03 TM51103EN03GLA3 Air Interface

UMTS Air Interface 
UMTS Air Interface
Contents
1 UMTS Air interface technology 3
1.1 Duplex methods 4
1.2 UMTS Frequency 6
1.3 Access method 8
2 UMTS Air interface description 13
2.1 Principle 14
2.2 Data processing 16
2.3 Codes 26
2.4 Logical, transport and physical Channels 36
2.5 Air interface protocol stack 46
3 High Speed Downlink Packet Access HSDPA 61
3.1 HSDPA performance 63
3.2 HSDPA implementation : 64
3.3 HSDPA channels 67
3.4 MAC Layer Split 68
3.5 Adaptive Modulation and Coding (AMC) Scheme : 71
3.6 Error Correction (HARQ) 72
3.7 Fast packet scheduling 74
3.8 Impact on the Iub Interface 76
3.9 Handset Capabilities 77
4 Exercises 79
5 Solution 82
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© 2010 Nokia Siemens Networks
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UMTS Air Interface
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2 © 2010 Nokia Siemens Networks
1 UMTS Air interface technology
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1.1 Duplex methods

The duplex define the way how two communicating entities will communicate with
each others.
We define here three ways:
• Simplex: This is one way communication method used for broadcasting (TV,
Radio)
• Half-duplex: This is a two ways communication method; the two communicating
entities cannot transmit and receive simultaneously.
• Full-duplex: This method is the same as half duplex except that the two entities
can communicate simultaneously.
We define two means to achieve full or half duplex method:
• FDD: Frequency Division Duplex :
The frequency band is split into two sub-band one for the uplink and the other for the
downlink. Then the receiver and the transmitter use two carriers at the same time.
• Advantages: Using this method we can avoid collision between uplink and
downlink.
• Drawbacks: Frequency resources are wasted
• TDD: Time Division Duplex :

• The two communicating entities use the same frequency band, but it doesn’t
communicate simultaneously. It uses two different time period, one period for the
uplink and the other one for the downlink.
• Advantages: The frequency resources are not wasted.
• Drawbacks: Collision may occur during communication.
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Duplex Transmission: •
•
•
FDD & TDD TDD:
Time t
UL UL / DL
duplex distance separated by
Time!
Time t
DL
UL DL
UL
DL
frequency f Frame
with n TS
FDD: UL / DL
UL
separated by frequency f
Frequency!
FDD: Frequency Division Duplex
TDD: Time Division Duplex
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1 © Noki a Siemen s N etworks TS: Time Slot
Fig 1 Frequency division duplex
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1.2 UMTS Frequency

The IMT-2000 has allocated the band from 806 MHz - 960 MHz, 1710 MHz - 2025
MHz, 2110 MHz – 2200 MHz and finally 2500Mhz – 2690 MHz for a worldwide
mobile communication implementation.
The frequency band which is used for UMTS use is summarized in the following
graph:
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850 900 950 1000 1700 1750 1800 1850 1900 1950 2000 2050 2100 2150 2200
GSM 900 DCS 1800
UMTS TDD
UMTS FDD
UMTS TDD
UMTS FDD
UMTS SAT
UMTS SAT
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1 © Nokia Siemens Networks
Fig 2 IMT-2000 frequency allocation for different mobile system
1920-1980 and 2110-2170 MHz Frequency Division Duplex (FDD, W-CDMA) Paired
uplink and downlink, channel spacing is 5 MHz. An Operator needs 3 - 4 channels
(2x15 MHz or 2x20 MHz) to be able to build a high-speed, high-capacity network.
1900-1920 and 2010-2025 MHz Time Division Duplex (TDD, TD/CDMA) Unpaired,
channel spacing is 5 MHz. Tx and Rx are not separated in frequency.
1980-2010 and 2170-2200 MHz Satellite uplink and downlink.
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1.3 Access method

The goal of a network operator is to achieve a higher capacity with fewer resources.
In order to do this different access methods are used following is defining these
methods:
1.3.1 FDMA: Frequency division multiple access

The used frequency band is divided into different carriers as shown below. The same
number of carrier is used for both uplink and downlink. Each carrier is indexed with
UARFCN (UTRA absolute radio frequency carrier number).
The advantage of this technique is that the bandwidth is used more efficiently. It
means that one operator can reuse its set of frequency according to a certain pattern
called cluster.
1.3.2 TDMA: Time division multiple access

This is a time domain multiplexing technique. The principle is simple one carrier is
divided into different timer period called timeslot.
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Multiple Access Power

Power P
P
time t
TDMA
time t
FDMA
TS 3
TS 2
TS 1
1 2 3
frequency f
frequency f
Power co-ordination of
P time t restricted frequency resources
CDMA to different subscriber
Multiple BS & MS with common
Access knowledge according
FDMA Frequency
3
TDMA Time
2
CDMA Code
1
frequency f
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Fig 3 TDMA Time division multiple access
In order to increase the capacity of the network the two previously discussed
techniques are used together.
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1.3.3 CDMA: Code division multiple access

This is a technique which is using code division in the air interface. Let’s assume that
there is a crowd of people speaking together, so if everyone will speak loudly nobody
can listen to his talker. The principle introduced by CDMA is as simple as that: each
one will speak with low level and with his own language so everybody can have a
coherent discussion without disturbing his neighbor. So in CDMA system the
subscribers share the same frequency and the same time but they got different
codes.
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Code Division Multiple Access
Power
P
time t
3
2
1
frequency f
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Fig 4 CDMA Concept expressed in terms of power, frequency and time
The capacity of the cell is not anymore function of number of timeslots in the air
interface but it’s expressed in function of power allowed within one cell, or to be more
specific this capacity is expressed with allowed signal to interference ratio within one
cell.
Then when more subscribers acess the cell then they will add more interference level
to the cell till the interference level reach a planed level or threshold.
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2 UMTS Air interface description
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2.1 Principle
The air interface is the interface located between the UE and the base station and in
the standard it is referred as Uu interface.
The transmission in the air interface is based on CDMA technology and it’s called
W-CDMA (Wideband CDMA) because it’s using 3 times the bandwidth which is used
by the CDMA and then for the WCDMA we allocate 3.84 MHz effective band.
Adding the guard band the total bandwidth will reach 5 MHz.
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3.84 MHz
5 MHz
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Fig 5 UMTS bandwidth
Different variants bandwidths are specified by the standard 5 MHz, 10 MHz and 20
MHz, the mostly used by operators is 5 Mhz.
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2.2 Data processing

Before sending the data over the Uu interface data need to be processed in order to
comply with the air interface requirement in term of bandwidth and QoS. This
processing in the following steps:
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DS-CDMA: +1
Transmission / Reception Spreading

-1
Code
1
Chip
Air
Interface
Binary Binary
Data Wideband De- De- Data
Spreading Modulation Modulation
RB Spreading R
B
time-
RC fT RC synchronisation
!!!
Code Carrier Carrier Code

Generator Generator Generator Generator
RB: Bit Rate
RC: Chip Rate
fT: Carrier frequency
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Fig 6 Data process
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UMTS Air Interface
2.2.1 Channel coding

Channel coding refers to a technique used to protect data against losses in the air
interface. The technique used here is adding redundancy to the signal giving it more
chance to be transmitted correctly over the Uu interface.
For the channel coding in UTRA two options are supported for FDD and three options
are supported for TDD:
• Convolutional coding.
• Turbo coding.
• No coding (only TDD).
• Channel coding selection is indicated by higher layers. In order to randomize
transmission errors, bit interleaving is performed further.
2.2.2 Rate Matching

After channel coding data needs to be put into radio frames and sometime the
amount of data is less or exceed the size of these radio frames. So in order make a
correct framing bits are added or by puncturing in a controlled way and this process
is called rate matching. The following graph shows which are allowed data rate to be
matched:
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Baseband Data (n KB/s) • Convolutional Coding Rate

• Interleaving Matching
-30 KB/s
-60 KB/s
-120 KB/s
-240 KB/s
-480 KB/s
-960 KB/s
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Fig 7 UMTS Rate matching
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UMTS Air Interface
2.2.3 Radio framing, and Spreading

After rate matching the data from previous block comes with a tight bandwidth and a
higher output power. So in order to reduce the power of the signal we multiply it by a
code, channelization code, so that the signal will be spread all over the total
bandwidth reducing then the power under the noise level.
By doing that the receiver transmits the signal with a lower level allowing then less
interference in the air interface.
The length of the code that the signal will be multiplied with is expressed as follow:
The chip is the smallest logical unit in a code it means a chip is a bit in the code. The
code frequency is higher than the signal frequency so that we obtain spreading of the
signal over the bandwidth. The chip rate used is 3.84 million chips per second
(Mcps/s) and it is fixed.
The characteristics of the spreading codes will be discussed later.
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Spreading / De-Spreading
1 Symbol
Binary Data 1 0 1 0
+1
Bipolar
Data
SF = Rc / RS
-1
x
+1
=B/W
Spreading
Code -1
= Bit / Symbol →
+1
Spreaded modulation principle
Data e.g.:
-1 GMSK: 1 / 1 (Bit/Symbol)
x BPSK: 1 / 1
+1 QPSK: 2 / 1
Spreading
Code 8PSK: 3 / 1
-1
= B = bandwidth, spreaded
W = bandwidth, un-spreaded
+1
Bipolar RS: Symbol Rate [symb/s]
RB: Bit Rate [bit/s]
Data -1 RC: Chip Rate [chip/s]
SF = Spreading Factor
GMSK: Gaussian Minimum Shift Keying
Binary Data 1 0 1 0 BPSK: Binary Phase Shift Keying
QPSK: Quadrature PSK
8PSK: Eight PSK
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Fig 8 Spreading
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2.2.4 Modulation
There are several considerations that were taken into account when making the
choice for the overall format for the UMTS WCDMA modulation formats. Some of the
considerations were:
• It is necessary to ensure that the data is carried efficiently over the available
spectrum, and therefore maximum use is made of the available spectrum, and
hence the capacity of the system is maximized.
• The modulation format should be chosen to avoid the audio interference caused to
many nearby electronics equipment resulting from the pulsed transmission format
used on many 2G systems such as GSM
• As the uplink and downlink have different requirements, the exact format for the
modulation format used on either direction is slightly different.
• UMTS modulation schemes for both uplink and downlink, although somewhat
different are both based around QPSK formats. This provides many advantages
over other schemes that could be used in terms of spectral efficiency and other
requirements.
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BS
QPSK
Tx
UE
OQPSK BS
Rx
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Fig 9 UMTS Modulation
The OQPSK is the Offset QPSK the difference with QPSK is that there is no jump
is permitted over the intermediate states.
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UMTS Air Interface
2.2.5 Multipath propagation

Due to the environment of serving area the microwave can be reflected by different
obstacles before it reach the BTS or the MS and this is the multipath propagation. So
at the receiver side there will be a combination of different signals. In order to deal
with such a propagation context the RAKE receiver is used.
In a W-CDMA receiver the following steps take place (excluding the error correction
coding):
1. Descrambling: Received signals are multiplied by the scrambling code and

delayed versions of the scrambling code. The delays are determined by a path
searcher prior to descrambling. Each delay corresponds to a separate multipath
that will eventually be combined by the Rake receiver.
2. Despreading: The descrambled data of each path are dispread by simply
multiplying the descrambled data by the spreading code.
3. Integration and dump: The dispread data is then integrated over one symbol
period, giving one complex sample output per quadrature phase-shift keying
(QPSK) symbol. This process is carried out for all the paths that will be combined
by the RAKE receiver.
4. The same symbols obtained via different paths are then combined together using
the corresponding channel information using a combining scheme like maximum
ratio combing (MRC).
5. The combined outputs are then sent to a simple decision device to decide on the
transmitted bits.
6. The objective of the channel estimation block is to estimate the channel phase
and amplitude [denoted in Figure 1 as g(t, τi)] for each of the identified paths.
Once this information is known, it can be used for combining each path of the
received signal.
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RAKE
Receiver
RAKE Receiver:
several „finger“ for multipath components
De-
Matched Filter MF: Spreading
measures „Pilot“ Code (t-d1) „Finger 1“ a1
 „Delay“ estimation
Σ
De-
Spreading a2
Code (t-d2) „Finger 2“
Path 2 (d2, a2) a3
De-
Spreading
Path 1 Code (t-d3) „Finger 3“
(d1,a1)
Maximum
Ratio
Combining
Path 3 (d3, a3)
d: delay RAKE finger:

a: attenuation • Despreading (→ MF-Info!)
• Phase correction
TM51103EN03GLA01 • „Delay“ correction
Fig 10 RAKE receiver block diagram
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UMTS Air Interface
2.3 Codes
Previously we talked about spreading codes, spreading is done using a
channelization codes and scrambling codes:
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different
differentBTS:
BTS:
UTRA Codes Scrambling BTS
ScramblingCodes
Codes
Channelisation Code separates

Channelisation Code separates
UL different applications
UL different applications
BTS of 1 UE (max. 6; SF variable)
of 1 UE (max. 6; SF variable)
Spreading Code =
Channelisation Code Channelisation Code
Channelisation Code
x Scrambling Code separates DL different UE
separates DL different UE
(TS 25.201)
different
differentUE:
UE:
BTS Scrambling
ScramblingCodes
Codes
(RNC
(RNCallocated)
allocated)
Channelization Scrambling
Code Code
Channelization
ChannelizationCode:
Code:
separates
separatesphysical
physicalchannels
channels
• •DL:
DL: channelsofofthe
channels thesame
sameBTS
BTS
Data • •UL:
UL: channels of the sameUE
channels of the same UE
Scrambling
ScramblingCode:
Code:
Bit Rate Chip Rate Chip Rate separates
separatessources
sources
• •DL:
DL:separates
separatesdifferent
differentBTS
BTS
TM51103EN03GLA01
• •UL:
UL: separates differentUE
separates different UEinin11cell
cell
Fig 11 Spreading using channelization and scrambling codes
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TM51103EN03GLA3
27
UMTS Air Interface
2.3.1 Channelization code

Channelization codes are used
• UL: to separate physical data and control data from same terminal
• DL: to separate connection to different terminals in a same cell.
For a good separation these code are orthogonal and then we use OVSF codes
(orthogonal variable spreading factor codes) these codes are also called Walsh
codes. It uses a different spreading factor according to bandwidth requirement
increasing then the data rate of the signal.
One important limitation of OVSF-WCDMA is that the system must maintain the
orthogonality among the assigned codes. The maintenance of the orthogonality
among the assigned OVSF codes causes the code blocking problem due to their tree
structure. When users are using a higher data rate then they will use a shorter code
this will lead to a blocking to the remaining tree branch and then limiting the access to
the other users.
TM51103EN03GLA3
Scrambling Codes:
Code Tree • FDD: for BTS / UE „Gold Codes“;
10 ms period (1 frame = 38400 chip)
• TDD: for BTS / UE 16 Chip long,
pre-defined sequences
SF = 1 SF = 2 SF = 4 SF = 256
CC256,0
CC256,1
CC4,0 = (1,1,1,1)
CC256,2
CC2,0 = (1,1)
CC1,0 = (1) CC4,1 = (1,1,-1,-1) •

••• • •••
CC4,2 = (1,-1,1,-1) •
CC2,1 = (1,-1)
CC256,254
CC4,3 = (1,-1,-1,1) CC256,255
OVSF =
Channelization Codes (CCn,m) = OVSF Codes Orthogonal Variable
Spreading Factor
CCn,m generation: 1 1 CCn/2 CCn/2

CC1 = (1) CC2 = CCn =
from columns in CCn 1 -1 CCn/2 -CCn/2
TM51103EN03GLA01
Fig 12 Code tree
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TM51103EN03GLA3
29
UMTS Air Interface
2.3.2 Scrambling codes

Scrambling codes has a different use from the channelization code, they are used to
distinguish in the UL between different users and downlink between different Node B.
One scrambling code then is allocated by cell or by user. The scrambling codes have
a lower orthogonality than the channelization codes.
These codes are organized into 512 code sets. We define then 512 primary
scrambling codes and in a lower hierarchical level we define from 1 to 15 secondary
scrambling codes achieving then a total number of 8096 codes. The scrambling code
is identified by first identifying its code set to significantly reduce the degree of code
uncertainly.
TM51103EN03GLA3
Scrambling Code Set
Code Code Code Code

Set Set Set Set
#1 #2 #3 #512
Primary Scrambling Code Primary Scrambling Code

Channelization Code Set (256 codes) Channelization Code Set (256 codes)
Secondary Scrambling Code #1 Secondary Scrambling Code #1



512 Code Sets × 16 Scrambling Codes = 8192 Codes available
TM51103EN03GLA01
Fig 13 Scrambling codes set
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TM51103EN03GLA3
31
UMTS Air Interface
2.3.3 Code management

Code management is devoted to managing the downlink OVSF (Orthogonal Variable
Spreading Factor) code tree used to allocate physical channel orthogonality among
different users. Clearly, the advantage of the OVSF codes used in the UTRAN
downlink is perfect orthogonality. However, the drawback is the limited number of
available codes. Therefore, it is important to be able to allocate/reallocate the
channelization codes in the downlink with an efficient method, in order to prevent
‘code blocking’. ‘Code blocking’ indicates the situation where a new call could be
accepted on the basis of interference analysis and also on the basis of the ‘spare
capacity’ of the code tree but, due to an inefficient code assignment, this spare
capacity is not available for the new call that must, therefore, be blocked. This
situation is depicted in Figure 4.24, where two transmissions with SF ¼ 4 and two
transmissions with SF ¼ 8 are assumed to have been assigned the corresponding
code sequences Cch,4,2, Cch,4,3, Cch,8,1 and Cch,8,3, respectively, which prevent
the use of the codes marked with a cross in Figure 4.24. It is worth noting that, with
such OVSF code tree occupancy, the arrival of a new call requesting for SF ¼ 4
would experience code blocking, since no code at that layer is available. On the
contrary, if the code allocation shown in below figure was used, it would allow the
support of the two SF ¼ 4 users, the two SF ¼ 8 users and still would provide room
to support a new SF ¼ 4 request with code Cch,4,1.
In general terms, a code allocation strategy would aim at minimizing code tree
fragmentation, preserving the maximum number of high rate codes and eliminating
code blocking. Nevertheless, since the purpose of the code allocation/reallocation
strategies is to prevent code blocking, this may require ‘code handover’, that is, a call
using a given code is forced to use a different code belonging to the same layer.
TM51103EN03GLA3
Code Blocking
CC8,0 CC8,0
CC4,0 CC4,0
CC8,1 CC8,1
CC2,0 CC2,0
CC8,2 CC8,2
CC4,1 CC8,3 CC4,1 CC8,3

CC1,0 CC1,0
CC8,4 CC8,4
CC4,2 CC4,2
CC8,5 CC8,5
CC8,6 CC8,6
CC2,1 CC2,1
CC4,3 CC8,7 CC4,3 CC8,7
TM51103EN03GLA01
Fig 14 Example of code blocking
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TM51103EN03GLA3
33
UMTS Air Interface
2.3.4 Multiuser detection in WCDMA systems

Before sending user data in the air interface it must be multiplied by a scrambling
code C1. While sending over the air interface different signals of different users are
combined. In order to extract the user data from the other signals we must multiply it
by the same code again.
TM51103EN03GLA3
Spreading / Data User 1 1 0 1 Data User 2 0 0 1

De-Spreading Bipolar +1 Bipolar +1
Data 1 -1 Data 2 -1
Example: x x
+1 +1
SF = 2; Code 1 Code 2
2 user -1 -1
= +1
= +1
Code 1 Spread Spread
= ( 1 / -1) Data 1 -1 Data 2 -1
Code 2
= ( 1 / 1) Receiver: Σ Spreaded Data; here: Σ = 0 -2 -2 0 2 0
Σ Signals +2 Σ Signals +2
(Receiver) 0 (Receiver) 0
-2 -2
x x
+1 +1
Code 1 Code 2
-1 -1
= =
De-Spread +2 De-Spread +2
0 0
Data 1 -2 Data 2 -2
after +2 after +2
Integration Integration -2
-2
TM51103EN03GLA01
 User Data 1 1 0 1  User Data 2 0 0 1
Fig 15 (De) spreading process
The characteristic of this scrambling code is that they are not orthogonal but they
have very good orthogonality propriety and they are pseudo random.
TM51103EN03GLA3
35
UMTS Air Interface
2.4 Logical, transport and physical Channels

UTRA FDD radio interface has logical channels, which are mapped to transport
channels, which are again mapped to physical channels. Logical to Transport
channel conversion happens in Medium Access Control (MAC) layer, which is a
lower sub-layer in Data Link Layer (Layer 2).
TM51103EN03GLA3
Logical, Transport
& Physical Channels
Logical
Logical&&Transport
Transport
Channels:
Channels:TSTS25.301
25.301
Transport
Transport&&Physical
PhysicalChannels:
Channels:
TSTS25.211
25.211&&25.221
25.221
Iub Uu UE
RNC Node B
Radio
Resource
Logical Channel ≡ type of information transferred
MAC
Transport Channel ≡ how & with what characteristics
data are transferred
Physical
Physical Channel ≡
Frames
frequency, code (& TS)
TM51103EN03GLA01
Fig 16 Logical, Transport, and Physical Channel
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TM51103EN03GLA3
37
UMTS Air Interface
Different channels transport channels can be mapped into one physical channel and
different logical channel can be mapped to a transport channel. This channel
organization allows signaling information to be transfer to the concerned and
appropriate protocol level in a network element.
TM51103EN03GLA3
TDD:
TDD:
• •identical
identicalLogical
Logical&&
FDD Mode (DL) Transport
TransportChannels
• •Physical
Channels
PhysicalChannels:
Channels:
no CPICH, AICH
RNC no CPICH, AICH UE
Logical Channels: Control Channels Traffic Channels
BCCH PCCH CCCH DCCH DTCH CTCH
BCH PCH FACH Common DSCH Dedicated DCH

Transport Transport
Channels Channels
P-CCPCH
CPICH Primary
S-CCPCH PICH PDSCH
Common Common Page Physical DL
Pilot SCH Control Secondary Indication AICH Shared DPCH
Channel Physical Common Channel Acquisition Channel Dedicated
Synchronisation
Channel Control Indication Physical
Channel
Physical Channel Channel
Channel Physical
Channels
BCCH: Broadcast Control Channel DCCH: Dedicated Control Channel FACH: Forward Access Channel
PCCH: Paging Control Channel DTCH: Dedicated Traffic Channel DSCH: DL Shared Channel
TM51103EN03GLA01 CCCH: Common Control Channel CTCH: Common Traffic Channel DCH: Dedicated Channel
Fig 17 Downlink Channels
FDD Mode (UL)

UE RNC
CCCH DCCH DTCH
Common Dedicated
RACH CPCH DCH
Transport Transport
Channels Channels
PRACH DPCCH
Physical PCPCH Dedicated DPDCH
Physical Random Physical Physical Dedicated
Access Common Control Physical
Channels Channel Packet Channel Data
Channel Channel
CPCH: Common Packet Channel

RACH: Random Access Channel
DCH: Dedicated Channel
TM51103EN03GLA01
Fig 18 Uplink Channels
TM51103EN03GLA3
39
UMTS Air Interface
2.4.1 Physical channels

A physical channel is basically defined by a frequency and a spreading code. The
physical channel uses a cosine or sine waveform as a signal carrier. We can
distinguish between two kinds of physical channels:
Dedicated physical channel.
Common physical channel.
A dedicated physical channel is allocated only for one connection but common
channels are used simultaneously or alternatively by different connections.
The physical layers map under control of the MAC the transport channels to the
physical channel according to their physical requirement.
Dedicates Physical Data Channel DPDCH: Used in uplink direction to transmit
signaling and user data from higher layer.
Dedicated physical control channel DPCCH: This channel is used to control the
data transmission over the air interface. The information included in this channel
are power control commands, pilot bits …
Dedicated physical channel DPCH: The DPDCH and the DPCCH are
implemented on DPCH.
Physical Random Access Channel PRACH: This physical channel is used
during the initial access procedure or call setup. The information contained on this
channel is RACH.
Physical common packet control channel PCPCH: Packet data of the CPCH is
sent via PCPCH through the use of CSMA/CD technique.
Common Pilot Channel CPICH: CPICH is an important channel used for cell
phase and time reference as well as channel estimation. This channel will help the
UE to identify the primary scrambling code by sending a bit pattern at a fixed data
rate at 30 kb/s and with a known 256 spreading factor. The same channel code is
always used by the CPICH.
Common control physical channel CCPCH: This is a downlink channel which is
used to carry broadcast information and synchronization to the mobile station. We
have two CCPCH:
• P-CCPCH: Primary common control channel which used to broadcast BCH cell
info for different users within a cell serving area.
• S-CCPCH: Secondary Common control physical channel which is used to carry
the FACH Forward Access channel and PCH paging channel.
• Synchronization channel SCH: Physical channel is used to for cell search and
frame synchronization. We can distinguish two SCH:
• Primary SCH: The 10ms radio frames of the SCH are divided into 15 slots, each
of length 2560chips. The Primary SCH consists of a modulated code PSC
(Primary synchronization code) of length 256chips, and is transmitted once every
slot.
TM51103EN03GLA3
UTRA
time structure
• shortest information unit in CDMA
Chip 1/3.840.000 s ≈ 260.4 ns
Time Slot 2560 chips • TDD: TS contains 1 Burst

• FDD: cyclic repetition of
TS control information (e.g. TPC)
2/3 ms
Frame f TS#0 ••• TS#i ••• TS#14 • TDD: TDMA frame

• FDD: shortest transmission duration
• TDD & FDD: shortest pattern
→ data rate adaptation
10 ms
• TDD & FDD: Counting period for

Superframe f#1 ••• f#i ••• f#72 → Def. Physical channels
→ Handover to GSM
(GSM TCH Multiframe = 120 ms)
720 ms
TM51103EN03GLA01
Fig 19 WCDMA Frame
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TM51103EN03GLA3
41
UMTS Air Interface
• Secondary SCH: consists of repeatedly transmitting a length 15 sequence of

modulated codes of length 256 chips, the Secondary Synchronization Codes
(SSC), transmitted in parallel with the Primary SCH. The SSC is denoted csi,k ,
where i = 0, 1, …, 63 is the number of the scrambling code group, and k = 0, 1, …,
14 is the slot number. Each SSC is chosen from a set of 16 different codes of
length 256. This sequence on the Secondary SCH indicates which of the code
groups the cell's downlink scrambling code belongs to.
o Physical downlink shared channel: This channel is used to carry data
over DSCH and different connections can share this channel. A DPCH is
always allocated to the PDSCH.
TM51103EN03GLA3
2.4.2 Transport channels

The output from, and input to, MAC is in the form of transport channels, which can be
seen as service between MAC and Layer 1 (physical layer). Generally, transport
channels map onto specific physical channels and have specific characteristics in
terms of direction, data rate (including variation) and power control requirements. The
configuration of a transport channel is related dynamically to QoS requirements.
• Random Access Channel RACH: This channel is mapped to PRACH and it is
used to send a small amount of data for a connection setup or initial access in
uplink direction. When it use the RACH the mobile send a first preamble and then
wait for an indication from the network that a first preamble was received and then
it send a second preamble.
• Broadcast channel BCH: This downlink channel is used to transmit cell specific
information to the mobile. This information is contained on the BCCH which is itself
mapped to BCH.
• Forward Access channel FACH: This channel is used to transfer a small amount
of user data or signaling over the air interface and also to grant access to the
mobile during initial access procedure after receiving second preamble of the
RACH.
• Dedicated channel DCH: This channel to carry user data traffic different logical
channel can be mapped over this channel (DCCH or DTCH).
• Data Shared Channel DSCH: In UMTS, the Downlink Shared Channel (DSCH) is
used to transmit data packets from the Node B to the User Equipment (UE). Each
DSCH is associated with a Dedicated Channel (DCH) which is used for power
control, channel estimation and transmission of associated control information for
the DSCH.
• Common pilot channel CPICH: This channel is used in UMTS to enable channel
estimation. The CPICH uses a pre defined bit sequence. It has a fixed rate of
30Kbps with a SF (Spreading Factor) of 256. This allows the UE (User Equipment)
to equalize the channel in order to achieve a phase reference with the SCH
(Synchronization Channel) and also allows estimations in terms of power control.
The same channel code is always employed on the Primary CPICH.
TM51103EN03GLA3
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UMTS Air Interface
2.4.3 Logical channels

Logical channel are used for different purpose depending on the information carried
within these channels. This information could be paging information or BCCH or other
signaling information.
• Broadcast Control Channel BCCH: This logical channel carry specific
information and parameter about the cell.
• Paging Control Channel (PCCH): A downlink channel that transfers paging

information.
• Dedicated Control Channel (DCCH): A point-to-point bidirectional channel that

transmits dedicated control information between a UE and the RNC. This channel
is established during the RRC connection establishment procedure.
• Common Control Channel (CCCH): A bidirectional channel for transmitting

control information between the network and UEs. This logical channel is always
mapped onto RACH/FACH transport channels. A long UTRAN UE identity is
required (U-RNTI, which includes SRNC address), so that the uplink messages
can be routed to the correct serving RNC even if the RNC receiving the message
is not the serving RNC of this UE.
The Traffic Channels are:
• Dedicated Traffic Channel (DTCH): A Dedicated Traffic Channel (DTCH) is a

point-to point channel, dedicated to one UE, for the transfer of user information. A
DTCH can exist in both uplink and downlink.
• Common Traffic Channel (CTCH): A point-to-multipoint downlink channel for

transfer of dedicated user information for all, or a group of specified, UEs.
TM51103EN03GLA3
SMS Voice
RNC UE
BCCH PCCH CCCH DCCH DTCH CTCH
BCH PCH FACH Common DSCH Dedicated DCH

Transport Transport
Channels Channels
P-CCPCH
CPICH Primary
S-CCPCH PICH PDSCH
Common Common Page Physical DL
Pilot SCH Control Secondary Indication AICH Shared DPCH
Channel Physical Common Channel Acquisition Channel Dedicated
Synchronisation
Channel Control Indication Physical
Channel
Physical Channel Channel
Channel Physical
Channels
BCCH: Broadcast Control Channel DCCH: Dedicated Control Channel FACH: Forward Access Channel
PCCH: Paging Control Channel DTCH: Dedicated Traffic Channel DSCH: DL Shared Channel
TM51103EN03GLA01 CCCH: Common Control Channel CTCH: Common Traffic Channel DCH: Dedicated Channel
Fig 20 Channels mapping
UE RNC
CCCH DCCH DTCH
Common Dedicated
RACH CPCH DCH
Transport Transport
Channels Channels
PRACH DPCCH
Physical PCPCH Dedicated DPDCH
Physical Random Physical Physical Dedicated
Access Common Control Physical
Channels Channel Packet Channel Data
Channel Channel
CPCH: Common Packet Channel

RACH: Random Access Channel
DCH: Dedicated Channel
TM51103EN03GLA01
Fig 21 Channels mapping
TM51103EN03GLA3
45
UMTS Air Interface
2.5 Air interface protocol stack

The protocol stack in the air interface is 3 level layered as shown below:
The physical layer offers services to the MAC layer via transport channels that were
characterized by how and with what characteristics data is transferred. The MAC
layer, in turn, offers services to the RLC layer by means of logical channels. The
logical channels are characterized by what type of data is transmitted. The RLC layer
offers services to higher layers via service access points (SAPs), which describe how
the RLC layer handles the data packets and if, for example, the automatic repeat
request (ARQ) function is used. On the control plane, the RLC services are used by
the RRC layer for signaling transport. On the user plane, the RLC services are used
either by the service-specific protocol layers PDCP or BMC or by other higher-layer
u-plane functions (e.g. speech codec). The RLC services are called Signaling Radio
Bearers in the control plane and Radio Bearers in the user plane for services not
using the PDCP or BMC protocols. The RLC protocol can operate in three modes –
transparent, unacknowledged and acknowledged mode. The Packet Data
Convergence Protocol (PDCP) exists only for the PS domain services. Its main
function is header compression. Services offered by PDCP are called Radio Bearers.
The Broadcast Multicast Control protocol (BMC) is used to convey over the radio
interface messages originating from the Cell Broadcast Centre. In Release ’99 of the
3GPP specifications, the only specified broadcasting service is the SMS Cell
Broadcast service, which is derived from GSM. The service offered by BMC protocol
is also called a Radio Bearer.
The RRC layer offers services to higher layers (to the Non-Access Stratum) via
service access points, which are used by the higher layer protocols in the UE side
and by the Iu RANAP protocol in the UTRAN side. All higher layer signaling (mobility
management, session management, and so on) is encapsulated into RRC messages
for transmission over the radio interface.
The control interfaces between the RRC and all the lower layer protocols are used by
the RRC layer to configure characteristics of the lower layer protocol entities,
including parameters for the physical, transport and logical channels. The same
control interfaces are used by the RRC layer, for example to command the lower
layers to perform certain types of measurement and by the lower layers to report
measurement results and errors to the RRC.
TM51103EN03GLA3
Control plane User plane
Radio Resource Control User plane Radio Bearers 3

Control and measurements
Signaling Radio Bearers

PDCP
BMC
2
Radio Link Control
Logical Channels
Medium Access Control
Transport Channels
Physical Layer
1
Physical Channels
TM51103EN03GLA01
Fig 22 Air interface protocol stack
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TM51103EN03GLA3
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UMTS Air Interface
2.5.1 Medium Access Control MAC

In the Medium Access Control (MAC) layer the logical channels are mapped to the
transport channels. The MAC layer is also responsible for selecting an appropriate
transport format for each transport channel depending on the instantaneous source
rate of the logical channels. The transport format is selected with respect to the
transport format combination set which is defined by the admission control for each
connection.
The functions of the MAC layer include:
• Mapping between logical channels and transport channels.
• Selection of appropriate Transport Format (from the Transport Format
Combination Set) for each Transport Channel, depending on the instantaneous
source rate.
• Priority handling between data flows of one UE. This is achieved by selecting ‘high
bit rate’ and ‘low bit rate’ transport formats for different data flows.
• Priority handling between UEs by means of dynamic scheduling. A dynamic
scheduling function may be applied for common and shared downlink transport
channels FACH and DSCH.
• Identification of UEs on common transport channels. When a common transport
channel (RACH, FACH or CPCH) carries data from dedicated-type logical
channels
• (DCCH, DTCH), the identification of the UE (Cell Radio Network Temporary
Identity
• (C-RNTI) or UTRAN Radio Network Temporary Identity (U-RNTI)) is included in
the MAC header.
• Multiplexing/demultiplexing of higher layer PDUs into/from transport blocks
delivered to/from the physical layer on common transport channels. MAC handles
service multiplexing for common transport channels (RACH/FACH/CPCH). This is
necessary, since it cannot be done in the physical layer.
• Multiplexing/ demultiplexing of higher layer PDUs into/from transport block sets
delivered to/from the physical layer on dedicated transport channels. MAC allows
service multiplexing also for dedicated transport channels. While the physical layer
multiplexing makes it possible to multiplex any type of service, including services
with different quality of service parameters, MAC multiplexing is possible only for
services with the same QoS parameters.
TM51103EN03GLA3
• Traffic volume monitoring. MAC receives RLC PDUs together with status
information on the amount of data in the RLC transmission buffer. MAC compares
the amount of data corresponding to a transport channel with the thresholds set by
RRC. If the amount of data is too high or too low, MAC sends a measurement
report on traffic volume status to RRC. The RRC can also request MAC to send
these measurements periodically. The RRC uses these reports for triggering
reconfiguration of Radio Bearers and/or Transport Channels.
TM51103EN03GLA3
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UMTS Air Interface
2.5.2 The Radio Link Control Protocol

The radio link control protocol provides segmentation and retransmission services for
both user and control data. Each RLC instance is configured by RRC to operate in
one of three modes: transparent mode (Tr), unacknowledged mode (UM) or
acknowledged mode (AM). The service the RLC layer provides in the control plane is
called Signaling Radio Bearer (SRB). In the user plane, the service provided by the
RLC layer is called a Radio Bearer (RB) only if the PDCP and BMC protocols are not
used by that service; otherwise the RB service is provided by the PDCP or BMC.
Each mode provides a different set of services defining the use of that mode by the
higher layers. Transfer of user data is a service which is common to all three modes.
Transparent mode is defined for “quick and dirty” data transfer across the radio
interface, and is the only one of the three modes which does not involve the addition
of any header information onto the data unit. Erroneous data units are discarded or
marked as erroneous.
Transparent mode is the mode normally used by both the PNFE and BCFE entities
within RRC, for paging/notification and cell broadcast messaging.
In Unacknowledged mode, as in transparent mode, no retransmission protocol is
used, and so data delivery is not guaranteed. Received erroneous data can be either
marked or discarded, depending on configuration.
For both Transparent mode data transfer & unacknowledged mode data transfer,
RLC provides a function for the segmentation of large data units into smaller ones
(and re-assembly at the receive end). The segment lengths are defined when the
channel is established. In unacknowledged mode, segment lengths are given by a
length indicator which is within the header added to the data unit.
Unacknowledged mode additionally provides a service whereby small packet data
units can be concatenated together (again indicated within a header field), a
ciphering service, and a sequence number check which allows the receiver to check
whether or not data has been lost.
The functions of the RLC layer are:
• Segmentation and reassembly. This function performs segmentation/reassembly
of variable-length higher layer PDUs into/from smaller RLC Payload Units (PUs).
One RLC PDU carries one PU. The RLC PDU size is set according to the smallest
possible bit rate for the service using the RLC entity. Thus, for variable rate
services, several RLC PDUs need to be transmitted during one transmission time
interval when any bit rate higher than the lowest one is used.
• Concatenation. If the contents of an RLC SDU do not fill an integral number of
RLC PUs, the first segment of the next RLC SDU may be put into the RLC PU in
concatenation with the last segment of the previous RLC SDU.
• Padding. When concatenation is not applicable and the remaining data to be
transmitted does not fill an entire RLC PDU of given size, the remainder of the
data field is filled with padding bits.
TM51103EN03GLA3
• Transfer of user data. RLC supports acknowledged, unacknowledged and

transparent data transfer. Transfer of user data is controlled by QoS setting.
• Error correction. This function provides error correction by retransmission in the
acknowledged data transfer mode.
• In-sequence delivery of higher layer PDUs. This function preserves the order of
higher layer PDUs that were submitted for transfer by RLC using the
acknowledged data transfer service. If this function is not used, out-of-sequence
delivery is provided.
• Duplicate detection. This function detects duplicated received RLC PDUs and
ensures that the resultant higher layer PDU is delivered only once to the upper
layer.
• Flow control. This function allows an RLC receiver to control the rate at which the
peer RLC transmitting entity may send information.
• Sequence number check (Unacknowledged data transfer mode). This function
guarantees the integrity of reassembled PDUs and provides a means of detecting
corrupted RLC SDUs through checking the sequence number in RLC PDUs when
they are reassembled into an RLC SDU. A corrupted RLC SDU is discarded.
• Protocol error detection and recovery. This function detects and recovers from
errors in the operation of the RLC protocol.
• Ciphering is performed in the RLC layer for acknowledged and unacknowledged
RLC modes. The same ciphering algorithm is used as for MAC layer ciphering, the
only difference being the time-varying input parameter (COUNT-C) for the
algorithm, which for RLC is incremented together with the RLC PDU numbers. For
retransmission, the same ciphering COUNT-C is used as for the original
transmission (resulting in the same ciphering mask); this would not be so if
ciphering were on the MAC layer. An identical ciphering mask for retransmissions
is essential from Release 5 onwards when the HSDPA feature with physical layer
retransmission combining is used. The ciphering details are described in 3GPP
specification TS 33.102 [4].
• Suspend/resume function for data transfer. Suspension is needed during the
security mode control procedure so that the same ciphering keys are always used
by the peer entities. Suspensions and resumptions are local operations
commanded by RRC via the control interface.
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UMTS Air Interface
2.5.3 The Packet Data Convergence Protocol PDCP

The Packet Data Convergence Protocol (PDCP) [6] exists only in the user plane and
only for services from the PS domain. The PDCP contains compression methods,
which are needed to get better spectral efficiency for services requiring IP packets to
be transmitted over the radio. For 3GPP Release ’99 standards, a header
compression method is defined, for which several header compression algorithms
can be used. As an example of why header compression is valuable, the size of the
combined RTP/UDP/IP headers is at least 40 bytes for IPv4 and at least 60 bytes for
IPv6, while the payload, for example for IP voice service, can be about 20 bytes or
less.
The main PDCP functions are:
• Compression of redundant protocol control information (e.g. TCP/IP and
TP/UDP/IP headers) at the transmitting entity, and decompression at the receiving
entity. The header compression method is specific to the particular network layer,
transport layer or upper layer protocol combinations, for example TCP/IP and
RTP/UDP/IP. The only compression method that is mentioned in the PDCP
Release ’99 specification is RFC2507.
• Transfer of user data. This means that the PDCP receives a PDCP SDU from the
non access stratum and forwards it to the appropriate RLC entity and vice versa.
• Support for lossless SRNS relocation. In practice this means that those PDCP
entities which are configured to support lossless SRNS relocation have PDU
sequence numbers, which together with unconfirmed PDCP packets are forwarded
to the new SRNC during relocation. Only applicable when PDCP is using
acknowledged mode RLC with in sequence delivery.
TM51103EN03GLA3
2.5.4 The Broadcast /Multicast Control Protocol BMC

The Broadcast/Multicast Control (BMC) protocol exists also only in the user plane.
This protocol is designed to adapt broadcast and multicast services, originating from
the Broadcast domain, on the radio interface. In Release ’99 of the standard, the only
service using this protocol is the SMS Cell Broadcast service. This service is directly
taken from GSM. It uses UM RLC using the CTCH logical channel which is mapped
into the FACH transport channel. Each SMS CB message is targeted to a
geographical area, and RNC maps this area into cells.
The main functions of the BMC protocol are:
• Storage of Cell Broadcast messages. The BMC in RNC stores the Cell Broadcast
messages received over the CBC–RNC interface for scheduled transmission.
• Traffic volume monitoring and radio resource request for CBS. On the UTRAN
side, the BMC calculates the required transmission rate for the Cell Broadcast
Service based on the messages received over the CBC–RNC interface, and
requests appropriate CTCH/ FACH resources from RRC.
• Scheduling of BMC messages. The BMC receives scheduling information together
with each Cell Broadcast message over the CBC–RNC interface. Based on this
scheduling information, on the UTRAN side the BMC generates schedule
messages and schedules BMC message sequences accordingly. On the UE side,
the BMC evaluates the schedule messages and indicates scheduling parameters
to RRC, which are used by RRC to configure the lower layers for CBS
discontinuous reception.
• Transmission of BMC messages to UE. This function transmits the BMC
messages (Scheduling and Cell Broadcast messages) according to the schedule.
• Delivery of Cell Broadcast messages to the upper layer. This UE function delivers
the received non-corrupted Cell Broadcast messages to the upper layer.
• When sending SMS CB messages to a cell for the first time, appropriate capacity
has to be allocated in the cell. The CTCH has to be configured and the transport
channel used has to be indicated to all UEs via (RRC) system information
broadcast on the BCH. The capacity allocated for SMS CB is cell-specific and may
vary over time to allow efficient use of the radio resources.
TM51103EN03GLA3
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UMTS Air Interface
2.5.5 The Radio Resource Control Protocol RRC

The major part of the control signaling between UE and UTRAN is Radio Resource
Control messages. RRC messages carry all parameters required to set up, modify
and release Layer 2 and Layer 1 protocol entities. RRC messages carry in their
payload also all higher layer signaling (MM, CM, SM, etc.). The mobility of user
equipment in the connected mode is controlled by RRC signaling (measurements,
handovers, cell updates, etc.).
2.5.6 Radio Access Bearer

A bearer is a data stream that spans some part of the system and has a specific
quality of service (QoS). Figure below shows the most important bearers in UMTS.
TM51103EN03GLA3
End-to-end Bearer
TE-MT Bearer UMTS Bearer External Bearer
Radio Access Bearer CN Bearer
Radio Iu
Bearer Bearer
MSC / GMSC / External

TE MT SRNC SGSN GGSN TE
TM51103EN03GLA01
Fig 23 Bearers used in UMTS. (Adapted from 3GPP TS 23.107.)
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TM51103EN03GLA3
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UMTS Air Interface
When the mobile and the network agree to set up a data stream, the system first
implements it using a UMTS bearer. This carries information such as voice or packet
data between the mobile termination and the far end of the core network (MSC,
GMSC or GGSN). If the MT and TE are implemented as two different devices, then
another bearer transports information between them. However, this bearer lies
outside the scope of UMTS, so we will not consider it further. The same applies to the
bearer that lies beyond the far end of the core network.
The UMTS bearer is associated with a number of QoS parameters. These describe
the service that the user expects to receive, using parameters such as the required
data rate, error rate and delay.
The system cannot supply this quality of service right away, because the UMTS
bearer spans different interfaces that use different transport protocols. It therefore
breaks the UMTS bearer down into bearers that have a smaller scope. A CN bearer
handles the path over the core network, while a radio access bearer (RAB) handles
the path between the mobile and its first point of contact there. In turn, the radio
access bearer is broken down into an Iu bearer between the core network and the
SRNC, and a radio bearer between the SRNC and the mobile. Each bearer is then
implemented using the transport protocols that are appropriate for the corresponding
interface, which provide the user with the quality of service expected. On the air
interface, for example, the radio bearer is implemented using the RLC, MAC and
physical layer protocols.
Five special radio bearers carry signaling messages between the mobile and it’s
serving RNC. They are known as signaling radio bearers (SRBs), and they are:
• RB0 – for all CCCH messages (RLC unacknowledged mode and RLC transparent
mode)
• RB1 – for DCCH signaling using RLC unacknowledged mode
• RB2 – for DCCH signaling using RLC acknowledged mode (except those carrying
NAS signaling)
• RB3 – for DCCH signaling using RLC unacknowledged mode and carrying NAS
signaling. (Optionally RB4 also)
• RB5 RB31 – for DCCH signaling using RLC transparent mode.
Each of them is implemented in a particular way that is appropriate for a particular
type of message. RB 0 is used to set up signaling communications between the
mobile and the network; the other signaling radio bearers handle all subsequent
communications.
RBs 1 and 2 carry RRC messages between the mobile and it’s serving RNC, the
main difference between them being in the configuration of the RLC protocol. RBs 3
and 4 are used to forward non-access stratum messages that begin or end in the
core network. RB 4 is optional, but if it is implemented, then RB 3 is used for high
priority messages, and RB 4 is used for low priority ones.
TM51103EN03GLA3
Control plane User plane
Radio Resource Control 3
RB0 RB1 RB2 RB3 RB4 RB5 … RB31

Control and measurements
PDCP BMC
Mapped to TRM SAP/UM SAP/AM SAP
TRM SAP UM SAP AM SAP
2
Radio Link Control
Logical Channels
Medium Access Control
Transport Channels
Physical Layer
1
Physical Channels
TM51103EN03GLA01
Fig 24 Bearers
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TM51103EN03GLA3
57
UMTS Air Interface
2.5.7 Access and non Access Stratum :

During the specification of the UMTS by 3GPP the stratified structure of UMTS
network was introduced. This structure which is conformal to ISO-OSI model allows
distinguishing between independent services in the UMTS network.
Then the UMTS network is divided into two levels, the Access Stratum and Non
Access stratum, these two levels correspond to a repartition of logical functions within
the network.
The Access Stratum defines all the network function that are related to the Access
network as an example the RRC and HO. As the UTRAN is defined as the Access
network for UMTS then it is totally included in the Access Stratum. And then the
Access stratum include a part of the CN which is the Iu and the and a part of the UE
functions (RRM)
The Access stratum support, by service provision, the Non access Stratum. As an
example when a connection is established the Access stratum is responsible, after
request from the non Access stratum, to establish a signaling link and radio bearer in
the UTRAN according to a required QoS. This QoS is negotiated at the non Access
stratum level between the network and the mobile station.
TM51103EN03GLA3
CC, SM, MM, CC, SM, MM,

GMM (c-plane), Non-Access Stratum GMM (c-plane),
“call” (u-plane) “call” (u-plane)
Radio Radio Iu Iu
Protocols Protocols Protocols Protocols
Access Stratum
UE UTRAN CN
Radio (Uu) Iu
TM51103EN03GLA01
Fig 25 Access and non Access Stratum
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TM51103EN03GLA3
59
UMTS Air Interface
TM51103EN03GLA3
3 High Speed Downlink Packet Access

HSDPA
TM51103EN03GLA3
61
UMTS Air Interface
High speed downlink packet access (HSDPA) is an extension of the capabilities of

UMTS included in
3GPP release 5, with the target of providing higher bit rates and capacity. It is also
called 3.5G, with transmission rates up to 14.4 Mbps and 20 Mbps (for MIMO
systems) over a 5MHz bandwidth.
HSDPA can significantly enhance downlink speeds, with average realistic
throughputs of 400–700 kbps and bursts at over 1 Mbps, even in the initial stage.
This dramatically improves the user experience of different applications such as web
browsing, streaming or Intranet access. Also, in combination with HSUPA, it can be
the driver for advance services like VoIP. HSDPA shares the spectrum and codes
from WCDMA and, most of the time, only requires a software upgrade of existing
UMTS R99 base stations.
HSDPA offers a lower cost per bit and is mainly intended for non-real-time (NRT)
traffic, but potentially allows new application areas with higher data rates and lower
delay variances. The maximum number of UEs on HSDPA does in theory depend on
the number of available channellization codes for the associated DPCHs.
The most critical parameter affecting HSDPA performance is the transmission power.
Since the total power of the base station is shared with R99 DCH, a trade-off
between HSDPA and R99 users needs to be considered. This trade-off is affected by
the strategy chosen using HSDPA, depending on whether it is introduced as a high
bit rate service for top users or as a way to improve efficiency and capacity of
background NRT traffic.
TM51103EN03GLA3
3.1 HSDPA performance

In terms of performance, in a 5MHzchannel HSDPA can provide maximum peak
rates of up to 14.4 Mbps with 15 spreading codes and with no channel coding.
However, this would mean that one unique subscriber will have to use all available
codes on the high speed downlink share channel (HSDSCH). This is not a realistic
approach, especially for initial implementations, since typically the capacity is also
shared with regular UMTS DCH channels. Codes allocated for HSDPA are fixed, and
not usable for DCH, so in practice implementations with 15 codes will require at least
several 5MHz carriers to be available in the system. It is expected that HSDPA
realizations will follow a progressive approach, starting with five codes, and evolving
to 10 or 15 as higher capacity or resources to support it become available.
Additionally, it is important to consider that not all UE classes will support 10 or 15
codes, so in order to get the full benefit from maximum throughputs, terminal
availability needs to be considered. A realistic data rate will be about 600–800 kbps,
taking real network conditions into account, while an estimated network round trip
time (RTT) would be 80–100 ms.
As a summary, the overall performance of an HSDPA network will depend on:
• The number of spreading codes (support of 5, 10 or 15 multicodes);
• The modulation mode (QSPK (quadrature phase shift keying), 16-QAM
(quadrature amplitude modulation)), where 16-QAM is optional for the network and
also for the UE;
• The error correction level;
• Capabilities of end user devices.
On the other hand, the impact of HSDPA on WCDMA R99 will be driven by sharing
resources and the allocation of fixed codes and constant transmission power to
HSDPA. HSDPA will cause a drop in downlink, since fixed codes are fully allocated.
Additionally, HSDPA may lead to quality problems and lower data rates for WCDMA
R99 connections if the network RF planning is not designed to tolerate the extra
interference caused by lack of power control in the HSDPA transmission. In some
cases, it may be a need to limit the amount of power for HSDPA in order to protect
WCDMA R99. In such cases, the gain in HSDPA performance coming from
increasing its transmission power should be closely checked with the degradation in
WCDMA R99 performance. The type of modulation (QPSK or 16-QAM) can have an
important impact in this case.
TM51103EN03GLA3
63
UMTS Air Interface
3.2 HSDPA implementation :

Table below present basic features introduced in UMTS architecture and protocols in
order to support HSDPA. In addition, other capabilities like the multiple-input multiple-
output (MIMO) receiver would be supported to provide further signal gain and higher
throughputs.
HSDPA introduces a new radio bearer in the UMTS system, the high speed downlink
share channel (HSDSCH). This channel allows several users to be time-multiplexed
so that during silent periods the resources are available to other users. The HSDSCH
uses 2ms transmission time intervals (TTIs) and a fixed spreading factor of 16, which
allows a maximum of 15 parallel codes for user traffic and signaling.
TM51103EN03GLA3
Feature HSDPA
MAC layer split Functionality moved to Node B to
improve efficiency of packet scheduler
and retransmissions
Downlink frame size 2ms TTI (3 slots)
Channel feedback Channel quality reported at 2ms rate
(500 Hz) for CQI (channel quality
indication), ACK (acknowledged)/ACK,
TPC (transmission power control)
Adaptive modulation and coding (AMC) QPSK and 16-QAM mandatory scheme
HARQ Fast layer 1 retransmission (improves

RTT); chase or incremental redundancy
(IR)
Packet scheduling Fast scheduling done in Node B with
2ms time basis; types: round-robin,
proportional fair, fair throughput, etc.
Shared channel transmission Dynamically shared in the time and code
domains
TM51103EN03GLA3
65
UMTS Air Interface
In addition to accelerating service access for users and improving data transfers, this
reduced TTI allows the system to adapt itself faster to changing conditions. The
uplink data transmission of the HSDPA user initially relies on release 99 DCH with
different available rates (i.e. 64, 128 or 384 kbps).
A new MAC-hs entity in added on the BTS to handle all these new features needed
for HSDPA traffic, as shown in Figure B.1. Layers above MAC-hs (for the high speed
downlink shared channels), such as
MAC-d (for the dedicated transport channels) and RLC are similar to those in the
release 99 networks.
The adaptive modulation and coding (AMC) technique is used in order to
compensate for variations in radio transmission conditions, while the transmission
power remains constant. HSDPA-enabled user equipment sends channel quality
reports to the base station at 2ms intervals, which are used to adapt the modulation
or resources accordingly. At layer 1, the hybrid automatic repeat request (HARQ)
with a Stop and Wait (SAW) Protocol is used as a retransmission mechanism. Unlike
the UMTS R99, the HARQ is processed directly in Node B, which allows a faster
response, instead of being handled by the RNC.
The fast scheduling feature is also implemented in Node B, compared to UMTS R99,
where the scheduler is located in the RNC. The scheduler determines to which
terminal the transmission in HSDSCH will be directed and, depending on the AMC, at
what data rate.
TM51103EN03GLA3
3.3 HSDPA channels

There are five different physical channels that are used by HSDPA services. HSDPA
data are carried on HSPDSCH, which is a shared channel for all HSDPA users in the
cell. There are two physical control channels, one dedicated channel in uplink
(HSDPCCH) and one shared channel in downlink (HSSCCH).
In addition to these there are associated DPCHs for uplink and downlink.
• HSPDSCH (high speed physical downlink shared channel). This transfers actual
HSDPA data of the transport HSDSCH and can use 1 to 15 code channels, with a
spreading factor (SF) of 16. All these associated physical channels should be
adjacent, QPSK or 16-QAM modulation is supported over 2 ms TTI slots. No
power control is supported. In addition, the HSDSCH does not support soft
handover due to the complexity of synchronizing the transmission and scheduling
from different cells. Instead, cell reselection through a normal DCH would be
implemented; i.e. the HSDPA user is given a DCH in the SHO area, and is then
moved to the new cell, where it would get an HSDPA channel again after the
procedure is completed.
• HSSCCH (high speed shared control channel). This includes information to tell the
UE how to decode the next HSPDSCH frame. It uses QPSK modulation and a
fixed SF of 128. It shares the downlink power with the HSPDSCH, but may support
power control in order to maximize the available power for the data channel. More
than one HSSCCHs are required when code multiplexing is used, but a maximum
of four is supported by the UE. Soft handover is not supported.
• HSDPCCH (high speed dedicated physical control channel). This channel carries
the ACK/NACK (not acknowledged) (repetition encoded) and channel quality
indicator transmitted from the UE in the uplink direction, which is needed for L1
procedures. The primary modulation is BPSK (binary phase-shift keying) with an
SF of 256 (15 kbps). The transmission power used is typically the same as that
used for the uplink DPCH plus additional offset to provide higher protection. The
HSDPCCH may be received by two different sectors in the same Node B, but in
general soft handover is not supported.
• Associated DPCH (dedicated physical channel). Two DPCHs are needed for each
HSDPA UE, one in the downlink and another in the uplink. While the downlink
DPCH is only used for signaling purposes, the uplink DPCH is the complementary
data channel for the HSPDSCH, and may be allocated a data rate of 64, 128 or
384 kbps. The primary modulation is QPSK and the SF can be from 4 to 512. Soft
handover is supported for both DPCHs.
TM51103EN03GLA3
67
UMTS Air Interface
3.4 MAC Layer Split

As a result of new functionalities to be carried by Node B in HSDPA, the MAC layer is
split into two entities. While MAC-d remains in the RNC in the same way as for R99,
MAC-hs is located in Node B to allow rapid retransmission of NRT data.
MAC-d is responsible for mapping between logical channels and transport channels,
selection of and appropriate transport format and handling priorities. It also has to
identify UEs in the common transport channels and multiplex/demultiplex upper layer
PDUs and to measure the traffic volume. Ciphering for the transparent mode RLC is
also managed by MAC-d. MAC-hs is responsible for packet scheduling, link
adaptation and layer 1 error correction and retransmission (HARQ).
Due to this split in the functionality of the MAC layer, the user data buffers, which
used to be in the RNC, are moved to Node B. This makes the introduction necessary
of a flow control mechanism in the Iub interface, in order to avoid the buffer overflow
and throughput degradation due to buffers becoming empty. MAC-d schedules the
number of RLC PDUs according to the credits granted by MAC-hs at each interval of
10 ms, and the aggregated rate of the HSDPA connections is controlled by the rate
control implemented in MAC-hs. The MAC-d PDUs are framed into FP-HSDSCH
frames, while a maximum number of 16 MAC-d flows per BTS are supported.
TM51103EN03GLA3
RLC RLC
MAC-d flow
MAC-d MAC-d
HS-DSCH HS-DSCH HS-DSCH

MAC-hs MAC-hs
FP FP
HS-PDSCH
Physical Physical TNL TNL
Radio (Uu) Iub
TM51103EN03GLA01
Fig 26 UE and RNC
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TM51103EN03GLA3
69
UMTS Air Interface
TM51103EN03GLA3
3.5 Adaptive Modulation and Coding (AMC) Scheme :

Link adaptation (LA) is the key feature to the success of HSDPA, since there is no
power control in HSPDSCH, and it is used to adapt HSPDSCH to different radio
conditions. If LA does not work properly, cell capacity is lost and other techniques
such as fast scheduling will not work.
Link adaptation is done by changing the modulation and number of codes. The UE
signals information to the network about the highest data rate it can accept under the
current channel conditions while still maintaining a controlled block error rate (i.e.
under 10 %). This CQI (channel quality indication) is signaled through the
HSDPCCH. The network uses this in order to reconfigure the HSDSCH format for
subsequent transmission to that UE. For example, if the CQI shows that the quality is
degrading, the scheduler can choose a less aggressive coding/modulation format
that will cope better with the poor conditions.
Typically the link adaptation is divided into two phases, known as the inner loop and
outer loop algorithms:
• Inner loop algorithm. This takes the decision for the modulation and coding
scheme to be used in the next TTI. This selection will be done only for new
transmissions (i.e. not for retransmissions), and will be based on the received CQI,
the available HSDSCH transmit power, the number of HSPDSCH codes, the RLC
PDU size, input from the outer loop HSDSCH algorithm and the UE category. It is
important that input parameters (CQI reports and DPCH power measurements) to
the inner loop algorithm are subject to a minimum delay, because otherwise the LA
would not be able to track fading in the radio channel properly.
• Outer loop algorithm. The primary goal is to compensate any bias introduced by
the inner loop algorithm. This bias might be introduced due to offsets in relative UE
performance, due to improved receiver architecture, etc. Typically, the outer loop
may be based on the BLER target obtained from RLC ACK/NACK information, but
also the CQI may be used directly.
TM51103EN03GLA3
71
UMTS Air Interface
3.6 Error Correction (HARQ)

Layer 1 retransmissions expand the system recovery capability from air transmission
errors, and are subject to significantly shorter delays than RLC retransmissions, due
to the closeness of UE and Node B. This result in lower delay jitter, which can be
very beneficial for data services based on TCP or streaming applications.
The use of HARQ adds increased robustness to the system and a spectral efficiency
gain. Two retransmission strategies are supported: incremental Redundancy (IR) and
chase combining. The basic idea of the chase combining scheme is to transmit an
identical version of an erroneously detected data packet before the decoder
combined the received copies weighted by the SNR prior to decoding. With the IR
scheme, additional redundant information is incrementally transmitted if the decoding
fails on the first attempt, by means of different puncturing schemes used in the
coding of the retransmitted data packets. In the case of HSDPA, IR with a one-third
punctured turbo code would typically be used for the retransmissions, although it has
the drawback of requiring higher memory buffers in the UE than chase combining.
During the scheduling phase, the MAC-hs layer will give priority to retransmissions
over new RLC packets, which will be transmitted with the same code as the original
transmission. HARQ can be used in the stop-and-wait mode or in the selective repeat
mode. Stop-and-wait is simpler, but waiting for the receiver’s acknowledgement
reduces efficiency; thus multiple stop-and-wait HARQ processes are often done in
parallel in practice. When one HARQ process is waiting for an acknowledgement,

another process can use the channel to send more data.
There are a few aspects to consider for the HARQ mechanism:
• If Node B receives an ACK from a UE, everything is fine.
• If Node B receives a NACK from a UE, it means that the packet was received, but
could not be detected properly. In this situation, Node B should retransmit using
incremental redundancy.
• If Node B never receives any ACK/NACK, it should retransmit using another self-
decodable rate matching scheme.
TM51103EN03GLA3
HARQ Iub Flow

Controlling
UE BS RNC Internet Server
L1 Retransmission RLC Layer Retransmission TCP Layer Retransmission

(incl. slow start effect)
TM51103EN03GLA01
Fig 27 HARQ
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TM51103EN03GLA3
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UMTS Air Interface
3.7 Fast packet scheduling

The objective of the packet scheduler is to optimize the cell capacity while delivering
the minimum required service experience for all active users excluding an allowed
outage target. Outage is defined from blocking, dropping and QoS requirements
related to a given application.
The actual packet scheduling algorithm is not specified in 3GPP and there is a large
degree of freedom available to manufacturers. However, with the definition of various
QoS parameters such as discard timers and guaranteed bit rates, it is expected that
the packet scheduler does its best to fulfill the requirements given for any user. This
is especially significant in multivendor environments (e.g. RNC and node B from
different vendors) where the QoS responsibility is distributed. The packet scheduler
needs to be flexible and adjustable by the parameters defined in 3GPP/release 5,
including some indirect parameters such as complying with the power targets
specified from the RNC.
Different approaches have been proposed for the packet scheduler, the simplest
approach is round-robin scheduling, or best effort, which performs a ‘blind’ allocation
of resources without using quality information. It has low complexity and allows a fair
distribution of power and code resources among users.
On the other hand, algorithms like proportional fair scheduling, use information of
user quality and fast fading behavior to select the most appropriate transmission turn
for each user. This scheduler has a higher complexity, but can provide 20–60 %
gains in throughput compared with round-robin scheduling. The gain depends on the
number of HSDPA users in the cell, the radio conditions and transmitted power.
UE capabilities also have an effect on scheduling. The UE’s ability to receive data
depends on the UE category it supports. Category 1 and 2 UEs can receive data in
every third TTI. Categories 3, 4 and 11 UEs can receive data in every second TTI.
The remaining UE categories can receive in every TTI.
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Changes to the
signaling between the
RNC and UE in layer
2 and 3
Fast Scheduling and BTS/NodeB includes

Fast Retransmission HARQ functionality
UE BS RNC
Changes to the
signaling between the Packet Scheduling is
BTS/NodeB and UE is controlled by
required BTS/NodeB
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Fig 28 Fast Packet Scheduling
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75
UMTS Air Interface
3.8 Impact on the Iub Interface

With higher throughputs in HSDPA, there is a high probability of congestion between
Node B and the
RNC, which requires careful planning of the Iub interface. A careful flow control
mechanisms needs
to be introduced in order to avoid a strong reduction of data rates due to ATM
discards, which would generate RLC retransmissions and TCP window reduction.
The understanding in 3GPP is that Node B is in control of the flow, so it will send
capacity allocation messages to the RNC. Node B knows the status of the buffers in
the RNC from the capacity request, and uses this message to modify the capacity at
any time, irrespective of the reported user buffer status.
Two messages are defined for Iub flow control, as shown in Figure B.5.
• The HS-DSCH capacity request procedure allows the RNC to request HSDSCH
capacity by indicating the user buffer size in the RNC for a given priority level.
The HS-DSCH capacity allocation is used by Node B to allocate resources for a

given flow. It includes a number of parameters: the number of MAC-d PDUs that the
RNC is allowed to transmit for the MAC-d flow (HSDSCH credits), the associated
priority level indicated, the maximum MAC-d PDU length, the time interval during
which the HSDSCH credits granted may be transmitted (HSDSCH interval) and the
number of subsequent intervals that the HSDSCH credits granted may be transmitted
(HSDSCH repetition period).
There are different possible approaches for the flow control algorithm, but they need
to be a trade-off between performance and implementation complexity. For instance,
a simple flow control implementation may consist in sending periodic capacity
allocations that either follow a round-robin approach among the UEs or is based on
the MAC-hs or has RLC buffer status. However, this kind of implementation can have
constraints regarding the guaranteed bit rate and number of simultaneous users. On
the other hand, a more advanced flow control may take into account the buffer status
in Node B, the guaranteed bit rate, scheduling priority, the buffer status in the RNC,
the air interface bit rate and the discard timer for sending the capacity allocation
messages.
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3.9 Handset Capabilities

HSDPA handsets are becoming more complex, due to the addition of several new
features to existing 3G devices in order to achieve maximum capability, such as
support of the 16-QAM modulation method, a roadmap for advanced receivers
(equalizer, diversity), HARQ in layer 1, a faster turbo decoder, the need for increased
and faster buffer memory, etc.
The UE capabilities, presented in Table B.4, are sent from the serving RNC (SRNC)
to Node B when the HSDSCH MAC-d flow is established. They include among
others:
• The maximum number of bits a UE can receive within one TTI;
• The maximum number of HSDSCH codes the UE can receive simultaneously;
• The minimum inter-TTI arrival;
• The total buffer size minus the RLC AM buffer size;
• Five main parameters used to define the physical layer UE capability level (3GPP
TS 25.306):
• The maximum number of HSDSCH multicodes that the UE can simultaneously
receive; at least five multicodes must be supported in order to facilitate efficient
multicode operation;
• The minimum inter-TTI interval, which defines the distance from the beginning of a
TTI to the beginning of the next TTI that can be assigned to the same UE; e.g. if
the allowed interval is 2 ms, this means that the UE can receive HSDSCH packets
every 2 ms;
• The maximum number of HSDSCH transport channel bits that can be received
within a single TTI
• The maximum number of soft channel bits over all the HARQ processes;
• If the UE supports 16-QAM (e.g. code efficiency limitation);
• Parameters are also available for specification of the L2 buffer capability
(RLC+MAC). A UE with a low number of soft channel bits will not be able to
support IR for the highest peak data rates and its performance will thus be slightly
lower than for a UE supporting a larger number of soft channel bits.
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77
UMTS Air Interface
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4 Exercises
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79
UMTS Air Interface
1. List the different duplex methods and their advantages and drawbacks?
FDD
2. Why we use stratification in UMTS?
3. Why cell are changing of boundaries ( breathing ) ?
4. What are the consequences of the cell breathing?
5. List different kinds of HO?
6. How we can make initial Access to the system?
7. Explain the HO mechanism
8. What is the difference between OQPSK and QPSK?
9. When the 16-QAM modulation is used ?
10. What is AMC and why we use it ?
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81
UMTS Air Interface
5 Solution
TM51103EN03GLA3
1. List the different duplex methods and their advantages and drawbacks?
FDD
• Advantages: Using this method we can avoid collision between uplink and
downlink.
• Drawbacks: Frequency resources are wasted
2. Why we use stratification in UMTS?
UMTS network is divided into two levels, the Access Stratum and Non
Access stratum, these two levels correspond to a repartition of logical
functions within the network.
3. Why cell are changing of boundaries ( breathing ) ?
4. As there is incoming and outgoing HO then the interference within one

cell will change and then the coverage of one cell will change
5. What are the consequences of the cell breathing?
6. As the cell is changing boundaries due to cell breathing we have to

reconsider the HO margin during planning for the mobile station that is
near these boundaries
7. List different kinds of HO?
Softer HO
Soft HO
Hard HO
Intersystem HO
Inter-frequency HO …
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UMTS Air Interface
8. How we can make initial Access to the system?
We send a RACH the mobile send a first preamble in that RACH and then
wait for an indication AICH from the network that a first preamble was
received and then it send a second preamble.
9. Explain the HO mechanism
• Measurement report
• Decision according to the threshold setting and algorithms for HO
• Execution and allocation of resources
10. What is the difference between OQPSK and QPSK?
The difference is that there is no transition between intermediate states

symbols when we have to transmit two opposite symbols
11. When the 16-QAM modulation is used ?
HSDPA uses 16-QAM for transmitting 4 bit/ symbol and then achieving a
higher data rates
12. What is AMC and why we use it ?
AMC is the adaptative Modulation codec scheme we use it with HSDPA the
principal is that the modulation is changed according to the air interface
radio conditions allowing then the signal more robustness
TM51103EN03GLA3

03 TM51103EN03GLA3 Air Interface

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UMTS Air Interface 

UMTS Air Interface

1 UMTS Air interface technology

1.1 Duplex methods

• FDD: Frequency Division Duplex :

• TDD: Time Division Duplex :

Fig 1 Frequency division duplex

1.2 UMTS Frequency

GSM 900 DCS 1800

Fig 2 IMT-2000 frequency allocation for different mobile system

1.3 Access method

1.3.1 FDMA: Frequency division multiple access

1.3.2 TDMA: Time division multiple access

Multiple Access Power

Fig 3 TDMA Time division multiple access

1.3.3 CDMA: Code division multiple access

Code Division Multiple Access

Fig 4 CDMA Concept expressed in terms of power, frequency and time

2 UMTS Air interface description

Fig 5 UMTS bandwidth

2.2 Data processing

Transmission / Reception Spreading

Code Carrier Carrier Code

Fig 6 Data process

2.2.1 Channel coding

2.2.2 Rate Matching

Baseband Data (n KB/s) • Convolutional Coding Rate

Fig 7 UMTS Rate matching

2.2.3 Radio framing, and Spreading

Fig 9 UMTS Modulation

2.2.5 Multipath propagation

1. Descrambling: Received signals are multiplied by the scrambling code and

d: delay RAKE finger:

Fig 10 RAKE receiver block diagram

Channelisation Code separates

Fig 11 Spreading using channelization and scrambling codes

2.3.1 Channelization code

CC1,0 = (1) CC4,1 = (1,1,-1,-1) •

CCn,m generation: 1 1 CCn/2 CCn/2

Fig 12 Code tree

2.3.2 Scrambling codes

Scrambling Code Set

Code Code Code Code

Primary Scrambling Code Primary Scrambling Code

Secondary Scrambling Code #1 Secondary Scrambling Code #1

Secondary Scrambling Code #2 Secondary Scrambling Code #2

Secondary Scrambling Code #15 Secondary Scrambling Code #15

512 Code Sets × 16 Scrambling Codes = 8192 Codes available

Fig 13 Scrambling codes set

2.3.3 Code management

CC4,1 CC8,3 CC4,1 CC8,3

CC4,3 CC8,7 CC4,3 CC8,7

Fig 14 Example of code blocking

2.3.4 Multiuser detection in WCDMA systems

Spreading / Data User 1 1 0 1 Data User 2 0 0 1

Fig 15 (De) spreading process

2.4 Logical, transport and physical Channels

Fig 16 Logical, Transport, and Physical Channel

BCCH PCCH CCCH DCCH DTCH CTCH

BCH PCH FACH Common DSCH Dedicated DCH

Fig 17 Downlink Channels

FDD Mode (UL)

CCCH DCCH DTCH