WCDMA FOR UMTS HSPA Evolution and LTE

Fifth Edition

Edited by

Harri Holma and Antti Toskala Nokia Siemens Networks, Finland

)WILEY A John Wiley and Sons, Ltd., Publication

Contents

Preface xvii

Acknowledgements xix

Abbreviations xxi

1 Introduction 1 Harri Holma and Antti Toskala

1.1 WCDMA Early Phase 1 1.2 HSPA Introduction and Data Growth 2 1.3 HSPA Deployments Globally 4 1.4 HSPA Evolution 5 1.5 HSPA Network Product 6 1.6 HSPA Future Outlook 7

References 8

2 UMTS Services 9 Harri Holma, Martin Kristensson, Jouni Salonen, Antti Toskala and Tommi Uitto

2.1 Introduction 9 2.2 Voice 11

2.2.1 Narrowband AMR and Wideband AMR Voice Services 12 2.2.2 Circuit-Switched over HSPA 14 2.2.3 „ Push-to-Talk over Cellular (PoC) 16 2.2.4 Voice-over IP 17 2.2.5 Key Performance Indicators for Voice 17

2.3 Video Telephony 18 2.3.1 Multimedia Architecture for Circuit Switched Connections 19 2.3.2 Video Codec 20

2.4 Messaging 21 2.4.1 Short Messaging Service (SMS) 21 2.4.2 Multimedia Messaging Service (MMS) 21 2.4.3 Voice Mail and Audio Messaging 22 2.4.4 Instant Messaging 22

2.5 Mobile Email 22 2.6 Browsing 23 2.7 Application and Content Downloading 24 2.8 Streaming 26 2.9 Gaming 26

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2.10 Mobile Broadband for Laptop and Netbook Connectivity 27 2.10.1 End-to-End Security 29 2.10.2 Impact of Latency on Application Performance 29

2.11 Social Networking 30 2.12 Mobile TV 31 2.13 Location-Based Services 32

2.13.1 Cell Coverage-Based Location Calculation 33 2.13.2 Assisted GPS (A-GPS) 33

2.14 Machine-to-Machine Communications 34 2.15 Quality of Service (QoS) Differentiation 35 2.16 Maximum Air Interface Capacity 40 2.17 Terminals 44 2.18 Tariff Schemes 45

References 45

3 Introduction to WCDMA 47 Peter Muszynski and Harri Holma

3.1 Introduction 47 3.2 Summary of the Main Parameters in WCDMA 47 3.3 Spreading and Despreading 49 3.4 Multipara Radio Channels and Rake Reception 51 3.5 Power Control 55 3.6 Softer and Soft Handovers 57

References 59

4 Background and Standardization of WCDMA 61 Antti Toskala

4.1 Introduction 61 4.2 Background in Europe 61

4.2.1 Wideband CDMA 62 4.2.2 Wideband TDMA 63 4.2.3 Wideband TDMA/CDMA 63 4.2.4 OFDMA 64 4.2.5 ODMA 64 4.2.6 ETSI Selection 64

4.3 Background in Japan 64 4.4 Background in Korea 65 4.5 Background in the United States 65

4.5.1 W-CDMA N/A 65 4.5.2 UWC-136 66 4.5.3 cdma.2000 66 4.5.4 TR46.1 66 4.5.5 WP-CDMA 66

4.6 Creation of 3GPP 67 4.7 How Does 3GPP Operate? 68 4.8 Creation of 3GPP2 69 4.9 Harmonization Phase 69 4.10 IMT-2000 Process in ITU 70 4.11 Beyond 3GPP Release 99 WCDMA 70 4.12 Industry Convergence with LTE and LTE-Advanced 72

References

Contents V l l

5 Radio Access Network Architecture 75 Fabio Longoni, Atte Länsisalmi and Antti Toskala

5.1 Introduction 75 5.2 UTRAN Architecture 78

5.2.1 The Radio Network Controller (RNC) 79 5.2.2 The Node В (Base Station) 80

5.3 General Protocol Model for UTRAN Terrestrial Interfaces 80 5.3.1 General 80 5.3.2 Horizontal Layers 80 5.3.3 Vertical Planes 80

5.4 Iu, the UTRAN-CN Interface 81 5.4.1 Protocol Structure for Iu CS 82 5.4.2 Protocol Structure for Iu PS 83 5.4.3 RANAP Protocol 84 5.4.4 Iu User Plane Protocol 85 5.4.5 Protocol Structure oflu ВС, and the Service Area Broadcast Protocol 86

5.5 UTRAN Internal Interfaces 87 5.5.1 RNC-RNC Interface (Iur Interface) and the RNSAP Signaling 87 5.5.2 RNC-Node В Interface and the NBAP Signaling 89

5.6 UTRAN Enhancements and Evolution 91 5.6.1 IP Transport in UTRAN 91 5.6.2 Iu Flex 92 5.6.3 Stand-Alone SMLC and Iupc Interface 92 5.6.4 Interworking between GERAN and UTRAN, and the lur-g Interface 92 5.6.5 IP-Based RAN Architecture 92

5.7 UMTS CN Architecture and Evolution 93 5.7. / Release 99 CN Elements 93 5.7.2 Release 5 CN and IP Multimedia Subsystem 94 References 95

6 Physical Layer 97 Antti Toskala

6.1 Introduction 97 6.2 Transport Channels and Their Mapping to the Physical Channels 98

6.2.1 Dedicated Transport Channel 99 6.2.2 Common Transport Channels 99 6.2.3 Mapping of Transport Channels onto the Physical Channels 101 6.2.4 Frame Structure of Transport Channels 102

6.3 Spreading and Modulation 102 6.3.1 Scrambling 102 6.3.2 Channelization Codes 102 6.3.3 Uplink Spreading and Modulation 104 6.3.4 Downlink Spreading and Modulation 107 6.3.5 Transmitter Characteristics 110

6.4 User Data Transmission 110 6.4.1 Uplink Dedicated Channel 111 6.4.2 Uplink Multiplexing 113 6.4.3 User Data Transmission with the Random Access Channel 115 6.4.4 Uplink Common Packet Channel 115 6.4.5 Downlink Dedicated Channel 116 6.4.6 Downlink Multiplexing 117

viii Contents

6.4.7 Downlink Shared Channel 119 6.4.8 Forward Access Channel for User Data Transmission 119 6.4.9 Channel Coding for User Data 120 6.4.10 Coding for TFCI Information 121

6.5 Signaling 121 6.5.1 Common Pilot Channel (CPICH) 121 6.5.2 Synchronization Channel (SCH) 122 6.5.3 Primary Common Control Physical Channel (Primary CCPCH) 122 6.5.4 Secondary Common Control Physical Channel (Secondary CCPCH) 123 6.5.5 Random Access Channel (RACH) for Signaling Transmission 124 6.5.6 Acquisition Indicator Channel (AICH) 124 6.5.7 Paging Indicator Channel (PICH) 125

6.6 Physical Layer Procedures 126 6.6.1 Fast Closed-Loop Power Control Procedure 126 6.6.2 Open-Loop Power Control 126 6.6.3 Paging Procedure 127 6.6.4 RACH Procedure 127 6.6.5 Cell Search Procedure 128 6.6.6 Transmit Diversity Procedure 129 6.6.7 Handover Measurements Procedure 130 6.6.8 Compressed Mode Measurement Procedure 132 6.6.9 Other Measurements 133 6.6.10 Operation with Adaptive Antennas 134 6.6.11 Site Selection Diversity Transmission , 135

6.7 Terminal Radio Access Capabilities 136 6.8 Conclusion 138

References 139

7 Radio Interface Protocols 141 Jukka Vialin and Antti Toskala

7.1 Introduction 141 7.2 Protocol Architecture 142 7.3 The Medium Access Control Protocol 143

7.3.1 MAC Layer Architecture 143 7.3.2 MAC Functions 144 7.3.3 Logical Channels 145 7.3.4 Mapping between Logical Channels and Transport Channels 145 7.3.5 Example Data Flow Through the MAC Layer 146

7.4 The Radio Link Control Protocol 147 7.4.1 RLC Layer Architecture 147 7.4.2 RLC Functions 148 7.4.3 Example Data Flow Through the RLC Layer 149

7.5 The Packet Data Convergence Protocol 150 7.5.1 PDCP Layer Architecture 150 7.5.2 PDCP Functions 151

7.6 The Broadcast/Multicast Control Protocol 151 7.6.1 BMC Layer Architecture 152 7.6.2 BMC Functions 152

7.7 Multimedia Broadcast Multicast Service 152 7.8 The Radio Resource Control Protocol 153

Contents ix

7.8.1 RRC Layer Logical Architecture 153 7.8.2 RRC Service States 154 7.8.3 RRC Functions and Signaling Procedures 157

7.9 Early UE Handling Principles 170 7.10 Improvements for Call Set-up Time Reduction 170

References 171

8 Radio Network Planning 173 Harri Holma, Zhi-Chun Honkasalo, Seppo Hämalainen, Jaana Laiho, Kari Sipilä and Achim Wacker

8.1 Introduction 173 8.2 Dimensioning 174

8.2.1 Radio Link Budgets 175 8.2.2 Load Factors 178 8.2.3 Capacity Upgrade Paths 188 8.2.4 Capacity per km2 189 8.2.5 Soft Capacity 190 8.2.6 Network Sharing 193

8.3 Capacity and Coverage Planning and Optimization 194 8.3.1 Iterative Capacity and Coverage Prediction 194 8.3.2 Planning Tool 194 8.3.3 Case Study 197 8.3.4 Network Optimization 199

8.4 GSM Co-planning 202 8.5 Inter-Operator Interference 204

8.5.1 Introduction 204 8.5.2 Uplink Versus Downlink Effects 206 8.5.3 Local Downlink Interference 206 8.5.4 Average Downlink Interference 207 8.5.5 Path Loss Measurements 209 8.5.6 Solutions to Avoid Adjacent Channel Interference 209

8.6 WCDMA Frequency Variants 210 8.7 UMTS Refarming to GSM Band 211

8.7.1 Coverage of UMTS900 212 8.8 Interference between GSM and UMTS v 214 8.9 Remaining GSM Voice Capacity 215 8.10 Shared Site Solutions with GSM and UMTS 216 8.11 Interworking of UMTS900 and UMTS2100 217

References 218

9 Radio Resource Management 219 Harri Holma, Klaus Pedersen, Jussi Reunanen, Janne Laakso and Oscar Salonaho

9.1 Introduction 219 9.2 Power Control 220

9.2.1 Fast Power Control 220 9.2.2 Outer Loop Power Control 226

9.3 Handovers 232 9.3.1 Intra-Frequency Handovers 232 9.3.2 Inter-System Handovers between WCDMA and GSM 241

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9.3.3 Inter-Frequency Handovers within WCDMA 244 9.3.4 Summary of Handovers 245

9.4 Measurement of Air Interface Load 246 9.4.1 Uplink Load 246 9.4.2 Downlink Load 249

9.5 Admission Control 250 9.5.1 Admission Control Principle 250 9.5.2 Wideband Power-Based Admission Control Strategy 250 9.5.3 Throughput-Based Admission Control Strategy 252

9.6 Load Control (Congestion Control) 252 References 253

10 Packet Scheduling 255 Jeroen Wigard, Harri Holma, Renaud Сипу, Nina Madsen, Frank Frederiksen and Martin Kristensson

10.1 Introduction 255 10.2 Transmission Control Protocol (TCP) 255 10.3 Round Trip Time 261 10.4 User-Specific Packet Scheduling 264

10.4.1 Common Channels (RACH/FACH) 264 10.4.2 Dedicated Channel (DCH) 265 10.4.3 Downlink Shared Channel (DSCH) 267 10.4.4 Uplink Common Packet Channel (CPCH) 267 10.4.5 Selection of Transport Channel 268 10.4.6 Paging Channel States 270

10.5 Cell-Specific Packet Scheduling 272 10.5.1 Priorities 274 10.5.2 Scheduling Algorithms 21A 10.5.3 Packet Scheduler in Soft Handover 275

10.6 Packet Data System Performance 275 10.6.1 Link Level Performance 275 10.6.2 System Level Performance 277

10.7 Packet Data Application Performance 280 10.7.1 Introduction to Application Performance 280 10.7.2 Person-to-Per son Applications 281 10.7.3 Content-to-Person Applications 284 10.7.4 Business Connectivity 287 10.7.5 Conclusions on Application Performance 289 References 291

11 Physical Layer Performance 293 Harri Holma, Jussi Reunanen, Leo Chan, Preben Mogensen, Klaus Pedersen, Kari Horneman, Jaakko Vihriälä and Markku Juntti

11.1 Introduction 293 11.2 Cell Coverage 293

11.2.1 Uplink Coverage 295 11.2.2 Downlink Coverage 304

11.3 Downlink Cell Capacity 304 11.3.1 Downlink Orthogonal Codes 305

Contents

11.3.2 Downlink Transmit Diversity 310 11.3.3 Downlink Voice Capacity 312

11.4 Capacity Trials 313 11.4.1 Single Cell Capacity Trials 313 11.4.2 Multicell Capacity Trials 327 11.4.3 Summary 328

11.5 3GPP Performance Requirements 330 11.5.1 Eb/No Performance 330 11.5.2 RF Noise Figure 333

11.6 Performance Enhancements 334 11.6.1 Smart Antenna Solutions 334 11.6.2 Multiuser Detection 340 References 349

12 High-Speed Downlink Packet Access 353 Antti Toskala, Harri Holma, Troels Kolding, Preben Mogensen, Klaus Pedersen and Jussi Reunanen

12.1 Introduction 353 12.2 Release 99 WCDMA Downlink Packet Data Capabilities 353 12.3 The HSDPA Concept 354 12.4 HSDPA Impact on Radio Access Network Architecture 356 12.5 Release 4 HSDPA Feasibility Study Phase 357 12.6 HSDPA Physical Layer Structure 357

12.6.1 High-Speed Downlink Shared Channel (HS-DSCH) 357 12.6.2 High-Speed Shared Control Channel (HS-SCCH) 361 12.6.3 Uplink High-Speed Dedicated Physical Control Channel (HS-DPCCH) 362 12.6.4 HSDPA Physical Layer Operation Procedure 363

12.7 HSDPA Terminal Capability and Achievable Data Rates 365 12.8 Mobility with HSDPA 366

12.8.1 Measurement Event for Best Serving HS-DSCH Cell 367 12.8.2 Intra-Node В HS-DSCH to HS-DSCH Handover 367 12.8.3 Inter-Node-Node В HS-DSCH to HS-DSCH Handover 368 12.8.4 HS-DSCH to DCH Handover 369

12.9 HSDPA Performance 370 ; 12.9.1 Factors Governing Performance 371

12.9.2 Spectral Efficiency, Code Efficiency and Dynamic Range 371 12.9.3 User Scheduling, Cell Throughput and Coverage 374 12.9.4 HSDPA Network Performance with Mixed Non-HSDPA and HSDPA Terminals 378

12.10 HSPA Link Budget 380 12.11 HSDPA Iub Dimensioning 382 12.12 HSPA Round Trip Time 384 12.13 Terminal Receiver Aspects 384 12.14 Evolution in Release 6 386 12.15 Conclusion 388

References 388

13 High-Speed Uplink Packet Access 391 Antti Toskala, Harri Holma and Karri Ranta-aho

13.1 Introduction 391 13.2 Release 99 WCDMA Downlink Packet Data Capabilities 391

xü Contents

13.3 The HSUPA Concept 392 13.4 HSUPA Impact on Radio Access Network Architecture 393

13.4.1 HSUPA Iub Operation 394 13.5 HSUPA Feasibility Study Phase 395 13.6 HSUPA Physical Layer Structure 395 13.7 E-DCH and Related Control Channels 396

13.7.1 E-DPDCH 396 13.7.2 E-DPCCH 398 13.7.3 E-HICH 399 13.7.4 E-RGCH 399 13.7.5 E-AGCH 399

13.8 HSUPA Physical Layer Operation Procedure 400 13.8.1 HSUPA and HSDPA Simultaneous Operation 401

13.9 HSUPA Terminal Capability 402 13.10 HSUPA Performance 403

13.10.1 Increased Data Rates 404 13.10.2 Physical Layer Retransmission Combining 404 13.10.3 Node B-Based Scheduling 404 13.10.4 HSUPA Link Budget Impact 406 13.10.5 Delay and QoS 406 13.10.6 Overall Capacity 407

13.11 Conclusion 408 References 408

14 Multimedia Broadcast Multicast Service (MBMS) 409 Harri Holma, Martin Kristensson and Jorma Kaikkonen

14.1 Introduction 409 14.2 MBMS Impact on Network Architecture 412 14.3 High Level MBMS Procedures 414 14.4 MBMS Radio Interface Channel Structure 415

14.4.1 Logical Channels 415 14.4.2 Transport Channels 416 14.4.3 Physical Channels 416 14.4.4 Point-to-Point and Point-to-Multipoint Connections 416 14.4.5 Example Radio Interface Procedure during MBMS Session Start 417

14.5 MBMS Terminal Capability 418 14.5.1 Selective Combining and Soft Combining 418

14.6 MBMS Performance 419 14.6.1 3GPP Performance Requirements 419 14.6.2 Simulated MBMS Cell Capacity 421 14.6.3 Iub Transport Capacity 423

14.7 MBMS Deployment and Use Cases 424 14.8 Benchmarking of MBMS with DVB-H 425 14.9 3GPP MBMS Evolution in Release 7 426 14.10 Why Did MBMS Fail? 426 14.11 Integrated Mobile Broadcast (1MB) in Release 8 427 14.12 Conclusion 428

References 429

xiii

15 HSPA Evolution 431 Harri Holma, Karri Ranta-aho and Antti Toskala

15.1 Introduction 431 15.2 Discontinuous Transmission and Reception (DTX/DRX) 431 15.3 Circuit Switched Voice on HSPA 433 15.4 Enhanced EACH and Enhanced RACH 437 15.5 Latency , 439 15.6 Fast Dormancy 441 15.7 Downlink 64QAM 442 15.8 Downlink MIMO 444 15.9 Transmit Diversity (TxAA) 447 15.10 Uplink 16QAM 448 15.11 UE Categories 449 15.12 Layer 2 Optimization 450 15.13 Architecture Evolution 451 15.14 Conclusion 452

References 453

16 HSPA Multicarrier Evolution 455 Harri Holma, Karri Ranta-aho and Antti Toskala

16.1 Introduction 455 16.2 Dual Cell HSDPA in Release 8 459 16.3 Dual Cell HSUPA in Release 9 461 16.4 Dual Cell HSDPA with MIMO in Release 9 462 16.5 Dual Band HSDPA in Release 9 463 16.6 Three and Four Carrier HSDPA in Release 10 464 16.7 UE Categories 465 16.8 Conclusion 465

References 466

17 UTRAN Long-Term Evolution 467 Antti Toskala and Harri Holma

17.1 Introduction 467 17.2 Multiple Access and Architecture Decisions 468 17.3 LTE Impact on Network Architecture 470 17.4 LTE Multiple Access 471

17.4.1 OFDMA Principles 471 17.4.2 SC-FDMA Principles 474

17.5 LTE Physical Layer Design and Parameters 476 17.6 LTE Physical Layer Procedures 479

17.6.1 Random Access 479 17.6.2 Data Reception and Transmission 479 17.6.3 CQI Procedure 481 17.6.4 Downlink Transmission Modes 482 17.6.5 Uplink Transmission Modes 483 17.6.6 LTE Physical Layer Compared to WCDMA 483

17.7 LTE Protocols 483

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17.8 Performance 487 17.8.1 Peak Bit Rates 487 17.8.2 Spectral Efficiency 487 17.8.3 Link Budget and Coverage 490

17.9 LTE Device Categories 492 17.10 LTE-Advanced Outlook 492 17.11 Conclusion 494

References 494

18 TD-SCDMA 495 Antti Toskala and Harri Holma

18.1 Introduction 495 18.1.1 TDD 495

18.2 Differences in the Network-Level Architecture 497 18.3 TD-SCDMA Physical Layer 497

18.3.1 Transport and Physical Channels 498 18.3.2 Modulation and Spreading 501 18.3.3 Physical Channel Structures, Slot and Frame Format 501

18.4 TD-SCDMA Data Rates 504 18.5 TD-SCDMA Physical Layer Procedures 505

18.5.1 Power Control 505 18.5.2 TD-SCDMA Receiver 505 18.5.3 Uplink Synchronization 506 18.5.4 Dynamic Channel Allocation 506 18.5.5 Summary of the TD-SCDMA Physical Layer Operation 507

18.6 TD-SCDMA Interference and Co-existence Considerations 508 18.6.1 TDD-TDD Interference 508 18.6.2 TDD and FDD Co-existence 509 18.6.3 Conclusions on TDD and TD-SCDMA Interference 511

18.7 Conclusion and Future Outlook on TD-SCDMA 512 References - 512

19 Home Node В and Femtocells 515 Troels Kolding, Hanns-Jürgen Schwarzbauer, Johanna Pekonen, Karol Drazynski, Jacek Gora, Maciej Pakulski, Patryk Pisowacki, Harri Holma and Antti Toskala

19.1 Introduction 515 19.2 Home Node В Specification Work 517 19.3 Technical Challenges of Uncoordinated Mass Deployment 518 19.4 Home Node В Architecture 519

19.4.1 Home Node В Protocols and Procedures for Network Interfaces 520 19.4.2 Femtocell Indication on a Terminal Display 522

19.5 Closed Subscriber Group 523 19.5.1 Closed Subscriber Group Management 523 19.5.2 Closed Subscriber Group Access Control 523

19.6 Home Node B-Related Mobility 524 19.6.1 Idle Mode Mobility 524 19.6.2 Outbound Relocations 525 19.6.3 Inbound Relocations 525 19.6.4 Relocations between HNB Cells 526 19.6.5 Paging Optimization 527

Contents XV

19.6.6 Home Node B to Macro Handover 527 19.6.7 Macro to Home Node В Handover 527 19.6.8 Home Node В Cell Identification Ambiguity 528 19.6.9 Summary of Home Node B-Related Mobility 529

19.7 Home Node В Deployment and Interference Mitigation 529 19.7.1 Home Node В Radio Frequency Aspects 529 19.7.2 Recommended 3G Home Node В Measurements 530 19.7.3 Home Node В Interference Considerations 532 19.7.4 Adaptive Control of Home Node В Transmit Powers 534 19.7.5 Femtocell Interference Simulations 536 19.7.6 Network Planning Aspects 540 19.7.7 Summary of Home Node В Frequency Usage 544

19.8 Home Node В Evolution 545 19.9 Conclusion 545

References 546

20 Terminal RF and Baseband Design Challenges 547 Laurent Noel, Dominique Brunei, Antti Toskala and Harri Holma

20.1 Introduction 547 20.2 Transmitter Chain System Design Challenges 549

20.2.1 The Adjacent Channel Leakage Ratio/Power Consumption Trade-Off 549 20.2.2 Phase Discontinuity 554

20.3 Receiver Chain Design Challenges 555 20.3.1 UE Reference Sensitivity System Requirements 556 20.3.2 Inter-Operator Interference 563 20.3.3 Impact ofRF Impairments on HSDPA System Performance 566

20.4 Improving Talk-Time with DTX/DRX 567 20.4.1 Talk-Time Benchmark of Recent WCDMA Handsets 568 20.4.2 Trend in RF-IC Power Consumption and Model 570 20.4.3 Power Amplifier Control Schemes and Power Consumption Model 573 20.4.4 UE Power Consumption Models 577 20.4.5 Talk-Time Improvements in Circuit Switched Voice over HSPA with DTX/DRX 579

20.5 Multi-Mode/Band Challenges 582 20.5.1 From Mono-Mode/Mono-Band to Multi-Mode/Multi-Band and Diversity 582 20.5.2 New Requirements Due to Co-existence 584 20.5.3 Front End Integration Strategies and Design Trends 588 20.5.4 Impact on Today's Architectures 588

20.6 Conclusion 590 References 590

Index 593