Cambridge University Press 0521828155 - WCDMA Design Handbook Andrew Richardson Frontmatter More information

WCDMA Design Handbook

Developed out of a successful professional engineering course, this practical handbook provides a comprehensive explanation of the Wideband CDMA (Code Division Multiple Access) air interface of third-generation UMTS cellular systems. The book addresses all aspects of the design of the WCDMA radio interface from the lower layers to the upper layers of the protocol architecture. The book considers each of the layers in turn, to build a complete understanding of the design and operation of the WCDMA radio interface including the physical layer, RF and baseband processing, MAC, RLC, PDCP/BMP, Non-Access Stratum and RRC. An ideal course book and reference 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-generation mobile 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 Press 0521828155 - WCDMA Design Handbook Andrew Richardson Frontmatter More information

WCDMA Design Handbook

Andrew Richardson
Imagicom Ltd

Cambridge University Press

www.cambridge.org

Cambridge University Press 0521828155 - WCDMA Design Handbook Andrew Richardson Frontmatter More information

p u b l i s h e d b y t h e p r e s s s y n d i c at e o f t h e u n i v e r s i t y o f c a m b r i d g e The Pitt Building, Trumpington Street, Cambridge, United Kingdom cambridge university press The Edinburgh Building, Cambridge CB2 2RU, UK 40 West 20th Street, New York, NY 100114211, USA 477 Williamstown Road, Port Melbourne, VIC 3207, Australia Ruiz de Alarc n 13, 28014 Madrid, Spain o Dock House, The Waterfront, Cape Town 8001, South Africa http://www.cambridge.org
C

Andrew Richardson 2005

This book is in copyright. Subject to statutory exception and to the provisions of relevant collective licensing agreements, no reproduction of any part may take place without the 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
A System L TEX 2 [tb]

A catalogue record for this book is available from the British Library Library of Congress Cataloguing in Publication data Richardson, Andrew, 1961 WCDMA Design Handbook / Andrew Richardson. p. cm. Includes bibliographical references and index. ISBN 0 521 82815 5 1. 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 2004 621.3845 dc22 2003058670 ISBN 0 521 82815 5 hardback

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Cambridge University Press 0521828155 - WCDMA Design Handbook Andrew Richardson Frontmatter More information

To my wife and family, Alex, Beth, Emma and Evie, and also to my parents Peter and Marea.

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Cambridge University Press 0521828155 - WCDMA Design Handbook Andrew Richardson Frontmatter More information

Contents

Preface Acknowledgements List of abbreviations

page xiii xv xvi

Introduction
1.1 1.2 1.3 1.4 1.5 Concepts and terminology Major concepts behind UMTS Release 99 (R99) network architecture R4 and R5 network architecture Services provided by UMTS and their evolution from GSM/GPRS services 1.6 Summary

1 1 4 8 16 19 23

WCDMA in a nutshell
2.1 2.2 2.3 2.4 2.5 2.6 2.7 Protocol architecture SAPs Principles of the physical layer Principles of the upper layers Radio and data connections Security issues Summary of the operation of the radio interface

24 24 29 33 42 47 51 59

Spreading codes and modulation

3.1 Introduction 3.2 Introducing WCDMA spreading functions

64 64 66

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Contents

3.3 3.4 3.5 3.6 3.7

Channelisation codes Scrambling codes Modulation Downlink spreading and modulation Uplink spreading and modulation

71 87 97 102 108

Physical layer
4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 Introduction Physical channel mapping Uplink channels Downlink channels Spreading and scrambling codes Cell timing PRACH timing and CPCH timing Summary

115 115 115 115 122 128 134 136 136

RF aspects
5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 Frequency issues UE transmitter specications Node B transmitter specications Received signals Node B receiver characteristics Node B receiver performance UE receiver characteristics UE receiver performance tests UMTS transceiver architecture study

137 137 140 143 146 154 165 169 174 176

Chip rate processing functions

6.1 6.2 6.3 6.4 6.5 Introduction Analogue to digital converter (ADC) Receive ltering Rake receiver overview Channel estimation

184 184 184 187 189 204

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Contents

6.6 6.7

Searcher Initial system acquisition

206 208

Symbol rate processing functions

7.1 7.2 7.3 7.4 WCDMA symbol rate transmission path Convolutional error correction codes Turbo codes as used in WCDMA The performance of the WCDMA turbo code via examples

217 217 229 235 247

Layer 2 medium access control (MAC)

8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 MAC introduction MAC architecture MAC functions and services MAC PDUs and primitives MAC operation Random access procedure Control of CPCH TFC selection in uplink in UE

248 248 251 257 261 264 264 277 282

Layer 2 RLC
9.1 9.2 9.3 9.4 9.5 Introduction TM UM AM Summary

300 300 300 306 314 335

10

PDCP and BMC protocols

10.1 10.2 10.3 10.4 PDCP architecture and operation Broadcast/multicast control CBS PDU summary Summary

337 337 344 347 348

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Contents

11

Layer 3 RRC
11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8 11.9 Introduction System information broadcasting Paging and DRX RRC connection establishment Direct transfer procedure RB setup Handover Miscellaneous RRC procedures Summary

349 349 352 358 362 374 377 379 391 394

12

Measurements
12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8 Introduction Measurement control Measurement variables Cell signal measurement procedures Reporting the measurement results Measurements for interoperation with GSM Location services measurements Summary

395 395 400 404 406 414 425 433 436

13

NAS
13.1 13.2 13.3 13.4 13.5 13.6 13.7 13.8 13.9 Introduction NAS architecture MS classes and network modes MM protocol entity Call control protocol GMM protocol states GMM procedures SM protocol and PDP contexts SMS protocol

437 437 437 441 442 456 467 476 483 498

14

Idle mode functions

14.1 14.2 USIM architecture and operation Idle mode overview

508 509 514

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Contents

14.3 14.4 14.5 14.6 14.7

Idle mode substate machine NAS idle mode functions and interrelationship AS idle mode functions and interrelationship Example of idle mode procedures Summary

515 519 527 537 541 542 551 553

Appendix References Index

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Cambridge University Press 0521828155 - WCDMA Design Handbook Andrew Richardson Frontmatter More information

Preface

The WCDMA Design Handbook addresses the subject of wideband code division multiple access (WCDMA) as dened by the Third Generation Partnership Project (3GPP) and provides a detailed review of the architecture and the operation of the system. In particular, the focus of the book is the radio interface, from the physical layer through to the upper layers of the non-access stratum. This text either offers a complete end-to-end explanation of the system operation, or alternatively allows the reader to focus on any aspects of the system which are of specic interest and relevance. For this reason, the material is presented in a modular fashion, with the overlap and interlinking of the chapters kept to a minimum to allow the chapters to be as selfstanding as possible in order to facilitate a pick and mix approach to the book where required. 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 specic details in each of the relevant chapters. The major principles for the operation of the WCDMA system are considered throughout the different chapters, including the use of codes and multiplexing in the physical layer, the procedures for transport format combination control in layer 2 and the radio interface control procedures either within the radio resource control (RRC) protocol in the access stratum, or within the mobility management and service management protocols in the non-access stratum. One of the key methods of examining the system is the use of examples to demonstrate the operation of specic procedures or processes. At the lower layers, the book focuses on the FDD mode of the WCDMA system. The use of the TDD mode is considered to a greater degree as the higher layer protocols are considered. The emphasis is on the rst release of the WCDMA specications (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 is benecial for the reader to have had some previous exposure to cellular radio systems such as GSM. It is assumed that the reader is comfortable with the technical nature of the information in this technical book.
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Preface

The book can be considered as being in four parts. Part 1 comprises Chapters 13 and is a general introduction; Part 2, Chapters 47, covers mainly the physical layer; Part 3, Chapters 812, covers layers 2 and 3 in the access stratum; and Part 4, Chapters 13 and 14, covers the non-access stratum protocols. The reading of these four parts will depend upon the specic interests of the reader. For RF, DSP, ASIC and hardware engineers Parts 1 and 2 are recommended. For protocol designers/software designers and protocol test engineers who are focussing on the operation of the access stratum of the WCDMA system, Parts 1 and 3 are the most appropriate. Both protocol designers/ software designers and protocol test engineers concentrating on the operation of the non-access stratum of the WCDMA system should read Parts 1 and 4. Finally, for an interested reader, or for a graduate or undergraduate course, the chapters can be taken in order. The book closely follows the 3GPP specications; for completeness the relevant specications 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 of presenting the material in the form of a number of training courses on WCDMA, from layer 1 through to the non-access stratum. It is the rst in what is planned to be a series of books by the author following the development of the UMTS and wireless cellular market place, with an emphasis on a detailed understanding of the design and operation of the technology. Dr Richardson is a director of the established training and consultancy company Imagicom Ltd (www.imagicom.co.uk), which specialises in delivering regular advanced level technical training courses, the material for which is constantly updated and presented both via a range of scheduled public courses usually held in Cambridge UK and to major players in the telecommunications industry on an in-house basis.

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Acknowledgements

I would like to give special thanks to my wife Alex for her enduring support over the 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.

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Abbreviations

2G 3G 3G-MSC/VLR 3GPP 3G-SGSN AC ACK ACLR ACS ADC ADF AGC AI AICH AID AK AM AMD AMF AMR AP APN ARQ AS ASC ASIC ATM ATT ATT AUTN AV
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second generation third generation third generation mobile switching centre/visitor location register 3rd Generation Partnership Project third generation serving GPRS support node access class acknowledgement adjacent channel leakage ratio adjacent channel selectivity analogue to digital converter application dedicated les automatic gain control acquisition indicator acquisition indication channel application identier anonymity key acknowledged mode acknowledged mode data authentication and key management eld adaptive multirate access preamble access point name automatic repeat request access stratum access service class application specic integrated circuit asynchronous transfer mode AICH transmission timing attach ag authentication token authentication vector

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Abbreviations

AWGN BBF BC BCCH BCD BCFE BCH BER BGCF BLER BMC BO BPF BPSK BS BSC BSS BTS C/I C/T CA CAI CAMEL CBC CBS CC CCC CCCH CCDF CCTrCH CD CD/CA-ICH CDMA CFN CID CK CKSN CLI CLIR CM CN

additive white Gaussian noise baseband lter broadcast control broadcast control channel binary coded decimal broadcast channel functional entity broadcast channel bit error rate breakout gateway control function block error rate broadcast and multicast control protocol buffer occupancy band pass lter binary phase shift keyed base station base station controller base station system base transceiver station carrier to interference ratio control/trafc channel assignment channel assignment indicator customised application for mobile network enhanced logic cell broadcast centre cell broadcast service call control CPCH control channel common control channel complementary cumulative distribution function coded composite transport channel collision detection collision detection/channel assignment indicator channel code division multiple access connection frame number context identier cipher key cipher key sequence number calling line identication calling line identication restriction connection management core network

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Abbreviations

CP CPBCCH CPCH CPICH CRC CRNC c-RNTI CS CSCF CSICH CTCH CTFC CTS CW D/C DAC DC DCCH DCF DCFE DCH DCS1800 DC-SAP DECT DF DPCCH DPCH DPDCH DRAC DRNC DRNS DRX DSCH DSP DTCH DTX EDGE EF EGC EIR e-MLPP

control protocol compact packet BCCH common packet channel common pilot channel cyclic redundancy check controlling radio network controller cell radio network temporary identier circuit switched call session control function CPCH status indication channel common trafc channel calculated transport format combination cordless telephony system continuous wave data/control digital to analogue converter dedicated control dedicated control channel digital channel lter dedicated control functional entity dedicated transport channel digital cellular network at 1800MHz dedicated control SAP digital enhanced cordless telecommunications dedicated les dedicated physical control channel dedicated physical channel dedicated physical data channel dynamic resource allocation control drift radio network controller drift radio network subsystem discontinuous reception downlink shared transport channel digital signal processor dedicated trafc channel discontinuous transmission enhanced data rates for GSM evolution elementary le efcient Golay correlator equipment identity register enhanced multilevel precedence and preemption

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Abbreviations

EMS EOT EPC ETSI EVM FACH FBI FCT FDD FDMA FER FFT FHT FIR G3 GC GERAN GGSN GMM GMMAS-SAP GMSC GPRS GSM GSMS GTP HC HCS HE/AuC HFN HLR HPLMN HPSK HSDPA HSS HTTP I-CSCF IE IK IMEI IMS IMSI

extended message service end of transmission estimated PDU counter European Telecommunications Standards Institute error vector magnitude forward access channel feedback mode indicator frame count transmitted frequency division duplex frequency division multiple access frame error rate fast Fourier transform fast Hadamard transform nite impulse response Group 3 general control GSM/EDGE radio access network gateway GPRS support node GPRS mobility management GPRS mobility management SAP gateway mobile switching centre general packet radio service global system for mobile communications GPRS short message service GPRS tunnelling protocol header compression hierarchical cell structures home environment/authentication centre hyper frame number home location register home PLMN hybrid PSK high speed downlink packet access home subscriber server hypertext transfer protocol interrogating call session control function information element integrity key international mobile equipment identity internet protocol multimedia subsystem international mobile subscriber identity

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Abbreviations

IMT2000 IP IPDL ISDN ITU KSI LA LAC LAI LAPP LAU LI LLC LLR LNA LO LR LSB MAC MAC MAC-b MAC-c/sh MAC-d MAC-hs MAP MASF MCC ME MF MGCF MGW MIB MLSE MM MN MNC MO MRC MRF MRFC MRFP

International Mobile Telecommunications 2000 internet protocol idle period on the downlink integrated services digital network International Telecommunication Union key set identier location area location area code location area identier log a-posteriori probability location area update length indicator logical link control log likelihood ratio low noise amplier local oscillator location registration least signicant bit message authentication code medium access control MAC broadcast MAC common or shared MAC dedicated MAC high speed maximum a-posteriori probability minimum available spreading factor mobile country code mobile equipment master le media gateway control function media gateway master information block maximum likelihood sequence estimation mobility management mobile network mobile network code mobile originated maximum ratio combining media resource function media resource function controller media resource function processor

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Abbreviations

MRW MS MSB MSC MSE MSIN MT MUX NACK NAS NSAPI NW OCQPSK OSI OTDOA OVSF PCCC PCCH PCCPCH PCDE PCF PCH PCPCH P-CPICH PCs P-CSCF PD PDC PDCP PDN PDP PDSCH PDU PI PICH PID PIN PLMN PMM PN PNFE

move receive window mobile station most signicant bit mobile switching centre mean square error mobile subscriber identier number mobile terminated multiplex negative acknowledgement non-access stratum network service access point identier network orthogonal complex QPSK open systems interconnection observed time difference of arrival orthogonal variable spreading factor parallel concatenated convolutional code paging control channel primary common control physical channel peak code domain error policy control function paging channel physical common packet channel primary common pilot channel personal communication system proxy call session control function protocol discriminator personal digital cellular packet data convergence protocol packet data network packet data protocol physical downlink shared channel protocol data unit paging indicator paging indication channel packet identier personal identication number public land mobile network PS mobility management pseudo-noise paging and notication functional entity

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Abbreviations

PRA PRACH PS PSC P-SCH PSK PSTN PTM P-TMSI PTP QoS QPSK R4 R5 R6 R99 RA RAB RABM RAC RACH RAI RAT RAU RB RES RL RLC RLS RLS RM RNC RNS RNTI ROHC RPLMN RRC RRC RR-SAP RSCP

PCPCH resource availability physical random access channel packet switched primary synchronisation code primary synchronisation channel phase shift keying public switched telephone network point to multipoint packet temporary mobile subscriber identity point to point quality of service quadrature phase shift keying Release 4 Release 5 Release 6 Release 99 routing area radio access bearer radio access bearer manager radio access capability random access channel routing area identier radio access technology routing area update radio bearer response radio link radio link control radio link set recursive least squares rate match radio network controller radio network subsystem radio network temporary identier robust header compression registered PLMN radio resource control root raised cosine radio resource SAP receive signal code power

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Abbreviations

RTT S/P SAP SCCPCH SCH S-CPICH SCR S-CSCF SDP SDU SF SFN SGSN SHCCH SI SI SIB SIBn SID SIP SIR SISO SLF SM SMC-CS SMC-GP SM-RL SMS SMSMM SM-TL SNR SOVA SQN SRB SRNS s-RNTI SS S-SCH SSDT STTD

round trip time serial to parallel service access point secondary common control physical channel synchronisation channel secondary common pilot channel source controlled rate serving call session control function session description protocol service data unit spreading factor system frame number serving GPRS support node shared channel control channel status indicator stream identier system information block system information broadcast type n (n = 1, . . . ,18) silence descriptor session initiation protocol signal to interference ratio soft in soft out subscription location function session management short message control circuit switched short message control GPRS protocol short message relay layer short message service SMS mobility management short message transfer layer signal to noise ratio soft output Viterbi algorithm sequence number signalling radio bearer serving radio network subsystem serving radio network temporary identier supplementary service secondary synchronisation channel site selection diversity transmission space time transmit diversity

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Abbreviations

SUFI TACS TAF TCP TCTF TCTV TDD TDMA TE TF TFC TFCI TFCS TFS TFT TG8/1 TGMP TI TIA TM TMD TMSI ToS TPC TTI TVM Tx UARFCN UDP UE UICC UM UMTS URA URL u-RNTI US USAT USCH USIM UTRAN

super elds total access communications system terminal adaptation function transmission control protocol target channel type eld trafc channel transport volume time division duplex time division multiple access terminal equipment transport format transport format combination transport format combination indicator transport format combination set transport format selection trafc ow template Task Group 8/1 transmission gap sequence measurement purpose transaction identier Telecommunications Industry Association transparent mode transport mode data temporary mobile subscriber identity type of service transmit power control transmission time interval trafc volume measurement transmit UTRA absolute radio frequency channel number user datagram protocol user equipment universal integrated circuit card unacknowledged mode Universal Mobile Telecommunications System C304 UTRAN registration area uniform resource locator UTRAN radio network temporary identier update status USIM application toolkit uplink shared channel universal subscriber identity module UMTS terrestrial radio access network

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Abbreviations

VAD VCAM VGCS VLR WCDMA XMAC XRES

voice activity detection versatile channel assignment mode voice group call service visitor location register wideband code division multiple access expected message suthentication code expected response

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