The Need for UMTS

UMTS System Overview

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The Need for UMTS

The Need for UMTS

1. MOBILE NETWORKS TODAY 1.1 Mobile Generations 1.2 Mobile Network Basics 1.3 The 2nd Generation Legacy 1.4 Radio Access Schemes 1.5 Focus in on GSM Network Elements 2. MODERN MOBILE SERVICE NEEDS 2.1 2G: A Changing Market 2.2 General Trends in Telecommunications 2.3 Mobile Evolution 2.4 Mobile Internet in 2G 2.5 i-Mode 3. EMERGING AND FUTURE APPLICATIONS AND SERVICES 3.1 Future Mobile Service Needs 3.2 Location-based Services 3.3 3rd Party Services 4. ENHANCEMENTS TO 2ND GENERATION 2.5G 4.1 GSM Enhancements 4.2 Circuit-Switched vs Packet-Switched Data in GSM 4.3 Circuit-Switched Upgrade to GSM: HSCSD 4.4 GPRS and Packet Data in GSM 4.5 GPRS is Assumed in UMTS 4.6 EDGE 21 23 23 25 25 27 19 19 19 11 13 15 17 17 1 3 5 7 9

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The Need for UMTS (continued)

5. RESULTING REQUIREMENTS FOR UMTS NETWORKS 5.1 Key Features Required of a 3G System 5.2 Service Creation Flexibility 6. STANDARDISATION PROCESSES 6.1 Brief History of 3G Research 6.2 Resulting W-CDMA Proposals for UMTS 6.3 The IMT2000 Family 6.4 Global Harmonisation and 3GPP 6.5 3GPP Brief and Working Groups 6.6 3GPP Specifications Releases 6.7 3GPP2 and Other Related IMT2000 Family Member Standardisations 7. SPECTRUM HARMONISATION 7.1 History of Spectrum Planning 47 45 33 35 37 39 41 43 29 31

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1. MOBILE NETWORKS TODAY

1.1 Mobile Generations
Mobile Networks are commonly divided into three generations, with the 3rd Generation, of which UMTS is one such system, on the point of being launched in advanced markets such as Japan, Finland and the Isle of Man. 1st Generation systems were analogue systems, designed with the simple aim of making speech services available on the move. They included technologies such as TACS (Total Access Communication System), NMT (Nordic Mobile Telephone) and AMPS (Advanced Mobile Phone System). However, even these simple systems led to annual market growth rates of 30-50%, leading to around 20 million subscribers by 1990. However, quality was poor, capacity was low, as was reliability. Thus, as demand grew, the current range of 2nd Generation systems were developed to take their place. The most well-known of these systems are GSM (Global System for Mobile Communications), cdmaOne, and the system known in the US simply as TDMA, or by its standardisation label of IS-136. These systems were characterised by a move to representing information digitally and brought the following broad changes: More consistent and reliable quality of speech Increased capacity/spectrum efficiency through more advanced modulation and access schemes Easier implementation of advanced voice services, text messaging, fax, plus the addition of basic access to data networks Enhanced security and fraud prevention However, even in the move from 1st to 2nd Generation, the basic aim was still to optimise for speech services delivered over wide areas (macro cells). 1st and 2nd Generation systems are therefore all characterised by circuit switched networks, which are well-suited to symmetric, real-time conversational services. The term 2.5G is sometimes used to describe enhancements to 2nd Generation systems which aimed to optimise parts of these systems for data applications using packet-switching techniques. The latest move, to 3rd Generation, further advances digital systems with the particular aim of increasing the ability to use data applications on the move (i.e. mobile computing or the wireless office), and to enable multimedia services, which may mix voice, graphics, video, music and so on. In order to achieve this, a key change is in increasing the ability of mobile systems to transfer larger quantities of information much faster. A factor throughout the evolution of mobile (and all telecoms systems) has been the constant improvement in semiconductor and microwave technologies. While such changes are permitting smaller and more sophisticated mobile equipment to be built, they are also resulting in the expectation of users for more complex, data intensive applications and services.

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Trends:
functionality reliability efficiency quality

3G digital multimedia mainly packetswitched 2.5G data optimised

2G ? digital speech, fax, data circuit-switched & packet-switched analogue speech circuit-switched 1980 1990 2000 time speech optimised

1G

Fig. 1 Evolution of Mobile Networks

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1.2 Mobile Network Basics

All mobile networks can be divided quite simply into three basic elements: the user terminal, the radio access network and the core network. The user terminal is the mobile element the susbcribers handset. The radio access network describes the series of base stations, which send and receive the radio signals to and from the user terminals. Within this radio access network, there will also be various elements which control these base stations. The radio path between the base station infrastructure and the mobile terminals is often referred to as the air interface. The base stations are arranged such that each has responsibility for providing a particular geographical area with radio coverage. These regions are known as cells, and hence such networks are often described as cellular networks. In a perfect planning environment, an evenly spaced set of such base stations would result in a series of interconnecting hexagonal cells, although in practice the real shapes of these cells will vary. The core network is a fixed telecoms network which interfaces the radio access network with the rest of the telecoms world, be that other mobile networks, the Internet, the Public Switched Telephone Network (PSTN) and so on. The core network will include elements which manage the subscribers information and access, manage the efficient running of the whole network, and the delivery of services through the radio access to the user.

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User User Terminal Terminal

Air Interface

Radio Access Network

cells

base station Core Network

External Network (e.g. fixed,PSTN, Internet etc...)

Fig. 2 Basic Mobile Network Elements

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1.3 The 2nd Generation Legacy

In order to understand the mobile environment into which UMTS and other 3rd Generation systems are designed to be launched, it is worth looking at the 2nd Generation mobile systems in operation at the end of the 1990s. These 2nd Generation networks break down into a number of major types. Each use different technologies, and so handsets designed for one type of network will not work in an area covered by the radio access network of another type. The table shows the geographical usage, plus the different technologies used in both the air interface and the core networks. GSM is clearly the most widely used technology, whereas Personal Digital Cellular (PDC) is used exclusively in Japan, and provides no capability to roam to other parts of the world.

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GSM Europe North America South America China Japan Asia Pacific     

cdmaOne

TDMA (IS-136)

PDC

  

 

  CDMA  TDMA TDMA

Air Interface Scheme TDMA/FDMA Core Network

GSM-MAP IS-41 MAP IS-41 MAP

Fig. 3 Second Generation (2G) Systems

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1.4 Radio Access Schemes

In transmitting different signals within a given frequency allocation, there are two basic ways in which this spectrum can be divided up. FDMA (Frequency Division Multiple Access) schemes divide a spectrum allocation into smaller frequency segments, allocating each signal a different frequency. Simple 1st Generation systems used this method. TDMA (Time Division Multiple Access) allows signals to be transmitted on the same frequencies, but not at the same time each signal is given its own time slot within this frequency band. Note that GSM uses a combination of both of these schemes. Network Operators are allocated a portion of spectrum which is divided into radio carrier frequencies spaced 200kHz apart (FDMA). Each carrier frequency band is then divided into eight separate timeslots (TDMA). The third type of access scheme, CDMA (Code Division Multiple Access), allows all signals to share the same frequency and time domains. In order to distinguish signals at the receiver, unique codes are attached to each signal. A common analogy which is made between the TDMA and CDMA schemes which are the basis of 2G cellular systems is as follows. Imagine a crowded room. In a TDMA system, everyone in the room is speaking the same language. Therefore in order to hear someone speaking on the other side of the room, it is necessary for everyone else to stop speaking. Each person could therefore be allocated a recurring timeslot during which they could speak, with multiple conversations supported by allocating a different timeslot to each. In CDMA, everyone in the room is speaking a different language. Therefore even when other people in the room are speaking at the same time, it is still possible to pick out what the person on the other side of the room is saying, so long as he is speaking the language that you understand. The different access schemes are illustrated opposite.

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Frequency

Frequency Division

User 3 User 2 User 1

Time
Frequency Time Division

User 1

User 2

User 3

User 1

User 2

Time
Frequency
User 7 User 4 User 1 User 8 User 5 User 2 User 9 User 6 User 3 User 7 User 4 User 1

Frequency and Time Division

User 8 User 5 User 2

Time
Frequency Code Division

User 1-?

Time

Fig. 4 Radio Access Methods

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1.5 Focus in on GSM Network Elements

UMTS development was started in Europe, to build upon the GSM systems also developed there. Thus it is instructive to focus in slightly more on the elements which make up GSM networks. The radio access part of the network consists of a set of base transceiver stations (BTSs) which provide the radio communication with the mobile handset. A group of BTSs will be controlled by a Base Station Controller (BSC), with this combination of BSC and BTS elements known as the Base Station Subsystem (BSS). The radio access links in to the core network at an element known as the Mobile Switching Centre (MSC). The GSM switching infrastructure is based on ISDN, and as such, switches are designed to cope with data rates of up to 64kb/s. The MSC will communicate with a number of databases, known as location registers, which give the relevant information regarding the subscribers identity, the legality of the handset, the subscribers current cell location and so on, allowing the MSC to switch and direct services and traffic appropriately. An overall Network Management function will also connect into the MSCs, to control overall network operation. A Gateway MSC can also be defined, and describes an MSC which provides access between the core GSM network and another interconnected network, such as PSTN, ISDN and so on.

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USER

RADIO ACCESS

BTS

BTS

BSC

MSC Databases Network Management

CORE NETWORK

GMSC

Other Networks

Fig. 5 Basic GSM Network Elements

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2. MODERN MOBILE SERVICE NEEDS

2.1 2G: A Changing Market
Although capacity limitations, and a need for new spectrum, are certainly major factors for operators looking to deploy UMTS, new revenue opportunities through new services are seen as the key drivers. 2nd Generation in the most advanced markets at the end of the 1990s, can be summarised as follows. Very little further capacity remained available, resulting in busy signals, dropped calls, and generally poor quality of service in busy areas. There was evidence of a demand for data services shown by the rapid growth in basic SMS (text messaging) traffic, and increased use of GSM for dial-up access to Internet and email while away from the office. Technologies such as WAP were just emerging to further enable mobile Internet services. At the same time, competition was driving profit margins on plain voice subscribers down.

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rapid subscriber growth dwindling spare capacity rapid growth of basic data services growth of mobile e-mail and basic Internet Access decreases in the price of voice services

Contribution to Capacity Requirements Inefficient network/ technology require large investments to increase capacity

Mobile e-mail, basic Internet and other services

2G Network Capacity

Basic data services Rapid subscriber growth (dwindling revenue per voice call) Time Data rate per user constrained by technology Payment based on amount of data or time connected rather than content

Fig. 6 2G and the Market Trends

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2.2 General Trends in Telecommunications

As the 2G mobile market changed, so too were there changes taking place in the fixed world. In particular the Internet has become the de facto delivery method for a whole new range of information and entertainment services to consumers, as PC ownership grows. The continued increase in the ability of such PCs, increased modem speeds and the introduction of faster fixed-line connections (e.g. ISDN, ADSL) means that applications are becoming ever more data-hungry. The result in fixed networks is that they are beginning to carry much more data traffic than voice traffic, and again the revenues from the latter continues to decrease due to competition. At the same time, as users become used to being able to speak to each other when on the move, and collect their email on the move, the natural desire is for mobility, rather than be tied to fixed terminals and locations for other data applications as well.

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 Rapid growth in the Internet Increasingly data-hungry applications Data overtakes voice traffic Prices for voice decrease Users want mobility

Fig. 7 Fixed Telecoms Trends

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2.3 Mobile Evolution

Combining the state of 2nd Generation with the trends happening in the fixed and Internet worlds, the obvious market conclusion is that there is huge potential for Mobile Internet, a bleak future for simple voice revenues, and an increasing need to be able to access desktop applications from other terminals, including mobile ones.

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 Huge potential for Mobile Internet Bleak future for voice (revenues) Access needed to desktop applications when mobile

Fig. 8 Market Conclusions

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2.4 Mobile Internet in 2G

The first steps to Mobile Internet and mobile data using WAP and/or GSM data cards met with mixed reviews. These reviews most commonly cited slow speed, unreliability and high cost as the key negatives. Thinking back to the original aim of 1G and 2G mobile networks optimised to deliver real-time voice it is not surprising that changes need to be made. In 2G networks, access to the Internet involved dialling up for a connection, which could take 10s of seconds, and then waiting for data to download at very slow speeds (max. 14.4kb/s in GSM). If the radio signal was broken during this connection, then dial-up would have to be done all over again. All this time, users would pay for the length of the call, regardless of how much or how little data had actually been received. A key aim in defining 3G systems was therefore to allow faster speeds, to avoid the constant need for dial-up, to give better quality, and to allow different charging models, for instance based on the quantity of data transferred rather than the time used, or maybe even to bill for content. As well as enhancing the user experience, new systems which optimise the transport of data (whilst preserving traditional voice quality), also contribute greatly to increasing operational efficiency, spectrum usage and hence cost-savings for the operators. The diagram opposite illustrates the changes required in moving from 2G to 3G to optimise support for applications such as Mobile Internet.

2.5 i-Mode
Perhaps the first evidence that the new Mobile Internet could create huge demand and hence new revenue streams, came from Japan. NTT DoCoMos i-Mode service attracted over 10 million subscribers to its service within the first year, with unexpectedly popular (and revenue-generating) services including ring-tone and cartoon character download. Even though the data rates associated with the service were still slow (only 9.6kb/s), i-Mode used packet-based delivery to avoid dial-up, and kept services simple yet attractive. One of the most important features of the i-Mode service was also in the number of different services which were available, provided not by NTT DoCOMo themselves, but by allowing access for a whole range of 3rd party developers. This was the first time that any operator had built a business model which enabled such a wide ranging service offering, and used the wider development community to provide these services directly to their subscriber base.

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2G Mobile Internet slow dial-up slow downloads unreliable expensive little choice

New Needs in 3G avoid dial-up faster guarantee quality

(i-Mode) 

new charging models

wide range of services 

Fig. 9 Key Features of 3G in Support of the Mobile Internet

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3. EMERGING AND FUTURE APPLICATIONS AND SERVICES

3.1 Future Mobile Service Needs
In addition to evidence from existing applications and services, there have been a number of market studies to try to identify key opportunities for the future. Clearly it is difficult to predict with any accuracy which services will and wont succeed, and there will, of course, be entirely new services which are as yet not even thought about. Thus a prime aim in developing UMTS and other 3G systems is to provide the capability to be flexible and open in providing new services as they are developed, whoever they may be developed by. Some of the likely service groups are illustrated opposite. Those in bold indicate services which it is impossible to offer on 2G systems with any degree of quality, although obviously just about any service will benefit from the increases in data rate (speed) and reliability which 3G will offer.

3.2 Location-based Services

A widespread belief is that the key applications will not be those simply ported from the fixed world, but those which take advantage of the fundamental benefits of the mobile phone. In particular, since the mobile device can change its location, services which are tailored to this location (restaurant bookings, route finding, location information, etc.) are seen as services with no fixed world competition.
(A * illustrates those services on the opposite page which could fall into this category.)

3.3 3rd Party Services

There is also plenty of activity from other sectors of industry such as banks and retailers, who see the mobile phone very much as a personal trusted device, and hence a key opportunity for transactions and commerce. It is also true of location services such as navigation, that map information, for example, may be held by a digital mapping company. In most cases, operators will not be able to offer such services alone, but will need to work with 3rd party content and service providers. In many cases, such collaboration will require inter-working, with an access route to 3rd party application servers and databases located outside the operators own network. Almost any of the Entertainment or Service opportunities could fall into this category.

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Web Browsing Networked Games Music Downloading Mobile Video Clips Mobile Shopping* Mobile Banking* Information (timetables, hotels, tourist etc.)* Navigation* Video Telephony Picture Mail Multimedia Messaging Video Conferencing Intranet Access Corporate Database Access Business Information (stocks, news, salesforce etc.)* Telematics* Remote Metering & Security* Wireless Vending

Consumer Entertainment

Consumer Services

Communication

Corporate

Machine-to-Machine

Bold services which need 3G for sufficient speed and quality * services which may be location based

Fig. 10 Future Application & Service Needs

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4. ENHANCEMENTS TO 2ND GENERATION 2.5G

4.1 GSM Enhancements
2nd Generation standards have of course continued to evolve through the years since the first networks were launched back in the early 90s. This is particularly true of GSM, for which UMTS is the next step. In particular GSM900 standardisation was completed by ETSI in 1990 (Phase 1) but enhanced in a Phase 2 set of standards in 1995, with further Phase 2+ releases in 1996, 1997, 1998 and 1999. As a result, GSM is now designed to support a number of advanced voice services (call waiting, call forwarding, international roaming and so on), and can also support basic data services and fax. In particular SMS, the store-and-forward Short Message Service, was specified in GSM and has led to a recent explosion in text messaging traffic over GSM networks. Three new technologies in particular were standardised in the last releases of the GSM standard: High Speed Circuit Switched Data (HSCSD), Enhanced Data Rates for Global Evolution (EDGE) and General Packet Radio Service (GPRS). All were designed with the enhancement of data traffic over GSM networks in mind. Most recently, the introduction of the Wireless Application Protocol (WAP) standard, which uses the Wireless Markup Language (WML), a derivation of the Internet application programming language Hyper Text Markup Language (HTML), has led to services enabling access to the Internet over mobile phones. Although not a part of GSM standardisation itself, WAP was important in that it provided a general mobile application-level enhancement which could help make the most of the service delivery capabilities of the GSM transport enhancements above.

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Phase 1

(1990)

Basic Service Operation

Phase 2

(1995)

Supplementary services comparable to ISDN

Phase 2+ (1996 1999)

Advanced features, e.g: IN (CAMEL) Enhanced Speech Higher Data Rates Transport enhancements: HSCSD, GPRS, EDGE

Fig. 11 The Evolution of GSM

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4.2 Circuit-Switched vs Packet-Switched Data in GSM

Circuit and packet-switched data are conceptually illustrated opposite. In the diagram 1, a conversation or data transfer between users 2 and 3 is achieved by defining and reserving a transport pipe between them. All the time that this pipe is open, it is impossible to transfer data between two other users (1 and 4) who would need to use elements of the same route through the network. More resources, or pipes, would need to be provisioned between the switches to cater for the additional requirement, since the pipes themselves (or circuits) cannot usually be shared. In the lower diagram, the data to be transferred between users 3 and 2 is divided into discrete packets which pass through the network. However, at no time is the whole route between the two users completely filled, hence user 4 can also send packets of data to user 1 during the same overall time period, using the gaps left between packets sent by user 3. In real networks, it is possible to send different packets on entirely different routes through the network, depending on resources available. This does however mean that special efforts need to be made in cases where it is important for the different packets to arrive in a particular, time-sensitive sequence. In keeping open a dedicated circuit for the duration of a call, circuit-switched data transport has some advantages for some applications, in reserving the bandwidth for the duration of the call and ensuring real-time communication. Thus for certain symmetrical applications (where traffic passes at the same rate in both directions), e.g. voice or video telephony, there can be a benefit. However, in a situation where the amount of data being sent between users is limited, and/or transmission is intermittent, or bursty, it is much more efficient to use these silent periods to enable other users to send data over the network. Thus, in general, packet-based systems will allow much more efficient use of the network resources.

4.3 Circuit-Switched Upgrade to GSM: HSCSD

Circuit-switched user data transport in GSM, initially at 9.6 kb/s, has been enhanced to 14.4 kb/s, and up to as much as 56kb/s using HSCSD. HSCSD works by allocating up to four time slots to a single user in GSMs TDMA scheme. For the first time, HSCSD enables GSM circuit-switched connections to be asymmetric, by allocating a different number of timeslots in the downlink connection (to the mobile) than in the uplink (from the mobile). HSCSD does not require any entirely new elements to be added to a GSM network, but can be implemented by upgrading handsets and existing elements, including transport schemes.

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1) Circuit-switching: up to 57.6kb/s using HSCSD

USER 1

Switches

USER 3

USER 2 Network

USER 4

2) Packet-switching: up to 115.2kb/s using GPRS

USER 1

Routers

USER 3

USER 2 Network I Data Transferred 32 I Data Transferred 41

USER 4

Fig. 12 Circuit Switched vs Packet Switched Data

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4.4 GPRS and Packet Data in GSM

GPRS adds a packet-based transport capability to the GSM system, and brings IP networking into the GSM world. As well as modifications within handsets and transport channel schemes, GPRS also involves the addition of new packet routers into the GSM core network, producing a core network with separate circuit and packet-switched domains. These routers are the Serving GPRS Support Node, which is the packet equivalent of the MSC, and the Gateway GPRS Support Node, the equivalent to the GMSC. Since we have seen that packet-switching operates with no need to keep an end-to-end bandwidth reservation for the full duration of the information transfer, this is particularly important in radio systems. Using GPRS, radio resources are only required as each packet of information is sent or arrives, not for the entire duration of the data transfer. Also, since no dial-in is required in order to transfer data over an all packet network (since no circuit setup is required), the term always on is sometimes applied to describe networks like GPRS. In the circuit-switched domain, data rates are limited by the capability of the MSC switches, to 64kb/s. In theory GPRS is capable of user data rates up to 115.2kb/s, although actual field trials and early commercial services suggest that rates of around 20-30kb/s are more realistic under real conditions.

4.5 GPRS is Assumed in UMTS

Although in terms of data rates GPRS is certainly not capable of delivering many of the perceived 3G services, it does provide an enhanced 2G network which now has both circuit and packet-switched capability. Thus the first release of the UMTS standard assumes that operators start from a point where GPRS is implemented, and that these operators already have both these circuit and packet-switched domains in their network. HSCSD is not part of the specifications within UMTS, and is simply an option for operators to upgrade the circuit-switched domain.

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USER

RADIO ACCESS

BTS BSC PCU

BTS

Packet-Switched (always-on) CORE NETWORK

SGSN

MSC

Circuit-Switched (dial-up)

Databases, Network Management GGSN GMSC

Other Network(s) (The Internet or Intranets)

Other Network(s) (The PSTN or ISDN)

Fig. 13 Addition of GPRS to GSM

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4.6 EDGE
EDGE is a technology at the air interface to GSM, which provides an improved modulation scheme and improves spectrum efficiency. EDGE uses 8 Phase Shift Keying rather than standard GSM Gaussian Minimum Shift Keying. This has the effect of increasing data rates, with rates as high as 384kb/s in a 200KHz GSM carrier (for 4 Timeslot GPRS operation). It involves no core network changes, although many see its main use in combination with the changes to deliver high data rates using a GPRS core. A variation of EDGE has also been defined for use with US-TDMA (IS-136) systems. In this context, EDGE is seen very much as a 3G radio access technology in its own right, since it is capable of delivering 3rd Generation data rates. An advantage of EDGE as a 3G technology is that it does not require any further spectrum for operators. The use of a common air interface technology in both IS-136 and GSM networks is also seen as a possible route to allow convergence and roaming between these two network types. The UMTS system makes no assumption that EDGE will be present in the 2nd Generation network from which UMTS evolves, although the continued standardisation of GERAN (GSM EDGE Radio Access Network) has now been moved within the same standardisation body in order to ensure future interoperability between UMTS and EDGE radio access schemes. Such interoperability will be important in situations where UMTS is rolled out as islands of coverage in the early stages, since EDGE can help to deliver high data rates through the sea of GSM/GPRS which surround these UMTS islands.

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Changes to radio Interface only (8PSK instead of GMSK for GSM) Involves no new spectrum Can support 3G-like data rates (384kbp/s user rate) Also defined for use in IS-136 TDMA systems Possible fill-in technology during early UMTS rollout Can be combined with GPRS for enhanced services

EDGE Replaces GSM Radio Modulation

Radio Access Network

Core Network

Fig. 14 EDGE
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5. RESULTING REQUIREMENTS FOR UMTS NETWORKS

5.1 Key Features Required of a 3G System
Despite the enhancements to 2G networks, it remains the case that many of the future services require higher data rates than available even with 2.5G. In addition, the future mix of services remains virtually unknown. Therefore, planning needs to be flexible, and both circuit and packet-switched domains need to be supported. The ITU, through its IMT2000 initiative, began the process of trying to describe the required capabilities of a 3rd Generation system, with groups such as the UMTS Forum continuing to develop such market requirements. We can compile the key feature requirements of the UMTS system as follows: 1. Higher data rates, up to 2Mb/s, to enable applications such as large file transfers, mobile video and music, and so on. 2. Multimedia service support. The ability to multiplex voice, data, video and other services on a single connection, to be received simultaneously. 3. Flexibility the ability to request bandwidth on demand, and variably set data rates to suit applications in progress. 4. Efficient delivery of asymmetric services, such as web browsing. This requires the enabling of different bit rates on the uplink and downlink. 5. Quality of Service control, with guarantees over a range from real-time, low loss services like speech down to best effort services. 6. IP support, to enable efficient interworking with the Internet and other IP-based applications. 7. Coexistence and interworking with existing 2nd Generation networks (GSM) and services, in which operators have already invested a huge amount. 8. Ease of global harmonisation, in order to ensure that users can gain access to their services wherever they are.

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High Data Rates

Coexistence with 2G (GSM)

Multimedia Support

Compatibility with the Internet

UMTS Flexibility

QoS Guarantees

Efficient Support for Asymmetric Services

Fig. 15 Requirements for UMTS

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5.2 Service Creation Flexibility

The process of Service Creation is also something which has been paid much attention in developing UMTS. One of the key successes of the Internet has been to allow 3rd party application developers, be they big software corporations or simply single entrepreneurs with a good idea, to easily create applications and services which can be accessed by anyone, anywhere. In contrast, the world of mobile communications has been dominated by closed systems and system-defined services, which made it difficult for companies independent from the operator to add to. That said, the success of i-Mode, with its myriad of 3rd party content and applications providers, seemed to show that variety would also succeed in mobile. Enhancements to GSM recently included SIM Application Toolkit (SAT) and CAMEL, both of which were designed to provide open toolkits whereby 3rd party developers can develop applications, safe in the knowledge that they will run on the networks and handsets of any operators supporting SAT & CAMEL. MExE is another such toolkit, which draws together WAP & Java into a similarly standardised creation environment.

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GSM

Standardised Services

Camel

SAT MExE Internet

UMTS Standardised Service Capabilities Service Development Toolkits

Fig. 16 Service Creation in UMTS

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6. STANDARDISATION PROCESSES
6.1 Brief History of 3G Research
The ITU coined the term International Mobile Telephony 2000 (IMTS 2000) to refer to an envisaged scenario whereby mobile users would have a single system worldwide, giving them access to a much larger array of services, including seamless convergence with the services they had available on their fixed (and satellite) networks. The original ITU goal was to drive development of a single standard worldwide for 3rd Generation mobile, avoiding the problems currently, when trying to roam between different countries. IMT2000 is also referred to in some early papers as FPLMTS (Future Public Land Mobile Telecommunications System). Of course research and development into the 3rd Generation had already started elsewhere, as early as the start of the 1990s, in order to build on GSM and the other 2nd Generation systems around the world. The concentration of this work was on improving the efficiency of the radio interface, in order to better utilise scarce spectrum resources. In Europe, EU projects in RACE I & RACE II (Research for Advanced Communication Technologies in Europe), in particular CODIT (Code Division Testbed), and ACTS (Advanced Communication Technologies and Services), in particular FRAMES (Future Radio Wideband Multiple Access System), eventually led to the choice of the 3rd Generation air interface within ETSI. In fact a number of systems were proposed to ETSI, with the eventual choice of a radio technology known as Wideband CDMA (W-CDMA) for the UMTS radio interface being decided on the basis of best fit with the ITUs IMT2000. In this respect the earlier decision by Japans standardisation body ARIB (Association of Radio Industries and Businesses), to choose a W-CDMA radio interface for 3G was a strong factor, since it brought the promise of greater global harmonisation. Following early development work within ETSI, the development and specification work was passed over to a global group known as the 3rd Generation Partnership Project (3GPP).

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GLOBAL

Specification work goes to 3GPP

Standards: Release 99

EUROPE

ETSI select W-CDMA

ETSI Raw Specifications

JAPAN

ARIB select W-CDMA

EU RESEARCH

RACE 1 RACE 2

ACTS time 2000

1988

1992

1995

1997

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1999

Fig. 17 Development of W-CDMA

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The Need for UMTS

6.2 Resulting W-CDMA Proposals for UMTS

The W-CDMA proposal which was born out of these various research efforts brought the following key changes from the GSM radio interface, in order to meet the service requirements for 3G. 1. Carrier spacing (bandwidth): 5MHz vs. 200KHz. The wider bandwidth available to W-CDMA means that much more information can be sent, and that data rates can be much quicker. Indeed, in theory, the specification allows data rates of up to 2Mb/s in the packet-switched, and up to 384kb/s in the circuit-switched domains. 2. Negotiation of radio bearer properties to suit different QoS requirements. In W-CDMA, quality is controlled as part of radio resource management, with radio resources applied to suit a particular application/user need. In GSM, quality was more a result of network and frequency planning, since all applications had access to the same physical radio transport properties. 3. Two coexisting modes: FDD & TDD These refer to the way uplink and downlink signals are separated. FDD (Frequency Division Duplex) is likely to be the most commonly applied mode in early UMTS deployments, and is suited to wide area mobility, whereas TDD (Time Division Duplex) allows higher data rates to be more efficiently offered over limited distances, such as in small urban cells.

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 5MHz Carrier Spacing

fn

5MHz Spacing

fn+1

(User Data up to 2Mb/s) QoS Negotiation of Radio Resources

Radio Resource Info

QoS Negotiation

Two Main Modes of Operation FDD Uplink Downlink TDD

Separate Frequencies

Same Frequency for Uplink and Downlink

Fig. 18 W-CDMA: Key Features

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6.3 The IMT2000 Family

In parallel with W-CDMA, the cdmaOne community were developing their next generation system (cdma2000), and the IS/UWC-136 community were looking towards EDGE as a solution to its own 3G needs. Thus, a situation whereby a single global standard might exist became both politically and technically unlikely. After pressure from global operator groups represented by the OHG (operators harmonisation group), some compromises were reached, resulting in the ITUs announcement of a family concept for IMT2000 terrestrial radio interfaces. The approach is designed to be modular, and based on the admission that one standard does not fit all the various regional requirements. Nevertheless, in designing as much commonality between functions and modules as is feasible, IMT2000 is still designed very much with global interworking as an easily achievable feature. In particular, the following IMT2000 systems were defined: TDMA-based systems: i. Single Carrier TDMA (also referred to as UWC-136, the evolution of the 2nd Generation standard IS-136/TDMA) ii. Multi-Carrier TDMA (ETSIs DECT standard for cordless telephony) CDMA-based systems: i. Direct Spread CDMA (UTRA* FDD mode, often referred to simply as W-CDMA) ii. Multi-Carrier CDMA (also known as cdma2000, the evolution of the 2nd Generation standard cdmaOne/IS-95) iii. TDD mode (UTRA TDD, to be further harmonised with a standard supported by China, known as TD-SCDMA)
(*UTRA = UMTS Terrestrial Radio Access)

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DECT

TDMA (IS136)

GSM

cdmaOne (IS95)

2G

Evolution Paths

Multi-Carrier Single Carrier DS-CDMA TDMA TDMA

TDD-Mode Multi-Carrier CDMA CDMA

IMT2000

DECT

UWC136 UTRA-FDD UTRA-TDD cdma2000 EDGE W-CDMA CDMA Family

TDMA Family

Fig. 19 IMT2000 Family

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The Need for UMTS

6.4 Global Harmonisation and 3GPP

In addition to the creation of the IMT2000 family concept, the major result of the recognition of the need for a global, collaborative effort to standardisation was the formation of the 3rd Generation Partnership Projects (3GPP). Clearly there was no benefit in regions each developing their own versions of a W-CDMA standard, for example the parallel work on ARIB and ETSI, so the first group, 3GPP, was brought together to ensure that specifications were developed from a global perspective. These specifications were then turned into standards by each of the standards bodies. 3GPP has the following Standards Development Organisation (SDO) Partners: ETSI (Europe) European Telecommunications Standards Institute CWTS (China) China Wireless Telecommunications Standard Group ARIB & TTC (Japan) Association of Radio Industries and Businesses and Telecommunications Technology Commission TTA (Korea) Telecommunications Technology Association T1 (USA) Sponsored by the Alliance for Telecommunications Industry Solutions, and accredited by the American National Standards Institute. In addition to SDO partners, 3GPP also as a number of market representation partners, to ensure that the specifications are developed very much in order to meet market needs. The MRPs in 3GPP are (Fig. 20): GSA (GSM Suppliers Association, representing GSM equipment vendors) GSM Association (representing the GSM industry, operators in particular) UMTS Forum (representing all spectrums of interest in UMTS development) IPv6 Forum (representing those driving the introduction of IPv6, the next generation Internet standard) 3G.IP (an operator-led initiative driving for a common 3G network architecture, e.g. to enable interoperability between fixed and mobile) UWC (Universal Wireless Communications, representing the IS-136 Industry) MWIF (Mobile Wireless Internet Forum, an initiative seeking a single mobile wireless and Internet architecture, independent of access technology)

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Standards Development Organisation Partners ETSI CWTS ARIB TTC TTA T1

Market Representation Partners GSA GSM Association UMTS Forum IPv6 Forum 3G.IP UWC MWIF

Fig. 20 3GPP
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The Need for UMTS

6.5 3GPP Brief and Working Groups

3GPPs brief is to develop a 3G system based on the evolved GSM core network, and the UTRA FDD & TDD modes (i.e. UMTS). It is also now responsible for the further specifications of EDGE. Within 3GPP, work is split into the following subgroups, representing each of the key elements of UMTS specification: Radio Access Network (TSG RAN) Core Network (TSG CN) Services and System Aspects (TSG SA) Terminals (TSG T) Plus GSM EDGE Radio Access Network (TSG GERAN) Co-ordination of the different groups is performed within the overall Technical Steering Group (TSG).

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3GPP TSG

Radio Access Network

GSM EDGE Radio Access Network

Core Network

Terminals

Services & System Aspects

Fig. 21 3GPP Working Groups

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The Need for UMTS

6.6 3GPP Specifications Releases

Although ETSI SMG had produced raw UMTS specifications at the end of 1998, the definition of the first set of useable and public specifications came out of 3GPP at the end of 1999, with some modifications in March and June 2000. This was the so-called Release 99, which very much defines the first steps in implementing UMTS from the starting point of an enhanced GSM/GPRS network. In particular, Release 99 concentrates on the implementation of a new radio interface system (UTRAN). Other key differences between the first set of 3GPP specifications (Release 99) and GSM are as follows: Support for Higher Data Rates Multiplexing services to a single user Bearer flexibility the ability to choose appropriate radio resources to suit the application/user requirements. Improved security Support for Multimedia Messaging Improvements in the Service Creation Environment Release 00 concentrates much more on the core network for UMTS, and in particular the process of evolution towards all-IP systems. The eventual goal of most in the industry is to avoid the split of transport between separate circuit and packet domains, combining both onto a single IP-based packet network once appropriate QoS control is possible. It has been decided that rather than stick to regular yearly releases of standards, these will instead be released whenever useful content batches are completed. Thus future releases will be referred to by number. In this context, release (R00) is known as R4.

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GSM

3GPP Release 99
New radio access Higher data rates Multiplexed services Bearer flexibility Improved security Multimedia messaging Improved service creation

3GPP Release 00/Release 4

Core network evolution to all-IP

Fig. 22 Highlights of Specification Releases

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6.7 3GPP2 and Other Related IMT2000 Family Member Standardisations

A parallel partnership project, 3GPP2, was created to harmonise worldwide specifications of the cdma2000 (MC-CDMA) aspects of the IMT2000 family. Other harmonisation goals for 3rd Generation are the desire to be able to attach UTRA to IS-41 core networks (currently used in 2nd Generation cdmaOne and TDMA/IS136 systems), or to attach cdma2000 radio access to GSM core networks. Thus, there is certainly co-operation between 3GPP and 3GPP2 to be expected. In terms of the other IMT2000 interfaces, US standardisation groups continue to work on the single carrier TDMA mode, and ETSI on multi-carrier TDMA (DECT). IMT2000 development work is illustrated opposite.

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DS-CDMA & TDD-CDMA (UTRA FDD & TDD)

3GPP (Global Partnership)

MC-CDMA (cdma2000)

3GPP2 (Global Partnership)

MC-TDMA (DECT)

ETSI (Europe)

SC-TDMA

TR45.3 (Part of TIA) (US)

Fig. 23 Development within IMT2000

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The Need for UMTS

7. SPECTRUM HARMONISATION
7.1 History of Spectrum Planning
One of the key planks in the ITU desire for 3rd Generation systems to be seamless globally, is the provision of spectrum. In particular, it is clearly easier to implement a system globally if spectrum bands are the same in all the different regions of the world. Unfortunately this is not currently the case. In particular, the US PCS spectrum allocations are at odds with the rest of the world and with no immediate prospect of rearrangement. The spectrum allocations for IMT2000, including UMTS, were first discussed as far back as 1992, where some common bands were defined (except for the US). More recently, the World Radio Conference (WRC2000) meeting in Istanbul, in May 2000, allocated further spectrum for future IMT2000 use. This was in response to lobbying by groups such as the UMTS Forum and GSM Association to increase the amount of spectrum assigned to 3rd Generation systems, on the basis that capacity constraints would once again be reached quickly, should the services take off as hoped. The end result of negotiations was a spectrum map as shown opposite. The key points to take away from this diagram are as follows: Continued lack of harmonisation between the US and rest of the world for most of the spectrum band, although the 1710 1885 MHz IMT2000 band is common to all regions [although currently used by GSM1800 in some] Extra spectrum bands assigned to IMT2000 by the WRC2000 meeting, including the 2500 2690 MHz band in all regions The split between uplink and downlink frequency bands for the FDD mode of UMTS, and the location of TDD mode frequency bands. There is a current lack of any TDD component for 3G in Japan. In addition some regions have expressed particular preferences, for example: The US may implement IMT2000 at around 700MHz China prefers the range 2300 2400MHz for IMT2000 (and possibly its own standard)

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800
SS
1710 1885 1980 2010 2025 2110 2170 2200 2500

900
SS

1000 1700

1800

1900

2000

2100

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ITU
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IMT 2000

IMT 2000

M S S IMT 2000

M IMT S 2000 S

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WRC 2000
1710 1880 1920 1980 2010 2025 2110 2120 2200

WRC 2000

WARC 92

WARC 92

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GSM 900

GSM 1800 UMTS UNPAIRED

1920 1980

D E C T UM TS 1800 UMTS SAT

UMTS SAT

UMTS PAIRED D/L

2110 2170

Japan
1850 1910 1930 1910

Fig. 24 Regional Spectrum Allocations

P H S IMT 2000 U/L IMT 2000 D/L PCS U/L PCS D/L RESERVED MSS - Mobile Satellite System

USA

CELLULAR

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