Basics WCDMA PDF

Division 1
Sales Engineer University

October 21st - October 25th
2002
Module: Tu_51 to We_54

Basics on WCDMA
Date: October, 22/23, 2002

? 2002 ROHDE & SCHWARZ GmbH & Co. KG
Test & Measurement Division
- Training Center -
This folder may be taken outside ROHDE & SCHWARZ facilities.
ROHDE & SCHWARZ GmbH reserves the copy right to all of any part of these course notes.
Permission to produce sections or pages of these notes or to translate them must first be obtained
in writing form
TZ-GB1-Kg-021022-P-00.00-TS16/02-Tu_51_We_54
Principles of UMTS according to 3GPP
UMTS - Introduction to 3GPP WCDMA

©2002 / Dipl. Ing. (TU) Heinz Mellein / 1
 2002 ROHDE & SCHWARZ GmbH & Co. KG

Test & Measurement Division
- Training Center -
This folder may be taken outside ROHDE & SCHWARZ facilities.
All rights reserved.

To reproduce or translate sections or parts thereof, permission must first be obtained
in writing from
Training Center
Mühldorfstr. 20
81671 Munich
More information on R&S training available at www.rohde-schwarz.com/events/seminars.
©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 1

Introduction to 3GPP WCDMA
l Chapter 1
UMTS - Targets and Concepts
l Chapter 2
Basics of mobile communication channels
l Chapter 3
Signal spreading with orthogonal codes
l Chapter 4
Signal scrambling with pseudo noise sequences
l Chapter 5
Code scenarios and FDD air interface channel structure
l Chapter 6
Cell search and selection
l Chapter 7
Basic procedures
- Transmit power control
- Handover
- Radio connection establishment
© Rohde & Schwarz GmbH & Co. KG - Training Center - UMTS - Introduction to 3GPP WCDMA ©2002 / Dipl. Ing. (TU) Heinz Mellein / 2

UMTS

Targets and Concepts
Dipl.-Ing. (Univ) Reinhold Krueger
Dipl. Ing. (TU) Heinz Mellein
R&S - TRAINING CENTER
© 2002
www.rohde-schwarz.com

ITU IMT-2000 Program
? ITU call for proposals of radio transmission
technologies (RTTs) for future public land mobile
telecommunication systems (FPLMNs)
? ITU Rec. M.817
- Guidelines for core network design
? ITU Rec. M.1034
- Guidelines for radio interface design
? ITU Rec. M.816
- Guidelines for services and applications
? ITU Rec. M.1036
- IMT-2000 frequency allocation (WARC-92)
© Rohde & Schwarz GmbH & Co. KG - Training Center - UMTS - Introduction to 3GPP WCDMA - 1 ©2002 / Dipl. Ing. (TU) Heinz Mellein / 2
Targets of ITU/IMT-2000 Program
IMT-2000
The ITU vision of global wireless access
in the 21 st century
Global
Satellite
Suburban Urban
In-Building
Picocell
Microcell
Macrocell
Basic Terminal
PDA Terminal
Audio/Visual Terminal
? Flexible and global

- Full coverage and mobility at 144 kbps .. 384 kbps
- Hot spot coverage with limited mobility at 2 Mbps
- Terrestrial based and satellite based radio systems
Requirements
of IMT-2000/UMTS
? High flexibility to introduce new (and yet unknown) services

- Provision of a multiservice platform for the future which
provides a range of quality levels (QoS) to match the
different needs of the various data and multimedia services
(e.g. wireless internet)
- Rather than offering standardised digital bearers for specific
services
? High spectrum efficiency
? High quality of service
- (particularly speech quality) similar to that provided by fixed
networks
? Provision of small, easy to use, low cost terminals with long
talk time and long standby operation
Multiservice platform
Audio/Video
SINGLE
physical
link
Internet
Data
3G Timescales
ITU Task Group 8/1

EU Research Programmes RACE I, RACE II, ACTS (FRAMES)
ETSI SMG Activites
US PCS Activities
Japan Activities
WARC'92 Launch UMTS
"ITU Letter"
5 modes
approved
1988
1990
1992
1994
1996
1998
2000
2002
1986
Global Frequency Allocation
(WARC'92)
Sat. IMT- Sat.

ITU IMT-2000 IMT-
2000
200
0
IMT-2000 IMT-
2000
Japan T
D IMT-2000
MSS
S-PCN
T
D IMT-2000
MSS
S-PCN
D D
(Region 1) (UL) (DL)
Europa GSM 1800 (DL) DECT

T
D UMTS FDD
MSS
S-PCN
T
D UMTS FDD
MSS
S-PCN
D D
(Region 1) (UL) (DL)
USA PCS (UL)

PCS
Un. PCS (DL)
MSS
S-PCN
MSS
S-PCN
(Region 2) Lic. (DL) (UL)
TDD/FDD TDD TDD/FDD f [MHz]
1800 1900 2000 2100 2200
MSS: Mobile Satellite System/Service S-PCN: Satellite Personal Communication Network

DL: Downlink UL: Uplink
Un.Lic: Unlicensed band WARC92: World Administrative Radio Conference in 1992
IMT-2000 frequency allocations (WARC-92) UMTS_INT_INT_01.VSD
ITU FPLMN Vision
UMTS
Gateways and Interworking Functions
GSM ANSI-41 IP-Net IMT-2000 CN

(MAP) (IS-634) v4, v6 (ITU-T)
CN ? RAT Mapping
IMT-DS IMT-TC IMT-MC IMT-SC IMT-FT

(Direct Spread) (Time Code) (Multi Carrier) (Single Carrier) (Freq. + Time)
UTRA FDD UTRA TDD cdma2000 UWC-136 DECT

(WCDMA) (TD-S/CDMA) (EDGE)
3GPP 3GPP 3GPP2 UWCC/3GPP ETSI
IMT-2000 RAT (ITU-R)
3GPP Partners
3GPP Agreement
The Partners have agreed to co-operate in the production of globally
applicable Technical Specifications and Technical Reports for a 3rd
Generation Mobile System based on evolved GSM core networks and
the radio access technologies that they support (i.e., Universal
Terrestrial Radio Access (UTRA) both Frequency Division Duplex
(FDD) and Time Division Duplex (TDD) modes).
The Partners have further agreed to co-operate in the maintenance

and development of the Global System for Mobile communication
(GSM) Technical Specifications and Technical Reports including
evolved radio access technologies (e.g. General Packet Radio
Service (GPRS) and Enhanced Data rates for GSM Evolution (EDGE)).
The Project is called the "Third Generation Partnership Project"

and may be known by the acronym "3GPP".
Source : www.3gpp.org
WCDMA vs. cdma2000 (IS-2000)
? chip rate
- WCDMA 3.84 Mcps
- cdma2000 3.6864 Mcps
? synchronisation
- WCDMA a-synchronous
- cdma2000 synchronous using GPS (global
positioning system) signal
? core network
- WCDMA GSM-MAP
- cdma2000 ANSI-41
UMTS Services
? 144 .. 384 kbps up to max. speed of 500 km/h
? 384 kbps in urban areas up to speed of 120 km/h
? 2 Mbps inhouse service in business areas and city
centers with very low mobility ( < 10 km/h )
? (Realtime) Bearer services
? Circuit and packet switched services
? Asymmetric services
? Interworking with other radio access networks (e.g.
GSM)
? Maintain compatibility to GSM, ATM, IP und ISDN
UMTS QoS
? (RT) Conversational class (eg. Voice)
- preserve time relation
- conversational pattern
? (RT) Streaming class (eg. Streaming video)
- preserve time relation
? Interactive class - best effort (eg. Web browsing)
- request - response pattern
- preserve payload content
? Background class - best effort (eg. Email)
- destination is not expecting data within a certain
time
- preserve payload content
3GPP -
Technical Specification Groups
TSG GERAN TSG RAN TSG SA
TSG CN GSM EDGE TSG T
Radio Access Services & System
Core Networks Radio Access Terminals
Network Aspects
Network
RAN WG1 T WG 1
CN WG 1 GERAN WG 1 SA WG 1 Mobile Terminal
Radio Layer 1
MC/CC/CS (lu) Radio Aspects Services Conformance
specification
testing
RAN WG2 T WG 2
CN WG 2 GERAN WG 2 Radio Layer 2 SA WG 2 Mobile Terminal
CAMEL Protocol Aspects spec. & Radio Architecture Services &
Layer 3 RR spec. capabilities
CN WG 3 GERAN WG 3 RAN WG3 T WG 3

lub spec, lur spec SA WG 3 Universal Subscriber
Interworking with Base Station Testing
lu spec & UTRAN Security Identity Module
External Networks and O & M
O&M requirements (USIM)
CN WG 4 GERAN WG 4 RAN WG4 SA WG 4

Mobile Station Radio performance
MAP/GTP/BCH/SS Codec
Testing & Protocol aspects
CN WG 5 SA WG 5
OSA
Telecom
(Open Service
Management
Architecture)
SMG and 3GPP specifications
ETSI 3GPP 3GPP

SMG Release Release 4 Release 99
Requirements 01.xx 41.xxx 21.xxx
Service Aspects 02.xx 42.xxx 22.xxx
Technical Realisation 03.xx 43.xxx 23.xxx
Signalling US – RSS 04.xx 44.xxx 24.xxx
Radio Aspects 05.xx 45.xxx 25.xxx
Codecs 06.xx 46.xxx 26.xxx
Data Services 07.xx 47.xxx 27.xxx
Signalling RSS – CN 08.xx 48.xxx 28.xxx
SIM, USIM 11.xx 51.xxx 31.xxx
UE Test Specifications 34.xxx
UMTS reference architecture
CN
Core Network (PS or CS)
Iu
UTRAN
UMTS Terrestrial Radio
Access Network
Uu
UE
User Equipment
UMTS network concepts
Circuit Switched
Packet Switched
UTRAN architecture
Uu Iub
Node B
RNC
USIM Node B
Iu
Cu Node B
ME
Iur
Node B
RNC
UE Node B
UTRAN
UTRAN network elements
Core Network
Iu Iu
RNS RNS
Iur
RNC RNC
Iub Iub Iub Iub
Node B Node B Node B Node B
UMTS

Basics of mobile communication
channels
© 2002

Transmission principles
Transmitter Channel Receiver
source coding delay

attenuation demodulation
channel coding
multipath propagation detection
modulation
fading estimation
RF
interference decoding
...
... ...
Above illustration shows the basic components of a transmission

line: transmitter, channel and receiver. The channel specifies the
available transmission ressources, such as time, bandwidth and
signal-to-interference-ratio. Transmitter and receiver are trying to
optimise the useage of the availble channel capacities with
appropriate technologies for coding and modulation. Those
technologies are in general selected according to the type of
considered application (e.g. speech transmission) or to optimise
single transmission parameters (e.g. data rate, bit error rate etc.).
The receiver, in particular in a mobile communication system, faces
fast changing channel quality due to fading which needs to be
compensated by fast adaptive technologies.
In digital systems the source data - after source coding - is a finite set
of specified symbols, e.g. binary digits or binary sequences (e.g.
ASCII binary representation for textual transmission). The receiver
needs to detect those symbols, however, due to the statistical
degradation of the signal on the mobile communication channel due
to the superposition of noise and interference, the detection becomes
an estimation of the most probable symbol.

General requirements
l Max data rate ( Bitrate R [bps] )

l Min error rate ( Bit error rate BER )
l Min transmission power ( Ebit/N0 )
l Min bandwidth
l Max availability
l Min complexity, effort and costs
Above listed are the most common requirements to a communication

system. Unfortunately, they contradict themselves, as usual. In
addition some basic laws of communications (e.g. Nyquist criteria
and Shannon laws) restrict the transmission capabilities as well as
legal circumstances (e.g. emission laws, frequency regulations).
Thus, the challenge of the standardisation of a communication
system is to optimise the useage of available ressources under given
circumstances.

Signal analysis
Fourier Analysis / Transformation
Periodic signals can be transformed into the frequency domain by

Fourier analysis. Thus, they can be represented as a finite number of
cosine signals with different amplitudes, phases and periods. Due to
that, signals can be analysed in both domains, the time and the
frequency domain, depending on the information required. The
frequency domain analysis in particular is of interest to evaluate the
frequency response of transmission components, such as transmitters
and receivers as well as the transmission channel itself.

Signal representation
Time domain Frequency domain Constellation
The representation of a signal in the complex plane, as the sum of an

inphase and quadrature component, leads to a suitable format to
evaluate the transmission reliability of a given signal shape. In
addition it easily allows the design of digital modulation schemes,
such as QPSK for WCDMA.
The magnitude of the vector represents the instant signal amplitude,
the angle the instant signal phase.

Modulation & Demodulation
In radio transmission technologies the data is carried by RF carriers.

The carrier frequency in particular defines the range the transmission
can achieve, and thus, it has a great impact on the required signal
power. The data is manipulating the RF carrier by appropriate
modulation schemes. Basically three RF carrier parameters can be
modulated: Amplitude, frequency and phase. Those physical
parameters can be detected by a receiver circuit and thus the data can
be regenerated there. This leads to the basic modulation techologies,
such as amplitude modulation, frequency modulation and phase
modulation. Depending on the type of data, analog or digital
modulation schemes are to be considered.
Starting with the mobile communication systems of the 2nd
generation, all user and control data to be transmitted are digital
sequences. Thus, digital modulation schemes are requried, called
amplitude shif keying ASK, frequency shift keying FSK or phase shift
keying PSK, accordingly. The latter in particular is very robust
against amplitude variations, as we face them in mobile radio
channels due to multipath propagation. Thus, the quadrature phase
shift keying QPSK has been selected for the UMTS air interface.

Signal-to-Noise ratio S/N
Time domain
noise
Signal
⊕ Ideal LP s(t) + n(t)
power density
Frequency domain
[W/Hz]
Signal power S
N0
N = N0 · B
f [Hz]
-B/2 B/2
Assuming the wanted signal s(t) and the superposing interference

signal n(t) are ergodic processes, the signal to interference ratio SIR is
defined as the quotient of the mean signal power and the mean
interference power. In case of additive white gaussian noise (AWGN)
superposition, the signal to noise ratio SNR is to be considered as the
quotient of the mean signal power S and the noise power N. White
gaussian noise is evaluated in real, band limited systems modelled
by an ideal low pass. Thus, the following relations are of interest:
SNR = S/N = Ebit· R/N 0· B
with R = Bit rate and Ebit = Energy per Bit. N0 = noise power density
(which is equal to the variance of the gaussian noise amplitude
distribution) and B = available channel bandwidth, with B ≥ wanted
signal bandwidth.
With R = 1 s-1 and B = 1 Hz the SNR is standardised with respect to
one single bit per Hertz, and thus the following parameters are
achieved:
SNRbit = Ebit /N0
or
SNRbit [dB] = 10· log10(Ebit/N0).
SNRbit is an important value to evaluate the quality of a transmission
system. The smaller the required SNRbit , the better, i.e. more efficient
the system.

Bit Error Ratio (BER)
Ebit/N0 [dB]
-10 -5 0 5 10 15
0
-1
unipolar
-2
-3
-4
bipolar
-5
-6
BER 10 x
-7
-8
3 dB
-9
-10
-11
-12
The bit error probability BEP, or the resulting bit error rate BER due
to signal distortion by AWGN on the transmission chain is
depending on the available SNR only, thus it is a function of the
available Ebit /N0.
Consequently the modulation schemes have direct impact on the
BEP.
For instance, a digital, unipolar signal („0“ = +A Volts and „1“ = 0) is
3 dB worse with respect to the BEP compared to a bipolar
modulation scheme ( „0“ = +A Volts und „1“ = -A Volts). The same
applies when comparing a BPSK signal with a QPSK signal, where
the QPSK is more sensitive, however it allows the double data rate as
the BPSK modulation at a given bandwidth.

Multipath propagation
Direct line of sight
Reflection
The mobile radio communicaton channel does suffer of various

impacts due to the nature of mobility and radio propagation, which
are not of interest in line based communication systems. Due to
reflection and dispersion effects on the different possible signal paths
from the transmitting antenna to the receiving antenna, the receiver
has to deal with the superposition of multiple signal „copies“, rather
than with a clean "line of sight" signal (which even could be not
available at all for some time).
The fading characteristics can be modelled by a multiple path model
with an average channel impulse response, reflecting the statistical
nature of the fading process. However, due to the complexity of the
mathematical fading models, still empirical models are of interest, in
particular when focussing on particular mobile communication
systems.
Based on that, various fading profiles have been specified by the ITU
in order to allow the definition of unambiguous conformance testing
scenarios. These are basically described by a sample impulse
response reflecting the mean values of their statistical parameters (eg.
path loss, delay spread) and by their dynamic performance (eg.
Doppler shift, statistics like Rayleigh or Rice distributions etc.).

Channel impulse response
Origin impulse
Reflections
Scattering
Due to different path propagation delays caused by echo reflection and

dispersive reflections, the origin signal arrives scattered and delayed at
the mobile receiver. The impulse response of such a fading channel
represents all different multi-path-propagations with their specific
parameters delay and loss, however, it does not represent the dynamic
behaviour of these parameters. However, for realistic description and
thus simulation of fading performance, that must be taken into account
also (Rayleigh, Rice Fading). The impulse response leads to a very
important fading parameter, when evaluating the delay spread caused by
the fading channel. This parameter describes the average widening of a
channel input pulse (Dirac Pulse) over time. The calculation of the delay
spread is equal to the calculation of the standard deviation, regarding the
propagation delay t as the stochastic variable, and the normalised signal
power P refers to the probability densitiy function of t. The reciprocal of
the delay spread is also known as coherent fading bandwidth. The wider
the fading channel impulse response is in time, the greater the delay
spread and thus the smaller the coherent fading bandwidth. When the
delay spread exceeds the symbol period of the transmitted signal, it will
cause intersymbol interference (ISI). Since significant ISI obviously limits
the maximum symbol rate on the radio channel it causes low pass
behaviour with cut-off frequency ≈ the reciprocal of the maximum
propagation delay. This kind of fading is classified as frequency selective.
This matter is important for wideband systems as WCDMA in particular.
For small delay spreads with respect to the symbol period the frequency
selectivity can be neglected.

Doppler effect
The doppler effect is well known in acoustics. However, it must be

considered in the world of electromagnetic wave propagation as
well. Due to the mobility of the receiver in mobile communication
systems, frequency shifts due to the doppler effect need to be
compensated.
With α = 0° or 180° the receiver moves directly towards or away from
the transmitter. In those cases a maximum frequency shift is
achieved.
Example:
f = 2 GHz (UMTS frequency)
c = 3· 108 m/s (velocity of light)
v = 60 m/s ( 216 km/h, velocity of the receiver with respect to the
transmitter )
gains a frequency drift of +/- 400 Hz.

Channel capacity
(Shannon-Hartley law)
SNR[dB] = 10 log
Capacity in [bps] per [Hz] S
N
14

12  S 
C = B ⋅ log 21 + 
10  N 
8
S
6
>> 1
N
4 1
C ≈ ⋅ B ⋅ SNR
2 3
0
-10
10
20
30
40
-2
SNR [dB]
The channel capacity of a frequency band limited channel, suffering of

additional white gaussian noise (AWGN), assuming an equally
distributed binary set of symbols, without any channel coding, is
given by the Shannon-Hartley equation:
C = B · log2(1 + S/N)
C = channel capacity in bits per second
S/N = Signal to Noise power ratio
B = bandwidth in Hertz
In most cases S/N >> 1 can be assumed. Thus, defining SNR = 10 ·
log(S/N), the following simple approximation can be used:
C = 1/3 · B· SNR
This fundamental relation is the basis of transmission technologies. It
outlines in particular, that with wide frequency bandwidth even very
noisy channels still can transport data with specified reliability, which
in fact is the basic principle for WCDMA.
It is important to note, that this relation also is the basis for channel
coding schemes, where the target is to reduce bit errors at a given SNR,
and thus increasing the channel capacity for a give transmission
reliability.
Typical values:
Classic telephony B = 3.1 kHz S/N = 40 dB C = 40 kbps
TV broadcast channel B = 5 MHz S/N = 45 dB C = 75 Mbps
GSM B = 200 kHz S/N = 15 dB C = 1 Mbps
WCDMA B = 5 MHz S/N = 10 dB C = 16 Mbps
©2002 Rohde & Schwarz GmbH & Co. KG - Training Center -
Multiple access schemes
Using the Shannon-Hartley equation, the maximum data volume that

fits into a given channel can be represented by a simple block. The
dimensions of that block are given by the physical channel
parameters bandwidth, time frame and signal amplitude respectively
the signal to noise ratio.
To allow multiple access to that channel means in that model, to
distribute the available block to multiple subscribers. In FDMA
(frequency division multiple access) schemes the different users get
distinct portions of the frequency domain. In case of TDMA (time
division multiple access) the time domain is split into distinct slots.
Those are allocated to different users then. To divide the block along
the signal to noise domain, different users are coding their signal
with suitable algorithms which is known as CDMA (code division
multiple access).
To achieve even more complex distributions, combinations of the
mentioned multiple access schemes are possible. For instance GSM
applies a combination of FDMA (200 kHz frequency channels are
assigned to individual users) and TDMA (one out of 8 possible
timeslots are assigned to individual users). UMTS FDD applies
FDMA (5 MHz frequency channels) and CDMA. UMTS TDD applies
all three of them.

Cellular networks: SDMA
Due to the natural attenuation of a radio signals depending on the

receivers distance to the transmitter (~ 1/d², d = distance), the
coverage of a base station is limited. This allows in cellular FDMA
systems for instance the re-use of frequencies in other cells, in CDMA
the re-use of scrambling codes is possible. Thus, the cellualre
structure allows multiple access to a mobile network called SDMA
(space division multiple access), however, the users can‘t be within
the same cell coverage area.

Comparison access schemes

UMTS

Signal spreading with orthogonal
codes
© 2002
©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - Page 1
Spreading of two signals
0 -> +1
1 -> -1
d1 (t) x1 (t) = d1 (t ) * c 1 (t)
+1 +1
0
1 t t
-1 -1
Multiplication T 2T
c 1(t)
+1
-1 t x(t) = x1 (t) + x2 (t)

T 2T +2
+1
d2 (t) -1
Sum t
+1 T 2T
0 0 -2
-1 t
T 2T
c 2(t) Multiplication x2 (t) = d2 (t ) * c 2 (t)

+1 +1
-1 t -1 t
T 2T T 2T
Example of a transmitter CDMA_PRI_03.VSD
© Rohde & Schwarz GmbH & Co. KG - Training Center - UMTS - Introduction to 3GPP WCDMA - Chapter 3 ©2002 / Dipl. Ing. (TU) Heinz Mellein / 2
The multiplication of binary data d - similar to exclusive OR resp.

modulo2 operation to logical representation of data - with a higher
rate binary code word c results in a binary sequence x that requires
obviously more bandwidth than the original data d. This operation is
known as signal spreading, due to the signal spreading over the
bandwidth.
In the illustrated example the upper transmitter multiplies the data
d1 = {01} with the code word c1 = {0101}, which corresponds to an
exclusive OR operation of the logical symbols. Another transmitter
multiplies its data d2 = {00} with another code word c2 = {0110}. Then,
the sum x1 + x 2 is transmitted.
This illustrates the principle situation on a mobile radio channel,
where for instance a single base station needs to provide multiple
mobile station with data at the same time on the same frequency
channel, or a mobile station wants to send two different types of data
(e.g. video and speech) simultaneously to its serving base station.
Despreading of two signals
y(t) y(t) * c1 (t)

+2 +2 0 -> +1
1 -> -1
+1 +1
-1 t -1 t
T Multiplication
2T T 2T
-2 -2 Average
c 1(t)
+1 +1
(2+2+0+0)/4 > 0 => 0
(0+0-2-2)/4 < 0 => 1
-1 t -1 t
T 2T T 2T
y(t)
+2
Integration
+1 +1
(2+2+0+0)/4 > 0 => 0 (0+0+2+2)/4 > 0 => 0
-1 t -1 t
T 2T T 2T
-2
y(t) * c2 (t)
+2 Average
c2 (t) Multiplication
+1 +1
-1 t -1 t
T 2T T 2T
-2
Example of a receiver CDMA_PRI_04.VSD
The receiver gets the total signal, however, is looking for one of the
two data streams only. The multiplication of the received total signal
r = x1+x2 with the code word c1 again, results obviously in the
original data d1. The same applies to d2 when multiplying r with the
code word c2. This simple operation is known as de-spreading.
However, to allow that technique of spreading and despreading, the
codes need to fullfill a special requirement: They need to be
orthogonal to each other.
To explain orthogonality of codes, it makes sense to compare a code
word of length n with a n-dimensional vector. When the vectors
corresponding to the regarded code words are orthogonal to each
other in a geometric sense, also the code words are orthogonal to
each other in an abstract mathematical sense. This correspondance
also leads to the method of verifying the orthogonality of two code
words. The corresponding vectors are orthogonal when their scalar
product is zero. The same applies to the code words by building an
appropriate product to verify if this is zero or not.
Thus, the multiplication of data with orthogonal spreading codes
prior to transmission together with other spreaded data allows the
simultaneous multiple access of receivers to the same frequency
channel. Each receiver - providing the spreading code is known - can
despread its own data.
Example with three signals
0 -> +1
1 -> -1
USER 1 USER 2 USER 3

User Data 0 0 User Data 1 0 User Data 1 1
Code 0 1 0 1 0 1 0 1 Code 0 0 1 1 0 0 1 1 Code 0 0 0 0 0 0 0 0
Tx Data 0 1 0 1 0 1 0 1 Tx Data 1 1 0 0 0 0 1 1 Tx Data 1 1 1 1 1 1 1 1
+1 +1 +1
Tx Data Tx Data Tx Data
-1 -1 -1
+1 +1 +1
Sum Sum Sum
-1 -1 -1
-3 -3 -3
+1 +1 +1
Code Code Code
-1 -1 -1
+3 +3
Product +1 Product +1 Product +1
-1 -1 -1
-3 -3
(-1+3+1+1)/4 (1+1-1+3)/4 (-1-3-1+1)/4 (1-1+1+3)/4 (-1-3+1-1)/4 (1-1-1-3)/4

= 1; = 1; = -1; = 1; = -1; = -1;
User Data => 0 => 0 User Data => 1 => 0 User Data => 1 => 1
Example of spreading and despreading CDMA_PRI_01.VSD
Above illustration proves, that the CDMA principle is valid for any
number of users. The only restriction is given by the number of
available orthogonal codes.
The binary symbols of spreading codes are called chips, in order to
allow simple separation between spreaded data and original data.
CDMA Principles
l All users use the same frequency for uplink and the
same frequency for downlink (reuse factor = 1)
l Each user is assigned a unique code sequence
(spreading code)
l This code is used to encode the information to be
transmitted
l The spread signals of all users are summed and
transmitted together
l The receiver knows the code sequence of the user in
advance, decodes the received signal after reception
and recovers the original data of the user
l This is possible since if the cross correlation between
the code of the desired user and the codes of all
other users are very small
Spreading and Bandwith
30 kbps
3.84 Mcps
Spreading
3.84 Mcps
15 kbps
Spreading
3.84 Mcps
Regarding the spreading operation by multiplication of data with a

spreading code in the time domain, the spectrum of the signal is
modified in the following way:
The origin, narrow band data signal will be spreaded over the
bandwidth due to the spreading operation. Thus, after spreading
operation, the required bandwidth is increased by the spreading
factor which corresponds to the number of chips of the used code
word. Since the spreading operation has no impact at all to the total
signal energy, the spectral power densitiy after the spreading
operation is reduced accordingly.
When two spreaded signals are superposing over the same
bandwidth, the total power density is increased. However, in the
frequency domain there is no way to seperate the two origins again.
The only way is the de-spreading operation.
This is the way WCDMA in UMTS works. All user or control data are
spreaded to a fixed bandwidth of 3.84 MHz. This is achieved by
using a fixed chip rate of 3.84 MChip/s.
Processing gain
Channel 15 ksps
3.84 Mcps Processing gain

Despreading
Processing gain increases with the spreading factor
The despreading operation recovers the part of the total received

signal which has been spreaded by the used code word. In the
frequency domain the origin narrow band signal arises again. The
residual spreaded signals within the total wideband signal remain as
they are, since they are not touched by the de-spreading operation at
all due to the orthogonality of the spreading codes. However, their
energy remains, and might be regarded as a wideband interference.
They reduce the available SIR for the wanted signal. It is obvious,
that the more spreaded signals are included, the worse the available
SIR for the wanted signal becomes. This explains the theory of
CDMA, which distributes the total SIR of a given channel to multiple
users.
It is obvious that the processing gain in the receiver due to the
despreading operation is directly related to the used spreading
factor.
Finally the spreading factor SF can be definied in different ways:
- Number of chips per code word
- Relation between chip rate and user data rate
- Relation between spreaded signal bandwidth and origin signal
bandwidth
The processing gain is specified by 10log(SF).
Properties of
Spread Spectrum Signals
l Multiple access capabilities
- Receiver is able to distinguish between users provided
each user has a unique code
l Protection against multipath interference
- Many pathes between a transmitter and a receiver
- Received signals are copies of the transmitted signal but
with different amplitudes, phases, delays, ...
- Spread spectrum modulation can combat and use
multipath interference
l Privacy
- The receiver can only recover the data if the code is
known to the receiver
CDMA security aspects
l Anti-jamming capability, especially narrowband

jamming
- See interference rejection
l Low probability of interception
- Due to the low power density, it is not easy to
detect and intercept the spread spectrum signal by
hostile listeners
l è Attractive for military applications
CDMA interference rejection
l Narrow band interference
l A CDMA receiver rejects that interference due to spreading
Interferer
Processing gain
Despreading
DS - CDMA - Spectrum
1/Ts
1/Tc f
l The energy of a narrow band signal is spread over a wide

bandwidth by multiplication of the low rate data with symbol
period Ts and a code word with chip period Tc, while Tc >> T s .
l Spreading factor SF = chip rate 1/Tc : symbol rate 1/Ts
l SF corresponds to the length of the code word
DS- CDMA
Transmitter and Receiver design
Ts
Spreading Up Down Despreading

Data
Demodulator
converter converter
Data Data
signal Tc signal
Code
Code
Carrier Carrier synchroni-
Code Tc << Ts
Gene- Gene- B t >> B i
Generator Generator sation
rator rator
& tracking
Constant Power
spectral density
1/Ts = Data Rate Bt = Transmission bandwidth

1/Tc = Chip Rate Bi = Information bandwidth
Direct sequence CDMA transmitter & receiver CDMA_PRI_10.VSD
The similar spreading and despreading operations allow very similar

transmitter and receiver designs for CDMA. The most important
issue for the receiver is the knowledge of the spreading code used in
the transmitter.
Principle of Direct sequence
CDMA (DS-CDMA)
Data signal
t
-1
Tc
Ts
1
Code signal
t
-1
Spreaded signal
t
-1
1/Ts =Data rate Ts /Tc =Spreading factor Chip Rate >> Data rate
1/Tc =Chip rate
Principle of signal spreading (Direct sequence) CDMA_PRI_06.VSD
Generation of orthogonal,
variable spreading codes (OVSF)
1 1 1 1
Repeat
Repeat
1 1 1 1 -1 -1
Invert
1
1 -1 1 -1 1 -1
Invert Repeat
1 -1 -1 1
Invert
Generation of OVSF codes UMTS_CDS_SPC_06.VSD
According to the definition of the UMTS WCDMA signal, the

resulting chiprate of any spreading operation shall be 3.84 MChips/s
always. Thus, regarding different data rates of the data sources,
variable spreading factors are required. A very simple method to
generate orthogonal spreading codes with varibale length is given by
Hadamard functions, as illustrated above. By this method,
orthogonal spreading codes of length 2k can be generated.
Note: Another method found by Walsh, which is almost similar to

the above illustrated, is used in IS-95 or cmda2000. Those codes are
known as Walsh Codes accordingly. The Walsh method results in
exactly the same spreading code sequences, however, their order in
the code tree columns is different.
Code tree of OVSF codes
Cch,8,0 = (1,1,1,1,1,1,1,1)
Cch,4,0 = (1,1,1,1)
Cch,8,1 = (1,1,1,1,-1,-1,-1,-1)
Cch,2,0 = (1,1)
Cch,8,2 = (1,1,-1,-1,1,1,-1,-1)
Cch,4,1 = (1,1,-1,-1)
Cch,8,3 = (1,1,-1,-1,-1,-1,1,1)
Cch,1,0 = 1
Cch,8,4 = (1,-1,1,-1,1,-1,1,-1)
Cch,4,2 = (1,-1,1,-1)
Cch,8,5 = (1,-1,1,-1,-1,1,-1,1)
Cch,2,1 = (1,-1)
Cch,8,6 = (1,-1,-1,1,1,-1,-1,1)
Cch,4,3 = (1,-1,-1,1)
Cch,8,7 = (1,-1,-1,1,-1,1,1,-1)
Code-tree for generation of OVSF codes UMTS_CDS_SPC_02.VSD
The code tree allows a simple view of available orthogonal variable

spreading codes at a glance.
Numbering of spreading codes
256,0
128,0
256,1
64,0
256,2
128,1
256,3
32,0
256,4
16,0 128,2
8,0 256,5
16,1 64,1
4,0 256,6
16,2 128,3
8,1 256,7
16,3
2,0 256,8
16,4 128,4
8,2 256,9
16,5 64,2
4,1 256,10
16,6 128,5
8,3 256,11
16,7 32,1
1,0 256,12
16,8 128,6
8,4 256,13
16,9 64,3
2,1
4,2
8,5
16,10
16,11
: 128,7
256,14
256,15
16,12 32,30
4,3
8,6
16,13
16,14
:
64,62
128,124
256,248
256,249
8,7 256,250
16,15 128,125
256,251
32,31
256,252
128,126
256,253
64,63
256,254
128,127
256,255
SF= SF= SF= SF= SF= SF= SF= SF= SF=

1 2 4 8 16 32 64 128 256
Spreading code numbering UMTS_CDS_SPC_01.VSD
According to the code tree representation a spreading code

numbering scheme has been introduced for WCDMA. Thus, a single
spreading code is identified by its spreading factor SF and a floating
number 0 .. SF-1 to distinguish spreading codes of the same
spreading factor.
Blocking
SF 4 SF 4
Data 0 0 0 0 Data 0 0 0 0
Cch,4,2 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 Cch,4,2 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1
SF 8 SF 8
Data 0 0 Data 0 0
Cch,8,4 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 Cch,8,4 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1
Cch,8,5 0 1 0 1 1 0 1 0 0 1 0 1 1 0 1 0 Cch,8,5 0 1 0 1 1 0 1 0 0 1 0 1 1 0 1 0
SF 16 SF 16
Data 0 Data 0
Cch,16,8 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 Cch,16,8 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1
Cch,16,9 0 1 0 1 0 1 0 1 1 0 1 0 1 0 1 0 Cch,16,9 0 1 0 1 0 1 0 1 1 0 1 0 1 0 1 0
Cch,16,10 0 1 0 1 1 0 1 0 0 1 0 1 1 0 1 0 Cch,16,10 0 1 0 1 1 0 1 0 0 1 0 1 1 0 1 0
Cch,16,11 0 1 0 1 1 0 1 0 1 0 1 0 0 1 0 1 Cch,16,11 0 1 0 1 1 0 1 0 1 0 1 0 0 1 0 1
2,0 2,0
16,4 16,4
8,2 8,2
16,5 16,5
4,1 4,1
16,6 16,6
8,3 8,3
16,7 16,7
1,0 1,0
16,8 16,8
8,4 8,4
16,9 16,9
4,2 4,2
16,10 16,10
8,5 8,5
16,11 16,11
2,1 2,1
Blocking of codes UMTS_CDS_SPC_07.VSD
Basically all spreading codes of the same spreading factor are

orthogonal to each other. Also codes with different spreading factors
can be orthogonal to each other, however, not all of them. A
spreading code is neither orthogonal to its own child codes nor to its
parent code. Thus, a single code is blocking defined branches of the
code tree which must be considered during radio resource allocation.
Blocking
256,0
128,0
Legend 256,1
64,0
256,2
256,0 Used code 128,1
256,3
32,0
Blocked code 256,4
128,2
256,5
Free code 64,1
256,6
128,3
256,7
16,0
256,8
128,4
256,9
64,2
256,10
128,5
256,11
8,0 32,1
256,12
128,6
256,13
64,3
256,14
32,2 128,7
256,15
4,0 16,1
32,3
2,0
1,0 16,2
8,1
16,3
Blocking of codes UMTS_CDS_SPC_09.VSD
This example shows the blocking of the complete upper branch of the
code tree when using the 256,0 code (red branch). However, still the
other codes (green) are available out of this subtree.
Correlation of binary sequences
l Correlation
Bit sequences get compared with each other. The
correlation value is the amount of matching bits
minus the amount of unmatched bits
l Auto Correlation
A bit sequence is compared with itself and with all
shifted versions of itself
l Cross Correlation
Different bit sequences and the shifted versions of
this sequences are compared with each other
Auto correlation
Bit sequence (S)
Bit sequence (S)

Bit sequence (S)
Bit sequence (S)
Bit sequence (S)
Bit sequence (S) Bit sequence (S)
Bit length (t)
Sequence length (T)
Auto-correlation BASICS_ACC_07.VSD
With respect to the synchronisation aspect the auto correlation

properties of orthogonal codes are of interest.
The auto correlation of a binary sequence is a measure of the
similarity of a sequence with its own shifted versions. Of course, the
similarity of a sequence with itself, i.e. with a non-shifted copy of
itself, will gain the maximum. However, strong similarities with
shifted versions have unpleasant impact on the synchronisation
capabilities of such a signal regarding the multipath progpagation.
Auto correlation of orthogonal
codes
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 32
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1
1 -1 1 1 1 -1 1 -1 1 -1 1 1 1 -1 1 -1 1 -1 1 1 1 -1 1 -1 1 -1 1 1 1 -1 1 -1 8
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1
-1 -1 1 1 -1 -1 -1 -1 -1 -1 1 1 -1 -1 -1 -1 -1 -1 1 1 -1 -1 -1 -1 -1 -1 1 1 -1 -1 -1 -1 -24
Auto-correlation of orthogonal codes CODES_OCD_06.VSD
Above illustration explains the calculation of the auto correlation of a

selected code, presented by its logical representation 001100110011...
Auto correlation function (ACF)
of orthogonal codes
1,2
0,8
0,6
0,4
0,2
0
0
10
12
14
16
18
20
22
24
26
28
30
32
34
36
38
40
42
44
46
48
50
52
54
56
58
60
62
-0,2
-0,4
-0,6
-0,8
-1
-1,2
Bit shifts
Sequence length N = 64
Above illustration shows the auto correlation function of a ortogonal

code sequence. The auto correlation value is drawn with respect to
the relative shift of the sequence and its copy in chip durations. As
expected, at the relative shift of zero a maximum of correlation is
achieved, which then is normalised to 1. However, also non-zero
relative shifts outline significant correlation which doesn‘t allow
simple correlation reception.
©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - Page
Cross correlation
Bit sequence (T)
Bit sequence (T)

Bit sequence (T)
Bit sequence (T)
Bit sequence (T)
Bit sequence (S) Bit sequence (S)
Bit length (t)
Sequence length (T)
Cross-correlation BASICS_ACC_08.VSD
Cross correlation describes the similarity of two different sequences.

In case of orthogonal spreaded sequences the cross correlation is zero
when they are not shifted in time to each other, due to their
orthogonality - in fact orthogonality means no correlation. However,
the question is what happens to the required orthogonality when the
spreaded sequences are not synchronised in time. Thus, it is of
interest to evaluate the cross correlation properties of orthogonal
code sequences.
Cross correlation of orthogonal
codes
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1
0 1 1 0 1 0 0 1 1 0 0 1 0 1 1 0 0 1 1 0 1 0 0 1 1 0 0 1 0 1 1 0
1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 1 -1 0
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0
0 1 1 0 1 0 0 1 1 0 0 1 0 1 1 0 0 1 1 0 1 0 0 1 1 0 0 1 0 1 1 0
1 1 1 -1 1 1 1 1 1 1 1 -1 1 1 1 1 1 1 1 -1 1 1 1 1 1 1 1 -1 1 1 1 1 24
0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 1 1 0 0
0 1 1 0 1 0 0 1 1 0 0 1 0 1 1 0 0 1 1 0 1 0 0 1 1 0 0 1 0 1 1 0
-1 1 1 -1 -1 1 -1 1 -1 1 1 -1 -1 1 -1 1 -1 1 1 -1 -1 1 -1 1 -1 1 1 -1 -1 1 -1 1 0
Cross-correlation of orthogonal codes CODES_OCD_09.VSD
Cross correlation function (CCF)
of orthogonal codes
1,2
0,8
0,6
0,4
0,2
0
0
10
12
14
16
18
20
22
24
26
28
30
32
34
36
38
40
42
44
46
48
50
52
54
56
58
60
62
-0,2
-0,4
-0,6
-0,8
-1
-1,2
Bit shifts
Sequence length N = 64
The above illustration shows the cross correlation between two

different orthogonal spreading codes. Per definition it is zero due to
their orthogonality when the sequences are synchronised, i.e. zero
relative shift. However, obviously the orthogonality is lost when the
two different sequences appear shifted in time.
Thus, the CDMA system using orthogonal codes as desribed up to
now only works when the multiple spreaded signals are
synchronuous. However, the consideration of the auto correlation
properties does not offer sufficient synchronisation capability of such
signals. Another signal processing stage is required in order to allow
sufficient synchronsiation for the despreading operation: Scrambling
Summary Orthogonal Codes
l Correlation
Orthogonal codes have zero correlation if they are
not shifted against each other
l Cross-correlation
Shifted versions of different orthogonal codes have
high correlation
=> Time alignment necessary
l Auto-correlation
Shifted versions of the same orthogonal code have
high correlation
=> Cannot be used for synchronisation in time
l Orthogonal Codes are ideal for channel separation if
the codes are time aligned
UMTS

Signal scrambling with PN sequences

© 2002
Block Scrambling
c(k) c(k)
a(k)
⊕ Channel ⊕ a(k)
x(k) x(k)
PN Sequence PN Sequence
c(k) = a(k) ⊕ x(k) a(k) = c(k) ⊕ x(k)
Transmitter Receiver
⊕ = modulo 2 (XOR)
© Rohde & Schwarz GmbH & Co. KG - Trainings Center - UMTS - Introduction to 3GPP WCDMA - Chapter 4 ©2002 / Dipl. Ing. (TU) Heinz Mellein / 2
The statistics of a data sequence a(k) depends on the statistics of the

origin source data. For instance appears the probability of a single
letter with different probabilities in different languages, i.e. they have
different a-priori probabilities. For instance the ASCII standard
specifies a source coding scheme which represents individual letters
with a specific 8 bit sequence. Thus, the probability of the binary
digits is directly depending on the a-priori probabily of the
individual ASCII coded letters.
To achieve a reliable transmission of data in digital systems the bit
clock is required at any time. The clock signal could be retrieved
from a separate clock line, however, this is not very simple in radio
systems. Thus, the clock must be retrieved from the received signal,
i.e. altering bit sequences would be appreciated. However, this
depends again on the a-priori probability of the source symbols. To
avoid long constant bit sequences the data are scrambled prior to
transmission using pseudo noise sequences. The statistics of such PN
sequences is such that the probability of binary „0“ and binary „1“ is
equal to 50% for a sufficient period of time.
The receiver can descramble the received signal when the used PN
sequence is known, however, synchronisation of the PN generators is
required. This can be achieved by adding pilot sequences to the
signal.
In fact UMTS applies block scrambling by using special PN
sequences introduced by Gold, so-called Gold codes.
Pseudo Noise Sequences
l Pseudo Noise (PN) Sequenzes
l Simple, reproduceable generation
l Properties of random sequences
l Other names
- PRBS - Pseudo Random Bit Sequences
- PN sequences
- Maximal-length (shift-register) sequences
- m-sequences
Pseudo Noise sequences are random with respect to their statistics

and correlation properties, however, they can be easily reproduced
and thus can be exactly predicted.
PN sequence generation with
feedback shift register
1 2 3 i r m-2 m-1 m
xm x m-1 xm-2 xm-3 xm-i xm-r xm-(m-2) xm-(m-1) x m-m
xm+xm-i +xm-r +1
ir = {i,r,m)
Feedback shift register for generation PN sequences CODES_PCD_01.VSD
l Polynomial representation of the register: xm +x m-i+x m-r+1
l Feedback points: ir = {i, r, m}
The generation of PN sequences is quiet simple using feedback shift

registers.
The feedback of shift register content at certain feedback points ir
results in a PN sequence. In case of m cells the shift register can have
2m-1 states which represents the maximum length the PN sequence,
since the state all “0” is excluded.
PN sequence with max length
(m-sequence)
Ir = {1,4} Ir = {3,4} I r = {2,4}

y=x 4+x3+1 y=x 4+x+1 y=x4+x2+1
1 0 0 0 1 1 0 0 0 1 1 0 0 0 1
Length of sequence
2 1 0 0 0 2 1 0 0 0 2 1 0 0 0
3 1 1 0 0 3 0 1 0 0 3 0 1 0 0
4 1 1 1 0 4 0 0 1 0 4 1 0 1 0
5 1 1 1 1 5 1 0 0 1 5 0 1 0 1
Length of sequence
Length of sequence
6 0 1 1 1 6 1 1 0 0 6 0 0 1 0
7 1 0 1 1 7 0 1 1 0 7 0 0 0 1
8 0 1 0 1 8 1 0 1 1 8 1 0 0 0
9 1 0 1 0 9 0 1 0 1 9 0 1 0 0
10 1 1 0 1 10 1 0 1 0 10 1 0 1 0
11 0 1 1 0 11 1 1 0 1 11 0 1 0 1
12
0 0 1 1 12
1 1 1 0 12
0 0 1 0
13
1 0 0 1 13
1 1 1 1 13
0 0 0 1
14 0 1 0 0 14 0 1 1 1 14 1 0 0 0
15 0 0 1 0 15 0 0 1 1 15 0 1 0 0
Maximum-length sequences CODES_PCD_02.VSD
The maximum length of 2m-1 is not achieved with all possible

feedback circuits. Only a few configurations produce sequences of
the maximal length called m-sequences.
Above illustrations show two m-sequence circuits producing
maximum length sequences with L = 15 = 24 - 1.
The third feedback proposal does not achieve maximum length.
Auto correlation PN sequence
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 31
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0 1
-1 1 1 1 -1 -1 -1 -1 -1 1 1 -1 -1 1 -1 1 1 -1 1 1 1 1 -1 1 -1 1 -1 -1 -1 1 -1 -1
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0 1 0
-1 1 1 -1 1 1 1 1 -1 1 -1 1 -1 -1 -1 1 -1 -1 1 1 1 -1 -1 -1 -1 -1 1 1 -1 -1 1 -1
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0 1 0 0
-1 1 -1 1 -1 -1 -1 1 -1 -1 1 1 1 -1 -1 -1 -1 -1 1 1 -1 -1 1 -1 1 1 -1 1 1 1 1 -1
5 2
Auto-correlation x + x +1 BASICS_ACC_02.VSD
The auto correlation of m-sequences is almost ideal. There is

maximum correlation for exact copies of the signal, and almost
neglectable correlation - provided long sequences - in case of shifted
copies.
Auto correlation of m-sequences
1,2
sequence length L
1
0,8
0,6
0,4
0,2
- 1/L -0,2
-0,4
t/T
The auto correlation of m-sequences have very strong periodical

maxima with the distance of L. In between the correlation is equal to
- 1 /L. Thus, for large L this is neglectable. This is very much
appreciated for synchronisation purposes.
Auto correlation of a sequence
which is not a m-sequence
Auto-correlation of
5
x +x+1
1,2
0,8
0,6
0,4
0,2
0
-1 0 1
-0,2
-0,4
-0,6
Auto-correlation CODES_PCD_05.VSD
The auto correlation of a PN sequence which is not a m-sequence is no more that

interesting for synchronisation purposes as real m-sequences.
Cross correlation m-sequences
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 0 0 0 1 1 0 1 1 1 0 1 0
1 1 1 1 1 1 1 -1 -1 -1 1 1 1 -1 1 -1 -1 -1 1 -1 -1 -1 1 -1 1 1 1 -1 -1 -1 1 3
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 0 0 0 1 1 0 1 1 1 0 1 0 1
1 1 1 -1 -1 1 1 1 1 1 -1 1 1 1 -1 -1 -1 -1 -1 -1 1 1 1 -1 1 1 -1 1 1 -1 5
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 0 0 0 1 1 0 1 1 1 0 1 0 1 0
-1 1 1 -1 1 -1 -1 -1 -1 1 -1 -1 -1 1 1 -1 -1 1 -1 -1 1 1 -1 -1 -1 1 -1 -1 -1 -1 1 -9
1 0 0 0 0 1 0 1 0 1 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 1 1 0 1 0 0
1 0 0 0 0 1 0 0 1 0 1 1 0 0 1 1 1 1 1 0 0 0 1 1 0 1 1 1 0 1 0 1 0 0
-1 1 -1 1 1 1 1 1 -1 -1 -1 1 -1 1 1 -1 1 1 -1 1 1 -1 1 -1 -1 -1 1 1 1 1 1 -7
Cross-correlation x5 + x2 + 1 / x 5 + x3 + 1 BASICS_ACC_06.VSD
Cross correlation of two
m-sequences
1,2
0,8
0,6
0,4
0,2
0
-1
-0,2
-0,4
t/T
The cross correlation of m-sequences is a measure of mutual

inteference. The mutual degradation is no neglectable, however a
significant improvement compared to orthogonal codes sequences.
Further studies of m-sequences (Gold codes) gained some
improvements of the cross correlation which are applied by UMTS
scrambling techniques.
Generation of downlink
scrambling codes
x18 + x7 + 1
218-1 downlink scrambling codes
Initial condition: 0 ... 262 142
00000...00001
17 16 10 9 8 7 6 5 0
17 16 10 9 8 7 6 5 0 z-n
:
:
0 218-2 = 262 141
38400 38400
x18 + x10 + x7 + x5 +1
131 072
Initial condition:
11111...11111
I Q
Downlink scrambling code UMTS_CDS_SCC_03.VSD
GOLD found that an Exclusive OR combination of two distint m-

sequences, called mother codes, result in a new PN sequence with
improved cross correlation properties. By simple relative shifting of
the mother codes more distinct PN sequences can be achieved. Thus,
a very simple method has been found to produce scrambling codes
with sufficient cross correlation properties. The GOLD codes are
used for UMTS scrambling.
Grouping of downlink
scrambling codes
218- 1 Left alternative scrambling Right alternative

Scrambling Codes codes scrambling codes
(0 .. 262 142) for compressed mode for compressed mode
(k+8192) (k+16384)
Scrambling Code Set #511 Scrambling Code Group #63

8176 0: Primary Scrambling Code 8064 0: Primary Scrambling Code
8177 1: Secondary Scrambling Code 8080 1: Primary Scrambling Code
8191 15: 16Secondary
0: Scrambling
ScramblingPrimary Scrambling
Code Set Code
#0 Code 8176 7: 144Primary
0: Scrambling
ScramblingPrimary Code
Scrambling
Code Group #0 Code
Scrambling Code Sets Scrambling Code Groups
Grouping of the downlink scrambling codes UMTS_CDS_SCC_02.VSD
A set of 218-1 scrambling codes are available for the downlink in

UMTS. A subset of 213 codes are taken to build 64 code groups each
containing 8 primary scrambling codes. The residual codes are used
as secondary scarmbling codes.
Thus, 8192 codes are divided into 512 code sets, each containing 16
scrambling codes, the first of them used as primary scrambling code.
The residual 2 x 8192 codes are reserved for future applications.
The allocation of scrambling codes to the base stations is a matter of
network planning.
Generation of uplink scrambling
codes
x25 + x3 + 1 224 uplink long

scrambling codes
Initial condition:
1 + Scrambling sequence number 0 ... 16 777 216
24 23 4 3 2 1 0
0 225-2 = 33 554 430

38400 38400
24 23 4 3 2 1 0
16 777 232
Clong,1,n Clong,2,n
x25 + x 3 + x2 + x + 1
Initial condition:
11111 ...11111
Uplink long scrambling code UMTS_CDS_SCC_01.VSD
For uplink scrambling the GOLD codes are produced as illustrated

above. A single GOLD code is used and portions of 38400 chips are
taken for scrambling. Two different portions Clong,1,n and Clong,2,n are
used to scramble the I and Q branch separately.
Uplink scrambling
l UEs are using distinct scrambling codes, temporarily
assigned by the node B
l Node B identifies UEs according to their scrambling
code
l 224-1 Uplink scrambling codes available
l Scrambling process
- I and Q branch are scrambled with complex GOLD
sequences
- Scrambling codes are selected such that the
number of origin crossing due to modulation is
minimised. (HPSK - Hybrid PSK)
© Rohde & Schwarz GmbH & Co. KG - Trainings Center- UMTS - Introduction to 3GPP WCDMA - Chapter 4 ©2002 / Dipl. Ing. (TU) Heinz Mellein / 14
UMTS

Code scenarios and FDD channel
structure
© 2002
Downlink Code Scenario
BS separation:
Primary scrambling code
e l MS
1
, Cod n
Ch1 , Code x S2
Ch2 Code o M
,
Ch3 , Code
Ch4
Primary MS separation: Primary

scrambling scrambling
code 1 Spreading code code 2
Ch1
Ch2 , Code
,
Ch3 Code l M
Ch4 , Code n S1
, Cod x
eo M
S
2
Base station 2
Base station 1
Code scenario for the downlink
© Rohde & Schwarz GmbH & Co. KG - Training Center- UMTS - Introduction to 3GPP WCDMA ©2002 / Dipl. Ing. (TU) Heinz Mellein / 2
The combination of orthogonal spreading and block scrambling

allows the following downlink scenario:
Using orthogonal spreading codes, data for different mobile stations
are channelized prior to transmission. The total signal of the node B
then is scrambled and modulated. The scrambling allows
synchronisation at the mobile station receiver due to sufficient
correlation properties of the used GOLD codes.
Each node B uses a unique scrambling code, selected from the
available set of 512 primary scrambling codes. The cross correlation is
sufficient to allow the mobile station receiver to identify the node B
according to its primary scrambling code.
The scrambling codes are assigned to the base stations as part of the
network planning process.
Uplink Code Scenario
BS separation:
Uplink scrambling code
el
, Cod n
Ch1 , Code
Ch2
MS1
MS separation:
Uplink
MS2 scrambling code
Ch1
,
Ch2 Code l
, Cod
en
Base station 2
Base station 1
Code scenario for the uplink
On the uplink the node B selects individual mobile stations according

to their unique scrambling code. The uplink scrambling code has
been assigned temporarily by the node B to the mobile station during
link establishment procedure.
UTRA Transmitter
I
S ⊗ Sdl,n
→ Cch,SF,m
⊕ I+jQ ⊗ ⊗
⊗ ⊗
Σ
P G1
Q
j ⊗
Channelisation and Scrambling G2
of all DL channels (except SCH)
Σ
P-SCH ⊗
GP
S-SCH ⊗
GS
Spreading of downlink signals is based on OVSF channelisation

codes according to Hadamard functions. Allowed spreading factors
are 4, 8, .. 512. The spreading or channelisation process gets analog
values +1, -1 and 0 („0“ indicates DTX - Discontinuous Transmission)
as input. At the downlink all physical channels are scrambled
seperate or altogether, except the synchronisation channels P-SCH
und S-SCH, which are neither spreaded nor scrambled.
Typically all physical channels are scrambled with the same primary
scrambling code. However, along with the introduction of smart
antennas secondary scrambling codes may apply in the future.
Downlink spreading code tree
256,0
Legend 128,0
256,1
64,0
256,0 CPICH 256,2
128,1
P-CCPCH 256,3
256,1 32,0
256,4
16,0 128,2
256,8 DPDCH 8,0 256,5
16,1 64,1
4,0 256,6
16,2 128,3
8,1 256,7
16,3 512,16
2,0 256,8
16,4 128,4 512,17
8,2 256,9
16,5 64,2
4,1 256,10
16,6 128,5
8,3 256,11
16,7 32,1 512,24
1,0 256,12
16,8 128,6 512,25
8,4 256,13
16,9 64,3
4,2 256,14
2,1
8,5
16,10
16,11 : 128,7
256,15
16,12 32,30
4,3
8,6
16,13
16,14
:
64,62
128,124
256,248
256,249
8,7 256,250
16,15 128,125
256,251
blocked 32,31
256,252
128,126
512,24 DPDCH 256,253
64,63
256,254
128,127
256,255
Codes used by the UTRAN UMTS_CDS_SPC_10.VSD
© Rohde & Schwarz GmbH & Co. KG - TrainingCenter - UMTS - Introduction to 3GPP WCDMA ©2002 / Dipl. Ing. (TU) Heinz Mellein / 5
QPSK Modulation Downlink
odd Bits cos(ω·t)

..1000.. RRC
Filter
⊗
..11010100.. s(t)
Serial / +
Parallel
even Bits
..1110.. RRC
Filter
⊗
-sin(ω· t)
scrambled sequence with
user and signalling data
QPSK Modulation groups a binary sequence into two parallel bit

sequences by serial/parallel transformation. The resulting symbols
are called di-bits and are mapped onto a RF symbol in the modulator.
Di-bits can have 4 different states {00,01,10,11}, thus 4 different RF
symbols are required which leads to QPSK as the suitable
modulation scheme.
Appropriate base band filtering reduces the intersymbol interference
during transmission. For that purpose root raised cosine filters with
roll-off factor 0.22 are used in both, the modulator and the
demodulator.
UE Transmitter
cd,1 βd
DPDCH1
cd,3 βd
I
DPDCH3
Σ
cd,5 βd
DPDCH5 Sdpch
CHANNELISATION I+jQ
cd,2 βd
DPDCH2
S
cd,4 βd
DPDCH4
Q
DPDCH6
cd,6 βd
Σ
SCRAMBLING
cc βc j
DPCCH
IQ multiplexing is applied in the uplink. Thus, code channels are

fully mapped either on the I branch or the Q branch. In particular the
first data channel DPCCH1 is mapped onto the I branch, and the
uplink DPCCH is mapped on the Q branch.
Further data channels are mapped alternately onto the I and Q
branch.
The IQ multiplexing of user and control data avoids pulsed uplink
signals which could cause troublesome interference with other
electronic equipment.
UE spreading code tree
256,0
DPDCH 128,0
256,1
64,0
Spreading Spreading 256,2
factor code 128,1
256,3
32,0
256,4
256 64 16,0 128,2
128 32 8,0 256,5
16,1 64,1
64 16 4,0 256,6
16,2 128,3
32 8 8,1 256,7
16,3
16 4 2,0 256,8
8 2 16,4 128,4
8,2 256,9
4 1 16,5 64,2
4,1 256,10
4 1,2 16,6 128,5
4 1,2,3 8,3 256,11
16,7 32,1
1,0 256,12
16,8 128,6
8,4 256,13
16,9 64,3
2,1
4,2
8,5
16,10
16,11
: 128,7
256,14
256,15
Legend
4,3
8,6
16,12
16,13
16,14
32,30
:
64,62
128,124
256,248
256,249
DPDCH 8,7 256,250
16,15 128,125
256,251
32,31
256,252
256,0 DPCCH 128,126
256,253
64,63
256,254
128,127
256,255
Codes used by the UE on DPCH UMTS_CDS_SPC_08.VSD
2xBPSK Modulation Uplink
Data: BPSK Modulation of I branch
cos(ω·t)
..1000.. RRC
Filter
⊗
s(t)
Scrambling +
..1110.. RRC
Filter
⊗
-sin(ω· t)
Signalling: BPSK Modulation of Q branch
Due to the IQ multiplexing of uplink data also the modulator is

different from the downlink. Basically both branches are BPSK
modulated seperately. Finally, when there are data on both branches,
i.e. user and control data, the modulator output is similar to a QPSK
modulation.
3GPP FDD air interface
channel structure
l Frequency channels and radio frames

l Logical channels
l Transport channels
l Physical channels
l Selection of important channels
Standardised mobile communication (wie z.B. GSM, UMTS,

CDMAone, D-AMPS) consist of several components. Along with the
definition of the radio transmission technologies comes also the
definition of source coding schemes for instance for speech (speech
codec), capacity parameters, core netowork design etc. However, the
most difficult part is the definition of the air interface architecture,
since this is obviously the bottleneck of the system with respect to
capacity and data rates.
The most important parameters are:
- available bit rate (bandwidth)
- capacity (number of subscribers)
- requried cell density
- costs for network implementation
Except the latter one, all these parameters are restricted by the air
interface in particular. The air interface not only needs to transport
the data, however, a minimum of transmission quality, e.g.
reliability, or simultaneous up- and downlink transmission (full
duplex) must be provided.
FDD Frequency allocation
Region 1 (e.g. Europa)
l Frequency channel 5 MHz
l Channel raster 200 kHz
l Numbering scheme (UARFCN1):

Nuplink = 5 * Fu ; 1920 MHz ≤ Fu ≤ 1980 MHz
ie. 9612 ≤ Nuplink ≤ 9888
Ndownlink = 5 * Fd ; 2110 MHz ≤ Fd ≤ 2170 MHz
ie. 10562 ≤ Ndownlink ≤ 10838
l Duplex distance190 MHz

1) UARFCN = UMTS Absolute Radio Frequency Channel Number
FDD Frequency allocation
Region 2
l Frequency channel 5 MHz
l Channel raster 200 kHz
l Numbering (UARFCN1):
Nuplink = 5 * F u ; 1850 MHz ≤ Fu ≤ 1910 MHz
ie. 9262 ≤ Nuplink ≤ 9538
Ndownlink = 5 * Fd ; 1930 MHz ≤ Fd ≤ 1990 MHz
ie. 9662 ≤ Ndownlink ≤ 9938
l Duplex distance 80 MHz

1) UARFCN = UMTS Absolute Radio Frequency Channel Number
Radio frames and time slots
10 ms
38400 chips
at a chip rate of 3.84 MChips/s
.... Radio Frame ....
Slot #0 Slot #1 .... Slot #n .... Slot #13 Slot #14
666,6 µs
2560 chips
at chip rate of 3.84 MChips/s
Radio frame (FDD) UMTS_PHL_PHC_43.VSD
Time on the UMTS WCDMA air interface is organised by means of

10 ms radio frames. Each radio frame is divided into 15 time slots of
2/ ms duration each.
3
Regarding the fixed chip rate of 3.84 MChip/s , each time slot
contains 2560 chips, which cover - depending on the current
spreading factor - more or less data bits.
While time slots are numbered from 0 to 14, radio frames are
identified by their system frame number (SFN = 0 .. 4095). This SFN
is continuously broadcasted by the network on the P-CCPCH.
Lower layers
Service Access Point

Radio Ressource Control SAP
RRC
Control & Measurements
Logical channels
„What to be transmitted“
Medium Access Control

MAC
Transport channels
„How to transmit“
PHYSICAL LAYER Physical channels

Code, Frequency, etc.
According to the OSI layer model for communication, for WCDMA

in particular the lower layers are of interest. Layer 1, the physical
layer, is responsible for spreading, scrambling etc. Layer 2, the
medium access control layer, controls the required transmission
formats (data rates, channel coding etc.) and provides all data
towards the physical layer by means of transport channels. In
addition, layer 2 already performs data multiplexing, i.e. layer 1 has
no knowledge at all about the data content. The lower end of layer 3,
the radio ressource control layer, does provide the user and
signalling data by means of logical layers towards layer 2. A direct
link between layer 3 and layer 1 allows fast reactions of the network
with respect to changes of the radio link quality, for instance.
The lower layers according to the OSI mode are responsible for the
unambiguous addressing and save transmission of user and
signalling data. Therefore, radio interface protocols are specified,
which control the communication in vertical direction (ie. from one
layer to the upper or lower adjacent layer within one entity) and in
horizontal direction (e.g. between node B and UE).
The transmission of signalling data must be error free by default,
whilst for instance speech data transmission allows bit errors up to a
certain extend. Thus, signalling data need other channel coding
schemes than user data.
Logical channels
Control Channel
Broadcast Control Channel
CCH
BCCH
(Signalling data)
Paging Control Channel
PCCH
Dedicated Control Channel
DCCH
Common Control Channel
CCCH
Shared Channel Control Channel
SHCCH (TDD mode only)
Traffic Channel Dedicated Traffic Channel

TCH DTCH
(user data)
Common Traffic Channel
CTCH
Basically it is distinguished between signalling channels and trafic

channels.
Traffic channels of the user plane are divided into two logical
channel types, DTCH (dedicated traffic channel) and CTCH (common
traffic channel). DTCH is used for mutual, dedicated communication
between the node B and one UE: point-to-point connection. CTCH
might be used for point-to-multipoint connections (e.g. advertising
channel).
Signalling channels of the control plane are also mapped onto
different logical channels depending on their useage. BCCH
(Broadcast Control Channel) is used for downlink broadcasting of
common system information, PCCH (Paging Control Channel) covers
paging messages only (e.g. for initiation of mobile terminated calls).
Mapping of logical channel to
transport channels in the UE

SAP
BCCH PCCH DCCH CCCH CTCH DTCH
BCH PCH CPCH RACH FACH DSCH DCH
All UEs have to read system information on the BCCH (broadcast

control channel) and paging messages on the PCCH (paging control
channel) on a regular basis.
CCCH (common control channel) is a bi-directional channel which
allows radio access. DCCH (dedicated contro channel) is a bi-
directional channel which operates in association with a DTCH to
maintain a point-to-point connection. SHCCH (shared common control
channel) is for TDD mode only, to deal with traffic peaks.
All logical channels are mapped onto transport channels, which
define the transmission characteristics, like data rates and channel
coding. Transport channels are a service of the physical layer
towards the upper layers for transportation of any data structures.
The upper layers deliver the data at service access points (SAPs)
representing a certain transport channel. Regarding the uplink, the
physical layer delivers received data to the transport channel SAPs
for higher layers for further processing. Transport channels offer
flexible data rates and channel coding schemes, thus, they offer
adaptation of higher layer data streams onto the available radio
ressources. This includes for instance a suitable data multiplexing of
various upper layer data streams onto an available transport data
stream.
Mapping of logical channels to
transport channels in the node B

SAP
BCCH PCCH DCCH CCCH CTCH DTCH
BCH PCH CPCH RACH FACH DSCH DCH
A transport channel specifies the way „how“ data is to be

transmitted via the air interface. Since that transport format is
variable, an identifier called TFI (Transport Format Indicator) indicates
the current configuration. While mapping data from transport
channels onto physical channels, all TFIs are converted onto a single
TFCI (Transport Format Combination Indicator), which is transmitted
permanently on the DPCCH. However, in case of fixed data
structures throughout a communication session, the transmission of
TFCI might be skipped.
Types of Transport Channels
DCH (Dedicated channel)
This bi-directional channel is used to transport dedicated user and
signalling data. It covers the data of the logical channels DTCH and
DCCH. For physical transmission the data are mapped onto the
DPCH including the DPDCH and DPCCH. Broadcast
BCH (Broadcast channel)
This downlink only channel conveys the data of the logical BCCH
using the physical channel P-CCPCH. It uses always the same
format.
Transport channels
DEDICATED TRANSPORT CHANNEL

l DCH - Dedicated CHannel
COMMON TRANSPORT CHANNEL

l BCH - Broadcast CHannel
l FACH - Forward Access CHannel
l PCH - Paging CHannel
l RACH - Random Access CHannel
l CPCH - Common Packet CHannel
l DSCH - Downlink Shared CHannel
Forward Access Channel FACH

This downlink only channel can be used to convey data of the logical
channels BCCH, CCCH, DCCH and CTCH.
Paging Channel PCH

This downlink only channel conveys paging messages towards the
UE.
Random Access Channel RACH

This uplink only channel is used for inital radio access by the UE.
Common Packet Channel CPCH

This is a pure packet channel to exchange packet data between node
B and UE.
Mapping of transport channels to
physical channels
Transport
BCH PCH CPCH FAUSCH RACH FACH USCH DSCH DCH
Channels
(FDD only) (TDD only)
PHY
DPDCH
P-CCPCH S-CCPCH PCPCH PRACH PDSCH
DPCCH Physical
PICH AP-AICH AICH CPICH Channels
CSICH P/S-SCH (FDD)
CD/CA-ICH
DPCH
Overview of the channels of the physical layer UMTS_PHL_PHC_39.VSD
There are dedicated physical channels and common physical

channels.
A dedicated physical channel (DPCH) consists of two parts, the
DPDCH (Dedicated Physical Data Channel), which conveys the user
data and the associated signalling data, and a DPCCH (Dedicated
Physical Control Channel), which transmits pilot symbols for coherent
detection, the transmit power control (TPC) command and the
transport format identifier.
Downlink common physical channels are P-CCPCH (primary
Common Control Physical Channel), which is broadcasting system
information with a fixed rate continuously, and the S-CCPCH
(secondary Common Control Physical Channel), which conveys e.g.
paging information.
For initial access by the UE the uplink only PRACH (Physical Random
Access Channel), shall be used.
Timing of physical channels
#0 #1 #2 #3 #4 #5 #6 #7 #8 #9 #10 #11 #12 #13 #14 #1
Slots
Primary
SCH
Secondary
SCH
Any CPICH (Primary/Secondary)
P-CCPCH, (SFN modulo 2) = 0 P-CCPCH, (SFN modulo 2) = 1
τS-CCPCH,k k:th S-CCPCH
τ PICH PICH for k:th S-CCPCH
AICH #0 #1 #2 #3 #4 #5 #6 #7 #8
access
slots
Any PDSCH
τDPCH,n n:th DPCH
One Frame = 10 ms
Frame timing of the downlink physical channels UMTS_PHL_PHC_34.VSD
With respect to radio frame and time slot borders, the physical
channels may have different and variable offsets.
The CPICH and the P-CCPCH are the reference channels in that
respect, since they are perfectly synchronised into the frame and slot
scheme.
All other physical channels may have a variable offset in time with
respect to the radio frame borders. That offset can be selected
between 0 and 10 ms in steps of 256 chips periods (i.e. 0 .. 38144
Chips in steps of 256 Chips). This is of interest to compensated for
instance propagation delay offsets between different node B’s during
soft handover.
P-SCH and S-SCH are no spreaded code channels at all. They
transmit well known synchronisation information to support the UE
during cell search procedures. In addition, they are active only for 10
% of the time, however, always starting at the time slot borders.
Synchronisation Channel (SCH)
The primary and secondary synchronisation channels are used for

the cell search procedure.
Both synchronisation channels are no code channels. They are neither
spreaded nor scrambled. They transmit periodically at the beginning
of each and every time slot a known synchronisation code of length
256 chips.
Common Pilot Channel (CPICH)
Pre-defined symbol sequence
Tslot = 2560 chips, 20bits = 10 symbols
Slot #0 Slot #1 Slot #i Slot #14
Tf = 10 ms
Frame structure for common pilot channel
l Fixed rate (30kbit/s, SF=256,0)

l Transparent transmission of scrambling sequence of 38400
Chips (synchronuous to radio frame boundaries)
Properties of primary CPICH

•Spreading code (256,0)
•Primary scrambling code
•One per radio cell
•Covers complete radio cell
•Always phase reference for the following channels
SCH, CCPCH, AICH, PICH
•Phase reference for all other channels by default
•Transmit code channel power -10 .. + 50 dBm
Properties of (optional) secondary CPICH

•Fixed spreading factor - SF=256
•Primary or secondary scrambling code
•No S-CPICH, one or multiple S-CPICH per radio cell
•Optional Phase reference channel for S-CCPCH and downlink
DPCHs
Primary Common Control
Physical Channel (P-CCPCH)
Primary &
Secondary SCH
instead
256 chips
Data
Tx OFF
18 bits
Tslot = 2560 chips, 20bits
Tf = 10 ms
Frame structure for primary common control physical channel
Properties P-CCPCH
•Always the same spreading code 256,1

•Broadcast channel to distribute system information
•Scrambled with primary scrambling code
•Covers complete radio cell
Downlink DPCH
DPDCH DPCCH DPCCH DPDCH DPCCH
Data1 TPC TFCI Data2 Pilot

Ndata1 bits NTPC bits NTFCI bits Ndata2 bits Npilot bits
Tslot = 2560 chips , 10*2k bits (k=0..7)
One radio frame, Tf = 10 ms
Frame structure for downlink DPCH
•DPCCH are DPDCH time multiplexed

•DPDCH transmits signalling from higher layers and user data
•DPCCH transmits layer 1 signalling (e.g. for transmit power
control)
•Pilot bits
•Channel estimation, frequency and time synchronisation
•Changing pilot sequences in successive slots for frame
synchronisation
•variable number of pilot bits depending on the channel
quality
•TFCI bits (Transport Format Combination Identifier)
•Identification of current transport format
•Allows variable data rates
•Allows multi service
•Optional
•TPC bits (Transmit Power Control)
•Closed loop transmit power control
DPDCH and DPCCH data fields
Slot Channel Channel SF Bits/ DPDCH DPCCH Transmitted

Format Bit Rate Symbol Slot Bits/Slot Bits/Slot slots per
#i (kbps) Rate radio frame
(ksps) NData1 N Data2 N TPC N TFCI NPilot NTr
0 15 7.5 512 10 0 4 2 0 4 15
0A 15 7.5 512 10 0 4 2 0 4 8-14
0B 30 15 256 20 0 8 4 0 8 8-14
1 15 7.5 512 10 0 2 2 2 4 15
1B 30 15 256 20 0 4 4 4 8 8-14
2 30 15 256 20 2 14 2 0 2 15
2A 30 15 256 20 2 14 2 0 2 8-14
2B 60 30 128 40 4 28 4 0 4 8-14
3 30 15 256 20 2 12 2 2 2 15
3A 30 15 256 20 2 10 2 4 2 8-14
3B 60 30 128 40 4 24 4 4 4 8-14
4 30 15 256 20 2 12 2 0 4 15
4A 30 15 256 20 2 12 2 0 4 8-14
4B 60 30 128 40 4 24 4 0 8 8-14
5 30 15 256 20 2 10 2 2 4 15
5A 30 15 256 20 2 8 2 4 4 8-14
5B 60 30 128 40 4 20 4 4 8 8-14
: : :
13 240 120 32 160 28 112 4 8* 8 15
13A 240 120 32 160 28 104 4 16* 8 8-14
13B 480 240 16 320 56 224 8 16* 16 8-14
14 480 240 16 320 56 232 8 8* 16 15
14A 480 240 16 320 56 224 8 16* 16 8-14
14B 960 480 8 640 112 464 16 16* 32 8-14
15 960 480 8 640 120 488 8 8* 16 15
15A 960 480 8 640 120 480 8 16* 16 8-14
15B 1920 960 4 1280 240 976 16 16* 32 8-14
16 1920 960 4 1280 248 1000 8 8* 16 15
16A 1920 960 4 1280 248 992 8 16* 16 8-14
DPDCH and DPCCH fields UMTS_PHL_PHC_23.VSD
Downlink multicode
transmission
DPCCH
P
T
T i
F
P l
C
C o
Transmission
DPDCH I DPDCH DPCH 1
Power t
Transmission
Power DPDCH DPDCH DPCH 2
Transmission
Power DPDCH DPDCH DPCH N
One Slot (2560 chips)
Downlink slot format in case of multi-code transmission UMTS_PHL_PHC_09.VSD
In case of multiple DPCH channels belonging to a single link, eg. in

case of soft handover, only one DPCCH is used, however, with
strong code channel power to ensure save reception.
Uplink DPDCH/DPCCH frame
Data
DPDCH Ndata bits
Tslot = 2560 chips, NData = 10*2 k bits (k=0..6)
Pilot TFCI FBI TPC

DPCCH
Npilot bits NTFCI bits NFBI bits NTPC bits
Tslot = 2560 chips, 10 bits
1 radio frame: Tf = 10 ms
Frame structure for uplink DPDCH/DPCCH UMTS_PHL_PHC_03.VSD
•DPCCH and DPDCH are IQ multiplexed

•Dedicated Physical Data Channel DPDCH
•transmits DCH Transport channel
•0 .. 6 uplink DPDCHs possible
•Dedicated Physical Control Channel DPCCH
•transmits layer 1 Signalling info
•Pilot bits for channel estimation, frequency and time
synchronisation
•TPC bits for transmit power control
•FBI bits for diversity control
•TFCI bits (optional)
•1 uplink DPCCH per radio link
Uplink DPDCH data
Ndata bits
Tslot = 2560 chips (2/3 ms)

Ndata = 2560 / SF bits per Tslot
SF = 4 8 16 32 64 128 256
Ndata = 640 320 160 80 40 20 10
Rate[ksps] 960 480 240 120 60 30 15
slot format 6 5 4 3 2 1 0
Uplink DPCCH time slot forms
SF = 256 ie. 10 bits per slot
0 Pilot TFCI TPC
2
slot form
4 FBI
5
12.2 kbit/s UL reference channel
Channel Rate Radio frame

Coding Matching alignment
DTCH
12.2kbps 260 804 bits 490 bits
+ 8 tail bits per TTI per radio
244 bits per
per TTI frame
TTI = 20 ms
R=1/3 49 kbps
CRC 22 % Inter
coding DPDCH
+16 bits Repetition leaving
MUX
60 kbps
R=1/3 11 kbps
CRC 22 % Inter SF = 64
+12 bits coding Repetition leaving
DCCH 112 360 bits 110 bits
2.4 kbps + 8 tail bits per TTI per radio
per TTI frame
100 bits per
TTI = 40 ms
64 kbit/s UL reference channel
Channel Rate Radio frame

Coding Matching alignment
DTCH
64kbps 1296 3888+12 bits 2294 bits
per TTI per TTI per radio
1280 bits per
TTI = 20 ms frame
R=1/3 229,4 kbps

CRC 17 % Inter
MUX
240 kbps
R=1/3 10,6 kbps
CRC 17 % Inter SF = 16
DCCH 112 360 bits 106 bits
2.4 kbps + 8 tail bits per TTI per radio
per TTI frame
100 bits per
TTI = 40 ms
UMTS

Cell search and Synchronisation

© 2002
Introduction
Base Station
?
Base Station
Base Station
Base Station
What does the mobile need to know?
1) Strongest base station 4)

Base Station Primary scrambling code
2) Slot border 5) BCCH information
3) Frame border
Introduction to synchronisation UMTS_PRC_SYN_04.VSD
After switching on the mobile station a suitable base station of the

wanted operator must be found. Therefore, the mobile station first is
looking for WCDMA signals. After synchronisation on that, it reads
the broadcasted system information to identify the network operator.
Four steps cover that cell search procedure.
Physical channels required for
Synchronisation
2560 chips
Data TPC TFCI Data Pilot
Spreading Scrambling
Information Code Code
Primary
DPCH1 User Info CC H,x,y
Secondary
Primary
DPCH2 User Info CCH ,a,b
Secondary
Primary
DPCH3 User Info CC H,n,m
Secondary
..........
CPICH Predefined pattern CC H,256,0 Primary
P-CCPCH BCH Info CC H,256,1 Primary
Predefined code word

P-SCH (256 chips)
--- ---
Sequence of predefined
S-SCH code words (256 chips)
--- ---
256 chips
Base Station 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14
Slot #
One Frame = 10 ms (38400 chips)
Physical channels used for synchronisation UMTS_PHL_PHC_37.VSD
For identification of WCDMA signals some known synchronisation

channels are required. The downlink WCDMA signal includes
therefore a primary (P-SCH) and a secondary synchronisation
channel (S-SCH), which are neither spreaded nor scrambled, since
the scrambling code of the base station is not known yet to the mobile
station.
The synchronisation channels allow synchronisation in time onto the
WCDMA signal, i.e. on radio frame and time slot boundaries.
Another, spreaded and scrambled common pilot channel (CPICH)
allows the detection of the primary scrambling code. Thus, the
broadcast information, transmitted by the primary common control
physical channel (P-CCPCH) can be decoded and analysed.
P-SCH - Primary Sync Channel
l Conveys primary
Synchronisation code (CPSC) for
base station selection and time
slot synchronisation
l CPSC
- Known code word (256

Base Station
15 Slots = 1 Frame = 10 ms (38400 chips)

chips)
CPICH - Identical for all Base
P-CCPCH
stations
P-SCH
S-SCH - Identical in all time slots

256 chips
The time domain in UTRAN FDD mode is organised in 10 ms radio

frames and 15 time slots of 2 /3 ms duration each, which are
numbered from 0 to 14. For time synchronisation the first information
required are the time slot borders. Therefore the base station
transmits continuously the primary synchronsiation code PSC on the
primary synchronisation channel P-SCH at the beginning of each and
every time slot. The PSC is 256 chips long, ie. it lasts 1/10 of a time slot
duration. The PSC content is identical for each and every base station.
The PSC is a so-called generalised hierarchical Golay Sequence with
very good a-periodical auto correlation properties. It is built by a 16
times repetition of a 16 chip sequence. By multiplication of each chip
with the complex value (1+j) the signal vector is turned by π/4 which
gains an almost constant signal envelope of the QPSK modulated
signal.
For detection of the PSC matched filters are useful which can
generate exactly the time slot clock.
Selection of base station and
time synchronisation
r(t)
Matched Filter
BS 1
- Slot timing BS2

- Gross frequency error
- BS presence
BS1 BS2
Slot x Slot x+1 Slot x+2 t

Sync step 1: BS selection and slot synchronisation UMTS_PRC_SYN_01.VSD
Matched filter
copy of Integrate
signal and
Reset
Max SNR
for sampling
instant
∫ dt
1 1 1
⊗
-1
0
An optimum receiver for AWGN channels gains maximum SNR at

its output by definition. This can be achieved by matched filter
circuits, which simply „wait“ for the arrival of known data
sequences.
Reception of spreaded signals
1 1 1 Integrate
and
copy of Reset
-1
sequence
Max SNR
at sampling
instant
Tc
T
∫ dt
1 1 1
⊗
-1
0
T T
1 /Tc 1 /T
correlator
Reception of spreaded, multipath
signals
1 1 1 Integrate
and
copy of Reset
-1
sequence
Path 2
Max SNR
1 1 1
at sampling
-1 instant
Tc
T
∫ dt
1 1 1
Path 1
⊗
∆t -1
0
T T
1 /Tc
1 /T
correlator
Reception of spreaded signals
1 /Tc
Path 2
Path 1
Bandwidth of wanted signal

Despreaded
energy of
Path 1 Despreaded energy of path 2
due to loss of orthogonality
Still spreaded energy of path 2

within the wanted signal bandwidth
Still spreaded energy of path 2

out of the wanted signal bandwidth
RAKE Receiver
l „Collecting“ of all signal energy of different paths
l Each correlator builds a „Finger“ of the RAKE
receiver
l For synchronisation on single paths very good
correlation properties and supporting pilot channels
are required
l A common searcher detects pilots and regenerates
symbol clocks
RAKE Receiver Principle
Clock regeneration
Searcher
Individual Path compensation
(e.g. delay, attenuation)
Finger 1
Combiner
Selector
Sum
Finger 2
or
or
Selection
Finger n
The RAKE receiver collects signal energy like a garden rake collects
the leaves after a windy autumn day. On a multipath channel each
finger of the RAKE receiver does take the portion of the signal energy
that comes along on a single path. It is obvious, the more fingers a
RAKE receiver does include, the more signal energy can be collected,
however, each additional finger does obviously increase the
complexity of the receiver implementation.
Each finger might be designed as a correlation receiver, which gets
the required clock from the searcher unit. The searcher unit, e.g.
designed as a matched filter circuit does retrieve the symbol clock
from the available synchronisation channels P-SCH and S-SCH
within the downlink WCDMA signal.
The following combiner or selector network might compensate the
known timing offsets between the individual fingers and add up the
signal energy portions delivered by the finger outputs, or just select
the strongest finger output.
S-SCH
Secondary Sync Channel
l Transmits secondary
synchronisation Codes (CSSC)
for frame synchronisation and
Identification of current
Scrambling Code Group
Base Station
l CSSC
- 16 defined code words of
CPICH
P-CCPCH 256 chips

P-SCH
- 16 code words build
S-SCH
256 chips
identifiers for scrambling
code groups
For frame synchronisation the secondary synchronisation channel is

used. This channel does transmit a pre-defined sequence of
secondary code words, which can be selected out of a set of 16
secondary synchronisation codes SSC resp. CSSC
These are orthogonal code words which are Hadamard functions. All
16 possible SSCs are known to the receiver in the mobile station, and
thus can be easily detected by correlation reception. Across a
complete radio frame a pre-defined sequence of 15 SSCs is
transmitted, which is then repeated radio frame by radio frame.
There are in total 64 code groups defined, each containing 8 primary
scrambling codes. Each code group does transmit its unique
sequence of SSCs per radio frame, which in fact is used to identify the
scrambling code group. Thus, the secondary synchronisation channel
is used to identify the scrambling code group of the monitored node
B, which reduces the number of possible primary scrambling codes
to 8. Since the SSC sequences of each code group are synchronised to
the radio frame, the radio frame borders are known to the receiver
after detection of the scrambling code group.
Grouping of Downlink
Scrambling codes
2 18-1 Left alternative scrambling Right alternative

(k+8192) (k+16384)

8191 15: 16 0:
Secondary Primary Scrambling
Scrambling Code Code 8176 7: 144 0: Scrambling
Primary Primary Code
Scrambling Code
Grouping of the downlink scrambling codes UMTS_CDS_SCC_02.VSD
218 -1 downlink SCs (scrambling codes) are available.

213 = 8192, numbered by 0 .. 8191 are used for primary and secondary
scrambling purposes.
Those 213 codes are divided into 29 = 512 groups, each containing a 24
= 16 SCs. The first of that set of 16 SCs is always used as the primary
scrambling code SC ( n = 16⋅i with i = 0..511) for that group and the
residual 15 SCs are available as secondary scrambling codes.
The number of 512 primary scrambling codes are organised again in
64 scrambling code groups, each containing 8 scrambling codes, of
course.
The following relation with respect to the code numbering applies:
SC number = 16 ⋅ 8 ⋅ j + 16 ⋅ k
with
j = 0..63 (code group number) and
k = 0..7 (primary SC number within the code group j).
Frame synchronisation and
Scrambling Code Groups
Table of secondary
synchronisation codes
Cssc,1
CPICH Cssc,2
P-CCPCH Cssc,3
Cssc,4
P-SCH :
S-SCH :
C ssc,13
256 chips C ssc,14
C ssc,15
C ssc,16
256 chips
Scrambling slot number
Code Group #0 #1 #2 #3 #4 #5 #6 #7 #8 #9 #10 #11 #12 #13 #14
Group 0 1 1 2 8 9 10 15 8 10 16 2 7 15 7 16
Group 1 1 1 5 16 7 3 14 16 3 10 5 12 14 12 10
Group 2 1 2 1 15 5 5 12 16 6 11 2 16 11 15 12
Group 3 1 2 3 1 8 6 5 2 5 8 4 4 6 3 7
Group 4 1 2 16 6 6 11 15 5 12 1 15 12 16 11 2
Sync step 2: Frame sync and identifying scrambling code group UMTS_PRC_SYN_05.VSD
CPICH - Common Pilot Channel
l Conveys well defined pilot
sequence
l SF 256 (Cch,256,0)
l Scrambled, using primary
scrambling code according to
Base Station scrambling code group
l UE attempts possible
CPICH
P-CCPCH
scrambling codes (one out of
P-SCH eight) according to known
S-SCH
scrambling code group
256 chips
The primary scrambling code sequence, when transmitted on the air

interface, is cut down to 38400 chips, which obviously corresponds to
the duration of a single radio frame of 10 ms. In fact, the primary
CPICH channel, which is exactly synchronised to the downlink radio
frame borders, does contain the plain scrambling code.
The data on the CPICH, before spreading with (256,0) consists of the
sequence „1111“. After spreading with (256,0), which is a sequence of
256 „1“ the CPICH data contains simply 38400 „1“ per frame before
scrambling. The scrambling operation then does multiply the data
chip by chip with the 38400 chips of the scrambling code word.
Obviously, then the plain primary scrambling code is sent radio
frame by radio frame of the P-CPICH.
Since the receiver, after detection of the scrambling code group does
know out of which set of 8 possible primary scrambling codes the
scrambled data on the P-CPICH comes from, it can detect the used
SC on the P-CPICH.
Primary Common Control
Physical Channel (P-CCPCH)
l Includes system information and
current SFN (System Frame
Number)
l SF 256 (Cch,256,1)
l Scrambled by primary
Base Station scrambling code
l UE can descramble and
CPICH
P-CCPCH despread BCH system

P-SCH information
S-SCH
256 chips
After all, the physical cell search process is completed after three
steps:
1. Time slot synchronisation by P-SCH
2. Frame synchronisation and code group detection by S-SCH
3. Detection of primary scrambling code by P-CPICH
Now the receiver can descramble the downlink signal and look for
further code channels. Since it is known, that the P-CCPCH,
containing the BCCH broadcast system information, is spreaded by
(256,1) by default, the receiver can finally despread and read the
required system information to complete the cell selection process.
Summary cell search procedure
2 18-1 Left alternative scrambling Right alternative

(k+8192) (k+16384)

8176 0: Primary Scrambling Code 8064 0 : Primary Scrambling Code
8177 1: Secondary Scrambling Code 8080 1 : Primary Scrambling Code
8191 1 5 : 16Secondary
0: Primary Scrambling
Scrambling
Scrambling Code Set Code
#0 Code 8176 7 : 144Primary0: Scrambling
ScramblingPrimary Scrambling
Code
Code Group #0 Code
Grouping of the downlink scrambling codes

3 UMTS_CDS_SCC_02.VSD
CPICH
Cells
Primary synchronisation code
and P-CCPCH
(CPSC)
Slot boarder
P-SCH 1
4
Secondary synchronisation
code sequence (CSSC,n)
(64 unique sequences of secondary
Frame
border
2 BCH
information
synchronisation codes)
S-SCH
The four synchronisation steps UMTS_PRC_SYN_03.VSD
System information broadcast
UE UTRAN BCCH
↓
SYSTEM INFORMATION PCCPCH ← BCH
SCCPCH ← FACH
l Elements of system information are grouped in

System Information Blocks 1..18 (SIB) with variable
order
l SIB order info available in master information block
(MIB)
The logical channel BCCH transmits via the transport channel BCH
and the physical channel P-CCPCH continuously system information
blocks to all mobile stations. The System information is distributed
within max. 18 blocks - called system information blocks SIB - over
the entire radio cell, scrambled with the primary scrambling code.
The order of SIB transmission is written in a master information
block MIB, which is sent out every 8 radio frames.
System Information Elements
l Core Network (CN) information elements (IE)

l UTRAN mobility information elements
l User Equipment (UE) information elements
l Radio Bearer information elements
l Transport Channel information elements
l Physical Channel information elements
l Measurement information elements
l Other information elements
l ANSI-41 specific information elements
l Specified in 3GPP TS25.331

The SIBs provide the UEs with all necessary technical and
administrative information regarding the mobile radio network.
Along with core network parameters also network operator
information (e.g. mobile country and network codes) and location
information are distributed.
In particular very important technical parameters to control for
instance the transmit power control algorithms or the cell selection
and reselection process are sent within dedicated SIBs.
For future applications the transmission of SIBs is very flexible and
might include for instance network operator proprietary information.
Idle mode Processes
Automatic
or manual PLMN Selektion
und Reselektion
select PLMN
display available PLMNs
cell selection
and Reselection
Location
Registration
Info Changing location
Location area
Registration
After analysis of the system information of various node B‘s, a list of

available network operators is produced an offered to the subscriber.
The PLMN selection then is done manually or automatically,
depending on the terminal settings. After PLMN selection the
registration process is initiated by the UE on the selected (or
reselected) cell. The cell selection / reselection is a continuous
process of the UE in idle mode, thus, a continuous monitoring of the
node B neighbourhood is required.
Measurements for cell selection
l Different measurements in different RATs - Radio
Access Technologies
l GSM
- RXLEV (range 0 .. 63)
- RXQUAL (range 0 .. 7)
l UTRA / FDD
- CPICH Ec/N0
- CPICH RSCP
l UTRA / TDD
- P-CCPCH RSCP
For selection of a node B some basic physical measurements are

required, which differ from RAT to RAT. For instance in GSM the
downlink level, expressed in RXLEV parameter is measured and
compared against a given cell selection threshold. In connected
mode, the UE still estimates the current quality and reports this
RXQUAL measure to the network.
UMTS in FDD mode requries measurements on the downlink
reference channel P-CPICH. The evaluated SNR on that channel,
expressed by Echip/N0 , and the received code channel power on the
CPICH (RSCP, Received Signal Code Power).
Those measurements again are compared agains given thresholds for
cell selection purposes.
Cell selection criterion
cell selection Measured cell quality value Minimum required
quality value FDD: CPICH Ec/No [dB] cell quality value
[dB] range -20 .. 0 dB
0 < Squal = Qqualmeas - Qqualmin (FDD only)
0 < Srxlev = Qrxlevmeas - Qrxlevmin - Pcompensation

cell selection
RX level value max(UE_TXPWR_MAX_RACH - P_MAX, 0)
[dB]
Measured RX level value max allowed

FDD: CPICH RSCP [dBm] UE TX power max UE TX power [dBm]
range: -50 .. +33 [dBm] ∈ { 33, 27, 24, 21 }
Minimum required RX level value Note:
range -115 .. -25 dBm (2 dB step) Default value is P_MAX
Note: Cell selection and reselection Info provided by SIB11/12
Example:
P_MAX = 24 dBm
UE_TXPWR_MAX_RACH = P_MAX
i.e. path compensation = 0
Level selection criterion: Qrxlevmeas > Qrxlevmin
Quality selection criterion: Qqualmeas > Qqualmin
If UE_TXPWR_MAX_RACH > P_MAX, i.e. a UE shall tranmist more

power than possible, Qrxlevmin is reduced by the that difference.
With Ebit /N 0 = SF · Echip /N 0 the criterion Squal with respect to Ebit /N 0

and SF = 256 ≅ 24 dB for CPICH becomes
0 < Squal = Qqualmeas - Qqualmin , with Qqualmin = 4 .. 24 dB
if looking at CPICH Ebit/N0
Cell ranking for reselection
Quality of cell
Rs = Qmap,s - Qhyst,s
Rn = Qmap,n - Qoffset,n
Quality of neighbour cells
Once a cell is selected, the UE continuously does monitor the

neighbouring cells for possibly better service conditions. The UE,
according to the given reselection criterions, does maintain a cell
ranking, which, whenever a neighbour cell gets on top of the list,
triggers a reselection process.
The reselection of the UE must be reported to the UTRAN in case of
changing the location area. Thus, the UTRAN always knows the
rough location of the UE and can forward mobile terminated calls.
UMTS

Basic WCDMA Procedures

© 2002
©2002 Rohde & Schwarz GmbH & Co. KG - Training center 1

UMTS

Transmit Power Control

Base Station
Power Control CDMA_TPC_09.VSD
© Rohde & Schwarz GmbH & Co. KG - Trainingcenter - UMTS - Introduction to 3GPP WCDMA ©2002 / Dipl. Ing. (TU) Heinz Mellein / 3
The need for fast and highly accurate transmit power control (TPC)
may be regarded as the most serious (negative) issue of CDMA
systems in total.
There is a need for TPC on the downlink and the uplink, however,
facing different requirements.
The implementation of TPC is a great challenge for all parts, software
and hardware, and must be realised with highest priority.
The simple fact, that a single mobile transmitting too much power
will block the complete radio cell, outlines the great importance of
TPC in a very obvious way.

DPCCH 15 ksps
3.84 Mcps
Spreading
3.84 Mcps
DPCCH 15 ksps
Spreading
3.84 Mcps
© Rohde & Schwarz GmbH & Co. KG - Training center - UMTS - Introduction to 3GPP WCDMA ©2002 / Dipl. Ing. (TU) Heinz Mellein / 4
Looking at the spreading operation of CDMA systems in the

frequency domain, a weak subscriber with respect to its transmit
power, does contribute a very small portion of spectral power
density to the total WCDMA signal at the air interface.
Different contributions of spectral power density is simply caused by
different distances of the mobiles to the node B receiver.

3.84 Mcps negative SNR

Despreading
It may happen, that the processing gain in the node B receiver is not
sufficient to achieve a positive SNR for the selected code channel. In
that case, decoding and processing of those data is no more possible,
the radio link for that code channel is cut.

Power Control
l Most serious negative point
l Every mobile is an interferer for every other mobile
l Every base station is an interferer for every other base station
l A single overpowered mobile/base station could block a whole
cell since every mobile/base station is an interferer for every
other mobile/base station
l Power control is directly related to the capacity of the system
l Uplink
- The output power of all mobiles must be controlled in a way
that all signals arrive at the base station with the same mean
power level
l Downlink
- The output power of the base stations should be minimised to
minimise the interference to other cells

Uplink Power Control
nds
mma
ol co
er contr
Pow
Base Station
Power control in uplink direction CDMA_TPC_01.VSD
TPC in uplink is responsible to maintain the full radio cell capacity. A

single dB of SNR unnecessarily used by a mobile does reduce the
residual cell capacity. Thus, a very „loud“ user may block the entire
cell. This is known as the „near-far“ problem.
On the other hand, when taking SNR away from a single mobile, the
quality of serve (QoS) does suffer with respect to the transmission
reliability.
Thus, it is vital to meet exactly the required SNR for each individual
subscriber. Due to the fast changing quality of a mobile channel, the
SNR assignment must be controlled as fast as possible. The required
fast power control is provided by the closed loop TPC algorithm.
The target SNR for the individual mobiles must be provided by the
radio network controller towards the node. This process is called
outer loop TPC.

nds
mma
ol co
er contr
Pow
Keep received
power levels
equal
Base Station
The TPC process is performed by exchanging continuously TPC

symbols on the DPCCH. A number of bits, depending on the used
time slot format, is reserved to indicate the required power control
steps. Since the DPCCH is sent regularly each and every time slot, the
transmit power can be modified 1500 times per second (compared to
GSM this is 750 times faster). With that speed, even fast fading effects
may be compensated.

ds
man
com
ntrol
er co
Pow
Base Station
However, for the first UTRAN access by the mobile station on the
PRACH, no closed TPC control is available yet. Thus, an open loop
algorithm applies. To avoid any problems, the mobile starts
transmitting PRACH preambles with the lowest power possible and
increases the power in predefined steps until the UTRAN does
acknowledge the reception of the access attempt and establishes the
closed loop TPC.

Downlink Power Control
ds
man
com
ntrol
er co
Pow
Base Station Base Station
Power control in downlink direction CDMA_TPC_04.VSD
On downlink there is no „near-far“ problem as in the uplink.

However, in might be necessary to increase individual code channel
power for individual mobile stations. However, it is important to
monitor the total downlink signal power, since it determines the inter
cell interference.

Downlink Power Control
ds
man
com
ntrol
er co
Pow
Base Station Base Station
Power control in downlink direction CDMA_TPC_05.VSD

Types of transmit power control
TPC
(Transmit Power Control)
open loop Power Control closed loop Power Control
For random access procedure
inner loop Power Control outer loop Power Control
Fast power control to Slow power control to maintain

compensate fading required SNR

FDD Open loop power control
CPICH → RSCP
System Info → BCCH → P-CCPCH
- Primary CPICH DL TX power

- UL interference UE
- Constant Value
- Power Ramp Step
- Preamble Retrans Max
P = Primary CPICH DL TX power – CPICH_RSCP

+ UL interference + Constant Value
(+ Power Ramp Step)
Parameters for open loop power control:

•Primary CPICH DL TX power = { -10 .. 50 } dBm
•UL interference = { -110 .. -70 } dBm
•PRACH Constant value = { -35 .. -10 } dBm
Calculation of the inital PRACH Preamble power:

Preamble_Initial_Power =
Primary CPICH DL TX power – CPICH_RSCP + UL interference +
Constant Value
The following preambles - i.e. as long there is no reception

acknowledgement by the UTRAN on the AICH - shall be transmitted
with the power increased by the PowerRampStep = {1..8} dB. The
number of PRACH preamble attempts is limited by
PreambleRetransMax = { 1..64 }.

FDD closed loop power control
Downlink DPCH = DPCCH/DPDCH

TPC Bit Pattern Transmitter power

NTPC = 1 NTPC = 2 control command
1 11 1
0 00 0
As soon as a DPCCH link is established the closed loop algorithm

using the TPC symbols applies.
©2002 Rohde & Schwarz GmbH & Co. KG - Training center

Parameters for Uplink TPC
l UTRAN parameters of higher layers
- SIRtarget
- PCA PowerControlAlgorithm: {Algorithm1, Algorithm2}
- TPC step size {1dB,2dB}
l OSI Layer 1 Parameter
- ∆ TPC (derived from TPC step size)
l Operational parameters
- SIRest (current SIR estimation)
- TPC Symbol
( 0 if SIRest > SIRtarget ; 1 otherwise )
- TPC_cmd { -1 if TPC = 0 ; 1 otherwise }
- ∆DPCCH (Absolute step size for DPCCH transmit power in [dB], derived from ∆ TPC and TPC_cmd)

Uplink TPC :
Algorithm 1
Downlink DPCH = DPCCH/DPDCH

{ 0, 1 }
TPC_cmd
{ -1, +1 }
∆ DPCCH [dB] = ∆TPC ⊗ TPC_cmd
given by higher layers

TPC_stepsize
In case of TPC algorithm 1, the mobile station does decode the

received TPC symbol into a TCP_cmd. The TPC_cmd does either
request to increase or to decrease the transmit power by one TPC step
size.

Uplink TPC :
Algorithm 2
TPC TPC TPC TPC TPC
{5 time slots} alternating

TPC Symbol
TPC_cmd (slot 1..4) = 0 switches off
TPC_cmd (slot 5) = 1 if TPC (slot 1..5) = 1 TPC
TPC_cmd (slot 5) = -1 if TPC (slot 1..5) = 0
TPC_cmd (slot 5 ) = 0 otherwise
{ -1, 0, +1 }
∆ DPCCH [dB] = ∆ TPC ⊗ TPC_cmd
TPC algorithm 2 allows slower transmit power changes or even

switching off the TPC to maintain constant transmit power.

UMTS

Handover

Handover Definition
BS1 (f1) BS2 (f2) BS1 (f1) BS2 (f2)
MS Step 1 Step 2 MS
Hard handover UMTS_PRC_HOV_02.VSD
l Forwarding of a mobile station from one radio cell to another,

without interruption of the service.

Handover Types
l Soft Handover
BS1 (f1) BS2 (f1) BS1 (f1) BS2 (f1)
- UE connected to several
MS Step 1 Step 2 MS
BS’s at the same time
- All BS’s transmit on the
BS1 (f1) BS2 (f1)
same frequency
Step 3 MS
l Hard Handover
Soft handover UMTS_PRC_HOV_01.VSD - UE at any time
connected to a single BS
- BS’s use different
frequencies or belong to
BS1 (f1) BS2 (f2) BS1 (f1) BS2 (f2) different RTT’s
MS Step 1 Step 2 MS
Hard handover UMTS_PRC_HOV_02.VSD

Soft Handover
l Soft Handover
BS1 (f1) BS2 (f1) BS1 (f1) BS2 (f1)
- Handover to a cell with
MS Step 1 Step 2 MS
the same frequency
l Softer handover
BS1 (f1) BS2 (f1)
- Soft Handover within a
Step 3 MS
single node B
Soft handover UMTS_PRC_HOV_01.VSD
BS1 (f1) BS2 (f1) BS1 (f1) BS2 (f1)
MS Step 1 MS Step 2
BS1 (f1) BS2 (f1)
MS Step 3
Softer handover UMTS_PRC_HOV_03.VSD

Hard Handover
l Frequency-Handover
- Cell A and cell B with different frequencies
l System-Handover
- Handover to other RTTs
- e.g. WDCMA <> GSM

Handover Parameter
nal
Pil al sig
et tot
ot
1 s
e
Activ
Add timer Drop timer
Add threshold
t2 Drop threshold
Pilo
Add pilot 2 to the Remove pilot 1 from

active set the active set
Handover parameters UMTS_PRC_HOV_04.VSD

UMTS

Radio link establishment

random access procedure
Node B UE UE
Layer 1 Layer 1 MAC
PHY-Data-REQ RRC
RACH Preamble
Repetition with alternating PRACH RACH
Signatures and increasing
transmit power
AICH positive aquisition indication
RACH message part

incl. „establishment cause“ RACH transmitted
It is the higher layers which initiate the random access, since they
know resp. decide what kind of connection is required for the
requested service. The lower layers are asked then to establish first of
all a physical connection, ie. to „ask“ for physical ressources. When
the physical ressource for communication via the radio interface is
established, the higher layers will continue the communication on the
assigned channel, until they ask the lower layers again to release the
radio link.
Initiated by the upper layer request, the physical layer initiates the
random access procedure to ask for the establishment of a physical
radio link. It transmits a PRACH preamble, starting with minimum
power according to the opern loop power control mechanism, until
there is an acknowledgement on the downlink, represented by the
AICH. After AICH reception the physical layer transmits the RACH
message part including higher layer information. The transmission of
the message part is acknowledged to the higher layers.

L1 PRACH Preamble
1. Random selection of a Signature Ps out of s = 0..15

possible Hadamard codes of length 16
2. 256 times repetition of P s builds preamble signature code
C sig,s of length 4096 chips
3. Preamble scrambling code Sr-pre, n = C long, 1, n
n = 0..8191 (2 13 - 1) provided by system information
4. Build complex-valued random access preamble codes:
C pre,n,s = S r-pre,n ⋅ Csig,s ⋅ exp( j(π/4+ k⋅ π/2)

Random access
AICH
∆ Po AICH Preamble
open loop
Preamble
with initial
transmit power
PRACH
RACH Preamble with RACH message
changing signatures

Paging
UE UTRAN
PAGING
PAGINGTYPE
TYPE1 1or 2
TYPE 1: PCCH → PCH → S-CCPCH

TYPE 2: DCCH → FACH → S-CCPCH
The paging message for mobile terminated call establishment is

provided by the logical channel PCCH. Via the transport channel
PCH and the physical channel S-CCPCH it is transmitted towards all
mobiles within the related location area.
Two types of paging are specified
PAGING TYPE 1
This RRC message is transmitted to mobile stations in idle mode. The
message may include a paging message or an indication of changes
in the system information (BCCH modification information)
PAGING TYPE 2
This paging message is used to page mobile stations which already
are in allocated mode, ie. already maintain a radio link.
Identification of called mobile station
GSM-MAP: IMSI, TMSI, P-TMSI (Packet-TMSI)

ANSI-41: IMSI, TMSI

RRC link establishment
UE UTRAN
RRC CONNECTION REQUEST

CCCH → RACH → PRACH
RRC CONNECTION SETUP

CCCH → FACH → S-CCPCH
RRC CONNECTION SETUP COMPLETE

DCCH
The radio link establishment is initiated by the random access

procedure via the PRACH of the mobile station, e.g. as a response of
a paging type 1 message. Important information, such as the
establishment cause, the UE identity and a first measurement report
are already known then to the UTRAN.
With RRC CONNECTION SETUP message, provided by the logical

CCCH via the transport channel FACH and the physical channel S-
CCPCH a dedicated control channel is assigned by the UTRAN.
Therefore this L3 message transmits the necessary radio link data
(spreading code, uplink scrambling code etc.)

Call setup steps
RRC or AS connection setup

Establishment of a Dedicated Common Control Channel
NAS call setup

Authentication and Security Procedures
RAB call setup

Assignment and enabling of target radio bearer
ref . 3GPP TS34.108
A call establishment may be regarded in three phases. First of all the

radio link on the air interface between UE and UTRA is established.
When a dedicated channel (DCCH) is available the next phase can
start, which includes authentication and security procedures (i.e.
establishment of ciphering algorithms). This already includes core
network elements like HLR (home locatio register) which provides
required subsriber data. When that phase is passed by the mobile, the
final phase provides the final connection towards the called party.
AS = Access Stratum
NAS = Non-Access Stratum
RAB = Radio Access Bearer

MT Call setup / CS
Paging (PCCH)
RRC connection request (CCCH)
RRC connection setup (CCCH)
RRC connection setup complete (DCCH)
Paging response (DCCH)
Authentication request
Authentication response
Node B
Security mode command
UE
Security mode complete
Setup
Call confirmed
Radio bearer setup
Radio bearer setup complete
Alerting
Connect
Connect Acknowledge
ref . 3GPP TS34.108
Mobile terminated calls are initiated by the UTRAN by the paging

procedure. The paging message is indicated by the physical paging
indicator channel, which is monitored continuously by all mobile
stations.

MO Call setup / CS

CM service request (DCCH)
Node B
UE
Setup
Call proceeding
Radio bearer setup
Radio bearer setup complete
Alerting
Connect
Connect Acknowledge
ref . 3GPP TS34.108
A mobile originated call is directly initiated by the mobile station

using the random access procedure.

Registration

Location Updating request (DCCH)
Node B
UE
Location updating accept
TMSI reallocation complete
RRC connection Release
RRC connection Relese Complete
ref . 3GPP TS34.108
Registration is required whenever the mobile is switched on or is

changing its location. Like for a mobile originated call, first of all a
radio link is establihed initiated by the random access procedure. The
calling party for registration purposes in fact is the serving mobile
network, thus, no „phase 3“ for through connection towards the
called party is required.

Basics WCDMA PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Basics WCDMA PDF

Uploaded by

Copyright:

Available Formats

Division 1

Sales Engineer University

Module: Tu_51 to We_54

Date: October, 22/23, 2002

UMTS - Introduction to 3GPP WCDMA

 2002 ROHDE & SCHWARZ GmbH & Co. KG

This folder may be taken outside ROHDE & SCHWARZ facilities.

All rights reserved.

More information on R&S training available at www.rohde-schwarz.com/events/seminars.

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 1

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 2

Introduction to 3GPP WCDMA

©2002 / Dipl. Ing. (TU) Heinz Mellein / 1

? Flexible and global

? High flexibility to introduce new (and yet unknown) services

ITU Task Group 8/1

WARC'92 Launch UMTS

Sat. IMT- Sat.

Europa GSM 1800 (DL) DECT

USA PCS (UL)

1800 1900 2000 2100 2200

MSS: Mobile Satellite System/Service S-PCN: Satellite Personal Communication Network

IMT-2000 frequency allocations (WARC-92) UMTS_INT_INT_01.VSD

GSM ANSI-41 IP-Net IMT-2000 CN

IMT-DS IMT-TC IMT-MC IMT-SC IMT-FT

UTRA FDD UTRA TDD cdma2000 UWC-136 DECT

IMT-2000 RAT (ITU-R)

The Partners have further agreed to co-operate in the maintenance

The Project is called the "Third Generation Partnership Project"

CN WG 3 GERAN WG 3 RAN WG3 T WG 3

CN WG 4 GERAN WG 4 RAN WG4 SA WG 4

ETSI 3GPP 3GPP

Node B Node B Node B Node B

Introduction to 3GPP WCDMA

©2002 / Dipl. Ing. (TU) Heinz Mellein / 1

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 1

Transmitter Channel Receiver

source coding delay

Above illustration shows the basic components of a transmission

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 2

l Max data rate ( Bitrate R [bps] )

Above listed are the most common requirements to a communication

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 3

Fourier Analysis / Transformation

Periodic signals can be transformed into the frequency domain by

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 4

Time domain Frequency domain Constellation

The representation of a signal in the complex plane, as the sum of an

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 5

In radio transmission technologies the data is carried by RF carriers.

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 6

Assuming the wanted signal s(t) and the superposing interference

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 7

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 8

Direct line of sight

The mobile radio communicaton channel does suffer of various

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 9

Due to different path propagation delays caused by echo reflection and

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 10

The doppler effect is well known in acoustics. However, it must be

©2002 Rohde & Schwarz GmbH & Co. KG - Training Center - 11

The channel capacity of a frequency band limited channel, suffering of

Using the Shannon-Hartley equation, the maximum data volume that