UTRAN

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U101 UMTS Network Systems Overview 1

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Contents and Session Aims

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RNS, RNC and Node-B This session aims to explain the
roles and procedures behind
Handover in UMTS UTRAN
! To describe in detail the entities
Admission Control comprising the UTRAN
Load Control ! To examine the role of UTRAN in
Soft Handover
Radio Resource
! To look at Call Admission,
Management Congestion control and Radio
Resource Management Algorithms
Transmit Diversity
! To look at how the air interface is
Cell Search and affected by power control
Synchronisation algorithms
Power Control

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UTRAN
UTRAN is the UMTS Terrestrial Radio Access Network
For any network UTRAN consists of:
! One or more RNSs with their associated RNCs, Node Bs and Cells
The functions of UTRAN (as described above) are:
! System access control
! Security and privacy
! Handover
! Radio resource management and control

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Radio Network Subsystem (RNS)

A Radio Network Subsystem Iu
consists of:
! A single RNC Iur
RNC
! One or more Node Bs
! Cells belonging to Node Bs
The UMTS equivalent of the GSM
BSS Node B Node B
Cell Cell
Cell Cell Cell Cell
Uu

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Radio Network Controller (RNC)

Responsible for the use and
integrity of the radio resources Iu
within the RNS
Iur
Responsible for the handover RNC
decisions that require signalling to
the UE
Node Node
Provides a combining/splitting B B
function to support macro diversity
between different Node Bs Cell Cell
Cell Cell Cell Cell
Uu

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Node B
Logical node responsible for radio
transmission / reception in one or Iu
more cells to/from the UE
Iur
Dual mode Node B can support RNC
FDD and TDD mode
Not necessarily a single site Node Node
according to the standards B B
! Most current implementations use
a single site Cell Cell
Cell Cell Cell Cell
Uu

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Cell
A cell is an area of radio coverage
serviced by one or more carriers Iu
Iur
RNC
Node Node
B B
Cell Cell
Cell Cell Cell Cell
Uu

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UTRAN Security and privacy

Use of temporary identifier
Encryption for radio channel
Decryption for radio channel

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Use of Temporary Identifier

There are a number of different types of equipment and user
identifiers used by UMTS
They have been taken directly from GSM to provide some
backwards compatibility
! International Mobile Subscriber Identity (IMSI)
! Temporary Mobile Subscriber Identity (TMSI)
! Temporary Logical Link Identity (TLLI)
! Mobile Station ISDN (MSISDN)
! International Mobile Station Equipment Identity (IMEI)

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IMSI and TMSI

IMSI is a unique 15 digit identifier The TMSI is used to add a level of
for each user and serves as the security to the Subscriber Identity
primary identifier The TMSI is 32 bits long
It consists of: It may be allocated by either an
! Mobile Country Code (MCC), 3 MSC/VLR or an SGSN
digits
! If it is allocated by an SGSN it is
! Mobile Network Code (MNC), 2/3 known as a P-TMSI
digits
! It is only valid within the network
! Mobile Subscriber Identity Number domain that it has been awarded
(MSIN), 9/10 digits by and both types may be
simultaneously allocated
MCC MNC MSIN
3 bits 2/3 bits 9/10 bits

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UTRAN Handover
Radio environment survey
Handover decision
Macro diversity control
Handover control
Handover execution
Handover completion
SRNS relocation
Inter-system handover

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Handover in UMTS
There are three basic types of handover
! Intra frequency handovers
" Handovers between 2 UMTS carriers at the same frequency
" These can be soft handovers
! Inter frequency handovers
" Handovers between 2 UMTS carriers at different frequencies
" These are hard handovers
! Inter system handovers
" Handovers between UMTS and GSM carriers
" These are hard handovers

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Handover Sets in UMTS

Active Set
! Cells forming a soft handover connection to the mobile
Candidate Set
! Cells not presently used in soft handover but who qualify for soft
handover
Neighbour Set
! Those cells which are continuously monitored but do not yet qualify for
the Candidate Set

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Handover Decisions in UMTS
Active set = 1 =2 =2
Pilot Ec/Io Cell A Cell A and Cell B Cell A and Cell C
Window_DROP
Window_ADD
Window_REPLACE
Direction of Travel
Add Time Delay Replace Time Delay Drop Time Delay

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Macrodiversity between Cells on the Same

Node B Iu
If an active set consists of two
connections to cells parented to Iur
the same Node B then the RNC
combining of the two channels
occurs at the Node B
This is known as a softer
handover Node B Node B
This has no transmission
implication if cells are collocated.
Cell Cell
Cell Cell Cell Cell
Uu

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Macrodiversity between Node

I
Bs
u
If an active set consists of two Iur

connections to cells parented RNC
to different Node Bs then the
combining of the two channels
occurs at the RNC
This is known as a soft Node B Node B
handover
This doubles the transmission Cell Cell
cost of the call
Cell Cell Cell Cell
Uu

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Macrodiversity between RNSs

Iu Iu
Serving RNS Iur
RNC RNC
Drift RNS
Node B Node B Node B Node B
Uu

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Macrodiversity between RNSs

SRNS provides link between the Core Network and the UE
SRNS also provides the selection function for the different
channels
DRNS relays frames to SRNS through Iur
As the UE moves then some diversity paths may be dropped
and others established
When the DRNS has more paths than the SRNS the two can
exchange function
! Reduces traffic on Iur

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Site Selection Diversity Transmit Power
Control
Site selection diversity transmit power control (SSDT) is an
optional macro diversity method in soft handover mode.
The UE selects one of the cells from its active set to be
primary, all other cells are classed as non primary.
The main objective is to only transmit data on the downlink from
the primary cell
! Reducing the interference caused by multiple transmissions in a soft
handover mode.
A second objective is to achieve fast site selection without
network intervention
! Maintaining the advantage of the soft handover.

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SSDT
Non-Primary Cell Primary Cell
Each cell is assigned a temporary
identification (ID) and UE
periodically informs the primary cell
ID to the connecting cells.
The non-primary cells selected by
UE switch off the transmission
power for the downlink data. UE
The primary cell ID is delivered by

UE to the active cells via uplink FBI
field
Control
The cell with the highest CPICH
RSCP is the primary cell. Data
Non-Primary Cell

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Hierarchical Cell structures

Cell Layers in UMTS work on a per carrier basis
Microcell/Macrocell Scenario Hotspot Scenario

Frequency 1 Frequency 2 Frequencies 1 & 2

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Hierarchical Cell Structures

Typically operators will be awarded
2 or 3 carriers Macro FDD
If they are awarded 3 carriers it is
then possible to implement HCS by
! Using 2 paired carriers for the Micro FDD
macrocell layer
! Using 1 paired carrier for the
microcell layer
TDD
! Using any unpaired spectrum Picro
allocated for the picocell layer
using TDD mode Carrier 1
Carrier 2
Carrier 3
Carrier 4

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Inter Frequency Measurements at the UE

GSM: Discontinuous transmission
! Room for measurements required for Mobile Assisted Hand Off
Uplink TX TX
Downlink RX RX
Idle time for measurements
UMTS FDD: Continuous transmission

! No idle time for measurements required for MAHO
Uplink TX TX TX TX TX TX TX TX TX TX TX TX TX TX
Downlink RX RX RX RX RX RX RX RX RX RX RX RX RX RX

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Compressed Mode
In Compressed Mode a Transmission Gap is created
This allows inter-frequency and inter-system measurements
Probably only required for inter-frequency handover and inter-
mode handover to GSM1800
! GSM900 dual mode terminals will probably have separate receivers
Spanning
two frames
One Frame,
10ms
Spanning a
single frame

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Compressed Mode
The Transmission Gap is created
by not transmitting for a number of
slots
Other slots in the frame impacted
are then forced to transmit at a
higher bit rate, a lower spreading
factor and a higher power to
maintain the user bit rate
It is possible to have gaps of 3, 4,
7, 10 and 14 slots 1 2 4 5 10 11 12 13 14 0 2 3 4 5
12 13 14 0 3 1 6 7
! It is only possible to have gaps of

10 or 14 slots by using two frames
4 slot gap

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Radio Environment Survey

Received Signal Code Power
! The received code power of the pilot
Received Signal Strength Indicator
! The total in-band signal strength of the carrier
Ec/Io can be derived from these two items

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UTRAN System Access Control

Admission control
Congestion control
System information broadcasting

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Admission Control
If loading is allowed to increase excessively then the coverage
area of the cell reduces below that planned - Admission Control
aims to avoid this
Admission Control functionality is located at the RNC to take
the impact on multiple cells into account
The Admission Control algorithm estimates the impact of
adding an additional bearer on both uplink and downlink
! Only if both pass is the call admitted
There are two broad categories of algorithm
! Wideband Power Based Admission Control algorithms
! Throughput based Admission Control algorithms

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Wideband Power Based Admission Control

Uplink Algorithm:
Itotal_old +Itotal > Ithreshold
Interference
Ithreshold
Max Planned Noise Rise

Itotal
Itotal_old
L load
Downlink Algorithm:
Ptotal_old +Ptotal > Pthreshold

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Throughput Based Admission Control

Uplink Algorithm
UL+L > UL_threshold
Downlink Algorithm
DL+L > DL_threshold

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Congestion (Load) Control

Admission control should ensure that the system is not
overloaded
If it is then congestion control returns the system back to the
targeted load
Possible actions include
! Downlink fast load control (deny downlink power up commands)
! Uplink fast load control (reduce uplink Eb/No target)
! Reduce packet data traffic throughput
! Handover to another WCDMA carrier
! Handover to GSM
! Decrease bit rates for real time users (e.g. AMR bit rates)
! Drop calls in a controlled fashion

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UTRAN Radio Resource Management

Radio bearer set up and release
Reservation and release of physical radio channels
Allocation and release of physical radio channels
Allocation of downlink channelisation codes
Packet data transfer over radio function
Radio channel coding and control
Initial access detection and call handling
Power control

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Packet Data Transfer

Packet Access is controlled in UMTS by a Packet Scheduler
(PS)
The tasks of the PS are to:
! Divide the available air interface capacity between packet users
! Decide which transport channels to use for each users packet data
! Monitor the packet allocations and the system load
The PS is typically located at the RNC

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Common Transport channels for packet
data
The Common Transport channels that
can be used for packet access are: Bitrate
! RACH
! FACH
Low setup time
User 5
User 7
User 4
User 6
User 2
User 3
User 1
Link level performance worse than that
of dedicated channels due to lack of
closed loop power control and soft
handover
Most Suitable for small individual Time
packets Time based packet scheduling
! SMS is the mechanism employed
! Text only email when using the common and
shared channels
! Web Page request

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Dedicated Transport channels for packet
data
Slow setup time
Bitrate
Link level performance better than
that of common channels due to
fast closed loop power control and User 5
ability to use soft handover User 4
Most Suitable for medium or large User 3
amounts of data User 2
User 1
Time
Code/Transmit based packet
scheduling is the mechanism
employed when using the
dedicated channels

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Shared Transport channels for packet data

The shared Transport channels that can be used for packet
access are
! DSCH
! CPCH
Targetted at bursty packet data
Share a code amongst many users
Can use fast power control
Cannot use soft handover
Suitable for medium amounts of data

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Packet scheduling in UMTS

In reality the packet scheduler
users a combination of time and Bitrate
code based packet scheduling
The packet scheduler will work with
User 5
User 7
User 4
User 6
User 2
User 3
User 1
the admission control algorithm to
achieve the target load at a cell User E
User D
User C
User B
User A
Load Time
Target Load Free
Capacity
Non Controllable Real Time Load

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Downlink Multiplexing and Channel Coding
Chain
Insertion of DTX Insertion of DTX
CRC Attachment Indication (fixed indication (With Flexible
Positions only)
Positions only)
Transport Block Physical Channel

First Interleaving
Concatenation/ Code
Block Segmentation (20, 40 or 80ms) Segmentation
Second
Radio Frame
Channel Coding Interleaving
Segmentation
(10ms)
Other
Transport
Channels Transport Channel Physical Channel
Rate Matching Multiplexing Mapping
DPDCH DPDCH DPDCH

#1 #2 #n

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Uplink Multiplexing and Channel Coding
Chain
CRC Attachment First Interleaving
(20, 40 or 80ms)
Transport Block Physical Channel

Radio Frame
Concatenation/ Code
Block Segmentation Segmentation Segmentation
Second
Channel Coding Rate Matching Interleaving
(10ms)
Other
Transport
Channels Physical Channel
Radio Frame Transport Channel
Equalisation Multiplexing Mapping
DPDCH DPDCH DPDCH

#1 #2 #n

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CRC Attachment
The Cyclic Redundancy Check is used to detect errors in the
transport blocks at the receiving end
There are five lengths of CRC that can be inserted
! 0, 8, 12, 16 and 24 bits
The more bits the CRC contains the lower the probability of
undetected error

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Code Block Concatenation/Segmentation

The received transport block is either concatenated to other
transport blocks or segmented to allow it to fit into an
appropriate block size for the channel coding scheme chosen
It is typically better to concatenate as:
! It reduces the encoder tail bits overhead
! It can improve the performance of channel coding to have larger block
sizes
However over a certain limit segmentation is required to limit
complexity

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Channel Coding
In UTRA two channel coding method are used
! 1/2 and 1/3 rate convolutional coding
! 1/3 turbo coding
" 8 state Parallel Concatenated Convolutional Code

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Interleaving
Two different levels of interleaving are used:
! Inter Frame interleaving
" When the delay budget allows more than 10ms of interleaving
" It is possible to have interleaving over 20, 40 and 80ms time periods
! Intra Frame Interleaving
" Over a 10ms time period

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DTX Indication for Fixed and Flexible
Positions
The use of fixed positions means Fixed Positions: A and
B Full Rate
that a given transport channel
always occupies the same TFCI TrCH A TPC TrCH B Pilot
positions when multiplexed with
Fixed Positions: B Full
others Rate and A 1/3 Rate
! If there is no data DTX indication
TFCI A DTX TPC TrCH B Pilot
symbols are inserted
Flexible Positions
The use of flexible positions means Positions: A Full Rate
that bits unused by one service can and B 1/3 Rate
be used by another TFCI TrCH A TPC A B Pilot
Fixed Positions: A 1/3

Rate and B 2/3 Rate
TFCI A B DTX TPC TrCH B Pilot

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Downlink Transmit Diversity

UMTS explicitly allow the use of transmit diversity from the base station
However it is not possible to simply transmit simultaneously form two close
antennas as this would cause an interference pattern - the following
methods negate this issue
Transmit Diversity Description

Method
TSTD Time Switched Transmit antenna
Diversity (open loop)
STTD Space Time block coding Transmit
antenna Diversity (open loop)
Closed Loop Mode 1 Different Orthogonal Pilots
Closed Loop Mode 2 Same Pilot

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Channels Using Downlink Transmit
Diversity
Physical channel Open loop mode Closed
type loop
TSTD STTD Mode
P-CCPCH X
SCH X
S-CCPCH X
DPCH X X
PICH X
PDSCH X X
AICH X
CSICH X

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Time Switched Transmit antenna Diversity
(TSTD)
Even numbered slots transmitted on Antenna 1, odd numbered slots on Antenna 2
Slot #0 Slot #1 Slot #2 Slot #14
P-SCH P-SCH P-SCH

Antenna 1
S-SCH S-SCH S-SCH
P-SCH
Antenna 2
S-SCH

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Space Time block coding Transmit antenna
Diversity (STTD)
STTD encoding is optional in UTRAN. STTD support is mandatory at the UE
Channel coding, rate matching and interleaving is done as in the non-
diversity mode.
STTD encoding is applied on blocks of 4 consecutive channel bits
The bit bi is real valued {0} for DTX bits and {1, -1} for all other channel bits.
b0 b1 b2 b3 Antenna 1
b0 b1 b2 b3
-b2 b3 b0 -b1 Antenna 2

Channel bits
STTD encoded channel bits

for antenna 1 and antenna 2.

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Closed Loop Mode

Channel coding, interleaving and spreading are done as in non-
diversity mode
The spread complex valued signal is fed to both TX antenna
branches, and weighted with antenna specific weight factors w1
and w2
The weight factors are complex valued signals in general.
The weight factors are determined by the UE, and signalled
using the D-bits of the FBI field of uplink DPCCH.

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Closed Loop Mode

CPICH1 Ant1
w1
Tx
Spread/scramble

DPCCH
DPCH Ant2
DPDCH
Tx

w2 CPICH2
Rx
w1 w2
Weight Generation Rx
Determine FBI message

from Uplink DPCCH

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Cell Search and Synchronisation

In UMTS base stations are not tightly synchronised (s-level) to a common
reference, e.g. GPS
Makes for easier deployment, e.g. in indoor environments
! All cells transmit different scrambling codes plus common
synchronisation code
UE searches for primary synchronisation code with matched filter
! Synchronises to new cell and acquires time slot clock
UE decodes secondary synchronisation code
! Identification of new cell
! Radio frame synchronisation
Can now find cells scrambling code from the CPICH to decode the Primary
CCPCH

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Power Control
Two Levels of Power Control
! Outer Loop
" The RNC sets the target Eb/No based upon the BER of the received data
! Inner loop
" Open loop based upon estimating the path loss from the pilot
" Fast closed loop Power control on both the uplink and the downlink
Based upon TPC bits
2 algorithms
Every received bit causes an adjustment in transmit power, either up or down
A set of commands is sent starting with a sequence of 4 0s. Only if all 5 command
the bits indicate up is the power increased, all the bits down is the power decreased.
Otherwise power remains the same

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Power Control in Soft Handover

In Soft Handover multiple power control measurements might
be received
In this case a simple rule is used
! If any command says power down, then power down
! If all commands say power up, then power up

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Questions
What is the difference between load control and congestion
control?
How does handover for UMTS differ from that in cdmaOne?
If we are continuously receiving data, how do we take
measurements for MAHO?

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Session Summary
In this session we have discussed the major elements and
procedures for UTRAN
In the next session we are going to look at the Core Network

UTRAN

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U101 UMTS Network Systems Overview 1

Contents and Session Aims

U101 UMTS Network Systems Overview 2

U101 UMTS Network Systems Overview 3

Radio Network Subsystem (RNS)

U101 UMTS Network Systems Overview 4

Radio Network Controller (RNC)

Cell Cell Cell Cell

U101 UMTS Network Systems Overview 5

Cell Cell Cell Cell

U101 UMTS Network Systems Overview 6

Cell Cell Cell Cell

U101 UMTS Network Systems Overview 7

UTRAN Security and privacy

U101 UMTS Network Systems Overview 8

Use of Temporary Identifier

U101 UMTS Network Systems Overview 9

IMSI and TMSI

U101 UMTS Network Systems Overview 10

U101 UMTS Network Systems Overview 11

U101 UMTS Network Systems Overview 12

Handover Sets in UMTS

U101 UMTS Network Systems Overview 13

Handover Decisions in UMTS

Add Time Delay Replace Time Delay Drop Time Delay

U101 UMTS Network Systems Overview 14

Macrodiversity between Cells on the Same

U101 UMTS Network Systems Overview 15

Macrodiversity between Node

If an active set consists of two Iur

U101 UMTS Network Systems Overview 16

Macrodiversity between RNSs

Node B Node B Node B Node B

U101 UMTS Network Systems Overview 17

Macrodiversity between RNSs

U101 UMTS Network Systems Overview 18

U101 UMTS Network Systems Overview 19

The primary cell ID is delivered by

U101 UMTS Network Systems Overview 20

Hierarchical Cell structures

Microcell/Macrocell Scenario Hotspot Scenario

U101 UMTS Network Systems Overview 21

Hierarchical Cell Structures

U101 UMTS Network Systems Overview 22

Inter Frequency Measurements at the UE

Idle time for measurements

UMTS FDD: Continuous transmission

U101 UMTS Network Systems Overview 23

U101 UMTS Network Systems Overview 24

! It is only possible to have gaps of

U101 UMTS Network Systems Overview 25

Radio Environment Survey

U101 UMTS Network Systems Overview 26

UTRAN System Access Control

U101 UMTS Network Systems Overview 27

U101 UMTS Network Systems Overview 28

Wideband Power Based Admission Control

Max Planned Noise Rise

U101 UMTS Network Systems Overview 29

Throughput Based Admission Control

UL+L > UL_threshold

U101 UMTS Network Systems Overview 30

Congestion (Load) Control