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WCDMA Design Handbook

Developed out of a successful professional engineering course, this practical hand-book provides a comprehensive explanation of the Wideband CDMA (Code DivisionMultiple Access) air interface of third-generation UMTS cellular systems. The bookaddresses all aspects of the design of the WCDMA radio interface from the lowerlayers to the upper layers of the protocol architecture. The book considers each of thelayers in turn, to build a complete understanding of the design and operation of theWCDMA radio interface including the physical layer, RF and baseband processing,MAC, RLC, PDCP/BMP, Non-Access Stratum and RRC. An ideal course book andreference for professional engineers, undergraduate and graduate students.

Andrew Richardson has many years of experience in digital communication systems,having worked for Philips, Nokia and Simoco on both second- and third-generationmobile phone systems. Since 1999 he has run his own consultancy, Imagicom Ltd,offering design and training services in telecommunication systems technology.

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Cambridge University Press0521828155 - WCDMA Design HandbookAndrew RichardsonFrontmatterMore information

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WCDMADesign Handbook

Andrew RichardsonImagicom Ltd






publ i shed by the press syndicate of the univers ity of cambridgeThe Pitt Building, Trumpington Street, Cambridge, United Kingdom

cambridge univers ity pressThe Edinburgh Building, Cambridge CB2 2RU, UK40 West 20th Street, New York, NY 10011–4211, USA477 Williamstown Road, Port Melbourne, VIC 3207, AustraliaRuiz de Alarcon 13, 28014 Madrid, SpainDock House, The Waterfront, Cape Town 8001, South Africa


C© Andrew Richardson 2005

This book is in copyright. Subject to statutory exceptionand to the provisions of relevant collective licensing agreements,no reproduction of any part may take place withoutthe written permission of Cambridge University Press.

First published 2005

Printed in the United Kingdom at the University Press, Cambridge

Typefaces Times 10.5/14 pt and HelveticaNue System LATEX2ε [tb]

A catalogue record for this book is available from the British Library

Library of Congress Cataloguing in Publication dataRichardson, Andrew, 1961–WCDMA Design Handbook / Andrew Richardson.

p. cm.Includes bibliographical references and index.ISBN 0 521 82815 51. Code division multiple access – Handbooks, manuals, etc. 2. Wireless communication systems –Handbooks, manuals, etc. 3. Mobile communication systems – Handbooks, manuals, etc. I. Title.TK5103.452.R53 2004621.3845 – dc22 2003058670

ISBN 0 521 82815 5 hardback






To my wife and family, Alex, Beth, Emma and Evie,

and also to my parents Peter and Marea.






Contents

Preface page xiiiAcknowledgements xvList of abbreviations xvi

1 Introduction 1

1.1 Concepts and terminology 11.2 Major concepts behind UMTS 41.3 Release 99 (R99) network architecture 81.4 R4 and R5 network architecture 161.5 Services provided by UMTS and their evolution from

GSM/GPRS services 191.6 Summary 23

2 WCDMA in a nutshell 24

2.1 Protocol architecture 242.2 SAPs 292.3 Principles of the physical layer 332.4 Principles of the upper layers 422.5 Radio and data connections 472.6 Security issues 512.7 Summary of the operation of the radio interface 59

3 Spreading codes and modulation 64

3.1 Introduction 643.2 Introducing WCDMA spreading functions 66

vii






viii Contents

3.3 Channelisation codes 713.4 Scrambling codes 873.5 Modulation 973.6 Downlink spreading and modulation 1023.7 Uplink spreading and modulation 108

4 Physical layer 115

4.1 Introduction 1154.2 Physical channel mapping 1154.3 Uplink channels 1154.4 Downlink channels 1224.5 Spreading and scrambling codes 1284.6 Cell timing 1344.7 PRACH timing and CPCH timing 1364.8 Summary 136

5 RF aspects 137

5.1 Frequency issues 1375.2 UE transmitter specifications 1405.3 Node B transmitter specifications 1435.4 Received signals 1465.5 Node B receiver characteristics 1545.6 Node B receiver performance 1655.7 UE receiver characteristics 1695.8 UE receiver performance tests 1745.9 UMTS transceiver architecture study 176

6 Chip rate processing functions 184

6.1 Introduction 1846.2 Analogue to digital converter (ADC) 1846.3 Receive filtering 1876.4 Rake receiver overview 1896.5 Channel estimation 204






ix Contents

6.6 Searcher 2066.7 Initial system acquisition 208

7 Symbol rate processing functions 217

7.1 WCDMA symbol rate transmission path 2177.2 Convolutional error correction codes 2297.3 Turbo codes as used in WCDMA 2357.4 The performance of the WCDMA turbo code via examples 247

8 Layer 2 – medium access control (MAC) 248

8.1 MAC introduction 2488.2 MAC architecture 2518.3 MAC functions and services 2578.4 MAC PDUs and primitives 2618.5 MAC operation 2648.6 Random access procedure 2648.7 Control of CPCH 2778.8 TFC selection in uplink in UE 282

9 Layer 2 – RLC 300

9.1 Introduction 3009.2 TM 3009.3 UM 3069.4 AM 3149.5 Summary 335

10 PDCP and BMC protocols 337

10.1 PDCP architecture and operation 33710.2 Broadcast/multicast control 34410.3 CBS PDU summary 34710.4 Summary 348






x Contents

11 Layer 3 – RRC 349

11.1 Introduction 34911.2 System information broadcasting 35211.3 Paging and DRX 35811.4 RRC connection establishment 36211.5 Direct transfer procedure 37411.6 RB setup 37711.7 Handover 37911.8 Miscellaneous RRC procedures 39111.9 Summary 394

12 Measurements 395

12.1 Introduction 39512.2 Measurement control 40012.3 Measurement variables 40412.4 Cell signal measurement procedures 40612.5 Reporting the measurement results 41412.6 Measurements for interoperation with GSM 42512.7 Location services measurements 43312.8 Summary 436

13 NAS 437

13.1 Introduction 43713.2 NAS architecture 43713.3 MS classes and network modes 44113.4 MM protocol entity 44213.5 Call control protocol 45613.6 GMM protocol states 46713.7 GMM procedures 47613.8 SM protocol and PDP contexts 48313.9 SMS protocol 498

14 Idle mode functions 508

14.1 USIM architecture and operation 50914.2 Idle mode overview 514






xi Contents

14.3 Idle mode substate machine 51514.4 NAS idle mode functions and interrelationship 51914.5 AS idle mode functions and interrelationship 52714.6 Example of idle mode procedures 53714.7 Summary 541

Appendix 542References 551Index 553






Preface

The WCDMA Design Handbook addresses the subject of wideband code divisionmultiple access (WCDMA) as defined by the Third Generation Partnership Project(3GPP) and provides a detailed review of the architecture and the operation of thesystem. In particular, the focus of the book is the radio interface, from the physicallayer through to the upper layers of the non-access stratum. This text either offers acomplete ‘end-to-end’ explanation of the system operation, or alternatively allows thereader to focus on any aspects of the systemwhich are of specific interest and relevance.For this reason, the material is presented in a modular fashion, with the overlap andinterlinking of the chapters kept to a minimum to allow the chapters to be as self-standing as possible in order to facilitate a ‘pick and mix’ approach to the book whererequired.The structure of the book is intended to provide a solid introduction to the basic

principles for the operation of the complete system and then to focus on the specificdetails in each of the relevant chapters. The major principles for the operation of theWCDMA system are considered throughout the different chapters, including the useof codes and multiplexing in the physical layer, the procedures for transport formatcombination control in layer 2 and the radio interface control procedures either withinthe radio resource control (RRC) protocol in the access stratum, or within the mobilitymanagement and service management protocols in the non-access stratum. One ofthe key methods of examining the system is the use of examples to demonstrate theoperation of specific procedures or processes.At the lower layers, the book focuses on the FDD mode of theWCDMA system. The

use of the TDD mode is considered to a greater degree as the higher layer protocolsare considered. The emphasis is on the first release of the WCDMA specifications(Release 99).Written for a professional audience, the book is relevant to practising engineers and

managers, and graduate and undergraduate students. Like most texts at this level, it isbeneficial for the reader to have had some previous exposure to cellular radio systemssuch as GSM. It is assumed that the reader is comfortable with the technical nature ofthe information in this technical book.

xiii






xiv Preface

The book can be considered as being in four parts. Part 1 comprises Chapters 1–3and is a general introduction; Part 2, Chapters 4–7, covers mainly the physical layer;Part 3, Chapters 8–12, covers layers 2 and 3 in the access stratum; and Part 4, Chapters13 and 14, covers the non-access stratum protocols. The reading of these four parts willdepend upon the specific interests of the reader. For RF, DSP, ASIC and hardwareengineers Parts 1 and 2 are recommended. For protocol designers/software designersand protocol test engineers who are focussing on the operation of the access stratum ofthe WCDMA system, Parts 1 and 3 are the most appropriate. Both protocol designers/software designers and protocol test engineers concentrating on the operation of thenon-access stratum of the WCDMA system should read Parts 1 and 4. Finally, for aninterested reader, or for a graduate or undergraduate course, the chapters can be taken inorder. The book closely follows the 3GPP specifications; for completeness the relevantspecifications are outlined in the Appendix.The WCDMA Design Handbook is based on the experience and knowledge gained

over a 20-year period by the author. The detail has been honed during the process ofpresenting the material in the form of a number of training courses on WCDMA, fromlayer 1 through to the non-access stratum. It is the first in what is planned to be aseries of books by the author following the development of the UMTS and wirelesscellular market place, with an emphasis on a detailed understanding of the design andoperation of the technology. Dr Richardson is a director of the established trainingand consultancy company Imagicom Ltd (www.imagicom.co.uk), which specialises indelivering regular advanced level technical training courses, the material for which isconstantly updated and presented both via a range of scheduled public courses usuallyheld in Cambridge UK and to major players in the telecommunications industry on anin-house basis.






Acknowledgements

I would like to give special thanks to my wife Alex for her enduring support overthe many hours that it has taken to bring this volume from conception into existence;without her this book could not exist. I love her deeply.

xv






Abbreviations

2G second generation3G third generation3G-MSC/VLR third generation mobile switching centre/visitor location register3GPP 3rd Generation Partnership Project3G-SGSN third generation serving GPRS support nodeAC access classACK acknowledgementACLR adjacent channel leakage ratioACS adjacent channel selectivityADC analogue to digital converterADF application dedicated filesAGC automatic gain controlAI acquisition indicatorAICH acquisition indication channelAID application identifierAK anonymity keyAM acknowledged modeAMD acknowledged mode dataAMF authentication and key management fieldAMR adaptive multirateAP access preambleAPN access point nameARQ automatic repeat requestAS access stratumASC access service classASIC application specific integrated circuitATM asynchronous transfer modeATT AICH transmission timingATT attach flagAUTN authentication tokenAV authentication vector

xvi






xvii Abbreviations

AWGN additive white Gaussian noiseBBF baseband filterBC broadcast controlBCCH broadcast control channelBCD binary coded decimalBCFE broadcast channel functional entityBCH broadcast channelBER bit error rateBGCF breakout gateway control functionBLER block error rateBMC broadcast and multicast control protocolBO buffer occupancyBPF band pass filterBPSK binary phase shift keyedBS base stationBSC base station controllerBSS base station systemBTS base transceiver stationC/I carrier to interference ratioC/T control/trafficCA channel assignmentCAI channel assignment indicatorCAMEL customised application for mobile network enhanced logicCBC cell broadcast centreCBS cell broadcast serviceCC call controlCCC CPCH control channelCCCH common control channelCCDF complementary cumulative distribution functionCCTrCH coded composite transport channelCD collision detectionCD/CA-ICH collision detection/channel assignment indicator channelCDMA code division multiple accessCFN connection frame numberCID context identifierCK cipher keyCKSN cipher key sequence numberCLI calling line identificationCLIR calling line identification restrictionCM connection managementCN core network






xviii Abbreviations

CP control protocolCPBCCH compact packet BCCHCPCH common packet channelCPICH common pilot channelCRC cyclic redundancy checkCRNC controlling radio network controllerc-RNTI cell radio network temporary identifierCS circuit switchedCSCF call session control functionCSICH CPCH status indication channelCTCH common traffic channelCTFC calculated transport format combinationCTS cordless telephony systemCW continuous waveD/C data/controlDAC digital to analogue converterDC dedicated controlDCCH dedicated control channelDCF digital channel filterDCFE dedicated control functional entityDCH dedicated transport channelDCS1800 digital cellular network at 1800MHzDC-SAP dedicated control SAPDECT digital enhanced cordless telecommunicationsDF dedicated filesDPCCH dedicated physical control channelDPCH dedicated physical channelDPDCH dedicated physical data channelDRAC dynamic resource allocation controlDRNC drift radio network controllerDRNS drift radio network subsystemDRX discontinuous receptionDSCH downlink shared transport channelDSP digital signal processorDTCH dedicated traffic channelDTX discontinuous transmissionEDGE enhanced data rates for GSM evolutionEF elementary fileEGC efficient Golay correlatorEIR equipment identity registere-MLPP enhanced multilevel precedence and preemption






xix Abbreviations

EMS extended message serviceEOT end of transmissionEPC estimated PDU counterETSI European Telecommunications Standards InstituteEVM error vector magnitudeFACH forward access channelFBI feedback mode indicatorFCT frame count transmittedFDD frequency division duplexFDMA frequency division multiple accessFER frame error rateFFT fast Fourier transformFHT fast Hadamard transformFIR finite impulse responseG3 Group 3GC general controlGERAN GSM/EDGE radio access networkGGSN gateway GPRS support nodeGMM GPRS mobility managementGMMAS-SAP GPRS mobility management SAPGMSC gateway mobile switching centreGPRS general packet radio serviceGSM global system for mobile communicationsGSMS GPRS short message serviceGTP GPRS tunnelling protocolHC header compressionHCS hierarchical cell structuresHE/AuC home environment/authentication centreHFN hyper frame numberHLR home location registerHPLMN home PLMNHPSK hybrid PSKHSDPA high speed downlink packet accessHSS home subscriber serverHTTP hypertext transfer protocolI-CSCF interrogating call session control functionIE information elementIK integrity keyIMEI international mobile equipment identityIMS internet protocol multimedia subsystemIMSI international mobile subscriber identity






xx Abbreviations

IMT2000 International Mobile Telecommunications 2000IP internet protocolIPDL idle period on the downlinkISDN integrated services digital networkITU International Telecommunication UnionKSI key set identifierLA location areaLAC location area codeLAI location area identifierLAPP log a-posteriori probabilityLAU location area updateLI length indicatorLLC logical link controlLLR log likelihood ratioLNA low noise amplifierLO local oscillatorLR location registrationLSB least significant bitMAC message authentication codeMAC medium access controlMAC-b MAC – broadcastMAC-c/sh MAC – common or sharedMAC-d MAC – dedicatedMAC-hs MAC – high speedMAP maximum a-posteriori probabilityMASF minimum available spreading factorMCC mobile country codeME mobile equipmentMF master fileMGCF media gateway control functionMGW media gatewayMIB master information blockMLSE maximum likelihood sequence estimationMM mobility managementMN mobile networkMNC mobile network codeMO mobile originatedMRC maximum ratio combiningMRF media resource functionMRFC media resource function controllerMRFP media resource function processor






xxi Abbreviations

MRW move receive windowMS mobile stationMSB most significant bitMSC mobile switching centreMSE mean square errorMSIN mobile subscriber identifier numberMT mobile terminatedMUX multiplexNACK negative acknowledgementNAS non-access stratumNSAPI network service access point identifierNW networkOCQPSK orthogonal complex QPSKOSI open systems interconnectionOTDOA observed time difference of arrivalOVSF orthogonal variable spreading factorPCCC parallel concatenated convolutional codePCCH paging control channelPCCPCH primary common control physical channelPCDE peak code domain errorPCF policy control functionPCH paging channelPCPCH physical common packet channelP-CPICH primary common pilot channelPCs personal communication systemP-CSCF proxy call session control functionPD protocol discriminatorPDC personal digital cellularPDCP packet data convergence protocolPDN packet data networkPDP packet data protocolPDSCH physical downlink shared channelPDU protocol data unitPI paging indicatorPICH paging indication channelPID packet identifierPIN personal identification numberPLMN public land mobile networkPMM PS mobility managementPN pseudo-noisePNFE paging and notification functional entity






xxii Abbreviations

PRA PCPCH resource availabilityPRACH physical random access channelPS packet switchedPSC primary synchronisation codeP-SCH primary synchronisation channelPSK phase shift keyingPSTN public switched telephone networkPTM point to multipointP-TMSI packet temporary mobile subscriber identityPTP point to pointQoS quality of serviceQPSK quadrature phase shift keyingR4 Release 4R5 Release 5R6 Release 6R99 Release 99RA routing areaRAB radio access bearerRABM radio access bearer managerRAC radio access capabilityRACH random access channelRAI routing area identifierRAT radio access technologyRAU routing area updateRB radio bearerRES responseRL radio linkRLC radio link controlRLS radio link setRLS recursive least squaresRM rate matchRNC radio network controllerRNS radio network subsystemRNTI radio network temporary identifierROHC robust header compressionRPLMN registered PLMNRRC radio resource controlRRC root raised cosineRR-SAP radio resource SAPRSCP receive signal code power






xxiii Abbreviations

RTT round trip timeS/P serial to parallelSAP service access pointSCCPCH secondary common control physical channelSCH synchronisation channelS-CPICH secondary common pilot channelSCR source controlled rateS-CSCF serving call session control functionSDP session description protocolSDU service data unitSF spreading factorSFN system frame numberSGSN serving GPRS support nodeSHCCH shared channel control channelSI status indicatorSI stream identifierSIB system information blockSIBn system information broadcast type n (n = 1, . . . ,18)SID silence descriptorSIP session initiation protocolSIR signal to interference ratioSISO soft in soft outSLF subscription location functionSM session managementSMC-CS short message control – circuit switchedSMC-GP short message control – GPRS protocolSM-RL short message relay layerSMS short message serviceSMSMM SMS mobility managementSM-TL short message transfer layerSNR signal to noise ratioSOVA soft output Viterbi algorithmSQN sequence numberSRB signalling radio bearerSRNS serving radio network subsystems-RNTI serving radio network temporary identifierSS supplementary serviceS-SCH secondary synchronisation channelSSDT site selection diversity transmissionSTTD space time transmit diversity






xxiv Abbreviations

SUFI super fieldsTACS total access communications systemTAF terminal adaptation functionTCP transmission control protocolTCTF target channel type fieldTCTV traffic channel transport volumeTDD time division duplexTDMA time division multiple accessTE terminal equipmentTF transport formatTFC transport format combinationTFCI transport format combination indicatorTFCS transport format combination setTFS transport format selectionTFT traffic flow templateTG8/1 Task Group 8/1TGMP transmission gap sequence measurement purposeTI transaction identifierTIA Telecommunications Industry AssociationTM transparent modeTMD transport mode dataTMSI temporary mobile subscriber identityToS type of serviceTPC transmit power controlTTI transmission time intervalTVM traffic volume measurementTx transmitUARFCN UTRA absolute radio frequency channel numberUDP user datagram protocolUE user equipmentUICC universal integrated circuit cardUM unacknowledged modeUMTS Universal Mobile Telecommunications System C304URA UTRAN registration areaURL uniform resource locatoru-RNTI UTRAN radio network temporary identifierUS update statusUSAT USIM application toolkitUSCH uplink shared channelUSIM universal subscriber identity moduleUTRAN UMTS terrestrial radio access network






xxv Abbreviations

VAD voice activity detectionVCAM versatile channel assignment modeVGCS voice group call serviceVLR visitor location registerWCDMA wideband code division multiple accessXMAC expected message suthentication codeXRES expected response






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