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Diplomarbeit

Downlink Transmit Diversity


for UMTS FDD

ausgefuhrt am
Institut fur Nachrichtentechnik und Hochfrequenztechnik
der Technischen Universitat Wien
von
Johannes Platz

2020 Hollabrunn, Buchenweg 5

Wien, im Dezember 2001

Betreuer:
Dipl.-Ing. Thomas Baumgartner
O.Univ.Prof. Dipl.-Ing. Dr.techn. Ernst Bonek

Zusammenfassung
Der Bedarf an neuen Mobilkommunkationssystemen ergibt sich in erster Linie durch den
enormen Zuwachs an Teilnehmern. Zusatzlich werden diese Systeme eine Vielzahl neuer
Dienste einschlielich drahtlosem Internet Zugang, hochdatenratiger mobiler Datendienste und anderer Multimedia-Anwendungen ermoglichen. Der Teilnehmerzuwachs sowie
die erwahnten Dienste begrunden den Bedarf an erhohter Systemkapazitat zukunftige
Mobilkommunkationssysteme.
Diese Diplomarbeit beschaftigt sich mit Sendediversitatsmethoden die zur Kapazitatserhohung in der Abwartsstrecke eingesetzt werden. Das Prinzip der Sendediversitat besteht darin, dass die gleiche Information von zwei Antennen an der Basisstation zum
Teilnehmer gesendet wird. Falls die Signale der beiden Sendeantennen unabhangig voneinander gestort werden, wird Diversitat am Empfanger erzielt. Ist dies der Fall, so kann
das Verhaltnis zwischen Nutzsignal und Rauschen inklusive Storungen anderer Basisstationen verbessert werden. Das fuhrt wiederum dazu, dass fur die gleiche Signalqualitat
am Empfanger, weniger Sendeleistung erforderlich ist.
Meine Untersuchungen konzentrieren sich auf zwei im UMTS Standard spezi zierte Diversitatsmethoden, welche zusatzlich die Ruckmeldung der Information uber den Zustand
des Mobilfunkkanals vom Mobilgerat an die Basisstation vorsehen. In der Basisstation
wird dieses Wissen verwendet, um so zu senden, dass sich die Signale beider Sendeantennen am Mobilgerat konstruktiv uberlagern. Zur Untersuchung der Leistungsfahigkeit der
beiden Methoden, wurde ein Simulations-Tool entwickelt, welches auf den Spezi kationen
des europaischen UMTS Standards basiert. Es wird die Anwendung der Sendediversitatstechniken in verschiedenen Szenarien untersucht und ihre Leistungsfahigkeit verglichen.
Die Simulationsergebnisse zeigen eine starke Abhangigkeit der Leistung beider Diversitatsmethoden von der Geschwindigkeit des Mobilgerates sowie von Ruckmeldefehlern.
Mode 1 erzielt fur hohere Geschwindigkeiten bessere Ergebnisse als Mode 2, hingegen
liefert Mode 2 fur geringe Geschwindigkeiten hoheren Gewinn. Mithilfe der Simulationsergebnisse wurde der Schnittpunkt bei einer Geschwindigkeit von v = 21 km/h ermittelt.
Der Ein u der Ruckmeldefehler kann mit 0.2 dB pro 1% Ruckmeldefehler fur beide Modi angegeben werden. Des weiteren wurde die Anwendung der Diversitatstechniken in
Umgebungen mit verschiedener Anzahl von Ausbreitungspfaden sowie unterschiedlicher
Korrelation zwischen den Funkkanalen untersucht.
II

Abstract
The requirements for the next generation of mobile communication systems are primarily
driven by the explosive growth of worldwide mobile communication subscribers. Additionally, 3G systems will allow various of new services including wireless Internet access,
high-speed mobile data services and other multimedia applications. The expected growth
of subscribers and the provided services indicate the need for increased system capacity
of the future mobile communication systems.
This thesis deals with Transmit Diversity techniques used for capacity enhancement in the
downlink. The principle of Transmit Diversity is to send the same information with two
antennas at the base station. If the signals from the di erent antennas fade independently,
diversity at the receiver is achieved. Therefore, the ratio between the desired signal and
the noise plus interference form other base stations can be enhanced. This means that
there is less transmission power required to meet the same signal quality as in the single
antenna case.
The investigations within the scope of this work focus on two close loop Transmit Diversity concepts speci ed in the UMTS standard. They additionally provide a feedback of
the downlink channel state information from the hand-set to the base station. This information is used for the downlink transmission to achieve coherently combined signals at
the mobile's receive antenna. The performance of these methods is compared by means of
link level simulations. The implemented simulation tool is based on the European UMTS
speci cations. I consider the application of the closed loop Transmit Diversity techniques
in di erent scenarios. Their performance is evaluated by the calculation of the Bit Error
Rate (BER) at the receiver dependent on the ratio between the received energy per bit
and the power spectral density of the received noise plus interference from other base
stations, Eb =N .
My simulation results show a strong dependency of both closed loop Transmit Diversity
modes on the velocity of the mobile station and the number of errors during the feedback
of the channel state information. Closed loop mode 1 performs better for higher velocities
while mode 2 shows a higher gain for low speeds. I found the crossing between mode 1 and
2 at a speed of v = 21 km/h. The investigations of the in uence of feedback errors showed
a reduction in performance of 0.2 dB per 1% feedback error for both modes. Furthermore,
I considered the application of the closed loop modes in di erent multipath environments
and for correlated fading channels.
0

III

Acknowledgment
Prof. Ernst Bonek inspired me to enhance my knowledge in the interesting eld of mobile
communications. I would like to express my appreciation for his help and that he enabled
me to write my diploma thesis at The Institute of Communications and Radio-Frequency
Engineering.
Thomas Baumgartner, thank you for your encouragement and for all the time-consuming
discussions we had. They contributed enormously to the quality of my work. Thank you
for your e ort while proof-reading my thesis.
Special thanks to Thomas Neubauer who had raised the issue of my work, Werner
Weichselberger for helpful suggestions, Klaus Kopsa for providing me with a framework
of simulation tools and Katharina Saminger for creative support in the English language
and for the erasing of innumerably many commas.
A big Thank You to my parents who enabled my studies. Together with my sister Petra
they have helped me whenever they could.
Susi, I thank you for your patience and understanding especially in the nal countdown
of my thesis.

IV

Contents
1 Introduction

2 UMTS Overview

2.1 System Architecture . . . . . . . . . . . . .


2.2 Radio Interface . . . . . . . . . . . . . . . .
2.2.1 Multiple Access . . . . . . . . . . . .
2.3 Physical Layer . . . . . . . . . . . . . . . . .
2.3.1 Physical Channels . . . . . . . . . . .
2.3.2 Downlink Spreading and Modulation

3 Downlink Capacity

3.1 Problems of UMTS Downlink .


3.1.1 Wave Propagation . . .
3.1.2 Interference . . . . . . .
3.1.3 Code Orthogonality . . .
3.2 Capacity Improvement . . . . .
3.2.1 Downlink Power Control
3.2.2 Diversity Combining . .

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4 Downlink Transmit Diversity

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27

4.1 Transmit Diversity Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . 28


4.2 Closed Loop Transmit Diversity . . . . . . . . . . . . . . . . . . . . . . . . 31
4.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
V

VI

CONTENTS

4.2.2 UTRA FDD Closed Loop Transmit Diversity Procedure


4.2.3 Closed Loop Mode 1 . . . . . . . . . . . . . . . . . . . .
4.2.4 Closed Loop Mode 2 . . . . . . . . . . . . . . . . . . . .
4.3 Concepts with more than two Transmit Antennas . . . . . . . .
4.3.1 Nokia's Proposal for more Tx Antennas . . . . . . . . .
4.3.2 Eigenbeamformer . . . . . . . . . . . . . . . . . . . . . .

5 Simulation Environment

5.1 Introduction . . . . . . . . . .
5.2 Description of the Simulator .
5.2.1 General System Model
5.2.2 Signal Model . . . . .
5.2.3 Transmitter . . . . . .
5.2.4 Channel Model . . . .
5.2.5 Receiver . . . . . . . .
5.3 Simulation Parameters . . . .

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6 Simulation Results
6.1
6.2
6.3
6.4

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Achievable Gain of Transmit Diversity . . . . . . .


Multipath Environment . . . . . . . . . . . . . . .
Fast Changing Channels . . . . . . . . . . . . . . .
Correlated Propagation Channels . . . . . . . . . .
6.4.1 Generation of Correlated Channels . . . . .
6.4.2 Simulation Results for Correlated Channels
6.5 Feedback Errors . . . . . . . . . . . . . . . . . . .
6.5.1 Mode 1 and Mode 2 . . . . . . . . . . . . .
6.5.2 Mode 1 with Antenna Veri cation . . . . . .

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7 Summary and Conclusions

70

A Relation between BER and BLER

73

B Abbreviations

75

List of Figures
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9

System architecture of UMTS . . . . . . . . . . . . . . . . . . . . . . . . .


Protocol architecture around the physical layer . . . . . . . . . . . . . . . .
Time, frequency, and code allocation in WCDMA FDD . . . . . . . . . . .
Downlink DPCH frame structure . . . . . . . . . . . . . . . . . . . . . . .
CPICH symbol sequences for antenna 1 and 2 in case of Transmit Diversity
Uplink DPCCH frame structure . . . . . . . . . . . . . . . . . . . . . . . .
Downlink spreading and modulation . . . . . . . . . . . . . . . . . . . . . .
Code tree for OVSF channelization codes . . . . . . . . . . . . . . . . . . .
Generation of Gold sequences . . . . . . . . . . . . . . . . . . . . . . . . .

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3.1 Amplitude distribution functions for NLOS and LOS situations . . . . . . 17


3.2 Log-normal distribution of the local mean amplitude . . . . . . . . . . . . 18
3.3 Block Diagram of a CDMA Rake receiver with MRC . . . . . . . . . . . . 25
4.1
4.2
4.3
4.4
4.5
4.6
4.7

General transmitter structure at Node B . . . . . . . . .


Format of feedback signalling message (FSM) . . . . . .
Time relation between feedback signalling and weighting
Constellation rotation at UE . . . . . . . . . . . . . . . .
Possible values of w for closed loop mode 1 . . . . . . .
Possible values of w for closed loop mode 2 . . . . . . .
General structure of the eigenbeamformer at the UE . . .
2

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5.1 General system model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44


5.2 Classical Doppler Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . 48
VII

VIII

LIST OF FIGURES

5.3 Wideband Channel Model . . . . . . . . . . . . . . . . . . . . . . . . . . . 49


6.1
6.2
6.3
6.4
6.5
6.6
6.7
6.8
6.9
6.10
6.11
6.12
6.13
6.14

Maximum Transmit Diversity gain in a at fading channel . . . .


Maximum Transmit Diversity gain in a multipath fading channel .
Mode 1 in di erent multipath environments . . . . . . . . . . . .
Mode 2 in di erent multipath environments . . . . . . . . . . . .
Required Eb=N in di erent multipath environments . . . . . . . .
Mode 1 for di erent velocities . . . . . . . . . . . . . . . . . . . .
Mode 2 for di erent velocities . . . . . . . . . . . . . . . . . . . .
Required SNR for di erent velocities . . . . . . . . . . . . . . . .
Mode 1 in correlated fading channels . . . . . . . . . . . . . . . .
Mode 2 in correlated fading channels . . . . . . . . . . . . . . . .
Required Eb=N for di erent channel correlations . . . . . . . . .
Mode 1 and 2 with feedback (FB) errors . . . . . . . . . . . . . .
Required Eb=N for di erent feedback error probabilities . . . . .
Required Eb=N of mode 1 with Antenna Veri cation (AV) . . . .
0

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69

A.1 Block Error Rate (BLER) versus Bit Error Rate (BER) . . . . . . . . . . . 74

List of Tables
4.1
4.2
4.3
4.4
4.5
4.6

Comparison between Transmit Diversity concepts . . . . . . . . .


Mapping between FSM and phase adjustment i at UTRAN . . .
Mapping between phase sub eld and phase of w . . . . . . . . .
Mapping between amplitude sub eld and squared amplitudes of w
Progressive re nement at UE . . . . . . . . . . . . . . . . . . . .
Closed loop mode 2 initialization at UTRAN . . . . . . . . . . . .
2

.....
.....
.....
and w
.....
.....
2

30
36
37
37
38
39

5.1 Fixed simulation parameters . . . . . . . . . . . . . . . . . . . . . . . . . . 52


5.2 Variable Simulation Parameters . . . . . . . . . . . . . . . . . . . . . . . . 52
6.1
6.2
6.3
6.4
6.5

Transmit Diversity gain in di erent multipath environments . .


Transmit Diversity gain for di erent mobile station velocities . .
Transmit Diversity gain for di erent correlated channels . . . .
Transmit Diversity gain for di erent feedback error probabilities
Gain of mode 1 with AV over mode 1 without AV . . . . . . . .

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58
61
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67
69

A.1 Parameters for the simulation of the relation between BLER and BER . . 73

IX

Chapter 1
Introduction
The world's rst third-generation mobile communication system has already launched in
Japan and Europe is brie y before the operational start-up. In contrast to the operating
second generation systems, the new generation of mobile communication systems provides
more exible communication capabilities. They allow users new ways to communicate, to
access information, to conduct business, to learn and to be entertained. Mobile communication systems are now focussing on data transmission. Additionally to the conventional
person-to-person communication which is characterized as symmetric trac, third generation (3G) systems enable services like information download applications with a high
degree of asymmetric trac characteristics. In order to realize these services, 3G systems
have to provide higher data rates together with high spectral eciency.
UMTS (Universal Mobile Telecommunications Systems) is one of the major 3G systems.
The European standard for UMTS is based on an advanced GSM core network. It makes
use of a Code Division Multiple Access (CDMA) technology for the air interface with two
di erent duplex schemes: Frequency Division Duplex (FDD) and Time Division Duplex
(TDD). After the start-up phase the goal of UMTS is to o er data rates up to 144 kbit/s
in a high-speed moving environment, 384 kbit/s in a low-speed moving environment, and
2 Mbit/s for static applications.
Considering the rapid growth of mobile subscribers in recent years together with the requirements for high data rate services the overall system capacity becomes one of the
most important factors in the design of 3G systems. Therefore techniques are required
which increase the capacity for both the transmission from the base station to the mobile
station as well as the transmission from the mobile station to the base station. Several techniques which provide good performance can be implemented at the base station
where computational power and space requirements are no limiting factors. This is quite
di erent for mobile terminals which should be as small as possible by size and by weight.
Furthermore, the power supply of mobile terminals should be sustained as long as possible. Due to these reasons it is dicult to adopt methods applied at the base station for
the mobile terminals. The goal is to transfer the complexity from the mobiles to the base
1

CHAPTER 1.

INTRODUCTION

station. This is realized by Transmit Diversity concepts, the topic of this thesis. In the
sequel the structure of this work is presented by a short description of each chapter.

Chapter 2 | UMTS Overview: This chapter provides a description of UMTS. The

main parts of the UMTS system architecture are summarized in the beginning.
Furthermore, I present the structure of the radio interface and the multiple access
method used in UMTS. The main part of this chapter is dedicated to the physical
layer of the radio interface protocol since the implementation of the simulation environment for this thesis is based on it. It is shown how data and control information
are combined and how they are transmitted over the air interface.
Chapter 3 | Downlink Capacity: E ects in uencing the achievable capacity in the
downlink and how they could be combat are covered in this chapter. In the rst
part I describe general problems occurring during the transmission over the radio
propagation channel. This is followed by diculties concerning the UMTS downlink.
The second part of this chapter shows factors the system capacity depends on and
covers solutions for its increase.
Chapter 4 | Transmit Diversity: This chapter explains the idea of Transmit Diversity and the reasons why it is interesting for implementation in next generation
mobile communication systems. A description of di erent Transmit Diversity techniques is given followed by a detailed discussion of the closed loop concepts speci ed
in the UMTS standard. At the end of this chapter two methods for the use of more
than two transmission antennas are summarized.
Chapter 5 | Simulation Environment: A detailed description of the simulation environment and what is done during the run of the simulation procedure is provided
here. I introduce the structure of the simulation model and the underlying assumptions. Furthermore, I explain how the di erent parts of the model are implemented
and specify the parameters used in the simulations.
Chapter 6 | Simulation Results: In this chapter I present the results of my thesis.
First, the ideal case for Transmit Diversity is considered to nd the maximum
achievable gain. This is followed by the application of the proposed closed loop
Transmit Diversity concepts in di erent situations. I studied the performance in
certain scenarios covering multipath environments, user velocity, correlated fading
channels and errors in the feedback of the channel state information.
Chapter 7 | Summary and Conclusions: I nish my work with a summary of the
main results together with conclusions concerning the application of closed loop
Transmit Diversity.

Chapter 2
UMTS Overview
The Universal Mobile Telecommunications system (UMTS) is a part of the IMT-2000 (International Mobile Telephony 2000) framework de ned by the International Telecommunications Union (ITU). It is currently standardized by the Third Generation Partnership
Project (3GPP) a collaboration of standardization bodies from Europe, Japan, Korea,
the USA and China together with organizations called Market Representation Partners .
The 3GPP standardization procedure is organized in releases which consist of complete
sets of speci cations. This thesis refers to the 3GPP Release 1999 which is the basis for
following sections.
The structure of this chapter is organized as follows: The UMTS architecture with its
main elements and interfaces is summarized in the rst section. I continue with a more
precisely description of the radio interface, since my work concentrates on concepts to
overcome signal degradation during propagation. The radio interface is composed of
three layers. Layer 1, the physical layer, includes spreading, modulation, user data and
signalling transmission. The main procedures and parts of the physical layer which a ect
my simulation environment are presented in detail in the third section.
1

2.1

System Architecture

Figure 2.1 shows the UMTS system architecture described in [1, 2]. Functionally it consists
of three blocks: The UMTS Terrestrial Radio Access Network (UTRAN) that handles all
radio-related functions, the Core Network (CN), which is responsible for switching and
routing connections to external networks, and the User Equipment (UE). Each of these
blocks consists of a number of network elements linked by open interfaces:
The UE is a device allowing users access to network services over the radio interface. It
can be divided into:
1 www.3gpp.org

CHAPTER 2.

UMTS OVERVIEW

GMSC
Iub

Iu
MSC

circuit
switched

RNC

Node B

HLR
Node B

Iur

VLR
packet
switched

Uu

RNC

GGSN

Core Network

Node B
UE

SGSN

External Networks

UTRAN

UE
UTRAN
Node B
RNC
Uu/Iu/Iur/Iub

.....
.....
.....
.....
.....

User Equipment
UMTS Terrestrial Radio Access Network
UMTS Base Station
Radio Network
Interfaces

MSC
VLR
HLR
SGSN
GGSN
GMSC

.....
.....
.....
.....
.....
.....

Mobile Switching Center


Visitor Location Register
Home Location Register
Serving GPRS Support Node
Gateway GSN
Gateway MSC

Figure 2.1: System architecture of UMTS according to [2]


 The Mobile Equipment (ME) which is the terminal used for radio communica-

tion over the air interface.


 The UMTS Subscriber Identity Module (USIM) which is a smart card that
holds the subscribers identity and performs a number of security functions.
The UTRAN includes two distinct elements:
 The Node B logically corresponds to a GSM Base Station. It performs the
air interface processing, i.e. channel coding and interleaving, rate adaption,
spreading, etc. at the Physical Layer.
 The Radio Network Controller (RNC) owns and controls the radio resources
of the Node Bs to which it is connected. The RNC is the service access point
for all the services that the UTRAN provides to the core network.
The UMTS CN covers following main elements:
 The Home Location Register (HLR) is a database located at the user's home
network for user identi cation and storage of user data related to features
and services. It contains the master copy of the user's service pro le which

CHAPTER 2.

UMTS OVERVIEW

consists of information on allowed services, forbidden roaming areas and the


UE location.
 The Mobile Switching Center/Visitor Location Register is the switch (MSC)
and the database (VLR) that serves the UE in its current location for Circuit
Switched (CS) services. The MSC function is used to switch the CS transactions and the VLR function holds a copy of the visiting user's service pro le,
as well as more precise information on the UE's location within the serving
system. The part of the network that is accessed via the MSC is often referred
to as the CS domain.
 The Gateway MSC (GMSC) connects the circuit switched domain of UMTS
with external circuit switched networks, e.g. Public Switched Telephone Networks (PSTN).
 The Serving GPRS Support Node (SGSN) functionality is similar to that of
MSC but is used for Packet Switched (PS) services. The part of the network
that is accessed via the SGSN is often referred to as the PS domain.
 The Gateway GPRS Support Node (GGSN) functionality is close to that of
GMSC but is in relation to PS services. It is the connection of the UMTS
PLMN to PS networks, e.g. Internet.
Interfaces: The UMTS standards are structured in such a way that internal functionality
of the network's elements is not speci ed in detail. Instead, the interfaces between
the network elements have been de ned. The following main open interfaces are
speci ed:
 The Cu interface is the electrical interface between the USIM smart card and
the ME. The interface follows a standard format for smart cards.
 The Uu interface is the radio interface through which the UE accesses the xed
part of the system.
 The Iu interface connects the UTRAN to the CN and divides the system into
radio-speci c parts (UTRAN) on the one side and switching, routing and service control on the other side (CN). It can have two di erent instances which
are Iu CS for connecting UTRAN to the CS domain and Iu PS for connecting
UTRAN to the PS domain.
 The Iur interface allows soft handover between RNCs from di erent manufacturers. Soft handover between two RNCs means that the mobile is served by
two base stations which are connected to two di erent RNCs.
 The Iub interface connects the Node Bs with the RNCs.
2

2 General

Packet Radio Service


handover denotes typically a situation where a mobile communicates with two base stations
simultaneously. This takes place in the overlapping coverage areas of two sectors belonging to di erent
base stations.
3 Soft

CHAPTER 2.

2.2

UMTS OVERVIEW

Radio Interface

The UE communicates with the network via the radio interface. The speci cation of
the radio interface covers the three lowest layers of the OSI reference model, denoted as
physical layer (Layer 1, L1), data link layer (Layer 2, L2, and network layer (Layer 3,
L3), see Figure 2.2. The physical layer is directly connected to the Medium Access
Control (MAC) sublayer of Layer 2 and the Radio Resource Control (RRC) Layer of
Layer 3. The physical layer o ers services to the MAC layer via transport channels.
They are characterized by how the information is transferred over the radio interface.
The MAC layer o ers services to the Radio Link Control (RLC) sublayer (not shown in
the gure) of Layer 2 by means of logical channels. Logical channels are characterized
by the type of information that is transmitted. The RRC layer o ers services to higher
layers. The control interfaces between the RRC layer and all lower layers are used to
con gure characteristics of the lower layer protocol entities, including parameters for the
physical, transport and logical channels. Additionally the control links are used by the
RRC layer to command measurements to the lower layers and by the lower layers to report
measurement results to the RRC.
The physical layer provides data transport services to higher layers. To do this, several
functions are necessary. The main functions of the physical layer are user data transmission, mapping of transport channels to physical channels, spreading and despreading,
modulation and demodulation, synchronization, power control and transmit diversity procedures, and handover measurements.
4

Radio Resource Control


Control

L3

Logical Channels

L2
Medium Access Control

Transport Channels
L1

Physical Layer

Figure 2.2: Protocol architecture around the physical layer


4 OSI

stands for Open Systems Interconnection, a reference model for the communication between two
end systems.

CHAPTER 2.

UMTS OVERVIEW

2.2.1 Multiple Access

The multiple access method of UMTS is based on Code Division Multiple Access (CDMA)
speci ed for two modes of operation by the Third Generation Partnership Project (3GPP).
The Frequency Division Duplex (FDD) mode utilizes Wideband CDMA (WCDMA). All
users share the same frequency band and are allocated to the same time slots. The
separation of the users is done by applying codes. Uplink (UL) and downlink (DL)
transmissions use di erent frequency bands separated by the duplex distance. The Time
Division Duplex (TDD) mode works with a combined Time Division-CDMA (TD-CDMA)
scheme that adds a CDMA component to a TDMA system. As in FDD mode, the
frequency band is the same for all users, but now the user separation takes place in time
as well as in code domain. UL and DL transmissions are carried over the same radio
frequency but at di erent time slots. This thesis concentrates on the FDD mode, hence
WCDMA FDD and its characteristics are handled in the following.
5

Power

Time

~5
Frequency

10ms

Figure 2.3: Time, frequency, and code allocation in WCDMA FDD


Figure 2.3 depicts the bandwidth allocation in WCDMA FDD. The user data is spread
over a bandwidth of approximately 5 MHz. In the time domain there is a frame structure,
where each frame has a duration of 10 ms. For WCDMA FDD each user is transmitting
and receiving in all frames. The users are distinguished by di erent codes indicated by
di erent colors Figure 2.3. During one frame the bit rate of one user is kept constant but
it can be changed from frame to frame. The bit rate in WCDMA FDD is determined
through the chip rate of 3.84 Mchips/s and the used spreading factor.
5 Time

Division Multiple Access

CHAPTER 2.

2.3

UMTS OVERVIEW

Physical Layer

2.3.1 Physical Channels

Physical channels of the 3GPP speci cations are de ned by a speci c carrier frequency,
scrambling code, channelization code and, in the UL, by a relative phase (I/Q). The time
durations are de ned in multiples of chips. Two de nitions are commonly used:
 Radio frame: A radio frame | or for short, a frame | is a time interval of 10 ms

duration corresponding to 38400 chips. It consists of 15 slots.


 Slot: A slot is a time interval of Ts = 0:667 ms duration corresponding to 2560 chips.
It consists of elds containing a certain number of bits.

Physical channels are divided into dedicated and common physical channels. The di erence is that dedicated channels are assigned to a speci c UE, whereas common channels
can be utilized by all users within a cell. Some of the physical channels are presented in
the following according to the 3GPP speci cations [3].

Downlink Dedicated Physical Channel (DPCH)


The DPCH carries both, user data and control information, in a time-multiplexed manner.
The downlink DPCH can be interpreted as a time multiplex of a Dedicated Physical Data
Channel (DPCCH) and a Dedicated Physical Control Channel (DPCCH) as shown in
Figure 2.4.
DPDCH

DPCCH

DPDCH

DPCCH

Data1

TPC TFCI

Data2

Pilot

T s =0.667 ms; 2560 chips

Slot 0 Slot 1

Slot i

Slot 14

One radio frame Tf =10 ms; 38400 chips

Figure 2.4: Downlink DPCH frame structure


The DPDCH consists of two elds (Data1, Data2) for the transmission of the transport
channels of Layer 2. The DPCCH part of a DPCH slot has three elds, which are used

CHAPTER 2.

UMTS OVERVIEW

for Transmission Power Control (TPC), Transport Format Combination Indicator (TFCI)
and pilot bits. The TPC bits carry the power control command for the uplink power
control. With the TFCI bits the receiver is informed how the transport channels, which
are mapped to the current transmitted downlink DPDCH, are combined. This eld is
optional and can be omitted, e.g. for xed-rate services. The transmission of a TFCI eld
is determined by the UTRAN. The pilot bits are used for the channel estimation in the
receiver.
The actually used elds and the exact number of bits per eld is given by the slot format,
which is signalled by higher layers. The possible spreading factors in the downlink range
from 4 to 512, according to SF = 512=2k. The parameter k determines the total number
of bits per downlink DPCH slot, computed by 10  2k , with k 2 [0::7]. Therefore, channel
bit rates of 15 kbit/s up to 960 kbit/s are achievable in the downlink with a single code.
Higher bit rates are possible with multicode transmission where several DPCH with the
same spreading factor are transmitted in parallel. The used simulation environment o ers
eight di erent slot formats. Each of them corresponds to one spreading factor.

Common Pilot Channel


The Common Pilot Channel (CPICH) does not carry any information of higher layers,
but transmits a pre-de ned symbol sequence at a xed rate of 30 kbit/s using a spreading
factor of 256. The CPICH is a phase reference for nearly all types of physical downlink
channels and it is used to determine the active set for a given UE. Therefore, the handover
procedure is based on the Ec=No measurement performed from CPICH, where Ec=No is
the received energy per pilot chip divided by the power density within the relevant channel
bandwidth. Furthermore, the CPICH is used for channel estimation at the UE. This could
be either to assist the estimations performed with the dedicated pilot bits of the DPCH,
or channel estimations, necessary for decoding common physical channels. There are
two di erent types of CPICH, the Primary Common Pilot Channel (P-CPICH) and the
Secondary Common Pilot Channel (S-CPICH). The main di erences are in their usage
and in the codes applied to them.
6

Primary Common Pilot Channel: There is only one P-CPICH per cell. It is broadcast
over the entire cell and used by the UE for handover measurements and cell selection/reselection. The channelization code for the P-CPICH is xed to Cch; ; , i.e.
the spreading factor is always 256 and the code number is zero. The P-CPICH is
always transmitted with the cell-speci c primary scrambling code.
Secondary Common Pilot Channel: There may be zero, one or several S-CPICH per cell.
It is not necessary transmitted over the entire cell. The S-CPICH may be available
256 0

6 The

active set for a given UE covers the cells (more precisely, the UTRAN access points) involved
in the soft handover with this UE. The cells may be sectors of the same Node B (softer handover) or
separate Node Bs (soft handover).

CHAPTER 2.

10

UMTS OVERVIEW

only in a part of the cell. The spreading factor is the same as for the P-CPICH
but the code number is arbitrary, hence each channelization code with spreading
factor of 256 can be used. And for scrambling, either the primary or a secondary
scrambling code can be used.
If transmission diversity methods are used on any downlink channel, the CPICH is transmitted from both antennas using the same channelization and scrambling code. As shown
in Figure 2.5, each antenna transmits a di erent symbol sequence, where A = 1+ j . Thus
the UE is able to separately estimate both channels. If transmission diversity is not
applied, the symbol sequence of antenna 1 is broadcasted.
Antenna 1

A A A A A A A A A A A A A A A A A A A A A A A

Antenna 2

-A -A A A -A -A A A -A A -A -A A A -A -A A A -A -A A A -A

Slot 14

Slot 0

Frame i

Slot 1
Frame i+1

Frame Boundary

Figure 2.5: CPICH symbol sequences for antenna 1 and 2 in case of Transmit Diversity,
with A = 1 + j

Uplink Dedicated Physical Control Channel


As in the downlink, the uplink DPCCH carries the control information generated at the
physical layer. It is transmitted at a constant bit rate using a spreading factor of 256. The
frame structure is presented in Figure 2.6. The DPCCH consists of four di erent elds.
The function of the Pilot, TFCI, and TPC eld is equivalent to the downlink DPCH (see
page 8).
For this thesis, the fourth DPCCH eld, the Feedback Indication (FBI) eld is signi cant.
In general it is used to support techniques requiring feedback from the UE to the UTRAN.
It is again divided into two parts, the S and D eld, with the total eld size of NF BI bits.
Closed loop mode transmit diversity utilizes the D eld, whereas Site Selection Diversity
Transmission (SSDT) uses the S eld for transmitting the feedback command to the
UTRAN. Depending on the slot format, the number of FBI bits in the S eld is zero, one
or two bits, but the D eld consists of maximum one bit.
7

7 Site

Selection Diversity Transmission is a macro diversity method in soft handover mode. It is a


downlink power control procedure, where the UE selects one cell out of its active set to be the primary
cell. The primary cell ID is signalled from the UE to the UTRAN via the FBI S eld, and the downlink
transmissions of the DPDCHs from non-primary cells are switched o to reduce interference caused by
multiple transmissions in a soft handover state.

CHAPTER 2.

11

UMTS OVERVIEW

D
NFBI

DPCCH

Pilot

TFCI

FBI

TPC

Ts =0.667 ms; 2560 chips

Slot 0 Slot 1

Slot i

Slot 14

One radio frame Tf =10 ms; 38400 chips

Figure 2.6: Uplink DPCCH frame structure


2.3.2 Downlink Spreading and Modulation

Spreading and modulation of downlink signals are shown in Figure 2.7. The downlink
physical channel is rst split up into two symbol sequences by a serial-to-parallel conversion of each pair of two consecutive symbols. The even and odd numbered symbols are
mapped to an I and Q branch respectively.
cos( t)

I
S dl,n
DPCH

S/P

I+jQ

C ch,SF,m
Q

Re

Pulseshaping

Im

Pulseshaping

Split
real &
imag.
parts

sin( t)
j

Figure 2.7: Downlink spreading and modulation


The following spreading process consists of two operations, channelization and scrambling. The channelization operation converts each data symbol into a number of chips,
by multiplying the symbol sequence with a real valued channelization code Cch;SF;k. The
number of chips per data symbol is determined by the spreading factor. This results in a
bandwidth expansion of the signal. The second part of the spreading procedure is used
to separate di erent Node Bs from each other by scrambling the chip sequence with a

CHAPTER 2.

12

UMTS OVERVIEW

complex valued scrambling code Sdl;n. The complex valued signals are Quadrature Phase
Shift Keying (QPSK) modulated. The pulse shaping method applied to the transmitted
symbols is root-raised cosine ltering with a roll-o factor of = 0:22 [4].

Channelization codes
The channelization codes for the up- and downlink are Orthogonal Variable Spreading
Factor (OVSF) codes. They preserve the orthogonality between the di erent physical
channels in the uplink of one UE or separate the downlink connections of one Node B to
di erent UEs within one sector. OVSF codes are completely orthogonal for zero delay
between the code sequences, as it is in downlink without multipath. The OVSF codes
can be de ned with the code tree in Figure 2.8.
Cch,4,0 =(1,1,1,1)
Cch,2,0 =(1,1)
Cch,4,1 =(1,1,-1,-1)
Cch,1,0 =(1)
Cch,4,2 =(1,-1,1,-1)
Cch,2,1 =(1,-1)
Cch,4,3 =(1,-1,-1,1)

SF=1

SF=2

SF=8

SF=4

Figure 2.8: Code tree for OVSF channelization codes


In this tree, the channelization codes are uniquely described as Cch;SF;k, where SF = 2n
denotes the spreading factor of the code (n is a positive integer) and k the code number
with 0  k  SF 1. Each level in the code tree de nes codes of length SF with a
spreading factor of SF . Starting from Cch; ; = 1, the channelization codes are generated
recursively according to the following equation:
11

CSF

6
6
6
6
6
6
6
6
6
6
6
4

Cch;SF;0
Cch;SF;1
Cch;SF;2
Cch;SF;3

...

Cch;SF;SF
Cch;SF;SF

7
7
7
7
7
7
7
7
7
7
7
2 5

6
6
6
6
6
6
6
6
6
6
6
4

Cch;SF=2;0 Cch;SF=2;0
Cch;SF=2;0 C ch;SF=2;0
Cch;SF=2;1 Cch;SF=2;1
Cch;SF=2;1 C ch;SF=2;1

...

3
7
7
7
7
7
7
7
7
7
7
7
2 1 5

Cch;SF=2;SF=2 1 Cch;SF=2;SF=
Cch;SF=2;SF=2 1 C ch;SF=2;SF=2

(2.1)

CHAPTER 2.

13

UMTS OVERVIEW

where CSF denotes a set of SF channelization codes (of length SF ) and C ch;SF;k is the
binary complement of Cch;SF;k. All codes within a set CSF are orthogonal. Furthermore,
any two codes of di erent spreading factors are also orthogonal except for the case that
one of these codes is a so called \mother code" of the other. Mother codes of the code
Cch;SF;k are all codes which lie an the path from Cch;SF;k to the top of the code tree. For
example consider Cch; ; in Figure 2.8. The code Cch; ; as well as Cch; ; lie on the path
to the top and therefore they are mother codes of Cch; ; . This code generation method
is based on that proposed in [5].
43

21

10

43

Scrambling codes
In order to reduce the interference, experienced by communication links in neighboring
cells, every Node B uses a complex valued long scrambling code. The nth complex scrambling code sequence is constructed by combining two real valued Gold codes
Sdl;n = c + jc ;
(2.2)
where n denotes the scrambling code number and c and c are Gold codes. The Gold
codes are generated by a position wise modulo 2 sum of two binary m-sequences of equal
length, as shown in Figure 2.9 according to [6].
1

clock

LFSR1
g 1 (x)

m-sequence1
ci
Gold-sequence

LFSR2
g 2 (x)

m-sequence2

Figure 2.9: Generation of Gold sequences


M-sequences are pseudo random sequences generated with Linear Feedback Shift Registers
(LFSR). For the implementation of the downlink scrambling codes, two 18-stage shift
registers with the following generator polynomials are used:
g (x) = 1 + x + x
(2.3)
g (x) = 1 + x + x + x + x
(2.4)
The Gold codes for the in-phase component c of Equation 2.2 are obtained by using the
generator polynomial
g (x) = g (x)  g (x);
(2.5)
where  denotes the modulo 2 sum. The quadrature Gold codes c are shifted versions
of the in-phase codes, with a shift of 131072 chips. Before c and c are inserted into
7

18

10

18

CHAPTER 2.

14

UMTS OVERVIEW

Equation 2.2, the binary sequence elements are transformed to antipodal elements (\0"
is mapped to \+1" and \1" is mapped to \-1").
The total number of downlink scrambling codes is 2 1 = 262143. The rst 8192 codes
are divided into 512 sets each consisting of one primary scrambling code and 15 secondary
scrambling codes. The remaining codes, called alternative scrambling codes, may be used
for compressed frames.
Each cell is allocated exactly one primary scrambling code. Some physical channels must
always be transmitted with the primary scrambling codes. These are common channels
that need to be heard in the whole cell and/or prior to the initial registration, e.g. the primary CPICH. The other channels may be transmitted with either the primary scrambling
code or a secondary scrambling code from the set associated with the primary scrambling
code. More information on scrambling codes can be found in [4].
18

Chapter 3
Downlink Capacity
This chapter provides an overview about e ects that in uence the capacity of the UMTS
downlink. General problems of wireless communication due to wave propagation phenomenons as well as CDMA system aspects and special problems in the downlink direction will be discussed. The second part of this chapter describes methods to overcome
the mentioned diculties and to improve the system performance in the downlink.
3.1

Problems of UMTS Downlink

3.1.1 Wave Propagation

Wave Propagation over the mobile radio channel has the most signi cant in uence on a
mobile communication system's performance. The problem is that it is not possible to
exactly describe all e ects occurring during transmission over the channel. Therefore,
statistical methods are used to characterize the channel behavior. They do not exactly
predict the receive power level in a certain area, but give a probability for a certain channel
state. There are three main propagation phenomenons, i.e. small-scale fading, large-scale
fading and path loss.
Fading

Small-scale Fading: Signals transmitted over the radio channel experience a lot of re-

ections and scattering, which leads to multipath propagation. This means that
several replicas of one signal, arrive at di erent times at the receiver. The di erent
arrival times arise due to the di erent lengths of the propagation paths. Therefore, the multipath components arriving at the receiver have di erent phase values.
15

CHAPTER 3.

16

DOWNLINK CAPACITY

The superposition of the multipath components leads to constructive or destructive


interference and hence to uctuations of the received power level.
In general, the signal drops caused by destructive interference, are called small-scale
fading as the signal level changes over distances less than a wavelength.
The modelling of the small-scale fading is shown in [7] and is resumed in the following. The superposition of a large number of real-valued signals without a dominant
one | hence signal amplitudes are nearly at the same level | results in a normal
distribution according to the central limit theorem . Considering the superposition
of complex-valued signals, we get a normally distributed real and a normally distributed imaginary part of the resulting sum. As a consequence the resulting signal's
phase is equally distributed in [0; 2], with
1
pdf ( ) = :
(3.1)
2
Finally, the amplitude r follows a Rayleigh distribution with the Probability Density
Function (PDF)
r
r
(3.2)
pdfr (r) =  exp

2 :
The Rayleigh distribution depends only on the parameter  , which is the average
received power.
A second important statistic for small-scale fading arises, if one dominant path
occurs. This could be interpreted as a Line Of Sight (LOS) scenario in addition to
the previous Non Line Of Sight (NLOS) situation. The amplitude is then determined
by a Rice distribution
1

r 2 + A2
22

r
pdfr (r) = 2  exp


I

rA 
;
2

(3.3)

where I is the modi ed Bessel function of the rst kind and order zero, A is the
amplitude of the dominant component and  is the average power of the Rayleigh
distributed components. The power ratio K of the dominant path and the Rayleigh
distributed components
K = A =(2 )
(3.4)
is denoted as the \Rician factor". For a vanishing dominant path, the Rice distribution changes to the Rayleigh distribution. The stronger the dominant path, the
lower the probability of deep fades, and for a very strong LOS component, the Rice
distribution changes to a Gaussian distribution with mean A.
0

1 The central limit theorem states that the distribution of the sum of a large number of independent,
identically distributed variables will be approximately normal, regardless of the underlying distribution.

CHAPTER 3.

17

DOWNLINK CAPACITY

In the case of one dominating path the phase is no longer equally distributed.
Moreover the PDF is given by
1
pdf ( ) =
exp
2

A2
2 2



1+

 A cos( )
A2 cos( )2
exp
2

2 2

 

A cos( )
p
1 + erf
 2



: (3.5)

For a strong LOS component the phase is nearly equal to the phase of the dominant
path. If the LOS component is negligible, the phase distribution in 3.5 reduces to
an equally distribution within [0; 2].
Figure 3.1 shows the distribution functions for NLOS and LOS scenarios. There
are two graphs for the LOS case with di erent power ratios between the dominant
path and the Rayleigh distributed components, indicated by the Rician factor K .
The NLOS situation corresponds to Rayleigh distribution which is equal to a Rice
distribution with K = 0.
0.7
Rayleigh (K=0)
Rice (K=1)
Rice (K=5)

NLOS

0.6

0.5

0.4

pdfr(r)

LOS

0.3

0.2

0.1

0
0

Figure 3.1: Amplitude distribution functions for NLOS and LOS situations

Large-scale Fading: By averaging the received power over some wavelengths the e ect

of small-scale fading can be removed. The resulting distribution of the eld strength
shows variations over a larger scale, i.e. some tens of the wavelength. The main
reason for the large-scale variations is shadowing of multipath components caused
by obstacles like buildings, trees or mountains.

CHAPTER 3.

18

DOWNLINK CAPACITY

Typically, the e ect of large-scale fading is described by a log-normal distribution


of the local mean amplitude a of a received signal over time or space according to
[7],
(10 log (a ) A) ;
pdfa (a) = p

exp
(3.6)
2A
2  A  a
with A and A measured in dB. A log-normal distribution for a random variable a
is obtained, if the logarithm of a, A = 20  log (a), is normally distributed,
20
ln 10

2!

10

10

1  exp (A A) ;
(3.7)
pdfA(A) = p
2A
2  A
where A and A are the mean value and the standard deviation of A respectively. In
Figure 3.2, two log-normal distributions of the local mean amplitude a are plotted.
The parameters are chosen according to [7], where a typical range for A is given
between 4 and 8 dB. The value for A depends on the path loss between transmitter
and receiver. For the given examples, A = 1:4 dB was chosen.
!

0.9

A=4, A=1.4
=8, =1.4

0.8

0.7
0.6
pdfa(a)

0.5
0.4
0.3
0.2
0.1
0
0

Figure 3.2: Log-normal distribution of the local mean amplitude

CHAPTER 3.

19

DOWNLINK CAPACITY

Path Loss

Path loss e ects describe the monotonic signal decrease caused by growing distance between transmitter and receiver. This could easily be shown with the free space propagation
of an electromagnetic wave, described by \Friis's" equation as shown in [7],

4d

!2

(3.8)
Equation 3.8 shows the dependence of the received power Pr on the distance d if the
transmitter as well as the receiver are placed in free space. The used symbols , Pt, Gt
and Gr denote the wavelength, the transmitted power and the antenna gains of the transmitting and receiving antenna respectively. The last term of Equation 3.8 | (4d=)
| is usually denoted as free space loss. Furthermore, Equation 3.8 is valid, if the \far
eld" condition is ful lled. This means that the distance between the transmitting and
receiving antenna has to be at least in the order of the Rayleigh distance dR,
2L ;
d > dR =
(3.9)

with the largest antenna dimension L.
For realistic scenarios, Equation 3.8 must be extended, in order to take the propagation
over di erent kinds of obstacles with di erent electric and dielectric characteristics into
account. Smooth surfaces produce re ections, while rough surfaces cause scattering of
the impinging waves. Other e ects like di raction around corners and edges of buildings or refraction within them are taken into account. There exist several empirical or
semi-deterministic path loss models, describing di erent propagation environments, e.g.
Okumura-Hata, COST-Wal sch-Ikegami. More about path loss models can be found in
[7, 8].
The superposition of all the mentioned e ects which occur during the propagation of
the transmitted signals over the mobile radio channel lead to uctuations of the received
power levels and therefore to a variation of the Bit Error Rate (BER) of the detected bits.
Pr (d) = Pt  Gt  Gr 

3.1.2 Interference

Interference is the main limiting factor in the performance of CDMA and plays therefore an
important role in planing, setting-up and operating CDMA based mobile communication
systems. The sources of interference include mobile users in the same cell, in neighboring
cells and other base stations in the surrounding. Unlike thermal noise which can be
overcome by increasing the SNR, interference cannot be combated by higher transmission
power. The problem is that the increased transmission power causes more interference to
other users in the system. In general, interference has more in uence on the performance
in a CDMA system and hence it is an interference limited system. In the downlink the
interference can be divided into:

CHAPTER 3.

20

DOWNLINK CAPACITY

Inter-cell interference is the sum of the powers received from all base stations except

the serving one. The inter-cell interference at the mobile station j can be calculated
according to
Iinter;j =

k=1

(3.10)

Pk ;

where K is the total number of base stations not in connection with the mobile
station j . The power received from the kth base station is given by Pk .
Intra-cell interference is the total power received from the serving base station except
the desired signals of the considered user. For the mobile station j the intra-cell
interference is given by
Iintra;j =

"

i=1

Pi + Pc

(3.11)

where is the orthogonality factor, N the number of users within the same cell as
mobile station j , Pi is the power received at mobile station j but transmitted for the
ith user and Pc is the sum of all common channel powers. The orthogonality factor
= [0::1] depends on the multipath environment. Even if the base station serves
only one user, interference due to loss of orthogonality denoted by is produced.
3.1.3 Code Orthogonality

In the UMTS downlink, OVSF codes are used to separate di erent physical data or control
channels, as described in Section 2.3.2. All OVSF codes for one spreading factor are
perfectly orthogonal , as long as they are synchronous. Mathematically the orthogonality
of two di erent code sequences cm and cn can be shown with the cross-correlation function
2

cm ;cn ( ) =

cm (t)  cn(t +  ) dt;

(3.12)

according to [6], where T is the length of the code sequences. The orthogonality is given
if the cross-correlation function at  = 0 is zero c ;c (0) = 0.
The problem is that in reality the orthogonality is reduced due to the delay between
di erent multipath components at the mobile station. One mobile receives all signals
transmitted from the base station to the users within a cell. The signals are perfectly
m n

2 Any

two codes of di erent spreading factors are also orthogonal except for the case that one of these
codes is a mother code of the other one. See Section 2.3.2 for details on OVSF codes.

CHAPTER 3.

21

DOWNLINK CAPACITY

orthogonal in a at fading scenario. However, in a multipath environment the mobile


receives the superposition of time-shifted versions of the original signals. The codes of
these temporally shifted signals are no longer orthogonal which leads to interference.
The larger the distance between the base station and a mobile, the larger the timeshifts between the arriving multipath components and therefore the larger the produced
interference. The interference generated due to the mentioned e ect, is called intra-cell
interference, because only signals of one base station interfere with each other.
But multipath propagation implicates even a strong advantage. If the signals of the
di erent multipaths fade independent and if their delay is large enough, their superposition
could improve the signal quality dramatically. This leads to multipath diversity which
can be used with a Rake receiver discussed in Section 3.2.2.
3.2

Capacity Improvement

As already mentioned, CDMA systems are interference limited. Capacity in the sense
of the number of users served by a speci c CDMA system is not a xed single value
but depends on how much degradation of the signal quality is accepted by the network
operator. The quality of a single link can be described by the ratio of the desired signal
power to the total received power of noise and interference. A more important parameter
for the description of the link quality is the bit Energy to Noise ratio Eb =N which is
obtained from the mentioned power ratio by considering the information bit rate Rj for
a user j and the total bandwidth W resulting in
0

Eb  W
Pj
=

:
N0 j Rj Itotal Pj

(3.13)

The ratio W=Rj is referred to as the processing gain and Pj denotes the received signal
power at the mobile j . The total received wideband power is represented by Itotal which
includes the noise power | thermal as well as man-made noise | the overall interference
and the desired signal. Equation 3.13 shows that with increasing interference the link
quality degrades. If the link quality falls under a required Eb=N value a reliable operation
can not be guaranteed anymore.
A simple way to reduce the interference is to replace the single omni-directional antenna
at the base station by several directional antennas. This is called sectorization and one
cell is typically divided into three 120 sectors or six 60 sectors. The higher the gain of
the sector antennas the lower the output-power of the base station ampli er. For a xed
total power this means that more users can be served. Furthermore, the power is radiated
only within a speci ed sector and hence more directed to the desired user. This reduces
the interference radiated to other users in neighboring cells and improves their Signal to
Interference Ratio (SIR) which leads again to a reduction of the total transmission power.
0

CHAPTER 3.

DOWNLINK CAPACITY

22

Another way of increasing the capacity is to use additional carrier frequencies over which
the provided trac can be distributed. But this is usually not possible since each operator
owns only a certain frequency range. In the following sections other methods for increasing
the downlink capacity are presented.
3.2.1 Downlink Power Control

Power control in the uplink is one of the most important requirements of a CDMA based
system due to the near-far e ect . In contrast, power control in the downlink has a different meaning. One user receives all signals transmitted from the base, i.e. the desired
signal as well as the signals transmitted to all other users within the same cell. Each
signal undergoes the same degradation therefore the near-far e ect does not exist. Downlink power control becomes important when taking the interference from other cells into
account. The interference from di erent base stations fades independently and therefore
signal degradation takes place at any level of the desired signal. This gets particularly
a serious problem near the cell boundaries where it could happen that several downlink
signals of di erent base stations are received at nearly the same power level as the signal
of the serving base station.
Downlink power control is a form of power allocation at the base station according to the
needs of the considered user in a given cell. Therefore the mobile measures the received
Signal to Interference Ratio (SIR) of its own data channel power received from the serving
base station to the total received wideband power including thermal noise. This is done
by acquiring the strongest pilot | the pilot of the serving base station | and measuring
its energy as well as measuring the total energy received from all base stations in the
surrounding. These measurements are compared to a target SIR. If the measured SIR is
lower than the target SIR, the mobile will command the base station to increase its power.
For the case of a higher measured SIR compared to the target SIR, the base station will
be ordered to decrease the power. If the power control cycle is fast enough, i.e. if the
radio channel changes slower than the adjustment of the power is performed, downlink
power control can combat large and small-scale fading.
3

3.2.2 Diversity Combining

One of the most important methods for mitigating the problems caused by fading is
diversity combining. There are several di erent ways to achieve diversity in a mobile
3 The

near-far e ect in CDMA systems describes the situation where a single overpowered mobile
could block an entire cell. Consider a situation where one mobile is near the base station and another
one transmits from the cell boundary with an additional path loss of say 60dB. Both mobiles transmit
with equal power. The power di erence of the received signals at the base station will be too high and
the signal from the far-o user will not be detected. The function of uplink power control is to control
the transmission of each user to receive equal power levels at the based station.

CHAPTER 3.

23

DOWNLINK CAPACITY

communication system. The basic principle is to transmit the same information over
statistically independent channels and hence to obtain independent copies of the received
signal. These signal replicas are combined in order to increase the average received power.
It is clear that in general the di erent channels are not statistically independent. But, the
lower the correlation between two channels, the lower the probability that both channels
are in a fading dip at the same time. This would reduce the BER, because most of the
transmission errors appear in fading dips. Hence, the employment of diversity combining may avoid signal degradation due to fading and can improve the performance of a
communication process signi cantly.
As mentioned above, there exist many di erent ways to provide diversity. They can be
classi ed into:
Space Diversity: Several spatially separated antennas at the receiver are
used to obtain multiple uncorrelated replicas of the transmitted signal.
Time Diversity: Uncorrelated signals are produced, by retransmitting the
same signal multiple times. Decorrelation is achieved, if the delay between two transmissions is larger than the channel coherence time .
Frequency Diversity: Transmitting with di erent frequencies provides diversity, if the frequency separation is large enough. This is ful lled for
frequencies with a distance more than the coherence bandwidth of the
channel .
Angle or Pattern Diversity: Using antennas with di erent radiation patterns for reception is a possibility to get di erent faded signals. The
reason of this is that various antenna patterns receive signals from different directions.
Polarization Diversity: Vertical and horizontal polarized waves show different propagation behavior, because of polarization dependent re ection
coecients. Therefore, antennas with di erent polarization yield diversity.
4

Antenna Diversity

Antenna diversity can either be derived form space or polarization diversity. There are
two types of antenna diversity:
Receive Diversity: So far, only space diversity by spatially separated receive
antennas at the base station has been employed. This is typically called
Receive Diversity.
4 The

channel coherence time is the reciprocal of the Doppler shift. It provides information about the
duration over which the channel characteristics do not change signi cantly.
5 The coherence bandwidth is the maximum frequency di erence for which signals are strongly correlated.

CHAPTER 3.

24

DOWNLINK CAPACITY

Transmit Diversity: The development of high data rate systems, which re-

quire also more capacity for the downlink of mobile communications


connection, has pushed the interests of using more transmit antennas.
Denoted with Transmit Diversity, several transmit antennas at the base
station are used to achieve diversity. More details about existing Transit
Diversity concepts and especially closed loop Transmit Diversity is given
in Chapter 4

Recently, the performance improvement by using multiple antennas at the transmitter as


well as at the receiver, are investigated. These systems are called Multiple Input Multiple
Output (MIMO) systems.
The essential thing for providing diversity is the correlation between the transmission
channels. Therefore, it is necessary to de ne a parameter, which gives information about
the amount of correlation. This is typically done with the correlation coecient. Mathematically, the correlation coecient  of two random variables x and y is de ned according
to [7]
E fx  y g E fxg  E fy g
;
(3.14)
=
(E fx g E fxg )  (E fy g E fyg )
where E fg denotes the expectation operator. Equation 3.14 shows the covariance of x
and y normalized to the product of the standard deviations of x and y, hence jj  1. For
statistically independent signals, with E fx  yg = E fxg  E fyg, the correlation coecient
is zero.
q

Rake Reception and Maximum Ratio Combining

As mentioned in 3.1.1, multipath propagation leads to the reception of several replicas


of one signal at di erent times. If the delay between two arriving signals is greater than
one chip duration, the receiver can resolve them. This gives a minimum delay spacing
between two distinguishable multipath components for an UMTS receiver | at a chip
rate of R=3.84 Mchips/s | of 1=R = 0:26 s. Therefore, the higher the chip rate or
system bandwidth, the more paths are resolvable. For those paths, with nearly equal
propagation delays, a distinction is not possible, hence fading is produced. Assuming
the transmission of the signal s(t) over a channel described by the time variant channel
impulse response
N
h(t;  ) = ai (t)  ej t  ( i );
(3.15)
X

i=1

i( )

where N is the number of resolvable paths, ai (t) denotes the amplitude distortion, i(t)
the phase distortion and i the delay of the ith path. For further considerations, we
concentrate on one realization of the channel at a speci c time, therefore we neglect the
time dependency of h(t;  ).

CHAPTER 3.

25

DOWNLINK CAPACITY

Because of the independent fading in the transmission paths, the signal copies experience
di erent amplitude and phase distortions. The received signal can be represented by
r(t) = (h  s)(t) + n(t) =

i=1

ai  eji  s(t i ) + n(t);

(3.16)

where s is the transmitted signal and n(t) represents the thermal noise and interference.
The Rake receiver, consists of several so called \ ngers". Figure 3.3 depicts the block
diagram of a Rake receiver. The received signal is fed to each Rake nger and to the
FingerK
Finger2
Finger1

r(t)

~
r1(t)

Correlator

c(t- i )
Code
generator

Pilot

~
rMRC (t)

^h*( )
1 1

c(t- 1)

Timing

^h*( )
i i
Conjugate

Channel
estimation

^h( )

Figure 3.3: Block Diagram of a CDMA Rake receiver with MRC


channel estimation block, in which the channel impulse response is estimated with known
pilot symbols. This estimation is used for the temporal alignment of each nger, which is
controlled by the Timing block. This means that each nger is allocated to one resolvable
path. The number of Rake ngers is limited, therefore the strongest paths are selected
for further processing.
Each nger performs a correlation of the received signal with the time shifted spreading
code c(t i ). The delay shift i is determined by the Timing block. After the despreading
by the correlators, the signals of the Rake ngers are combined according to a speci c
strategy, i.e. Maximum Ratio Combining (MRC) or Equal Gain Combining (EGC). For
MRC, the despread signal in each nger
r~i (t) = ai  ej  s~(t i ) + n~ i (t)
(3.17)
i

CHAPTER 3.

26

DOWNLINK CAPACITY

is weighted proportional to its own SNR. This is done by multiplication with the complex
conjugate of the channel estimate h^ i (i). MRC is optimal in that sense that it maximizes
the SNR of the received signal. For ideal channel estimation, when h^ i (i) = hi (i), with
hi (i ) = ai ej , the variations due to the fast fading are compensated. The di erent arrival
times are equalized in each nger and at the output of the Rake we get the coherent sum
i

r~(t)MRC =

i=1

a2i

 s~(t) + n0 (t);

(3.18)

where K is the number of Rake ngers, s(~t) is the despread version of the transmitted
signal s(t) and n0 (t) is the total noise.
As opposed to MRC, EGC compensates only the phase distortion. The output signal is
given by
K
r~(t)EGC =
ai  s~(t) + n0 (t);
(3.19)
X

i=1

Chapter 4
Downlink Transmit Diversity
One possibility to improve the capacity in the downlink (DL) is Transmit Diversity. The
downlink capacity of third generation mobile communication systems is a crucial factor
as the expected data services are of extremely asymmetric trac distribution. Consider a
typical internet browsing session where a user requests webpages. Those short demands
only require low bandwidth. However, the download of the requested information, e.g.
text, images, or video-streams, however, needs much more bandwidth which has to be
raised in DL direction. There are several techniques used at the network side for capacity
improvement in the uplink (UL), e.g. Receive Diversity or Multi User Detection, and
therefore the DL capacity can be the bottleneck [9].
Transmit Diversity is an arti cial form of multipath diversity. The di erence is that
multipath diversity reduces the orthogonality of the DL codes, while Transmit Diversity
keeps the DL codes orthogonal in at fading channels. Downlink Transmit Diversity
improves DL capacity to an extent which depends on the degree of multipath diversity
in the considered environment. The less multipath diversity is available, the larger is the
DL capacity gain by using Transmit Diversity.
In particular, the target of applying Transmit Diversity is to maximize the SNR at the
UE receiver or to reduce the transmit power of the Node B. Hence less interference is
produced as interference is directly determined by the transmission power, and capacity
increases. This could also be achieved by using the well known and approved UL reception
techniques like Receive Antenna Diversity in the downlink. But the problem in DL is
that these methods are less attractive due to limited space, calculation power and power
consumption constraints. The application of UL techniques in DL direction leads generally
to an increase in UE complexity and costs. This is the reason why solutions, which
impose only marginal increase in UE implementation complexity, are preferred and why
transmission diversity concepts are being studied.
27

CHAPTER 4.

4.1

28

DOWNLINK TRANSMIT DIVERSITY

Transmit Diversity Schemes

A number of di erent Transmit Diversity techniques can be found in literature. The


common principle is to use two or more transmit antennas at the network side to achieve
diversity gain. For simplicity we assume for the following description that transmission
takes place with two antennas. These antennas could either be separated in space or make
use of polarization diversity to provide low correlation between the propagation channels.
In general, for all methods encoding, interleaving and spreading is identical to those used
in the single antenna case. If both antennas transmit simultaneous the power is equally
distributed to both antennas. Table 4.1 summarizes the presented schemes.

Time Switched Transmit Diversity: This is a very simple method that is also known

as antenna hopping [10]. The Node B switches the signal between the transmit
antennas by using a prede ned antenna switching pattern.
Selective Transmit Diversity: Data is transmitted only from one - the \best" - antenna [10]. The selection of the transmission antenna is indicated by a feedback channel
from the UE to the Node B. To nd the \best" antenna the UE has to estimate
the channels seen by the transmitting antennas and to determine the channel which
delivers the most power. Therefore, each antenna has to transmit a separate pilot
channel. It is worth to mention that this concept could easily be changed to the
Time Switched solution for practical implementations, if feedback is not possible.
Space Time Transmit Diversity: This method was proposed by Alamouti in [11] and
employs space time block coding to maintain orthogonality between the antennas.
At a given symbol period two signals s and s are simultaneously transmitted from
antenna 1 and antenna 2 respectively. During the next symbol period T the signal
( s ) is transmitted from antenna 1 and signal s is transmitted from antenna 2,
where  stands for the complex conjugate operation. The signals are transmitted
using the same spreading code and with the assumption of a stationary channel
during the transmission of two consecutive symbols, h(t) = h(t + 1). After the
estimation of both channels a combiner at the receiving UEs builds up two signals
with the two estimated channel impulse responses h and h and the two consecutive
received symbols r(t) and r(t + T ):
s~ = h r + h r
s~ = h r h r
(4.1)
The combined signals s~ and s~ are sent to a decision device which produces an
estimate of the sent signal.
Orthogonal Transmit Diversity: The symbols of the transmit signal are distributed
to all antennas and transmitted simultaneously. In particular, M symbols are transmitted in parallel from M antennas. The orthogonality is maintained between the
1

1 1

2 2

2 1

1 2

CHAPTER 4.

DOWNLINK TRANSMIT DIVERSITY

29

output streams by using di erent orthogonal spreading codes. The symbol rate at
each antenna is reduced by a factor of 1/M, therefore the code length can be increased by a factor of M. The received signal at the UE is despreaded in parallel
with the M codes.
Phase Sweeping Transmit Diversity: In [12] a Transmit Diversity technique is described as something that converts a frequency nonselective channel intentionally
into a frequency selective channel. The idea is the avoiding of long deep fades experienced at low mobile speeds. The signal is transmitted simultaneously from two
antennas. A time varying phase modulation function is applied to the second antenna's signal. Similar techniques applying suitable time varying phase o sets to
the transmit antennas are analyzed in [13, 14].
Delay Diversity: This concept is listed for the sake of completeness as it is not applicable in CDMA systems. According to [15] a narrowband signal is transmitted
by multiple antennas with a delay between each antenna. This creates frequencyselective fading, which is equalized at the receiver to provide diversity gain. The
delay between the transmitted signals is such that the signals are uncorrelated.
The received signal is sampled at the symbol rate and the transmitted symbols
are determined by maximum likelihood sequence estimation. In [16, 17] the delay
implementation between the antennas is realized with FIR lters.
Linear lters or \precoders" that transmit non-orthogonal signals from di erent antennas are not desirable in CDMA DL. They produce an increase of the interference
which degrades the system performance.
DL Transmit Diversity concepts of the 3GPP speci cations (see[3]) are divided into open
and closed loop modes. The open loop mode applies space-time block coding and is
based on the Space Time Transmit Diversity scheme. The close loop mode comprises two
submodes, which both utilize feedback signalling based on DL channel estimations. As
this thesis concentrates on the closed loop modes, I give a detailed description of both
submodes in the following section.

space

low (switching)

no additional

Diversity Tx complexity Rx complexity


 very simple

Advantages

(no changes at UE)


 easy to combine with
feedback schemes
space
Selective
low (switching)  channel estima-  simple scheme
+
tion for each tx  performs better
antenna
than Time Switched
selection
 feedback genera- method
tion
space
Space
low
 channel estima-  simple
Time
+
(simple encoding tion for each tx  combining gain
antenna
combination scheme)
 combining
Orthogonal code
 splitting
parallel decoding
 parallel spreading
space
Phase
low
no additional
 no UE redesign
Sweeping
+
(phase sweeping)
 no combining scheme
(signal combining
combination
through propagation)
space
Delay
FIR or precoder additional Rake
ngers
+
combination

Scheme
Time
Switched

signals (not practical for CDMA system)


 additional Rake
ngers

 non-orthogonal

signals can add up


destructively

rx complexity

(the more antennas, the longer delay)


decoding delay of
one symbol duration

 no combining gain
 feedback delay

low gains compared


to other schemes

Disadvantages

CHAPTER 4.
DOWNLINK TRANSMIT DIVERSITY

30

Table 4.1: Comparison between Transmit Diversity concepts

CHAPTER 4.

4.2

DOWNLINK TRANSMIT DIVERSITY

31

Closed Loop Transmit Diversity

4.2.1 Introduction

In closed loop Transmit Diversity the Node B transmits the user data with two antennas.
The same data signals are sent to both antenna branches and weighted with antennaspeci c transmit-weights, which are based on the feedback from the UE. The target is to
nd transmit-weights that maximize the SNR at the UE.
More detailed, on each antenna branch a separate pilot channel is added to the data
channel. The pilot sequences are known at the UE and used for separate estimation of
both channels. To maximize the received power at the UE, the appropriate weights for
the transmit antennas at the Node B are calculated. The loop is closed by signalling the
transmit-weight to the Node B over the feedback channel.
The resulting gain can be divided into two parts: coherent combining gain and gain
against small-scale fading. The coherent combining gain is achieved because the UE
controls the downlink transmission in a way that the signals of the transmit antennas
combine coherent while the interference combines non-coherent.
Gain against small-scale fading is achieved if the small-scale fading is poorly correlated
between the channels seen from the two transmit antennas. To get low correlated channels,
space or polarization diversity antennas are used. The usage of space diversity antennas
requires that the antennas are suciently far apart from each other in order to reduce
the correlation. Additionally, they have to be suciently close to each other so that the
propagation delays between each antenna and a given UE are approximately identical.
This is important in order to maintain DL orthogonality in a single-path channel. In [10]
an antenna spacing of 10-20  is recommended. The advantage of polarization diversity
is that the diversity branches do not need separation and can be located in one physical
antenna housing. Typically two antennas at the Node B are used for UL Receive Diversity,
by using them to apply DL Transmit Diversity, no extra antennas are needed.
4.2.2 UTRA FDD Closed Loop Transmit Diversity Procedure

Two approaches of closed loop Transmit Diversity are speci ed in 3GPP [18] standard
and used in the simulation environment. In the following I give a general description of
the DL Transmit Diversity procedure. A detailed description of closed loop mode 1 and
2 can be found in Section 4.2.3 and 4.2.4.
The general transmitter structure to support closed loop mode transmit diversity for
DPCH transmission is shown in Figure 4.1. The data channel DPDCH and the control
channel DPCCH are time multiplexed to one channel, the DPCH. Channel coding, interleaving and spreading are done as in non-diversity mode. The spread complex valued

CHAPTER 4.

32

DOWNLINK TRANSMIT DIVERSITY

Antenna 1
w1
CPICH 1
Tx

spread/scramble

DPCCH

DPCH

Time
MUX

DPDCH

Antenna 2

Tx
CPICH 2
w2
Rx
w1

w2

Rx

Weight Generation

Determine FBI message


from Uplink DPCCH

Figure 4.1: General transmitter structure at Node B according to 3GPP [18]


signal is fed to both antenna branches and weighted with antenna speci c weighting factors w and w . In general, these weighting factors are complex values. The weighting
factors | actually the corresponding phase adjustment in closed loop mode 1 and the
phase as well as the amplitude adjustment in closed loop mode 2 | are calculated at the
UE as follows:
1

Weight calculation

The channel estimation procedure delivers the channel matrix H = [ h h ], where h


and h are both column vectors denoting the estimated channel impulse responses for the
paths from antennas 1 and 2, respectively. With the channel matrix the UE calculates
the power at the receiver according to
1

= wH HH Hw;
(4.2)
where w = ( w w )T denote the transmit-weight vector containing the transmitweights and with the assumption of non-soft handover operation. The search for the
P

CHAPTER 4.

DOWNLINK TRANSMIT DIVERSITY

33

new weighting factors corresponds to a power maximization problem. Therefore, the UE


searches for the weighting vector w that maximizes the receive power
Pmax = arg max
(wH HH Hw):
(4.3)
w
These weights are signalled to the UTRAN.
Feedback signalling

The UE maps the calculated transmit-weights to a feedback command word called feedback signalling message (FSM) and sends it to the UTRAN access point. The FSM bits
are transmitted in the portion of the feedback information (FBI) eld of the UL DPCCH
slots. More precisely, the FBI D eld is used which is assigned to closed loop mode
Transmit Diversity (see [3]). Each FSM has Nw = Npo + Nph bits, its format is shown in
Figure 4.2. One FSM consists of two sub elds which carry the information for the power
Nw
FSM ph

FSM po

N ph

N po

Figure 4.2: Format of feedback signalling message (FSM)


(FSMpo) and phase (FSMph) settings respectively. The transmission order of the FSM
bits is from Most Signi cant Bit (MSB) to Least Signi cant Bit (LSB), i.e. the MSB is
sent rst.
Once the FSM is received at the UTRAN, the following timing is used. The adjustments
are made by the UTRAN access point at the beginning of the DL DPCCH pilot eld. The
DL slot in which the adjustment is done is signalled by higher layers. Two possibilities
exist:
1. When a feedback command is transmitted in UL slot i, which is transmitted in a
chip o set limited to 1024148 chips compared to the received DL slot j , then the
adjustment is done at the beginning of the pilot eld of the DL slot (j + 1) mod 15
(see Figure 4.3a).
2. When a feedback command is transmitted in UL slot i, which is transmitted in a
chip o set limited to 1024148 chips compared to the received DL slot j , then the
adjustment is done at the beginning of the pilot eld of the DL slot (j + 2) mod 15
(see Figure 4.3b).

UE

DL slot(j)

weighting

UL slot(i)

FSM(i)

UTRAN

UE

DL slot(j)
UL slot(i)

FSM(i)
w(i)

DL slot(j+1)

DL slot(j+1)

1024148 chips

UTRAN

w(i)

34

DOWNLINK TRANSMIT DIVERSITY

1024148 chips

CHAPTER 4.

UL slot(i+1)
weighting

DL slot(j+2)

(a)

(b)

Figure 4.3: Time relation between feedback signalling and weighting


4.2.3 Closed Loop Mode 1

The UE controls the phase adjustment of the downlink signal transmitted from antenna
2 - called diversity antenna - according to the signal transmitted from antenna 1 - the
reference antenna. For this purpose the UE calculates the optimum phase adjustment for
every slot as mentioned in Section 4.2.2, resulting in
ej =

hH h
jhH h j
2

(4.4)

for closed loop mode 1. After power maximization the UE quantizes the optimum phase
adjustment  in combination with a constellation rotation into Q having two possible
values:
Q =

; if 2 <  r (i) 
0; otherwise

3
2

(4.5)

where i is the UL slot number and r (i) indicates the constellation rotation which depends
on the slot number. As shown in Figure 4.4, for even numbered slots r (i) = 0 and the
boundary between the two possible values
of Q is the y-axis. For odd numbered slots

the boundary is rotated by r (i) = and is now identical to the x-axis. In the case of
Q = 0 the FSM is set to \0", if Q =  the FSM is set to \1". This feedback command
is transmitted to the UTRAN by using only the FSMph sub eld of the feedback signalling
message for closed loop mode 1.
The quantization together with the constellation rotation leads to four di erent values for
the phase setting in closed loop mode 1, even though the feedback command consists of one
bit. Taking the constellation rotation into account when interpreting the received feedback
command at the network side and averaging the resulting phases over two consecutive
slots yields the transmit-weight for the diversity antenna branch. Both antennas send
2

CHAPTER 4.

35

DOWNLINK TRANSMIT DIVERSITY

Im{w2 }

Im{w2 }

Q= 0

w2

Q= 0

w2

Re{w2 }

Q=

Re{w2 }

Q=

r = 0

r = /2

Slot#: i = 0,2,4,6,8,10,12,14

Slot#: i = 1,3,5,7,9,11,13

Figure 4.4: Constellation rotation at UE


with equal power, and only the phase of the reference antenna is adjusted. Figure 4.5
shows the possible weight values for w and the resulting weight vector is given by
2

w=

w1
w2

p12
p12 ej 2

(4.6)

Im{w2 }

10

00
Re{w2 }

11

01

Figure 4.5: Possible values of w for closed


p loop mode 1 with associated feedback bit
states; jw j and jw j are always set to 1= 2
2

Feedback command interpretation at UTRAN

The UTRAN receives the feedback information over the UL radio frame. Because of
the constellation rotation at the UE the mapping of the FSM to the phase adjustment
i depends on the slot number of the UL frame. The UTRAN interprets the received
commands according to Table 4.2.

CHAPTER 4.

36

DOWNLINK TRANSMIT DIVERSITY

UL slot i
FSM=\0" FSM=\1"
0,2,4,6,8,10,12,14 i = 0
i = 
1,3,5,7,9,11,13
i =
i = 
Table 4.2: Mapping between FSM and phase adjustment i at UTRAN
2

Averaging

The weight is calculated by sliding window averaging the feedback commands over 2
consecutive slots according to Equation 4.7,
n

cos i i
w =i n
2 +j
where i is the phase adjustment from UL slot i.
P

sin i
2 ;

(4.7)

Initialization

For the transmission of the rst slot in the rst DL frame, the UTRAN possesses no FSM
from the UE. Therefore the initial weight w = (1 + j ) is applied. After the reception of
the rst FSM, the UTRAN calculates the weight for the second slot of the DL transmission
by using Equation 4.8,
2

 + sin 
 + cos 
sin
cos
w =
+j
2
2
is the phase adjustment received from UL slot 0.
2

where 

1
2

(4.8)

End of frame adjustment

The sliding window averaging operation is slightly modi ed at the frame borders. This
a ects the weight calculation after the reception of the FSM of UL slot 0. The new weight
calculation is now based on the phase adjustment of slot 0 from the actual UL frame j
and on the phase adjustment of slot 13 from the previous UL frame j 1, as shown in
Equation 4.9,
sin
j + sin j
cos
j + cos j
w =
+j
;
(4.9)
2
2
where j and j are the phase adjustment from slot 13 of UL frame j 1 and the phase
adjustment from slot 0 of the actual UL frame j , respectively.
2

13

13

13

CHAPTER 4.

37

DOWNLINK TRANSMIT DIVERSITY

4.2.4 Closed Loop Mode 2

Closed loop mode 2 also uses two antennas for Transmit Diversity at the UTRAN. It
o ers the adjustment of the phase as well as the amplitude. At the diversity antenna
eight di erent values are possible for phase adjustment. For the setting of the amplitude
two values for both antennas are provided. This gives a total of 16 di erent feedback
commands (FSMs) which require a command length of four bits FSM=f b b b b g.
From the MSB three bits (b ; b ; b ) are used for phase representation, building the FSMph
sub eld of the FSM. The LSB (b ) is needed for amplitude feedback within the FSMpo
sub eld. The format of the feedback signalling message is presented in Figure 4.2 of
Section 4.2.2.
Because of the limited FBI eld size only one bit of the FSM per UL slot can be signalled
to the UTRAN. It would take at least four times a slot duration, giving a feedback delay
of 2.67 ms, before the new FSM determination can be performed. To shorten the feedback
delay without reducing the number of possible FSM values, progressive re nement of the
FSM is used at the UE as well as the UTRAN.
The procedure at the UE used in my simulation environment is implemented according
to [18] and is described in the following. For every slot the UE estimates the receive power
for a certain number of di erent weight vectors according to Section 4.2.2. The weight
vector, which gives maximum receive power, determines the FSM by means of Table 4.3
and Table 4.4.
FSMph b b b
000 
0 0 1 
011
010 
1 1 0 0
111 
101 
100
Table 4.3: Mapping between phase sub eld, FSMph, of the feedback command and the
phase, , of w
FSMpo b Pant Pant
0 0.2 0.8
1 0.8 0.2
Table 4.4: Mapping between amplitude sub eld, FSMpo, of the feedback command and
the squared amplitude values, Pant and Pant , of w and w
The re nement of the FSMs within one frame is done according to Table 4.5. In slot 4i
(with i = 0; 1; 2; 3), the rst bit, b , of the selected FSM is sent to the UTRAN and stored
3

3 2 1

3
4
2
4

2
3
4

CHAPTER 4.

38

DOWNLINK TRANSMIT DIVERSITY

at the UE. In the following slot, b of slot 4i is used for the new FSM determination,
which is indicated in Table 4.5 by the bold type. Hence, the new FSM is selected out of
eight possibilities. After this, b is sent to the UTRAN. In slot 4i + 3, b and b are xed
and in slot 4i + 2, b , b and b are xed at the values selected in the previous slots.
Slot# # of FSMs
selected FSM
send bit
4i
16
b (4i)b (4i)b (4i)b (4i)
b (4i)
4i+1
8
b3(4i)b (4i + 1)b (4i + 1)b (4i + 1) b (4i + 1)
4i+2
4
b3(4i)b2(4i + 1)b (4i + 2)b (4i + 2) b (4i + 2)
4i+3
2
b3(4i)b2(4i + 1)b1(4i + 2)b (4i + 3) b (4i + 3)
Table 4.5: Progressive re nement at UE
The more FSM bits of one feedback command are transmitted, the less the possibilities
for the selection of the new FSMs. However, the feedback commands are being updated
every slot time.
At the network side a FSM update procedure is utilized For practical implementation also.
Every slot time the UTRAN constructs the FSM from the four most recently received bits
and maps it to a weight vector (phase and amplitudes according Table 4.3 and Table 4.4).
This is done by maintaining a register of length four, which contains the FSM of the
previous slot. The new received FSM bit is written on a register position according to its
command word signi cance, the MSB b is written on the rst position, b on the second
and so on. The updated FSM determines the new weighting vector,
pP
w
:
(4.10)
w = w = pPant
j
ant e
3

1
0

The possible weight values for w are given in Figure 4.6. At the beginning of the transmission and at the end of each frame special procedures have to be considered, which are
described in the following.
2

Initialization

At the beginning of a transmission no FSMs are available at the UTRAN, therefore


following initialization procedure is speci ed: The power in both antennas is set to 0.5.
The phase setting depends on the number and the value of received FSMph bits. For the
transmission of the rst slot a phase value of  is used. The phase adjustment of the
following two slots is selected according to Table 4.6. For the transmission of all further
slots, Table 4.3 and Table 4.4 are used.
At the UE, there are no special initialization requirements. It calculates and transmits
the FSM at the beginning of a transmission in the same way as presented above.

CHAPTER 4.

39

DOWNLINK TRANSMIT DIVERSITY

Im{w2 }

101
100

111
110

000
001

Re{w2 }

010
011

Figure 4.6: Possible values of w for closed loop mode 2 with associated feedback
p bit
(b b b ) pstates; the inner constellation corresponds to b = 1 with jw j = p0:8 and
jw j = p 0:2 and the outer constellation corresponds to b = 0 with jw j = 0:2 and
jw j = 0:8
FSMph b b b
--- 
0-- 
1-- 0
0 0 - 
011 1 - 0
10Table 4.6: Closed loop mode 2 initialization at UTRAN
2

3 2 1

3 2 1

End of frame adjustment

The FSM must be fully contained within one frame. This has the following consequence
for the FSM updating procedure at the UE. The FSM bits b {b , corresponding to the
three last slots of the a frame, are signalled to the UTRAN as described above. In the
following slot | the rst slot of the new frame | b instead of b is transmitted and a
new FSM command is started. Therefore, the power adjustment of the last FSM will not
be updated at the UTRAN at the end of a frame.
3

4.3

Concepts with more than two Transmit Antennas

The extension of the 3GPP closed loop modes to more than two transmission antennas is
strongly discussed in the working groups of the UMTS standardization body. According to
[19] the use of more transmission antennas provides signi cant performance improvements.
As the number of transmission antennas increases the mean received power raises and

CHAPTER 4.

DOWNLINK TRANSMIT DIVERSITY

40

additionally the signal variations decrease. This leads directly to an increase in system
performance. However, several problems occur if the number of transmission antennas is
extend:
Orthogonal CPICHs for channel identi cation at the UE: The UE has to estimate the channels between each transmission antenna and the antenna at the UE.
Therefore it is necessary that each antenna at the Node B transmits a speci c pilot
sequence which are orthogonal among each other. This is described in Section 2.3.1
for the two antenna case. For backward compatibility the speci ed pilot channels
CPICH1 and CPICH2 with their symbol patterns and channelization code Cch; ;
must not be changed. For the use of four antennas two additional orthogonal pilot
sequences are needed. In [20] it is proposed to take the same pilot symbol patterns as for CPICH1 and CPICH2 but spread with a di erent code, i.e. Cch; ; .
By spreading with other channelization codes a further extension of the number of
antennas is possible.
Fast changing radio channel and xed feedback rate: The speci ed channel structure of UL DPCCH (see [3]) provides only one bit per slot for feedback signalling,
which results in a feedback rate of 1500 bit/s. But the larger the number of transmission antennas, the more information has to be fed back. For a system with M
transmission antennas and N bits per weighting vector, M times N bits have to be
signalled back to the UTRAN. By using one antenna as phase reference the number
of feedback bits can slightly be reduced to (M 1)N . For slow varying radio channels good performance can be achieved even with a large number of feedback bits.
But for faster changing situations the feedback takes too long. Therefore methods
are desired to reduce the feedback information and to provide ecient representations of the weighting vectors. In the following sections two solutions which try to
solve this problem for four transmit antennas are presented.
256 0

256 2

4.3.1 Nokia's Proposal for more Tx Antennas

The concept proposed by Nokia has no speci c title. In [21] it is denoted with the
abbreviation R2F2 or R2F4 where R2 stands for two rotated constellations as they are
used for 3GPP close loop mode 1 (see Figure 4.4) and F2/F4 means ltering over 2 or 4
consecutive feedback commands per antenna respectively. Nokia's concept is an extension
of the 3GPP closed loop mode 1 where the number of transmission antennas of the Node B
is increased from two to four. It uses the same weight constellations as well as feedback
method as mode 1. Therefore one antenna element is the reference element and the phase
of the remaining antennas is adjusted with respect to it. Per UL slot the weight of only
one antenna is signalled back to keep the feedback rate of 1500 bit/s as mentioned before.
Thus the feedback rate per antenna element is reduced by a factor of 1/3. This means
that in the R2F4 case | the ltering is also adopted from mode 1 | one antenna weight
depends on feedback information sent nine slots in the past.

CHAPTER 4.

41

DOWNLINK TRANSMIT DIVERSITY

Simulation results of both cases R2F2/F4 show a performance gain over the two antenna
modes only for low mobile speeds. For increasing velocity the gain of the R2F4 case
decreases very fast and for velocities beyond 60 km/h the performance is worse than that
of mode 1 for two antennas.
4.3.2 Eigenbeamformer

The eigenbeamformer concept was proposed by Siemens in cooperation with the Munich
University of Technology [22, 23]. Beside the short-term channel properties it also considers the long-term channel properties. The short-term properties are determined by
short-term uctuations in the radio channel caused by Doppler shifts, e.g. due to moving
UEs. Long-term channel properties depend on the di erent UE positions and therefore
comprise spatial correlation between antenna elements and dominant temporal taps. The
principal function of the eigenbeamformer is to calculate the eigenvectors with the largest
eigenvalues | called eigenbeams | of the long-term spatial covariance matrix, that give
the largest average receive power at the UE. The feedback consists of two procedures: the
long-term feedback where the dominant eigenbeams are sent back to the Node B and the
short-term feedback which is used to select one of the known eigenbeams at the Node B.
Figure 4.7 shows the general structure of the eigenbeamformer at the UE according to
[24].

Channel
Estimation on
CPICH 1-4

Calculation of
Eigenbeams

Eigenbeam
Selection

Long-term
Feedback

Multiplex to
DPCCH

v1 , ..., v Nbeam

Short-term
Feedback

Figure 4.7: General structure of the eigenbeamformer at the UE [24]


For the calculation of the eigenvectors the UE has to estimate the channel impulse responses between the M transmission antennas and the UE. These estimates are used to
calculate the short-term spatial covariance matrix

Rst =

n=1

hnhHn ;

(4.11)

CHAPTER 4.

42

DOWNLINK TRANSMIT DIVERSITY

where N denotes the number of temporal taps depending on the maximum delay spread
and the column vector hn = (hn ; :::; hnM )T consists of the channel coecients of the nth
temporal tap. The calculation of the long-term spatial covariance matrix uses a forgetting
factor , which is needed to consider the slow change of the long-term channel properties
Rlt(i) = Rlt(i 1) + (1 )Rst(i):
(4.12)
The update of Rlt(i) is performed once per frame or for larger time intervals which is
denoted by the time index i. Finally the eigenvalue decomposition is carried out
RltV = V;
(4.13)
where V = [ v v : : : vM ] contains the eigenvectors and the diagonal matrix  the
corresponding eigenvalues.
1

Long-term Feedback
During the long-term feedback Nbeam eigenvectors with the largest eigenvalues out of the
set of M eigenbeams in V are selected and transmitted to the Node B.

Short-term Feedback
The received power at the UE is estimated for each dominant eigenbeam by
Pm = vmH RTst vm =

vmT hn

n=1

(4.14)

where m characterizes the eigenbeam. The eigenbeam which gives the maximum power
is selected and an index to this choice is signalled to the Node B during the short-term
feedback.
The eigenbeamformer concept shows good performance even for higher velocities and it
seems to be an interesting candidate for extension of the closed loop Transmit Diversity
modes in the new release of the 3GPP speci cations.

Chapter 5
Simulation Environment
The simulation environment used for this thesis was written in Matlab. The simulations
are performed at link level and are based on the UMTS FDD speci cations. In this chapter
the operations and procedures that are executed during the run of the simulation program
are presented. First, a short introduction of radio network simulation is given, followed
by an more detailed overview of the main parts of the designed simulation programm.
5.1

Introduction

Radio network simulations used for evaluation of the radio network performance are usually divided into two di erent parts { the link and the system level simulations. Even
though a single simulation solution is preferred, the splitting into two simulation parts is
necessary as the complexity of such a single simulator would be too high. On the link
level typically one communication link between a UE and a Node B is modelled at a time
resolution of typically one to four samples per chip. For the simulation of UMTS links
this results in a time resolution of e.g. 0.26 s for one sample per chip at a chip rate of
3.84 Mchips/s. In contrast, at system level the time resolution depends on the shortest
temporal variations of the interference situation. The control algorithm of UMTS with the
highest operation rate is fast power control working at a frequency of 1500 Hz. Therefore,
the time resolution is typically in the range of one power control period, i.e. 0.667 ms.
Link level simulations are used for accurate receiver performance analysis. For this purpose receiver models are used which deliver Bit or Block Error Rates (BERs or BLERs)
taking into account channel estimation, detection and decoding procedures. The output
parameters are for example Eb =N values at certain BERs, or multipath channel models
including antenna diversity. These parameters can then be used for system level simulations, which model the whole system with many UEs and Node Bs. In general the
0

1E

b denotes the energy per received bit and N0 is the power spectral density of the noise plus interference from other base stations.

43

CHAPTER 5.

44

SIMULATION ENVIRONMENT

applied models are trac models for call generation or mobility models for the simulation
of moving users. More details on system level simulations can be found in [25, 26, 27].
5.2

Description of the Simulator

5.2.1 General System Model

The general system model is shown in Figure 5.1. At the beginning of a simulation run
one DPCH frame consisting of control and data bits is generated. For further considerations a single user scenario is assumed. The bit sequence of this user is spread and
scrambled to a complex valued chip sequence, which is processed slot by slot. In case of
Transmit Diversity one DPCH slot is reproduced for each transmission antenna branch
and multiplied with the respective transmit weight. Furthermore, a separate common
pilot channel per antenna branch is added to the weighted DPCH chip sequence, before
the sequence at each antenna branch enters the channel model.
Cch,SF,m S dl,n
DPCH
Generation

CPICH 1,2

Channel1

noise

Weighting

Channel2

CPICH 1,2
Channel
Estimation
dedicated
Pilot 1,2

Rake

Feedback
Generation

Feedback

Figure 5.1: General system model


Through the channel the signal experiences a number of variations in amplitude and phase
because of di erent e ects like multipath propagation, small-scale fading or Doppler shifts.
The two transmit signals pass through their channel realizations and are superposed after
the channel model is left. Before the signals enter the receiver noise is added. At the
receiver block a feedback command is generated for each slot, which is signalled to the
transmitter. After the reception of 15 slots, i.e. one frame, the despreading and detection
is performed, and the BER (Bit Error Rate) is calculated.
5.2.2 Signal Model

In the following, I present the used discrete time signal model. The underlying time
resolution is 0.26 s, which is equal to one chip duration. Consider the transmission

CHAPTER 5.

45

SIMULATION ENVIRONMENT

of one QPSK modulated symbol A at one chip interval, over a channel with N paths.
Therefore, the received signal at the mobile can be represented by
r(t) =

i=1

[Aw c(t
1

i )h1;i + Aw2 c(t i )h2;i ] + n(t);

(5.1)

where w and w are the antenna weights, c(t) is a combination of the spreading and
scrambling code, and hence complex valued, h ;i and h ;i are the complex valued channel
coecients, and n(t) is the Additive White Gaussian Noise (AWGN). The despreading is
performed by a Rake receiver, as described in Section 3.2.2. At the output of the ith Rake
nger, we get
T
ri = r(t)c (t i )dt = (w h ;i + w h ;i ) A + ni :
(5.2)
1

Using MRC in case of ideal channel knowledge, the coherent sum of all Rake ngers is
given by
N
N

rMRC = ri (w h ;i + w h ;i ) = kw h ;i + w h ;i k A + n0 :
(5.3)
i
i
The output of the Rake is used in the decision device, to form the Maximum Likelihood
(ML) estimate of the transmitted symbol. These symbol estimates are used for further
processing, e.g. calculation of the BER.
X

=1

=1

5.2.3 Transmitter

Data Generation
At the transmitter, which represents the UTRAN, the data streams are generated according to some parameters. With the choice of the spreading factor one of the eight
possible slot formats, which determines the number of bits of the di erent DPCH elds
(see Section 2.3.1 for the description of the DPCH and [3] for details on the slot formats)
is selected. In the UMTS speci cations more than eight slot formats are listed, but in the
simulatior only one slot format per spreading factor is implemented.
The data elds, Data1 and Data2, and the control elds, T P C and T F CI , of the DPCH
are lled with a random antipodal bit sequence bi 2 f 1; 1g, where \ 1" and \1" are
equally distributed. The bit pattern for the P ilot eld is taken from the UMTS speci cations [3] and represents also an antipodal symbol sequence. During the spreading
operation each bit of the DPCH sequence is multiplied with SF code chips, taken from
one channelization code of the codetree in Figure 2.8, with SF equal to the spreading
factor. The scrambling procedure is nothing else than an element-wise multiplication of
the signal with the primary scrambling code.
For the simulation of the speci ed closed loop modes of Transmit Diversity all symbols
of the DPCH are duplicated for the second transmit antenna. If closed loop mode 1 is

CHAPTER 5.

46

SIMULATION ENVIRONMENT

selected the dedicated pilot bit patterns used between the transmit antennas are di erent.
This allows the UE to verify the applied transmit weight and to detect and correct errors
of the feedback loop from the UE to the UTRAN. This is only provided for closed loop
mode 1, whereas for closed loop mode 2 exactly the same DPCH is transmitted from both
antennas.

Weighting
The weighting operation consist of three steps. The rst one refers to the generation of the
transmit-weights. For this purpose the amplitude and phase settings for both antennas
are calculated according to the selected mode and the recently received FBI bits. The
amplitude adjustment refers to the total transmit power, i.e. the sum of the power from
both antennas which is always equal to the total transmit power of the single antenna
case. In the second step one slot of the spread and scrambled DPCH is multiplied by the
transmit-weights, resulting in two chip sequences, one for each antenna branch. During
the last step the pilot insertion takes place. At each antenna branch a separate CPICH
is added to the weighted signals. Both CPICHs are spread and scrambled with the same
codes, but carry di erent symbol sequences, as mentioned in Section 2.3.1.
5.2.4 Channel Model

For the modelling of the downlink channel between the Node B and the UE a standard
wideband channel model is implemented. By means of this model, the signal variations
due to propagation e ects are simulated. The explanation of wideband modelling is based
on the descriptions in [7] and [28].

Wideband Modelling
Wideband (i.e. frequency-selective) channel modelling is usually based on the time-variant
channel impulse response. For a frequency-selective channel the channel impulse response
shows several distinct components at certain delays that can be related to certain propagation lengths, whereas for narrowband channels there is only one single path. Thus, it
is quite common in channel modelling to treat each of the paths in a wideband channel
impulse response like a narrowband channel. The time-variant channel impulse response
h(t;  ) can be expressed as a sum of N weighted delta functions:
h(t;  ) =

i=1

ai (t)  eji (t)  (

i );

(5.4)

where i is the path index, N is the number of di erent paths, i is the delay of the ith
path, ai(t) and i(t) are the time-dependent amplitude and phase of the respective path i.

CHAPTER 5.

47

SIMULATION ENVIRONMENT

In general, the path delay may also be time-variant, i.e. i ! i (t). Treating each path as
a narrowband Rayleigh channel, leads to Rayleigh distributed amplitude values ai(t) and
uniformly distributed phase values i(t). The frequency selective fading model described
by 5.4 can be implemented for simulation purposes by a tapped delay-line with taps
at each i and randomly varying complex valued tap-weights determined by a Rayleigh
distribution with related random phase values.
For frequency-selective channels the power is spread over a certain range of delay times
(time-dispersion). The distribution of power vs. delay time is described by the Power
Delay Pro le (PDP). From the PDP values for the power of taps in a wideband model
and thus the parameters for the distribution functions, can be determined. The most
common assumption for the shape of the PDP is an exponentially decaying function
P ( ) = e ;
  0:
(5.5)
This PDP is dependent on the access delay  2 [0 : : : max ] which is compared to the delay
of the rst impinging path, where max is the maximum access delay or also known as
multipath spread. The decay of the exponential PDP is determined by the RMS delay
spread S , which is generally de ned as the square root of the second central moment of
the PDP normalized to the total power:

S

S

v
u
u R
u
u
u
u
R
t

1
P ( ) 2 d
1
1
P ( )d
1

Tm2 ;

(5.6)

where Tm is the mean delay, i.e. the rst order moment of the normalized PDP,
1
P ( )d
1
:
1
R
P ( )d
1

Tm =

(5.7)

The RMS delay spread thus is a measure for the \width" of the PDP, and hence for the
time-dispersiveness of the channel.
The correlation between the random amplitude and phase values over time for each tap
can be described by appropriate correlation functions. However, it is more common to
describe the correlation by the related power density spectra in the frequency domain,
i.e. by Doppler spectra. If multipath components of approximately the same amplitudes
arrive uniformly distributed from all directions, for a moving transmitter or receiver, this
results in the so-called \Classical Spectrum" or \Jakes Spectrum"
1
(5.8)
PB ( ) =

  max 1 
r

2

max

CHAPTER 5.

48

SIMULATION ENVIRONMENT

for

max <  < +max , otherwise it is zero. The Doppler shift


v
 = f0   cos ;
(5.9)
c
is dependent on the angle of incidence , the velocity v, the carrier frequency f0 and the
velocity of light c. For cos = 1, the maximum Doppler shift max occurs. The Jakes
Spectrum for a sine wave is plotted in Figure 5.2, where the x-axis is normalized to max .

The frequency range where the power spectrum is non-zero, is called the Doppler spread.
Describing the correlation over time by Doppler spectra means for the model's implementation that the amplitude and phase values are generated as statistically independent
random variables, which are thus uncorrelated and have a constant Doppler spectrum.
Then the correlation can be induced by simply using a lter whose transfer function has
the shape of the desired Doppler spectrum.
2.5

PB()

1.5

0.5

0
1.5

0.5

0.5

1.5

max

Figure 5.2: Classical Doppler Spectrum


The number of taps N in the tapped delay-line is usually xed, and the delay for each tap
is determined by the reciprocal of the channel bandwidth B , i.e.  = i i = 1=B ,
which is the path resolution. This will result in several tap weights with zero values for
the cases when there is no path in the channel impulse response.
1

Channel Model Implementation


Summing up, the implementation of the channel model covers a N -path tapped delay-line
with four taps at xed positions according to the multipath fading propagation conditions
in [29] annex B, case 3. All tap weights have Rayleigh distributed amplitudes and equally
distributes phase values with classical Doppler spectrum. Figure 5.3 depicts the tapped
delay-line channel model with delay spacings of one chip duration Tc = 0:26 s, the total
number of L delays, which is related to the maximum access delay max = LTc, and the tap

CHAPTER 5.

s(t)

h 0(t)

49

SIMULATION ENVIRONMENT

Tc

Tc

h 1 (t)

h 2 (t)

Tc
h L-1 (t)

h L(t)

r(t)

Figure 5.3: Wideband Channel Model


weights hi (t) with i 2 [1::L]. According to [30], a Rayleigh distributed random variable
z can be generated by two random variables x and y , which are normally distributed
statistically independent, both with mean zero and equal variance. The variable z is then
given by
z = x +y :
(5.10)
Details about the Doppler ltering can be found in [31]. The mean power of the taps is
taken from an exponential PDP with a delay spread of S = 187:5 ns and a maximum access delay of max = 10Tc. At the end of the channel model the signal power is normalized
to 1, which is necessary for the adjustment of the additive noise.
q

Generation of the Second Channel


Assume two transmit antennas at the base station, the mobile observes the superposition
of two channels, on the one hand the channel between antenna 1 and the mobile and on
the other hand the channel between antenna 2 and the mobile. Both channels consist
of the same number of paths, denoted by N . It is assumed that both antennas see the
same scatterer-clusters and hence, the multipath components of both channels arrive at
the same delay times i , where i is the path index with i 2 [1::N ]. This means that the
ith path of channel 1 has approximately the same length as the ith path of channel 2 and
that they arrive simultaneously at the mobile. This assumption could be made due to
the fact that an antenna spacing of 10-20 would not cause noticeable di erences in the
propagation delay between the signals transmitted from antenna 1 and 2.
Furthermore, the second channel is also a Rayleigh fading channel with the same mean
power and exponential PDP like channel 1. The important di erence of the channels, is
the behavior of the fast fading. With the previous mentioned antenna distance the fading
in both channels is statistically independent and therefore the Rayleigh coecients for
channel 2 are generated independently of channel 1.

CHAPTER 5.

50

SIMULATION ENVIRONMENT

Additive White Gaussian Noise


Before the transmitted signal enters the receiver, the interference introduced through
communication links of other users in neighboring cells and through the thermal noise
are taken into account. This interference is modelled by Additive White Gaussian Noise
(AWGN). Since the transmitted signal is complex valued, the noise generation produces
also complex sequences with mean zero and variance one. This is done for each transmitted
slot. To achieve a certain value of the bit Energy to Noise ratio Eb=N the mean noise
power has to be adjusted according to the mean signal power and the used spreading
factor. Therefore, the noise variance is calculated by,
0

= SF 

;
(5.11)
10
where SF is the spreading factor, P is the mean power of the signal and (Eb=N )dB is the
desired value of the Eb=N ratio in decibel. The spreading factor and the desired Eb =N
values are con gured before the beginning of the simulation. Due to the normalization
of the mean signal power at the end of the channel model, P is set to one for the noise
power calculation.
N2

(Eb =N0 )dB


10

5.2.5 Receiver

The implementation of the receiver can be divided into three main blocks: Channel Estimation and Weight Calculation, Rake Reception and Demodualtion.

Channel Estimation and Weight Calculation


Estimates of the channel impulse response are needed for the compensation of the amplitude and phase distortion introduced by the channel. Furthermore the application of
Transmit Diversity modes with two transmit antennas requires the separate identi cation
of two channels. Therefore, the channel estimation is performed with the CPICHs transmitted from both antennas. The channel estimates are produced by a correlation of the
received signal with the CPICHs, generated at the mobile station.
The estimates of the channel impulse response for channel 1 and 2 are used for the
combining in the Rake receiver and for determining the transmit weights.
The antenna weights for mode 1 and 2 are calculated and fed back as described in Sections 4.2.3 and 4.2.4. For both modes the calculated weights for downlink slot j are applied
at the following slot j + 1, according to the timing shown in Figure 4.3a.

CHAPTER 5.

SIMULATION ENVIRONMENT

51

Rake Reception
The despreading is performed by a Rake receiver, which is explained in Section 3.2.2.
First of all the delay adjustment of the codes has to be done. This means that according
to the number of Rake ngers, the delays of the strongest taps of the estimated channel
impulse response are needed. As mentioned in the previous section one channel estimation
is performed for each slot. These estimates are averaged over 15 slots, i.e. one radio frame,
to improve the reliability of the delay estimation. Finally the delays of L taps with the
highest amplitude are selected, if L Rake ngers are used.
In each Rake nger the descrambling and despreading is performed with the delay adjusted
codes. Descrambling is just a multiplication of the received signal with the complex
conjugate of the base station dependent scrambling code. Despreading is nothing else
than a multiplication of the OVSF code (channelization code) with the descrambled signal,
followed by the integration over the products of one symbol.
The despreaded signals of the single Rake ngers are maximum ratio combined, as explained in Section 3.2.2. Additionally, the antenna weights have to be taken into account
before combining. The resulting coherent sum is a sequence of QPSK symbols, which are
demodulated in the next block.

Demodulation and Symbol Decision


The combined symbols at the output of the Rake receiver are nally fed into the QPSK
demodulator, which provides a real valued symbol sequence. The decision device is a
simple ML detector, which produces an estimate of the transmitted binary bit sequence,
by checking the signs of each symbol in the I and Q domain.
5.3

Simulation Parameters

In the framework of this thesis the communication link between a base station and one
user based on the UMTS speci cations is simulated. The parameters, which are constant
for all simulations are summarized in Table 5.1.
The parameters in Table 5.1 are adjusted according to the 3GPP speci cations for WCDMA
FDD described in Chapter 2. They include e.g. the downlink carrier frequency which
should lie in the range of 2110-2170 MHz speci ed for WCDMA FDD. The chip duration
is the inverse of the chip rate. Furthermore all simulations are performed for a single user.
The delay spread is selected according to the ITU vehicular A channel model [29] annex
B, case 3.
Parameters concerning the transmitter, the channel model and the receiver, which are
changed according to the simulated scenario or system con guration are presented in Table 5.2. They are used to select the desired mode of the closed loop Transmit Diversity

CHAPTER 5.

SIMULATION ENVIRONMENT

52

Parameter
Name
Value
Carrier frequency
f
2120 MHz
Chip rate
chip rate 3.84 Mchips/s
Chip duration
t chip
0.26 s
Radio frame duration
t frame
10 ms
Number of chips per slot
slot length
2560 chips
Number of slots per radio frame frame slots 15 slots
Number of simulation runs
sim rounds
1000
Number of users
num ms
1
Delay Spread
DS
187.5 ns
Table 5.1: Fixed simulation parameters
concept or to simulate the single transmission antenna system. Furthermore, the number
of multipath components can be selected which is typically adjusted to 4 according to the
ITU vehicular A channel model. With the correlation coecient the statistical dependency of the two separate propagation channel can be de ned. The user velocity is used for
the calculation of the Doppler spectrum and with the feedback error probability, errors
during the feedback of the transmission weights are taken into account.
Parameter
Name
Typical Value
Transmitter:
Closed loop mode
T xDiv mode
1 or 2
Number of Tx antennas at base station num ant
1 or 2
Spreading factor
data sf
64
Channel model:
Number of multipaths
num points
4
Correlation between channels
corr coef
0
Receiver:
User velocity
v
3 km/h
Number of Rake ngers
num fingers
4
Feedback error probability
perr
0%
Table 5.2: Variable Simulation Parameters

Chapter 6
Simulation Results
In this chapter I present the results achieved with the previous described simulation
environment for di erent scenarios. The implemented channel model is based on the
propagation channel properties recommended in [29] Annex B which relate to the ITU
vehicular A channel model. The main simulation parameters are summarized in the
Tables 5.1 and 5.2 of Section 5.3. If one of these parameters is changed it will be noted
in the respective section. Furthermore, the graphs of the required Eb =N in a certain
simulation scenario relate to the Eb =N ratios achieved with the respective transmission
method at a BER of 10%. This value of the BER corresponds to a Block Error Rate
(BLER) of 1% determined by my supervisor Thomas Baumgartner by means of link level
simulations with RadioLab3G a commercial available UMTS link level simulator. The
simulation results of the relationship between the BER and the BLER are given in A.
The structure of this chapter is organized in the following way: In the rst section I search
for the maximum gain achievable with Transmit Diversity by assuming ideal conditions.
This is followed by an examination of the Transmit Diversity gain in multipath environments. Section 6.3 deals with the in uence of the mobile velocity on the performance of
both closed loop modes. The relation of correlation between the two propagation channels seen by the transmission antennas and the Transmit Diversity gain is presented in
Section 6.4. At the end I show the degradation of performance, when errors occur during
the transmission of the feedback commands.
0

1E

b and N0 denote the received energy per bit and the power spectral density of the received noise
plus the interference from other base stations
2 RadioLab3G is used by The Institute of Communications and Radio-Frequency Engineering under
license from RadioScape. The views expressed in this thesis are those of the author and do not necessarily
re ect the views within RadioScape.

53

CHAPTER 6.

6.1

54

SIMULATION RESULTS

Achievable Gain of Transmit Diversity

First of all the maximum gain which could be achieved by applying closed loop Transmit
Diversity at the base station is of interest. Therefore, we assume the transmission over
two nearly perfect decorrelated propagation channels. The receiver has ideal knowledge
of these channels which is used for the demodulation of the received signals and for the
generation of the feedback weights. Furthermore, the phase of the feedback weight w for
antenna 2 with respect to w does not underlie any quantization. Hence, it is assumed
that there is enough feedback capacity in the uplink channel for the transmission of the
feedback weights to the base station. The delay of the feedback should not in uence the
performance and therefore the propagation channel should not change too fast. This is
obtained for low mobile speeds, hence I use v = 3 km/h. The maximum gain through
Transmit Diversity can only be achieved, if there is no multipath diversity caused by the
propagation channel available to the receiver. Thus, the propagation channel model used
is a at fading channel.
2

ideal cond: 1 user, SF 64, 1000 frames, 3km/h, 1 tap, 1 finger

10

ideal cond.
1 ant
1

10

BER

10

10

10

10

10
Eb/N0 (dB)

15

20

Figure 6.1: Maximum Transmit Diversity gain in a at fading channel


The simulation results of this ideal case together with the single antenna reference is
shown in Figure 6.1. The BER curve for the ideal case lies below the single antenna case.
This means that the use of ideal Transmit Diversity requires a lower Eb =N ratio than the
single antenna transmission to meet the same speci c BER value. The required Eb =N
for a BER of 10 of the ideal curve is 0.85 dB. Compared to that of the single antenna
0

CHAPTER 6.

55

SIMULATION RESULTS

case, this results in a maximum Transmit Diversity gain of 4.68 dB. Figure 6.1 shows that
the use of ideal Transmit Diversity decreases faster with a rising Eb =N than the single
antenna curve. This is clear due to the fact that the single antenna transmission in a at
fading channel obtains no diversity.
In Figure 6.2 the simulation is performed in a four taps multipath environment. In
this gure again the BER curves for the ideal case and the single antenna are plotted.
Furthermore, closed loop mode 1 and 2 are also presented. The required Eb=N for a BER
of 10 of the ideal case is now 0.79 dB which means that the performance is a little bit
improved compared to the at fading case. However, the Transmit Diversity gain of the
ideal case is decreases to 3.51 dB. This is because the single antenna case performs better
due to the multipath diversity available now.
Figure 6.2 presents also the performance of the two closed loop Transmit Diversity modes.
The BER curves of the closed loop modes lie between the single antenna and the ideal
case as expected. The provided Eb=N values for a BER of 10 are 3.04 dB and 2.75 dB
for mode 1 and 2 respectively. The achieved Transmit Diversity gain of mode 1 is 1.26 dB
and that of mode 2 is 1.55 dB. It can be seen that mode 2 converges to the ideal curve for
large values of Eb =N . The reason is that mode 2 o ers more phase constellations which
result in a smaller quantization error of the transmit weight.
0

1 user, SF 64, 1000 frames, 3km/h, 4 taps, 4 fingers

10

ideal cond.
mode1
mode2
1 ant

10

BER

10

10

10

10

10
Eb/N0 (dB)

15

20

Figure 6.2: Maximum Transmit Diversity gain in a multipath fading channel

CHAPTER 6.

6.2

56

SIMULATION RESULTS

Multipath Environment

In this section the in uence of the propagation environment on the performance of the
closed loop Transmit Diversity modes is examined. The simulations are performed for
radio channels that o er a di erent amount of multipath diversity. This is adjusted with
the number of multipath components arriving at the mobile station. Furthermore, it is
assumed that the rake receiver is able to detect all multipath components and adjusts its
rake ngers to the correct arrival times of the multipath components. With one exception:
The number of rake ngers for the simulation of the nine taps channel is adjusted to ve
to reduce the complexity of the receiver and because more than ve ngers would not
provide a reasonable performance gain.
mode1: 1 user, SF 64, 1000 frames, 3km/h

10

flat
2 taps
4 taps
6 taps
9 taps

10

BER

10

10

10

10

10
E /N (dB)
b

15

20

Figure 6.3: Mode 1 in di erent multipath environments


The simulation results for mode 1 and 2 are presented in Figure 6.3 and 6.4 respectively.
The BER curves of both modes show similar behavior. The most interesting results are
at low Eb =N . The higher the degree of multipath diversity the worse the performance.
This is due to the low quality of the channel estimation because of the relatively high
amount of noise. The longer a delay of a signal the weaker its power at the receiver due to
the exponential PDP . The more weak multipath components the more in uence due to
noise is obtained. For higher values of Eb=N the e ect of noise vanishes and the provided
0

3 Power

Delay Pro le see Section 5.2.4

CHAPTER 6.

57

SIMULATION RESULTS

multipath diversity can be used. Therefore, the curves for multiple taps result in lower
BER values.
The slope of the graphs depends on the degree of available diversity. In the at fading case
diversity is only provided due to the transmission over the two propagation channels with
uncorrelated Rayleigh fading. For more multipath taps multipath diversity is obtained
additionally and therefore this curves decrease faster.
mode2: 1 user, SF 64, 1000 frames, 3km/h

10

flat
2 taps
4 taps
6 taps
9 taps

10

BER

10

10

10

10

10
E /N (dB)
b

15

20

Figure 6.4: Mode 2 in di erent multipath environments


The comparison between mode 1 and 2 as well as the single antenna transmission is
given in Figure 6.5 which shows the required Eb =N ratio over the number of multipath
components. The Eb =N values for mode 1 and 2 at BER=10 increase even though
there is more diversity available as there is multipath diversity additionally provided by
the propagation channels. The reason of the decrease of the performance of mode 1 and 2
with more multipath taps is an optimization problem. In the at fading case two signals
arrive at the mobile. The phase between the signals is adjusted with the transmit weight
w for coherent combining, see Equation 4.2. In case of two taps, two signals arrive |
from antenna 1 and 2 respectively | in two di erent taps. For coherent combining the
signals in both taps have to be adjusted. However, we have only one transmit weight and
therefore coherent combining of all taps cannot be achieved.
The reason why a higher Eb =N value is required at six taps than at nine taps is that
the nine taps case uses only ve rake ngers as opposed to the six taps case that uses six
ngers. Therefore, the six nger receiver catches more noise which in uences the detection
0

CHAPTER 6.

58

SIMULATION RESULTS

BER=101, 1 user, SF 64, 1000 frames, 3km/h


6

required Eb/N0 (dB)

5
4
3
2
mode1
mode2
1 ant

1
0
0

4
6
delay taps

10

Figure 6.5: Required Eb =N in di erent multipath environments


0

of the received bits. The single antenna case improves from the at fading case to the two
taps case by 1.35 dB due to the multipath diversity. This is the reason for the decrease
of the Transmit Diversity gain of mode 1 and 2 between the at fading and the two taps
cases listed in Table 6.1.
Table 6.1 provides the achieved Transmit Diversity gain over the single antenna case
dependent on the multipath environment. The highest gain is obtained in the at fading
case with 3.21 dB and 3.59 dB for mode 1 and 2 respectively. In case of more multipath
taps these values decrease by about 1 dB in both cases. Furthermore, at a speed of
3 km/h the gain of mode 2 is always 0.3 dB higher than that of mode 1. Summing up,
mode 2 performs slightly better for all multipath scenarios than mode 1. However, the
performance di erence between mode 1 and 2 is independent of the additional multipath
diversity. The Transmit Diversity gain of both modes decreases with increasing multipath
diversity.
BER Closed Loop
Delay Taps
Flat Fading 2 Taps 4 Taps 6 Taps 9 Taps
10
Mode 1
3.21
1.81 1.26 1.08 1.15
Mode 2
3.59
2.10 1.55 1.42 1.48
Table 6.1: Transmit Diversity gain in di erent multipath environments (values in dB)
1

CHAPTER 6.

6.3

59

SIMULATION RESULTS

Fast Changing Channels

So far, we considered only scenarios with slow varying propagation channels. But what
happens to the performance of the closed loop modes if the channel states change more
rapidly over time? As described earlier in Section 5.2.4, the temporal changes of the
channel coecients are caused due to the Doppler e ect which depends on the mobile
speed. Therefore, I performed simulations for di erent velocities of the mobile.
mode1: 1 user, SF 64, 1000 frames, 4 taps, 4 fingers

10

v=3km/h
v=10km/h
v=30km/h
v=50km/h
v=70km/h
v=100km/h
v=120km/h

BER

10

10

10

10

10
E /N (dB)
b

15

20

Figure 6.6: Mode 1 for di erent velocities


Figure 6.6 and Figure 6.7 present the corresponding BER curves for close loop mode 1
and mode 2 respectively. As expected, the performance decreases for higher speeds which
is indicated through the di erent slopes of the graphs. The graphs for higher velocities
show relatively high BER values even for high Eb =N ratios. This is caused due to the
fast changes of the propagation channel. Even if the quality of the channel estimation is
high the mobile is not able to track the transmit weights due to the feedback delay.
The comparison of mode 1 and 2 is given in Figure 6.8. Mode 2 outperforms mode 1
for low mobile speeds as it provides eight phase values and additionally the amplitude
adjustment as opposed to mode 1 which o ers only four phase values and no amplitude
setting. Therefore, mode 1 su ers from more quantization errors.
However, as it can be seen in Figure 6.8 mode 2 works better only until a velocity of
about 21 km/h. For velocities higher than 21 km/h mode 1 outperforms mode 2 because
0

CHAPTER 6.

60

SIMULATION RESULTS

mode2: 1 user, SF 64, 1000 frames, 4 taps, 4 fingers

10

v=3km/h
v=10km/h
v=30km/h
v=50km/h
v=70km/h
v=100km/h
v=120km/h

BER

10

10

10

10

10
Eb/N0 (dB)

15

20

Figure 6.7: Mode 2 for di erent velocities


the feedback of the whole mode 2 FBI message takes too long compared to the channel
variations. Remember that the FBI message of closed loop mode 2 consists of four bits
distributed over four consecutive uplink slots as described in Section 4.2.4. A mode 1 FBI
message consists of one bit. The feedback delay together with an averaging operation
over two consecutive FBI bits results in two slots and therefore the update of the mode 1
transmit weights is performed faster. This gives a lower BER as compared to mode 2 for
higher velocities of the mobile.
The single antenna case is also plotted in Figure 6.8. The crossings of the curves for
mode 1 and 2 with the graph for the single antenna case are at di erent values of the
mobile velocity due to the di erent feedback delay. Mode 2 gains only up to v = 55 km/h.
Mode 1 provides a gain for a somewhat higher velocities | the crossing is at v = 75 km/h.
The application of the closed loop modes for higher speeds makes no sense as they perform
worse than the single antenna transmission. However, there is a second crossing between
mode 1 and mode 2 at v about 90 km/h. The reason for this overlap might be that
mode 2 adjusts even the amplitude additionally to the phase adjustment. The antennas
are always weighted with di erent amplitudes and therefore the mean of the rayleigh
distributed amplitudes of the rayleigh faded signals at the mobile is di erent, too. For
mode 1 the amplitudes of the transmit weights are always equal which results in equal
4

4 Feedback

Information

CHAPTER 6.

61

SIMULATION RESULTS

BER=101,1 user, SF64,1000 frames,4 taps,4 fingers


5

required Eb/N0 (dB)

4.5

3.5

2.5
0

mode1
mode2
1 ant
20

40

60
v (km/h)

80

100

120

Figure 6.8: Required SNR for di erent velocities


means of the received signal amplitudes. Therefore, the probability that two amplitudes
are nearly equal is higher for mode 1. The phase di erence between the signal form
antenna 1 and 2 are random since the feedback is wrong for high velocities anyway. The
probability for strongly destructive interference of the two transmit signals at the receiver
is therefore higher for mode 1 which leads to the second crossing between mode 1 and
mode 2.
BER Closed Loop
v (km/h)
3 10 30 50 70 100 120
10
Mode 1 1.26 1.16 0.9 0.46 0.09 -0.4 -0.56
Mode 2 1.55 1.43 0.68 0.08 -0.23 -0.27 -0.23
Table 6.2: Transmit Diversity gain for di erent mobile station velocities (values in dB)
1

6.4

Correlated Propagation Channels

For the simulation with two channels which show a statistical dependance the following
changes have to be made. First of all I want to clarify what is meant with the term
channel correlation and show how it is adjusted for the simulations. In the second part
of this section the simulation results for correlated propagation channels are presented.

CHAPTER 6.

62

SIMULATION RESULTS

6.4.1 Generation of Correlated Channels

The generation of the two channels is described in Section 5.2.4. Correspondingly, at


a certain delay i , one multipath component of channel 1 and one of channel 2 arrive
simultaneously at the mobile. The correlation gives the statistical dependency between
the propagation path of channel 1 and that of channel 2. Strictly speaking, correlation
used here stands for the path correlation between two paths of di erent channels.
Keeping this in mind the desired correlation  can be adjusted in the following way.
Consider a matrix
X = xx ;
(6.1)
consisting of two row vectors, x and x , which cover the realizations for one tap weight
of the respective channel. It is assumed, that x and x are statistically independent with
zero correlation x ;x = 0. With the transformation,
Y = T  X;
(6.2)
!

1
2

where Y =

y1
y2

, we search for a real valued matrix

T=

(6.3)

so that y and y show the desired correlation y ;y = .


Therefore, we have to calculate the correlation coecient y ;y according to Equation 3.14,
where
y = x + x
(6.4)
y = x + x
is used. With the assumptions that x and x are zero mean with equal variance and
negligible correlation,
E fx g = E fx g = 0 ! E fy g = E fy g = 0
E fx g = E fx g = 1 ! E fy g = E fy g = +

E fx x g = E fx x g = 0
(6.5)
the correlation coecient is given by,
2 :
y ;y =
(6.6)
+
1

2
1

2
2

2
1

2
2

5 also

denoted as Doppler ltered Rayleigh coecient

CHAPTER 6.

63

SIMULATION RESULTS

By setting y ;y =  and choosing, e.g. = , Equation 6.6 can be solved for . With
the determined matrix T the new tap weight realizations y and y can be generated
according to Equation 6.2.
This is a very simple method to adjust a desired correlation coecients with low complexity because of the mentioned assumptions. However, due to the limited number of
realizations for the random variables the assumptions in Equation 6.5 are only ful lled
approximately. Therefore, the calculated correlation coecient does not exactly match
the desired one. Yet, this is not essential for the interpretations and conclusions, which
are drawn from the simulation results.
1

6.4.2 Simulation Results for Correlated Channels

In Figure 6.9 and 6.10 the simulation results for closed loop mode 1 and 2 are presented.
Both modes show the same e ect. For higher values of the correlation coecient  the
performance decreases. The reason is that the higher the correlations between the propagation channels the lower the provided diversity and therefore the lower the reliability of
the detection of the received bits.
mode1: 1 user, SF 64, 1000 frames, 3km/h, 4 taps, 4 fingers

10

=0.2
=0.5
=0.7
=0.9
=1
1 ant

10

BER

10

10

10

10

10
Eb/N0 (dB)

15

20

Figure 6.9: Mode 1 in correlated fading channels


However, according to Table 6.3 for fully correlated channels with  = 1 mode 1 provides
a gain of 0.72 dB and mode 2 0.86 dB. In this case there is no diversity provided by the

CHAPTER 6.

64

SIMULATION RESULTS

mode2: 1 user, SF 64, 1000 frames, 3km/h, 4 taps, 4 fingers

10

=0.2
=0.5
=0.7
=0.9
=1
1 ant

10

BER

10

10

10

10

10
E /N (dB)
b

15

20

Figure 6.10: Mode 2 in correlated fading channels


transmission with two antennas. The resulting gain is achieved through the beamforming
gain which is described in more detail below.
BER Closed Loop

0.2 0.5 0.7 0.9 1
10
Mode 1 1.26 0.99 0.81 0.7 0.72
Mode 2 1.55 1.36 1.16 0.92 0.86
Table 6.3: Transmit Diversity gain for di erent correlated channels (values in dB)
Theoretically the graphs for  = 1 in Figure 6.9 and 6.10 should be obtained by a shift of
the single antenna curve to the left by the amount of the beamforming gain. However, the
channel estimation quality in the two antenna situation is lower compared to the single
antenna case since the overall transmission power for one and two antennas is the same.
Therefore, the graphs for  = 1 and the single antenna have di erent slopes even if the
amount of diversity provided by the multipath channel is equal.
Assume a transmit power in the single antenna case of P which is equal to the overall
transmit power in the two antenna situation. Both antennas should transmit with equal
power. The power at antenna 1 and 2 is therefore given by
1

P1 = P2 =

2:

(6.7)

CHAPTER 6.

65

SIMULATION RESULTS

The amplitudes are given by the square root of the powers


s

(6.8)
2:
The received signal at the mobile is the sum of the amplitudes A and A , if the path loss
between the base station and the mobile is neglected and by assuming optimal antenna
weights at the transmitter
P
Arx = Ai = 2 :
(6.9)
2
The received power in the two antenna case is therefore given by
Prx = Arx = 2P;
(6.10)
which results in a gain of 3 dB | the beamforming gain | over the single antenna
transmission where the received power is just P . The values for the beamforming gain
mentioned above are lower than 3 dB. This is due to the quantization of the transmit
weights. Therefore exactly coherent combining is not possible which reduces the beamforming gain.
Furthermore, Figure 6.11 shows the required Eb =N values over di erent correlations
between the propagation channels. The performance of both modes decreases with rising
correlation due to the lost diversity.
A1 = A2 =

1
BER=10 ,1 user, SF64,1000 frames,4 taps,4 fingers

required Eb/N0 (dB)

4.5

3.5

3
mode1
mode2
1 ant
2.5
0.2

0.4

0.6

0.8

Figure 6.11: Required Eb =N for di erent channel correlations


0

CHAPTER 6.

6.5

66

SIMULATION RESULTS

Feedback Errors

6.5.1 Mode 1 and Mode 2

This section clari es how erroneous FBI bits in uence the BER performance of closed
loop mode 1 and 2. The simulated BER curves are presented in Figure 6.12 for both
modes with di erent values of the probability for the occurrence of an feedback error.
The performance of closed loop mode 1 and 2 in case of feedback errors results in an error
oor at high Eb =N values.
0

mode1 & 2: 1 user, SF 64, 1000 frames, 3km/h, 4 taps, 4 fingers

10

10

BER

10

10

10

10

mode1 no FB errors
mode2 no FB errors
mode1 2% FB errors
mode2 2% FB errors
mode1 4% FB errors
mode2 4% FB errors
mode1 8% FB errors
mode2 8% FB errors
1 ant
5

10
E /N (dB)
b

15

Figure 6.12: Mode 1 and 2 with feedback (FB) errors

20

CHAPTER 6.

67

SIMULATION RESULTS

Figure 6.13 shows the required Eb =N for a BER of 10%. The performance of both
modes decreases strongly with increasing feedback error probability. The loss due to the
feedback errors is about 0.2 dB per 1% feedback error for both modes. The di erence
between mode 1 and mode 2 is a little bit smaller for more feedback errors. Table 6.4
lists the gain in dB over the single antenna transmission for mode 1 and 2. For 2% FB
errors the di erence in the required Eb=N value for mode 1 and 2 is 0.25 dB and for 8%
FB errors 0.15 dB.
0

BER=101,1 user, SF64,1000 frames, 3km/h, 4 taps,4 fingers


5

required Eb/N0 (dB)

4.5

3.5

mode1
mode2
1 ant

2.5
0

4
FB error (%)

Figure 6.13: Required Eb =N for di erent feedback error probabilities


0

BER Closed Loop

FB errors (%)
0 2 4 8
10
Mode 1 1.26 0.89 0.52 -0.25
Mode 2 1.55 1.14 0.68 -0.11
Table 6.4: Transmit Diversity gain for di erent feedback error probabilities (values in dB)
1

CHAPTER 6.

68

SIMULATION RESULTS

6.5.2 Mode 1 with Antenna Veri cation

The feedback errors have a strong e ect on the performance of both closed loop modes as
shown in the previous section. Mode 1 o ers a straightforward possibility to check if the
transmit weight of the received signal corresponds to that signalled to the base station.
In contrast to mode 2 mode 1 sends di erent pilot symbols in the DL-DPCH . Therefore,
it is possible to additionally estimate both propagation channels with the dedicated pilot
symbols. By correlating the received signal with both dedicated pilot sequences we get
an estimate of the products of the channel impulse responses hd and hd multiplied by
the transmit weights w and w
Hd = [ hd w hd w ]:
(6.11)
Antenna 1 is used as phase reference and therefore only the estimation of channel 2
is needed. The phase di erence between the hd and the channel estimation with the
common pilot sequence h results in an estimate of the transmit weight w . By comparing
this estimation with the transmit weight which was signalled to the base station, it should
be possible to determine a feedback error. Therefore, it is necessary to store each transmit
weight after the power maximization for one slot duration. The procedure of checking the
transmit weight of antenna 2 is called Antenna Veri cation (AV) according to [18] which
describes a more sophisticated method.
The simulations with AV show no error oor. The performance of mode 1 with AV at
high Eb=N values is quite good even for 8% feedback errors. However, the interesting
area of the BER curves is at much lower Eb=N values where the performance is worse
than the simulation result for mode 1 without AV.
6

7 CPICH2

6 Downlink

Dedicated Physical Channel see Section 2.3.1


(Common Pilot Channel)

CHAPTER 6.

69

SIMULATION RESULTS

Figure 6.14 shows the results at low values of the Eb=N ratio. The use of antenna
veri cation | as described above | produces more errors than mode 1 without AV. The
reason is that the channel estimation by means of the dedicated pilot bits performs bad for
low Eb =N as the dedicated pilot sequences consist of a lower number of symbols than the
common pilot. Therefore, it is necessary to improve the AV procedure to avoid additional
errors and to be able to correct feedback errors. In Figure 6.14 the graph for mode 1
with ideal AV is also plotted. Ideal AV means that the mobile identi es exactly which
transmit weight was applied at the base station. The identi ed transmit weight is used
for the combining in the Rake receiver. The graph for ideal AV shows that the application
of AV can improve the performance of mode 1 in case of feedback errors. However, the
performance for mode 1 with ideal AV decreases with higher feedback error probabilities.
This is due to the perturbed transmit weights which avoid the coherent combining of the
signals from the transmission antennas. Values of the gain of mode 1 with AV over mode 1
without AV are summarized in Table 6.5.
0

required Eb/N0 (dB)

BER=101,1 user, SF64,1000 frames, 3km/h,4 taps,4 fingers


5.5
mode1 without AV
mode1 with AV
mode1 ideal AV
5
1 ant
4.5

3.5

3
0

4
FB error (%)

Figure 6.14: Required Eb =N of mode 1 with Antenna Veri cation (AV)


0

BER

FB errors (%)
0
2
4
8
10 with ideal AV 0 0.29 0.58 1.11
with AV -1.02 -0.92 -0.81 -0.59
Table 6.5: Gain of mode 1 with AV over mode 1 without AV (values in dB)
1

Mode 1

Chapter 7
Summary and Conclusions
This thesis considers the performance of closed loop Transmit Diversity concepts for
capacity enhancement in the downlink of UMTS. The rst part of this work provides a
summary of the main UMTS components and focusses on system properties essential for
the understanding of the link level simulations. A detailed description of the considered
closed loop Transmit Diversity concepts is given in Chapter 4. In the sequel I highlight
the main characteristics of closed loop mode 1 and 2:
Both closed loop modes use two transmit antennas at the base station. Antenna 1 is the phase reference and the signal of the second antennas is adjusted
according to antenna 1. Mode 1 provides four weight values for the phase
adjustment and performs a sliding window averaging over two consecutive
feedback bits. Mode 2 o ers eight phase values and 2 constellations for the
amplitude setting. A substantial disadvantage of both modes is the capacity
of the feedback channel. The speci cations limit the feedback information to
only one bit per UL-slot.
I implemented a simulation environment to investigate the performance of mode 1 and
2 in terms of the BER over the received energy per bit to the spectral density of the
noise plus interference from other base stations Eb =N . With this simulator the downlink
connection of a base station with one mobile terminal in a Rayleigh fading channel with
a classical Doppler spectrum and an exponential PDP is modelled. The simulation tool
is based on the WCDMA FDD speci cations of UMTS. In the following I summarize the
simulation results presented in Chapter 6:
0

The best performance of the closed loop Transmit Diversity modes is achieved
in at fading and slowly varying environments. My simulation results show
a gain of 3.21 dB for mode 1 and 3.59 dB for mode 2 over the single antenna transmission when there is only one multipath component per transmit
70

CHAPTER 7.

SUMMARY AND CONCLUSIONS

71

antenna arriving at the mobile station at v=3 km/h. These values decrease
signi cantly for both closed loop modes in environments with more than two
multipaths. The weighting with one transmit vector at the base station cannot optimally adjust the signals in each multipath tap. However, in a channel
with a larger number of resolvable multipath components a gain of 1.15 dB
and 1.48 dB for mode 1 and 2 respectively can be achieved.
The delay of the feedback information has a severe e ect on the achievable
gain of the closed loop modes for higher speeds of the mobile station. The
feedback delay for mode 1 and 2 is di erent as they use di erent numbers of
weight values. However, both modes use the same feedback bit rate of only
one bit per UL-slot. My simulations show that mode 2 provides a gain over
the single antenna transmission up to a speed of 55 km/h and mode 1 up
to 75 km/h. Mode 1 performs better than mode 2 for higher velocities of
the mobile. For velocities below 21 km/h mode 2 outperforms mode 1 as the
in uence of the feedback delay decreases. For lower speeds the quantization
error of the transmit weights of mode 1 results in a poorer performance.
The amount of diversity provided by the transmission with two antennas depends on the statistical dependance between the propagation channels. The
higher values of the correlation coecient  the lower the performance of both
closed loop modes. For fully correlated channels the gain of mode 1 and 2
decreases to 0.72 dB and 0.86 dB respectively. These values are the result of
the beamforming gain since there is no diversity provided by the transmission
with two antennas in fully correlated channels.
The occurrence of erroneous feedback bits has a strong in uence on the performance. The simulations results in a performance reduction of 0.2 dB per
1% feedback errors for both modes.
Mode 1 allows to verify if the base station has used the correct transmit
weight by additionally estimating the propagation channels with the dedicated
pilot bits. The simulations with perfect detection of feedback errors result
in signi cant improvement of the performance. However, a straightforward
solution for correcting feedback errors provides no performance enhancements.
The di erence in performance between mode 1 and 2 depends primarily on the speed
of the mobile station. Mode 2 performs typically about 0.2{0.3 dB better than mode 1
independent of the investigated problem as long as the mobile moves slow.
With these results I come to the following conclusions:
 Since the best performance of the closed loop modes is achieved in at fading chan-

nels, I recommend to use the closed loop modes in environments which provide low
or at best no multipath diversity, e.g. indoor.

CHAPTER 7.

SUMMARY AND CONCLUSIONS

72

 With a higher feedback capacity in the uplink it would be possible to reduce the




feedback delay. This would enhance the performance of both closed loop modes in
case of faster channel variations.
The application of the closed loop modes makes sense in environments where low
user velocities are expected, e.g. pedestrian areas or indoor environments. Since
mode 1 provides a gain over the single antenna up to 75 km/h it can even be used
in urban areas.
The lower the correlation between the propagation channels the higher the performance gain with the closed loop Transmit Diversity modes. Therefore, the antennas
should be suciently separated in space.
The strong e ect of the feedback errors could be reduced by advanced channel
coding of the FBI bits at the price of higher feedback delay. This would result in a
performance enhancement compared to the uncoded FBI bits at low mobile speeds.
I propose the investigation of the performance of coded FBI bits at higher mobile
velocities.
For the use of antenna veri cation with mode 1 the quality of the channel estimation
with the dedicated pilot symbols has to be optimized to avoid additional errors and
to be able to correct feedback errors.

Appendix A
Relation between BER and BLER
The requirements of the UMTS speci cations refer primarily on certain target values of
the BLER rather than to the BER. Since my simulations generate gross BERs without
error-correction through channel coding, a link to the target BLERs is needed. This
was determined by Thomas Baumgartner by means of link level simulations with RadioLab3G. RadioLab3G is used by The Institute of Communications and Radio-Frequency
Engineering under license from RadioScape .
The simulation results are shown in Figure A.1. The used parameters are summarized in
Table A.1 for a data rate of 28 kbit/s which corresponds to a channel transport format
using a spreading factor of 64. According to the requirements in [29] a target BLER of
1% was chosen. As Figure A.1 shows, this corresponds to a gross BER of 10%.
Parameter
DTCH
DCCH
Information bit rate
28 kbit/s
2.5 kbit/s
Transport block size
560 bit
100 bit
Transmission time interval 20 ms
40 ms
Error protection
Turbo coding Convolutional code
Coding rate
1/3
1/3
Size of CRC
16
12
Table A.1: Parameters for the simulation of the relation between BLER and BER
1

1 The

views expressed in this thesis are those of the author and do not necessarily re ect the views
within RadioScape.

73

APPENDIX A.

74

RELATION BETWEEN BER AND BLER

BLER versus gross BER in the downlink of UMTS FDD

10

28 kbit/s

BLER

10

10

10

10
BER

10

Figure A.1: Block Error Rate (BLER) versus Bit Error Rate (BER)

75

APPENDIX B.

ABBREVIATIONS

Appendix B
Abbreviations
3GPP
AV
AWGN
BER
BLER
CDMA
CIR
CN
CPICH
CS
DL
DPCCH
DPCH
DPDCH
FBI
FDD
FSM
GGSN
GMSC
GPRS
GSM
HLR
L1
L2
L3
LFSR
LOS
LSB
MAC
ME

Third Generation Partnership Project


Antenna Veri cation
Additive White Gaussian Noise
Bit Error Rate
Block Error Rate
Code Division Multiple Access
Carrier to Interference Ratio
Core Network
Common Pilot Channel
Circuit Switched
Downlink
Dedicated Physical Control Channel
Dedicated Physical Channel
Dedicated Physical Data Channel
Feedback Information
Frequency Division Duplex
Feedback Signalling Message
Gateway GPRS Support Node
Gateway MSC
General Packet Radio Service
Global System for Mobile communications
Home Location Register
Layer 1 (physical layer)
Layer 2 (data link layer)
Layer 3 (network layer)
Linear Feedback Shift Registers
Line Of Sight
Least Signi cant Bit
Medium Access Control
Mobile Equipment

76

APPENDIX B.

ML
MRC
MSB
MSC
NLOS
OSI
OVSF
P-CPICH
PDF
PDP
PS
PSTN
QPSK
RLC
RMS
RNC
RRC
S-CPICH
SF
SGSN
SIR
SNR
SSDT
TD-CDMA
TDD
TDMA
UE
UL
UMTS
USIM
UTRAN
VLR
WCDMA

ABBREVIATIONS

Maximum Likelihood
Maximum Ratio Combining
Most Signi cant Bit
Mobile Switching Center
None Line Of Sight
Open Systems Interconnection
Orthogonal Variable Spreading Factor
Primary Common Pilot Channel
Probability Density Function
Power Delay Pro le
Packet Switched
Public Switched Telephone Network
Quadrature Phase Shift Keying
Radio Link Control
Root Mean Square
Radio Network Controller
Radio Resource Control
Secondary Common Pilot Channel
Spreading Factor
Serving GPRS Support Node
Signal to Interference Ratio
Signal to Noise Ratio
Site Selection Diversity Transmission
Time Division-CDMA
Time Division Duplex
Time Division Multiple Access
User Equipment
Uplink
Universal Mobile Telecommunications System
UMTS Subscriber Identity Module
Universal Terrestrial Radio Access Network
Visitor Location Register
Wideband CDMA

77

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