UMTS Key Technologies

ZTE University
Content
RAKE Receiver
Handover Control
Compressed Mode
Admission Control
Load Control
Code Resource Allocation
Capacity Features
Multi-path characteristics of radio channel
Electromagnetic propagation:
direct radiationreflectiondiffraction and scattering
Signal attenuation:
Path loss Loss of electromagnetic waves in large scope of the
spread reflects the trend of the received signal in the spreading
Slow fadingLoss because of being blocked by the building and
hill in the propagation path
Fast fadingElectromagnetic signals rapidly decline in a few
dozens wavelength ranges
Description of Fast fading distribution
Rayleigh distributionnon line-of sight(NLOS) transmission
Rician distributionline-of sight(LOS) transmission
Multi-Path Effects
receiving signal
time
strength
0
sending signal
Frequency off-set caused by the movement of mobile that
is Doppler effect
Sending signal Accepting signal
Interference
0dB
Sending signal
-25dB
Accepting signal
fading
0 +
Sending signal Accepting signal
delay
0 2 3 +
Sending signal Accepting signal
dithering
Characteristics of Radio Propagation
RAKE Receiver can effectively overcome the multi-path
interference, consequently improve the receiving performance.
RAKE Receiver
The multi-path signals contain some useful energy ,
therefore the UMTS receiver can combine these energy of
multi-path signals to improve the received signal to noise
ratio.
RAKE receiver adopts several correlation detectors to
receive the multi-path signals, and then combines the
received signal energy.

RAKE Receiving
d
1

d
2

t t t
d
3

transmitting Receiving
Rake
combination
noise
Multi-finger receiver
Traditional receiver
Multi-path signals are treated as interference.
The receiving performance will decline because of the
Multi-address Interference (MAI).
Precondition of Multi-finger receiver
Multi-finger receiver utilizes the Multi-path Effect.
Multi-finger signals can be combined through relative
process
Multi-finger time delay is larger than 1 chip interval,
which is 0.26us=>78m.
Multi-finger receiver
receiver transmitter
coding decoding
Direct signal
Reflected signal
Dispersive time < 1 chip interval
Multi-finger receiver cant supply multi-finger diversity
decoding
Direct signal
Reflected signal
transmitter receiver
Dispersive time > 1 chip interval
Multi-finger receiver can supply multi-finger diversity, signal gain is improved
coding
RAKE Receiving
receiver
Single
receiving
Single
receiving
Single
receiving
searcher calculate
combining
t
t
s(t) s(t)
signal
RAKE Receiving overcomes multi-finger interference, improves
receiving performance
Combination of Multi-fingers
Maximal ratio combining (MRC)
at each time delay phase shifting by adding
Finger 1



Finger 2



Finger 3
Content
RAKE Receiver
Handover Control
Compressed Mode
Admission Control
Load Control
Code Resource Allocation
Capacity Features
Whats
When UE is moving from the coverage area of
one site to another, or the quality of service is
declined by external interference during a service,
the service must be handed over to an idle
channel for sustaining the service.
Handover is used to guarantee the continuity of
service.
Handover is a key technology for mobile
networking.
Category of Handover
Intra-RNC, inter-Node B
Inter-RNC
Soft handover (SHO)
Same Node B, Inter-sector
Softer handover
Intra-frequency
Inter-frequency
Inter-system (UMTS&GSM)
Inter-mode (FDD&TDD)
Hard handover (HHO)
UMTS system support
multiple handover technology
Handover Demonstration
Hard
Handover
Soft
Handover
A
B
C
A
B
C
A
B
C
A
B
C
A
B
C
A
B
C
Soft Handover/Softer Handover
Soft Handover
Soft-Softer Handover
Softer Handover
Hard Handover
During the hard handover procedure,
all the old radio links with the UE are
abandoned before new ones are
established, so there must be
service interruption during the HHO.
Hard handover may occur in the
following main cases
When the UE is handed over to another
UTRAN carrier, or another technology
mode.
When soft handover is not permitted (if
O&M constraint)
Hard Handover
Node B
SRNC
RNC or
BSC
CN
Node B or
BTS
Soft/Softer Handover
The soft/softer handover allows to migrate from one cell to
another without service interruption or without deleting all
old radio links.
UE can connecte to more than one cell simultaneously and
take benefit from the macro-diversity.
Soft Handover Softer Handover
CN CN
Iur
The two Node Bs
may belong to the
same RNC
The two Node Bs may
belong to the Same RNC
Soft Handover Softer Handover
SRNC
DRNC
CN
Node B
SRNC
CN
Soft Handover Softer Handover
Node B
CN
UMTS General Handover Trilogy
Measurement Control
UTRAN demands the UE to start measurement through
issuing a measurement control message.
Handover decision
UTRAN makes the decision based on the measurement
reports from UE. The implementation of handover
decision is various for different vendors. It impacts on
the system performance critically.
Handover execution
UTRAN and UE execute different handover procedure
according to the handover command.
(A) RNC sends measurement
control message to UE
(Measurement Control)
(B) UE starts measurement task
with the parameters included in
the message, and reports
measurement results
Measurement Report
(C) RNC stores the
measurement results according
to frequencies and cells
(D) RNC Estimates the quality
of each carrier (including intra-
frequency and inter-frequency)
(E) Quality
Decision
(G) Allocate resource
in target cell, prepare
to execute handover
(F) maintain the
active set and
monitored set
(H) Allocate
resource in target
cell, prepare to
execute handover
Current
carrier has
good quality
Other
system has
good
quality
Other carrier has good
quality
IIf handover is required, RNC sends
handover command with target cell to UE
Handover Flows
General Procedure of Handover Control (I)
Measuring
The measurement objects are decided by RNC. Usually,
either Ec/Io or RSCP (Received Signal Code Power) of P-
CPICH channel is used for handover decision.
ZTE RNC adopts Ec/Io measurement, because Ec/Io
embodies both the received signal strength and the
interference. The relation of Ec/Io and RSCP is shown as
follows:
Ec/Io RSCP/RSSI
In the above equationRSSIReceived Signal Strength
Indicatoris measured within the bandwidth of associated
channels
Filtering
The measurement results should be filtered before being
reported. Measurement filtering can be regarded as a low pass
filtering procedure. The following equation is applied for filtering.
F
n
=(1-a)F
n-1
a*M
n
Variants definition
Fnfiltered measurement result
Fn-1last filtered measurement result
Mnlatest E
c
/I
o
or RSCP measurement result received from
physical layer;
a = 1/2
(k/2)
, k means the Filter coefficient, which is included in the
Measurement Control message. It is decided by the UTRAN.
F
0
is initialized by the first measurement result M
1
.
General Procedure of Handover Control (II)
General Procedure of Handover Control (III)
Reporting
Period report triggered handover
Base on the filtered measurement result
Event report triggered handover
Base on the event

Soft
Handover
Hard
Handover
Period
Event
Measurement result filtered in UE
Event decided in RNC
Handover decided in RNC
Measurement result filtered in UE
Event decided in UE
Handover decided in RNC
General Procedure of Handover Control (IV)
Handover algorithm
All the handover algorithms including soft handover,
hard handover and so on are implemented on the event
decision made according to the measurement reports.
Events defined in 3GPP specifications
Intra-frequency events1A~1F
Inter-frequency events2A~2F
Inter-RAT events3A~3D
Note: RAT is short for Radio Access Technology, e.g.
UMTS&GSM
Concepts Related to Handover
Active Set:
A set of cells that have established radio links with a
certain mobile station.
User information is sent from all these cells.
Monitored Set:
A set of cells that are not in the active set but are
monitored according to the list of adjacent cells
assigned by the UTRAN.
Detected Set:
A set of cells that are neither in the active set nor in the
monitor set.
Soft handover event
Event Description
1A
Quality of target cell improves, entering a
report range of relatively activating set quality
1B
Quality of target cell decreases, depart from a
report range of relatively activating set quality
1C
The quality of a non-activated set cell is better
than that of a certain activated set cell
1D Best cell generates change
1E
Quality of target cell improves, better than an
absolute threshold
1F
Quality of target cell decreases, worse than
an absolute threshold
An Example of SHO Procedure
Pilot Ec/Io of cell 1
time
Pilot
Ec/Io
Connect to cell1 Event 1A Event 1C Event 1B
add cell2replace cell1 with cell 3remove cell3
Pilot Ec/Io of cell 2
Pilot Ec/Io of cell 3
t t
t
RNS Relocation
Core Network Core Network
Serving
RNS
Target
RNS
Serviing
RNS
Target
RNS
Iu Iu
Iur
RNS
Radio Network Sub-system
RNS relocation can :
Reduce the Iur traffic significantly
Enhance the system adaptability
Hard Handover
Hard handover measurement is much more complex for
UE than soft handover measurement.
Inter-frequency hard handover requires UE to measure the
signal of other frequencies.
UMTS employs compressed mode technology to support
inter-frequency measurement.
Content
RAKE Receiver
Handover Control
Compressed Mode
Admission Control
Load Control
Code Resource Allocation
Capacity Features
Purpose of Compressed Mode
In order to support inter-frequency and inter-RAT
handover, UE is required to perform inter-frequency
and Inter-RAT measurement periodically.
The UE with one transceiver does not have the
opportunity to perform inter-frequency measurement
during the service period (especially the voice call) ,
because the transceiver is busy in transmitting and
receiving the signals all the time.
Compressed mode can provide idle slot based
transmission time window, which can be used for
inter-frequency measurement, for the UEs in
connected state, e.g. CELL_DCH.
Compressed Mode
Compressed Mode Transmission Diagram

Transmit gapsMaximum 7 slots = 4.7ms 1 frame10ms
10ms
Generation of Compressed Mode Frame
Puncturing
Lower the symbol rate of physical channel when
processing the rate matching procedure
SF halving
Employ half SF, e.g. employ SF64 to replace
SF128
High layer scheduling
Decrease the bit rate from up layer
Content
RAKE Receiver
Handover Control
Compressed Mode
Admission Control
Load Control
Code Resource Allocation
Capacity Features
Admission Control
The admission control is employed to admit the access of
incoming call. Its general principal is based on the
availability and utilization of the system resources.
If the system has enough resources such as load margin,
code, and channel element etc. the admission control will
accept the call and allocate resources to it.
Purpose of Admission Control
When user initiates a call , the admission control should
implement admission or rejection for this service according
to the resource situation.
The admission control will sustain the system stability
firstly and try the best to satisfy the new calling services
QoS request, such as service rate, quality (SIR or BER),
and delay etc. basing on the radio measurement.
Admission control is the only access entry for the incoming
services, its strategy will directly effect the cell capacity
and stability, e.g. call loss rate, call drop rate.
Admission Control in Uplink
I
total_old
+I >I
threshold

The current RTWP (Received
Total Wide Power) value of cell,
which is reported by Node B
Access
Threshold
Interference capacity
Service priority
Reserved capacity for
handover
I
own-
cell

0
~
N
I
other-
cell
The forecasted interference including the delta
interference brought by the incoming service is
calculated by the admission algorithm, and its
result depends on the QoS and transmission
propagation environment
Different ultimate user numbers
Different interference threshold under different ultimate
user number conditions
Different ultimate throughputs

Quantity of Subscriber
Quantity of Subscriber-- The Total Bandwidth Received by Node B
T
h
e

T
o
t
a
l

B
a
n
d
w
i
d
t
h

P
o
w
e
r

R
e
c
e
i
v
e
d

b
y

N
o
d
e

B

(
d
B
m
)
Ultimate Situation for different service rate
Throughput
Throughput -- The Total Bandwidth Received by Node B
T
h
e

T
o
t
a
l

B
a
n
d
w
i
d
t
h

P
o
w
e
r

R
e
c
e
i
v
e
d

b
y

N
o
d
e

B

(
d
B
m
)
Admission Control in Uplink
Admission Control in Downlink
P
total_old
+P>=P
threshold

Access
Threshold
The forecasted TCP value including delta
power required for the incoming service is
calculated by the admission algorithm, and its
result depends on the QoS and transmission
propagation environment.
The current TCP value of cell, which is reported by Node B
Transmitted Carrier Power*P
max

Max TCP of cell
Service priority
Reserved capacity for
handover
Quantity of Subscriber
T
h
e

T
o
t
a
l

T
r
a
n
s
m
i
s
s
i
o
n

P
o
w
e
r

(
d
B
m
)
Redlow speed service
Bluehigh speed service
The above figure illustrates the relation between ultimate user number
corresponds to different service rate and distance under equidistant
distribution condition
Admission Control in Downlink
The service can be either one-direction or bi-direction
type. For bi-direction service, it is admitted only after
both uplink and downlink are admitted.
Admission control is the only access entry for the
incoming services, its strategy will directly effect the
cell capacity and stability, e.g. call loss rate, call drop
rate.
Admission Control Analysis
Content
RAKE Receiver
Handover Control
Compressed Mode
Admission Control
Load Control
Code Resource Allocation
Capacity Features
Load control
The purpose of load control is to keep the
system load under a pre-planned threshold
through several means of decreasing it, so as to
improve the system stability.
The speed and position
changing of UE may
worsen the wireless
environment.
Increased transmitted
power will increase the
system load.
Purpose of Load Control
Overload control
Serious overload threshold
Overload recovery threshold
Admission control threshold
Common overload threshold
Cell load
Overload control
Normal
state
Common
overload
state
Serious
overload
state
4. The load is smaller than the
overload recovery threshold
3. The load exceeds the serious overload threshold
6. The load is smaller than the serious overload threshold.
but greater than the common overload threshold
5. The load exceeds the
serious overload threshold.
1. The load exceeds the
common overload threshold
2. The load is smaller than the
overload recovery threshold
Load Control Flows
Start
Decision
Light loaded
Over loaded
Normal loaded
1.Handover in and
access are forbidden
2. TCP increase is
forbidden
3. RAB service rate
degrade
4. Handover out
5. Release call (call drop)
1. Handover in and access
are allowed
2. Transmitted code power
(TCP) increase is allowed
3. RAB service rate
upgrade is allowed
1. Handover in
and access are
allowed
2. TCP increase
is allowed
Load Control in Uplink
Triggers
RTWP (Received Total Wide-band Power) value from
measurement report exceeds the uplink overload threshold;
Admission control is triggered when rejecting the access of
services with lower priority due to insufficient load capacity in uplink.
Methods for decreasing load
Decrease the target Eb/No of service in uplink;
Decrease the rate of none real time data service;
Handover to GSM system;
Decrease the rate of real time service, e.g. voice call;
Release calls.
Methods for increasing load
Increase the service rate.
Load Control in Downlink
Triggers
TCP (Transmitted Carrier Power) value from measurement report
exceeds the downlink overload threshold;
Admission control is triggered when rejecting the access of
services with lower priority due to insufficient load capacity in
downlink.
Methods for decreasing load
Decrease the downlink target Eb/No of service in downlink;
Decrease the rate of none real time data service;
Handover to coverage-shared light loaded carrier;
Handover to GSM system;
Decrease the rate of real time service, e.g. voice call;
Release calls.
Methods for increasing load
Increase the service rate.
Cell breathing is
one of the means
for load control
The purpose of cell breathing is to share the load of hot-
spot cell with the light loaded neighbor cells, therefore to
improve the utilization of system capacity.
Cell Breathing Effect
Example for load control
Cell Breathing Effect
With the increase of activated
terminals and the increase of high
speed services, interference will
increase.
The cell coverage area will shrink.
Coverage blind spot occurs
Drop of call will happen at the edge
of cell
Coverage and
capacity are
interrelated
Content
RAKE Receiver
Handover Control
Compressed Mode
Admission Control
Load Control
Code Resource Allocation
Capacity Features
UMTS Code Resource
Channelized Code (OVSF code)
Uplink Channelized Code
Downlink Channelized Code
Scrambling Code
Uplink Scrambling Code
Downlink Scrambling Code
Function of OVSF Code
OC1, OC2
OC3, OC4
OC5, OC6, OC7
OC1 , OC2, OC3
OC1, OC2
OC1, OC2, OC3, OC4
Uplink: distinguish different radio channels from the same UE.
Downlink: distinguish different radio channels from the same NodeB.
Function of Scrambling code
Downlink: distinguish different Cells
Uplink: distinguish different UEs

PN
3
PN
4

PN
5
PN
6

PN
1

PN
1

Cell Site 1 transmits using PN code 1
PN
2
PN
2

Cell Site 2 transmits using PN code 2
Why Code Resource Planning?
The OVSF (Orthogonal Variable Spreading Factor) code
tree is a scarce resource and only one code tree can be
used in each cell. In order to make full use of the capacity,
and support as many connections as possible, it is
important to plan and control the usage of channel code
resource.
Downlink scrambling code allocation should be planned to
avoid the interference between neighboring cells.
The uplink scrambling codes are sufficient, but RNC
should plan the codes to use for avoiding allocating same
code to different users in inter-RNC handover scenario.
Code Resource Planning
The uplink and downlink scrambling code can be planned
easily by computer.
The uplink channelized code does not need planning, for
every UE can use the whole code tree alone.
Therefore, only the downlink channelized code is planned
with certain algorithm in RNC.
Each cell has one primary scrambling code, which
correlates with a channel code tree. All the users under
this cell share this single code tree, so the OVSF code
resource is very limited.
The downlink channelized code tree is a typical binary tree
with each layer corresponds to a certain SF ranging from
SF4 to SF512.
SF = 1 SF = 2 SF = 4
C
ch,1,0
= (1)
C
ch,2,0
= (1,1)
C
ch,2,1
= (1,-1)
C
ch,4,0
=(1,1,1,1)
C
ch,4,1
= (1,1,-1,-1)
C
ch,4,2
= (1,-1,1,-1)
C
ch,4,3
= (1,-1,-1,1)
Generation of Channelized Code
OVSF Code Tree
SF=8
SF=32
SF=16
Channelized Code Characters
Code allocation restriction
The code to be allocated must fulfill the condition that its
ancestor nodes including from father node to root node
and offspring nodes in the sub tree are not allocated;
Code allocation side effect
The allocated node will block its ancestor nodes and
offspring nodes, thus the blocked nodes will not be
available for allocation until being unblocked .
Strategy of Channelized Code Allocation
Full utilization
The fewer the blocked codes, the higher code tree
utilization rate.
Low Complexity
Short code first.
Allocate codes for common channels and physical
shared channels prior to dedicated channels.
Guarantee the code allocation for common physical
channels.
Apply certain optimized strategy to allocate codes
for downlink dedicated physical channels.
An Example of Code Allocation
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
SF = 4
SF = 8
SF = 16
SF = 32
SF = 4
SF = 8
SF = 16
SF = 32
Red spots represent the codes that have been allocated
Green spots represent the codes that are blocked by the allocated offspring codes
Blue spots represent the codes that are blocked by the allocated ancestor codes;
Black spots represent the codes that to be allocated;
Choose one
code from
three
candidates
Planning of downlink scrambling code
PN1
PN2
PN3
PN7
PN6
PN4
PN5
PN7
PN6
PN4
PN5
PN1
PN2
PN3
PN1
PN2
PN3
PN7
PN6
PN4
PN5
PN1
PN2
PN3
PN7
PN6
PN4
PN5
PN1
PN2
PN3
PN7
PN6
PN4
PN5 PN1
PN2
PN3
PN7
PN6
PN4
PN5
Content
RAKE Receiver
Handover Control
Compressed Mode
Admission Control
Load Control
Code Resource Allocation
Capacity Features
Capacity of UMTS
Power Rising
Power rising occurs because of the Multiple Access
Interference (MAI) resulting from the non-orthogonal
code channels.

UMTS network Meeting Room

Code channel transmit talk with dialects
Channel power voice tone
Promised channel quality listen clearly
Channel power rise voice tone rise
Power climb voice climb
Collapse over the range can not hear each other
Power Rising
Quantity of Subscriber
Quantity of Subscriber-- The Total Bandwidth Received by Node B
T
h
e

T
o
t
a
l

B
a
n
d
w
i
d
t
h

P
o
w
e
r

R
e
c
e
i
v
e
d

b
y

N
o
d
e

B

(
d
B
m
)
Capacity of UMTS System
Under the circumstance of single services:

=
=
=
Capacity of UMTS System
...
X Y
Z
+ +
Under the circumstance of mixed services
UMTS Capacity Features
UMTS capacity feature
UMTS capacity is Soft Capacity.
The Concept of Soft Capacity
The system capacity and communication quality are
interconvertible.
Different services have different capacity.
Different proportion of services have different capacity
for mixed services.
The capacity is also restricted to the allocation of code
resource.
Different combination
of service has
different capacity
Concept of Soft Capacity
System capacity and QoS can be interconverted
Capacity
All the key technologies adopted are used to try to
achieve the optimal balance of the three factors
Crucial Factors for UMTS Network (CQC)
Coverage and Capacity
UMTS performance is determined by such factors
as
Number of users
Transmission rate
Moving speed
Wireless environment
indoors
Outdoors
The radius of cell depends on such factors as:
Local radio conditions (local interference)
Traffic in neighbouring cells (remote interference)
Cell Radius decrease according to the Increase of
user number
Coverage/capacity VS Data Rate
Higher data rate needs higher power
High data rate transmission is only available nearby the
station
>12.2 kbps
>64 kbps
>384 kbps
>144 kbps
Coverage decrease
Subscriber
num
increase
DL/UL:
Add carrier
six sectors
UL
Tower Mounted Amplifier (TMA)
4 Rx Div
OTSR
DL
transmission diversity (Tx Div)
high power amplifier
Add basestation
last choice
Optimization methods
To overcome Cell Breathing Effect caused by increased
traffic and meet different requirements for capacity and
coverage in different environment, following solutions can
be applied:
Factors Impact on UMTS capacity
RAKE
Receiver
The advanced receiving and baseband processing
technology is introduced to overcome the fast fading
Power Control Reducing interference, saving power and Increasing capacity
Handover
Control
Impacting the capacity through applying different proportion
and algorithm of soft handover
Admission
Control
Admitting a connection base on the load and the admission
threshold of planned capacity
Load Control
Monitoring system load and adjusting the ongoing services to
avoid overload
OVSF Code
The Allocation of codes impacts the maximum number of
simultaneous connections.
Wireless
Environment
Wireless environment such as interferences, UE position and
mobility etc. can influent the cell capacity
Factors affects UMTS Capacity