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UMTS The Fundamentals

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UMTS is a socalled Third Generation (3G) mobile radio system and is seen as the successor to Second Generation (2G) systems such as GSM and to evolved 2G systems such as the General Packet Radio Service (GPRS). It has a completely different air inter-face that is based on Code Division Multiple Access (CDMA), whereas most of the 2G and evolved 2G systems in use in most parts of the world use ..


The Fundamentals





 Preface IX

 1 Digital Data Transmission 1

 1.1 Digital modulation 1

 1.2 QPSK modulation 2

 1.3 Spectral characteristics of modulated signals 4

 1.4 Noisy transmission 7

 2 Cellular Mobile Radio Networks 11

 2.1 First generation mobile radio systems 11

 2.2 The cellular concept 12

 2.3 Frequency reuse and cluster formation 13

 2.4 Propagation attenuation 15

 2.5 Interference and co-channel interference 16

 2.6 Range, interference and capacity limited systems 18

 2.7 Handover and location update 21

 3 Standardisation and Spectrum 23

 3.1 From 2G to 3G 23

 3.2 The IMT-2000 family 8

 3.3 Standardisation of UMTS 33

 3.4 Timetable for the introduction of UMTS 37

 3.5 Release 99, Release 4 and Release 5

 3.6 Frequency spectrum for UMTS 42

 3.7 Questions 45

 4 UMTS System Architecture 47

 4.1 Basic system architecture 47

 4.2 Functional units in UMTS 8

 4.3 Types of switching 50

 4.4 Architecture of the access plane

 4.4.1 Mobile Services Switching Centre (MSC)

 4.4.2 Home Location Register (HLR)

 4.4.3 Visitor Location Register (VLR)

 4.4.4 Serving GPRS Support Node (SGSN)

 4.4.5 Gateway GPRS Support Node (GGSN)

 4.4.6 GPRS Register (GR) VI Contents

 4.4.7 Radio Network Controller (RNC)

 4.4.8 Node B

 4.4.9 User Equipment (UE) 61

 4.5 Handover in UMTS

 4.5.1 The role of RNC in a handover

 4.5.2 Handover types in UMTS 66

 4.6 Location management 68

 4.7 Circuit-switched and packet-switched connections 71

 4.8 Protocols in the fixed network 75

 4.9 Protocols at the Iu-interface

 4.9.1 Radio Access Network Application Part (RANAP)...

 4.9.2 Radio Network Subsystem Application Part (RNSAP).

 4.9.3 Protocol stack for circuit-switched services

 4.9.4 Protocol stack for packet-switched services 80

 4.10 Pure IP core network architecture 82

 4.10.1 Session Initiation Protocol (SIP) 84

 4.10.2 IP core network - pros and cons 6

 4.11 Questions 89

 5 The Protocol Stack at the Radio Interface 91

 5.1 The ISO/OSI reference model 91

 5.2 The UTRA protocol stack 4

 5.3 The physical layer 95

 5.4 The MAC layer 6

 5.5 The RLC layer 7

 5.6 The BMC layer 99

 5.7 The PDCP layer 100

 5.8 The RRC layer

 5.9 Transport channels 102

 5.10 Transport formats 3

 5.11 Logical channels 106

 5.12 Questions 108

 6 Data Transmission at the UMTS Radio Interface 111

 6.1 The UTRA radio interface 111

 6.2 Duplex procedures 112

 6.3 The frequency-division duplex tech-nique 112

 6.4 The time-division duplex technique 113

 6.5 Multiple-access procedures 114

 6.6 Direct-sequence CDMA 118

 6.7 Spectral characteristics of CDMA signals 119

 6.8 Reception of CDMA signals 120

 9 Processing gain 123

 6.10 A CDMA transmission system 5 1 Spreading codes

 6.12 Orthogonal spreading codes in UMTS 128

 6.13 Modulation in UMTS 131

 6.14 CDMA receivers 2

 6.15 The nearfar effect 134

 6.16 Questions 136

 7 The Physical Layer at the Radio Interface 139

 7.1 The physical layer in the UTRA protocol stack 139

 7.2 Mapping transport channels to physical channels 139

 7.3 Multiple access in UMTS

 7.3.1 Multiple access in FDD mode

 7.3.2 Multiple access in TDD mode

 7.3.3 Multiple access in the TDD mode low chip rate option. 145

 7.4 Power control

 7.4.1 Power control in FDD mode

 7.4.2 Power control in TDD mode 149

 7.5 Channel coding, multiplexing and interleaving

 7.5.1 TDD mode and FDD uplink

 7.5.2 FDD down-link

 7.5.3 Summary 156

 7.6 Mapping of 12.2 kbit/s voice transport channel 156

 7.7 Questions 158

 8 Physical Channels and Procedures at the Radio Interface 159

 8.1 Physical channels in the UTRA protocol stack 159

 8.2 Physical channels in FDD

 8.2.1 Dedicated transmission on the FDD uplink

 8.2.2 Dedicated transmission on the FDD downlink

 8.2.3 Compressed mode

 8.2.4 Random access procedure in FDD

 8.2.5 Cell search procedure in FDD 172

 8.3 Physical channels in TDD mode 173

 8.4 Physical chan-nels in TDD mode low chip rate option 178

 8.5 Mapping of transport channels to physical channels 180

 8.6 Questions 186

 9 Cellular CDMA Networks 187

 9.1 Interference 187

 9.2 Cell breathing

 9.3 Traffic capacity in cellular CDMA networks 191

 9.4 Soft handover 194

 9.5 Questions

 10 Service Architectures and Services in UMTS 201

 10.1 Virtual Home Environment (VHE) 201

 10.2 MExE 206

 10.3 SIM Application Toolkit (SAT) 208

 10.4 Open Service Architecture (OSA) 9

 10.5 Services and mobile applications 211

 10.6 The voice service in UMTS 216

 10.7 Questions 217

 11 The Next Generation of Mobile Radio Systems 219

 11.1 Cordless, wireless and mobile radio systems 220

 11.2 Asymmetric traffic in mobile radio systems 225

 11.3 Spectrum issues 226

 11.4 Mobile radio and television fre-quencies 229

 11.5 Electromagnetic compatibility 233

 11.6 UMTS traffic capacity 234

 11.7 Developments with W-LANs 237

 11.8 W-LANs in integrated radio networks 243

 11.9 The wireless media system 246

 11.10 Multi-hop and Ad-Hoc Communication 254

 11.11Conclusion 257

 Answers to questions 261

 List of UMTS Release 4 specifications 279

 Acronyms 293 Index




 UMTS is a socalled Third Generation (3G) mobile radio system and is seen as the successor to Second Generation (2G) systems such as GSM and to evolved 2G systems such as the General Packet Radio Service (GPRS). It has a completely different air inter-face that is based on Code Division Multiple Access (CDMA), whereas most of the 2G and evolved 2G systems in use in most parts of the world use Time Division Multiple Access (TDMA). The expert knowledge on the functioning and behaviour of 2G networks can only be of limited use in 3G systems.


 As a consequence, people working in UMTS develop-ment, marketing, operation and teaching have to update the knowl edge to be able to fulfil their duties. The introduction of UMTS in the field as the next generation technology re-quires knowledge of its concepts, archi tecture, procedures and techniques as a prerequisite for all those involved in the introduction of UMTS in one way or another.


 This book presents the valuable experience gained by the authors from teach ing university courses on UMTS graduate students and teaching continuing education courses to engineers and man-agement personnel in industrial com panies. The material contained is based on the au-thors' research work on UMTS and the implementation and traffic performance evaluation of the complete UMTS protocol stack [35]. In presenting the course in form of a book we are acceding to the requests of companies and professional teaching organizations to make the material available to the public.


 The material has not been selected with the intention of providing developers of UMTS with the detailed knowledge necessary to design and im-prove a real system but to enable those working with UMTS to be able to understand the relevant concepts and their impact on the roll-out, operation, usability and capabilities of the system. The comprehensive introduction to UMTS is aimed at teaching the basics, functions and ways of operation of UMTS to those working in development departments and to operators of UMTS in an easy-to-follow manner. Since it is planned to introduce two versions of UMTS, namely one frequency and one time division duplexing based sys-tem, both are covered here. To ease the study of the material and to allow for a common basis of un derstanding, we open the book with two chapters on the basic functioning of cellular mobile radio systems and digital transmission of information via radio channels.


 After that, chapters on the transmission technique and the proto cols of the UMTS air in-terface follow. Later sections of the book are devoted to the system architecture, the various network elements and the protocols used in the UMTS fixed core network. The keys to the commercial success of UMTS are new services that are not available with the existing mobile radio systems. This is why we introduce future service architectures and services for UMTS that have already been exper-imented with in the GPRS. Further, we describe the development paths to evolved 3G sys-tems and as well as discussing spectrum availability, we evaluate the suitability of Wireless Broadband Systems based on Local Area Networks (LAN) to supplement 3G mobile radio systems. UMTS: The Fundamentals is primarily aimed as a course book for self-study and as background material for course teaching. Beyond what is available from the textbook we offer additional teaching material that can be ordered using the.


 Based on their knowledge of GSM, GPRS and UMTS, the authors have started a consulting company called P3 Solutions, which offers courses, consulting services and testing in the field of 2G and 3G (http://www.p3-solutions.com). Our warm thanks go to Ingo Forkel, PhD student at the chair for Communi cation Networks at Aachen University of Technology (RWTH) for his valuable input and his assistance in the completion of the book.


 The text has been gradually expanded from a first version pub-lished in German. Our thanks go also to Hedwig Jourdan von Schmoeger for the careful translation into English. Thanks are also due to Mark Hammond of Wiley & Sons for his excellent cooperation during the preparation of this book.


 Aachen, March 2003 Bernhard Walke,

 Peter Seidenberg, Marc Peter Althoff


 1 Digital Data Transmission


 This course unit briefly summarizes some of the basic con-cepts of digital mes sage transmission that are important for understanding data transmis-sion in UMTS. The particular topics covered are digital modulation, the spectral character-istics of signals, the problematic aspects of error-prone transmission and the throughput achievable in digital wireless communication systems.


 1.1 Digital modulation

 Digital Modulation information source information sink receiver Digital modulation transforms a character sequence so that it can be transmitted over a channel and be reconstructed again in the receiver.

 Figure 1.1: Digital modulation A message transmission system generally consists of a message source, a trans mitter, a channel, a receiver and an information sink.

 Digital modulation is the modulation of messages represented by characters that takes place in the transmitter (see Figure 1.1). This means that by digital modulation a charac ter sequence supplied by an information source is transformed so that it can be transmitted over a channel and be reconstructed again in the receiver.

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