be taken care of by Channel Coding thus minimising the harm longer sequences lost. An analogy of this is, if the last 20 pages are torn out of an Agatha Christie novel, it will be more difficult to reconstruct the plot than if every 10th page, totalling 20 pages is lost. As an example, let us assume that each message block contains four symbols.
THMT HEUH IASE SRTY T H E Y T H ? Y MU S T MU ? T H E A R H E ? R T H I S T H ? S THEY MUST HEAR THIS TH?Y MU?T HE?R TH?S Figure 5.15. If Several Blocks Regroup the Information.
Assume also that it is likely that we loose not only one, but four consecutive symbols in a block. If we re-arrange them so that all number one symbols are put together in one block, all the number two symbols in another, etc., we will loose symbols from several blocks, BUT not one complete block. If only parts of a block are lost, the chance of reconstructing the information improves dramatically (see Figure .15). 5
C hapter 6: User Equipment (UE)
Chapter 6: User Equipment (UE)

6.1 Terminals in the General UMTS System
The Figure .1 shown below represents the general schematic in the system, as they are explained 6 in this chapter.
Home Network Domain Cu Zu Uu Iu Yu
USIM Domain
Mobile Equipment Domain
RAN Domain
Serving Network Domain
Transit Network Domain CN Domain
User Equipment Domain Cu = Iu = Uu = Reference point between USIM and ME
Infrastructure Domain
Reference point between Access and Serving Network domains Reference point between User Equipment and Infrastructure domains, UMTS radio
interface Yu = Zu = Reference point between Serving and Transit Network domains Reference point between Serving and Home Network domain
Figure .1. UMTS Domains and Reference Points 6 We can divide basically between the User Equipment or Terminal (UE), and the infrastructure. This is represented by the interface Uu. So we can have these two big domains: the User Equipment Domain and the Infrastructure domain.
User equipment is the terminal that the user employs to access to the UMTS service. This equipment has a radio interface to the infrastructure. The infrastructure is made up of the several physical nodes that develop the various functions required to terminate the radio interface and to support the telecommunication services requirements to the users. The infrastructure is a shared resource by all the users and it will provide services to all these users (authorised) within its coverage area. The reference point between the user equipment domain and the infrastructure domain is called the Uu reference point (UMTS radio interface). As it has been said, it is a very important interface, because it separates two different worlds.
6.1.1 User Equipment Domain

This part of the system stores a variety of equipment types with different levels of functionality. These equipment types are referred to as user equipment (terminals), and they may also be inter-connectable with one or more existing access systems, in such a way that we can have dual mode UMTS-GSM user equipment. As it has also been said, the terminal will include a removable smart card that may be used in different user equipment types, as it happens in GSM. The user equipment is as well subdivided in to the Mobile Equipment Domain (ME) and the UMTS Subscriber Identity Module Domain (USIM). Here we have another interesting interface, the Cu reference point 6.1.1.1 USIM Domain The USIM, UMTS Subscriber Identity Module, contains data and procedures that unambiguously and securely identify it. These functions are typically embedded in a standalone smart card. This device is associated to a given user, and as such allows identifying this user regardless of the ME he uses. 6.1.1.2 Mobile Equipment Domain The Mobile Equipment contains applications and performs radio transmission. The mobile equipment may be further sub-divided into several entities, e.g. the one which performs the radio transmission and related functions, Mobile Termination, MT, and the one which
contains the end-to-end application or (e.g. laptop connected to a mobile phone), Terminal Equipment, TE.
6.2 Applications of the UE

This 3 generation system wants to offer service capabilities that enable the wide variety of services that the vendors will offer to be implemented. Such services range from simple services like voice, to complex multimedia services containing several simultaneous media components that place totally different requirements on the system and on the terminal equipment. A wide range of terminal types is likely in the UMTS environment, e.g. speech only terminals, videophones, data terminals, wideband data terminals, fax terminals, multiband/multi-mode terminals and any combination of the aforementioned. By standardising service capabilities rather than actual services, more flexibility is available for service providers/network operators to create unique services. The same principle also applies for UMTS terminals, i.e. the types of terminals are not standardised and are therefore not limited in any way. We know that no UMTS Terminal is going to be defined by the specifications, the power classes need to be determined, for cell planning reasons. The maximum power will affect User Equipment possibilities to support the upper range of bit services over the UMTS coverage area. Cell planners will plan for achieving coverage for higher bit rates on the cell border primarily for power class 1-user equipment's. The following four classes are defined: 2W 0.5 W 0.25 W 0.125 W
We already know that no terminal types are standardised, so user equipment must indicate to the network a set of terminal capabilities in order to be handled properly by the UTRAN and the Core Network. The set of terminal capabilities includes radio capabilities, multimedia capabilities and speech coders/decoders that are supported by the user equipment.
The radio parts of a user equipment can support any combination of GSM circuit switched radio, GSM packet switched radio, UMTS FDD-mode and UMTS TDD-mode, and additionally other radio access modes, due to the compatibility we have already talked before. Multimedia capabilities may include which type of display and which coders/decoders that are supported for video and audio. Finally, GSM and UMTS networks and terminals include a number of different speech coders: GSM Full Rate GSM Half Rate GSM Enhanced Full Rate GSM Full Rate Adaptive Multi-Rate GSM Half Rate Adaptive Multi-Rate UMTS Adaptive Multi-Rate
The UMTS user equipment has a default speech code, the UMTS Adaptive Multi-Rate (AMR) code. It generates a variable rate bit-stream of bit-rates between 4.75 12.20 kbit/s depending on the characteristics of input speech signal.
6.3 Multimedia User Equipment

The ITU has developed extensions to the fixed terminal standards to adapt them to mobile communication characteristics such as higher bit error rates. The general architecture of a H.324 multimedia terminal in UMTS user equipment is shown in Figure .2. 6 Mobile multimedia terminals for UMTS are based on existing multimedia terminal standards for the fixed networks. ITU has produced a number of such standards, the so-called H-series. Where needed slight modification for the UMTS case is introduced by 3GPP. ITU standards H.323 and H.324 are used for UMTS multimedia terminals. H.324 is the standard for circuit switched multimedia over the PSTN while H.323 targets multimedia over packet switched networks with no support of guaranteed Quality-of-Service.
Application SW
Video Codec
Audio Codec
Data
End-to-End Control
Multiplex
To Mobile Termination
Figure .2. UE Multimedia General Architecture. 6 The Application SW is not part of the standard. It contains the application software, e.g. the user interface, in the terminal for multimedia application and controls the usage of the other blocks in the Figure .2 which implement the H.324 standard components. 6 The H.324 components are: A video coder/decoder that transfers analogue video into a digital bit-stream (H.263) The audio coder/decoder that transfers analogue audio into a digital bit-stream (G.723.1) Data protocols for end-to-end retransmissions and flow control for transfer of user data end-to-end (e.g. LAP-D) Control procedures for multimedia session set up and release end-to-end (H.245) All the streams generated by the four entities above are finally multiplexed into one single bit-stream according to the H.324 multiplex standard H.223. In order to have terminals that work properly the single bit-stream from the multiplexer requires a bit-rate of at least 32 kbit/s. The five entities in the H.324 terminal part reside in the Terminal Equipment part of the UMTS User Equipment. The single bit-stream from the multiplexer is sent to the Mobile Termination part of the User Equipment for transparent transport over the radio interface an onwards. (The core network will be aware of the fact that the call is a H324 call in order to activate specific rate adaptation functions in the so-called Interworking Function in the MSC).
3GPP has added the ETSI AMR speech coder/decoder to the list of possible audio codecs for the purpose of mobile-to-mobile multimedia calls. The G.723.1 speech codec has to be supported by UMTS multimedia terminals for interworking with terminals in the fixed network. We also have the standard MPEG-4, for video applications, introduced by the International Standardisation Organisation. It is introduced for every kind of video applications, i.e. not only videotelephony.
6.4 UMTS Subscriber Identity Module (USIM)

This module of the Terminal must contain information enough to identify the user and service provider. USIM is a UMTS specific application residing on a removable IC card and is required for service provision. The application in order to allow more versatile UMTS IC card functionality such as access to value-added services. Authentication and ciphering functionality may be part of USIM or some other application on the same or different IC card. Necessary requirements for IC Cards used for holding USIM application are related to the need to have one USIM application on the IC card, as well as to the security issues. The following functionality is required from the IC card holding USIM application: The support of at least one USIM application (several USIM applications belonging to different UMTS service providers may reside on the same IC card). Possibility to update USIM specific information over the air, (e.g. such information as service profile information, algorithms, etc.) in a secure and controlled manner. The support of one or more user profile on the USIM Physical characteristics same as used for GSM SIM (note that the standard supports inserting a GSM SIM card into a UMTS user equipment which will enable access to the GSM set of services, i.e. no UMTS specific service). Possibility to update USIM specific information over the air, (e.g. such information as service profile information, algorithms, etc.) in a secure and controlled manner. User authentication. The standard should support the following additional functionality for the IC Cards in UMTS environment:
Security mechanisms to prevent USIM application specific information from unauthorised access or alteration. Verification of the access privilege shall be performed on the card itself and not delegated to another entity (for example the terminal).
The support for more than one simultaneous application (Multiple USIM, Ecash and/or some other applications).
An interface allowing highly secure downloading and configuration of new functionality, new algorithms and new applications into the IC card as well as updating the existing applications, algorithms and data.
Possibility for some applications/files to be restricted to one or some of the subscriptions, under user/SP control, with all applications that are shared, being done so in a secure manner.
Possibility to have shared applications/files between multiple subscriptions including other user and Service Provider controlled files and data, as well as for as yet undefined applications (including downloadable applications) required by the future services. Related security issues have to be analysed.
Inclusion of a payment method (electronic money and/or prepaid and/or subscription details)
Support for storing and possibly executing encryption related information, such as keys and algorithms.
The ability to accept popular value-adding IC card applications, such as digital signature applications, EMV credit/debit card, electronic purses such as Mondex and Visacash, etc. Dynamic addition and deletion of these applications during the lifetime of the card is envisaged.
Possibility for one UMTS SP to block multiple subscription on the card the SP has issued. In multi application cards a functionality to prevent the unauthorised access and alteration of USIM specific information by other applications residing on the card.
With all of these shared applications we can include database (e.g. telephone books), service profiles (e.g. controlling divert information), users preferences (e.g. short dialling codes) and SP-specific parameters inside a USIM application (e.g. call barring tables).
6.5 Technology of the Terminals

The complexity of the equipment of the 2nd generation digital cellular terminals is already considerable. The first reason for this, cellular systems themselves require a huge amount of functions to be fulfilled, from channel and speech coding to signalling and data protocols. In addition to those functions, all terminals have there owned mobile system independent features, sometimes also called as Value Adding features. Examples of these are memory databases, speech recognition, messaging features, display functions, and different source coding methods (e.g., JPEG). Terminal development trends for todays terminals are mainly towards higher integration levels resulting in smaller size. The goal of four 100s has been a rule of thumb target for handsets, i.e., 100 hour standby, 100 cc size, 100 gram weight and also 100 MIPS performance. The size targets have already been achieved and any requirement for smaller terminals is questionable from the usability and physical size limitation perspective. The other target parameters have no maximum limitations. On the other hand, we can see the following further trends for near future terminals: Increased number of value adding features (graphics, smart messaging, PC connectivity and compatibility). Support of higher number of source codecs (several speech codecs). Application specific terminals (smart traffic, vending machine radio, etc.). Multi-mode terminals (e.g., GSM/DECT dual-mode terminal). Multi-band terminals (e.g., GSM in 900 MHz and DCS1800). Dynamic SW configurability.
These trends are more than likely to continue in the future. The users would prefer multi-band and multi-mode terminals with high integration levels. Technological development of these terminals relies on new packaging and interconnection technologies, as well as technological steps like SW-radio. The concept trends of mobile handheld terminals is likely to diverge from simple speech terminals towards a variety of different types, e.g., communicators, were able phones, data terminals, etc. These new data- and multimedia-oriented terminals will challenge the dominant role of speech terminals in the future.
New radio-interface and system capabilities will enable higher quality multimedia services to be provided and therefore new terminal concepts to evolve, the variety of terminals in the UMTS environment will evidently be large. Terminal implementation technologies, such as digitalisation providing programmability and terminal configurability, VLSI, and display technologies, have developed a lot recently and will undergo further development in the future. Processing power, implementation architectures, IC and passive integration, and memory technologies are developing rapidly and will facilitate an increase in terminal functionality that will enable higher integration of terminals, as well as the integration of more functionality into smaller terminals. It can be clearly seen that the technical development of IC cards in the UMTS context. Compared to current IC cards (e.g. GSM Phase 2 SIM cards), the amount of memory and processing power will increase significantly. These development trends will meet the requirements of UMTS and should be taken into account while defining the features and functions of UMTS card. The trend for IC cards (used form the USIM) is similar to those form terminals. The next generation of IC cards will be multi-application cards capable of supporting several applications simultaneously. Furthermore, applications could be downloaded to and removed from these cards, both at the time of issuing and during the cards lifetime. The advent of these virtual machine cards, e.g. Java cards and Multi cards, will change the roles of the card issuers and application providers, and will enable IC cards to be much more flexible in the future.
C hapter 7: UMTS Terrestrial Radio Acces Network (UTRAN)
Chapter 7: UMTS
Terrestrial
Radio
Acces
Network (UTRAN)
7.1 Introduction
UTRAN (UMTS Radio Access Network) is the radio access network for UMTS, and it provides the connection between the core network and the user equipment. In UMTS Release 99 UTRAN is considered the only access network. UTRAN will support high bit rate bearer services with the notion of negotiated QoS characteristics. It will also support asymmetric and bursty traffic for single- and multi-media IP as well as N-ISDN applications. UMTS R-99 puts interoperability requirements on both UTRAN and GSM BSS access networks, in such a way that the evolved GSM network is compatible with UTRAN regarding roaming and handover. It might however be the case that the advanced bearer capabilities of UTRAN not are fully supported by the core network.
7.2 UTRAN Main Aspects

7.2.1 General Principles
The general principles for UTRAN: Logical separation of signalling and data transport networks. A full separation of UTRAN and CN functions from the transports functions. Full support for macro diversity in UTRAN-FDD The RNC connection and its mobility is fully controlled by the UTRAN.
7.2.2 Capabilities
The radio access bearer (RAB) capabilities for UTRAN are specified in 22.105.
UTRAN in R-99 shall have the following capabilities: One UTRAN is contained in one UMTS network. The set-up, re-negotiation and clearing, of connections. Negotiation and re-negotiation of QoS. Supported bit rates: At least 144 kbit/s rural outdoor. At least 384 kbit/s urban outdoor. At least 2048 kbit/s indoor/low range outdoor.
Support for broadcast and multicast applications. Support for multiple simultaneous RABs. Seamless handover within UTRAN. Support for dual mode terminals FDD-TDD. Support for handover TDD-FDD-GSM. Support for positioning within 50 meters. Support for Localised Service Area (LSA) Optimisation of UTRAN radio interface is based on high bit rates, bursty, asymmetric, both real time and non-real time capabilities.
Standardised operation, administration and maintenance protocols co-operating with ETSI TMN.
USIM requirements shall be considered.
7.2.3 UTRAN and GSM BSS (GSM Base Station Subsystem)

Since the evolution to UMTS will be gradually, the co-existence of UTRAN and GSM BSS in a network is essential. This requires the following for UMTS R-99: Support of dual mode terminals (UMTS/GSM) that can select cells to camp on from both systems in idle mode and connected mode.
Paging and cell selection procedures shall be designed to handle the combination of GSM and UTRAN cells.
Support of handover between UMTS and GSM BSS in both directions.
Note that some traffic flows might be re-negotiated or even released because of the different radio access bearer capabilities of the different access networks.
7.3 UTRAN System Architecture

7.3.1 UMTS General System Architecture
UTRAN is connected to the CN over the Iu interface, and with UE over the radio interface Uu. Over these interfaces the protocols are divided in "User plane protocols" (UPP) and "Control plane protocols (CPP). The UPP implements the actual Radio Access Bearer (RAB) service that carries the data through the Access Stratum (AS). The CPP controls the RAB, but can be used to transparently transfer Non-Access Stratum (NAS) messages (i.e. CM, MM (Mobile Management), GMM and SM messages). CN Iu UTRAN Uu UE
UTRAN CN UE UMTS Terrestrial Radio Access Network Core Network User Equipment
Figure .1. UMTS System General Architecture 7
7.3.2 UTRAN Architecture

The UTRAN consists of a set of Radio Network Subsystems connected to the Core Network through the Iu. A RNS consists of a Radio Network Controller and one or more Node Bs. A
Node B is connected to the RNC through the Iub interface. A Node B can support FDD mode, TDD mode or dual-mode operation. The RNC is responsible for the Handover decisions that require signalling to the UE. The RNC comprises a combining/splitting function to support macro diversity between different Node B. A RNC supporting the FDD mode may include a combining/splitting function to support macro diversity between different Node B. Inside the UTRAN, the RNCs of the Radio Network Subsystems can be interconnected together through the Iur. Iu(s) and Iur are logical interfaces. Iur can be conveyed over physical direct connection between RNCs or via any suitable transport network.
Core Network Iu RNS Iur RNC Iub Node B Iub Node B Iub Node B RNC Iub Node B RNS Iu
Figure .2. UTRAN Architecture 7
7.4 UTRAN Nodes

7.4.1 Node B
Node B transmits and receives in one or more cells. There are three modes for a Node B: TDD, FDD or a combination of TDD and FDD. The Node B interfaces the UE over the Uu interface, and the RNC over the Iub interface. One Node B consists of the following blocks:
7.4.1.1 Control The control function is responsible for the signalling towards the RNC and the O&M functions. It also monitors the radio quality in the cells, and insert data in the system information. 7.4.1.2 Signal Processing The processing of the signal has different requirements in UL and DL: Uplink: SC/CC generation Despreading Rake receiver Deinterleaving Channel decoding Combining (in softer handover)
Downlink: Splitting (in softer handover) Channel coding Interleaving CC/SC generation Spreading
7.4.1.3 Transmitter / Receiver The transmission/reception part handles the carrier generation and is responsible for the output power. Here is the modulation/demodulation performed. The modulation is QPSK.
7.4.2 The Radio Network Controller (RNC)

The RNC is in control of one or several Node B:s. It interfaces the MSC or SGSN in the core network over the Iu interface, and the Node B over the Iub interface. An interface between RNC:s is specified, and known as the Iur interface. The RNC consists of the following: 7.4.2.1 Radio Network Management Signalling both to CN and UE is handled by radio network management functions. This function is also responsible for the (re-)negotiation with an UE in a cell and the CN for the QoS for a call/session. This function is also responsible for the control of system information from CN and UTRAN. 7.4.2.2 Radio Access Bearer Management The radio access bearer management functions is responsible for the establishment, supervision and release of radio bearers. Establishment: assigns and activates channels in Node B, and assigns channels to the UE Supervision: monitors QoS, handover decisions Release: deactivates channels
7.4.2.3 Signal Processing The signal processing functions handles flow control and retransmissions, as well as the SOHO procedures combining (UL) and splitting (DL). It also handles the
ciphering/deciphering.
7.5 UTRAN Interfaces

UTRAN contain two internal interfaces (Iub, Iur) and interfaces to the UE (Uu) and the core network (Iu).
7.5.1 General Principles for UTRAN Interfaces

As few options as possible for the functional division across the interfaces.
Interfaces should be based on a logical model of the entity controlled through this interface.
Transport Network Control Plane is a functional plane in the interface protocol structure that is used for the transport bearer management. The actual signalling protocol that is in use within the Transport Network Control Plane depends on the underlying transport layer technology. The intention is not to specify a new UTRAN specific Application Part for the Transport Network Control Plane but to use signalling protocols standardised in other groups (if needed) for the applied transport layer technology.
7.5.2 Iu Interface
7.5.2.1 Access Network Triggered Streamlining One Access Network triggered function needed over the Iu interface is the function for SRNS Relocation. SRNS Relocation needs support from the Core Network to be executed.
Core Network
Core Network
Iu DRNS Iur SRNS SRNS
Iu RNS
Cells
UE Before SRNS Relocation
UE After SRNS Relocation
Figure .3. Serving RNS Relocation 7
7.5.2.2 Iu Interface Protocol The Radio Network signalling over Iu consists of the Radio Access Network Application Part (RANAP). The RANAP consists of mechanisms to handle all procedures between the CN and UTRAN. It is also capable of conveying messages transparently between the CN and the UE without interpretation or processing by the UTRAN. Over the Iu interface the RANAP protocol is, e.g. used for: Facilitate a set of general UTRAN procedures from the Core Network such as paging notification as defined by the general SAP. Separate each User Equipment (UE) on the protocol level for mobile specific signalling management as defined by the dedicated SAP. Transfer of transparent non-access signalling as defined in the dedicated SAP. Request of various types of UTRAN Radio Access Bearers through the dedicated SAP. Perform the streamlining function.
The Access Stratum provides the Radio Access Bearers. Various transmission possibilities exist to convey the bearers over the Iu to the Core Network. It is therefore proposed to separate the Data Transport Resource and traffic handling from the RANAP (Figure .4). This resource and traffic handling is controlled by the Transport 7 Signalling. A Signalling Bearer carries the Transport Signalling over the Iu interface.
Figure .4. Separation of RANAP and Transport over Iu 7

The RANAP is terminated in the SRNS.
7.5.3 Iur Interface

The Iur interface connects a SRNS and a DRNS. This interface should be open. The information exchanged across the Iur is categorised as below: One or more Iur Data stream which comprises: Radio frames Simple, commonly agreed Quality estimate Synchronisation information
Signalling: Addition of Cells in the DRNS which may lead or not to the addition of an new Iur Data stream Removal of Cells in the DRNS Modify Radio bearer characteristics
From a logical stand point, the Iur interface is a point to point interface between the SRNS and all the DRNS, i.e. there is no deeper hierarchy of RNSs than the SRNS and DRNS. However, this point to point logical interface should be feasible even in the absence of a physical direct connection between the two RNSs. 7.5.3.1 Functional Split over Iur Interface 7.5.3.1.1 Macro Diversity Combining/Splitting DRNS may perform macro-diversity combining/splitting of data streams communicated via its cells. SRNS performs macro-diversity combining/splitting of Iur data streams received from/sent to DRNS(s), and data streams communicated via its own cells. The internal DRNS handling of the macro-diversity combining/splitting of radio frames is controlled by the DRNS.
7.5.3.1.2 Control of Macro Diversity Combining/Splitting Topology When requesting the addition of a new cell for a UE-UTRAN connection, the SRNS can explicitly request to the DRNS a new Iur data stream, in which case the macro-diversity combining and splitting function within the DRNS is not used for that cell. Otherwise, the DRNS takes the decision whether macro-diversity combining and splitting function is used inside the DRNS for that cell i.e. whether a new Iur data stream shall be added or not. 7.5.3.1.3 Handling of DRNS Hardware Resources Allocation and control of DRNS hardware resources, used for Iur data streams and radio interface transmission/reception in DRNS, is performed by DRNS. 7.5.3.1.4 Allocation of Downlink Channelisation Codes Allocation of downlink channelisation codes of cells belonging to DRNS is performed in DRNS. Note that this does not imply that the signalling of the code allocation to the UE must be done from the DRNS. 7.5.3.2 Iur Interface Protocol The signalling information across Iur interface as identified in previous section is called Radio Network Subsystem Application Part (RNSAP).
Figure .5. Separation of RNSAP and Transport Over Iur 7

The RNSAP is terminated in the SRNS and in the DRNS. As already stated in previous section a clear separation shall exist between the Radio Network Layer and the Transport Layer. It is therefore proposed to separate the Data Transport resource and traffic handling from the RNSAP (Figure .5). This resource and traffic handling 7 is controlled by the Transport Signalling. A Signalling Bearer carries the Transport Signalling over the Iur interface.
7.5.4 Iub Interface

The Iub interface connects a RNC and a Node B. The information transferred over the Iub reference point can be categorised as follows: 1. Radio Application Related Signalling:The Iub interface allows RNC and Node B to negotiate about radio resources, for example to add and delete cells controlled by the Node B to support communication of the dedicated connection between UE and SRNS. 2. Radio Frame Data Blocks:The Iub interface provides means for transport of uplink and downlink radio frame data blocks between RNC and Node B. This transport can use predefined transmission links or switched connections. 3. Quality Estimations of Uplink Radio Frames and Synchronisation Data:The macrodiversity combining function of the RNC uses Node B quality estimations of the uplink radio frame data blocks. There is also a need for accurate time synchronisation between the soft handover branches. The information in category 3 is tightly coupled to the radio frame data blocks in category 2. Therefore, category 2 and 3 information is multiplexed on the same underlying transport mechanism (e.g. switched connection), and is together referred to as an Iub data stream. The Iub data stream shall follow the same specification as the Iur data stream. Over the Iub interface between the RNC and one Node B, one or more Iub data streams are established, each corresponding to one or more cells belonging to the Node B.
7.5.4.1 Functional Split Over Iub 7.5.4.1.1 Macro-diversity Combining of Radio Frame Data Blocks Node B may perform macro-diversity combining/splitting of data streams communicated via its cells. RNC performs macro-diversity combining/splitting of Iub data streams received from/sent to several Node B(s). 7.5.4.1.2 Control of Macro Diversity Combining/Splitting Topology When requesting the addition of a new cell for a UE to UTRAN connection, the RNC can explicitly request to the Node B a new Iub data stream, in which case the macro-diversity combining and splitting function within the Node B is not used for that cell. Otherwise, the Node B takes the decision whether macro-diversity combining and splitting function is used inside the Node B for that cell i.e. whether a new Iub data stream shall be added or not. The Node B controls the internal Node B handling of the macro-diversity combining/splitting. 7.5.4.1.3 Soft Handover Decision To support mobility of the UE to UTRAN connection between cells, UTRAN uses measurement reports from the MS (Mobile Station) and detectors at the cells. The RNC takes the decision to add or delete cells from the connection. 7.5.4.1.4 Handling of Node B Hardware Resources Mapping of Node B logical resources onto Node B hardware resources, used for Iub data streams and radio interface transmission/reception, is performed by Node B. 7.5.4.1.5 Allocation of Downlink Channelisation Codes Allocation of downlink channelisation codes of cells belonging to Node B is performed in Node B. Note that this does not imply that the signalling of the code allocation to the UE must be done from Node B.
7.5.5 UTRAN Internal Bearers

For all open interfaces, one mandatory set of protocols must be specified. However, a clear separation between the Radio Network functions and the Transport functions should allow this Transport layer to be exchanged to another one with minimum impact on the Radio Network functions. 7.5.5.1 User Data Bearers ATM and AAL type 2 (ITU-T recommendations I.363.2 and I.366.1) is used as the standard transport layer for Soft Handover data stream across the Iur interface. 7.5.5.2 Signalling Bearers 7.5.5.2.1 Signalling Bearer Requirements for Iu Interface Over the Iu interface the RANAP protocol requires: A connectionless transport of RANAP messages to facilitate e.g. paging. A connection oriented transport of RANAP messages e.g. to facilitate messages belonging to a specific User equipment (UE) during a call. A reliable connection to make the RANAP simpler. Support of signalling inactivity testing of a specific UE connection.
7.5.5.2.2 Signalling Bearer Requirements for Iur Interface There exist at least two major types of soft handover over the Iur interface: 1. The case when a new physical transmission (Iur data stream) is set up over the Iur interface to provide an additional cell. 2. The case when existing transmission (Iur data stream) is used over the Iur interface when an additional cell is added in the DRNS. In this case the DRNS must be able to identify the UE in order to perform the adding of the cell. Consequently a UE context must exist in the DRNS. Over the Iur interface the RNSAP protocol requires:
A connection oriented transport of RNSAP messages, i.e. one signalling bearer connection for each DRNS for a particular UE.
A reliable connection to make the RNSAP simpler. Support of signalling inactivity testing of a specific UE connection.
7.6 UTRAN Functions

The functions of UTRAN are divided in functions for overall system control, radio channel ciphering, mobility and radio resource handling.
7.6.1 System Access Control

System access is the means by which a UMTS user is connected to the UMTS in order to use UMTS services and/or facilities. User system access may be initiated from either the mobile side, e.g. a mobile originated call, or the network side, e.g. a mobile terminated call. Admission Control. Congestion Control. System information broadcasting: This function provides the mobile station with the information that is needed to camp on a cell and to set up a connection in idle mode and to perform handover or route packets in communication mode. The tasks may include: Access rights Frequency bands used Configuration of transport channels, PCH, FACH and RACH channel structure of the cell, etc. Network and cell identities Information for location registration purposes UE idle mode cell selection and cell re-selection criteria UE transmission power control information UE access and admission control information
Because of its close relation to the basic radio transmission and the radio channel structure, the basic control and synchronisation of this function should be located in UTRAN.
7.6.2 Radio Channel Ciphering / Deciphering

7.6.2.1 Radio Channel Ciphering This function is a pure computation function whereby the radio transmitted data can be protected against an non-authorised third party. Ciphering may be based on the usage of a session-dependent key, derived through signalling and/or session dependent information. This function is located in the UE and in the UTRAN. 7.6.2.1.1 Radio Channel Deciphering This function is a pure computation function that is used to restore the original information from the ciphered information. The deciphering function is the complement function of the ciphering function, based on the same ciphering key. This function is located in the UE and in the UTRAN.
7.6.3 Mobility
7.6.3.1 Radio Environment Survey This function performs measurements on radio channels (current and surrounding cells) and translates these measurements into radio channel quality estimates. Measurements may include:
Received signal strengths (current and surrounding cells), Estimated bit error ratios, (current and surrounding cells), Estimation of propagation environments (e.g. high-speed, low-speed, satellite, etc.), Transmission range (e.g. through timing information), Doppler shift, Synchronisation status,
Received interference level.
In order for these measurements and the subsequent analysis to be meaningful, some association between the measurements and the channels to which they relate should be made in the analysis. Such association may include the use of identifiers for the network, the base station, the cell (base station sector) and/or the radio channel. This function is located in the UE and in the UTRAN. 7.6.3.2 Handover Decision This function consists of gathering estimates of the quality of the radio channels (including estimates from surrounding cells) from the measuring entities and to assess the overall quality of service of the call. The overall quality of service is compared with requested limits and with estimates from surrounding cells. Depending on the outcome of this comparison, the macro-diversity control function or the handover control function may be activated. This function may also include functionality to assess traffic loading distribution among radio cells and to decide on handing over traffic between cells for traffic reasons. The location of this function is depending on the handover principle chosen: If network only initiated handover, this function is located in the UTRAN; If mobile only initiated handover, this function is located in the UE; If both the mobile and the network can initiate handover, this function will be located in both the UTRAN and the UE. 7.6.3.3 Macro Diversity Control Upon request of the handover decision function, this function control the duplication/ replication of information streams to receive/ transmit the same information through multiple physical channels (possibly in different cells) from/ towards a single mobile terminal. This function also controls the combining of information streams generated by a single source (diversity link), but conveyed via several parallel physical channels (diversity sub-links). Macro diversity control should interact with channel coding control in order to reduce the bit error ratio when combining the different information streams. This function controls macrodiversity execution which is located at the two endpoints of the connection element on which
macro-diversity is applied (diversity link), that is at the access point and also at the mobile termination. In some cases, depending on physical network configuration, there may be several entities which combine the different information streams, e.g. one entity combines information streams on radio signal basis, another combines information streams on wire-line signal basis. This function is typically located in the UTRAN. However, depending on the physical network architecture, some bit stream combining function within the CN may have to be included in the control. 7.6.3.4 Handover Control In the case of switched handover, this function is responsible for the overall control of the handover execution process. It initiates the handover execution process in the entities required and receives indications regarding the results. Due to the close relationship with the radio access and the Handover Decision function, this function should be located in the UTRAN. 7.6.3.5 Handover Execution This function is in control of the actual handing over of the communication path. It comprises two sub-processes: handover resource reservation and handover path new radio and wire-line resources that are required for the handover. When the new resources are successfully reserved and activated, the handover path switching process will perform the final switching from the old to the new resources, including any intermediate path combination required, e.g. handover branch addition and handover branch deletion in the soft handover case. This function is located in the UTRAN for UTRAN internal path switching and in the CN for CN path switching. 7.6.3.6 Handover Completion This function will free up any resources that are no longer needed. A re-routing of the call may also be triggered in order to optimise the new connection. This function is located both in the UTRAN and in the CN.
7.6.3.7 SRNS Relocation The SRNS Relocation function co-ordinates the activities when the SRNS role is to be taken over by another RNS. SRNS relocation implies that the Iu interface connection point is moved to the new RNS. This function is located in the UTRAN and the CN. 7.6.3.8 Inter-System Handover The Inter-system handover function enables handover to and from e.g. GSM BSS. This function is located in the UTRAN, the UE and the CN.
7.6.4 Radio Resource Management and Control

Radio Resource Management is concerned with the allocation and maintenance of radio communication resources. UMTS radio resources must be shared between circuit mode (voice and data) services and other modes of service (e.g. packet data transfer mode and connectionless services). 7.6.4.1 Radio Bearer Connection Set-Up and Release (Radio Bearer Control) This function is responsible for the control of connection element set-up and release in the radio access sub network. The purpose of this function is To participate in the processing of the end-to-end connection set-up and release. And to manage and maintain the element of the end-to-end connection, which is located in the radio access sub network. In the former case, this function will be activated by request from other functional entities at call set-up/release. In the latter case, i.e. when the end-to-end connection has already been established, this function may also be invoked to cater for in-call service modification or at handover execution. This function interacts with the reservation and release of physical (radio) channels function. This function is located both in the UE and in the UTRAN. 7.6.4.2 Reservation and Release of Physical Radio Channels This function consists of translating the connection element set-up or release requests into physical radio channel requests, reserving or releasing the corresponding physical radio
channels and acknowledging this reservation/release to the requesting entity. This function may also perform physical channel reservation and release in the case of a handover. Moreover, the amount of radio resource required may change during a call, due to service requests from the user or macro-diversity requests. Therefore, this function must also be capable of dynamically assigning physical channels during a call. This function may or may not be identical to the function reservation and release of physical radio channels. The distinction between the two functions is required e.g. to take into account sharing a physical radio channel by multiple users in a packet data transfer mode. This function is located in the UTRAN. 7.6.4.3 Allocation and De-Allocation of Physical Radio Channels This function is responsible, once physical radio channels have been reserved, for actual physical radio channel usage, allocating or de-allocating the corresponding physical radio channels for data transfer. This function may or may not be identical to the function reservation and release of physical radio channels. The distinction between the two functions is required e.g. to take into account sharing a physical radio channel by multiple users in a packet data transfer mode. This function is located in the UTRAN. 7.6.4.4 Packet Data Transfer Over Radio Function This function provides packet data transfer capability across the UMTS radio interface. This function includes procedures which: Provide packet access control over radio channels. Provide packet multiplexing over common physical radio channels. Provide packet discrimination within the mobile terminal. Provide error detection and correction. Provide flow control procedures.
This function is located in both the UE and in the UTRAN.

7.6.4.5 RF Power Control In order to minimise the level of interference (and thereby maximise the re-use of radio spectrum), it is important that the radio transmission power is not higher than what is required for the requested service quality. Based on assessments of radio channel quality, this function controls the level of the transmitted power from the mobile station as well as the base station. This function is located in both the UE and in the UTRAN. 7.6.4.6 RF Power Setting This function adjusts the output power of a radio transmitter according to control information from the RF power control function. The function forms an inherent part of any power control scheme, whether closed or open loop. This function is located in both the UE and in the UTRAN. 7.6.4.7 Radio Channel Coding This function introduces redundancy into the source data flow, increasing its rate by adding information calculated from the source data, in order to allow the detection or correction of signal errors introduced by the transmission medium. The channel coding algorithm(s) used and the amount of redundancy introduced may be different for the different types of transport channels and different types of data. This function is located in both the UE and in the UTRAN. 7.6.4.8 Radio Channel Decoding This function tries to reconstruct the source information using the redundancy added by the channel coding function to detect or correct possible errors in the received data flow. The channel decoding function may also employ a priori error likelihood information generated by the demodulation function to increase the efficiency of the decoding operation. The channel decoding function is the complement function to the channel coding function. This function is located in both the UE and in the UTRAN.
7.6.4.9 Channel Coding Control This function generates control information required by the channel coding/ decoding execution functions. This may include channel coding scheme, code rate, etc. This function is located in both the UE and in the UTRAN. 7.6.4.10 Initial (Random) Access Detection and Handling This function will have the ability to detect an initial access attempt from a mobile station and will respond appropriately. The handling of the initial access may include procedures for a possible resolution of colliding attempts, etc. The successful result will be the request for allocation of appropriate resources for the requesting mobile station. This function is located in the UTRAN. 7.6.4.11 Other Funtions: Radio resource configuration and operation [TDD - Dynamic Channel Allocation (DCA)] Radio protocols function [TDD - Timing Advance] CN Distribution function for Non Access Stratum messages.
7.7 Identifiers
The following identifiers are used within UTRAN
7.7.1 UTRAN identifiers

PLMN Identifier: PLMN-Id = MCC + MNC CN Domain Identifier: CN CS Domain-Id = PLMN-Id + LAC CN PS Domain-Id = PLMN-Id + LAC + RAC RNC Identifier: Global RNC-Id = PLMN-Id + RNC-Id Service Area Identifier: SAI = PLMN-Id + LAC + SAC
Cell Identifier: UC-Id = RNC-Id + C-Id
7.7.2 UE Identifiers
When the UE is known to UTRAN is given an identity, called the Radio Network Temporary Identity. There are four different RNTIs: 1. s-RNTI: Serving RNC RNTI 2. d-RNTI: Drift RNC RNTI 3. c-RNTI: Cell RNTI 4. u-RNTI: UTRAN RNTI
7.8 UMTS QoS and RAB

7.8.1 Quality of Service (QoS)
The general QoS approach for UMTS is that only the QoS perceived by end-user matter, that is from one terminal equipment to another terminal equipment. To realise a certain network QoS a Bearer Service with clearly defined characteristics and functionality is to be set up from the source to the destination of a service. A bearer service includes all aspects to enable the provision of a contracted QoS. These aspects are among others the control signalling, user plane transport and QoS management functionality. The UMTS QoS concept is describes in the specification 23.107 The QoS negotiation is a trace off between bit error rate (BER) delay and bit rate. There are four QoS classes defined for UMTS (the same as for GPRS) responding to different requirements for delay. When negotiating QoS a number of service attributes are agreed (Traffic class, maximum and guaranteed bit rate, delay and BER, etc.)
Traffic class
Conversational class Conversational RT
Streaming class Streaming RT
Interactive class Interactive best effort
Background Background best effort
Preserve time relation (variation) between Fundamental information characteristics entities of stream Conversational pattern (stringent and low delay) Example of application Voice
Preserve time relation (variation) between information entities of stream
Request response pattern
Destination is not expecting the data within a certain time
Preserve Preserve payload payload content content Background download of emails
Streaming video Web browsing Table .1. UMTS QoS Classes 7
Traffic class Maximum bitrate (kbps) Delivery order Maximum SDU size (octets) Delivery of erroneous SDUs Residual VER SDU error ratio Transfer delay (ms) Guaranteed bit rate (kbps) Traffic handling priority Allocation/Retention Priority
Conversational class <2000 Yes/No <1500 Yes/No/-
Streaming class <2000 Yes/No <1500 Yes/No/-
Interactive class <2000 overhead Yes/No <1500 Yes/No/410-3, 10-5, 610-8 10-3, 10-4, 10-6
Background class <2000 overhead Yes/No <1500 Yes/No/410-3, 10-5, 610-8 10-3, 10-4, 10-6
510-2, 10-2, 10- 510-2, 10-2, 103 3 , 10-4 , 10-4 10-5, 10-6 10-2, 10-3, 10-4, 10-5 10-2, 10-3, 10-4, 10-5
100 500 maximum value maximum value <2000 <2000 1, 2, 3 1, 2, 3 1, 2, 3 1, 2, 3 1, 2, 3
Table .2. Value Ranges for UMTS Bearer Service Attributes 7

7.8.2 Radio Access Bearers (RAB)

RAB is described by: Information quality of service Bit rate Bit error ratio Maximum transfer delay Delay variation
Traffic characteristics Point-point, uni-directional or bi-directional (symmetric or asymmetric) Point-to-multipoint, uni-directional (multicast and broadcast)
C hapter 8: Core Network
Chapter 8: Core Network

8.1 Introduction
The UMTS core network will be based in the existing GSM core network, or GSM Network Switching System (GSM NSS). Keeping GSM as the core network for the provision of third-generation wireless services has distinct commercial advantages: protecting the investment of existing GSM operators; helping ensure the widest possible customer base from day one; and fostering supplier competition through the continuous evolution of GSM systems. A wide customer base from day one is achieved with the help of dual mode GSM/UMTS mobile terminals, full roaming and hand-over from one system, and with mapping of services between the two systems as far as possible. The use of dual mode mobiles in the early phases of introduction of third-generation systems will ensure that UMTS subscribers will able to enjoy roaming and interworking with the global GSM community. The GSM standard offers a sound base for UMTS core networks, whether as evolved GSM core networks or as newly-built pure UMTS networks (albeit with different topology and physical implementation).
8.2 GPRS, an Important Stepping Stone Towards a UMTS Core Network

The real point of moving to third generation systems is to give users high speed access to wireless multimedia services and other wireless data services. Bearing this in mind it is worth noting that todays wireless data market is still in its infancy: among wireless subscribers, penetration of wireless datacom services is still less than three per cent, excluding Short Message Service (SMS).
The problem is that the current wireless networks are not best equipped to deal with these new forms of data use, and do not meet the UMTS requirements. As circuit switched networks, they are inefficient at handling small, frequent data calls and bursty IP traffic. General Packet Radio Service (GPRS), the packet-based data bearer service for GSM, offers current GSM operators an opportunity to kickstart the predicted mass market for wireless data services. And important to note, it is relatively small step from building a core network capable of delivering GPRS services to enhancing it to meet the requirements of UMTS. In other words, implementing GPRS will provide a core network platform for current GSM operators not only to expand the wireless data market in preparation for the introduction of third-generation services, but also to build upon for IMT-2000. GPRS will provide end-to-end packet switching capability from the mobile terminal upwards, enhancing GSM data services significantly, especially for bursty Internet/intranet traffic. Call set-up will be almost instantaneous and users will be charged on the basis of actual data transmitted, rather than connection time. GPRS does not require any end-to-end connection and only uses network resources and bandwidth when data is actually being transmitted. This make extremely efficient use of available radio bandwidth to be shared between many users. All the widely-used data communication protocols, including IP will be supported by GPRS, so it will be possible to connect to any data source from anywhere in the world using a GPRS mobile terminal. By providing seamless interconnection with existing data services, via for example TCP/IP and X.25 interfaces, GPRS will support applications ranging from low-speed short messages to high-speed corporate LAN communications. The introduction of GPRS is one of the key staging posts in the evolution of GSM networks to third-generation capabilities. GPRS can therefore help remove the network barriers to large-scale take-up of wireless data services by allowing familiar, user-friendly interfaces like the Internet to be used, permitting volume-based charging and providing high-speed user data rates. So what needs to happen in the core network to support the move to GPRS and, ultimately, UMTS?
8.3 Upgrading the GSM Core for GPRS

Compared with establishing a completely new communications system, building GSM-UMTS infrastructure based on an existing GSM network will be a relatively fast exercise. An intermediate move to a GSM-GPRS network will make the transition even easier. While GPRS will require new functionality in the GSM network, with new types of connections to external packet data networks, it will essentially be an extension of GSM. Moving to a GSM-UMTS core network will likewise be an extension of this evolved network. GPRS will be implemented simply by adding new packet data nodes and upgrading existing nodes to provide a routing path for packet data between the wireless terminal and a gateway node. The gateway node will provide interworking with external packet data networks for access to the Internet, intranets and databases, for example.
8.3.1 New Nodes for Packet Data

Two new logical nodes will be introduced to handle GPRS applications in the GSM: Serving GPRS Support Node (SGSN) Gateway GPRS Support Node (GGSN)
The SGSN will provide packet routing, including mobility management, authentication and ciphering to and from all GPRS subscribers located in the SGSN service area. A GPRS subscriber may be served by any SGSN in the network, depending on location. The traffic is routed from the SGSN to the Base Station Controller (BSC) and to the mobile terminal via the Base Transceiver Station (BTS). The GGSN will provide the gateway to external ISP networks, handling security and accounting functions as web as dynamic allocation of IP addresses to serve mobile terminal. From the external IP networks point of view, the GGSN is a host that owns all IP addresses of all subscribers served by the GPRS network. The nodes will be interconnected by an IP backbone network. The SGSN and GGSN functions may be combined in the same physical node, or separated, even residing in different mobile networks.
A key requirement for these new nodes is that they are scalable, so that GSM operators can start to offer high-speed packet data services using small nodes in selected areas costeffectively, and add extra capacity as it is needed. The SGSN and GGSN should also support several radio networks (those with compliant open interfaces) at the same time.
8.3.2 Upgrades to Existing GSM Nodes

Few or no hardware upgrades will be needed in the existing GSM nodes, and the same transmissions links will be used between BTSs and BSCs for both GSM and GPRS. A special interface will be provided between the MSC/Visitor Location Register (VLR) and the SGSN to co-ordinate signalling for mobile terminals that can handle both circuit-switched and packet-switched data. The HLR will contain GPRS subscription data and routing information, and will be accessible from the SGSN. The HLR will also map each subscriber to one or more GGSNs. The BSC will require new capabilities for controlling the packet channels: new hardware in the form of a Packet Control Unit (PCU) and new software for GPRS mobility management and paging. The BSC will also have a new traffic and signalling interface from the SGSN. The BTS will have new protocols supporting packet data for the air interface, together with new slot and channel resource allocation functions. The utilisation of radio channels will be optimised through dynamic sharing between the two traffic types (circuit and packet switched traffic), handled by the BSC.
8.4 Moving to UMTS in the GSM/GPRS Core

UMTS will have an evolved GSM core network, which will be backward compatible with the GSM network in terms of network protocols and interfaces (MAP, ISUP, etc.). This core network will support both GSM and UMTS, with hand-over and roaming between the two. UMTS Terrestrial Radio Access Network (UTRAN) will be connected to the GSM-UMTS core network using a new multi-vendor interface (the Iu). The transport protocol within the new radio network and to the core network will be ATM. There will be a clear separation between the services provided by the UTRAN and the actual channels used to carry these services. All radio network functions (such as resource control)
will be handled within the radio access network, and clearly separated from the service and subscription functions in the core network. The GSM-UMTS network will consist of three main parts: GSM-UMTS core network UMTS Radio Access Network (URAN) GSM Base Station Subsystem (BSS)
Like the GSM-GPRS core network, the GSM-UMTS core network will have two different parts: a circuit switched part (MSC) and a packet-switched part (GSN). The core network access point for GSM circuit switched connections is the GSM MSC, and for packet switched connections is the SGSN. GSM-defined services (up to and including GSM Phase 2+) will be supported in the dual GSM way. The GSM-UMTS core network will implement supplementary services according to GSM principles (HLR-MSC/VLR). Modifications to support UMTS will be requires in all core network nodes. MSC and SGSN must be upgraded to handle the new signalling and traffic protocols towards UTRAN. Furthermore, HLR and VLR must be modified to store UMTS service profiles and subscription data. Last but not least, all nodes must be upgraded to handle the new range of data rates and the concept of quality of service negotiation and re-negotiation. Apart from the new range of higher data rate bearer services and more advanced QoS procedures, the UMTS core network introduces a third major novelty as compared to preUMTS networks - in how services will be handled. Pre-UMTS systems have largely standardised the complete sets of teleservices, applications and supplementary services which they provide. As a consequence, substantial re-engineering is often required to enable new services to be provided and the market for services is largely determined by operators to differentiate their services. UMTS shall therefore standardise service capabilities and not the services themselves. Service capabilities consist of bearers defined by QoS parameters and the mechanisms needed to realise services. These mechanisms include the functionality provided by various network elements., the communication between them and the storage of associated data. It is intended that these standardised capabilities should provide a defined platform which will enable the support of speech, video, multi-media, messaging data, other teleservices, user applications and
supplementary services and enable the market for services to be determined by users and home environments. New services, beyond GSM Phase 2+, will thus no longer be standardised. Instead they will be created using new the service capabilities (which are standardised) mentioned above. These service capabilities may be seen as building blocks that provide service mechanisms in the UMTS network and UMTS mobile terminal that can be used for service creation. They include for instance: Bearers defined by quality of service (QoS) parameters Intelligent network functionality Mobile Equipment Execution Environment (MEXE) WAP and Telephony value-added Services SIM Application Toolkit Location servers Open interfaces to mobile network functions Downloadable application software
So, in addition to new services provided by the GSM-UMTS network itself, many new services and applications will be realised using a client/server approach, with servers residing on service LANs outside the GSM-UMTS core network. For such services, the core network will simply act as a transparent bearer. The core network will ultimately be used for the transfer of data between the end-points, the client and the server.
8.4.1 Cell-Based Transport Network

To make the most of the new UTRAN capabilities, and to cater for the large increase in data traffic volume, ATM (Asynchronous Transfer Mode) will be used as the transport protocol within the UTRAN and towards the GSM-UMTS core network. The combination of ATM and UTRAN capabilities and the increased volume of packet data traffic over the air interface will mean a saving of at least 50% in transmission costs, compared with the equivalent current solutions.
ATM, with the newly-standardised AAL2 adaptation layer, provides an efficient transport protocol, optimised for delay-sensitive speech services and packet-data services. Introducing ATM as a transport protocol does not, however, imply a completely new transport infrastructure: the ATM could well be run over existing STM lines.
8.5 UMTS
Core
Network
Phase
(Release
99)
Requirements
In the first phase of UMTS, the UMTS core network capabilities are a superset of the phase 2+ release 99 GSM core network capabilities. The additional requirements for the phase 1 UMTS core network are the following: The phase 1 UMTS core network shall support circuit switched data service capability of at least 64 kbit/s per user. This shall not limit the user from choosing lower data rates. The phase 1 UMTS core network shall support packet switched data service capability of at least 2 Mbit/s peak bit rate per user. This shall not limit the user from choosing lower data rates. The phase 1 UMTS core network shall enable set-up, re-negotiation and clearing of connections (i.e. CS calls or PS sessions) with a range of traffic and performance characteristics. The re-negotiation of QoS attributes for a bearer service may be caused by an application or the user via an application. It shall be possible to apply traffic policing (e.g. connection admission control, flow control, usage parameter control) on a connection during its set-up and lifetime. The phase 1 UMTS core network shall support a range of traffic and performance characteristics for connectionless (e.g. unicast, broadcast, and multicast) traffic. The range of traffic and performance characteristics that shall be supported by the phase 1 UMTS core network shall be at least those of GPRS phase 2+ release 99. This means that the support of the full set of bearer services defined in the UMTS specifications is not required for the phase 1 UMTS core network. Established bearers shall not prevent the set-up of a new bearer. These bearers can be of any type (e.g. PS, CS). It is nevertheless expected that the terminal and network
capabilities will put some limitations on the number of bearer services that can be handled simultaneously. It shall be possible for each bearer to have independent traffic and performance characteristics. In order to facilitate the development of new applications, it shall be possible to address applications to/from a phase 1 UMTS mobile termination (e.g. the notion of Internet port). Operator specific services based shall be supported by the phase 1 UMTS core network. This functionality could be provided through available toolkits (such as IN, MEXE, WAP and SIM Toolkit). The phase 1 UMTS core network shall support interworking with PSTN, N-ISDN, GSM, X.25 and IP networks with their respective numbering schemes. It shall be possible for the standardised classes of phase 1 UMTS mobile terminals supporting the GSM BSS and UTRAN radio interfaces to roam in GSM networks and receive GSM services. Standardised protocols shall be defined for the operation, administration and maintenance of the UMTS phase 1 core network in co-operation with relevant groups within ETSI.
C hapter 9: Handover (Downlink Case Example)
Chapter 9: Handover (Downlink Case Example)

In this chapter a complete case of handover is presented. A GSM macro cell and six UMTS macro cells compose the scenario. The four RNCs and the BSC are connected through the common Core Network.
9.1 Position 1
The UE receives information from the Node B that controls the cell with Scrambling Code 1, SC1. All the information of the first Node B is received from the Radio Network Controller 1, RNC1.
9.2 Position 2
The UE enters in a new cell using the same frequency. This cell has a different Scrambling Code (SC2) and is controlled by a new Node B that depends on the same RNC1. The RNC1 is transmitting to two different Node Bs. This operation is known like combining and splitting and is performed by the RNC Signal Processing. In this short period a soft handover, SOHO, is performed. The handover decisions are taken in the RAB Management of the RNC1.
9.3 Position 3
The UE is completely inside the cell number two (SC2) and is receiving from the second Node B.
9.4 Position 4
The UE is crossing the cell border to enter in the cell number three (SC3) that is controlled by the same Node B. Now the combining operation is realised by Node B with the RNC supervision. In this case a softer handover is performed. This is the simplest case that can be found.
9.5 Position 5
The UE is completely inside the cell number three (SC3) and is receiving from the second Node B.
9.6 Position 6
The UE is crossing the cell border to enter in the cell number four (SC4) that is controlled by the third Node B. This Node B is controlled by a second RNC, RNC2. In this case an Iur interface is present between the two RNCs. The RNC1, that controls the Serving Radio Network Subsystem, SRNS, is called Serving RNC and the RNC2, that controls the Drift Radio Network Subsystem, DRNS, is called Drift RNC. The combining and splitting operations are performed by the Serving RNC, RNC1, where the handover decision are taken. Even SRNS relocation is realised. In this case a soft handover is performed. The SOHO condition has the drawback that is necessary to transmit more power.
9.7 Position 7
The UE is completely inside the cell number four (SC4) and is receiving from the third Node B.
9.8 Position 8
The UE is crossing the cell border to enter in the GSM cell controlled by the BTS. All the information regarding the UE in position 7 is transmitted to the BSC through the Core Network. In this case only a hard handover (UMTS-GSM) can be performed.
9.9 Position 9
The UE is crossing the cell border to enter in a UMTS cell controlled by RNC3. The downlink is realised to frequency f1. Even in this case only a hard handover (GSM-UMTS) can be performed. All the information regarding the UE in position 8 is transmitted to the RNC3 through the Core Network.
9.10 Position 10
The UE is crossing the cell border to enter in a new cell controlled by RNC4. The downlink is realised to frequency f2. In this case only a hard handover can be performed because of the different frequencies within the two cells. Even in this case to transmit all the information regarding the UE in position 9 to the RNC4 the Core Network is used. For the Uplink case the analogue considerations can be done
C hapter 10: Cell Planing
Chapter 10: Cell Planing

10.1 Introduction to Cell Planning
Network planning covers two major areas: radio network planning and network dimensioning. Radio network planning includes the calculation of the link budget, capacities, and thus the required number of cell sites. Furthermore, radio network planning includes detailed coverage and parameter planning for individual sites. Planning an immature network with a limited number of subscribers is not the real problem. The difficulty is to plan a network that allows future growth and expansion. Wise re-use of site location in the future network structure will save money for the operator. In this chapter we will look at different cell types, the different steps in cell planning, the differences compared to GSM cell planning as well as some of the advantages of co-siting with GSM.
10.2 Different Cell Types

A cellular network is created by means of placing equipment in strategic places to guarantee a certain perceived Quality of Service. Idealistic then would be to place a base station in every street corner, this though is not cost efficient. Which dell type to use, must be weighed against cost and expected penetration (see Figure 0.1). 1
Coverage Capacity Penetration
Cost Spectrum Quality
Figure 0.1. The Choice of Cell Types Affecting Several Posts on The Scale 1 Important when designing a network is to find a balance regarding which combination of the types of cells to use. The most common ones today are macro, micro and pico cells, but
sometimes also mini cells are mentioned. As co-siting is one key design objective for UMTS networks, it is very likely that UMTS will have the same type of cells as todays second generation systems. However, it should be noted that high bit rates have lower coverage than low bit rates. Thus, if the UMTS network is designed to handle high bit rates, i.e. 384 kbps and above, the majority of the cells will be micro and pico cells. Macro cells, have a typical coverage range from 1 to 35 km (several vendors offers special high coverage solutions that will extend the coverage beyond 35 km). Normally the site location is on a hilltop or a rooftop, guarantying good coverage. The main rays are propagated over the rooftops. Micro cells have a typical coverage range from o.1 to 1 km, where the major part of the radio waves is propagated along the streets. The base station antenna placement is below the rooftops of the surrounding buildings. A micro cell can maintain indoor coverage in the lower levels of a building. Pico cells supplies coverage in indoor environment (or possibly outdoors in environments physically distinctly limited a backyard e.g.). The base station is transmitting at low output power and the antennas could be mounted on walls or in the ceiling. Pico cells are used when the capacity needed is extremely high in certain hot spots. Mini cells are between macro and micro cells, as the antenna is typically placed at the same level as the rooftops. HCS (Hierarchical Cell Structures) is an example of how different cell types can be deployed in the same area. Traditionally, the different cell types, i.e. macro and micro cells use different frequency bands. HCS offers a high capacity solution, as the micro band is capable of handle a high load. HCS also allows for the possibility to conduct load sharing between the different cell layers. In order to limit the amount of handovers in the system, one may also consider the users velocity when deciding which cell layer to use. In the theoretical part of cell planing, base station coverage areas or cells are shown as hexagons. This is so because the system is designed to let the mobile always operate on the nearest or best base station. Thus, boundaries between the base station cells will theoretically form straight lines, perpendicular to the connection lines between the sites, and these will form a hexagonal cellular pattern (see ).
Figure 0.2. Cell Coverage Shown as a Hexagon 1 The use of different types of cells on the same area introduces the concept of a hierarchical structure, leading to increasingly complex handover relations and planning.
10.3 Steps in the Cell Planning Process

Cell planning means building a network able to provide service to the customers wherever they are. This work can be simplified and structured in certain steps (see Figure 0.3). Some 1 of these steps are performed frequently whilst other are more rare. Normally the output from one box is the input of another. A cell planner most likely is dealing with the content of several of these boxes at the same time. The following describes the content of the boxes and what each step may involve. This process is by no means complete or unbeatable, each operator has its own flowchart of processes.
System Requirements Define Radio Planning Initial Cell Plan Surveys Individual Site Design
System Growth
On-going Testing
Launch of Service
Implementation
Figure 0.3. Different Steps in The Cell Planning Process 1 This process should not be considered just as it is depicted, in a single flow of events. For instance, the radio planning and surveying actions are interlinked in an ongoing iterative process that should ultimately lead to the individual site design.
10.3.1 System Requirements:

Licence (available bandwidth may also set coverage requirements). Coverage for different customers in different environments. Traffic behaviour of customers in different regions (uplink and downlink may differ). Quality of Service (dropping and delay) and GoS (blocking). Phase of build out (expansion and future investments?).
10.3.2 Define Radio Planning Guidelines:

Coverage and interference: which prediction model to use, fading margins for indoor, outdoor and in-car. Traffic planning: choice of models and processes. Testing and optimisation strategy.
10.3.3 Initial Cell Plan:

Idealised overview of site locations (consider GSM initially also WCDMA for expansion). Predicted composite coverage and interference map. Cell configuration, parameter setting, channel loading plan (if co-siting, consider existing site).
10.3.4 Surveys:
Radio environment survey: Investigate path loss, interference and time dispersion. Investigate other systems antenna and interfering transmitters. Sit Survey: Pinpoint exact location with GPS. The ideal planned locations have to be searched for any suitable building, tower or vacant lot that could be leased for a reasonable cost. Check space for antenna mounting, isolation, diversity, roof clearance (first Fresnel zone empty). Investigate physical necessities such as space for equipment, power and PCM links.
10.3.5 Individual Site Design and Parameter Setting:

Radio engineers need to select best site location from the options available from the site acquisitors. Dimensioning of node B, transport network and RNC. Antenna type and gain, direction and tilt and ERP need to be decided. Final parameter setting (power planning, HO margin, neighbour list (GSM), scrambling code, functionality).
10.3.6 Implementation:
Install: node B, power, termination equipment for PCM link, air-conditioning equipment, earth bar, lightning equipment and antennas. Adjust output power, set parameters. Commissioning tests of node B. Drive testing to detect blank spots and interference and to confirm correct call set-up, handover, location updating and to detect missing neighbour relationships.
10.3.7 Launch of Commercial Service:

When the network is operational a commercial launch can be made.
10.3.8 On-going Testing, Analyses and Optimisation:

System diagnostics: collect statistics in OMC, MSC or RNC to analyse traffic behaviour, traffic distribution, Grade of Service, call success rate, handover failures, dropped calls, radio channels quality, access links statistics, and to study trends. Drive testing to localise weak signal strength, interference, time dispersion or other radio problems. Also to investigate problems reported by customers and to validate changes undertaken. Analysis of the results above, and Optimisation of parameters, timers, physical implementation of antenna directions or tilts or any other measures to counteract detected problems.
10.3.9 System Growth

More traffic, due to more users or new services. Expansion of existing sites. New sites added.
10.4 Differences With 2G TDMA Systems - Deployments

10.4.1 Exploiting Existing Networks
Re-use of site locations and equipment (site Co-sting). Information about traffic and propagation conditions. Handover to GSM (for coverage or load sharing purpose).
10.4.2 Multi Service

Load from several different types of services.. Different services have different coverage. Delay requirements.
10.4.3 New Air Interface

Trade-off between coverage and capacity. Power planning instead of frequency planning.
10.5 Calculation of Coverage and Capacity

In WCDMA power is the common shared resource. Thus, in order to achieve high spectrum efficiency WCDMA supports a fast quality based power control. The combination of these two features together with the fact that WCDMA use a frequency re-use of one results in that WCDMA offers a trade-off between coverage and capacity.
This means that at low load, i.e. low interference, the users can be further away from the base station, and still supported, compared to when there is a high load, i.e. high interference in the system.
10.5.1 Needed Input Parameters

The needed input parameters are: Coverage requirements (indoor, probability, bit rate at cell border). Supported services. GoS. Available spectrum, i.e. number of carriers. Area to cover and which type of area it is (urban, suburban,...). Users within the area. Traffic that each user generates (uplink and downlink separately).
Based on that information, the amount of traffic per carrier in a given area can be calculated. Further, the C/I for the different services can be calculated by taking the Eb/No values from the WCDMA RTT. The C/I = Eb/No 10log(chip rate/bit rate)
10.5.2 Uplink Design

The first step in the uplink design is to make an initial assumption about the uplink load. The initial assumed load usually corresponds to a low load. By using the load assumption in combination with the coverage requirement, a link budget can be calculated. From the link budget, the cell range can be calculated and thus also the cell area. Knowing the area, the traffic within that area can be calculated. By using the GoS input requirement, we can calculate how much interference we should design for. In the next step, the assumed load is compared to the calculated design load. If the assumed load is greater than the calculated load, the process is completed and we have found a design that handles the traffic in the system. Otherwise, one should check if the assumed load equals or exceeds the maximum load in the system. If it does, then the system is capacity limited and the number of sites needed can be found from dividing the total traffic with the traffic that one
site can handle. If the system is not capacity limited, one assumes a new load and repeats the process.
10.5.3 Downlink Design

From the uplink, one gets the cell range and the cell area. Having the cell area, traffic within that area is calculated. By using the GoS for the different supported services, the needed resources are calculated. Then by using the downlink plot, it can be seen whether the design supports the downlink load or not. If the downlink load is supported, the design process is completed. Otherwise, the cell range and the cell area must be reduced until the downlink load is handled.
10.5.4 Co-Siting With GSM Case

When the aim is to co-site with GSM, the process is slightly different as the site locations already are known. By knowing the cell range, one can make an uplink link budget in order to find out now large interference margins can be tolerated. By comparing the load that a 5 MHz carrier can handle and compare it with the uplink traffic demand within the cell area, the needed number of frequencies can be estimated. In the downlink, the supported load per carrier can be found from the downlink plot once the cell range is given, i.e. the cell range used in the existing GSM network. The needed amount of carriers can then be calculated, just as in the uplink, by dividing the traffic demand within the cell area with the traffic that one carrier can handle.
C hapter 11: WORLD-WIDE CONSENSUS ON ADDITIONAL SPECTRUM FOR 3RD GENERATION
Chapter 11: WORLD-WIDE
CONSENSUS
ON
ADDITIONAL SPECTRUM FOR 3RD GENERATION

IMT-2000 IS ANOTHER GIANT LEAP FORWARD FOR EVERYONES MOBILE FUTURE June 1st 2000: The promise of tomorrows global information society has taken a major step forward with the successful identification of additional radio spectrum to support the rapid rollout of "third generation" (3G) UMTS/IMT-2000 mobile communications services for all the worlds regions. The historic announcement - finally approved at the WRC 2000 plenary - was made at the conclusion of the month-long WRC-2000 (World Radiocommunication Conference) meeting in Istanbul after four weeks of intense work by spectrum administrators representing every government. Representatives of the UMTS Forums Spectrum Aspects Group (SAG) provided support and expert inputs to the Conference, following four years involvement in this uniquely important and complex project. The Inter-governmental Conference reached a global consensus to identify additional bands for the terrestrial component of UMTS/IMT-2000. Crucially, as well as providing additional capacity to support the future mass market for mobile multimedia services - calculated by the UMTS Forum to approach 2 billion users within the next decade - this result also paves the way for the introduction of 3G services even in regions where the core spectrum has not hitherto been available for IMT-2000. This means that mobile users will be able to access their personal information services using affordable handheld terminals wherever they travel. The additional terrestrial bands agreed by WRC2000 for IMT-2000 cover three alternative areas of spectrum to complement the IMT2000 core bands (1885 - 2025 and 2110 - 2200 MHz) identified by a previous Conference in 1992. The new bands are:
806-960 MHz 1,710-1,885 MHz 2,500-2,690 MHz
All of these three bands meet the UMTS Forums call for 160 MHz of global additional spectrum that is required to support the forecast growth of traffic and services that will outstrip the capacity of the present IMT-2000 core band in many markets before the end of this decade. This 160 MHz of additional spectrum in every ITU Region was calculated on the basis of traffic forecasts and the existing available mobile bands for 2nd and 3rd generation services. This groundbreaking news comes at a time when the UMTS licensing process is rapidly progressing in many countries throughout Asia and Europe in order to commence commercial services by 2001/2002. More than 100 licenses are to be awarded to operators of highcapacity UMTS mobile multimedia services within the next 12-18 months. Each government will make their own decision on the choice and timescale for making these additional bands available for IMT-2000 use. Factors influencing the availability of these additional frequencies include the local market demand for 3rd generation services and economic factors such as the stage of development of present 2nd generation networks. Some existing operators may also wish to consider migrating their networks to IMT-2000 in order to offer the benefits of lower costs and high-speed packet data services up to 2Mbit/s and beyond. The decision on extension band spectrum follows an earlier milestone of equal importance reached last month when the ITU Radiocommunication Assembly unanimously approved the formal adoption of the first release of IMT-2000 radio interface specifications. UMTS Forum Chairman Dr Bernd Eylert said today of the decision: "The UMTS Forum wishes to congratulate the ITU and to thank all its members for this successful result. Its an incredible milestone in the development of tomorrows mobile networks, and a fantastic result for the entire global mobile industry which is represented by the membership of the UMTS Forum - the worlds largest pan-industry group dedicated to 3G mobile matters."
Dr Eylert continued: "This decision is particularly welcome as it provides a solid basis for the regional introduction of 3G services, even in territories that were effectively blocked from the benefits of 3G in the past because of limited spectrum. The stage is now set for UMTS/IMT2000 to deliver on its exciting promise of immense socio-economic benefits for all the worlds mobile users. The UMTS Forum will continue its work in this very important field to assist the regions in their IMT-2000/UMTS deployments."

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UMTS OVERVIEW

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

VI UMTS Overview July 2001

Contents, Glossary and Abbreviations

VII UMTS Overview July 2001

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

IX UMTS Overview July 2001

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

Contents, Glossary and Abbreviations

XII UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

Chapter 1: UMTS, the Definition of a New Era

1.2 Background and Standardisation

1 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

C hapter 1: UMTS, the Definition of a New Era

1.2.2 Background in Japan

3 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

1.2.3 Background in China

1.2.4 Creation of 3GPP

C hapter 1: UMTS, the Definition of a New Era

1.2.5 Creation of 3GPP2

5 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

1.3 IMT-2000 and UMTS

6 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

7 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

C hapter 1: UMTS, the Definition of a New Era

MSS S-PCN (UL)

MSS S-PCN (UL) MSS S-PCN (UL)

GSM 1800 (DL)

MSS S-PCN (UL)

PCS Un. Lic.

MSS S-PCN (DL)

MSS S-PCN (DL)

9 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

UTRA TDD W-TDMA/CDMA TDD

Availability of all core bands for UMTS.

C hapter 1: UMTS, the Definition of a New Era

Additional spectrum for terrestrial and satellite use.

144 kbps 10 kbps

HSCSD, GPRS GSM

Figure .2. Bit Rate and Coverage 1

1.4 UMTS as the 3rd Generation System

C hapter 1: UMTS, the Definition of a New Era

1.4.2 New Roles and Relationships for UMTS

12 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

1.4.3 Work Regulations

1.4.4 UMTS Services and Applications

13 UMTS Overview July 2001

C hapter 1: UMTS, the Definition of a New Era

1.4.5 UMTS Advanced Concepts