WCDMA FOR UMTS - HSPA EVOLUTION AND L X E

Fourth Edition

Edited by

Harri Holma and Antti Toskala Both of Nokia Siemens Networks, Finland

1 I C E N T E N N I A L

B 1 C E N T E N N 1 A L .

John Wiley &. Sons, Ltd

Contents

Preface xvii

Acknowledgements xxi

Abbreviations xxiii

1 Introduction 1

Harri Holma and Antti Toskala 1.1 WCDMA in Third-Generation Systems 1 1.2 Spectrum Allocations for Third-Generation Systems 2 1.3 Requirements for Third-Generation Systems 3 1.4 WCDMA and its Evolution 4 1.5 System Evolution 6 References 6

2 UMTS Services 9

Harri Holma, Martin Kristensson, Jouni Salonen and Antti Toskala 2.1 Introduction 9 2.2 Person-to-Person Circuit Switched Services 10

2.2.1 AMR-NB and AMR-WB Speech Services 10 2.2.2 Video Telephony 13

2.3 Person-to-Person Packet Switched Services 15 2.3.1 Messaging 15 2.3.2 Push-to-Talk over Cellular 19 2.3.3 Voice over IP 21 2.3.4 Multiplayer Games 21

2.4 Content-to-Person Services 22 2.4.1 Browsing 22 2.4.2 Audio and Video Streaming 23 2.4.3 Content Download 24

2.5 Business Connectivity 24 2.6 Location Services 26

2.6.1 Cell-Coverage-Based Location Calculation 27 2.6.2 Assisted GPS 28

vi Contents

2.7 QoS Differentiation 29 2.8 Capacity and Cost of Service Delivery 34

2.8.1 Capacity per Subscriber 34 2.8.2 Cost of Voice and Data Delivery 35

2.9 Summary 37 References 38

3 Introduction to WCDMA 39

Peter Muszynski and Harri Holma 3.1 Introduction 39 3.2 Summary of the Main Parameters

in WCDMA 39 3.3 Spreading and Despreading 41 3.4 Multipath Radio Channels and Rake Reception 44 3.5 Power Control 47 3.6 Softer and Soft Handovers 50 References 52

4 Background and Standardisation of WCDMA 53

53 53 54 55 55 56 56 57 57 58 58 58 58 58 59 59 59 61 62 62 62 63 65

Antti 4.1 4.2

4.3 4.4 4.5

4.6 4.7 4.8 4.9 4.10 4.11

Toskala Introduction Background in Europe 4.2.1 4.2.2 4.2.3 4.2.4 4.2.5 4.2.6

Wideband CDMA Wideband TDMA Wideband TDMA/CDMA OFDMA ODMA ETSI Selection

Background in Japan Background in Korea Background in the United States 4.5.1 4.5.2 4.5.3 4.5.4 4.5.5

W-CDMA N/A UWC-136 cdma2000 TR46.1 WP-CDMA

Creation of 3GPP How does 3GPP Operate? Creation of 3GPP2 Harmonisation Phase IMT-2000 Process in ITU Beyonc

References l 3GPP Release 99

Contents vn

5 Radio Access Network Architecture 67

Fabio Longoni, Atte Länsisalmi and Antti Toskala 5.1 System Architecture 67 5.2 UTRAN Architecture 70

5.2.1 The Radio Network Controller 71 5.2.2 The Node B (Base Station) 72

5.3 General Protocol Model for UTRAN Terrestrial Interfaces 72 5.3.1 General 72 5.3.2 Horizontal Layers 72 5.3.3 Vertical Planes 73

5.4 lu, the UTRAN-CN Interface 74 5.4.1 Protocol Structure for lu CS 74 5.4.2 Protocol Structure for lu PS 76 5.4.3 RANAP Protocol 11 5.4.4 lu User Plane Protocol 78 5.4.5 Protocol Structure of lu BC, and the Service Area

Broadcast Protocol 79 5.5 UTRAN Internal Interfaces 80

5.5.1 RNC-RNC Interface (Iur Interface) and the RNSAP Signalling 80

5.5.2 RNC-Node B Interface and the NBAP Signalling 83 5.6 UTRAN Enhancements and Evolution 85

5.6.1 IP Transport in UTRAN 85 5.6.2 lu Flex 85 5.6.3 Stand-Alone SMLC and Iupc Interface 86 5.6.4 Interworking Between GERAN and UTRAN,

and the Iur-g Interface 86 5.6.5 IP-Based RAN Architecture 86

5.7 UMTS CN Architecture and Evolution 87 5.7.1 Release 99 CN Elements 87 5.7.2 Release 5 CN and IP Multimedia Subsystem 88

References 89

6 Physical Layer 91

Antti Toskala 6.1 Introduction 91 6.2 Transport Channels and their Mapping to the Physical Channels 92

6.2.1 Dedicated Transport Channel 93 6.2.2 Common Transport Channels 93 6.2.3 Mapping of Transport Channels onto the Physical Channels 95 6.2.4 Frame Structure of Transport Channels 95

6.3 Spreading and Modulation 96 6.3.1 Scrambling 96 6.3.2 Channelisation Codes 96

viii Contents

6.3.3 Uplink Spreading and Modulation 98 6.3.4 Downlink Spreading and Modulation 103 6.3.5 Transmitter Characteristics 105

6.4 User Data Transmission 106 6.4.1 Uplink Dedicated Channel 106 6.4.2 Uplink Multiplexing 109 6.4.3 User Data Transmission with the Random Access Channel 111 6.4.4 Uplink Common Packet Channel 112 6.4.5 Downlink Dedicated Channel 112 6.4.6 Downlink Multiplexing 114 6.4.7 Downlink Shared Channel 116 6.4.8 Forward Access Channel for User Data Transmission 116 6.4.9 Channel Coding for User Data 116 6.4.10 Coding for TFCI Information 118

6.5 Signalling 118 6.5.1 Common Pilot Channel (CPICH) 118 6.5.2 Synchronisation Channel (SCH) 119 6.5.3 Primary Common Control Physical Channel (Primary CCPCH) 119 6.5.4 Secondary Common Control Physical Channel (Secondary CCPCH) 120 6.5.5 Random Access Channel (RÄCH) for Signalling Transmission 121 6.5.6 Acquisition Indicator Channel (AICH) 122 6.5.7 Paging Indicator Channel (PICH) 122

6.6 Physical Layer Procedures 123 6.6.1 Fast Closed-Loop Power Control Procedure 123 6.6.2 Open-Loop Power Control 124 6.6.3 Paging Procedure 124 6.6.4 RÄCH Procedure 125 6.6.5 Cell Search Procedure 126 6.6.6 Transmit Diversity Procedure 127 6.6.7 Handover Measurements Procedure 128 6.6.8 Compressed Mode Measurement Procedure YL9 6.6.9 Other Measurements 131 6.6.10 Operation with Adaptive Antennas 132 6.6.11 Site Selection Diver sity Transmission 133

6.7 Terminal Radio Access Capabilities 134 6.8 Conclusions 137 References 137

7 Radio Interface Protocols 139

Jukka Vialen and Antti Toskala 7.1 Introduction 139 7.2 Protocol Architecture 140 7.3 The Medium Access Control Protocol 141

7.3.1 MAC Layer Architecture 141 7.3.2 MAC Functions 142 7.3.3 Logical Channels 143

Contents ix

7.3.4 Mapping Between Logical Channels and Transport Channels 144

7.3.5 Example Data Flow Through the MAC Layer 144 7.4 The Radio Link Control Protocol 145

7.4.1 RLC Layer Architecture 146 7.4.2 RLC Functions 147 7.4.3 Example Data Flow Through the RLC Layer 148

7.5 The Packet Data Convergence Protocol 150 7.5.1 PDCP Layer Architecture 150 7.5.2 PDCP Functions 150

7.6 The Broadcast/Multicast Control Protocol 151 7.6.1 BMC Layer Architecture 151 7.6.2 BMC Functions 151

7.7 Multimedia Broadcast Multicast Service 152 7.8 The Radio Resource Control Protocol 152

7.8.1 RRC Layer Logical Architecture 152 7.8.2 RRC Service States 153 7.8.3 RRC Functions and Signalling Procedures 157

7.9 Early UE Handling Principles 171 7.10 Improvements for Call Setup Time Reduction 172 References 173

8 Radio Network Planning 175

Harri Holma, Zhi-Chun Honkasalo, Seppo Hämäläinen, Jaana Laiho, Kari Sipilä and Achim Wacker 8.1 Introduction 175 8.2 Dimensioning 176

8.2.1 Radio Link Budgets 177 8.2.2 Load Factors 180 8.2.3 Capacity Upgrade Paths 192 8.2.4 Capacity per km 193 8.2.5 Soft Capacity 194 8.2.6 Network Sharing 197

8.3 Capacity and Coverage Planning and Optimisation 198 8.3.1 Iterative Capacity and Coverage Prediction 198 8.3.2 Planning Tool 199 8.3.3 Case Study 200 8.3.4 Network Optimisation 204

8.4 GSM Co-planning 207 8.5 Inter-operator Interference 209

8.5.1 Introduction 209 8.5.2 Uplink versus Downlink Effects 210 8.5.3 Local Downlink Interference 211 8.5.4 Average Downlink Interference 213 8.5.5 Path Loss Measurements 213 8.5.6 Solutions to Avoid Adjacent Channel Interference 215

X Contents

8.6 WCDMA Frequency Variants 216 8.7 UMTS Refarming to GSM900 Band 217

8.7.1 3GPP Blocking Requirements 217 8.7.2 Uncoordinated GSM900 + UMTS900 217 8.7.3 Coordinated GSM900 + UMTS900 218 8.7.4 Remaining GSM900 Voice Capacity 220

References 221

9 Radio Resource Management 223

Harri Holma, Klaus Pedersen, Jussi Reunanen, Janne Laakso and Oscar Salonaho 9.1 Interference-Based Radio Resource Management 223 9.2 Power Control 224

9.2.1 Fast Power Control 224 9.2.2 Outer Loop Power Control 231

9.3 Handovers 237 9.3.1 Intra-frequency Handovers 237 9.3.2 Inter-system Handovers between WCDMA and GSM 246 9.3.3 Inter-frequency Handovers within WCDMA 250 9.3.4 Summary of Handovers 251

9.4 Measurement of Air Interface Load 253 9.4.1 UplinkLoad 253 9.4.2 Downlink Load 255

9.5 Admission Control 256 9.5.1 Admission Control Principle 256 9.5.2 Wideband Power-based Admission Control Strategy 257 9.5.3 Throughput-Based Admission Control Strategy 259

9.6 Load Control (Congestion Control) 259 References 260

10 Packet Scheduling 261

Jeroen Wigard, Harri Holma, Renaud Cuny, Nina Madsen, Frank Frederiksen and Martin Kristensson 10.1 Transmission Control Protocol (TCP) 261 10.2 Round Trip Time 268 10.3 User-specific Packet Scheduling 270

10.3.1 Common Channels (RACH/FACH) 271 10.3.2 Dedicated Channel (DCH) 272 10.3.3 Downlink Shared Channel (DSCH) 274 10.3.4 Uplink Common Packet Channel (CPCH) 274 10.3.5 Selection of Transport Channel 27'4 10.3.6 Paging Channel States 278

10.4 Cell-specific Packet Scheduling 278 10.4.1 Priorities 280

Contents xi

10.4.2 Scheduling Algorithms 281 10.4.3 Packet Scheduler in Soft Handover 281

10.5 Packet Data System Performance 283 10.5.1 Link Level Performance 283 10.5.2 System Level Performance 284

10.6 Packet Data Application Performance 286 10.6.1 Introduction to Application Performance 287 10.6.2 Person-to-person Applications 288 10.6.3 Content-to-person Applications 292 10.6.4 Business Connectivity 294 10.6.5 Conclusions on Application Performance 297

References 298

11 Physical Layer Performance 299

Harri Holma, Jussi Reunanen, Leo Chan, Preben Mogensen, Klaus Pedersen, Kari Horneman, Jaakko Vihriälä and Markku Juntti 11.1 Introduction 299 11.2 CellCoverage 299

11.2.1 Uplink Coverage 302 11.2.2 Downlink Coverage 311

11.3 Downlink Cell Capacity 312 11.3.1 Downlink Orthogonal Codes 312 11.3.2 Downlink Transmit Diversity 317 11.3.3 Downlink Voice Capacity 319

11.4 Capacity Trials 321 11.4.1 Single Cell Capacity Trials 321 11.4.2 Multicell Capacity Trials 335 11.4.3 Summary 337

11.5 3GPP Performance Requirements 339 11.5.1 Eb/N0 Performance 339 11.5.2 RF Noise Figure 342

11.6 Performance Enhancements 343 11.6.1 Smart Antenna Solutions 343 11.6.2 Multiuser Detection 350

References 359

12 High-Speed Downlink Packet Access 363

Antti Toskala, Harri Holma, Troels Kolding, Preben Mogensen, Klaus Pedersen and Jussi Reunanen 12.1 Release 99 WCDMA Downlink Packet Data Capabilities 363 12.2 HSDPA Concept 364 12.3 HSDPA Impact on Radio Access Network Architecture 366 12.4 Release 4 HSDPA Feasibility Study Phase 367 12.5 HSDPA Physical Layer Structure 367

xii Contents

12.5.1 High-Speed Downlink Shared Channel (HS-DSCH) 368 12.5.2 High-speed Shared Control Channel (HS-SCCH) 371 12.5.3 Uplink High-speed Dedicated Physical Control

Channel (HS-DPCCH) 373 12.5.4 HSDPA Physical Layer Operation Procedure 374

12.6 HSDPA Terminal Capability and Achievable Data Rates 376 12.7 Mobility with HSDPA 377

12.7.1 Measurement Event for Best Serving HS-DSCH Cell 378 12.7.2 Intra-Node B HS-DSCH to HS-DSCH Handover 378 12.7.3 Inter-Node-Node B HS-DSCH to HS-DSCH Handover 380 12.7.4 HS-DSCH to DCH Handover 381

12.8 HSDPA Performance 382 12.8.1 Factors Governing Performance 382 12.8.2 Spectral Efficiency, Code Efficiency and Dynamic Range 383 12.8.3 User Scheduling, Cell Throughput and Coverage 386 12.8.4 HSDPA Network Performance with Mixed

Non-HSDPA and HSDPA Terminals 391 12.9 HSPA Link Budget 393 12.10 HSDPA Iub Dimensioning 396 12.11 HSPA Round-Trip Time 397 12.12 Terminal Receiver Aspects 397 12.13 Evolution in Release 6 399 12.14 Conclusions 401 References 401

13 High-Speed Uplink Packet Access 403

Antti Toskala, Harri Holma and Karri Ranta-aho 13.1 Release 99 WCDMA Downlink Packet Data Capabilities 403 13.2 HSUPA Concept 404 13.3 HSUPA Impact on Radio Access Network Architecture 405

13.3.1 HSUPA Iub Operation 407 13.4 HSUPA Feasibility Study Phase 407 13.5 HSUPA Physical Layer Structure 408 13.6 E-DCH and Related Control Channels 408

13.6.1 Enhanced Dedicated Physical Data Channel (E-DPDCH) 408 13.6.2 Enhanced Dedicated Physical Control Channel (E-DPCCH) 410 13.6.3 E-DCH Hybrid ARQ Indicator Channel (E-HICH) 411 13.6.4 E-DCH Relative Grant Channel (E-RGCH) 412 13.6.5 E-DCH Absolute Grant Channel (E-AGCH) 412

13.7 HSUPA Physical Layer Operation Procedure 413 13.7.1 HSUPA and HSDPA Simultaneous Operation 414

13.8 HSUPA Terminal Capability 416 13.9 HSUPA Performance 416

13.9.1 Increased Data Rates 417 13.9.2 Physical Layer Retransmission Combining All 13.9.3 Node B-Based Scheduling 417

Contents xiii

13.9.4 HSUPA Link Budget Impact 419 13.9.5 Delay and QoS 419 13.9.6 Overall Capacity 419

13.10 Conclusions 421 References 421

14 Multimedia Broadcast Multicast Service 423

Harri Holma, Martin Kristensson and Jorma Kaikkonen 14.1 Multimedia Broadcast Multicast Service Concept 423 14.2 MBMS Impact on Network Architecture 426 14.3 High-Level MBMS Procedures 428 14.4 MBMS Radio Interface Channel Structure 430

14.4.1 Logical Channels 430 14.4.2 Transport Channels 430 14.4.3 Physical Channels 430 14.4.4 Point-to-Point and Point-to-Multipoint Connections 431 14.4.5 Example Radio Interface Procedure During MBMS

Session Start 432 14.5 MBMS Terminal Capability 433

14.5.1 Selective Combining and Soft Combining 433 14.6 MBMS Performance 435

14.6.1 The 3GPP Performance Requirements 435 14.6.2 Simulated MBMS Cell Capacity 436 14.6.3 Iub Transport Capacity 438

14.7 MBMS Deployment and Use Cases 439 14.8 Benchmarking of MBMS with DVB-H 440 14.9 3GPP MBMS Evolution in Release 7 440 14.10 Summary 442 References 442

15 High-Speed Packet Access Evolution (HSPA+) in 3GPP Release 7 445

Harri Holma, Antti Toskala, Karri Ranta-aho, Juho Pirskanen and Jorma Kaikkonen 15.1 Introduction 445 15.2 Setup Time Reduction 445 15.3 Peak Data Rate Increase with MIMO and 16QAM/64QAM 448 15.4 Layer 2 Optimisation 450 15.5 Throughput Evolution with Enhanced Terminals 453 15.6 Mobile Power Consumption Reduction with Continuous

Packet Connectivity 456 15.7 Voice-over-IP (VoIP) Capacity Enhancements 458 15.8 Fiat Architecture 459 15.9 Summary 461 References 461

xiv Contents

Antti Toskala and Harri Holma 16.1 16.2 16.3 16.4

16.5 16.6 16.7

16.8

Background Multiple Access and Architecture Decisions LTE Impact on Network Architecture LTE Multiple Access 16.4.1 OFDMA Principles 16.4.2 SC-FDMA Principles LTE Physical Layer Design and Parameters LTE Protocols Performance 16.7.1 Peak Bit Rates 16.7.2 Spectral Efficiency 16.7.3 Link Budget and Coverage Summary

16 UTRAN Long-Term Evolution 463

463 464 466 467 467 470 473 475 477 477 478 480 483

References 483

17 UTRA TDD Modes 485

Antti Toskala, Harri Holma, Otto Lehtinen and Hell Väätäjä 17.1 Introduction 485

17.1.1 Time Division Duplex (TDD) 486 17.1.2 Differences in the Network-Level Architecture. 487

17.2 UTRA TDD Physical Layer 488 17.2.1 Transport and Physical Channels 489 17.2.2 Modulation and Spreading 489 17.2.3 Physical Channel Structures, Slot and Frame Format 490 17.2.4 UTRA TDD Physical Layer Procedures 495

17.3 UTRA TDD Interference Evaluation 499 17.3.1 TDD-TDD Interference 499 17.3.2 TDD and FDD Coexistence 501 17.3.3 Unlicensed TDD Operation 503 17.3.4 Conclusions on UTRA TDD Interference 503

17.4 HSDPA Operation with TDD 504 17.5 Release 7 TDD Enhancements 505 17.6 Concluding Remarks and Future Outlook on UTRA TDD 505 References 506

18 Terminal Radio-Frequency Design Challenges 507

Laurent Noel, Antti Toskala and Dominique Brunei 18.1 Introduction 507 18.2 Transmitter Chain System Design Challenges 509

18.2.1 The Adjacent Channel Leakage Ratio/Power Consumption Trade-off 509 18.2.2 Phase Discontinuity 514

Contents xv

18.3 Receiver Chain Design Challenges 515 18.3.1 UE Reference Sensitivity System Requirements 516 18.3.2 Inter-Operator Interference 523 18.3.3 Impact of RF Impairments on HSDPA System Performance 526

18.4 Multi-Mode/Band Challenges 527 18.4.1 From Mono-Mode/Mono-Band to

Multi-Mode/Multi-Band and Diversity 527 18.4.2 New Requirements due to Coexistence 527 18.4.3 Front-End Integration Strategies and Design Trends 529 18.4.4 Impact on Today 's Architectures 531

18.5 Conclusions 532 References 532

Index 535