W-CDMA applied to UMTS

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W-CDMA applied to UMTS

UMTS System Overview

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W-CDMA applied to UMTS

W-CDMA applied to UMTS

1. WIDEBAND CODE DIVISION MULTIPLE ACCESS (W-CDMA) PRINCIPLES 1.1 Spread Spectrum 1.2 Direct Sequence CDMA 1.3 Some key quantities and issues in the design of W-CDMA 1.4 Two Access Methods FDD & TDD THE 2.1 2.3 2.4 2.5 2.6 2.7 SPREADING/DESPREADING PROCESS Spreading and Despreading of DS-CDMA Spreading Multiple Signals De-Spreading Multiple Signals Processing Gain Processing Gain and Errors Spreading Factors and Capacity

1 3 5 7 9 13 15 17 19 21 23 25 27 29 31 33 35 37 39 41 43 44 47 49 51 53 55

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3.

UMTS CODES 3.1 Channelisation and Scrambling 3.2 Channelisation Codes 3.3 OVSF Codes 3.4 Scrambling Codes 3.5 Derivation of Scrambling Codes

4.

MULTIPATH EFFECTS AND THE RAKE RECEIVER 4.1 Multipath Propagation 1 Multipath Delay 4.2 Multipath Propagation 2 Fast Fading 4.3 The Rake Receiver POWER CONTROL 5.1 Near-Far Effect 5.2 Power Control Requirements 5.3 Open Loop Power Control 5.4 Closed Loop Power Control and Outer Loop Power Control CELL COVERAGE AND HANDOVERS 6.1 Soft and Softer Handover 6.2 Macro Diversity in Soft Handover 6.3 Cell Breathing 6.4 Multi-User Detection 6.5 Advanced Antennas

5.

6.

UMTS System Overview

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W-CDMA applied to UMTS

1. WIDEBAND CODE DIVISION MULTIPLE ACCESS (W-CDMA) PRINCIPLES

1.1 Spread Spectrum
W-CDMA is a multiple access technique using a concept known as Spread Spectrum. In Spread Spectrum systems, the information bandwidth is spread across a wider transmission bandwidth. This transmission bandwidth is determined by a function which is independent of the information being sent. So the information from both simple speech and complex video services, which clearly have very different information bandwidth, will both be converted to be sent over the full frequency band defined for the system. Application of the same spreading codes once again at the receiver returns the transmitted signals back to their original bandwidths. In order to allow them to be distinguished at a receiver, signals which coexist within the transmission frequency band must be separated using codes which have a low cross-correlation with the other codes. In other words decoding signals using the wrong code will simply produce noise, since only the signal with the desired code will be strongly recognised. Being able to distinguish signals from different users using codes gives rise to the term Code Division Multiple Access.

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Power Information Signal 1 Information Signal 2

f Information Bandwidth APPLY SPREADING CODES 1,2

Transmitted Signal 2 Transmitted Signal 1 f Transmission Bandwidth APPLY SPREADING CODE 1 APPLY SPREADING CODE 2

Fig. 1 The Spread Spectrum Concept

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W-CDMA applied to UMTS

1.2 Direct Sequence CDMA

W-CDMA is an example of a Direct-Sequence CDMA system. This is one where user information bits are spread over a wide bandwidth by multiplying this information signal (user data) directly with CDMA spreading codes comprised of chips. The rate of change of these chips must be higher than the user data rate, and thus impose their rate on the resulting signal. This resulting signal is therefore more complex and will use up more bandwidth. Hence it has been spread. Looking at this the other way round of course, means that a system which permits use of a wider bandwidth can permit a greater degree of spreading, achieved by using a higher chip rate assigned to the spreading code. As the chip rate is increased, so can the user data rate, whilst still remaining below that of the chip rate and therefore achieving spreading. There are some further benefits of higher chip rates and bandwidth spreading too, for example multipath diversity.

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Time

User Data, Rate = D Bit Exclusive OR Chip Spreading Function, Rate = R

Resulting Signal, Rate = R

Fig. 2 Spreading Direct Sequence

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W-CDMA applied to UMTS

1.3 Some key quantities and issues in the design of W-CDMA

i. Chip rate A key difference between UMTS and previous direct sequence CDMA systems, e.g. IS-95/cdmaOne, lies in the much faster chip rate which is used (3.84Mc/s for W-CDMA vs. 1.23Mc/s for cdmaOne). ii. Bandwidth This higher chip-rate results in a greater spreading. In W-CDMA, the carrier bandwidth is approximately 5Mhz, whereas IS-95 only uses 1Mhz (and is thus described as narrowband CDMA). For a UMTS operator with a licence band of 15MHz, this means that up to three cell layers can be defined. iii. Frame length In the Time Domain, users are allocated frames of 10ms duration. Within a frame, the data rate and spreading factor is constant, but another key feature of UMTS is that it allows the data rate to change from frame to frame. This in turn enables the concept of bandwidth on demand, enabling users and services access to highly variable data rates even in the real-time duration of a single call. iv. Use of Advanced Radio Technologies In keeping with the ongoing advances in semiconductor and other technology advances, the WCDMA radio interface has also been crafted to take advantage of advanced CDMA receiver concepts, such as multi-user detection and smart adaptive antennas, which may increase capacity and coverage. Although many 2nd Generation systems can also use such concepts, they do so with limited increases in performance and severe constraints, since their usage wasnt envisaged when the radio system was originally defined.

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 Chip rate = 3.84 Mcps Bandwidth = 5Mhz Frame Length = 10ms Specified to utilise advanced receivers

Fig. 3 W-CDMA Key Parameters

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W-CDMA applied to UMTS

1.4 Two Access Methods FDD & TDD

Two duplexing methods are defined within UMTS, Frequency Division (FDD) and Time Division (TDD). These refer to two different ways in which the uplink and downlink transmission operates. In FDD, uplink and downlink operate on entirely separate frequency bands (paired spectrum), whereas in TDD, uplink and downlink share the same frequency band and the two transmissions must be separated using different time slots. In order to avoid problems with overlap between the uplink and downlink transmissions which may result from propagation delays, a guard period is allocated in TDD. A duplex separation of 190MHz is used in FDD to avoid interference between the two signals, and in TDD this requires that synchronisation of frames in the base stations is required. In countries like Japan, where no unpaired spectrum has been allocated, TDD is clearly not an option. However in future, it may well be that in areas where spectrum is scarce, further unpaired spectrum release will be the only option. Chip rates, frame lengths and modulation have all been harmonised between the FDD & TDD modes. FDD is better suited to covering wider areas since it requires fewer base stations in order to provide the same coverage at any particular bit-rate. However this difference reduces at higher bit-rates. Thus in terms of practical usage, the TDD mode is most suitable for small cell areas where higher data rates are required, with FDD providing wider coverage.

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FDD
t

f 5MHz 5MHz
Harmonised Chip rates Frame lengths Modulation

190MHz Duplex Separation

TDD

Guard Period

f 5MHz

Fig. 4 Access Methods for W-CDMA

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W-CDMA applied to UMTS

2. THE SPREADING/DESPREADING PROCESS

2.1 Spreading and Despreading of DS-CDMA
The Chip rate is the rate of the spreading code signal and one chip denotes one symbol (1 or 0) in this code signal. In the UMTS system, this chiprate is fixed at 3.84Mc/s. Since these chips pass by at 3.84Mc/s, the chip period is therefore 0.26s. The Data or Bit Rate describes the rate at which units of data are passing through the system. Again one element of this data is often described as a symbol. The operation of spreading is to combine the original data with the spreading code, resulting in the spread signal. The information is described as spread, since the rate of change of data in the spread signal is higher than in the original data. It is now equal to the chip rate, and hence will occupy a greater bandwidth when modulated for radio transport. There are two ways in which the operation of combining code and data can be described. a) If the data is regarded as a binary sequence of 0s and 1s, as might be the case for data derived directly from a computer application, for example, then combination is described using the Exclusive OR function (X-OR), which is as below: X-OR function: 1 xor 1 = 0 1 xor 0 = 1

0 xor 1 = 1 0 xor 0 = 0

In de-spreading, the same X-OR function is applied to the transmitted signal using the same spreading code as was used to spread the data. This recovers the original data, and returns the rate of change of the data (i.e. the bandwidth) to its pre-spreading value.

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Time Data 0 Spreading Code 0 1 0 1 0

Symbol Period

X-or Transmitted Signal 0 1 0 1 1 0 1 0 0 1 0 1 1 0

Chip Period (0.26 s)

X-or Retrieved Data 0 0 0 0 1 1 1 1 0 0 0 0 1 1 1 1

Fig. 5 Combining Data and Code Using Exclusive OR

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De-spreading
10

Spreading Code (Time Aligned) 0 1 0 1 0

Spreading

W-CDMA applied to UMTS

2.2 Spreading and Despreading of DS-CDMA continued

b) In practice, data signals are not transmitted over the air interface as 1s and 0s, but are first converted into a bipolar waveform, which has values +1 or 1. This change is described by applying the mapping: 1 1 01 Note that it is also possible to apply this mapping prior to the spreading process. In this case, a sequence of 1s and 1s now represent the data and spreading code. The same result as the X-OR operation is achieved by simply multiplying the spreading code and data together.

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Symbol Period

+1 Data

-1 X +1 Spreading Chip Period +1 X +1 De-spreading 0 1 +1 -1

12

Spreading Code

-1

Transmitted Signal -1

Spreading Code

-1 +1

Retrieved Data

-1

Fig. 6 Combining Data and Code by Multiplication

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W-CDMA applied to UMTS

2.3 Spreading Multiple Signals

One of the key principles of CDMA is that users share the same frequency and time domains. In addition, there will be both data channels and control data channels for a particular user, plus this information for a variety of different users, all of which must co-exist in the same frequency band. So the data prior to spreading can be either user data or system control information, and/or can be relevant to one or more different users. A receiver must be able to separate these various signals and associate them with the particular user, user data and/or control information as required. To achieve this, different signals are therefore assigned different spreading codes. These are applied to each original data signal in turn before the resulting spread signals are then combined into a waveform to be transmitted. In performing this summation, it is important to note that time alignment is made between the various spreading codes. This is most simply illustrated using a case involving two data sources. In combining, there will be periods in which the two signals interfere constructively, and increase the amplitude of the resulting signal, and during other periods the signals will cancel each other out.

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+1 Data 1 -1

X
+1 Code 1 -1 +1 Spread Data 1 -1 +2 +1 0 -1 -2 +1 Spread Data 2 -1 +1 Code 2 -1 +1 Data 2 -1 Combined Signal

Fig. 7 Spreading Multiple Signals

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W-CDMA applied to UMTS

2.4 De-Spreading Multiple Signals

At the receiver, in order to reassemble a particular set of data, the combined waveform signal is de-spread using the specific spreading code assigned to that original set of data. At the same time however, this de-spread signal is integrated across each symbol period (as defined by the specified data rate of the service). The de-spread signal is then determined by taking the value of the integration at the decision point at the end of each symbol period. The integrator is then reset to zero at the start of the next symbol period. Note that the result at the end of each integrated symbol period is an amplitude for the signal which is multiple times that of the original signal in fact in this perfect scenario, this multiple is equal to the spreading factor, the ratio of transmitted bandwidth to information bandwidth (chip rate/data rate). This type of receiver is known as a correlation receiver. By contrast, other (interfering) signals will tend to be destroyed by this integration process. The results at each decision for the interfering signals will hover around zero due to the low correlation between the unwanted signal and the spreading code, provided the two original spreading codes are orthogonal (as dissimilar as possible).

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+2 -1 Transmitted Signal -1 -2 X +1 Code 1 -1 +2 -1 De-spread -1 -2 +4 +3 +2 +1 Integrated -1 -2 -3 -4 Decision Gives Original Data Symbol Period Decision Re-set Integrator

Processing Gain

Fig. 8 Despreading Multiple Signals

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W-CDMA applied to UMTS

2.5 Processing Gain

This increase in amplitude of the desired signal after de-spreading is a fundamental feature of spread spectrum systems, and is known as processing gain. It is this processing gain which allows robustness against the self-interference in CDMA systems. This in turn enables the re-use of the same frequency band in close geographical distances. It also means that signals can have an amplitude which may be below the inherent noise of the frequency band at the receiver, but can still be received given knowledge of the spreading code. Thus eavesdropping of CDMA systems is extremely difficult, since without the spreading code, any signal is simply lost in the noise. Note that conversely to the de-spreading of a spread signal back into a narrowband signal, if an interfering narrowband signal is also received, and multiplied with a wideband code sequence at the receiver, then this interfering narrowband signal is itself spread. The interfering signal is itself decreased by the same degree of processing gain as the wanted signal was enhanced, and hence is lost into the background as noise.

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Original

Spread Narrowband Interference

De-spread

Processing Gain
a

Background Noise Level

c

1) Processing gain: Enhances wanted signal Spreads unwanted signal

2) Processing gain - c/b or a/d

Fig. 9 Processing Gain

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W-CDMA applied to UMTS

2.6 Processing Gain and Errors

The process of integration during de-spreading, and resulting processing gain, also ensures the best chance of recovery of the original data should some of the values of the chips in the transmitted signal become altered by interference or other error processes during transport. This is illustrated using a modified version of the original transmitted signal from the previous correlation receiver illustration, and going through the same process. Although the integrated de-spread signal values are generally less than for the perfect signal, it is still possible to decode the wanted signal based on the decision points at the end of each symbol period. At lower data rates, the more easily the original data can be recovered for a particular error rate in the transmission. This is because more chips are assigned to code each symbol of the original data (the spreading factor is higher). This means that loss in a few of these will not so greatly affect the decision when these chips are integrated on de-spreading. In effect the proportion of altered chips is lower, and hence the integration of the greater number of unaffected chips outweighs these errors.

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+2 +1 0 -1 -2 +1 Code -1 +2 +1 De-spread 0 -1 -2 +6 +5 +4 +3 +2 +1 Integrated -1 -2 -3 -4 Recovered Data Symbol Period Interference Resultant Transmitted Signal

Decision Re-set Integrator

Fig. 10 Processing Gain and Errors

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W-CDMA applied to UMTS

2.7 Spreading Factors and Capacity

Since processing gain is dependent on the extent to which the original data signal has been spread, (i.e. on the spreading factor), it will therefore vary between high data rate and low data rate services. For example, consider a service which requires bit rates of 1.92 Mb/s. Data at this rate is spread by a factor of two, using the chip rate of 3.84Mc/s. Assuming no loss due to errors and so on during transport, the processing gain at the receiver when the de-spreading integration process occurs is therefore also two. This can be converted into dB as: 10xlog10(3.84e6/1.92e3) = 3dB Now compare this with a speech service at 12.2kb/s, where the processing gain should be 25dB. What this means is that a lower bit-rate service, which is spread by a higher factor, can be delivered at a much lower power, whilst still being able to be successfully resolved during de-spreading at the receiver. Since signals in a CDMA system appear as noise at the receiver unless they are the specific signal to be decoded, adding more signals (or more users) has the effect of increasing this noise level overall. It will become impossible to distinguish the wanted signal when even the processing gain from de-spreading is unable to lift the de-spread signal above this background noise. Signals spread by a higher factor both gain the most from processing gain, and also introduce the least noise into the system. Therefore the capacity of a CDMA system will be limited by a combination of the number of users in the system, and the data rates which they use. The system will reach maximum capacity both as extra users are added, and/or as spreading factors of the signals used decrease.

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1 3 2
3 2 1

Noise Level With More (or Higher Data Rate) Users Noise Level

3
Capacity limited by Number of users Higher data rates Note: Noise level varies depending on which signal is being despread (As the wanted signal is despread, its contributions to the overall system noise level need not be considered with respect to the despread signal)

Fig. 11 Spreading Factors and Capacity

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W-CDMA applied to UMTS

3. UMTS CODES
3.1 Channelisation and Scrambling
The discussion so far has looked at the spreading process and use of spreading codes from a generic standpoint. In UMTS there are actually two sets of codes applied in sequence. The first of these are the channelisation codes, and then follows the scrambling code. Both codes use the same chip rate, and so strictly it is only the first application which results in spreading by imposing a change in the symbol rate of the signal. At the receiver end of course, the codes are applied in the reverse order, scrambling first, channelisation afterwards.

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Channelisation Codes

Scrambling Codes

Data Data Rate Spreading De-spreading Chip Rate Chip Rate

Transmission

Data Data Rate Chip Rate Chip Rate

Reception

Channelisation Codes

Scrambling Codes

Fig. 12 Use Of Codes in UMTS

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W-CDMA applied to UMTS

3.2 Channelisation Codes

Different transmissions from a single source (be that a mobile station on the uplink, or Node B on the downlink) are separated by channelisation codes. In the uplink, this means the separation of the physical (user) data and control and signalling data from the same terminal, i.e. separating different channels for a specific user. In the downlink, this means the separation of downlink connections (control channels and traffic channels) to different users within one cell. Codes in both directions can be between four and 256 chips in length, and additionally can be 512 in the downlink. Within these ranges, the code lengths in UMTS are in fact always factors of two, due to the way that such codes are derived. In UTRA, channelisation codes are based on a technique known as OVSF (Orthogonal Variable Spreading Factor).

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 Used to separate transmissions from a single source (from UE in uplink, from Node B in downlink) Uplink code lengths: 4 to 256 Downlink code lengths: 4 to 512 Code lengths are 2N, derived using the OVSF scheme Generate spreading

Fig. 13 Channelisation Codes

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W-CDMA applied to UMTS

3.3 OVSF Codes

Orthogonal codes are such that sequences of 1s and 0s within each code are not common (code clashing). For example, the sequences 0110 and 01101001 describe different possible spreading codes, with spreading factors 4 and 8 respectively. However since the start of the second code is identical to the first code, it is not possible to assign these codes simultaneously and still be able to uniquely separate users. The use of OVSF codes means that the spreading factor (SF) can be changed (e.g. for variable bit-rate services), and that a new spreading code with the new length can be chosen whilst still remaining orthogonal to the original code. It is important to note that the chiprate remains constant at 3.84 Mcps. Therefore, if the information bit rate changes, the spreading factor will vary accordingly. In order to assign and choose appropriate OVSF codes, a code tree is defined. Branching is achieved by repeating the parent sequence twice on the top branch, and on the bottom branch repeating the parent sequence once and then once reversed. Each branching represents an increase in the spreading factor, which therefore increase in powers of 2. Code clashes will occur where two codes are chosen from the same branch, since higher spreading factor codes on each branch are derived directly from the lower spreading factor codes. However codes on separate branches are orthogonal and can be used simultaneously, provided the order remains synchronised. Synchronisation is assured in UMTS because OVSF codes are only used to separate channels which have originated from a single source. (Node B or UE).

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i. The Code Tree 00000000 0000 00001111 00 00110011 0011 00111100 0 01010101 0101 01011010 01 01100110 0110 Chiplength: SF=1 SF=2 SF=4 01101001 SF=8

ii. Code Clashes 00000000 0000 00001111 00 00110011 0011 00 Select 01 Clash 00111100 0 01010101 0101 01011010 01 01100110 0110 01101001

Fig. 14 Orthogonal Variable Spreading Factor (OVSF) Codes

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3.4 Scrambling Codes

In the spreading process, once the channelisation coding has been performed for an individual source UE or Node B, it is also necessary to assign a scrambling code to differentiate signals from different sources. At the receiver, the reverse process occurs, with the signal first de-spread using the scrambling code, and then combined with the channelisation codes. Scrambling also uses the 3.84Mc/s chip rate, and so it does not change the signal bandwidth or result in any further spreading. Since the channelisation codes were derived by the OVSF method, the number of such codes which can be assigned under any one scrambling code is equal to the spreading factor, as defined by the OVSF tree structure. Of course the same channelisation codes can be repeated beneath a number of different scrambling codes, since the signals can be first separated at the receiver in de-scrambling. On the uplink, scrambling codes are used to isolate the different users accessing the same cell. On the downlink, scrambling codes are used to prevent co-channel interference from adjacent cells. WCDMA is described as asynchronous, since it uses different scrambling codes to separate users from cells. By contrast, IS-95 is synchronous, since it does not do this but instead requires that the application of spreading codes is synchronised using GPS at the base stations. The dependence on GPS means that this system has clear disadvantages for indoor and urban situations for example. There may be several million such scrambling codes in the uplink (to distinguish many users), and up to 512 in the downlink. The latter limit is simply in order to stop cell searching procedures by the mobile terminal from becoming too excessive in practical application, and is thought to be enough to cater for any future network planning scenarios.

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 Used to separate signals from different sources Uplink: millions of codes Downlink: limited to up to 512 codes Spreading factor defines the number of channelisation codes per scrambling code Scrambling doesnt change the chip rate

Fig. 15 Scrambling Codes

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W-CDMA applied to UMTS

3.5 Derivation of Scrambling Codes

For the scrambling codes themselves, complex systems are used to derive PseudoRandom number sequences, otherwise known as a PN sequence. A PN (pseudonoise) sequence is a sequence of binary numbers which appears to be random, in that binary values and groups occur in a sequence in proportions that they would in a coin tossing procedure, but in fact is deterministic. Long codes are used in the downlink and are a type of PN sequence code known as Gold Codes. These long codes are derived by truncating a Gold Code of length 218-1 to fit into the 10ms frame length in W-CDMA. This means a code segment length of 38400 chips at 3.84Mc/s. In the uplink, two types of code can be used, depending on how it is chosen to deal with various interference issues at the base station site. One type is the long code, of the same length as in the downlink, but derived from a Gold Code of length 225-1. This is used for normal modes of operation, where a Rake Receiver is used to deal with interference cancellation. A second type, short codes, are used for interference cancellation within the cell-site, using processes requiring that the spreading code does not extend beyond the symbol period of the pilot data bits. A length of 256 is constrained by the spreading factor for the uplink pilot sequence. These short codes are chosen using a coding scheme called S(2). Note that an additional code type, the Golay code, is used on the downlink for synchronisation purposes.

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 Pseudo Noise (PN) Sequences Long codes are Gold Codes, truncated to 38400 chip lengths (in 10ms frames) downlink uplink Short codes are S(2) Codes, length 256 uplink only

Fig. 16 Derivation of Scrambling Codes

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4. MULTIPATH EFFECTS AND THE RAKE RECEIVER

4.1 Multipath Propagation 1 Multipath Delay
Both base stations and mobiles use the basic correlation receiver process described previously (combining de-spreading with integration over the symbol period). However, in the real world, signals will arrive at the receiver having followed multiple paths to the receiver, which may involve reflections and attenuations. In some systems, signals will even arrive at multiple receive antennas. This effect is termed multipath propagation, and causes the following effects: Multipath Delay and Fast Fading. Multipath Delay The signal energy (e.g. related to a single chip of the CDMA waveform) may arrive across clearly different time instants, such that the energy is smeared into a multipath delay profile. The chip duration is 0.26s, based on the chip rate of 3.84Mc/s. In instances where the time differences between paths are at least this long, the receiver is able to distinguish these different paths and then combine them. This process is known as obtaining multipath diversity. A chip duration of 0.26s corresponds to a difference in path length of 78m, whereas for example the lower chip rate used in IS-95 (cdmaOne) corresponds to a difference in path lengths of at least 300m. Thus one advantage of the W-CDMA scheme, with its faster chip rate and spreading over wider bandwidth, is that multipath diversity can be obtained in much smaller distances. For example in small cells within urban environments.

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Multipath Delay Profile

Fig. 17 Multipath Delay

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W-CDMA applied to UMTS

4.2 Multipath Propagation 2 Fast Fading

For any particular time delay, there will also usually be many paths which are almost exactly equal to this delay, and certainly insignificant when compared to the duration of a chip. However, if the receiver moves across even short distances in such a situation, signal cancellation may take place when such paths become out of phase. For example, at 2Ghz, the signal wavelength is approximately 15cm (= speed of light frequency). Thus a path difference of 7.5cm would result in two waves arriving completely out of phase, and hence cancelling. However, compared to the path length of 78m required for a full chip duration, a path difference of 7.5cm is such that the two signals have arrived at effectively the same instant as far as the receiver is concerned (7.5cm = 0.00025s time difference). This effect is know as fast fading, and results in signal variations which can vary by large quantities over very short timescales and very short distances.

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180 out of phase

Delay Cancellation
Result is Fast fading 7.5cm = half wavelength at 2GHz (equivalent to 0.00025s)

dB 0

30 Distance

Fig. 18 Fast Fading

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W-CDMA applied to UMTS

4.3 The Rake Receiver

Rather than use a simple correlation receiver, the W-CDMA system makes use of a Rake receiver. The Rake receiver utilises multiple correlation receivers (rake fingers), which are dynamically allocated to de-spread the signal at those delay positions where significant energy arrives. In each finger, the received signal is de-spread using a spreading code which is time aligned with the delay of the required multipath signal. At each finger, other multipaths which arrive more than the chip duration delayed either side will simply appear as noise, and so will be suppressed from the decoded signal, since only the latter will benefit from processing gain. Within each of these correlation receivers, fast-changing phase and amplitude variations are tracked and removed, in order to counteract the fast fading process. This tracking process obviously needs to be very fast, and is typically on the order of 1ms or less. To facilitate this tracking process, WCDMA uses known pilot symbols to provide an estimate of the momentary channel state. By measuring phase changes in these pilot symbols, this in turn allows compensation of any such changes on the received signals in each rake finger. These compensated signals are then combined to provide a single output signal from the rake finger. This technique is known as maximum ratio combining. The resulting fading-compensated and de-spread signals derived from each finger are then combined to obtain a single output from the Rake Receiver, thus obtaining multipath diversity. During the process, the delay profiles in the receiver are continuously measured, and the rake fingers reassigned when necessary to keep the process optimised and take account of changes in the scatter environment and resulting changes in delays.

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Multipath Delay Profile Channel Estimation Phase Adjustment Delay Equaliser C1

In

Finger 1

Finger 2 C2 Delay Finger 3 C3 Delay C = Correlation Receiver (Despreading)

Out

Combiner

Delay is achieved by delaying despreading code generation in each finger by appropriate time

Fig. 19 The Rake Receiver

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5. POWER CONTROL
5.1 Near-Far Effect
Assuming two mobile stations transmit with the same original power, the power received from the mobile close to the base station will be much higher than that received from the mobile further away. Since all users continuously transmit over the whole bandwidth, a user close to the base station will therefore create a lot of interference to the weaker signals from more distant users. This may make reception impossible even after processing gain and, in severe cases, a single high power user close to the base station could entirely block a cell. This is the near-far effect which, if not addressed, could severely limit the capacity of a cell. In order to overcome this, and achieve the optimum capacity for the system, power control functions aim to achieve a situation whereby users are received by the base station with the same average power, regardless of how far away they are. So this means turning down the transmit power from nearby users, and increasing the transmit power from those at the edge of a cell.

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Mobile 1 (Near)

Mobile 2 (Far)

Signal

Equal Transmission Power Spread Signal

Transmission Unequal Received Power

Received Signal

Receiver

De-spread Signals

Fig. 20 Near-Far Effect

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5.2 Power Control Requirements

Power control is required in the uplink to counteract the near-far effect. This involves reducing multiple access interference through the equalisation of all the various receive powers. To achieve this, it is necessary to communicate to the mobile stations the state of the receive power, and hence the resulting transmit power which they should use. By contrast, in the downlink, all signals propagate through the same channel (they are all from the same transmitting cell site using a single scrambling code), and so the near-far effect is not an issue. However power control is still needed here, in order to minimise interference between adjacent cells which have the same frequency band, and to compensate when this does occur. Finally, power control can also improve performance by compensating for dips in amplitude which result from fading. Two types of power control are relevant to W-CDMA: Open Loop and Closed Loop power control, with Outer Loop being related to Closed Loop.

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 Uplink: counteract the near-far effect Downlink: minimise interference with adjacent cells Compensate for Fading Two types: Open Loop & Closed Loop (with Outer Loop)

Fig. 21 Power Control

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5.3 Open Loop Power Control

Open Loop Power Control simply measures the interference conditions within a channel and adjusts transmission power accordingly based on parameters broadcast by the cell. So a mobile might measure the interference on the downlink, and adjust its uplink transmission accordingly, on the assumption that interference conditions will be similar. However in FDD W-CDMA systems, the uplink and downlink frequency bands are highly separated, and so conditions such as fast fading between uplink and downlink will not be strongly correlated. Thus if a mobile uses information derived from a downlink measurement in order to adjust its uplink transmission, the effectiveness may well be limited. Open Loop Power Control is used in W-CDMA. However this is only when the mobile first accesses the radio access network, and provides a coarse power estimate. However for ongoing power control, a fast closed loop is used.

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Downlink

Uplink

Measure Interference and read parameters

Adjust Power

Used on initial access to the Radio Access Network Large separation of U/L and D/L frequencies

Fig. 22 Open Loop Power Control

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5.4 Closed Loop Power Control and Outer Loop Power Control
Closed Loop power control measures the signal to interference ratio of a known signal and sends commands to the transmitter at the other end to adjust the transmission power. So, to take the uplink example, the following procedure happens: i. the receiver (base station) estimates both the received signal power (after Rake recombination) and the interference power once per slot. These slots occur at a 1.5kHz sampling rate i.e. power is sampled 1,500 times every second. Hence the term fast closed loop. ii. this signal/interference ratio (SIR) is calculated and compared to a target SIR, which will depend on factors such as cell type and location. There will be maximum and minimum power levels specified for this target. iii. the receiver sends a request for the required adjustment in power from the mobile. iv. the mobile power adjusts, in steps of 0.25 to 1.5dB. This measure-command-react cycle of 1.5kHz operates faster than changes in path loss and fading are likely to happen, at least for low or moderate mobile speeds. Also related to closed-loop power control is outer loop power control. This is used to adjust the target SIR in the base station, according to changing needs. For example this may include variations in the mobile speed or the received multipath profile. Clearly setting this SIR target to a worst-case scenario (e.g. fast-moving mobiles) would mean that in any other more favourable situations, excessive power was being used and background interference was thus more than it need be. This would in turn result in capacity being wasted. Therefore the target SIR is allowed to float around some minimum value that just fulfils the required quality, with this value able to vary over time. Outer loop control is usually implemented within the Radio Network Controller (RNC), by means of performing checks on some form of frame quality indicator which is tagged along with the user data to indicate when error rates become unacceptable.

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Closed Loop Power Control

Request Adjustment RNC Target SIR Compare to Target SIR

Receive Request

Calculate SIR

Adjust

Outer Loop Power Control

Fig. 23 Closed Loop and Outer Loop Power Control

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6. CELL COVERAGE AND HANDOVERS

6.1 Soft and Softer Handover
In mobile systems such as GSM, mobile terminals handover connections between different cells when the signal strength of a neighbouring cell exceeds that of the current cell. These cells have different frequencies, based on the re-use pattern deployed, and the process of linking the mobile terminal to a new cell is called hard handover. However, in CDMA both cells can have the same frequency (sometimes referred to as a planning scheme with frequency re-use of 1), and it is therefore possible to allow a mobile station to be connected to more than one base station simultaneously, before finally handing over the complete connection to a new cell. This process is known as soft handover and provides macro diversity. Soft handover means that transmission power can be controlled according to the cell from which the mobile receives the greatest signal strength. So rather than wait until signal strength in an adjacent cell exceeds that of the current cell, the soft handover state can be reached when the signal strength of a neighbouring cell is still below that of the current cell, yet exceeds a certain threshold. Softer handover is used to describe the same situation, but in the case where handover is between two cells which are delivered by sectors belonging to the same Node B. This provides micro diversity. A separate channel, called the pilot channel, is used to provide the signal strength measurements used in handovers.

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Soft Handover: (Macro Diversity)

Node B RNC

Node B2

Softer Handover: (Micro Diversity) Sector 1

RNC Node B

Sector 2

Fig. 24 Soft and Softer Handover

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6.2 Macro Diversity in Soft Handover

In the uplink, the CDMA scheme is well suited to soft handover by virtue of the fact that two or more base stations are operating in the same frequency band and so can receive the same signal. However soft handover also provides benefits in the downlink. The mobile terminal is able to coherently combine signals from the different base stations since it simply sees them as different multipath components. This benefit is known as Macro diversity, and is the diversity gain provided by the reception of one or more signals. It is comparable with Multipath diversity described earlier. Of course in the downlink, soft handover also creates more interference, since the new base station is an additional signal. The overall gain will depend on how this interference balances with the ability of the rake fingers in the receiver to separate the two signals into macro diversity.

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Node B1

Rake Receiver

Node B2
Also applies to softer handover (known as micro diversity)

Fig. 25 Macro Diversity

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6.3 Cell Breathing

One feature associated with CDMA coverage is a phenomenon known as cell breathing. Cell breathing refers to the effective expansion and contraction of a given cell due to sudden changes in the number of mobile users within the cell. Increasing the number of users within the cell increases the ambient RF noise. Power control will of course tend to try to equalise power between the users close to the Node B, and those further away. However there will reach a point where signal strengths become so low that the received signal quality becomes poor. In order to continue to provide good service quality to users close to the cell site, users further away must now be excluded. This means that the cell must in effect shrink. These users who are further away must then be served by adjacent cells by performing soft handover. The same effect occurs if users increase their required data rates in that a higher power per user would be required to compensate for a lower processing gain. This would effectively introduce more interference into the cell, excluding those more distant users, and, again, effectively shrinking the cell.

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 More Users Higher Data Rates

Soft Handover Into adjacent Cells

Fig. 26 Cell Breathing

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6.4 Multi-User Detection

The ultimate cause of the need for cell breathing is that the Rake receiver principle considers other users signals as interference. The capacity of the system using the rake receiver is therefore interference limited, in that each time a new user enters the system, interference builds and eventually other users reception will drop below the acceptable level. Multi-user Detection provides a means of reducing the effect of this multiple access interference, and as such increases the system capacity. The basic principle is that if a user signal is detected, this known interference can then be removed before decoding the signals of other users. It also alleviates the near-far problem, since if a nearby blocking user is detected, this signal can then be subtracted from the input signal which also includes the low power signals from mobiles near the edge of the cell. Thus these users do not see this interference. Multiple access interference, can be well modelled as Additive White Gaussian Noise, although it inherently consists of received signals of CDMA users, and thus is in reality very structured. Solutions to apply multi-user detection involve algorithms which use an iterative process of decision-making based on estimations of such interference. The ideal, optimal case of multi-user detection is very complex to implement for any reasonable number of users, and therefore becomes impractical in real systems. A number of suboptimal solutions have therefore been proposed, including the parallel interference cancellation system shown. However detailed coverage of these solutions is beyond the scope of this course, and it is sufficient to be aware of the concept.

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e.g. 2 Users

User 1 + User 2 + User 1 Rake RX

Interference Estimation

User 2 Cancellation Signal User 1 Cancellation Signal User 2 Rake RX + User 1 + User 2

* Includes rake reception and interference estimation

Fig. 27 Multi-User Detection

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6.5 Advanced Antennas

It is worth briefly mentioning the relevance of new radio technologies on the application of W-CDMA. In particular so-called smart antennas or beam forming antennas describe recent technologies which permit an antenna system to direct its beam onto a desired signal. Such directional technologies at the base stations enable a number of advantages, in particular a reduction in interference from other signals. Using such techniques also can have a significant practical effect in increasing the capacity of a CDMA system, since it is effectively possible to isolate specific regions in a cell, and even re-use spreading codes within the same cell, between different isolated regions of that cell. As we saw in the cell breathing example, increasing the number of users in a CDMA system increases the overall interference level, and so reduces the spare capacity/cell size. If an antenna is able to exclude some of these users by directional capability, then clearly it allows the overall system capacity to be increased, and means that more users can be added to the cell overall before cell breathing and soft handover are required.

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Beam

BT T NE LL CE NU ME

T NE LL CE NU ME

BT

3 2 1 3 2 1 4 7 5 8 0 6 9 4 7 5 8 0 6 9

BT

T NE LL CE NU ME BT T NE LL CE NU ME 3 2 1 4 7 5 8 0 2 1 4 7 5 8 0 6 9 3 6 9 BT

T NE LL CE NU ME

3 2 1 4 7 5 8 0 6 9

BT

T NE LL CE NU ME

3 2 1 T NE LL CE NU ME 4 7 5 8 0 6 9

BT

3 2 1 4 7 5 8 0 6 9

Cell

Increases overall system capacity by reducing interference

Fig. 28 Beam Forming Antennas

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