The UMTS Network and Radio Access Technology: Air Interface Techniques for Future Mobile Systems Jonathan P. Castro Copyright © 2001 John Wiley & Sons Ltd Print ISBN 0-471-81375-3 Online ISBN 0-470-84172-9 E VOLVING M OBILE N ETWORKS While the history of mobile communications is long [1–3], and the background of mo bile networks therebyx is also long, in this chapter we focus on the historic evolution in terms of network architecture and services starting with 2nd generation (2G) mobile systems. In particular we consider the development of the architecture of G lobal Sys- tems for M obile Communications (GSM), since it is by far the most widespread mobile system in the world today. This will provide the basis to cover the introduction of Uni- versal Mobile Telecommunication Services (UMTS) in relation to its Core Network (CN) and radio architectures. The latter will in turn serve as the platform to present UMTS Radio Access Technology, which is one the aims of this book. 1.1 T HE G ROWTH OF M OBILE C OMMUNICATIONS Today wireless voice service is one of the most convenient and flexible means of mod- ern communications. GSM technology has been at the leading edge of this wireless revolution. It is the technology of choice in over 120 countries and for more than 200 operators worldwide. Current estimates are that by the year 2001 there will be around 600 million wireless subscribers (e.g. mobile telephone users), out of which more than 50% will depend on GSM technology. As the wireless revolution has been unfolding, the Internet has also shown a phenome- nal growth simultaneously. The advent of the World Wide Web and web browsers has propelled TCP/IP protocols into the main stream, and the Internet is widespread not T i p v i r à v y y v 0RELOH ,QWHUQHW Figure 1.1 The growth of mobile and internet services. 2 The UMTS Network and Radio Access Technology only in the corporate environment but also in households. Large number of consumers have embraced the Internet and use it today to access information online, for interactive business transactions, and e-commerce as well as electronic mail. Figure 1.1 illustrates the growth in mobile and Internet subscribers. The success of mobile communications, i.e. the ubiquitous presence it has established and the emergence of the Internet point towards a tremendous opportunity to offer inte- grated services through a wireless network. One of the main market segments for wireless services besides corporate intra- net/internet access is the consumer sector. The availability of intelligent terminals 1 or multipurpose wireless telephones is already ushering a new era of the information age, where subscribers can receive directly through GSM-SMS: news, sport updates, stock quotes, etc. However, the progress of audiovisual techniques and the support for a Web- like interface in a new generation of terminals, will push consumers to a new era of multimedia communications with a focus on services rather than technology. To support the growth of Internet type services 2 and future demands for wireless ser- vices, ETSI SMG and other standards bodies 3 have completed or are now completing specifications to provide a transition platform or evolution path for wireless networks like GSM. Figure 1.2 illustrates the wireless data technology options. The technology options in Figure 1.2 can be summarized as follows: 14.4 kbits/s allows GSM data calls with a rate of 14.4 kbits/s per time slot, resulting in a 50% higher data throughput compared to the current maximum speed of 9.6 kbits/s. High Speed Circuit Switched Data (HSCSD) aggregates symmetrically or asym- metrically several circuit channels, e.g. 28.8 kbits/s for two time slots (2 + 2) or 43.2 kbits/s for three time slots (3 + 1). General Packet Radio Service (GPRS) enables GSM with Internet access at high spectrum efficiency by sharing time slots between different users. It affords data rates of over 100 kbits/s to a single user while offering direct IP connectivity. Enhanced Data Rate for GSM Evolution (EDGE) modifies the radio link modula- tion scheme from GMSK to 8QPSK. Thereby increasing by three times the GSM throughput using the same bandwidth. EDGE in combination with GPRS (E- GPRS) will deliver single user data rates of over 300 kbits/s. UMTS as 3rd generation wireless technology utilizes a Wideband CDMA or TD/CDMA transceiver. Starting with channel bandwidths of 5 MHz it will offer data rates up to 2 Mbits/s. UMTS will use new spectrum and new radio network configurations while using the GSM core infrastructure. _______ 1 For example WAP terminals. 2 Including voice or IP as a new trend. 3 In the USA – T1P1, in Japan – ARIB, in Korea – TTA, and in China – CWTS. Evolving Mobile Networks 3 7URXJKSXWNESV Ãxà Ãx à %#Ãxà Ãxà !Ãxà Ãxà (('à (((à !à ! à !!à @yvÃ`rh ('*( ('*( 8076 8076 *356 *356 +6&6' 606 606 &LUFXLW 3DFNHW Figure 1.2 Evolution for wireless networks 4 , e.g. GSM. Although the circuit switched enhancements such as HSCSD will increase transmission rates, it is packet switched enhancements, which will meet the challenges or demands posed on current wireless networks. Thus, GPRS and UMTS with EDGE as an interme- diate solution will provide the platform to support integrated services of voice and data including multimedia. While GPRS and UMTS meet the demands for Internet (IP) features and higher band- widths in mobile networks, another evolution step is taking place in the network infra- structure. This is the convergence of single networks into a multi-purpose backbone network. The next section covers this step, which will have also impact on the imple- mentation of UMTS radio access technology. 1.1.1 Convergence of Fixed and Mobile Networks &RQYHUJHQFH LH WKH FORVHU LQWHUZRUNLQJ EHWZHHQ IL[HG DQG PRELOH WHOHFRPPXQLFD WLRQVDOWKRXJK LWKDV ORQJEHHQD EX]]ZRUG LQWKHWHOHFRP PDUNHWLV QRZFRPLQJLQWR UHDOLW\$V(ULFVVRQSXWVLW>@IL[HGDQGPRELOHFRQYHUJHQFHLQFOXGHVHYHU\WKLQJIURP QHZVHUYLFHVWRWKHLQWHJUDWLRQRIQRGHVQHWZRUNVDQGRSHUDWLQJV\VWHPV7KHXVHUPD\ KDYH HJ WKH VDPH YRLFH PDLOER[ IRU IL[HG DQG PRELOH WHOHSKRQ\ZKLOH WKHRSHUDWRU FDQ DOVR XVH WKH ODUJH VHFWLRQV RI WKH QHWZRUN LQ D FRRUGLQDWHG PDQQHU IRU GLIIHUHQW W\SHV RI DFFHVV 7KXV FRQYHUJHQFH LV QRZ D QHZ IURQWLHU LQ FRPPXQLFDWLRQV ZKHUH 8076ZLOOHYROYH )LJXUH LOOXVWUDWH KRZ VLQJOH VHUYLFH QHWZRUNV ZLOO HYROYH LQWR PXOWLSXUSRVH QHW ZRUNV ZLWK PXOWLOHYHO DFFHVV SRLQWV :LWK ,3 EHFRPLQJ PRUH SHUYDVLYH LQ WKH EDFN ERQHWKHFKDOOHQJHRILQWHJUDWLQJYRLFHDQGGDWDVHUYLFHVLQWKHIL[HGDQGPRELOHHQYL URQPHQWEHFRPHPRUHIRUPLGDEOH _______ 4 IS-136 has adopted EDGE as its air-interface expansion. 4 The UMTS Network and Radio Access Technology Qrr TvtyrTrvprÃIrx 9hhDQ 1HWZRUNV QGHI QTUI DT9I &DEOH 79 ,QIRUPDWLRQ 6HUYHUV &OLHQWVWRZDUGV,QWHJUDWHG 6HUYLFHV HyvGrryÃTrvpr 7hpxir HyvÃGrry 6ppr Qv HyvÃGrry 6ppr Qv à DryyvtrÃ8vphv Ã8y &RQWHQW ,QSXWV &RQWHQW ,QSXWV HyvÃGrry 6ppr Qv Ar HyvTrvprÃIrx UurHyvrrÃ8yvrÃ8pr 6pprÃUhÃhq TvpuvtÃIrx Figure 1.3 Multi-service network. Table 1.1 The Converging Industry in Telecommunications, Computers and Media Wire-line Wireless Mobility Telecom Industry PSTN PTN ISDN 2G 2.5 G 3G mobile 3G Internet New Telecoms Computer Industry Main Frames Desk top Computing PC-LAN PC- Servers PC- WAN Internet / Intranet WWW Electronic Commerce Converged Industry Media Industry Electronic Publication Interactive Entertainment New battle ground It boils downs to the transformation of the Telecom, Computer and Media Industry, resulting into the Converged Industry as illustrated in Table 1.1. Clearly then, UMTS will be part of the convergent Industry with a trend towards multi- services within integrated infrastructures. 1.2 T HIRD G ENERATION M OBILE S YSTEM R EQUIREMENTS Although third generation (3G) systems involve primarily infrastructure change in the Air-Interface (AI), it also has impact in the service configuration options and the access Evolving Mobile Networks 5 to the Core Network (CN). Hence, the 3G, or more specifically UMTS requirements in this section cover three main areas, i.e. services, air-interface, and core network access. 1.2.1 UMTS Services Aspects The scope of services can be largely focused on different issues like service manage- ment, charging and billing, terminals, network management, quality of service, and se- curity. Here, however, we will be looking at services from the principle side in other to establish a framework to present the UMTS air-interface. An extract of the service prin- ciples outlined in the ETSI specifications UMTS Services aspects – Service Principles and UMTS Services [4] and Services capabilities [16], can be summarized as follows: UMTS is the realization of a new generation of mobile communications technology for a world in which personal communications services should allow person-to-person calling, independent of location, the terminal used, the means of transmission (wired or wireless) and the choice of technology. UMTS shall therefore be in compliance with the following objectives: (a) to provide a single integrated system in which the user can access services in an easy to use and uniform way in all environments; (b) to allow differentiation between service offerings of various serving networks and home environments; (c) to provide a wide range of telecommunications services including those provided by fixed networks and requiring user bit rates of up to 2 Mbits/s as well as services spe- cial to mobile communications. These services should be supported in residential, public and office environments and in areas of diverse population densities. These services are provided with a quality comparable with that provided by fixed net- works such as ISDN; (d) to provide services via hand held, portable, vehicular mounted, movable and fixed terminals (including those which normally operate connected to fixed networks), in all environments (in different service environments – residential, private domestic and different radio environments) provided that the terminal has the necessary capa- bilities; (e) to provide support of roaming users by enabling users to access services provided by their home environment in the same way even when roaming. (f) to provide audio, data, video and particularly multimedia services; (g) to provide for the flexible introduction of telecommunication services; (h) to provide the capability to support Universal Personal Telecommunications (UPT); (i) to provide within the residential environment the capability to enable a pedestrian user to access all services normally provided by fixed networks; (j) to provide within the office environment the capability to enable a pedestrian user to access all services normally provided by PBXs and LANs; (k) to provide a substitute for fixed networks in areas of diverse population densities, un- der conditions approved by the appropriate national or regional regulatory authority. 6 The UMTS Network and Radio Access Technology (l) to provide support for interfaces which allow the use of terminals normally con- nected to fixed networks. In addition UMTS aims: – to enable users to access a wide range of telecommunications services, including many that are today undefined as well as multi-media and high data rates. – to facilitate the provision of small, easy to use, low cost terminals with long talk time and long standby operation; – to provide an efficient means of using network resources (particularly radio spec- trum). Based on the above objectives, specific requirements related to services are outlined in the ETSI Specifications [15–17]. These requirements are primarily concerned with items such as Quality of Service, Security and Charging, Service Management, etc. 1.2.2 UMTS Terrestrial Radio Access Aspects The UMTS Terrestrial Radio Access (UTRA) system requirements are based on the service requirements. The latter sets the demands, which UTRA specification aims to meet. Table 1.2 summarizes key (selected) requirements identified for the UTRA con- cept from [18]: Table 1.2 UTRA High Level Requirements Key requirements Description Bearer capabilities Maximum user bit rates Rural Outdoor 5 : at least 144 kbit/s (goal to achieve 384 kbit/s), maximum speed: 500 km/h Suburban Outdoor 6 : at least 384 kbps (goal to achieve 512 kbit/s), maximum speed: 120 km/h Indoor/Low range outdoor 7 : at least 2 Mbps, maximum speed: 10 km/h The UTRA definition should allow evolution towards higher bit rates Flexibility Negotiation of bearer service attributes (bearer type, bit rate, de- lay, BER, etc.) Parallel bearer services (service mix), real-/non-real-time communication modes, etc. Circuit and packet oriented bearers Supports scheduling (and pre-emption) of bearers (including control bearers) within priority Adaptability of link to quality, traffic and network load, as well as radio conditions. Wide range of bit rates should be supported with sufficient granu- larity _______ 5 The specified bit rate will be available throughout the operator’s service area, with the possibility of large cells. 6 The specified bit rate will be available with complete coverage of a suburban or urban area, using microcells or smaller macrocells. 7 The specified bit rate will be available indoors and localised coverage outdoors. Evolving Mobile Networks 7 Variable bit rate real time capabilities should be provided Bearer services appropriate for speech shall be provided Handover Provide seamless (to user) handover between cells of one opera- tor The UTRA should not prevent seamless HO between different operators or access networks Efficient handover between UMTS and 2nd generation systems, e.g. GSM, should be possible Operational requirements Compatibility with ser- vices provided by pre- sent core transport net- works ATM bearer services GSM services IP (internet protocol) based services B/N-ISDN services Radio access network planning If radio resource planning is required, automatic planning shall be supported Public network operators It shall be possible to guarantee pre-determined levels of QoS and quality to public UMTS ops Private and residential operators The radio access scheme should be suitable for low cost applica- tions where range, mobility and user speed may be limited Multiple unsynchronized systems should be able to successfully co-exist in the same environment It should be possible to install base stations without co-ordination Frequency planning should not be needed Efficient spectrum usage Spectrum efficiency High spectrum efficiency for typical mixtures of different bearer services Spectrum efficiency at least as good as GSM for low bit rate speech Variable asymmetry of total band usage Variable division of radio resource between up-link and down- link resources from a common pool (NB: this division could be in either frequency, time, or code domains) Spectrum utilization Allow multiple operators to use the band allocated to UMTS without co-ordination 8 It should be possible to operate the UTRA in any suitable fre- quency band that becomes available such as first and second gen- eration system’s bands Coverage/capacity The system should be flexible to support a variety of initial coverage/capacity configurations and facilitate coverage/capacity evolution Flexible use of various cell types and relations between cells (e.g. indoor cells, hierarchical cells) within a geographical area without undue waste of radio resources Ability to support cost effective coverage in rural areas Mobile terminal viability Hand-portable and PCM-CIA card sized UMTS terminals should be viable in terms of size, weight, operating time, range, effective radiated power and cost Network complexity and cost The development and equipment cost should be kept at a reason- able level, taking into account cell site cost, cross-connect, signal- ling load and traffic overhead (e.g. due to handovers) _______ 8 The feasibility of spectrum sharing requires further study. 8 The UMTS Network and Radio Access Technology Mobile station types It should be possible to provide a variety of mobile station types of varying complexity, cost and capabilities in order to satisfy the needs of different types of users Requirements from bodies outside SMG Alignment with IMT 2000 UTRA shall meet at least the technical requirements for submis- sion as a candidate technology for IMT 2000 (FPLMTS) Minimum bandwidth allocation It should be possible to deploy and operate a network in a limited bandwidth (e.g. 5 MHz) Electro-magnetic com- patibility (EMC) The peak and average power and envelope variations have to be such that the degree of interference caused to other equipment is not higher than in today’s systems RF radiation effects UMTS shall be operative at RF emission power levels, which are in line with the recommendations related to electromagnetic ra- diation Security The UMTS radio interface should be able to accommodate at least the same level of protection as the GSM radio interface does The UMTS Terrestrial Radio Access should be capable of co- existing with other systems within the same or neighbouring band depending on systems and regulations Multi-mode implementation capabilities Co-existence with other systems It should be possible to implement dual mode UMTS/GSM ter- minals cost effectively By looking at the bearer capabilities in Table 1.2, we can see that evolution towards higher rates will initially apply mainly to indoor rates. In this environment convergence will also have higher impact. In addition, UTRA will not only prevent seamless HO between different operators or access networks, but also support HO between 2G and 3G systems, e.g. GSM and UMTS. UTRA will support key technologies, like ATM, IP, BISDN, as well as GSM, when it comes down to core network (CN) transports. This will consolidate the trend of 2G CN towards integrated circuit switched and packet switched services. 1.3 E NHANCING T ECHNOLOGIES 1.3.1 Capacity Increasing Antennas By increasing the number of BS antennas we can resolve the uplink limitation of WCDMA. However, this approach does not allow a single step solution because many factors intervene before completing the process. These factors include: propagation en- vironment, BS configuration, environmental issues as a result of power levels, and net- work integration in terms of the RNC. However, here we consider first the BS configu- ration by looking at the antenna design. We need low correlation between the antennas achievable by adequate separation between the antennas. The beam forming technique may exploit a uniform linear array, where the inter-antenna spacing falls near 1/2 of a carrier wavelength. Then sectors using narrow beams will have an increased antenna gain when compared to typical sector antenna. Evolving Mobile Networks 9 While pico and micro environments have higher angular diversity, the macro environ- ment has lower angular diversity, but higher multi-path diversity. Thus, the macro envi- ronment can benefit from beam forming techniques, because the latter applies more to lower angular diversity conditions. The optimum number of branches will depend on the accuracy of the channel estimation, Godara [19,20] presents more beam forming options related to mobile applications. 1.3.2 Multi-user Detection Techniques Multi-user Detection (MUD) techniques may apply to both the UL and DL. However, initially due to processing power constraints in the MS, MUD may be exploited first in the BS. Thus, here we look at performance enhancement primarily in the UL while im- plementing MUD in the BS. The two UTRA modes, i.e. FDD and TDD can benefit from MUD techniques. In fact, the joint detection algorithm is already an inherent part of the TDD mode. Capacity within interference-limited WCDMA can improve through the use of efficient receivers. This implies that the structured multiple access interference can be dealt with at the receiver through multi-user detectors [21]. MUD techniques have been covered at length in Refs. [22,23]. Here we aim to point out some of the promising techniques, which can apply to future releases of the WCDMA mode. Studies in MUD techniques for WCDMA BS receivers [24–26], indicate that a multi- stage parallel interference cancellation (PIC) may suite well WCDMA systems with a single spreading factor (SF). The parallel interference cancellation implies that interfer- ence gets cancelled from all users concurrently. MUD techniques for multi-service WCDMA with a variable spreading factor has been studied in Ref. [27], where a group- wise serial interference cancellation (GSIC) receiver [28–30] appears to be the most promising of the present receiver designs. In this technique, users with a given SF are also detected concurrently, after which the MAI 9 originated by them gets suppressed by the users having different SF. 1.3.3 Software Radio Applications Although 3G wireless communications concepts, e.g. IMT-2000 family of networks, aim towards global standardization to break away with multiple standards deployed in particular geographical areas, there is a need for multi-frequency transceivers operating in common hardware platforms for practical solutions in the medium and long-term. This solution appears more realistic today through Software Radio (SR), the application of flexible and programmable transceivers. Thus, SR sets itself as a key technology to drive the realization of global standards in 3G systems. The evolution of GSM to UMTS alone will benefit multi-band multi-mode (GSM 900, 1800, 1900, GPRS, UMTS (FDD and TDD) terminals. On the other hand, SR not only applies to terminals or Mo- _______ 9 Multiple Access Interference. 10 The UMTS Network and Radio Access Technology bile Stations (MS) but also the to the Base Stations (BS). In the sequel we cover SR as part of the enabling techniques in the MS and BS. The main limitation of the feasibility of MUD in real commercial systems has been the disproportionate processing speeds afforded by current DSP 10 technology and the re- quirement of the detection and estimation algorithms. Although overall performance of DSPs has increased and keeps increasing, 3G systems also are pushing the signal proc- essing capabilities higher and higher. Tasks such as high-data-rate signal acquisition, more accurate channel estimation for highly selective fading environments, fast signal quality estimation algorithms involved in power control, and optimum combining of signals for diversity gains in space and time, demand all the power a processor can pro- duce. These demands can be realized more rapidly through Software Defined Radio (SDR). Thus, while compatibility between standards remains attractive, SDRs will shape into software and hardware reconfigurable radios in the RF, intermediate frequency (IF), as well as base-band processing stages [31–34]. 1.3.4 Implementation and Integration Aspects Research studies aiming to improve the overall performance of multiple access tech- niques such as WCDMA or TDCDMA have provided interesting and applicable meth- ods. However, these results may not necessarily be part of the first UTRA commercial systems in the next 2 years. Thus, it will be some time before techniques such as Soft- ware Radio, Adaptive Antennas, and Multi-user Detection enhance capacity, coverage and increase system stability. Implementation and integration appear as key limitations to bring these advanced tech- niques into operating systems or near future 11 exploitable networks. Processing power demands for example, do not allow rapid implementation of the above methods. Fur- thermore, integrating such techniques into smaller components is a great challenge. This means, that while less optimum supporting techniques like system on a chip, maximiz- ing power consumption, or operating at very low power come into place; the aforemen- tioned improvements will remain academic. At present, while UMTS frequency licensing becomes big business for governments, operators seem to have fall into the spin of supremacy and consolidation for market share and have somehow forgotten the timeliness of technology. Manufacturers are finding themselves in a race to supply plain vanilla solutions and are incapable of im- plementing true breakthroughs in multiple access or radio-access techniques. Thus, it seems reasonable to think that it may be to the benefit of industry as a whole and governments themselves to concentrate on putting more resources into the realiza- tion of new communications technologies than just coping with spectrum allocation and acquisition to offer services with higher transmission rates. Such an approach will make _______ 10 Digital Signal Processor. 11 Recent evaluation on end-to-end industrial solutions do not yet show these techniques as part of a product. [...]... cover SR as part of the enabling techniques in the MS and BS The main limitation of the feasibility of MUD in real commercial systems has been the disproportionate processing speeds afforded by current DSP10 technology and the requirement of the detection and estimation algorithms Although overall performance of DSPs has increased and keeps increasing, 3G systems also are pushing the signal processing . example WAP terminals. 2 Including voice or IP as a new trend. 3 In the USA – T 1P1, in Japan – ARIB, in Korea – TTA, and in China – CWTS. Evolving Mobile Networks