UMTS

Preface xiii

Chapter 1. Evolution of Cellular Mobile Systems 1

1.1. Multiple-access techniques used in mobile telephony 2

1.1.1. Frequency division duplex (FDD) and time division duplex (TDD) 2

1.1.2. Frequency division multiple access (FDMA) 3

1.1.3. Time division multiple access (TDMA) 3

1.1.4. Code division multiple access (CDMA) 3

1.1.5. Space division multiple access (SDMA) 5

1.1.6. Orthogonal frequency division multiplexing (OFDM) 6

1.2. Evolution from 1G to 2.5G 8

1.2.1. From 1G to 2G 8

1.2.2. Enhancements to 2G radio technologies: 2.5G 8

1.3. 3G systems in IMT-2000 framework 11

1.3.1. IMT-2000 radio interfaces 12

1.3.2. Core network approaches in 3G systems 18

1.4. Standardization process in 3G systems 19

1.5. Worldwide spectrum allocation for IMT-2000 systems 20

1.5.1. WARC-92 20

1.5.2. WARC-2000 22

Chapter 2. Network Evolution from GSM to UMTS 25

2.1. Introduction 25

2.2. UMTS definition and history 25

2.3. Overall description of a UMTS network architecture 27

2.4. Network architecture evolution from GSM to UMTS 28

2.4.1. GSM network architecture of Phases 1 and 2 28

2.4.2. GSM network architecture of Phase 2+ 29

2.4.3. Architecture of UMTS networks: evolutionary revolution of GSM 31

2.5. Bearer services offered by UMTS networks 32

2.6. UMTS protocol architecture based on “stratum” concept 33

2.6.1. Access stratum 34

2.6.2. Non-access stratum 35

Chapter 3. Services in UMTS 37

3.1. Introduction 37

3.2. UMTS mobile terminals 38

3.2.1. UE functional description 38

3.2.2. UE maximum output power 41

3.2.3. Dual-mode GSM/UMTS terminals 42

3.2.4. UE radio access capability 43

3.3. Services offered by UMTS networks 44

3.3.1. Standard UMTS telecommunication services 44

3.3.2. UMTS bearer services 45

3.3.3. Teleservices 49

3.3.4. Supplementary services 52

3.3.5. Operator specific services: service capabilities 54

3.3.6. The virtual home environment 55

3.4. Traffic classes of UMTS bearer services 56

3.4.1. Conversational services 57

3.4.2. Streaming services 57

3.4.3. Interactive services 57

3.4.4. Background services 58

3.5. Service continuity across GSM and UMTS networks 58

Chapter 4. UMTS Core Network 61

4.1. Introduction 61

4.2. UMTS core network architecture 61

4.2.1. Main features of UMTS core network based on Release 99 62

4.2.2. Circuit-switched and packet-switched domains 63

4.3. Network elements and protocols of the CS and PS domains 65

4.3.1. Network elements of the CS domain 65

4.3.2. Protocol architecture in the CS domain 66

4.3.3. Network elements of the PS domain 71

4.3.4. Protocol architecture in the PS domain 72

4.3.5. Integrated UMTS core network 80

4.4. Network elements not included in UMTS reference architecture 81

4.5. Interoperability between UMTS and GSM core networks 82

Chapter 5. Spread Spectrum and WCDMA 85

5.1. Introduction 85

5.2. Spread spectrum principles 85

5.2.1. Processing gain 87

5.2.2. Advantages of spread spectrum 87

5.3. Direct sequence CDMA 88

5.4. Multiple access based on spread spectrum 90

5.5. Maximum capacity of CDMA 91

5.5.1. Effect of background noise and interference 92

5.5.2. Antenna sectorization 93

5.5.3. Voice activity detection 93

5.6. Spreading code sequences 94

5.6.1. Orthogonal code sequences 95

5.6.2. Pseudo-noise code sequences: Gold codes 96

5.6.3. Spreading sequences used in UTRA 98

5.7. Principles of wideband code division multiple access 99

5.7.1. Effects of the propagation channel 100

5.7.2. Techniques used in WCDMA for propagation impairment mitigation 102

Chapter 6. UTRAN Access Network 113

6.1. Introduction 113

6.2. UTRAN architecture 113

6.2.1. The radio network sub-system (RNS) 115

6.2.2. Handling of the mobility in the UTRAN 119

6.2.3. Summary of functions provided by the UTRAN 120

6.3. General model of protocols used in UTRAN interfaces 121

6.3.1. Horizontal layers 122

6.3.2. Vertical planes 122

6.3.3. Control plane of the transport network 124

6.4. Use of ATM in the UTRAN network transport layer 125

6.4.1. ATM cell format 125

6.4.2. ATM and virtual connections 126

6.4.3. ATM reference model 127

6.5. Protocols in the Iu interface 128

6.5.1. Protocol architecture in Iu-CS and Iu-PS interfaces 128

6.5.2. RANAP 132

6.6. Protocols in internal UTRAN interfaces 134

6.6.1. Iur interface (RNC-RNC) 134

6.6.2. Iub interface (RNC-Node B) 137

6.7. Data exchange in the UTRAN: example of call establishment 139

6.8. Summary of the UTRAN protocol stack 141

Chapter 7. UTRA Radio Protocols 145

7.1. Introduction 145

7.2. Channel typology and description 146

7.2.1. Logical channels 147

7.2.2. Transport channels 147

7.2.3. Physical channels 151

7.3. Physical layer 152

7.3.1. Physical layer functions 153

7.3.2. Mapping of transport channels onto physical channels 154

7.4. MAC 156

7.4.1. Main functions of MAC 157

7.4.2. Mapping of logical channels onto transport channels 157

7.4.3. MAC PDU 158

7.5. RLC 160

7.5.1. Main functions of RLC 161

7.5.2. RLC PDU 162

7.5.3. RLC transmission and reception model 165

7.6. PDCP 166

7.7. BMC 169

7.8. RRC 170

7.8.1. Handling of the RRC connection 170

7.8.2. Handling of RRC service states 171

7.8.3. System information broadcast 173

7.8.4. Handling of the paging 175

7.8.5. Cell selection and reselection 176

7.8.6. UTRAN mobility handling 176

7.8.7. Radio bearer management 179

7.8.8. Measurement control 182

7.8.9. Ciphering and integrity 183

7.8.10. Outer loop power control 185

7.8.11. Protocol layers termination in the UTRAN 185

Chapter 8. Call and Mobility Management 187

8.1. Introduction 187

8.2. PLMN selection 188

8.2.1. Automatic PLMN selection mode 190

8.2.2. Manual PLMN selection mode 190

8.2.3. PLMN reselection 191

8.2.4. Forbidden PLMNs 191

8.3. Principle of mobility management in UMTS 192

8.3.1. Location areas 193

8.3.2. Service states in the core network and the UTRAN 195

8.4. Network access control 195

8.4.1. Allocation of temporary identities 195

8.4.2. UE identification procedure 196

8.4.3. Ciphering and integrity protection activation 197

8.4.4. Authentication 198

8.5. Network registration 201

8.5.1. IMSI attach procedure 201

8.5.2. GPRS attach procedure 202

8.6. UE location updating procedures 205

8.6.1. Location updating procedure 205

8.6.2. Routing area updating procedure 207

8.6.3. SRNS relocation 209

8.6.4. Detach procedures 215

8.7. Call establishment 215

8.7.1. Circuit call 215

8.7.2. Packet call 217

8.8. Intersystem change and handover between GSM and UMTS networks 220

8.8.1. Intersystem handover from UMTS to GSM during a CS connection 220

8.8.2. Intersystem handover from GSM to UMTS during a CS connection 222

8.8.3. Intersystem change from UMTS to GPRS during a PS session 223

8.8.4. Intersystem change from GPRS to UMTS during a PS session 223

Chapter 9. UTRA/FDD Transmission Chain 227

9.1. Introduction 227

9.2. Operations applied to transport channels 228

9.2.1. Multiplexing and channel coding in the uplink 228

9.2.2. Multiplexing and channel coding in the downlink 236

9.3. Operations applied to physical channels 238

9.3.1. Characteristics of physical channels in UTRA/FDD 238

9.3.2. Channelization codes 239

9.3.3. Scrambling codes 241

9.3.4. UTRA/WCDMA transmitter 244

9.4. Spreading and modulation of dedicated physical channels 248

9.4.1. Uplink dedicated channels 248

9.4.2. Downlink dedicated channel 255

9.4.3. Time difference between uplink and downlink DPCHs 260

9.5. Spreading and modulation of common physical channels 261

9.5.1. The Physical Random Access Channel (PRACH) 261

9.5.2. The Physical Common Packet Channel (PCPCH) 262

9.5.3. The Physical Downlink Shared Channel (PDSCH) 263

9.5.4. The Synchronization Channel (SCH) 264

9.5.5. The Common Pilot Channel (CPICH) 265

9.5.6. The Primary Common Control Physical Channel (P-CCPCH) 266

9.5.7. The Secondary Common Control Physical Channel (S-CCPCH) 267

9.5.8. The Paging Indicator Channel (PICH) 268

9.5.9. The Acquisition Indicator Channel (AICH) 268

9.5.10. Other downlink physical channels associated with the PCPCH 269

Chapter 10. UTRA/FDD Physical Layer Procedures 271

10.1. Introduction 271

10.2. The UE receptor 271

10.3. Synchronization procedure 273

10.3.1. First step: slot synchronization 274

10.3.2. Second step: frame synchronization and code-group identification 275

10.3.3. Third step: primary scrambling code identification 276

10.3.4. Fourth step: system frame synchronization 276

10.4. Random access transmission with the RACH 277

10.5. Random access transmission with the CPCH 279

10.6. Paging decoding procedure 280

10.7. Power control procedures 282

10.7.1. Open loop power control 282

10.7.2. Inner loop and outer loop power control 283

10.8. Transmit diversity procedures 286

10.8.1. Time Switched Transmit Diversity (TSTD) 287

10.8.2. Space Time block coding Transmit Diversity (STTD) 288

10.8.3. Closed loop transmit diversity 289

Chapter 11. Measurements and Procedures of the UE in RRC Modes 291

11.1. Introduction 291

11.2. Measurements performed by the physical layer 291

11.2.1. Measurement model for physical layer 292

11.2.2. Types of UE measurements 293

11.3. Cell selection process 294

11.3.1. PLMN search and selection 295

11.3.2. Phases in the cell selection process 296

11.3.3. “S” cell selection criterion 298

11.4. Cell reselection process 299

11.4.1. Types of cell reselection 300

11.4.2. Measurement rules for cell reselection 301

11.4.3. “R” ranking criterion 301

11.4.4. Phases in the cell reselection process 302

11.5. Handover procedures 303

11.5.1. Phases in a handover procedure 304

11.5.2. Intrafrequency handover 305

11.5.3. Interfrequency handover 310

11.5.4. Intersystem UMTS-GSM handover 312

11.6. Measurements in idle and connected RRC modes 312

11.6.1. Measurements in RRC idle, CELL_PCH and URA_PCH states 312

11.6.2. Measurements in CELL_FACH state 313

11.6.3. Measurements in the CELL_DCH state: the compressed mode 315

Chapter 12. UTRA/TDD Mode 321

12.1. Introduction 321

12.2. Technical aspects of UTRA/TDD 321

12.2.1. Advantages of UTRA/TDD 322

12.2.2. Drawbacks of UTRA/TDD 324

12.3. Transport and physical channels in UTRA/TDD 325

12.3.1. Physical channel structure 326

12.3.2. Dedicated Physical Data Channels 328

12.3.3. Common physical channels 329

12.4. Service multiplexing and channel coding 334

12.4.1. Examples of UTRA/TDD user bit rates 335

12.5. Physical layer procedures in UTRA/TDD 336

12.5.1. Power control 336

12.5.2. Downlink transmit diversity 338

12.5.3. Timing advance 339

12.5.4. Dynamic channel allocation 339

12.5.5. Handover 340

12.6. UTRA/TDD receiver 340

Chapter 13. UMTS Network Evolution 343

13.1. Introduction 343

13.2. UMTS core network based on Release 4 345

13.3. UMTS core network based on Release 5 347

13.4. Multimedia Broadcast/Multicast Service (MBMS) 349

13.4.1. Network aspects 349

13.4.2. MBMS operation modes 350

13.4.3. MBMS future evolution 351

13.5. UMTS-WLAN interworking 352

13.5.1. UMTS-WLAN interworking scenarios 352

13.5.2. Network and UE aspects 354

13.6. UMTS evolution beyond Release 7 355

13.6.1. HSDPA/HSUPA enhancements 356

13.6.2. System Architecture Evolution 356

13.6.3. Long Term Evolution (LTE) 357

Chapter 14. Principles of HSDPA 359

14.1. HSDPA physical layer 359

14.1.1. HS-DSCH transport channel 361

14.1.2. Mapping of HS-DSCH onto HS-PDSCH physical channels 362

14.1.3. Physical channels associated with the HS-DSCH 363

14.1.4. Timing relationship between the HS-PDSCH and associated channels 366

14.2. Adaptive modulation and coding 366

14.3. Hybrid Automatic Repeat Request (H-ARQ) 367

14.4. H-ARQ process example 369

14.5. Fast scheduling 370

14.6. New architecture requirements for supporting HSDPA 371

14.6.1. Impact on Node B: high-speed MAC entity 371

14.6.2. Impact on the UE: HSDPA terminal capabilities 372

14.7. Future enhancements for HSDPA 373

14.7.1. Enhanced UTRA/FDD uplink 373

14.7.2. Multiple Input Multiple Output antenna processing 374

Appendix 1. AMR Codec in UMTS 375

A1.1. AMR frame structure and operating modes 376

A1.2. Dynamic AMR mode adaptation 378

A1.3. Resource allocation for an AMR speech connection 380

A1.4. AMR wideband 380

Appendix 2. Questions and Answers 383

Bibliography 395

Glossary 399

Index 417