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Chapter 7: The UMTS Related Work of the European Commission, UMTS Task Force, UMTS Forum and GSM Association Section 1: The European Research Joa ˜ o Schwarz da Silva 1 7.1.1 Introduction Compared to today’s reality, the mobile and wireless communications evolution perspective of the world, at the start of 1985, looks retrospectively rather conservative. While the promise of an accelerated development of mobile communications was sensed as a likely possibility, due notably to the anticipated success of GSM, the most optimistic scenarios for market deployment called for a few million subscribers at the turn of the century. Some 10 years later, there were about 13 million users of mobile communications in Europe and estimates suggested that the market potential was of the order of 50 million at the turn of the century and will be 100 million by 2005. Back than it was also felt that while the fixed telephones penetration rate would not exceed 50%, personal mobile communications, in all forms, would perhaps reach nearly 80% of Europe’s population. 7.1.2 Research into Advanced Communications in Europe (RACE) 7.1.2.1 RACE Definition Phase In 1985, the telecommunications, computing and broadcasting sectors accounted for an annual turnover of over 500 billion Euros world-wide. Telecommunications were central to the performance of the services sector and crucial to the business competitiveness. It 1 The views expressed in this section are those of the author and do not necessarily reflect the views of his affiliation entity. GSM and UMTS: The Creation of Global Mobile Communication Edited by Friedhelm Hillebrand Copyright q 2001 John Wiley & Sons Ltd ISBNs: 0-470-84322-5 (Hardback); 0-470-845546 (Electronic) was clearly felt that the prosperity of Europe was critically dependent of good communica- tions. On the demand side, the call for new and more sophisticated services and applications was expected to change rather rapidly, with businesses needing more flexible services, higher transmission capacities for fast data and image transmission at more competitive tariffs. On the supply side, the lowering of the internal barriers to trade was going to present new opportunities for network operators and service providers that would be looking to distin- guish themselves from their competitors. Recognising these trends, European industry ministers 2 , launched a ‘‘ Definition Phase’’ of the RACE programme. This definition phase established that there was scope and need for a European framework for collaboration in R&D in telecommunications and led to a decision adopted by the European Council in December 1987 3 calling for the first phase of RACE within the Second Framework for Research and Development. 7.1.2.2 RACE Phase I (1988–1992) While the main objective of RACE was to contribute to the introduction of Integrated Broad- band Communications (IBC) progressing to Community-wide services by 1995, specific objectives of phase I included inter alia: † To promote the Community’s telecommunications industry † To enable European network operators to compete under the best possible conditions † To enable a critical number of member states to introduce commercially viable IBC services † To support the formation of a single European market for telecommunications equipment and services In the RACE community it was recognised at the time, well before the commercial introduction of GSM, that a new generation of mobile technology would be necessary to cater for the perceived challenges of the 21st Century. Such a new generation was seen as comprising not only novel radio techniques, but also an open and flexible fixed infra- structure based on state-of-the-art technology. A work plan was hence developed in June 1987, a Call for Proposals on mobile communications was launched and as a result the RACE’s Mobile Project (R1043) was launched. Bringing together some 20 partners (comprising industrial organisations, operators and academic partners), the project identi- fied two main classes of mobile communication services, namely; UMTS (targeted to provide speech and low to medium data rate services, with virtually complete geographical coverage) and MBS (targeted to provide mobile units with very high bit rate services in hot spot areas). The primary aims of the project included the specification of air interface parameters, the specification of signalling system functions and the supporting networking infrastructure, the identification of the required frequency spectrum (later on made avail- able at the WARC 92), the submission of contributions towards ETSI, and the ITU (both CCIR and CCITT) and the identification of evolution scenarios from second generation systems. GSM and UMTS: The Creation of Global Mobile Communication116 2 Council decision of 25 July 1985 on a definition phase for a Community action in the field of telecommunications technologies. 3 Council decision of 14 December 1987 on a Community programme in the field of telecommunications tech- nologies – R&D in advanced communications technologies in Europe (RACE programme). On its completion the project presented its key achievements 4 including the main concepts of UMTS. The driving forces for UMTS were seen to be the requirement for better quality, universal coverage, additional services and higher capacity. The UMTS concept included a standardised system, supporting mobile access in almost any location, indoors or outdoors, city or rural areas, in the home, office or street, a wide range of terminals and services, a low cost pocket size personal communicator for the mass market. It was then estimated that the UMTS penetration rate would reach 50% of the European population in 2005, corresponding to a subscriber base of 100 million. It is no doubt clear that, in setting up an ambitious objective, namely the development of a Community-wide market for telecommunications services and equipment, the RACE I programme, did stimulate the commitment of the major European telecommunication opera- tors, equipment manufacturers and leading-edge users, to pursue mutually beneficial goals. The quality and cost/effectiveness of traditional services was enhanced and a new generation of innovative services was introduced. In the area of mobile communications, Project R1043 laid the ground for the second phase of the RACE programme having made seminal contri- butions to the development of UMTS. 7.1.2.3 RACE Phase II (1990–1994) Following the success of the first phase of RACE, its second phase was launched 5 in the context of the Third European Framework Programme (1990–1994) of research and techno- logical developments. RACE phase II envisaged that a number of actions would be launched, particularly in the area of communication technologies, with the principal objective of enabling the broadband network to take on the emerging new services, constructed on ‘open standards’, and to make use of flexible and cheaper integrated services. Such actions included a community research effort of a pre-normative and pre-competitive type in order to ensure the inter-operability of systems on the basis of common standards and protocols. Very much at the core of the RACE II programme were the research activities on UMTS and MBS. Further to a Call for Proposals, a number of UMTS related projects were retained (projects PLATON, MONET, CODIT, MAVT, ATDMA) with one project (MBS) specifically addres- sing the concept of a mobile broadband system operating in the 60 GHz frequency band. Close collaboration was established with ETSI, and the mobile projects were requested to devote a significant effort to standardisation issues. It was also felt essential to ensure that different projects carried out collaborative work, particularly in joint systems engineering and in the preparation of Common Functional Specifications. Issues for which collaboration was required included propagation prediction and channel modelling, air interface definition, source and channel coding, error correction and modulation, cell design, architecture and coverage, handover, channel and resource management, network and mobility management, security and authentication, performance assessment scenarios and quality measures. Other crucial aspects also dealt with were the ones dealing with marketing studies, service require- ments, evolution and implementation strategies, operational and functional requirements. In light of their achievements, three particular projects will be briefly described, namely CODIT, ATDMA and MONET. Chapter 7: The UMTS Related Work of International Organisations 117 4 RACE Mobile Telecommunications Workshop, 5–6 May 1992, Nurnberg, Germany. 5 Council decision of 7 June 1991, adopting a specific research and technological development programme in the field of communications technologies (1990–1994) (91/352/EEC; OJ L192.8, 16.07.91). 7.1.2.3.1 CODIT The overall objective of UMTS Code Division Testbed (CODIT) was to explore the potential of Code Division Multiple Access (CDMA) for the Universal Mobile Telecommunication System (UMTS). An advanced system concept based on CDMA was sought including advanced radio technologies (radio interface, radio transceivers, etc.) and advanced subsys- tem architectures (micro- and picocells, macro-diversity, fast and soft handover, frequency management, radio network planning methods, etc). The first European CDMA system demonstrator (testbed) comprising test mobile stations, radio base stations and a radio network controller was designed and built, and the CODIT system concept was validated in laboratory and field trials. The CODIT project also succeeded in the development of a system concept aimed at meeting the major requirements of a third generation UMTS which were: † handling of pico-, micro- and macrocells with a simple deployment of spectrum resources allowing multiple operators as well as private networks; † indoor and outdoor operation with a high grade of service; † support of low power pocket terminals for high quality speech services; † easy access to (known) data networks; † variable bit rate bearer for advanced data services; † ability to support a large number of users (50% penetration rate). 7.1.2.3.2 ATDMA The overall objective of the Advanced TDMA Mobile Access (ATDMA) project was to contribute to the identification of the most appropriate radio access system for provision of mobile narrowband service connections to IBCN. The project concentrated upon advanced TDMA techniques such as the concept of an adaptive TDMA air interface which automati- cally adapts to suit different operating environments and service needs for UMTS. A simula- tion testbed comprising a radio network control and signalling traffic model and a radio system capacity model was built to evaluate different aspects of the radio access concepts for the ATDMA system concept. Key issues to which the project ATDMA system concept contributed included: † Support of the required services under different operating environments and fulfilment of the needs of multiple operators with low infrastructure and low terminal costs; † Flexible air interface capable of recognising and supporting different cell types and allow- ing high bit rate services; † Different base station interconnection interfaces were required for various operators; † An adaptive air interface with ability to accommodate the varying needs of different environments, services and quality; † Transmission bandwidth for various cell types; † Use of linear or non-linear modulation schemes; † Radio control issues such as DCA or central frequency planning, packet or call reserva- tion, inband or dedicated signalling channels, degree and response time of power control; † Balance between allowable interference and noise levels, forward error correction codes, robustness of the speech codec and ARQ; GSM and UMTS: The Creation of Global Mobile Communication118 † Demonstration of a fair basis of comparison between the CDMA and TDMA radio access techniques. 7.1.2.3.3 MONET While the previous two projects sought to develop the systems concepts for UMTS and devoted significant resources towards the definition of the air interface, project Mobile Network (MONET) aimed to develop network standards for UMTS. Two important goals in UMTS were (1) to integrate the infrastructure for mobile and fixed communications, and (2) to offer the same range of services as provided by fixed communication networks. An additional benefit of mobile networks was the possibility to offer unique services such as navigation, vehicle location, and road traffic information. Given that it was expected that within the next two decades, UMTS pocket telephones would become a mass market consu- mer item, the basic challenge was, therefore, to define a fixed infrastructure capable of supporting a huge volume of mobile connected traffic. Project MONET achieved the follow- ing results: † Development and specification of new concepts for handover, call handling, location management, security, telecommunications management, databases and base station inter- connection, to limit the signalling load due to the mobility of the user and to allow UMTS terminals to be used anywhere (public, home, business and vehicle environment); † Definition of a UMTS network architecture as part of IBCN, permitting maximum exploi- tation of the IN and commonalties with UPT; † Validation of performance and signalling load of the proposed network architecture and protocols by means of simulation. 7.1.2.4 Consensus work in RACE To reach a common understanding regarding the key issues confronting the various projects, and speed-up consensus development in anticipation of the discussions that were taking place within ETSI, special interest groups were established in some key areas including: Radio network modelling: this area of activity comprised the reference scenarios defining the environment in which UMTS was expected to operate, the mobility models, the traffic models, the radio channel characteristics, the interference models and radio resource management procedures. Base station system functions: this area comprised issues such as synchronisation of base stations, backward-forward handover, multichannel handover for multimedia services, adjustable parameters of the radio interfaces, flexible assignment of capacity, flexible power transmission, minimisation of signalling load, etc. Propagation and channel characterisation: the basic objective of this activity was to achieve common models for propagation and channel characterisation based on measure- ments and analysis. This entailed the harmonisation of the measurements campaigns, the exchange of the measured data, and the comparison of the analysis carried out in different propagation environments for macro, micro and pico cells. Common testing requirements: since for UMTS two distinct air interface schemes were Chapter 7: The UMTS Related Work of International Organisations 119 considered, work was initiated towards the establishment of a common platform for testing requirements and a common basis for system comparison taking into account the limited total spectrum availability, the cost of implementation of terminals, infrastructures and services, the network evolution and the network complexity. 7.1.2.5 The RACE Vision of UMTS Throughout the R&D work in RACE phase II, it was realised that in order to be successful, UMTS should offer significant added value compared to its predecessors. The approach adopted was therefore not to start from the current or near telecommunications scene, but to position UMTS in a situation around the year 2000 when significant advances in both fixed and mobile communications would have been achieved. A key driver for the work in UMTS was the concept of integration. Whereas mobile systems such as GSM and DECT had been designed as stand-alone systems, the UMTS network was defined as an integrated part of networks for fixed telecommunications. This way, services made available for fixed users were accessible by mobile users as well, and infrastructure costs could be reduced by sharing expensive network resources. Integration with broadband ISDN was defined as the target scenario. The principles of the Intelligent Network (IN) concept were to be used to provide the necessary flexibility in the network, to provide rapidly the services and applications the various user segments were demanding. This integration philosophy was backed by the following observations: firstly, requirements for prospective fixed and mobile networks were very similar. Many important trends in telecommunications, like customisation, inter- active control, high quality, tailor made service offerings, etc. applied to both fixed and mobile environments. Secondly, a development towards an integrated personal communica- tion environment was envisaged, in which users would be able to have access to telecom- munication services, irrespective of whether the means of access were fixed or mobile. Users would expect that services available on the fixed networks would also be available on mobile networks and vice versa. Moreover, there should be no noticeable difference in user-interface and control procedures. For network operators and/or service providers, integration implied that they did not have to install and maintain duplicate platforms for service creation, service management and service control. The vision of UMTS as it emerged from the work undertaken within RACE, 6 called for UMTS to support all those services, facilities and applications which customers already enjoyed while having the potential to accommodate, yet undefined, broadband multimedia services and applications with quality levels commensurate to those of fixed IBC networks. A thorough discussion on the above issues took place in the context of the RACE mobile projects, which concluded on the need to offer to the wider European community of mobile sector actors, a vision of UMTS. A document was hence drafted which was the subject of agreement by all projects. Given the significant impact that such a document was expected to have, the RACE projects advocated a gradual evolutionary path which called for the estab- lishment of a UMTS Task Force, to be followed, if required by the creation of a UMTS Forum. GSM and UMTS: The Creation of Global Mobile Communication120 6 RACE Vision of UMTS, Workshop on Third Generation Mobile Systems, DGXIII-B, European Commission, Brussels, January 1995. 7.1.3 Advanced Communications Technologies and Services ACTS (1994–1998) The RACE mobile programme concluded its activities in 1995 but by then the European Fourth Framework Programme was supporting the next phase of collaborative mobile R&D into ACTS. This new programme while capitalising on the RACE experience, was conceived as a demand-driven R&D programme of demonstration trials that would prepare the ground for a European-wide, internationally competitive, broadband telecommunications infrastruc- ture that naturally had a mobile communication dimension. The ACTS mission was to articulate potential solutions to those remaining technological issues seen to be impeding evolution to the wide-scale use of advanced digital broadband communications throughout Europe. Within the ACTS programme, the mobile and wireless communication dimension related to the need to provide seamless service across various radio-environments and opera- tional conditions for a range of user-defined and customised advanced multimedia services. Key issues included system and service integration with the relevant fixed network to ensure continuity of multimedia service provision. Three particular aspects namely, services, plat- forms and technologies were considered as prime objectives of the ACTS programme in the area of mobile and satellite communications. Services: the demonstration and proving of new novel services and applications taking into account the full implications of user environment, system characteristics and service provision and control. Platforms: demonstration of the viability of a major system or service-provision architec- ture using technology demonstrators that would consider issues such as: feasibility, accept- ability, quality of service, general fit-for-purpose, interworking and integration capability of the demonstrated radio system or integrated network. Technologies: proving the validity of new, or novel, components or sub-system technol- ogies, including multi-mode transceivers, tools for network planning, methods to achieve secure communications and system concepts. 7.1.3.1 UMTS System Platform Further to the development of the UMTS vision elaborated in the RACE programme, UMTS was seen as needing to support all those services, facilities and applications which customers already enjoyed (e.g. GSM) but also had to accommodate, yet undefined, broadband multi- media services and applications with quality levels commensurate to those of fixed IBC networks. In this context the leading questions were: † What were the cardinal services that UMTS should support? † What were the ‘‘ future-proofing’’ UMTS bearer requirements in macro-, micro- and pico- cell environments? † What were the applications likely to be supported from UMTS? † How would second generation technologies evolve towards UMTS? UMTS was seen as an opportunity to exploit the 2 GHz band with a unified and universal personal mobile telecommunications system for multi-operator environments. It was a multi- function, multi-service, multi-application digital system that would use end-of-the-century Chapter 7: The UMTS Related Work of International Organisations 121 technology to support universal roaming and offer broadband multimedia services with up to 2 Mb/s throughput. Figure 7.1.1 illustrates the range of service environments, from in-build- ing to global, in which UMTS was to be deployed while Figure 7.1.2 portrays the technolo- gical capabilities of UMTS, measured in terms of terminal mobility and required bit rates as compared to those of second generation platforms such as GSM. 7.1.3.2 Evolving from Second to Third Generation Finding the solution to the issue of evolution and migration path from second to third generation (see Figure 7.1.3), particularly from a service provision point of view, was also GSM and UMTS: The Creation of Global Mobile Communication122 Figure 7.1.1 System environments Figure 7.1.2 Mobility versus bit rates the subject of intense debate within the ACTS community. Agreement was reached on the need to ensure a smooth market-led transition between second and third generation systems. Indeed these standards needed to ensure a smooth customer, operator and industry-sensitive transition at the appropriate time with multi-mode, hybrid, transceiver technology used to provide multi-standard terminal equipment. Thus enhanced second generation technology could offer some of the lower bit-rate user and service requirements but UMTS would also satisfy the advanced-service, broadband, multimedia demand (Figure 7.1.3). 7.1.3.3 Key UMTS Projects in ACTS As for the RACE programme, a number of key UMTS related projects are briefly described below. 7.1.3.3.1 FIRST It was the primary objective of project FIRST to develop and deploy Intelligent Multimode Terminals (IMT) capable of operation with UMTS as well as with multiple standards and with the ability to deliver multimedia services to mobile users. Secondary objectives arising from the primary objective included the feasibility of delivering multimedia services to the mobile user and the investigation of requirements for such services. The project undertook activities aimed at the innovation of key IMT sub-systems (e.g. adaptive transceivers) capable of operation with multiple second generation standards and with those air interface standards expected to emerge for UMTS. IMT technology demonstrators were produced and tested as a result of these activities and the groundwork for the development of reconfigurable radio in Europe was established. Chapter 7: The UMTS Related Work of International Organisations 123 Figure 7.1.3 Evolution from second to third generation 7.1.3.3.2 OnTheMove The project aimed at the development of a standardised mobile application program interface (Mobile API) to facilitate and promote the development of a wide spectrum of mobile multi- media applications. An architecture, the Mobile Applications Support Environment (MASE), to support both mobile-aware and legacy (i.e. non-mobile-aware) applications was devel- oped. Some of the project challenges included adaptation to varying quality of service, robustness in the face of disconnected links, roaming between different operators and network types, reconfigurable real-time multi-party connections, flexible coding, personalised infor- mation filtering, and support for heterogeneous user equipment. A sequence of field trials and demonstrations of an interactive mobile business system offering time critical financial information services to business users were carried out, in order to capture user requirements, to validate results on the interface specification and to develop inputs to standardisation bodies. 7.1.3.3.3 FRAMES This project comprised two technical objectives namely UMTS system specification and demonstration. System specification included requirements and synthesis, by means of liaison with the GSM MoU group (and later with the anticipated UMTS MoU group). The project defined a number of hybrid multiple access based adaptive air interfaces (which were the basis for the ETSI decision on UTRA in January 1998), the radio network functions and their implications upon the access networks. The project developed an imple- mentation platform which was capable of validating the feasibility of the UMTS system definition, capable of supporting and substantiating the technical specification towards third generation of mobile communication as a basis for UMTS definition, validation as well as standardisation. Validation tests of the UMTS air interface using the demonstrator and demonstrations of the selected applications were carried out and lead to contributions to standardisation bodies. 7.1.3.3.4 STORMS The objective of this project was to define, implement and validate a software tool to be used in the phases of designing and planning of the UMTS network. The set of reference environ- ments considered, ranged from indoor coverage (picocells) to regional coverage as supplied by satellite systems integrated with the terrestrial cellular structure. The set of spatial traffic distributions and traffic intensities ranged from typical office/business to residential in rural and low-density areas. The work also involved a comprehensive definition of the categories of UMTS environments with the corresponding identification of the most appropriate propa- gation models, so that the environment and radio channel model were logically mapped. The combined electromagnetic and traffic description was the starting point of the dimensioning process for the cellular structure which also took into account those system features (e.g. handover strategies, macrodiversity) that imply a particular usage of radio and network resources. GSM and UMTS: The Creation of Global Mobile Communication124 [...]... Telecommunications Summit, 1–4 October 2000, Galway, Ireland GSM and UMTS: The Creation of Global Mobile Communication Edited by Friedhelm Hillebrand Copyright q 2001 John Wiley & Sons Ltd ISBNs: 0-470-84322-5 (Hardback); 0-470-845546 (Electronic) Chapter 7: The UMTS Related Work of the European Commission, UMTS Task Force, UMTS Forum and GSM Association Section 2: UMTS from a European Community Regulatory Perspective... seminal UMTS vision document that raised the key issues to be tackled and defined the Figure 7.1.4 Major UMTS R&D milestones 126 GSM and UMTS: The Creation of Global Mobile Communication challenges ahead, culminating with the ETSI decision on UTRA in January 1998 to which key contributions were made by the ACTS community All projects have contributed significantly towards the definition and development of UMTS. .. Parliament and the Council on a regulatory framework for radio spectrum policy in the European Community, COM (2000) 407, 12.7.2000 GSM and UMTS: The Creation of Global Mobile Communication Edited by Friedhelm Hillebrand Copyright q 2001 John Wiley & Sons Ltd ISBNs: 0-470-84322-5 (Hardback); 0-470-845546 (Electronic) Chapter 7: The UMTS Related Work of the European Commission, UMTS Task Force, UMTS Forum and. .. Chapter &, Sections 3 and 4 134 GSM and UMTS: The Creation of Global Mobile Communication adopting specific harmonisation measures in view of a co-ordinated introduction of 3G in the Community In 1998, a Harmonisation Decision (‘ UMTS Decision’’ [18]) was proposed to Council and the European Parliament This was subsequently discussed and adopted in a record time of 9 months The UMTS Decision entered... Economic and Social Committee and the Committee of the Regions of 29 May 1997 on the further development of mobile and wireless communications; OJ C 131, 29.04.1998, p 9 and OJ C 276, 04.09.1998 Communication from the Commission on strategy and policy orientations with regard to the further development of mobile and wireless communications (UMTS) ; OJ C 214, 10.07.1998 European Parliament and Council... the possibility of all actors (and not only administrations) to contribute to standardisation efforts 5 ETSI closely co-operates with the standardisation efforts undertaken by the ITU ETSI’s mandate includes not only the development of standards as open and common platforms where innovative systems and services are emerging, but also producing so-called harmonised standards where legislation of the... for region and nation standards bodies to promote a consensual standardisation process which was to be market-led and which encouraged open interfaces Due to the fact that markets in different countries/regions differed, global standards should address the kernel of services and interfaces necessary for international compatibility Regional extensions could specify more detail And all standards should... the Standards bodies and the regional European representation in the ITU TG 8/1 who were from administrations but not necessarily participants at ETSI The development of UMTS standards within ETSI SMG5 was beginning to stagnate in the technical definition of UMTS Some operators and also participants in ETSI SMG5 expressed concerns at the EC about the slow progress ((e.g no clear understanding of UMTS. .. market and communications traffic predictions and formulated requests concerning regulation In 1997, the European Commission launched a public discussion via a Communication to the Council and the European Parliament [16] and summarised its policy proposal [17], based on comments received and on input from the UMTS Forum The generally advocated approach was to rely on existing legislation for licensing and. .. mobile and wireless communications system (UMTS) in the Community; OJ L 17, 22.01.1999 CEPT/ERC/DEC/(97)07 on the frequency bands for the introduction of terrestrial Universal Mobile Telecommunications System (UMTS) ; CEPT/ERC/DEC(99)25 on the harmonised utilisation of spectrum for terrestrial Universal Mobile Telecommunications System (UMTS) operating within the bands 1900–1980 MHz, 2010– 2025 MHz and . contributions towards ETSI, and the ITU (both CCIR and CCITT) and the identification of evolution scenarios from second generation systems. GSM and UMTS: The Creation. definition, source and channel coding, error correction and modulation, cell design, architecture and coverage, handover, channel and resource management, network and